Philippe A.

CHARlEZ
Mining Engineer from Facult Palytechnique de Mans
Ph.D from Institut de Physique du Glabe de Pars
Rack Mechanics Expert at Total Compagnie Fran~aise des Plroles

ROCK
ECHANICS
volume 1

IHEOREIICAL FUNDAMENIALS

Foreword by

Vincent MAURV
Chairman of Comit Franvais
de Mcanique des Raches
Rack Mechancs Expert al Elf Aquitane

1991

EDITIONS TECHNIP

27 RUE GINOUX 75737 PARIS ceOE)( 15

Table of contents

Foreword

VII

IX

Preface
Nomenclature
INTRODUCTION. Some hasic concepts of solid mechanics

XXI

1 MECHANICS OF CONTINUOUS
BASIC CONCEPTS
1

STATE OF STRAIN
1.1

1.2
1.3

lA
1.5

description of the strain of a solid

transformation. VonCiept of displacement
1.1.1 Affine
1.1.2 Convective transport of a vector . ...... . . . . . .. . ..... .
1.1.3 Convective transport of a volume ............. ...... . .. .
1.1.4 Convective transport of an oriented surface ............... .
leCOITapC,sltlon of the transformation. Rigidity condition .......... .
Eulerian description of the strain of a body ...................... .
1.3.1 Affine Eulerian transformation ........................... .
1.3.2 Convective transport oC a vector ................. ....... .
1.3.3 Norm of a vector. Decomposition of K .................... .
1.3.4 Convective transport of a volume ......................... .
of tensor [} as a fundion of velocities .......... .
1.3.5
of the acceleration in au Eulerian
1.3.6
Summary table of the Lagrangian and Eulerian formulae in the case
of
transformations . . . . . . . . . . . . . . . . .. . .. . .
State of strain under the hypothesis of small

9
9
9

10
11
11
12

13
13
14
14
14
15

15
16
16

XII

Table of contents

1.6

Geometrical
of the strain tensor .......................
1.6.1 Diagonal atraina ... ... .. . ..... ...... .................
1.6.2 Non
strains ...... ...............................
1.6.3 Volume variations. Firat
of the tensor f ..........
1.6.4 Elongation of the vector
Invariant of the second arder ...

18
19
19
20
20

1. 7
1.8

Plane state of strain

State of strain in cylindrical coordinates ... .......................
1.8.1 Curvilinear coordinates and natural reference frame ........
1.8.2 Specific case of
coordinates ....... .............
Equations of compatibility ....... . ... ..........................

21
21
21
22
24
25

1.9
Bbliography .......................

. ..... .. .............

STATE OF STRESS

27

2.1
2.2
2.3

28

2.4

2.5
2.6

2.7

Internal forces and stress vector ......... . ........ .

Equilibrium of the
tetrahedron ........... .
Concept of boundary condition ................. .
Momentum balance equilibrium eql11at,lOllS
Kinetic energy theorem . . ..... , ............ , .................... .
Theorem of kinetic momentum.
of the stress tensor .....
2.6.1 Invariant quadratic form ... ...
. . . . . . . . . . . . . . .. . .....
2.6.2 Diagonalization of the stress tensor with """'1"\""or.
to its principal dircctions . . . . . . . . . . . . .. ........ . ...... .
Change of cartesian reference frame .............................. .

coordinate .............. , .... .

2.8 Equilibrium equations in
2.9 Stress tensor in Lagrangian variables ......... .
2.10 Plane state of stress. Mohr's cirde .... .. .. ..... .. . ......... .

27
30

31
32
33
33

34
35

35
36
38

41
3

THERMODYNAMICS OF CONTINUOUS MEDIA

43

A. REVIEW OF
3.1
3,2

3.3
3.4

3.5

3.6
3.7

3.8

Internal energy of a system ...

First
of thermodynamics ............ . .................. .
Second state fundon: entropy of a system ....................... .
Second
of thermodynamic." ...... , . . .. . . . . . .. . ...... , ..
Free energy , ................................. _................... .
and free enthalpy of a fluid .. ,........... . .. .
state functions ...................................... .
variable and state equation

43

44
44
45
46
46
47
47

XIII

Ta.bie of contents

3.9

Total differentiation o state unction ..............................

3.9.1 Calorimetric coefficients ...................................
3.9.2 Thermoelastic coefficients o a fluid ........................
3.9.3 Further equalities between partal derivatives ..............
3.10 Expression of a fluid entropy ......................................

48
48
49
50
51

B. CONSTITUTIVE EQUATIONS OF SOLIDS

3.11 The fundamental inequality o Clausius-Duhem .............. .... . .
3.11.1 Mass balance..............................................
3.11.2 Momentllm conservation ...................................
3.11.3 First principie of thermodynamics .........................
3.11.4 Second principIe of thermodynamics .......................
3.11.5 Fundamental inequality of Clausius-Dllhem ................
3.12 Choice of state variables ..........................................
3.12.1 The memory of a material.................................
3.12.2 Observable state variables .................................
3.12.3 Concealed or internal state variables .......................
3.13 Thermodynamic potential .........................................
3.14 Case of reversible behaviour elastici ty .............................
3.15 Hooke's law .......................................................
3.16 Case of irreversible behaviour .....................................
3.17 Dissipation potential ..............................................
3.18 Yield locus and plastic behaviour ..................................
3.19 Plastic flow rule and continuity condition ..........................
3.20 Specific case of standard laws .....................................
3.20.1 Hill's principIe of maximum plastic work ...................
3.20.2 Uniqueness of the solution (or Hill's theorem) ..............

51
52
52
52
53
53
54
54
54
54
55
56
57
57
58
59
62
65
65
66

3.21 Conclusion........................................................

68

Bibliography ............................................................

68

11 MECHANISM OF MATERIAL STRAIN

4

LINEAR ELASTICITY. GENERAL THEORY

73

4.1
4.2
4.3

73
74
74
76
76

Hooke's ]aw .......................................................

Thermodynamic considerations. Symmetry of the rigidity matrix ..
Case of isotropic materials ........................................
4.3.1 Generalzation to any Cartesian system of coordinates ......
4.3.2 Physical interpretation of isotropy .........................

XIV

4.4

4.5

4.6
4.7
4.8

Ta.ble al cantents

The common elastic constants .................................... .

4.4.1 Young's modulus and Poisson's ra.tio .................... .
4.4.2 Hydrostatic hulk modulus ...................... . ....... .
4.4.3 Shear modulus ........................................... .
Further
of Hooke's equations .......................... .
The Beltrami-Mitehell differential equations ................. . ... .

77

of the elastic solution of a boundary problem

81

theorem ....................................... .
in cyIndrical coordinates ................ . .... .

PLANE THEORY OF ELASTICITY

83
83

84
84
85

state of strain
Basie
of
Stress harmonic ,."""t'lrm
potential ........................ .
Plane
coordinates ...............................
Application to the calculation of stresses in infinite pi ates ..........
5.4.1 Determination of
function for an infinite plate .......
disturbance. Kirsch'g problem
5.4.2 Effect of a circular
pressure on the borehole ............
5.4.3 Effect of a

85
86

5.7

The finite elastic solid:

a.pproximate solution ...............
The method of
of Muskhelishvili ...............
5.5.1 Analytical functions and Cauchy-Riemann conditions (CRC)
5.6.2 Application to the biharmonic equation ....................
5.6.3 Expression of stresses and
. . . . . .. . . . . . . . . . . . .
Transformation of the basie formula..........

92
98
98
100
101
102

5.8
5.9

conditions in the image plane ..........

by
integrais .........

103
105

5.10 Applieation to the case of an infinite

containing an elliptical
cavity ..................... .. .....................................
5.11 Conclusion................... ....................................

106
109

Bibliography ..... ................... . .. . . ......... .... ...........

110

BEHAVIOUR OF A MATERIAL CONTAINING CAVITIES

111

6.1
6.2

111

5.1

5.2
5.3
5.4

5.5
5.6

78

78
79
79

82

4.9
4.10
4.11

........ .

77

6.3

Determination of

Phenomenological
Strain energy associated with a
Definition of effective bulk
modulus ........................................................ .
Specific types o cavities: pares and microcracks '" .............. .

87
87
87
89
92

111
113

TabIe oE contents

6.4 Evolution of the effective modulus with loading ................ . . . .

6.5 Determination of the cracking spectrum using Morlier's method ....
6.6 Closure of a crack population under a compressive stress field ......
6.7 Additional observations concerning the closure of the microcracks ..
6.8 Conclusion. Concept of porosity ...................................
Bibliography ............................. ..............................

115
116
119
121
122
122

THERMODYNAMICS OF SATURATED POROUS MEDIA

123

Basic hypothesis of thermoporomechanics .........................

The importance ofthe Lagrangian description for writing conservative
laws ..............................................................
Mass conservation .................................................
Conservation of linear momentum and mechanical energy balance. .
First principle of thermodynamics .................................
Second principIe of thermodynamics inequality of Clausius-Duhem.
Choice of state variables (intrinsic dissipation) .....................

124

7.8
7.9
7.10
7.11

Constitutive state law and thermodynamic potential ...............

Case of reversible behaviour. Laws of thermoporoelasticity ....... ,.
Case of irreversible behaviour .....................................
Diffusion laws of thermoporomechanics ............................
7.11.1 First diffusion law: hydraulic diffusion law or Darcy's law ..
7.11.2 Second diffusion law: heat diffusion law or Fourier's law ....
7.11.3 Hydraulic and thermal diffusivity laws .....................
Bibliography ............................................................

130
131
131
131
132
132
132
133

INFINITESIMAL THERMOPOROELASTICITY

135

7.1
7.2
7.3
7.4
7.5
7.6
7.7

xv

8.1

8.2

8.3
8.4
8.5

Hooke's law in thermoporoelasticity. Concept of elastc etIective stress

8.1.1 Decomposition of the state of stress. Hooke's law of a porous
medium ...................................................
8.1.2 Biot's coefficient and elastic effective stress. . . . . . . . . . . . . . . . .
Volume variations accompanying the deformation of a saturated
porous medium ...................................................
8.2.1 Bulk volume variations ....................................
8.2.2 Variation in pore volume ..................................
8.2.3 Relative porosity variation .................................
Mass variations accompanying the deformationof a saturated porous
medium ...........................................................
Undrained behaviour. Skempton's coefficient and undrained elastic
constants .........................................................
Thermal effeds ....................................... ...........

124
125
126
127
128
129

135
136
137
138
138
138
140
141
141
144

XVI

8.6

Table of contents

Entropy variation accompanying a transformation ........ ........

8.6.1
(m O) isothermal (T:;;;;; T) test.... ..
8.6.2 Undrained (m
O) isochoric (e:u
O) test... .......
8.6.3 Isochoric (eu
O) isothermal (T = To) test............

145
146
146
146

8.7

Variation in fluid free enthalpy during a transformation '"

.. _.....

147

8.8
8.9

potential .........................................
Relation between thermal expansion coefficients ...................

148

8.10
of hydraulic diffusivity ..... . . . . . . . . . . . . . .. .........
8.11 Particular cases .................................. ................
8.12
o thermal diffusivity .............. _... . . .. ............
8.13 Resolution of a thermoporoelastie boundary
Beltram-Mitchell and consolidation eQllatlOrlS

151
151
152

=
=

9 THE TRIAXIAL TEST AND THE MEASUREMENT

OF THERMOPOROELASTIC PROPERTIES
9.1

9.2
9.3

9.4

9.5
9.6

9.7
9.8

9.9
9.10
9.11
9.12
9.13

9.14

9.15

150

153
156
156

159

of the test and of the experimental

cireuts ......... _. . . . . . . . . . . . . . . . . . . . . . . .. . . . . . .. . . .. ...
Strains measurement ......................................... ....
Friction
......... , ........... _................ _. . . . . . .. . .
9.4.1 Friction o the piston ................................ . ..
9.4.2 Fl'iction of movng piston ...................... ..... .....
and installation of the sample ........... .............
saturation of the sample ....................... _... _. _. .

159
161
162
163
163
164
164
165

Calculation of
from the consolidation time.... ........
Undrained hydrostatic compression measurement of B and
9.8.1 The measuring circuit of pore presEure _....................
9.8.2 The heterogeneity of the stress field ........... .... .......
Second
of consolidation ................... .................
Measurement of drained elastic parameters ....................... .
Measurement of undraned elastic
. . . . .. .. ., ....... .,
Measurement of Biot's coefficient and matrix bulk modulus ...... .
Measurement of the coeffic.ents of thermal
" .......... .
fluid ................ .
9.13.1 Thermal expansion coefficient of
'"
.... .
9.13.2 Measurement of Q:u and O'B .......
Thermal conductivity ...................... .
heat ................ _.......... .

167
168
170
173
173
173

174
175
176
177
177
178
180
181

Tabie oE contents

XVII

10 THERMOPOROELASTOPLASTICITY. GENERAL THEORY

AND APPLICATION

183

A. GENERAL CONCEPTS

10.1 Constitutive laws in ideal thermoporoelastoplasticity ..............

10.1.1 Variationsin pressure associated with a TPEP transformation
10.1.2 Constitutive law in TPEP ..... ...........................
10.1.3 Variation in entropy associated with a TPEP
transformation ............................................
10.1.4 Variation in fluid free enthalpy .............................
10.1.5 Thermodynamic potential in TPEP ........................
10.2 InequalityofClausius-Duhem and concept ofplasticeffective stresses
10.3 Physical concept of hardening. Calculation of hardening modulus
and of plastic multiplier ...........................................
10.4 Incrementallaw in the case of an associated plastic flow rule .......
10.5 Generalization of elastoplasticity: concept of tensorial zone ........
10.6 Laws wi th more than two tensorial zones: theory of mul timechanisms . .
10.7 Laws with an infinity of tensorial zones ............................

183
183
184
185
186
186
187
188
191
192
193
193

B. THE CAMBRIDGE MODEL

10.8 Space of parameters ...............................................

10.9 Phenomenological study: normally consolidated clay under
hydrostatic compression ...........................................
10.9.1 Behaviour in the elastic domain .... . . . . .. . . . . . . . . . . . . . . . . . .
10.9.2 Behaviour in the plastic domain ...........................
10.10 Behaviour of a clay under deviatoric stress. Critical state concept ..
10.11 Expression of the plastic work .....................................
10.12 Determination of the yield locus ...................................
10.13 Hardening law ....................................................
10.14 Plastic flow rule and hardening modulus .... . . . . . . . . . . . . . . . . . . . . . . .
10.15 Application of the Cambridge model to sorne specific stress paths ..
10.15.1 Isotropic consolidation .....................................
10.15.2 Anisotropic consolidation ..................................
10.15.3 Oedometric consolidation ..................................
10.15.4 Undrained triaxial test ....................................
10.16 Diffusivity equations associated with the Cam-Clay ................
10.17 The concep~ of overconsolidation application to triaxial tests .......
10.17.1 Undrained overconsolidated test...........................
10.17.2 Drained overconsolidated test ..............................

194
195
196
197
198
200
200
201
202
204
204
204
205
206
207
208
208
212

XVIII

Table

o( contellts

C. THE CONCEPT OF INTERNAL FRICT/ON

THE MOHR-COULOMB CR/TER/ON
10.18 The ,.."", .. ,,..,,

214

10.19 The
line ............................. ....
10.20 Yield locus in the space of principal stresses ...................... .

215
216
218

10.21 Special case of triaxial test ... . ................................. .

10.22 Special case o biaxialloading .................................... .
10.23 Tension cutoffs ....
10.24 Generalization of Mohr-Coulomb criterion: concept of intrinsic curve
10.25 Tbe non-assoeiativeness of tbe plastic fiow rule ................... .
10.26 The Rudnicki and Rice model .................................... .
'f'Y\1'\l'!I'Hrrt> and Mohr-Coulomb models
10.27 Correlation between

218

219
220
221
222
224

D. APPLlCATION OF THE LADE MODEL

TO THE
BEHAVIOUR OF CHALK
under bydrostatic loading . .. ..... .....
under deviatoric loading ................
Lade model ........ . . . . . . . . . . . . . . .. .. ....
10.30.1 Elastic behaviour.
modulus ......
10.30.2
behaviour under deviatoric loading ....
10.30.3
behaviour undel hydrostatic loading ...
10.31 Shao and
simplified model .............................
10.32 Taking into account resistan ce to traction ............... .... ....
of effective stresses ........... .. ......
10.33 Lade's model and
Bibliography .......... :... ............................................
10.28
10.29

OF

226
227
228
228
228
232
233
235
236
237

MECHANISMS
COHESION LOSS

11 FISSURING
11.1
11.2 Basle
of brittle
...... ...........................
11.3 Stress field assciated with a. crack concept of stress intensity factor
o stress intensity factor .............
11.4 Generalization of the
o the stress
factors .................
11.5 Physical
fa.ctor ..........................
11.6 Calculation o the stress
with a rectilinear crack in a uniaxial stress field
11.6.1
with rectilinear crack in any far stress field
11.6.2

241
241
241
243
245
247
248
248
249

XIX

TabIe o[ contents

11.6.3 Infinite plate with a concentrated force on the crack

11.6.4 Infinite
with rectilinear crack and continuous LVU,UU',r.
11.7 Condition for crack initlation. Griffith criterion ................... .
11. 7.1 Writing the first
.. .. . ... . ....................... .
of a crack ..
11.7.2 Kinetic energy associated with the
11.7.3 Griffith criterion .......................................... .
11.8 Growth of an initiated crack. "lU=JI:5L<J'LIC pr()pl'tga.tlO
11.8.1 Quasistatic controlled
or
11.8.2
11.9 Stability and instability of prc)pa,~atlon
11.9.1
with servocontrolled ,v~v.""r.
11.9.2
with servocontrolled dlspla.cernellt
11.10 Local
of Griffith criterion. ,"-,vu\.,c;u
11.11 Experimental determination of
for rocks ................ .
from a three
test ... .
11.11.1 Determination of
11.11.2 Triaxial tests. Influence o
11.12 The
raised
factor ................ .
11.13 Mandel criterion in terms o stress
11.13.1 Bui's el asto brittle solution of an incremental
crack
11.13.2 Criterion of the k 1 m~ximum or of the k 2 zero ............ .
11.14 Steiff's
so]ution for a non infinitesimal
11.15 Behaviour of a crack under a
stress field ............. .
11.15.1 Closme of a crack in a '-'-'1111J1"'''',:U
11.15.2 Case of an inclined crack.
law of friction ....... .
11.15.3 Conditions for initiation of a crack under biaxial <,,,.yo,,,,..,,,,,,,,i,.,,n
11.15.4
calculation of the
. . . ........... . ..... .
11.16
formulation of
11.17 Conclusion ...................................................... .
Bibliography ........................................................... .

12 INTRODUCTION TO DAMAGE THEORY

A. LEMA/TRE'S

249
250
250
251
251
252
253
254
255

255
256
257
257
259

260
261
262
265
265
265
266

268
268
269
269
271

272
274

274
277

MODEL

12.1 Theoretical bases ... . .... . ..

12.2 Experimental determination of . ."'''''''0,1'.''' ndonH"IIHII!: law
12.3 Case of
materiaIs ....... . ......... .

......... .

278
280
283

B. HOMOGENIZATION OF A FISSURED
12.4 Introduction ..... ........................... . ... .
12.5 Macroscopic and local stress flelds
12.6 Macroscopic and local strain fields ........ ..... .. ...............

286

287
288

xx

TabIe ol contents

12.7 Expression of

in the case of l. crack ....... , .....................

289

Introduction of the "damage" variable .............................

State law. Expression of the thermodynamic potential .............
Inequality of Clausius-Duhem. Associated thermodynamic Corees. . .
No damage. Open cra.ck ...........................................
No damage. Closed crack ............................ ,............
Damage ........ ..... .... ......... ....... ...... ............ ........
12.13.1 Specific case in which the crack is open ....................
12.13.2 Specific case in which the crack is closed ............... , .. ,
Bibliography ............................................................

290
290
293
294
295
298
298
299
302

13 APPEARANCE OF SHEARING BANDS IN GEOMATERIALS

303

12.8
12.9
12.10
12.11
12.12
12.13

A. INTRODUCTION. BASIC CONTRADICTION

B. THE MOHR-COULOMB CRITERION. THE CONVENTIONAL
MACROSCOPIC A PPROACH
C. THE MICROSTRUCTURAL APPROACH
OF TJIE SHEARING BAND

13.1
13.2
13.3
13.4
13.5
13.6

The rock considered as a material with a population of cracks

Rupture probability of a. single crack under biaxialloading .........
Collapse of a sample concept. Concept of reference volume. . . . . . . . .
Case of heterogeneous state of stress ...............................
Pseudo-three-dimensional extension and shape of the failure envelope
Nemat Nasser's micromechanical model ...................... ,....

306
307
309
313
313
315

D. APPEARANCE OF A SJIEARING BAND SEEN AS

A BIFURCATION
13.7 Existence of the phenomenon Desrues's experimental approach .....
13.8 Mathematical formulation of localizaban ...................... ,...
13.8.1 Kinematic condition .......................................
13.8.2 Static condition ...........................................
13.8.3 Rheological condition ...... ,...............................
13.9 Elasticity and .bifurcation ................ ,........................
13.10 Case of Rudniki and Rice's elastoplastic model ....................
13,11 Bifurcation and associativeness .............................. ,.....
13.12 Discontinuous bifurcation .........................................
13.13 Conclusion and recommended research ............................
Bibliography ............ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

317
318
320
320
320
321
321
326
326
326
327

INDEX..... ....... .......................... .................. .........

329

N omenclature
MATRICIAL NOTATION

,v

vectors.
vector Nabla.

6,lj
tr(1)

tensor of the second order.

AH

= AH

trace of a tensor.

contraded product of two tensors.

1= i1 V

Aij =

matricial product of two vectors.

UiVj

transposition of a tensor.
symmetric part of a. tensor.

1= \l i1

.. _ OU,
A 1) u. -

- 2: -OU,

\JU=

e==

gradient of a vector.

OXj

ox'

oAsJ

2: _OX'_
j

divergence of a tensor.

di vergence of a vector.
tensor of the fourth order.
product of two tensors.
scalar product of two vectors.

XXII

Nomenc1ature

MAIN SYMBOLS
vector.
f.,

fluid thermal expansion coefficient.

(XI

strain tensor.
matrix thermal expansion coefficient.

elastic strain.
plastic strain.

latent heat.

stress tensor.

isotropic ... <>'!''''''",,,

deviatoric stress tensor.

thermal conductvity, CamClay swelling coefficient.

first Lame constant.

second Lame constant, vis"""'un".. .., friction coefficient.

Young's modulus.

[{

bulk modulus, kinetc

energy.

heat capacity at constant volumic deformation.

u, U, U m

W, '1/;, 'l/;m free energy.

S, S, s"..

entropy.

Poisson's ratio.

h, h m enthalpy.

shear modulus.

9, gm

drained

modulus.

>.

drained bulk modulus.

drained Posson's ra.tio.

undraned

modulus.

undrained bulk modulus.

critical state line.

void ratio.

pore volume.

Biot's coefficient.

matrix volume.

Biot's modulus .
coefficent.
drained
coefficient.

multiplier,
compressibility coefficient.

bulk volllme.

matrix bulk modulus.

free enthalpy.

porosity.

undrained Poisson's ratio.

."

interna! energy.

expanSlOn

undrained thermal expansion

coefficient.

4>(z ),

fil:st complex potential of

M llscbelish vili.

W(z), 'I/;(z} second complex potential of

M llschelishvili.

.... "".u,,'I'>" variable.

XXIII

Nomenclature

isothermal consolidaton coefficient.

H

hardening modulus.

energy release rate.

surface energy. shape

coefficient.
stress

le

fracture

factors.

INTRODUCTION

Sorne basic concepts

of solid rnechanics

Very gene rally speaking, two categories of physical parameters can be distinguished in mechanics:
(a) The dynamic quantites which give rise to motion. These are mainly forces or
force couples.
(b) The kinematic qua.ntities which describe motion geometrically. These are
mainly displacements, velocities a.nd accelerations.
Before getting down to the founda.tions of continuum mechanics, there are certa.in
general concepts that need to be recalled. These will be a. good starting-p'oillt for a
proper understanding of rock mechanics.

REPRESENTATION OF THE MOVEMENT

OF A POINT IN SPACE AND TIME
To describe the movement of a. moving object, an observer requires a reference
frame and a dock. A' reference frame is defined by a.n,origin (which we will assume
to be identical with the observer) and a basis which, depending on the case, can be
orthogonal and unit vedors. We shall assume it to be Galilean, i.e linked to the earth.
At a given moment, the moving object will be localized in space. Its position will be
represented mathematically by a vector linking the origin to the moving object that
is
3

OM =
i=l

Xi

(1)

lntroduction

where Xi are the coordinates of the point, C the vectors o the basis. If this latter is
orthogonal and unit vectors

(2)
in which Dij is the Kronecker symbol. Given a moving object initially situated at
point X defining the "initial configuration". At the instant t, the moving object has
a velocity v(t) and is situated at point i(t). These parameters define the "present
configuration". There are two separate methods of representing the movement that
we shall describe succinctly below.

Eulerian configuration
The movement is described by evaluating the present velocity of the moving object
on the basis of its present position x(t) and of time

v(t) = <$E [i(t), t]

(3)

At any time, the driver of the moving object informs the observer of his position.
The laUer can then evaluate the present velocty o the moving objed without taking
account of the previous information. The observer is not obliged to follow the moving
object and can ignore what has occurred between the initiaI instant and the present
one. The transformation is then "increme~tal".

Lagrangian configuration
The present position of the moving object is evaluated on the basis of its initial
configuration and of time

(4)
The observer must then follow the moving object, otherwise the information at
his disposal (X and t) would be quite insufficient to describe the present position of
the movng objed. Fundon <$ L will enable the observer to follow the moving object
as it moves. The movement described by a Lagrangian transformation is therefore a
"finite" transformation.
The Eulerian configuraton s the most physical representation mode snce all
quantity is compared with the present configuration. In the Lagrangian configuration,
on the other hand, since the quantity is compared with the initial configuration, it
can lose its physical meaning. We shall see therefore that the stress tensors issued
from the Lagrangian configuration (Piola Lagrange or Piola Kirchoff tensors) have no
physical meaning since they compare a present effort with an initial surface.
However the Lagrangian configuration is appreciable when calculating particulate derivatves (derivatives with respect to time), for these are reduced to a partial
derivative with respect to time. ForO an Eulerian description, on the other hand, time

Introduction

appearing in x(t) , the particulate derivatives a.re total derivativ~. We may note lastly
that the kinematic variables X, X, V, and the acceleration f do not depend on the
representation mode and are equal irrespective of the configuration chosen since, in
both cases, they are compared with the same reference frame. One must then avoid
any confusion between representation mode and change of reference frame.

INTRINSIC QUANTITIES AND

PRINCIPLE OF OBJECTIVITY
The kinematic quantities decribed below (x, V, f) are not intrinsic for they depend
on the reference frame. It is known, for example, that an observer will give a different
description of a moving object depending on whether or not he himself is moving.
On the other hand, certain quantities, such as stresses, cannot depend on the
choice of the reference frame. They are said to be objective, that i8 invariant in any
change of reference frame. Now, such is not always the case if one does not proceed
carefully. For instance, let us consider a solid in rotation subjeded to a tension load
(Fg. 1). In a fixed reference frame Ro the vector can be written

(5)

F
----

e
Fg. 1. PrincipIe o objcctivily.

while in a "mobile" reference frame

Rw linked to the solid, this same vector wiU be

(6)

Intreducton

If the rotational velocity w is constant

and Rw is such that

CB = wt), the rate of the tension load in R

dF = Fow (
' _
_)
dt
- sm Wtcl + cos wte2

(7)

dF =0

(8)

and

dt

in

Rw

The force rate depends then on the chosen referimce frame. Clearly in this example
the physica.l reality ls the second oue (wth respect to Rw) snce is assumed to be
constant. If one wishes however to use the fixed reference frame, it is necessary, for
the rate to be objective, to eliminate the rigid movement of Rw with respect to Ro.
There are several methods of eliminating the movement of the observer. The best
known are the convective derivative (calculation of the variation rates with respect to
the material itself) and the Jauman derivative (material derivative with respect to the
corotational reference fra.me). In the framework of this study, we shall consider that
the partieulate derivatives are objective and always expressed with respect to a fixed
observer. This lS a perfectly realistic hypothesis fOl rock strain where movements are
aIways sma.ll and sIow.

FUNDAMENTAL LAW OF DYNAMICS:

THEOREM OF LINEAR MOMENTUM
The linear momentum of a mass point m with velocity v is the vector quantity
The linear momentum theorem is expressed as follows: "When the velocity of
a mass point m varies because of the influence of forces applied to it, the resulting
variation in the linear momentum is su eh that"

mv.

(9)
If this reasoning is extended to a solid o density p, of volume V and of external
surface S subjeded both to surface forces o resultant F and to body forces of resultant
f~ the theorem can be written

(10)

Intraductin

MOMENTUM
definition, the knetic momentum
with resped to a point 0, of a mass point
o masa m driven by a velocity i! ia the vector ; such that

OM Ami!

characterizes the circular motion of a masa point around an axis

is
linked to an axis z, on the action of any force
rotate around the z axis since ony its tangential force ifIt
can create a. movement
is taken up
the rigid bond). The rotating mass
point will be driven
i! su eh that
This

(Fig. 2). Indeed, if a

F, this point will

(12)

in which w is the

~UI~~"~'
"'11),Ul'"

o tbe considered point. With resped to the z axis,

momentum ; such that
= r 2 mw (Un

A Uf
-)

= r 2 mwu- z

(13)

""---'---I----iIlllllllB
... X

Fig. 2. Theorem of kinetc mornentum.

Extending the

CaoVUJlHj<.

to a solid o volume V, one can write

(14)

introducing

(15)
moment of inertia o the solido

lntrodudioll

Ir one rep(aces (14) in (11) and derives wjtb respcd Lo time one obt.ains
(16)

or by applying (9)

(17)
since iOMjdt = r (d.. jdt) = rwiit = V.
"A solid begins lo rotate around ao axis ir the resulting: momentum oC the Corces
aeting 0 0 this poio!. is not nil."

CONCLUSIONS
From Eqs (10) and (17). one can then state the conditions under which a salid

will not move (dvjdt;;; dwjdt;: O).

JI. is necessary and sufficient that:
(a) The resultant of ihe (orces applied 1.0 ihis salid be zeto.
(b) Tbe resulting moment.um oCthese forces also be zero.
In this case, tbe salid i8 said Lo be in static equilibrium. This i5 the general
Cramework oC rack mechanics.

BmLIOGRAPHY
COUARRAZE, G" snd GROSSIORD, J .L. , Initiation d la rhlologie, Technique et docu-

mentation Lavoisier, 1983.

FRANEAU, J ., Physique glnirale, Academy Press, Bruxelles, 1970.
GERMAIN , P ., Mcanique, tome I, Ed. Ellipse, Ecole polytecbnique, 1986.
STUOT2, P., Lois de comportement : pnnc1pes gnirata, manuel de Rbologie des
gomatriaux, Presses de I'ENPC, 1987, pp. 103-127.

Part 1

Mechanics
of continuous media
Basic concepts

CHAPTER

State of strain

1.1

LAGRANGIAN DESCRIPTION
OF THE STRAIN OF A SOLID

Given a solid S located with tesped to a rcference (rame of fixcd axes Ro and
given X the initial coordioate of any paint of this solid.
Consider a motian of this point which at time t is in a position i(t).
We explained in the inlroduction that it was possible to describe the salid motian referring to its initial position and time; it is expressed using the Lagrangian
transformation

x= 4)L(X ,t)
where

1.1.1

X a~d t

( 1.1)

are known as Lagrange variables.

Affine Lagrangian transformation

Concept of displacement
The displacement vector , of the considered point is the difference betweeo the
initial configuratian and the present configuration relative to the initiaJ oonfiguration
so that (1. 1) can be written

ii~.i(+;(X,t)

(1.2)

where (X,t) is the displacement vector.

Tbe Lagrangian transformation is known as "affine" ir the displacement vector
varies linearly with X

(X,t) = lf(t) ,i(

(13)

10

P.rs l. MechaniCIJ of cont;nll"WI mli". B..ic coneept"

Deriving this expression witb respect to

Ji

one abtains
8Ui

ax.,

where H'j =

f!(t) Is the "displacemenl gradient" associaled with

Replacing (1.3) in (1.2) one obtains

~he

(1.4)

affine transformation .

(1.5)

L is tbe unit tensor.

Writing

where

HI(O

(1.6)

=>; = J'(t).X

(1.7)

J'(t) = l

thell deriving again witb resped to

8;
J'(t) = uX

X, one obtains

ux

where F. . . = --'
'1
8X.

(1.8)

f(t) is thus the "transforma.tion gradient" matrix.

The Lagrangian "afline" description can be generalized to tbe case of any hans-facmalion. The affine lransformation becomes then of the incremental type and one
can still "read" (1.7) by saying that in the vidnity of a.ny point M, the function c$
can he approximaled by a linear fundian known as a "linear tangent lransformation"
such that

di= J'(X,')dX

1.1.2

(1.9)

Convective tran.sport o a vector

Ir we apply the pteceding formula to a vector

into P, one obtains

Po at zetO

time transforming itself

(1.10)
so that the vedorial variation

P will be equal to
(1. 11)

11

Gbaptcr 1. Statc 01 slrain

1.1.3

Convective transpbrt of a volume (Fig. 1.1)

[f one has three initia.l orthogonal unit vectors

is such that

v, =

Po, Qo, Ro

tbe assodated volume

(p, t"~,) .R,

(1.12)

Fig. 1.1. Convective transport of a volume.

Indeed,

Po

and

Qo

beiDg perpendicular,

Po" 00:::: IPoIIQolit;

Similarly, if

P, Q, ii represent

these same vectors alter transformation,

v = (PI";) R

(1.13)

Taking account of (1.10), one obtains

V =

(fp, A fa,) IR.

(1.14)

which can also be written alter development

v = J Va
in which J:::: del 1
!1 is the Jacobian ofthe transformation.
1.1.4

(1.15)

Convective transport of an oriented surface (Fig. 1.2)

Using tbe same reasoning, one can write

Qa " Po = Soiio

(1.16)

12

Part l. Me.:halliC$ o( continuoWl media. Buic concepts

00

'0
rig . 1.2. Conveclive t rAJlsporl ot 811 orienled surhce.

( 1.17)

(1.15) can also be written

(1.18)
that is, ta.king account of (1.10)
(1.19)

1.2

DECOMPOSITION OF THE TRANSFORMATION

RIGIDITY CONDITION

A material becomes strained when the melric properties (distances and angles) of
tbe respective body are modified, On the contrary ir the moticns affecting the salid
do oot modify t he metric properties, one can speak oC "rigid moticn" . Let us translale
these definitioos into mathematical formulae by expressing tlle norm of any vector P

,IP ,1= ,-P.?-= ,([Po.

-) (fP-)o = PogPo
--

(1.20)

with

q= I[.!

being a symmetric tensor

(1.21)

One conclucles from (1.20) that the motian is rigid provided that

9=1
1 GeneralIy,

(when a

( 1.22)

tramposition is omitted for th e scaru product except where th e resuhs lLre affecteJ

ma~rix

is introduced lor example).

13

Clu.pter 1. S(ate of , Ir";"

Relation (1.20) can then be decomposed ioto a rigid part and a st raining part

, - ['2'- D1. - - ['2('+ Dl. -

IPI = Po'

Po+ Po ,

Po

(1.23)

Equation (1.23) shows that the second term i5 characteristic of a purely rigid
motion and the litst of apure strain. Therefore, one defines t he straio GN!t:n LfJgrangt:
tensor 5uch that

,,=! (C- 1)

In lhe 5ame way as

1.3

2 ~ is a symmetric tensor.

(1.24)

EULERIAN DESC RIPTION OF

THE STRAIN OF A BODY

Tbe Eulerian description, contrarily to the Lagrangian description defines moLion

ooly on the basis of the coordinates of lhe present configuration i and of time.
The Eulerian t ransformation exprcsscs the veloeity of a point of the salid in tht!
pre5ent configuration as a fun etion of z and time t whi ch are consequcntly known as
"Eulerian variables".
The transformation is thus expressed by the equation

v= t$E(i, t)

(1.25)

; being tite present velocity of the considered poiut .

1.3.1

Affine Euleran transformation

This assumes t hat the velocity is a linear fundion of the presenl coordina tes. that

"
(1.25)
We m ay observe that i is no looger (as was the ioit ial coordinate X) a constant .
As we shall see litis maJ.:es the derivation with respect to time much more complex o
If one takes the Lagtangian t ransformaLion again , and derives ii with respecl to
time, one obtains
d%

-=v=FX =KF .Y

(1. 27)

:::} K=t".r

( 1.28)

dt

- -

[being tbe derivative of fwith resped to timc.

Pa.rt l. Mechanics of conljnuous media. Buje coneepts

14

1.3.2

Convective transport of a vector

If one applies Eq. (1.26) to a vector

P,

it may be deduced that

(1.29)

1.3.3

Norm oC a vector. Decomposition of !S

Let us decompose first [( into its syrnrnctrie an:l its skew symmetric

par~s

such

that

[S=[J+g

(1.30)

wit.h
1

D= - (K+ 'K)

2 -

l=
-

~2 (K'K)
-

We can study the evolution oftbe norm of the vector

to time, that is

P by derivil!g it witb respect

d (_ _)
p. P

di

= pfSP+lS; p

(1.31)

PIS p+p'IS ,P
pWp
In the Eulerian description of motion, the movement is rigid (i.e. the norm
of P does not change with time) ifand only ir Q= O. So t,he symmetric part of!f.
characterizes the late o strain in the salid wbile Q, skew symmetric part, represents
tbe rigid motiaD (tbe cate of ratation).

1.3.4

Convective trnnsport of a volume

As for a Lagrangian transformation, one can ca\culate the variation in volume

associated witb an Euleria.n transformation.
Considering P, Q and Ras three vectors, the volume associated i8 suro that
(1.32)

The

deri~tive

of V with resped to time is such that

( 1.33)

Ch.. p ter l . Stllte

or strain

15

( 1.34)
from which one can easily show (by taking vectors parallel

V= L

J(

Lo

tbe reference axes)

(1.35)

i=l
Ol

what. is exactly t.he S<Ulle (eince t.be diagonal compooeots of 9 are nil)

-V = '""'
L Di; = tr -D

(1.36)

;=1

VIV ;8 a knowo
1.3.5

as the "rat.e of volume strain".

Expression of tensor D as a Cunction of velocities

Ir one derives ( 1.26) wit.b resped 10 E, one oMai ne

[{ =
~

.. _ I)vi
K '} - o
UX- j

lJii

ez

(1.37)

K is t.hus t,he "velocity gradient" tensor. The tensor pcan tben be exp res..<ed as a
runction of the strain velocities such t bat
D ij

= ~
2

[8v; + 8Vi ]
{JZj

OZi

(1.38)

whicb cao also be wfitteo in the tensorial form

(1.39)

1.3.6

Expression oC the acceleration

in an Eulerian desc ription

The acceleration of a material point of a salid is the derivative of ita velocity

with resped to lime (total derivative) such that
_

dii

= dt

whe re ii:; ii[i(t) , t]

( 1.40)

Applying the cbain ruJe ol" derivation, olle obt ains

( 1.41)
(1.4 2)

1.4

SUMMARY TABLE OF THE LAGRANGIAN AND

EULERIAN FORMULA E IN THE CASE
OF HOMOGENEOUS TRANSFORMATIONS

LAGRANGF.

EULER

z = X + If(')X
z=[(') -X

ti = ~(t) . %
K~f!1

Convect.ive transport. of el vector

P=f Po

P=/SP

Convedive transport oC volume

V = J Vo

V = "W)V

'1tansformation

Convective transport oC a surface

Candtion oC rigidity

= d,t([)

f'S:;:

Jn~

Sg

Q:;: l with

p=O

Q= '[ -E

Strain tensor

Accelcration

1.5

24=

fl'- f-[

aiJ
'i = &t

p= ~ [" eH '(" e0J

_8ii(

"'(=

al +

;_

"V~v V

STATE OF STRAIN UNDER THE HYPOTHESIS

OF SMALL PERTURBATIONS (SPH)

Let U8 tale the Lagrangian description again and assume "hat the variation oC
norru associated wi th any vector j5 is sufficiently small 1.0 neglect the infinitely small
of t he second arder.

Given Cl.P t he variation associated with the vector

configurations, thaL is

P between

nitial and present

p = Po+ Cl.P

(1.43)

Tbc nOI m of t his vector 18 therefore

(1.44)

Negled ing

6.p2

(SPlI ) and taking account

or the fad that 6.P = It Po, where!!

18 Lhe displacement grl\dient, (see Eq. (1 . 11 ) one obt ains

-. -=2
('Fj )
P2
=2
Po + lj . Po
Pu +Po . .ti . Po
Po +Po'
+ IJ . Po

(1.45)

that 18 by writing
( 1.46)

one obtains
(1.47)

P;

In othcr words, p 2 =
(rigid mot ion) if and only if f = O. The vector 6.P cal!
now be written by decomposin g !Jin its symmetric part and its skew symmetric part:

- [1

, 1(

1-

/lP = H
P,= -(H+H)+
- H - 'H
) po
2--2-

or writing

2 = 1j -

( 1A8)

'{!

( 1.49)

n,

Since in the case of a rigid moton, ~ is zera,

skew symmetric par' or the tensor
H(d isplacemcnt gradient) eepresents tbe rigid motion whi le" represents the strain .
Foe that reason, IS called "sLrain tensor ~ in the hypothesis of small perturbat ions.
lt Is represented by the symmetric part oCt he displacement gradient !.enSQr. In the
case of a purely strai ni ng motion, one will have
(1.50)
A fi rsL conseqncnce of Lhe small perturbatious hypothesis is the identification of
the G reen Lagrange tensor - wi th the tensor f.
lndeed

~ =

!(C-I)=!('F.PI)
2-2 ---

:; [([+ 'in ([ + if) - 1[

'"

:; [('1!+if)[ =[

(1.5 1)

18

Pllrt ,. Medul.lIk... o( continuow media. B4.Sic conupu

A further oonsequence oC thc spa i8 the identity of Lagrangian and EuJeran

configu rations. Indeed ir ';(X , t) and ~ s(i, t) represellt the same qUAlltity

(1.52)

, displacement vector being small, we will have

( 1.53)
to

This identity shows us tllat ene can (in SPll) derive ind iscrimillately witb respect
i and tbaL Lbe particulat.e derivative becomes a partal derivative witb re-

X 01

sped to time. One can &ka undcrstand why it ill preferahle to speak about "Sma.ll

perturbalions" rather than "SmaH deformations". In raet, ene has lo take into consideration thaL botb the displacerncnt and the displa.ccment gradien t llhavc to be
smaU. Finally {rom (1.6), (1.7) sud ( 1.26) one deduces

( 1.51)
and replacing (1.54) in (1.30)

.
D= -1 [ H+
fH. J = i:
2 -

(1.55)

smce the pa rticulate der ivative c.oincides with a par tia.! deri vative witb respect 1.0
time.
Ta sum up, one should nole a1l the following basie formulae in the SP H

(1.56)

1.6

GEOMETRlCAL SIGNIFICAN CE
OF THE STRAIN TENSOR

The state of atrain at any ptu't oC the solid ls therefore rep resented by a symmetric
tensor ~ auch that

( 1.57)
The diagonal com ponenls are known as normal strains and the no n diagonal ones
as shear alrains . Their geometric significante can be underst.ood as Collow$. If one
considers Eq . (1.50) taking account oC (1.57), one obtains

19

C I,apter J. S t ate o ( s train

c:u

Cr~

1.6.1

P..~
Po.::

+ e:r;v P"v + E~. P",

+ CYII POlI + EVI PN

Diagonal shains

Ir the initia.l vector is pa.rallel to O:r;, Po, ~ Poe

in length 6 P", , thc Eqs (1.58) are reduced to

= O and ir one assigns B.n inerease

ll.P:r; = En Po",
Cn
rep tesen1s then t he relat.ive variation of a vector parallel lo the axis
reasolli ng .....ould be idcnti cal ror y and z .

1 .6.2

(1.58)

(1.59)
% . The

Non diagonal strains

Given t he initial vect.or merged witb O. whose coordinales are PD'" =- Pa.,
Paz.
Let. us apply to it a displacemenl ll.P" ( Fig. 1.3)

=- O allcl

Fi. 1.3. No n d ia,:ollal sl'3ins.

The Eqs (1.58) are titen redueed t.o

( 1.60)

.P" being smal1

Oll e

can write

8=

e".

I"P,I

= [PDII

(1.6 1)

20

Part l. Mccl>llnjcs

e ll O i:,

tbcn ehllrllde ri:ltic of the

~lip

of

11

Q(

c:ont;mwus meroa, Buje conc"'pts

plane pe rp endicular to

.t

and parllllel lo

y. This slip creatcs a distortion oC thc medium and is characLeristic oCts change in
sha.pe. It IS called shear slrain.

1.6.3

Vo lum e variatio ns. Fi rst invariant of the t ensor

We have shown ill tbe case of ao Eulerian configuration [Eq. (1.36)]

dV
~ t, (D)V
dt
SPB we will have

TakiD.g &Ccount oC (1.55)

fOI

( 1.62)

( 1.63)
which ;5 the firsl invariant oC {.
dVIV is known as "cuhic cxpansioD" .
As a condusian, the normal strains charac.t.erizc the relative changcs in length and
eventually in voLume while l he shear strains charac1erize the changes of form oC a
continuou!I mediurn.

1 .6.4

Elongation of the vector j5. In variant o f the second arder

The elongation of a vector

becomes after sLrain
that

P =.

p~

P represeots

+ -;;P \\le

its relative variation in length. If

Po

define the elongation! (scalar quantity ) such

IPI -I P.I
IPI

(1.6')

Uuder the hypothesis ofsmall perturbations, one has

11'1 ' -11'.1'

- IPI -I
_ P.I __ IPI' -11'.1'
IPI(IPI
+
IP
.I)
'"
2d'
!PI

where d is tbe norm of P"(P,, == d) and a unit vector parallel to

Taking accou nL of ( 1.50) o ne obtains in Lile SPH

!PI' ~ !P.I' + 2P,. M ~ IPI' -11'.1' ~ 2 P, . ~ . p.

(1.65)

P" .
( 1.66)

By substituting (1.66) in (1.65) one ootains finally

( 1.67)

is the invariant oC the second order oC tbc tensor { and js t lterefore indepe ndent of
Lile reference frame .

21

C"'plfll' 1. Slate uf str",n

1.7

PLANE STATE OF STRAIN

A solid is in a state of pla.ne strain paralJel to 11. plane Oxy if the displacement
component w (Le. perpendicular to Oxy) is zero and if the components Iinked t o tbis
plane (i.c. tl and v) depelld only on x and y hui not on z.
Consequently, this definition induces that

f: yy

F: rz

8W]
="21 [8u
f}z + ox
CH

0'
f}y

: :; O
:::

Cy

="2

[o, + Ow]
ay = o
f}z

(1.68)

oW
OZ :::; o

The st.ate o f strain is thell expressed by t he tensor

( 1.69)
and , the elongation (. Ln a. direction 8 (with resped to Or) by
e:::;

1.8

f: rr

cos 2 8 + f:YII sin 2 8 + 2.!,..y sin O cos 8

(1.70)

STATE OF STRAIN IN CYLINDRICAL

COORDINATES

In certain specific problems such as wellbore stabili ty, it is often useful to refer to
other types of reference feame than t he conventional Cactesian coardinates system.
One uses curvilinear coardinates defining a "'local reference (rame" associated with
the specific point where the state of stra.in is calculated.

1.8.1

Curvilinear coordinates and natural reference frame

Given a system of Cartesiall a rthogonal and llnit vectors coordina.tes Xl, X2 , X3

and given l, e2, ej the vectors associated with this basis (~ ~:::; 6'J' le. 1:::; 1).
Let us cnvisage a change of variable sucil that a point M previously localizcd by
the coordinates Xl, X Z, X3 will after cha nge of referente Crame be

(1.71)

22

PM(

l. Mechanics

Q(

continuous

m~; .

Basic concepts

In arder that thc sequencc UI, U2, tia should make it possible to achicve an llUambiguous acatian of point Al, it is neccssary that there should be ane to one correspondence between u; and Xi . It i5 therefore necessary tho.t there exists a unique
inver:>c of (l.71). Furtherrnore we sho.11 assume tho.1 the ti; are continuous derivable
functions with respect to the Xi (and conversely). A point M so dcf1ned, one can
effed an infinitesimal displacemenl dOM while only vruying tI and monitoriog U2
and U3. Ooe describes thus a curve known as "coordinate tine" associated with tll.
ln tlle same way ooe could describe starting from M two other "coordinatc lines",
ene associated with U2 , the other with u;:! (Fig. 1.4).
~

Fig. 1.4. Natural eference IIlCes associa.te<.l

...ith curvilinear coodi!Hlles.

Space can then be meshed by a set of three networks of coordinate lines. Tbus
starting from point M, one can define three specific direct.ions tangent to the coordinate lines at this point. One builds tbu$ a local basis with which are associated the
vectors 91,92,93 (Fig. lA) such that

- = L -;-ej
8.
,
j _

uU;

(1.72)

Tbe new base in the general case is not orthogonal and nol composed of unil
vectors.

1.8.2

Specific case of cylindrical coordinates

T he cylindrical coordinales constitute the most classic case of a local refere.nce

frame. They are defined by their relations to rectangular coordinates x, y, Z such

23

ChapUr J . S'Al", 01 "lr"in

tlHl.t

z
y

pcosO
psin8

(1.73)

In the Eucl idian space, a ny point M can t hen equally well be located ei ther by a.
sequence of values x, v, Z or by the ~uence p, O, z called "cylindrical coordinate of
pomt M ". A set of coordinale tines (Fig. 1.5) is dcscri bcd , consisting of straightlines
lile O/M (fJ and:: constant, p variable), PH (p and O cOllstant , z variable) and drclcs
of radiliS O/M (p and z constants, 9 variable). In each point of the space it is tben
possible t o define a local reference frRlIle of basis 9", g" g, such t hat [~(gq. 1.72)]

+ s iu O,
-psin O~ + p cos 9Fy

9,
ff.
g,

c060r

(1.71)

i,

'z

-'U

O'

"

' ;

fi; . 1.5. Cy li ndrit'1I1 coord inalc syslcm.

Arno ng these three vect.ors,

5,

Iff,1 ~

is nol unit vector (its norm is equal to p) .

1

Iff.1~ p

Iff,1

~ 1

(1.75)

P a re l .

24
'fhe

:; ~I ai n

o( c(meimro u. Ined ia , BlI.! ic

"f~ch a n ;e~

te n:r.or a.:>1IOciated with tiJe 1I0 n P,ud idian bMis

gp, g/l, 9.

C(J II Cl:'p~

is called

"tensor oCna t ural strains" . 11. does nol correspond to t he physical o ne sinct th e lJ(ulS
is not unil vedeTS. Qfie can deduce the compone nts of Lhe physical si raio te nsor ("'1
from t hose oCl ile natural slrain tern;or ':, by lhe relationship

(1.76)
In t he case of an ort hogonaJ a nd u ni ~ vedors local referente frame, the n a~ ural
components are equal to t he physical components.
111 Lhe case oC cylind rical coordillates, one can tbererorc defin e a sLrain tensor
(associated wiLh l he local basis c;,. " ez ) suth lhat
[ <"

e"

f =

<.,

".". ]

<"
<u
<

9'
e,=-

p = gp

( 1.77)

<..

i',.

:= ~

( l.i8)

Oue can also determine Lbe differelll ial equations connecting deformations and
displacement in thc case of cylilldrical coordi nales by calcul atmg t he symmctric part
of t he displa ccme nt g rad ient . Qne is led to t lle classical equatio ns (for demonslration
se<: Germain Vol.I pp. 383-387).

= -

f;p~

1.9

1 811,
Vp
Cu=--+P !JO
p

8"

pp

8p

_~2 (8"Or + 8,.)

8p

_~(8',
~8,.)
2 {};, + P 88

C,z -

EQUATIONS OF COMPATIBILITY

Equal io ns (1. 56) make it possible to establish rel ationships between lhe strains
known as "com patibili ty equ alions". Indeed ir o ne considers Eqs ( 1.56) th a t fo llow

!~~

="2

(8U8y + :r8, )

and if a ne derives t hem twicc such as

8'!u

8y'
02!$

{J2!~v _ ~

= 83 u
8%Oy~

1(

~ ="2

0%' - Oy{}:r"l

fFu

8:r8y2

lJ 3

v)

+ Oy8;r."l

25

Ch ...pter 1. Stat", of stra.ill

one obtains the equality

(1.80)
One could show similarl)'

(1.81)
2

8 ,'I

OZ2

+ 02~z = 2 Oy
011 2

(1.82)

oy8z

Three other compatibility equations can be obtained

(1.83)

that is,

8
= .!!.... [~ 8(:,.
8y/Jz
82:
8x
2

e:&:&

+ {)f;,,~ + /J'r y]
8y

oz

(1.84 )

One oould show similar!y

(1.85)

(1.86)
The compatibility equations show that the strain field must be continuous (since
derivable two timesq across the medium. Their physical significance is clear: the
state ofstrain in a point (or in a smal l volume e/ernent) must be compatible with the
strains of its ncighbours; the compatibility equations characlerize conlinuity oC the
matter.

BIBLIOGRAPHY
DRAGON , A., Plasticit et endommll'gement, cours de ttoisieme cyde, universit de
Poitiers - UER Sciences. ENSMA 1988.
JA EGER, J.C., and COOK, N.W.G., Fundamentafs 01 rock mechanlcs, third edition,
Chapman and Hall , London , 1979.

26

Part 1. Mech/Ul;es o( cont;nu<lUS roed; . BM ie conccp ls

JEA N-PERRIN, el. , ln itiation progn s.sive aH calclt( j ~ nsori d, Ed . ElIipse, Ecole Polyt.echnique , 1987.
CERMAIN , p" M can ique, Vo l. T, Ed. El lipse, Ecole Polyt echniquc, 1986.

CHAPTER

State of stress

2. 1

INTERNAL FORCES AND STRESS VECTOR

Let us consider asolid in equilibrium under the Retioo oC external force5 distri buted
on its external surfa.te. We neglect presently body forces , forces of inertia and moment! of forces. Let us cut this solid by a surface (Fig. 2.1) and el us take as p08itive
~hc external side of the section and negative Lba.t situated towards the remaining
material. The sold can only remain in equiJibrium ir one applies 10 th!! positive side
of the section, Corces wbose resultant ir is equal to that exerted previously on the
removed part of ihe body. We define the stress vector fin aL point M oC the section,
such tbat

(2.\ )

The elementary force dP" acting on the infinitesimal surface dS whose externru
normal is is therefore such that

With resped to a Cartesian reference frame x , y, z the stress

rcprescnted by its three components u.,,, , (J'l/'" (J'zn t.ha.t i5,

p..

L (J"nei

in wbich ii are the vector5 of.the Cartesian basis.

vec~or

ca.n be

(2.3)

28

Part l . Mechan;u of cOtltiuuo ... rncili . Bas,c (;oncep"

O"zn -',
'.

+
+

dS

(J

. ......... . ......... :: ;.:

,
rilo 2. J. Defi nilion o lhe slreu ,,tor .

2.2

EQUILffiRIUM OF THE ELEMENTARY

TETRAHEDRON 1

The stress vector is fl ot representalive o lhe mechanical state in a. point of tbe

material. We , hall show t hat the com plete st ress state is represented by a. set o f tbrce
tres, vectors on three perpendicular planes.
Far l his purpose let. llS consider (Fig. 2.2a) a coordtnatc syst.em x , y , z. On each
coordinate plane tbere acts a stress vector that is

p. . = u"re" + ullzi', + qu~

Py = uryez + Uyye; + (T~!I~
p~ = uu~ + uy,ell + uui.

(2.4)

We may now write lbe statie equilibrium of a.n infinitely small tetrahedron OABC
( Fig. 2.2b) . This will be writLen in 1\ vectorial form

t. A foz

+m

P, +11

P. ::::- A Pn

(2 .5)

IThi. demonl~T.~ion neAIKL5 Ih~ praence o f body fOf'CetI ..nd fOf'C6 of illuti ... Ooe c..n "how
lhal in a f,eoeroJ CNe the resulu aTe Wlmodilied. lile V(!lIlne of Ihe ~tlrahedrOJlle "dio, more rapidl y
lo,..ard. ero lh..n iu exluooJ surf&ee.

Ch .pter 2 . S t.ate of.!tre.l'

,
(J

I
i/

(J

:
!

UyZ

..................... .

"

l 'y

........
.. P"

,.....

~_ ......

..

fl: Z.Za. Co mpollefllS o r

SU-C S>l

,",cc: lO l"S

on coor dl na l t pllllltll .

where t, m, 11 are the di rector cosines of aJld A the area of triangle ABe.
By identify ing in (2.5) tbe coefficiente of~ , e~ and e~ one obtaine the three
equations

..

a,o

(l"OJr

t + (T",,~m + O'"r . n
t + (TuI/m + (T~ .. n

a,o

(Tu:

"

(Tn:

+ (T~~m + O"un

wh ich can also be written

Pn =e

(2.6)

with

(",.
an
a,.

a.,
a"

".,

an

a"

aH

(2 .7)

-"

r----*c--I~

}'

,
FiC Z.2b. Equihbrium of lhe element!lry tclrnhedroll.

Tbe stress sta~ in any point of the sold is then represented by a tensor oC tbe
secand arder known as "stress tensor". The quantities appearing in the tensor are
called stress compoMnts" . The dillgonal compone.nts are called "normal slresses";
they are pOIIitive ir tradions. The non diagonal componenLs (0"" with -#J) are on t,he
aLher haDd called sbear slresses. The koowledge oC this tensor makes it possible Lo
calculate t he stress vedar on any face! passing lhrough this point..

2.3

CONCEPT OF BOUNDARY CONDITlON

In each point of the external surCace oC the solid the equilibrium cand itioD must
be respected . Thus. ir F is the surface force apptied on the houndary of the solid
and ir repreaents the cxternal normal to this BUrrare, in any point of this external
surfa.ce one has

F = e . M E S
This equat.ion is known as boundary condition. Eq. (2.8) SboWB that
application betwecn F and .

~ is

(2.8)
a linear

Chapler ,. SCate 01 s'reu

2.4

MOMENTUM BALANCE
EQUILIB RIUM E Q UAT IO NS

From thc moment.um balance one can deduce a first. property oC tbe stress tensor.
This fun dl\rnental principIe (see lnt.roduction) can be writLen

(2.9)
Ir one assurnes tbat the external (orces are both sur(ace forces F applied o n .. he
e:tlernaJ boundary and bod)' (orces (gravity for uample) , Eq. (2.9) can be written

(2.10)

Iv

ABsuming m ass conservation (i .e. djdt

pdV = O), taking acoount o( (2.8) and
app lying the divergence t lleorem to the surface integral one obtains

1.

di!
p-dV
=
dt

1.

V' !ZdV+

1. v

(2.11)

/dV

or loeally (in other wo rds at any point of the salid) i( one extends the above formula
l o any volume V
_
d
"\l.!?: +f=P

(U, )

dt

When tbe body Co rees

(:U 2) is reduced to

CM

be neglect ed and when l he nertia effecls are negligible

'V. !Z = 0

(2.13)

o,
{}d u

&
lJtr,,,,

&
lJ(T u:

&

+
+
+

3:,
Tu
8tr

lJ(T 1/"

Tu
lJtr. ,

lJus~

+ &

lJtr 11 %

+ &

Tu +

{}tr u

a,

(2.14)

These equations known as "cquilibrium equations" must be vcrified in any point

oC tbc solid.

2.5

KINETI C ENERGY THEOREM

Assuming j = O in Eq. ('2. 12) Bnd multiplying eacll mernbcr by , (displacement

vee.t.or a' Lbe considercd poinL) we ob Lain
_( ~
)
dv _
u , v !! :;Pdt - u

(2. 15)

Observing tba'
i] . (V

2") == 'V . C,!!) - 2" ; (\7 )

aCter int.egration on the volu me V of Lhe solid, one obtains

(1.16)
Usiag lhe dassical properly

l!:

(V' l u)"' dV

(1. 17)

1 (2 .:)dV
and applying the divergente theorem to the first !.erm oCLhe left hand member one i5
led to

fs (2)iidS- 1(2f)dV ~ 1p(~~)dV

(2.18)

e l takin g account oC(2 .8)

(2. 19)
The fi rst term of the leCt hand member rep rcsents Lbe acLion of the exlerna! forces
through Lhe displacemenLS oCthe ex ternaJ sur(ace, Lhe second Lhe acUen ofthe internal
forees, the tl'lird on the rigilt hand member, lhe action of the forces of ncrLia. Thi!! is
a. diroct oonsequence of the rnomentum balance. (2.19) can also be written in tcrms
of energy tate. For this , one derives it with respect to time (the rorces are supposed
to remain constant )

fs F ;dS- l<~ ~ )dV = 1p (~~);dV

(2.20)

'l'he last form reveaJs the killetic energy rate since.

J. (dV)
v

P -

dt

. tlaV = -d

J.

1
_pv'ldV
= K.
div2

(2.21 )

ChapCer~.

33

S'aCt o( . Irea

Tben, one finally obt&ins

(2.22)
where

P~Z I

2.6

THEOREM OF KINETIC MOMENTUM

SYMMETRY OF THE STRESS TENSOR

and P;nJ are respectivel)' tbe ene.rgy late of external and internal forces.

Up to now we. have only vcrified the momentum balance.

It is also necessary tbat the resulting moment around each coordinate axis, in &Il)'
point af t he solid, be nil.
Lel us cansider an infinitesimal cu be of m aterial and obser ve thal on1y the COInpanenla acting in ea.clJ of the planes (shear components) are able ta aeate a ratatian.
Around z axis, the couple u wz tends to create an anticlockwise rotation while t he
couple U zw creates a clackwise retatlan. The resulting momentum around axis z can
then be written (Fig. 2.3)

(2 .23)
The momentu m equilibrium can tben be wri tten

(2 .24)
T he two otber equilibria (around z and V) would similarly Icad ta

(2.25)
Tbe momentaequilibrium shows that 2' is a sy mmctrc tensor. Two basic cansequences can be deduced fram this proper ty.

2.6.1

Invariant quadratic form

lf!! ia the stress tensor expressed in reference frame xyz and ji (P. , P,I , P.) any
vedar expressed with resped to thiB Btlmtl re{eren ee fl'ame, the qu1l.d.ro.t.i.c fo rm

112' ( Pz,P,JtP. ) =
+20'zy p. f1~

un:P~

:.

+O'noP, +uup.

+ 'luz. PzP~ + 'luy.P,P.

(2.26)

is invariant (in o thcr words independent o r the coordinate system ). Eq. (2.26) <an be
put in a matricial form

(2.27)

34

;(!..

u.

---_. -- ------_. --------;f--o

dy

.,)"---------------"'

Fil"_ 2 .J. Theorem oC the kinetic momenlum

(symmeu')' of the stress tensor).

2.6.2

Diagonalization of the stress ten sor with

respect to its principal directions

2" being symmetric, t here exlst three values 0'1,0"2 . (13 diagonalizing the tensor
when expressed in a specifi c set ofaxes named principal directions. Tbey are roots of
t.he characteristic equation
(2.28)
where 11, I'J, 13 are three invariant8 such that.
l

l7 u :+U.... +(Ju

12

-(Q'y~O'"u

13

U.,rO'n(1u +20"y.orzU,.. .. -

-O'"y~cr~r

+ l7u
-

tT:u

+ O"rrUyy) + U~ , + (T~., + O';~

0" ..... 17;.

Uuu.,y

0"10 (7 ~, (13 are called prin,jpal strcsses. The tensor ~ can theo be expressed

(2 29)

35

U,

~;;
In a plane perpendicula r to
stress tensor at e thus nil.

2.7

&

(2 .30)

principal direction, the shear components of t hc

CHANGE OF C ARTESIAN REFERENCE FRAME

Givcn a coordina te system z, y , z wi t ll respect to which Lile statc oC stress al

poinl O is representcd by a ten80r !! . Let us consider anothet orl hogonal unit vectors
coordinate systern %
', 11 ,r wiLh a new basis j, ~, i':;, such tba1.

-,= " ne,

,

~ r ijej

(2.31)

where ~ (; = 1, 2,3) are lhe buis vedors of lbe first coordinale system . In (2.31)
in lbe previous basis.
l he P" are t be components of vector

i:

(2.32)
'fhe change oCCartcsian ,eferencc frame is lben defi ned by a malrix f (nKessa.rily
orthogonal).
Following l he defin ition oCa malrix

T=T,;(,,'))

(2.33)

one can easily show that tbe relation;hip between Lhe stress tensor !'!' (wit h respect
to x' , rI, z') an d ~ is such thaL

~.=

2.8

e .~ .'f

(2.34)

EQUlLffiRIUM E Q U ATIONS
IN C YLINDRlC AL C OORDIN ATE

As for the strain tensor (see C hapter 1, Eq. ( 1.74)], in cylindrical coordinates, one
introd uces the orthogonal (but not neusslltily un it vectors) 10caJ refelence f,ame g"
g, , ~ .

The sute of stress is then represented by the physical tensor

(2.35)

36

Part l. Mechllnics o( cont; nuous medi". Ba.sic c<mcepb

in which

is known

pp

116

radia.! stress and

q"

<1:>

tangentia.l (or ortboradial) stress.

They are respect.ively parallel to the vectors gp and ffe. Similarly (Tu is parallel te g~.
The equjlibrium equation can be established by ca.lcuJating the divergence operatcr
in cylindrical coardinales. Dne is led to ihe cJassical equations
1

aUpB

U'pp -

+ '7i8 +

+ "P8e +
+

1 OUI8

, ue

1 OCT,.

2 .9

(1"

P
lTp6

P
p

(2.36)

STRESS TENSOR IN LAGRANGlAN VARIABLES

Up to now, we have used, withoul specifying, an Eulerian description since tbe

Cauchy's stress tensor q: relates a current force to a current area incremento
lt can be useful te describe the stress concept in a Lagrangiall configuration. The
simplest way to define a "Lagrangian stress tensor" is to staft (rom the exptessioll oC
the internal energy rate whi ch musl, of course, be independent of the representatiou.
Given
this quantity expressed in Eulerian variables and pl the same quantity
expressed in Lagrangian va:riables. In an Eulertan description this is written

P.e

P.e = in which
that is

f(~ ' P)

dV

(2.37)

ia lhe symmetric part or the velocity gradient (see Chapter 1, Eq. (1.30)1

D=!(K+'K)

p,E=_ f~'

Ir Va

(2.38)

[~UH '!!" )ldV=- !<ZI!)dV

(239)

s the volume in lile unstraineu state, one has [Chaptcr 1, Eq . (1.15)J

V=J Va

E
p=
-

Now,

2 -

v.

dV=JdVa

IS=ff-1

(,

J=detfE

(2.40)

IEq. (1.28), eh.pt., IJ

(2.41 )

dV,

J~:t

(2.42)

being tile velocity gradient in a Lagrangian transformatiolL one is Icd lo

U =Jrzff- l

(2.43)

37

Chapter 2. State of stress

that is
(2.44)

U is known as the mixed "Piola Lagrange" stress tensor. Its physical meaning
clearly appears in Fig.2.4. Whereas the "Cauchy" stress tensor represents the action
of a current force f on a current area increment da (normal to ), the "Piola Lagrange"
stress tensor represents the action of the same current force f on the initial area
increment dao (whose normal is o). This fact appears clearly in Eq. (2.44): U.t.f is
(like l!), purely Eulerian whereas tE is a mixed Eulerian Lagrangian tensor so that
TI has to be mixed to balance
This is the reason why U is nol a symmetric
tensor.

fe.

--.

a)lnilial un9lrained
configur alion

::--__ .~ T

b )Currenl str ained

configuration

Fig 2.4. Geometrical represenlalion of lhe

Piola-Lagrange and Cauchy stress tensors.

The energy rate o the internal forces can be expressed then in Lagrangian configuration that is
(2.45)
Equation (2.41) has the disadvantage of using the velocity gradient. Furthermore

U is a mixed non symmetric tensor. One can obtain a more homogeneous formulation
by defining the "Piola-Kirchoff" stress tensor. Indeed

39

Chapter 2. State of stress

(Jyx
(Jxx

Fig. 2.5. Plane slale of stress.

..

Fig. 2.6. Equilibrium of lhe lelrahedron.

tr

This latter equation makes it possible to calculate on AB the norma.l component

and the shear component T.

Chapter 2. State of stress

41

Two diametrically opposed points on the circle are then representative of the
state of stress on two perpendicular facets. We may note that on these perpendicular
facets, the shears are opposed (but of the same sign). We may further note that for
a hydrostatic plane loading (0'"1 = 0'"2), Mohr's circle is reduced to a point.

BIBLIOGRAPHY
GERMAIN, P., 1986, Mcanique, Vol. I and TI. Ed. Ellipse, Ecole polytechnique, Paris.
JAEGER, J.C., and COOK, N.W.G, 1979, Fundamentals ofrock mechanics, 3,d edition,
Chapman & Hall, London.
LEMAITRE, J., and CHABOCHE, J .L., 1988, Mcanique des matriaux solides, Dunod,
Paris.
MUSKHELISHVILI, N.I., 1977, Some basic problems of the mathematical theory of elasticity, reprint of the 2 nd English edition, Noordhoff international publishing.

44

3.2

Part l. Mechanics o( continuous media. Basic concepts

FIRST PRINCIPLE OF THERMODYNAMICS

Let us consider a transCormation during which one subjects the system to a variation oC internal energy AU by modiCying the kinetic energy oC its partic!es. Experience shows that only a part of this variation of interna] energy carries out mechanieal
work. In order to satisfy the fundamental principie oC energy eonservation, one has
to imagine another form of energy: heat. The physical interpretation is simple: if one
nereases the velocity of the partic!es, one also inereases the frietions between partic!es from which results an energy loss by heat dissipation. Dnder these eonditions the
energy balance can be written
AU

= AW+AQ

(3.1)

A W representing mechanical work and AQ the quantity oC heat furnished to the

external medium. If, in addition, in the eourse of transCormation, the kinetie maeroseopic energy oC the system is modified (this energy being brought into the system is
to be put in the leH-hand si de) Eq. (3.1) can be written
AU

+ Al(

= AW + AQ

(3.2)

in which Al( is Lhe variation in kinetic energy of the system during transformation.
One has to differentiate c!early the microscopic kinetie energy of partic!es which define
internal energy from kinetic energy which results from a maeroscopic motion of the
solid. The incremental form of Eq. (3.2) can be written

d
dt (U

in whieh

3.3

vV.:!

+ K) =

..
W e.: t

+Q

is the power of the external forces and

Q the

(3.3)
heat fiow.

SECOND STATE FUNCTION:

ENTROPY OF A SYSTEM

The first principie of thermodynamics alone is noL sufficient to explain the transformation of a system. Indeed, experience shows Lhat in the absence of any exchange
of heat or work with the exterior an isolaLed system is able to evolve.
The most classical experiment is that of a container of volume 2V shared between
two compartments A and B of Lhe same volume V, separated by a screen pierced with
a pinhole. If initially, A contains a gas and B is empty, the system evolves and the gas
spreads spontaneously throughout the pinhole until the pressure becomes uniform or,
which is equivalent, until the number of particles is equal in A and B. This so-called
equilibrium state is irreversible, since the system never reverts spontaneously to its
initial state (by spontaneously is meant without additional energy supply).

Chapter 3. Thermodynamics of contnuous media

45

The problem is therefore equivalent to that of the distribution of N particles

between two compartments A and B.
Now, the number of possible combinations for placing n particles in one compartment and N-n in the other is such that

N!
W 71 = ---:-;-:-:-----:-:
n!(N - n)!
Jt can be se en that \lVn , known as "complexion number", is maximum for n = N /2.
In other words the system always evolves towards a state in which the complexion
number is maximum.
The equilibrium state of a system is therefore a state of maximum probability.
The entropy of a system containing N particles in any state (i.e. not necessarily
in equilibrium) is by definition

s = k en W"

(3.4)

in which W n is the complexion number of the system and k a constant known as

Bo!tzman's constant.
In the equilibrium state, the complexion number will assume its maximum value
Wo so that the equilibrium entropy will be equal to

s = k en Wo

(3.5)

This shows us that the evolution of a system towards an equilibrium state is

always accompanied by an increase in entropy. On the contrary, the entropy of a
closed system in equilibrium is stationary.

3.4

SECOND PRINCIPLE OF THERMODYNAMICS

These considerations enable us to state the second principie of thermodynamics

by postulating the existen ce of a second state fundion S known as entropy such that

dS> dQ
- T

(3.6)

in which T is caBed the absolute temperature of the system.

The second principie thus enables one to define two fundamental processes:
(a) Irreversible transformations: these satisfy Eq. (3.6) with the supersc.ript sign
meaning that they cannot be reversed. This will be the case for plastiClty.
(b) Reversible transformations: these represent the ideal Jimit case for which
Eq. (3.6) is an equality. They can be reversed which means that the system can revert to its initial state by returning all the energy it has received
during transformation. This will be the case with isothermal elasticity.

46

Part J. Mechanics ol continuous media. Basic concepts

3.5

FREE ENERGY

It is possible from U and S to define other state functions. If we imagine an

isothermal reversible transformation (T = Const) without variation of macroscopic
kinetic energy, the two principIes can be written respectively

dU

dWext

dQ

TdS

or by substtuton of dQ
diJI

= dWext
iJI = U -

+ dQ

(3.7)

wth

(3.8)

(3.9)

TS

known as free energy of the system. This s a state functon in the same way as U
and S.

3.6

ENTHALPY AND FREE ENTHALPY OF A FLUID

Three fundamental concepts define mechanically a perfect fluid:

(a) Zero tension resistan ce.
(b) Zero shear resistance.
(c) Normal stress equal in al! directions.
These properties show us that a fluid possesses a stress tensor such that
~

-p
(

O O)

-p

-p

in which p is the fluid pressure (the minus sign shows that this relates to compression).
Consequently the force exerted on an external element of surface dS of the system
will be equal to

d] = -pdS

(3.10)
-->

If one displaces this force by an element of length di (parallel to ) one reduces

the volume of fluid, ana the work carried out (at constant pressure)
-->

dWext = -pdS di = -pdV

(3.11)

If one again assumes the macroscopic kinetic energy to be zero the first principIe
can be written for this isobaric transformation
dH =dQ

(3.12)

47

Chapter 3. Thermodynamics of continuous media

with
H

= U+pV

(3.13)

H is known as the enthalpy of the system. It is also a state function. In the same
way one can define the free enthalpy of a system by defining the state function
G= H-TS

3.7

(3.14)

SPECIFIC STATE FUNCTIONS

All the state functions can be reduced to the mass of the system. One spea.ks then
of specific quantities written u, s, h, "p, g. If p is the density of the constituent of the
system (assumed to be unique), one will then have for example

u = PUdV
We should note that the specific enthalpy of a fluid can be written

(3.16)

3.8

STATE VARIABLE AND STATE EQUATION

Experience shows very clearly that three variables influence the behaviour of a
fluid (except chemical phenomena): volume, pressure and temperature. It would
seem judicious then to choose these variables when describing the state of a fluid. In
fact, these variables are not independent: it is known for exa.mple that if one heats
a fluid while maintaining its volume constant, its pressure increases uncontrollably.
One therefore has to admit that these three va.riables are linked by an equation: the
state equation, which is generally written
f(p, V, T)

=O

(3.17)

The function f must be determined experimentally: it defines the behaviour of

the system. One therefore speaks of a "constitutive law": it must obey the thermodynamics principIes, but only experimentation makes its determination possible. The
subjective choice of state variables determines then decisively the expected results of
a constitutive law.

3.9

TOTAL DIFFERENTIATION OF STATE FU NC TIO N

St.ate runchons are generally Ilot ac.cessiblc t o experimentation . Ho weve r con51der ing their total diffcrentials one can deduce ccrtain irn portant propert.ies from Lhc m
and define uperimentally measurahl(" coefficients.

3.9.1

Calori met ric coefficients

Ir o lle caU5eS the tem p<:rature o f a system t o rise fro m T to T + dT al con~ ta.Jlt
ptessu re, l he ncrease in temperature is accompanicd by an i"<.rease in vollJm e. M o r~
Qver, ir thc ma.."-S of the syslem lS m , it is observed t hat l ne quan~ ity of heal recei ved
by the 5ystem is more al lcss, in a [ange oC re&sonable t.emperalures, prop orlloua l to
lhe increflSe in tempe.rature, thal i5
(3. l8)

dQ:::: mCdT

in which e W l IJe specific !leal o f the fluid .

lf one assumes that tlle pressure work is the only t;O urce o f rnechanicaJ ~cJa n ge
with thc exterior , th e first prillciple can be wrj tten

dU == mCdT - 1xi\'

(3. 19)

Equation (3. 19) sh ows us that

j5 only determined jf one k.now8 t he type oC
transformation; consequently, it is theoretically possible to d efi ne an infinity of specifi c heats associated with each transform at ion . UsuaJl y one defin es t wo d ifferent
specill c beats corresponding respcctively to l:Hocesses a L constant pressure alld con stant volllme. Let us calculale firs t the perfect clitTerential of U considcring T and V
as stl.~e variables,

dU ==

BU)
(BV

dV

+ (8U)
aT v dT ==

(3.20)

mCl - pdV

Ir one assumes 3n isochoric transforrnation (dV ;:; O), o ne obl ains

Cv ~ ~ (8U)
oT v

(3.2l)

On Lhe othe r hand, let us now differen tiate H, co nsiclering p and T

variables,
dH::::

8H) T dp+ (8H)

8T
(7iP

dT= Vdp+mCdT

lL9

sta.tc

(3.22)

assuming an isobari e transformation (dp == O), ont" obtains

eP == ~
m

(81/)
8T ,

(3 .23)

For obvious rea.qons, Cv is known as specific heal at eonst ant vol ume and Cp
speciftc heal. al. constaul pr cssu rc . ThcorcticaIly thcy dcpcnd only Oll thc fl L d considered.
It is also possible to connect specific heat al. constant pressu re and entropy. Indel.,
in lhc case of a reversible transformation

dQ

TdS

(3.14)

or taking aceounl of(3. 18)

meclr:::. TriS
~1 orcvcr

(325)

comjrlering T and p as fltate variables, lhe lotal diffcrcntial of S can be

writtcn

dS=

(~;)p dT+ (~~')T dp

Irolle assurnes an isoLari r transfor m atioll (dp = O),

(3.2&) and (3.26), one obta;ns
~
m

3 .9 .2

e=

(3.'6)
C p and , by identi fyi:Lg

(DS) _C,
ar

(32 7)

T h erm oe last ic coe ffic ients oC a fluid

Depending on whether one chooses the pair of state variables p - T , p - V or

V - T , ane can define three different transformations and one associat.es with each of
lhem a differellt lherm oelastic coefficLent:

(a) Isothc l'nla l com p ressio n (p and Vare state variables)

In tiL is case Oll': defi nes the bu lk modulus of thc fluid /{J such that

(3.28)
lhe minus sign indicating t.hat an increase in pressure creat.es a reduct.iolL ilL
volume .
(b) b obaric h eating (T and Vare st.ate variables)
In t.his case one defines the volume expansion coefficient cr J of lhe fluid sll-ch
that
d\l = VajdT

(3.'9)

(c) I soch o ri c h ea t in g (T and pare state variables)

One defines tiLe coeffi(".ient X SUCIl that

dp ~ PXdT

(330)

50

P.rt l. Mecha.n iu 01 con,inuc>us mema. B ... je conc" p t,.

We may note that each of t he Eqs (3.28) (3.29) and (3.30) can be expressed in tbe
form of partial derivative!!I since they correspoll d fOI each special case to a well-defined
Lransformat ion
_1 =
KI

3.9.3

_~
V

(av)
8p

01

~
V

(W)
liT

x= ~(ap)
p

liT v

(3.3 1)

Further equaliti es between partial derivatives

At this stage it is useful t o deri ....e a few remarkable equalities by exploiting the
Cauchy Riemann condition fol' a funetian F(z, y), that is

dF ~ Pd<+Qdy= ap ~ aQ
.

By

(3.32)

()x

Ca) p and Tare chosen as staLe variables

dS =

(as)
OT

d'F +

(as)
op

dp

(3.33)

From t he Cauchy RiemaDIl condit ioD ane obtains

(3.34)

Similar ly
dH = Vdp+ TdS =

[v+

(~!)T] dp+ T

( : ) p dT

(3.35)

dH being a Lota! differenlia! the Cauchy-Riemann condition induces

(3.36)

wbich eads afier dcrivations aud identificatioll wiLh (3.34) lo

(3.37)

(b) V and l' are c.bosen as s t ate variables.

The same reasonin lIsing internal energy U instead of ent nalpy H would lead
lo th~ equality
(3 .38)

51

Chapter 3. Thermodynamia of continuus media

3.10

EXPRESSION OF A FLUID ENTROPY

The definition of the various Ihermoelastic and calorime~ric coefficients (accessibJe

to measuremellt) makcs it possible to express state funct.ions such as entropy , interna!
energy or free energy. If we choose p and T as statc variables the pcrfect differential
of S c.an be wrltten as

dS = (85)
dT (8S) dP
8T
,

+{)

(3 .39)

P T

takin,ll; account of(3.27) (3.31) and (3.37) one is \ed t.o the expression
dS=
()f

Cm

~ dT-aVdp

(3.10)

hy d ivirling the t.wo memhers hy m

al

ds= -----.EdT- in wLich,

oS

dp

(3.41 )

is lile specific eIltropy and p lile fluid demity

B. CONSTITUTIVE EQUATIONS OF SOLIDS

'rhe behaviour of solids should be consistent with thermodynamic res t.rictions and
the balance equations, but, as we shall see, thermodynamics can only provide "cl ues"
regarding constitutive equations. Jt is up to thc experirncntcr to choose judiciously,
l.he state variables for ol.fH<rwise tiLe behaviour he oblains will he aberrant. Tne
phcnomenolog ical aspect is thercforc the necessary adJund to corred rnodelling or
behaviour.

3.11

THE FUNDAMENTAL INEQUALITY OF

CLAUSIUS-DUHEM

The two principIes of thermodynamics can be combined in an inequality: the

inequality of Clausius-Duhe.:n. First we shall write the di fferent conser vation laws.

52

Pan l. MedJ ... n;a 01 co:mt;nuow media. Basic -COl>CepLt"

3.11.1

Mass balance

Ir pis the solid density and V its volu me, it can be written

(3.42)

3.11.2

Momentum conservation

This hllS been expounded in various forms in the InLtoduction and in Chapter 2.
1t expresses the conscrvation of mechanical power in the form (Eqs (2.20) and (2.22)
- in the absence of body forces)

F iJdS -

[ (rz :{}dll = i<.

(3,4')

We ndopt Lhe hy pothesis of small slrains (~ is the strain velocity tensor).

3.11.3

First principie of thermodynamics

"fhis is writlen in a local form

(3,41)
in which Pt r l is the po wer of t lle externa! forces and Q the heat ratc . Thc hcat rate
con 1ains 111'0 terms: an intt'Jllal source contained in V and the eonduction heal fl ow
(only this mode of transfer is envisaged al present) through the sali d surfacc S, t hat

"
Q=

Iv

rdV -

fs if

(3.45)

dS

in which r represenls thf': Internal heat productioIl per uni t of time and vo!ume and
q lile heat flux per unit of me, being lhe external no rmal to the surface . we
introduce the specific interna! energy ti (see Eq. (3.15)], by eli minating i< belween
Eqs (3.43) and (3.44) and taking account of the rac~ t hat

Ir

Pw =

(3.4S)

idS

in tbe abk nce of body forces, one obtains

!!.. { pudV = r (~ :f

)dV

rdV _

r q - dS

(,.47 )

dtJv
Jv
v
J...
By applying the divergence t heorem lo lhe las! t(!fm oC the right-haod member ,
tlle local statement relali\'c to (3.41) is

53

ptl~U

.t +r-'V q

(3.48)

in wh.,ich is the deriva\.ive of u with tcspect 1.0 t ime.

3.11.4

Second princ ipie of thermodynamics

Its genera! expresslou (:.U:i) can be clarifled by tak lng account of(:i .45) 10 the form

J.' 1.

qd
S
- dVdt-vT
sT

-dS >

(3.49)

or by ntroJudog s pedlk. entrop)' a nd hy applyi ng Lhe di\'ergence theorem to t bc

surfacc nt.cgrat of (3.49)

ds
ri r
Pdi+ 'V ' T - T~O

3. 11.5

(3.50)

F\mdamental inequality of Clausius-Duhem

Lel us extracL r from Eq. (3 .18) and replace il in (3.50). One obtai ns

d,
dI

p-

[pu- u { +'V . q1 >O

+ \l Tf_-.!.
T
- 'J -

(3.51 )

Observing thaL

V.

(f) = T'V q-if

'V T
T'
T

o ne can write (3.5 1) in the fOlln

P [T

dS
dl

dh] + 2: : t
dt

-,- .-'VT
>O
l' -

(3 .52)

Let us introduce t he s pecili c free energ.)'

.p =

u - Ts

d lb ::: du _ T ds _ s dT
dt
di
di
dt
one fina lly obtaillS
.

.)

VT

(2: ; f )-P ( t/J+sT -iy?' O

(3 .53) is known as tll e ineq uali t,y of Clauslus. Duhem .

(3.53)

Part J. Mechanics of continu ous media. B.ui c concepu

54

3.12

CHOICE OF STATE VARIABLES

The inequality oC CJausius-Dubem defines the f,hcrmodynamic admissibil ity of thc

system. Al every moment in its evolu tion this has to be satisfied . The lhermodynamic
potentiaJ depends, a.~ we saw in the previous paragraph , on a certain number of
variables known a8 :>tate variables . Th~ variables can be "measurable" but also
internaJ Ol "hidden" onc&. The choice is based on phenomcllologlcal obSo!rvations. It
results then partally rrom the subjectivity of thc experimenter.

3.12.1

The m emory of a material

Any material call have a precise memory of the past, in particular of the irrevcrsibilities it may h'\\'e experienc.ed. This is apparcnt in t lle dassic dio.gram reptesented in Fig. 3.1. A material wiU bchave differcntly depending on whether it has
bel!:n loaded up to point A (no memory) or up to point 8 .
In t his (:asc, during e. future loading the irreversibilities will appear in B and not
in A as previously. In thermody namic formalism one will therefore have te define a
certAin oumber of "memo ry" variables also known as inte rnal hardening varial;.les. As
suggested above , these oons ideralion., lcad us lo envisage two types of slate variables :
the measurable variables a nd the internal variables.

3.12.2

Observable state variables

The state variables truly accessible lo expedmentation are those deduc.ed conventionally from me<.haoics: di.splacement , force, time , temperature. In mechanics of
continuolIs media, the rollowing will therefore be obser vable variables
(a) Tbe st.ate of total strain at any point oCthc system .
(b) The state of stress at any p<oint. of the system .
(c.) The tempecratllre at any poio\ oC the syst.em.
Amongst these variables, experience s hows t.hat one cannot independently control
stress and total stra.in. Two measure.ble state variables enable one to define Lhe sta te,
for example ~ and T, One (:an soow that ihis ch oice prescribes the use of the free
energy '" as a tbermodynamic potential.

3.12.3

Concealed or internal state variables

'fhese intervene in the dissipativc processes and can be dassified in two categories:
1. First, ooe must inlroduce a distinction between reversible-typc strain f..c alld
tbe irreversible one (Fig. 3.1) {p. One introduces an additional hypothesis of

dccoupling of the reversible 3ncl irre\'ersible processes: lile "pa rtitiolli ng rule"
which is writ~cn under the h)'pothesis of sma ll perturbatiolls
(3.54)
Wc ma)' note that in the case of a purcly reversible process (e.lasticitr) f.,e
becomes atl observable variable .
(J

(J

__________~____~___ f

f' ~.

3.1 Cnncept of

"

hard ~n \llg.

2. Lastly, lile va ri ablf'_<; cllaracterizing o ~her dissipative phenomena. These varIables constitute in fael the "memory of tiJe past" . Dne introduces Lhus ViLriOU.\J
irreversib le proceSse3 (Ilardening, damage, rupture) through slate variables Vi ,
'fhey eao be of a sealar Of t ensorial nature.

3.13

THERMODYNAMIC POTENTIAL

Thc state law assumes the existence of a scalar fundion '" also known as "tl1ermodynamic potcntial" function of state variables. \Ve shall see that , cxccpt in purely
reversible processes, tlle knowledge of t/J is insufficient lo complelely define the behaviour of the material. Among all s tale fundions, we chose Lhe spedfic fr ee energy
1/J as potential that is

... =

,J,

...ol-It:-

' T ' t;. f '-tJ' ' v..]

(3.55)

Pan l. Mcchanics of

or taking

i\ c coun~

conlmu o ~

,"edia. Basic COllccpls

of Lhe s l.rain part it ion;ng hypothesis (3 .54)

1!J :: tb k

,T.{" ,V.I

(3 .56)

The fun ction 1/1 being a sti\t,e funaion Dne can caku late its to t.al differential thaL

a"

8.

(3.57)

+ 8T dT + tJ Vt dVt

a"

8(f _ {f') : d({ -

a"

D" dT + av. dV.I:

e) + 8T

8Tj
Jp
EN>
= Oct : df.t + fJrdT+ {jVi dVt

Thc partilioning hypot hcsis enables one theterarc to wrile the deri vative (with
res pect lO tinll!) of '" in lhe form

: _ EN . . ~
1p -

Q{e - ...

8"' 1' fJTj ir,

+ iJT + 8 V. k

(358)

repla.d ng (3 .58) in (3 .53) ;"nd takiug aecou nt of (3.54) olle ohtains

(3 .59)

3. 14

C ASE OF REVERSIBLE BEIIAVIOUR

ELASTICITY

Let us consider a reversible transformation (no irreversible strain i;.P and no evolu tion oC lhe hard ening variables) al. constant a nd un iform temperature ('r = 0,
'V. T:;:: O). In this case Eq . (3.59) becomes equality and yields
8~

~ = p u,-'

(3.60)

One may also consi der the eMe of a reversible t ransformation consisting of a
uniform heating of the soli d. In this case (3.59) implics that

,= -

a~

8T

(3 .61)

60

Pllrt l. Mechllnics of continuou$ medill. Basic concepts

fundion of order zero which means that /{J is homogeneous of order 1 (since !Z is the
derivative of /(J). These properties have fundamental consequences on the formalism
of dissipative phenomena (independent of time scale).
1st consequence

If /{J is homogeneous of order 1 then /{Jo conjugate of /{J is homogeneous of infinite

order.
Indeed, given k and m, the respective homogeneity orders of /{Jo and /{J. /(J and I{)being conjugate, one can write [see Eq. (3.70)].

i;.P :!Z -

taking account of (3.69)

/(J

01{)

which can also be written

8u :!Z-/(J

(3.73)

considering the Euler identi ty l

(3.74)
Similarly one would prove
last two equations to

I{)* :::::; 1{) ( m

- 1) which leads by eliminating I{)- from the

k=~

(3.75)

m-l

The order of 1{) being 1 (m == 1) the order of I{)" is

~hen

inn.nite.

2nd consequence

If there is dissipation, then!Z belongs to a hypersurface I(q: , Ak) == O knowD as

yield locus.
If there is dissipatioD,!Z
o/{J/oi;.P =!l. (e, Ak) in which Q. is a bomogeneous
fundion of order zero that is

(3.76)
which can also be written
(3.77)
,\ being arbitrary; one can choose ,\ such that '\if == l.

The elimination of the

'\i~ ... '\i~ from the 6 equations of the type (3.77) leads to a scalar equation of the

type
(3.78)
lOne of the fundamental properties of homogeneous functions is the Euler identity: if 0(x) is
homogeneous of arder m, then

x 80

8x

= m0

66

Part l. Mechamcs oE continuous media. Basic concepts

O~~~=-

__

~~

________

yield locus

~-_____

P'
Fig. 3.5. Principie of maximum plasUe wOl"k.

![' being any plastically admissible field (f(!!:') ~ O]. Eq. (3.97) alone expresses therefore normality and convexity. It shows that for an associated plastic law, the material
"works" plastically to the maximum limit of its possibilities. Plastic dissipation is
thus maximum.

3.20.2

Uniqueness of the solution (or Hill's theorem)

A further important consequence of the associativeness of the plastic law is the

uniqueness of the solution of a boundary-value problem. Let us consider a certain
volume of material, V. In certain portions of this volume V, the loadings paths
correspond to plastic loading, in another portion they correspond to elastic unloading
posterior to a primary plastic state and, in the remainder to a purely elastic state.
We assume that the present state of stress![ at all points of the solid is known as
well as the yield locus J(t ).
We assume an associated plastic flow rule U == F). Let us suppose that a loading
increment dF (or an increment of displacement dil) is applied to the surface of the
solido The stress increment and the associated strain increment must verify three
conditions:
1. Firstly, the components of the incremental strain field must be kinematically
admissible, that is

(3.98)
in which dil is the displacement increment associated with df .

67

ChapLer 3. Thermodynamics of contnuOU5 media

2. Subsequently, the components of the incremental stress field must be statically

admissible, that is

o
dF

\1. d~
dq: Ti

or

in V
on S

(3.99)

3. Lastly, the components of the two fields must be plastically admissble, in

other words (the condition is written here in terms of increments instead
of particulate derivatives) remembering Eqs (3.89) and (3.90) in the case of
normality, one obtains
df = A
'"

tl :

+ -H
(da : n ) . n
---

da
-

with

H >O

(3.100)

a
a~

in which

-4 el is the elastic tensor.

Let us now assume two sets of increments (d~, df. ) and (d~', df.') that satisfy
the three condtions (3.98), (3.99), (3.100). They are at the same time kinematically,
statically and plastically admissible, and let us consider the volume integral 1 such
that

1{[d~'-dQ"]:
=1{(
1=

[df'-df]}dV

(3.101)

Condition (3.98) enables one to write

1

dQ"' - dQ") : [\1 0 (d' - d)} dV

(3.102)

or agam

\1. [(dQ"' - dQ") . (d' - d)] dV

-1

(d' - d) [\1. (dz' - dQ")] dV (3.103)

The second term is zero [Eq. (3.99)]. By applying to the first right-hand ter m the
divergence theorem, one obtains

1=

[(dz' - dq:) . (d' - d)] . dS

(3.104)

in which Ti is the externa! normal to the solid surface. As on the exterl1al surface, the
loading increment dF (andJor displacement increment) is prescribed

dF = d~ =
dil = d'

dQ"'

on bF

(3.105)

on bu

which means that (3.104) has to be zero, that is coming back to (3.101)

1[(

dQ"' -

d~ )

: (df.' - df )] d V

=O

(3.106)

68

Part l. Mechanics oE continllous media. Basic concepts

To come back now to the constitutive relation (3.100), let us calculate the integrand of Eq. (3.106)
1
(d[' - d[) : (df.' - df) = H(d[' - d[): [(c/d[': 2 - exd[ : 2)2]

+4 el

(3.107)

(d[' - d[) : (dll' - d[)

with

ex

1 if f([ ) = O

and du : n ~O

O'.

O ir f(1l ) < O

or f([ ) = O and d[ :n <o

a'

1 if f('!.') = O

and d'!.' :!! ~ O

a'

O if f(t;z')

(3.108)

or f('!.') = O and d'!.' : n < O

The second term ofthe right-hand member is non-negative (it is a quadratic form).
It is zero for d'!.'
d'!. . SimilarIy the four conditions (3.108) show that the first ter m
is never negative (it is sufficient to test all the combinations to be convinced of the
fact).\
The integrand of (3.106) is therefore always positive except when d'!.'
d[.
Expression (3.106) can then only be zero if d'!.
d'!.' everywhere in V which proves
the uniqueness of the solution.

3.21

CONCLUSION

The inequality of Clausius-Duhem has established the thermodynamic admissibility of the solid behaviour. Two additionnal hypotheses (time independence and
continuity of the strain increment across the yield locus) have enabled us to build a
general formalism for a class of dissipative mechanisms. One now has to determine the
various potentials (thermodynamic potential, yield locus, plastic potential) in agreement with the actual behaviour: experience and phenomenological considerations wiII
guide this choice.

BIBLIOGRAPHY
BOUTIGNY,

J., 1986, Thermodynamique, Vuibert.

DRAGON, A., 1988, Plasticiti et endommagement, cours de 3" cycle, Universit de

Poitiers, UER Sciences - ENSMA.
HILL, R., 1950, The Mathematical theory of plasticity, The Oxford Engineering service
senes.

Chapter 3. Thermodynamics oi contjnuous medja

LABETHER,

1985, Mesures thermiques et flux, Masson.

LEMAITRE,

J., and

CHABOCHE,

69

J .L., 1988, Mcanique des matriaux solides, Dunod,

Paris.
NOWACKI,

W., 1986, Thermoelasiicity, Pergamon Press, Polish scientific publishers.

DUZIAUX, R.,
REIF,

and

PERRIER,

J., 1978, Mcanique des fluides applique, Dunod, Paris.

F., 1965, Statistical physics, Mac Graw Hill, Berkeley Physics course.

ROCARD,

Y., 1967, Thermodynamique, Masson.

Part 11

Mechanis
of materIal strain

CHAPTER4

Linear elasticity
General theory

Many sedimentary rocks display elastic behaviour, in other words, instantaneous

and aboye aH reversible. It seems worthwhile therefore to review certain fundamental
concepts of contnuum media elasticity with a view to extending them subsequently
to saturated porous media. There are many stout volumes that deal exhaustively
with linear elasticity: we would menton in particular the works of Musckelishvili,
Timoshenko and Ooodier, and Oreen and Zerna.

4.1

HOOKE'S LAW

In its original conception we have seen [Eq. (3.63)] that the theory of linear elasticity is based on the foHowing hypothesis:
"The components of the stress tensor at a given point of a solid are linear and
homogeneous functions of the components of the strain tensor at the same pont."
This definition induces automatically the small perturbations hypothesis

-rJ=A:e....
:::

(4.1)

in which A known as "elastic tensor" is a tensor of the fourth order containing

81 compon~nts in the general case. Since!?: and f are symmetric tensors, A only
contains 36 independent components. Because of linearity A is then an intrinsi~ characteristic of the considered material independent of stress ~nd strain components.

, )

75

Ghapter 4. Linear elasticity. General theory

coordinate z. In

configuratiol1 Hooke's first

isotropy)

can now

written,

(4.6)

r+--+~3

,+-+__~2
2

Fig. 4.1. Isotropy with respecl 1.0 pl'incipal axes.

dentifying

and (4.6) one

12 -

A13)

(4.7)

13

so that (4.6) can be expressed in the form

(4.8)
us write
12

=A

(4.9)

All -

Observing that the cubical expansion is such that

+ z + 3

(Einstein convention) one finally obtains

(4.10)

lTl

similar rotations around y

account the symmetry of .Q.)

one would

AH

+ 2J12
+ 2J13

obtain

into

(4.11)

76

Part TI. Mechanism 01 material strain

or in a tensorial form
(4.12)

In linear and isotropic elasticity, the nllmber of elastic constants is reduced to two:
Lame 's constants A and J.

4.3.1

Generalization to any Cartesian system of coordinates

Equation (4.12) can be generalized to any Cartesian reference frame by using the
quadratic invariant form of tensors !! and f..
Let us consider a vector P with respect to a reference frame linked to the principal
directions 1, 2, 3.
The quadratic invariant is then written
(4.13)

or taking account of Eq. (4.12)

nO"- =

.AulPI 2 + 2JP
& . P =

.\tu!?1 2 + 2Jn&

(4.14)

Given now any reference frame x, y, z with respect to which the components of P
"1,(. The invariance of (4.14) makes it possible to write it with respect tO!! and
f. expressed in the new basis, that is after development
are~,

+ O"yy"12 + O"zze + 20"yz"1( + 20"zx(e + 20"xy~"1

Akl; (e + r2 + (2) + 2J (xxe + &yy"12 + &.zz(2
+2&yz"1( + 2:zx (e + 2xy er)

O"xxe
=

(4.15)

By identifying the variolls coefficients of the two members one obtains a relationship identical to (4.12) i.e.
(4.16)

4.3.2

Physical interpretation of isotropy

Hooke's law (4.16) shows that:

(a) Normal stresses generate only normal strains.
(b) Shear stresses generate only shear strains
or, which is identical.
(e) Normal stresses are responsible for changes in volume.
(d) Shear stresses are responsable for changes in formo

77

Chilpter 4. Linear elasticty. General theory

4.4

TIIE COMl\10N ELASTIC CONSTANTS

Lame's constants >. and J.l are rarely used in practice. Other elastic constants can
indeed
defined [roIn
loading

4.4.1

Young's rnodulus and Poisson's ratio

If one a.<;sumes that the material is loaded uniaxially (Fig. 4.2) the only non zero
component of the tensor f! is (1'zz. Eqs (4.16) are reduced to

o =

2l:c:r:

2j.Le yy

>.a

+ 2J.l u

Young's modulus

summing the

(4.17),oIle
O'zz

by extra.et.ing

Poissons's

= a(3)' + 2J.l)

from (4.18) and replaeing in t,he third Eq. (4.17) one is led to

in whch
E = J.l (3)'

+ 2",)

>'+Jl
IS

(4.18)

as ''Young's

78

Part II. Mechanism o( material strain

On the other hand, by eliminating in (4.17) .\ea between one of the first two
equations and the last, one obtains
U

zz

+ 2J.LE. zz

= -2J.LE. yy

( 4.20)

U zz
e yy
2J.L
= - 2J.L-+
ezz
E. zz
that is by taking account of (4.19) one obtains

(4.21)

(4.22)

= .\ /

in which v
2(.\ + J.l) is known as "Poisson's ratio".
Figure 4.2 shows the physical significance of E and v: E represents the rigidity of
the material under uniaxal loading while v represents the capability of the material
to transfer its deformability perpendicularly to the loading. The definition of E and
v enables one to express lIooke's equations in their conventional form, that is

E.x:r; = E [U.,., - v (u yy

1
E.:r:y = 2J.L u:r:y

+ u zz )]

eyy = E [uyy - v(ux:r; + u zz )]

ezz

4.4.2

U yy

exz =

1
- U xz

2J.l
1
E. yz = 2J.L u yz

= E1 [uzz-v(u",.,+uyy )]

(4.23)

Hydrostatic bulk modulus

In the case of a hydrostatic loading, the three normal stresses are identical (uxx =
= U zz = P); Hooke's law will be written

==> E.",,,,

= E. yy = E. zz = E

[P(1 - 2v)]

(4.24)

so that the volume expansion eu is such that

E.a

= J(

(4.25)

in which K = E / 3(1 - 2v) is known as "bulk modulus".

4.4.3

Shear modulus

Let us consider a Ioading path such that

(4.26)
It is known as "pure shearing" and it corresponds to a Mohr's cirde whose centre
is the origino In this case, Eqs (4.23) become

79

Chapter 4. Linear cIasticity. General theory

Cxx

2G

_
Cyy -

(4.27)

(J"yy
20

with G
I 2(1 + being known as "shear modulus" .
One can easiJy verify that G is in fact equal to Jl (Lame's second coefficient).

4.5

FURTHER EXPRESSION
HOOKE'S EQU ATIONS

Hooke's Eqs (4.2;1)

be put
L(J"kk
k

a genel'al form by introducing

(TU

convention)

3
Indeed, the first Eq. (4.23) can be written
Ex"

1+1I

1I

--(Txx -

mean stress

(ITxx

+ (J"yy + IT zz )

311

2G

-(j

or finally in a tensorial form

~J

2G !Z
-

v_

1I

(J"- -

2G -

(4.30)
(J'kk 1

smce Jl

4.6

THE BELTRAMI-MITCHELL
DIFFERENTIAL

A linear elastic problem contains in fact fifteen unknowns, namely:

( a)
sx com ponents of the stress tensor.
(b)
sx components of the strain tensor.
(e) The three components of the displacement vector.
To solve this problem there are fifteen equations:
(a)
equilibrium equations.
(b) Six compatibility equations.
(e) Six Hooke's equations.

81

Chapter 4. Linear eIasticity. General theory

or again by introducing the Laplacian 'V 2

_1_
[8
+
1

(J'kk

8y2

= 82 /

+ 82(J'U]
8z 2

8x2

_ 'V

+ 82

2 (J'xx

8y2

+ 82

8z 2

= O

(4.38)

which can also be written

( 4.39)
Two other equations can be obtained respectively with respect to (J'yy and (J'zz
and, by summing these three equations, one easily shows that 'V 2 (J'kk = O. Finally,
one can derive six Beltrami-Mitchell equations, that is

(1

4.7

+ v)

8 2 (J'kk

'V

(J'ij

+ 8x i 8Xj

(4.40)

= O

UNIQUENESS OF THE ELASTIC SOLUTION

OF A BOUNDARY PROBLEM

Given an elastic solid subjected on its boundary to a force surface field

creates within the solid a statically q.dmissible stress field 2 such that

F.

It

(4.41)

'V2=0

and a kinematicalIy admissible strain field such that

o

['V!2l 17 + t ('V !2l 17)]

(4.42)

The material being elastic 2 and o are linked by the equation

-(J'= A:

(4.43)

:::.-

in which -1- is defined positive.

Given -2' and O' another solution to the boundary problem verifying Eqs (4.41)
(4.42) and (4.43). Given the volume integral
(4.44)
Taking account of condition (4.42), (4.44) can also be written

1=

[(2-d:('V!2l('-17))]dV

(4.45 )

or after deri vation

1=

'V.

[(~'-~). (17- ')] dV

-1

(' - 17) ['V.

k'- ~)l dV

( 4.46)

82

Part II. Mechanism of material strajn

The second integral is zero since the two fields ![ and ![I are statically admissible.
By applying the divergence theorem to the first integral, one is led to

[(![ -

17)] dS

(4.47)

= =

On the boundary one has ' 17 ifJ when displacements are prescribed,
(J'.Ti = f when forces are prescribed.
Therefore, 1 is nil everywhere on the surface and,

- =(J.

![~ . (" -

1{k' - 2"] : k' - ~J }

dV

=O

(4.48)

Let us now introduce condition (4.43) into (4.48), one is led to

(4.49)

The integrand being a quadratic form, Eq. (4.49) can only be zero if t;.' = t;. since
is defined positive. The solution to a boundary elastic problem is then unique.

4.8

ENERGY OF ELASTIC STRAIN

When an elastic solid submitted to externalloads passes from a non-strained to a

strained state, it accumulates a certain quantity of potential energy that it wiII return
entirely if it is unIoaded. In accordance with the first principIe of thermodynamics,
the variation in internal volume energy associated with an incremental variation of
strain df. is such that (in the absence of thermaI processes [see Eq. (3.48)])
pdu = (J
: d- = A:
- : d,...
=::

(4.50)

Between a non-strained and a strained state f, the volumic elastic energy W

accumulated is such that

A:E
'"

1
d = - E : A :
2- '" -

(4.51)

or

( 4.52)
For a solid of volume V, the total accumulated elastic strain energy wil! therefore
be such that

(4.53)

Chapter 4.

Ljlle,~I'

83

theory

THEOREM

4.9

Equation (4.53) can also be expressed as a function of the boundary conditions.

Indeed, ~ being kinematically admissible
W

= ~!vr :(\7 11) dV

1

\7 .

(r. 11) dV -

(4.54)
11 .

(\7 2' = O), by applying

tbeorem to

(4.55)
As on the boundary S

F=2'.

(4.56)

the energy W can finally be expressed by

w =~ f

2 s

4.10

BETTY'

F11dS

(4.57)

RECIPROCITY THEOREl'vi

forces of a first system

displacements of a
to the work carried out
second
system through the
of the first."
Given FI , 111 the first system and F2 , 112 the second.
The work of the forces of the first system through the displacements of the second
is such that
Ql

fs

= Fl 112 dS

(4.58)

tbat is according to Clapeyron's theorem

i ~:

fl

1~:f2

fs F

2l

Of course, this theorem is only valid if the material is elastic.

(4.59)

84

Part 11. Mechanism of material strain

EQUATIONS IN

4.11

physical state of stress

directly express Hooke's

The

pp

89

1
= E

zz= E

In

- V (0'08

+ uzz )]

2p8

l+v
= ~Up8

v (u pp

+ u zz )]

2pz

[uzz-v(upp+uoo)]

2' 8 z

l+v
= -----;0"8 z

[u pp

[0"98 -

l+v
-;-O"pz

cylindrical

(4.60)

BIBLIO
JAEGER

N.W.G., 1979, FundamcniC!ls

Chapman

& Hall.

and LIFCHITZ, 1967, Thorie de l'lascit, Mir, Moscow.

LOVE, A., 1927, Treatise on the mathematica/ theory of elasticity, Cambridge University Press.
MUSKHELISHVILI, N.I., 1954, Some basic problems ofthe mathematical theory of elasticity, N oordhoff International Publishing.
LANDAU, L.

RICE,

Mathernatir:;d
London.
TIMOSHENKO,

Afathernatical analysis in the

(Vol. II), Academic
GOODIER,

J.N., 1970,

in "Fracture,
San Francisco,
Graw Hill.

CHAPTER

lane theory of elasticity

5.1

BASIC EQUATIONS OF PLANE

STATE OF

The definition of
state of strain has already been given in Chapter 1: the
pla,CeInelrlt w (i.e.
to Oxy) is nil and the displacements linked to
u and v) are independent of z. As a consequence, en exz = eyz O.
these conditions to Hooke's law one obtains

O"zz

V (O"xx

O"xz

0"'11.10

+ O"yy)

= 0

of z, the

The O"zz stress component

equation reduces

to

(5.2)

+
and the compatibility

to

= 2 {Pexy

+
At
and

in plane state of
(4.30)], taking account of

the Hooke's equations

take the form

- 2(>.
=

(5.3)

oxoy

eyy

~ p)

(0"",,,,

+ O"yy)}

>.

1
{ O"YY

1
2p O"xy

Lame's constants

+O"yy)}

(5.4)

86

Part II. Medianism of material strain

5.2

HARMONIC EQUATION
POTENTIAL

If one substitutes Hooke's

(5.4) in the compatibility Eq. (5.3), one obtains

(5.5)

one derives the equilibrium Eqs (5.2) reTo eliminate the last term of
with
to x and y. One is led after summation to

"",,,-T>"'A;I,,

(5.6)
(5.6) in

+ (J'IIY) = 0

(5.7)

(5.7) is known as "stress harmonic

In
the trace of the stress tensor is therefore a harmonic function.
Let us now consider two functions
y) and
y) such that
(5.8)

account of the

one can
{)B

{)A

show that
(5.9)

From condition 1 (5.9) one can deduce the existence of a function U(x, y) such that
A

{)U

(5.10)

Substituting (5.10) in (5.8) and (5.9), one obtains

{)2U

(5.11)

then replacing (5.11) in (5.7), one is led to

o
U known as "Airy's
1 For

nrll,",'n;T.l"

is a biharmonic function.

proof, see for example Parodi, 1965.

87

Chapter 5. Plane theory of elasticity

IN POLAR COORDINATES

5.3
In polar

'-~'JLU,UH"'""",

such

the Laplacian

1a
+ pap
-+

(J'ee

(5.13)

(5,11)

one can show the

(J'pp

lau
-+
pap
a2 u
1

(J'pe

au

(5.14)

a
-ap

a (_ ~)]

TO
IN INFINITE PLATES
5

Determination

Given an infinite
parallel to x. The
solid is such that

Airy's function

an infinite plate

to a uniaxial
state of stress
of the
the state of stress at all
(5.

--(J

Fig. 5.1. Homogeneous elastic plate subjected to

a uniaxial uniform compression.

88

Part II. Mechanism of material strain

This state of stress can also be

pVl')rp"''''(j

2 0'(1
1
2

coordinates

III

(2.34)]

+ cos 28)
(5.16)

cos 28)

~ sin 20

UpS

In other words, if the plate is ranked with a

of infinite radius, the effect
of the uniaxial stress can be
the sum of a constant component (1) and a
component (2) varying with the azimuth 8:
"
~(i)

0'

vpp -

(5.17)
%sin28

To these two
two different Airy's functions Ui and U2 since
the overall problem is considered to be the superposition of two elementary problems
(1) and (2).
As far as problem (1) is rr.r'rp ... n~rI
condition being uniform the
problem is axisymmetric. In other
IJV.,"'''''HU is only a function of p, and
its derivatives with
to e are all nil.
account of (5.13) can
be written

=0

(5.18)

The general solution of which is of the

p+ Cp2

p+

+D

To calculate the Airy potential of the second elementary problem, one can start
from Eqs (5.14) that is taking account of (5.17)

(5.20)
to () leads for U2 to the general form

which after

g(p) cos 2{)

One can

(5.21)

also satisfies the first two equations. Replacing

U2 in the biharmonic "'HH"".'VH one obtains

1 8

+p

ZIt is sufficient to rederive to be convinced of the fact.

89

Chapter 5. Plane theory of elasticity

whose general solution is of the

g(p)

+ C +D

(5.23)

The second Airy function is therefore such that

+
5

+ D)

cos 2()

(5.24)

of a circular
Kirsch's problem

geometrical disturbance within a solid

modifies the original
stress distribution. This phenomenon results from the fact that the removed solid
This is the
transfers onto the adjacent material the stresses it
case for a circular hole of radius R in an infinite
the effect
As one gets further away from the
IS
for an infinite distance that one
the
that which pre-existed the appearance of the cavity.
As in the previous paragraph, one can divide the problem into two elemEmtary
that will later be superposed:
Stress field due to component 1
The boundary conditions are such that

o
o

(5.25)

since the well is stress free

(J'

p=

00

1:::

2
(J'

(5.26)

(J'p8

These boundary conditions enable one to eliminate the

function coefficients (5.19). Indeed, taking account of
tives with respect to () are zero) one obtains
(I)

(J'pp

A
"2
p

+ B(l + 2

log p)

--+B(3+2
p2

+ 2C

p)+2C

90

Part II. Mecha.nism of material strain

The coefficients A, Band C can be determined by """''''''F. use of the boundary

conditions (5.25) and (5.26). One then obtains a
of linear equations in the
three unknowns A, Band 0 the solution to which is

A=
V>~,.HA'"

(1

20=

(5.28)

(5.28) in (5.27), one obtains finally

~ (1 R2)
p2

(1 )

upp

uie

==

(1)

(5.29)

p2

(1 p8

Stress field

: . (1 +-)

from component 2

The boundary conditions are such that

P=R{

p=

(1pp

U p8

u
00

(1e8

(5.30)

cos 2(J

(5.31)

-~ sin 2(J
2

The derivation of

(5.14) taking account of Airy's function (5.24) leads to the

u1~

- (2A + 6C + :~) cos 2(J

uW

(2A

+ 12Bp2 + ~~)

u~~) =

(2A

+ 6Bp 2

(5.32)

cos2()

6C _ 2D

sin 2(J

Substituting the boundary conditions (5.30) and (5.31) in (5.32), one obtains a
of linear equations in the unknowns A, B,
D, the solution to which is such
that
A

(1

0=

D==

-(1

(5.33)

91

Chapter 5. Plane theory of elasticity.

Substituting

in (5.32) one obtains

(2)

cr68

Global stress field

This is obtained

the two components (1) and (2) that is

cr ( 1 - - )
2
p2

+ -cr2

( 1 + -3R

"2cr

( 1+ 7
3R

p4

)
- -4R2
p2

cos 2()

4
)

(5.35)

cos28

2R2) sin20
-+ -p4
p2
At the well bore

for p

R), the component cree is such that

p=R
cree

= cr ( 1- 2cos2() )

(5.36)

It varies therefore from -cr (traction) in the direction of (1' to 3(1' (compression) in
the orthogonal direction. These considerations are of prime
in hydraulic
fracturing and for the
of well stability. Solution (5
can
be extended to
a biaxial stress field (1'1, (1'2 (1(1'11 > 1(1'21). For this purpose it is sufficient to recalculate
condition
for a biaxial stress field that is

.....::...-:;--..;;;. cos 20

which leads to the

(5.37)

solution
cos 20
(5.38)

92

Part II. Mechanism of material strain

At the well bore (i.e. for p

= R)

the orthoradial component Uee is such that

(5.39)
It varies therefore from

5.4.3

-U1

+ 3U2

in the

U1

direction to

-U2

+ 3U1

in that of U2.

Effect of a hydrostatic pressure on the borehole

In the case in which the only external loading is a hydrostatic pressure p applied
to the borehole, the problem is identical to elementary problem (1) of the preceding
paragraphs since the state of stress is axisymmetric (in other words independent of
B). The boundary conditions are such that
p= R

p=

U pp

= -p

U pB

= 0

u pp

= UpB = 0

00

(5.40)

The derivation leads of course to the same equations as those of the elementary
problem (1) [Eqs (5.27)]. Taking account of (5.40), one is led to a system of three
equations in the three unknowns A, B, C to which the solution is
A

= _pR2

=C =0

(5.41)

Replacing (5.41) in (5.27), one obtains finally

R2

U fJP

= -P-2
p
Up 9

We may observe that at the well (p

orthoradial tensile stress equal to p.

5.5

R2

Uoo

=0
= R)

= P2
p

(5.42)

the pressure generates therefore an

THE FINITE ELASTIC SOLID: SALEH'S

APPROXIMATE SOLUTION (Fig. 5.2)

We propose now to extend the theory developed in the previous paragraph to the
case of a finite plane with a central hole subjected to a non hydrostatic loading. The
difficulty of the problem lies in the different nature of the two boundaries, the external
boundary not being a priori expressible in polar coordinates.
Let us consider the following transformation
(5.43)

93

Chapter 5. Plane tlleory of elasticity

2L

Fig. 5.2 The finite elastic solid

(after Saleh. 1985).

in which

z
z

+ iy
ie
e :::: cos 0 + i sin 0
x

(5.44)

Transformation (5.43) enables one to approximate a square

a
whose corners are rounded
5.3).
Indeed, if one substitutes (5.44) in (5.43) after identification one obtains
( cos
y

The radius vector

sin

~ cos 30)

0- ~ sin 30)

(5.45)

is such that

p(O)

0.577 ';3.08 - cos 40

(5.46)

(5.46) represents the

of a square with rounded corners. We may
note that other more
transformations make it
to appr()Xlmltte
the square more finely. The solution of the elastic problem can be
Airy's function and is
similar to that of the previous ''>In'''T>I''''

94

Part II. Mechanism of material strain

Fig. 5 ..1. ApploximaLion of a square by a polnl

figl.llc (ufler Muschelisfwili.1954).

On the external boundary, that is for p

conditions
1
p=p(8)

"2((J"l

(J"pp

= p(B),

one has the following boundary

+ (J"2) + "2((J"l -

-~((J"l -

(J"2)

cos 2B
(5.47)

(J"2)

sin 2B

(J"p=R
pO

= 0

2
while the periphery of the borehole is such that
(J"p=R
pp

(5.48)

Again, the problem can be divided into two elementary problems.

Resolution of problem 1

Problem 1 is purely axisymmetric and such that

1
"2((J"l
(J"p=R
pp

U1

+ (J"2)

= (J"p=R
=0
pO

(5.49)

Alogp+Bp 2 Iogp+Cp2+D

The identification of the various coefficients of U1 is carried out using boundary

conditions (5.49) through expressions (5.14). These coefficients are solution of the
linear system

A
-+2C
R2
A
p2(B) + 2C

(5.50)

95

Chapter 5. Plane theory of elasticity

Indeed it can be shown (see Timoshenko and uOOOl,er

that the condition for
of the
zero. From (5.50) one obtains therefore (by

1970 for
that B should be

B=O

D=Q

(5.51)

Resolution of problem 2
Problem 2 is such that
(1p=1\1
pp

1
2

=0
1

--(112

sin 28

and leads to the

- ( 2E +
2E

6G

6G

+ R4 +

4H)
+ M2
="21 (11

4H

0
(5.53)

2E+
2E+
the solution of which is
E

F
(5.54)

G
H

(11 -

(12)M 2 .

(M4 + M2R2
2(M2 R2/'

+ R4)

96

Part II. l\fechanism of material strain

Replacing Eqs (5.51) and (5,54) in the expressions of the stresses one obtains the
final solution such that
0' pp

M2(0'1 + 0'2) (
R2)
2(M2 _ R2)
1- pi
[(M4

+ R2

4(M4
-

'1\12

+ R2

+ 4R4) +

. A12
2

M2(O'J - 0'2)
2(M2 _ R2)3

3M (M: + R2)R4
4

+ R4)R2]

cos28

(1 + R2)
_ M2(0'1 - 0'2)
p2
2(M2 _ R2)3

M2(0'1 + 0'2)
2(M2 - R2)

3M2(M2 + R2)R4]
2
4
4
2
p4
cos2B
[(M +R M +4R )-12 R2.p2+
M2(0'1 - 0'2)
2(M2 _ R2)3
_(M4
[
2(M4
-

+ R2

. M2

+ 4R4) + 6 . R2

+ R2 . M2 + R4)R2]
p

. p2

+ 3M2(M2 + R2)R4
p4

sm 28

(5.55)
Does the solution verifiy the boundary conditions particularly on the external
contour?
On Fig, 5.4, the stress field on this external contour has been recalculated in
Cartesian coordinates for various configurations (K :::: LI R) as a function of the
azimuth8 (in the particular case 0'2 = 0), For an infinite medium (K = 00) O'xx is
equal to 0'1 for 0 < B < 'if/4,O'yy :::: 0 for 7r/4 < {} < 'if/2 while O'xy = 0 on the entire
interval. For the limit value f{ = 3, the difference does not exceed 3% for O'xx and
O'y"),' and 8 % for O'xy (for a value of {} = 20 0 ), vVe may note that these differences tend
to diminish for 0'2 i- 0, In conclusion, the differences observed remain therefore small
if the borehole radius does not exceed one third of the semi-length of the square,
It can easily be shown that if M is infinity, one finds again Kirsch's solution (stress
0'98 comprised between -0'1 for 8 = 0 and 30'1 for () :::: 'if 12). Similarly if M is constant
(the external contour is circular) and if 0'1 :::: 0'2 = P, one has again the well-known
Lame's formula.
In the event of the finite medium it is observed that the stress concentration around
the hole increases very markedly when f{ is low (J( ~ 3) but diminishes rapidly once
I< > 5.
For example for f{ = 3, the tangential stress at the well is comprised between
-1.980'1 and 4.20'1, a very different result from that of the infinite medium (-0'1 and

30'd,

When the well is loaded by a hydrostatic pressure (without any stress on the
external contour) the calculation is axisymmetric and Airy's function will take the
form [see Eq. (5.49)]
U = A logp + Cp2
(5.56)

97

Chapter 5. Plane theory of elasticity

CJ

~
CJ

=3

~:~l------':':';;';;"'======"'"
1.21
K ~

0.9
0.6

co

~:~ '---.--...--.--....--....--.--...--....-....
o

10

1S

20

25

30

35

40

45

O"arK ~ ro3
0.1

K ;;::

0.2
0.3
0.4

()

0.5 '------....-..,...--.~--...--.,..--......
45

50

55

60

65

70

75

BO

B5

90

Fig. 5.4. Verification of the boundary conditions

(after Saleh. 1985)

By expressing the boundary conditions

P= R{

(J'pp
(J' p8

-p

and p = M {

o
o

(5.57)

one can determine the two constants A and C [Eqs (5.27)]

(5.58)
that is after substitution of U in (5.14)

pR 2
(M2 _ R2)

[1- ~2]

(J'ee

pR 2
(M2 - R2)

[1 + ~2]

(J'r9

(J'rr

(5.59)

In the same way as for the previous problem, one can easily have Lame's formulas
again for M = 00 or M =Const.

98

Part II. Mechanism of material strain

METHOD OF
OF MUSKHELISHVILI

The method of complex

is
the most widespread in plane elasIt is also the most powerfuL This formalism is in fact a purely mathematical
consequence of the
condition of
It consists in expressthe
on the basis of a
variable z instead of two real variables
x and y. Without developing in detail this mathematical tool (readers should refer
the mystery surrounding it
to Muskhelishvili's book) we shall endeavour to
complexity occasionally tends to
the potential user), then
a
presentation of some
concerning rock mechanICS. However it is essential to review certain basic
concerning analytical
functions.

5.6.1

Analytical functions and

conditions (CRC)
and

y) of the real variables x

= P(z, y) + iQ(x, y)

(5.60)

Let us consider two real functions

and y, and
the complex number
Z
Given now the

'-VLU .... ''''A

variable
z

= x + iy

(5.61)

When one has the variable z, in the complex plane, functions Q and P have determinate values
so does the complex number Z. One can therefore
say that Z is a uniform function of variable z and write

fez)

= P(x, y) + iQ(x,

The

function can be deduced when one seeks to define the

For this purpose, let us differentiate
after pooling and
division by dx, it becomes

ap
ax

.aQ
ax

-+z-+

It appears that
not only on variables x and
dy/dx.
One cannot attribute to (5.63) a determinate value at a
plane. On the other hand in the specific case in which

aQ
i [ap +i
] = ap +
ax
ax
ay

(5.63)
y

but also on the ratio

z of the complex

(5.64)

99

Chapter 5. Plane theory of elasticity

dy/dx disappears from expression (5.63), and the derivative is equal to

df aP .aQ
-=-+zdz
ax
ax

(5.65)

which for its part is indeed unique.

(5.64) represents the necessary and sufficient condition for a complex function to
admit a unique derivative. It is known as "Cauchy-Riemann conditions" and can be
written

aP
ax

aP
ay

aQ
ay

aQ
ax

(5.66)

A complex function f(z) is analytical if and only if its derivative is unique. Any
analytical function verifies therefore the Cauchy-Riemann conditions.
The Cauchy-Riemann conditions have a fundamental consequence: the analytical
function is a function only of the variable z. Indeed, if one introduces the variable z
conjugate with z and such that
z= x - iy
(5.67)
one can either consider f as a function of x and y or as a function of z and z and
express the total differential of f in the two following ways

df
df =

af dx+af dy
ax
ay
af
af
- dz+- dZ
-

az

(5.68)

az

Resolving (5.61) and (5.67) with respect to x and y then differentiating, one is led
to

dy = 2(dZ - dz)

(5.69)

which after substitution in the first of the Eqs (5.68) then identification with the
second gives
(5.70)
By developing this second equation, taking account of (5.62) one obtains

af
Oz

=~

[ap + i aQ + i aP _ aQ]
ax
ax
ay ay

=0

(5.71 )

If the CRC are verified, function f only depends on z. Similarly, one can prove
in the same way that the function conjugate with f, f only depends on z. In other
words

af =

az

(5.72)

We may note lastly that the CRC prescribe that functions P and Q be harmonic
= 0). Any analytical function is therefore harmonic.

(\7 2 P = \7 2 Q

100

Part II. Mechanism of material strain

5.6.2

Application to the biharmonic equation

Let us look for the solution to the biharmonic equation in the form of an
function of two
variables z and z.
Taking account of (5.70), the
derivatives with
to x and 11 can be
written
{)

so that the

ua.'~la""la,u

{)

{)

and

{)

(5.73)

-=~

{)y

to
(5.74)

The biharmonic

is therefore written
(5.75)

The solution to

is obtained by integration and is of the form

(5.76)
it is sufficient to .,.,>'."',.',,,.,
functions Xl and <Pl
on z, X2 and <P2
of (5.76) is such that

into account that

+
U

its

(5.77)

is nil that is (U - U == 0), which induces

(5.78)

~denticallY, one can calculate the real part by summing U and

that is

account of
(5.79)
One can therefore

the index and write

U =Re

+ X(z)]

function of two real <M.au.e:>. can be written in the form of two

analytical functions <P and X of the rr..n.-.,pv

101

Chapter 5. Plane theory of elasticity

5.6.3

Expression of stresses and displacements

The expressions of the stresses are obtained directly by deriving Airy's potential
twice 3 [Eqs (5.11)].
Taking account of (5.73) and (5.79), one obtains

+ 17yy == 2 [<p( z) + <P( z) ]

17",,) + 2il7"y == 2 [z<P'(z) + W(z)]

17xx

(l7 yy -

(5.81)

with

<P(z) == <p'(z)
W(z) == 1j;'(z) = X"(z)
Similarly, one can show that the displacements field u, v is such that
2G(u + iv) == (3 - 4v)<p(z) - z<p'(z) -l,b(z)

(5.82)

We may note finally that in polar coordinates Eqs (5.81) and (5.82) can be written

2G(u p

+ iue)

= e- i9

[(3 - 4v)<p(z) -

zcp(z) -1j;(z)]

+ 1790 = 2 [<p(z) + <P(z)]

2ill
(1799 - I7pp) + 2i17p9 == 2 [z<P'(z) + w(z)] e

I7pp

(5.83)

The solution of an elastic boundary problem is therefore based upon the determination of two complex functions, which have to be determined from the boundary
conditions specific to each problem.
The form of the complex potential can be better specified in the case of finite
or infinite connected regions i.e. bounded by several simple contours L1, L2 ... Lm,
Lm+I (Fig. 5.5) where Lm+l is supposed to contain all the other contours. For infinite
regions, the contour Lm+I has entirely moved to infinity. Furthermore one assumes
that these contours do not intersect themselves (L, n LJ =0 \;12 and VJ).

G
Fig. 5.5. Multiply connected regions.
(after Muscnelishvili. 1954).

3Indeed 8",(z)

8;;

== ",'(z).

102

Part II. Mechanism of material strain

In these conditions and remembering the uniqueness of the elastic solution both
in terms of stresses and displacements, one can show (see Muskhelishvili pp. 121 to
126) that the complex potentials are analytic functions of the complex variable z i.e
can be expanded in the form of a Laurent series. This fundamental property (in the
case of multiply connected regions) will have an important practical repercussion on
complex potential determination.

5.7

CONFORMAL MAPPING. TRANSFORMATION

OF THE BASIC FORMULA

Complex representation is especially useful when the boundaries of the related

domain are simple. In particular, they are perfectly adapted to circular boundaries.
On the other hand, when the boundaries are more complicated (elliptic, square ... ),
the boundary conditions can no longer be expressed in polar form.
One of the great advantage of conformal mapping is to allow the transformation of
a region limited by a curvilinear cavity into a region limited by a circle. The resolution
of a curvilinear problem can thus be achieved in polar coordinates.
A transformation between a real plane (compJex variable z) and an image plane
(complex variable () is called conformal if the application of z in ( is univocal, reciprocal and maintains the angles.
Let us consider (Fig. 5.6) in the real plane a point z = x + iy and its image ( such
that ( = X + .Y = pe,e. The transformation will be written
z

= x + iy = wee) = w(pe,e)

(5.84)
y

--~------~--~--+-~....~

Fig. 5.6. Transformation of a curvilinear cavity

inlo a cil"cular cavity (conformal mapping).

103

Chapter 5. Plane theory of elasticity

It is a univocal and
plane. If
the direction

COl'ref!J)o,naen<:e between the real plane and the

of intensity Idz I according to
of the image plane will undergo
to direction OJ A'.
,-,H"'H}','"" in coordinates will therefore be such that
"''-o""HV''-oU.'

dz

(5.85)

0: being the
of the vectors OA and Ox. From (5.84) one can easily deduce an
equation between 0: and B. Indeed

e,,:t

(5.86)
""'''"H''''~

Similarly, the complex

<1>(z) and \[1(z) can be written in the image plane

<1> [wee)] =

\[1(z)

\[1 [wee)]

)
1li 1

(5.87)

and,

=
Taking account of (5.86) and (5.87) and
formed formulas for stresses

one obtains the trans-

+ \[1I()]
(5.88)

+ Ilil)]
(()]
Similarly, it is easily found that

+ ius) = p

5.8

EXPRESSION OF
IN THE IMAGE

(5.89)

CONDITIONS

Equation (5.88) makes it possible therefore to solve an elastic

<1>1 and \[11 have been determined. This will be made via the

UUlIlIUa.lY

problem once
conditions.

104

Part II. Mechanism of material strain

Let us consider
5.7) for this purpose the boundary
AB and
the surface force applied on a
element ds. The boundary conditions can
be written
that is

Fn

cr xx

cos a

cryy

sin Q'

+ crxy sin
+ xy cos
(J'

Q'

(5.90)
Q'

dx

Bt..----

Fig. 5.7. Boundary conditions.

If one travels along AB an:C}-(:lo,:IiVI'I

wards the negative x) while y increases
is convex)
dy
cosO'

As

dx
the

domain
sin Q'

dx

(5.91)

(5.11)
ay2

From (5.90) (5.91) (5.92) one obtains

Fi{
that is after

on AB

au +t.au)]
ay

AB -

AB

+ iFi{)ds

(5.93)

105

Chapter 5. Plane theory of elasticity

or again taking account of (5.73) and (5.79)

i {

~B

(F~ + iF~) ds = [rp(z) + zrp'(z) + 1j;(Z)]

AB

(5.94)

in which z belongs to the real (curvilinear) boundary. Eq. (5.94) can be expressed in
the image plane by introducing the variable ( such that z = w(() which leads finally
to
w(() - - _ _

h+ih

+ w'(()

i {

(F~ + zF~) ds

with

h + ih

rp~(()+1fl(()

rpl(()

JAB

(5.95)

In the specific case for which the region is mapped on to a circle one introduces
in Eq. (5.95) the notation (J = poe ifJ where Po is the radius of the mapped circle that
is (the index 1 of complex potentials are not useful anymore)

rp((J)

5.9

w((J) rp'((J) + 1f((J)

w'((J)
(J = poe iB

= f((J)

(5.96)

DETERMINATION OF COMPLEX POTENTIAL

BY BOUNDARY INTEGRALS

The objective is now to determine the two complex potentials rp(() and 1j;(() so
as to satisfy the boundary conditions. (5.96) can be rewritten in the integral form
(after multiplying each member by 1 / (J - ()

1
-y

rp((J) d(J
(J - (

1
-y

W((J) rp'((J)~
w' ((J )
(J - (

+ l1j;((J)

d(J
(J - (
f ((J)d(J
=
-y (J-(

I
-y

(5.97)

where, is the unit circle.

The interest of the boundary integration (5.97) is to reveal integrals of the Cauchy
type that is in a general case
g(t) dt
(5.98)

1
-y

t- (

Indeed, the Cauchy integral has some mathematical properties of which one can
take advantage for the determination of the complex potentials rp(() and 1j;((). Provided g(() is analytic (which is the case for multiply connected regions) at every
point outside " (including infinity), one can show (for demonstration see Goodier
and Timoshenko, 1970, pp. 207 to 209) that

1
-y

g(t)dt == -21rig(()
t- (

and

1
-y

g(t)dt
t- (

=0

(5.99)

106

5.10

Part II. Mechanism of material strain

APPLICATION TO THE CASE OF AN INFINITE

PLATE CONTAINING AN ELLIPTICAL CAVITY

Let us consider an infinite elastic plate (Fig. 5.8) containing an elliptical cavity of
axes a and b. That is the conformal transformation
(5.100)

(J
y

'--+ ~

.........
~---~
2a
For m= I the ellipse
decays into a crac}(

or

length 2a

(J

Fig. '5.8. Plate containing an elliptical hole.

To the ellipse of the real plane corresponds a circle of unit radius in the image
plane. Indeed, by identifying the real and imaginary parts of (5.100) one obtains for
p = 1 (that is for ( = u = e,9)

x=R(1+m)cosO

y=R(1-m)sinO

(5.101)

which are the parametric equations of an ellipse in the real plane whose semi-axes are
such that
(5.102)
b = R(1- m)
a = R(l + m)
Solving (5.102) with respect to Rand m , one obtains
m= a-b

a+b

R= a+b
2

(5.103)

107

Chapter 5. Plane theory of elasticity

a and b, it is therefore easy to calculate Rand m which are the parameters

of the transformation. We may note that this latter possesses two extreme cases: if
m
0, the ellipse becomes a
on the contrary, if m
I, it is transformed into
a
line (in other words a crack of
2a see
To solve the problem one has now to determine the '"v... v,,, .... nnr.pn'r.l
In this particulate case,the boundary condition
is written
its expression
100) that is

dO'

--+
0'-(

(5.104)

In
(5.104) both second and third terms of the first member vanish 4
while the first one is such that
r.p(O')dO'

1
'Y

nelelCH'e.

0'-(

105)

the first complex potential is such that [replacing (5.105) into (5.104)]

r.p)

0'-(

The second '"'v,,, .... ,,,.... potential 1/;(() can be determined by conjugating
is after
on l'

(5.106)
that

Among the three Cauchy integrals of (5.107), the first one vanishes while the two
others are such that

(5.108)

The second

",.."."..",1"" l'UI'''''''.l''''l

is then such that

1/;(() =
4FoT demonstration, see Goodier and Timoshenko, 1970, p. 212.

(5.109)

108

Part II. lvfecllanism of material strain

cavity

with a uniform pressure

In this case, the boundary conditions on an element ds can be written [Eq. (5.90)]
-pcosa

FYn

The global boundary condition is obtained

count of (5.91)] that is taking account of

h + ih = z

(5.1

-psin a

ac-

[Eq. (5.95)

1,

11)

the conjugate of which is

(5.112)
these values in (5.106) and (5.1 09), after integration one is led to

ip() =

pRm

(5.113)

replacing (5.113) in (5.88), one obtains the OVlrw<,eelr>n of the stresses and in
the expression of the displacements. These results are
useful in the
case of an infinitely flattened ellipse (crack) for which m
L
In this case, one obtains for the stress and
fields after substitutions

(5.114)
---.~~~==~~==~-

2Gp
pRp

--2G-'-r~~~~~

with
3 - 411 (plane state of strain)
In the crack extension (that is for B
a pp
a XT and aeo = a yy )

0),

2p

a xx

== -.-,
-1
p-

a yy

114) become (since in this direction

(5.115)

109

Chapter 5. Plane theory of elasticity

In other words, at the fracture tip (that is for p = 1), the elastic solution leads to
a singular stress field. This observation, as we shall see, is of prime importance in the
study of fissuring.

Infinite plate subjected to a far stress field (Fig.5.8)

This classic problem has been variously solved by numerous authors (Muskhelishvili, 1953, Goodier, 1968, Sih and Leibowitz, 1968, Goodier and Timoshenko, 1970,
Jaeger and Cook, 1979). The calculations are very similar to the previous problem.
Calculation shows that the initial elliptical cavity strains but remains an ellipse
whose new semi-axes are such that

a'

= a [ 1- 1 - E2v

(J'

(5.116)

The solution of the stress field is of the form

(J'xx

+ (J'yy
(5.117)

On the symmetry axis of the ellipse (J'xy ::::: O. (5.117) only takes account of
the disturbed solution and to obtain the global solution, one has to add the trivial
solution of the plate without a cavity subjected to the same loading. We shall see that
Eqs (5.117) are the starting point for the study of fissured materials. It is also useful
to calculate the volumic elastic strain energy associated with the elliptical cavity.
This calculation can be easily performed from the stress and displacement fields
but one can also evaluate it directly using complex potentials. For a biaxial loading
(J', k(J'(k < 1) it is equal to (per unit length perpendicularly to the considered plane)

Wi ::::: 7r(J'2(1 - v

[(1 _ k?(a

4E

+ b)2 + 2(1 _

k 2 )(a 2

b2 )
(5.118)

+(1 + k)2(a 2 + b2 )]

5.11

CONCLUSION

While very condensed, this chapter provides readers with the mam bases for
solving a number of plane elastic problems. Although insufficient to solve a concrete problem in rock mechanics, linear elasticity will enable us to introduce very
intuitively the concept of a porous medium to which a large part of what follows will
now be devoted.

110

Part IT. Mechanism of material strain

BIBLIOGRAPHY
J.N., 1968, Mathematical theory of equilibrium cracks, in
Mathematical fundamentals" (Vol. II), Liebowitz Ed. Academic Press New York, San
GU"","V. London.
GOURSAT, E., 1956, COUTS
mathimatique, Vol.
Gauthier-Villars, Paris.
and COOK, N.G.W., 1979, Fundamentals of Rock Mechanics; 3rd ed.
Chapman and Hall, London.
LANDAU, L., and
Thiorie de l'iiasticiti,
Moscow.
MUSKHELISHVILI, N.1., 1954, Some basic problems of the mathematical theory of elasticity, Noordhoff International Publishing.
PARODI, M., 1965, Mathimatiques appliquies a l'aM de l'ingenieur, VoL III, "Fonction
de variable complexe.
symbolique", SEDES, Paris.
PARTON,
and
1981, Methodes de la tMorie matMmatique de l'elasticiU,
Vol. I, II, Mir, Moscow.
V., and
P., 1977, Equations intigrales de la tMorie de
Mir, Moscow.
REKATCH, V., 1977, ProbJemes de La theorie de l'elasticiti, Mir, Moscow.
SALEH,
1985, Determination de l'etat de contrainie et des pToprietis ",nCh"",,,
d 'un massif rocheux par inversion des donnees ricolties lors d 'un essai de fracturation
pressiometrique, Thesis
Paris.
and
H., 1968, Mathematical theory brittle fracture, in "FracG
ture, Mathematical fundamentals" (VoL
,Liebowitz Ed. Academic Press New
San
London.
1970, Theory of elasticity, Mac Graw Hill.
and GOODIER, J

CHAPTER

Behaviour of a material
containing cavities

In a fairly general way, a rock can be ranked with a continuous material containing a more or less substantial proportion of vacuums, often random in shape and
geometrically complicated.
In this chapter we shall study how the presence of vacuums can influence the
macroscopic behaviour of an elastic material.

6.1

PHENOMENOLOGICAL ASPECT

The stress strain curve of the majority of sedimentary rocks (specially sandstones
and limestones) offers in compression (uniaxial, triaxial or hydrostatic) a strongly nonlinear behaviour for low stresses (Fig.6.1). Under increasing loading, the modulus of
the material (Young's modulus or hydrostatic bulk modulus) gradually increases until
a certain value for which the curve becomes pseudo-linear. Furthermore, the rocks
often display hysteresis after unloading. These two phenomena, namely non linearity
and hysteresis are the dominant characteristics differentiating dry rocks (i.e without
interstitial fluid for the moment) from continuous materials. We shall see that they
are attributed to the presence of specific vacuums: microcracks.

6.2

STRAIN ENERGY ASSOCIATED WITH A CAVITY

DEFINITION OF EFFECTIVE BULK MODULUS

In the preceding chapter we described the effect of a circular and then of an

elliptical disturbances on stress and strain fields. From these redistributions, results a
modification of the elastic strain energy: generally speaking, the presence of a cavity
tends to increase the elastic strain energy of the same identically loaded solid but

112

Part II. Mechansm

ol mateTal stran

Chapter 6. BeJum

without a cavity. Thereore, the elastic strain energy o a cavity IVc is the difference
between the energy W o the solid containing the cavity under a given loading system
and that Wo o the same solid identically loaded but without a cavity, that is

(6.1)

700

600

500

'.."
''""
..'"
e,

400

;:l

300

200

Replacing (<<

100

Fig. 6.1. Classical

hydrostatic

behaviour

compression

of a porous

(Indonesian

rock under

Sandstone).

Let us consider a volume o material (a cube o side A) containing a cavity, and

hydrostatically loaded (Fig. 6.2). In accordance with Clapeyron's theorem, the elastic
strain energy accumulated in the material is equal to half the work carried out by the
externalloads through the displacements; under hydrostatic loading one has thereore

= 20"~V

(6.2)

in which ~ V is the volume variation o the material between zero and

absence o a cavity, the stress field in the material is uniform so that
1

Wo

0".

In the

1 (j2

= 20"

kk

=2K

(6.3)

in which K is the bulk modulus o the solid material (known as matrix) and V the
total volume o the cube (V
A3).

KeJf is can
bulk modulus (l
a cavity) knowi
real material (iJ
that Wc still hE
modulus is less
increases the 01

6.3

SPEC

PORl!

Equation (fi
linear behaviou
necessary to ex
For instance tbl
mmor axes a al

Chapter 6. Behaviour

of a material containing

the difference
Ioading system
that is

113

cavities

a
A

(6.1)

,-------'-------('.-

- - - - - - - - - - --

~aA

L--

-.-

---'

a
Fig. 6.2. Cavity in a material
a hydrostatic

under

loading.

Replacing (6_2) and (6.3) in (6.1), one obtains

~V

1
I<

2 Wc
V (72

-=-+--=-(7

a cavity, and
, the elastic
out by the
has therefore
(6.2)
In the

(6.3)

1
I<eff

(6.4)

I<ef f is called "effective modulus of the material". It represents the hydrostatic

bulk modulus of a homogeneous imaginary material (in other words not containing
a cavity) known as "equivalent material" whose behaviour is identical to that of the
real material (in other words containing a cavity). Expression (6.4) shows furthermore
that Wc still being positive (increase of energy due to the cavity) , the effective bulk
modulus is less than the matrix bulk modulus.
As might be expected, a cavity
increases the overall compressibility of a material.

6.3

SPECIFIC TYPES OF CAVITIES:

PORES AND MICROCRACKS

Equation (6.4) defines the effective modulus but do es not account for the nonlinear behaviour of the material such as is observed in Fig. 6_1. For this purpose it is
necessary to expound Wc which can only be envisaged for simple cavity geometries.
For instance the calculation is possible for an elliptical cavity of respective major and
minor axes a and b, under any type of loading (the calculation is performed on the

114

Part Il. Mechanism

of material strain

basis of the complex potentials determined in the previous chapter). In the case of
hydrostatic loading the result becomes very simple [Eq. (5.118), with k
1]

a..pccr

6.4

'<1

6. B' .

EVOLU
WITHl

(6.5)
E and v being respectively Young's modulus and Poisson's ratio of the matrix.
Replacing (6.5) in (6.4) one is led to
_1_
Keff

=..!..
K

21l'"(1- v2) A( 2
EV
a

b2)

Let us coasidI:
der increasin~"
disappear one a8I
remain open, tha

(6.6)

The variation in total volume is equal to the volume variation of the matrix plus
the volume variation of the cavity which for a value u of the loading will be equal to

(0'2

has been negl

In that case I!

(6.7)

Ke,
Initially, the volume of the cavity was such that
Vo = 1rabA

(6.8)

The volume of the cavity for a value u of the loading will therefore be such that

R; being the da
The non-lnea
gradual closure (J
tion of the pares
range so that one

(6.9)
or by introducing a

= bJa,

the shape factor of the cavity,

(6.10)

Under compressive loading (u < O), the cavity volume will gradually be reduced
and will be equal to zero for u e such that
(6.11)
The smaller the shape factor of the cavity, the lower the pressure required to close
the cavity. One can therefore differentiate two categories of vacuums with respect to
their closure pressure:
(a) Those whose shape factor is small with respect to 1. These are sharply flattened ellipses closing under a low stress field. They are known as microcracks.
(b) Those whose shape factor is large. They are circular vacuums (spherical or
cylindrical). They can practically never close (indeed, a pressure of the order
of magnitude of the matrix Young's modulus would be required). They are
known as pores. By extension, a medium containing cavities is known as a
porous medium.

is a constant. It I
material whose b4
will become appa
KB is always les!
the microcracks a
of the curve u - .
this straight line
the microcracks (
one can define tb

in which

with [Eq. (6.10)]

The crack poi

open under u.

Chapter 6. Behaviour

In the case of
i= 1]

6.4

115

oi a material containing cavities

EVOLUTION OF THE EFFECTIVE MODULUS

WITH LOADING

(6.5)
Let us consider a material containing initially np pores and nJ microcracks. Under increasing loading, only the microcracks will close and, their contributions will
disappear one after the other. Therefore under loading 17, only n(17) microcracks will
remain open, those whose shape factor is such that

of the matrix.

(6.6)

217(1 - 1I2)
a> -

die matrix plus

"will be equal to

(6.12)

(a has been neglected with respect to 1)

2

In that case Eq. (6.6) becomes

1

(6.7)

[{elJ

J{

n. 4(1 - 1I2) 7rR; A

+~

n(q)

2(1 - 1I2) 7ra; A

+~

(6.13)

R; being the diameter of a pore and

ai the length of any microcrack.

The non-linear behaviour of rocks at low stress is explained therefore by the
gradual closure of the microcracks during loading. On the contrary, the contribution of the pores in expression (6.13) remains quasi constant in a reasonable loading
range so that one can consider that

(6.8)
be such that

I
(6.10)
be reduced

(6.11)

2. ~

_1__

(6.9)

]{B

+ L..J

(6.14)

EV

.:1

is a constant. It represents the hydrostatic bulk modulus of an imaginary continuous

material whose behaviour is equivalent to that of the real material. For reasons which
will become apparent in the following chapters J{B is known as drained bulk modulus.
J{B is always less than J{. The effective bulk modulus being equal to [{B when all
the microcracks are closed, J{B is therefore represented by the slope of the linear part
of the curve 17 - Ekk (in which En is equal to ~ VIV). The abscissa at the origin of
this straight line represents the variation in relative volume due to the closing of all
the microcracks (Fig. 6.3): it is a known as "initial crack porosity" T/a. Byextension,
one can define the crack porosity under loading 17, T/( (7) such that
T/(17)

in which
. sharply flat_ .icrocracks.
(spherical or
ofthe order
)_ Theyare
"- bown as a

4(1-1I2)1l"R;A

VP(17)
V

(6.15)

n(q)

VF(17) =

Vi(17)

(6.16)

.:1

with [Eq. (6.10)]

Vi(17) = 7I"a;aA

+ 271"(1;

2
1I ) Aar17

The crack porosity is therefore representative

open under 17.

(6.17)

of the cracked volume remaining

116

Part Il. Mechanism

al material strain

Chapter 6. Behay

Taking acco

in which the sw
a shape factor (

The shape (
a higher level a
loading ranges
whose shape faA

O~~~--~rr--

~"~
Now, d7](a)
and a + da, in

Fig. 6.3. Drained bulk modulus

(after Morlier. 1971 ).

and crack

porosity

ai

Figure 6.3 shows that

'::kk(U)

u
/{B

+ ra -

r(u)

(6.18)

in which d 2:,
a and a + da.
The sum ex

that is by deriving with respect to u

a.:: k k
ou

or(u)

/{B-~

(6.19)

that is by repla

which can also be written

1
1
or(u)
----tc. f
J{B
oU
which is another form of the effective modulus evolution.

6.5

(6.20)

DETERMINATION OF THE CRACKING SPECTRUM

USING MORLIER'S METHOD

The curve 7]( u) can be used to determine the distribution of cracks in accordance
with their shape factor.
Let us call dr( a) the porosity associated with all the crack s whose shape factor
is comprised between a and a + da and given h( a) the density probability function
such that
d7](a)
h(a)da
(6.21)

or again taking

Replacing (~

Let us deriw

 material

strain

Ghapter 6. Behaviour

of a material

117

containing cavities

Taking account of (6.15), (6.16) and (6.17), one has

dr(u)
da

211"(1- v
EV

A" 2
L.., a,

O'

(6.22)

in which the sum is extended to all the cracks still open under u, in other words with
a shape factor O' such that [Eq. (6.12)]
2u(1 - v2)
E

a> -

0'1

(6.23)

The shape of the compressibility curve leads one to think that O' is bounded by
a higher level O'M. In other words for O' > O'M all the microcracks are closed in the
loading ranges envisaged. The sum (6.22) is therefore only extended to the cracks
whose shape factor is such that (u < O)
2<T(1 - v2)

and

< O' <

--

(6.24)

O'M

Now, dr(O') is the porosity of cracks whose shape factor is comprised between
O' + da, in other words

d r( 0')

= --::-V-::-=---

O'

(6.25)

a;

(6.18)

is only relative to the cracks whose shape factor is comprised between

in which d-.
O' and O'+dO'.
The sum extended to the interval (6.24) can then be calculated. Indeed
(6.26)

(6.19)

that is by replacing (6.25) in (6.26)

L - j _
a2

(6.20)

aM

2<7(1-,,2)

V
--d
O'
11"
Aa r( )

(6.27)

or again taking account of (6.21)

:a - ja
2 _

1I"A

_2<7(1_,,2)
E

h(O')
--;;-dO'

(6.28)

Replacing (6.28) in (6.22), one obtains

dr(u)
do

= 2(1 - v2)
E

ja

h(O') da

_2<7(1_,,2)
E

O'

(6.29)

Let us derive Eq. (6.29) a second time with respect to u, that is

d2r(u)
da?
(6.21)

2(1 - v2)
E

[h(O') 00']
O'

o s

OU _

2<7(1-,,2)
E

(6.30)

118

Part II. Mechanism

of material strain

Chapter 6. BehaVOl

now, h(o:) being

0.182

or again by writn

0.181

0.18

~...

0.179

'"

..

0.178

Po

'"

0.177

E:;

0.176

0.175

::

o::
O

P...

Let us observe
in fact, according

0.174

where

0.173

110

is the 1

It is then neee

0.172

An example (
case O:M ~ 4.10-:

0.171
100

200

300

'100

PRESSURE(bar)

6.6

450
400

CLOSU
A CON

350

Knowledge 01
closure under an
Given a defec
stress fieId (T1, (T2
(Fig. 6.5).
The shape C~
a constant direct
will be such that

300

c:I

~
.c

250
200
150
100
50

0.001

0.002

a
Fig. 6.4. Cracking
by Morlier's

spectrum

melhod

b+De ns ty probability

of Vosges Sandstone

(tifter

a+Cornpre ss ibi I ty e urve

0.004

delermined

Under the effi

and (6.32), the el

Segal,1989).

versus

versus

0.003

pressure.

sh ape coefficient.

Three cases e
its orientation
the contrary the
be open if its din

su

crlmaterialstran

Chapter 6. Behaviour

119

ol a material contaning cavites

now, h(a) being a distribution

h [_

function, h(aM)

20-(1-I/Z)]

E
or again by writing

[C]-l

= O hence

2)]-1

[2(1_1/

2(1 E

2
d 'f}(0-)

o- do-z

1/2)

= Co-d2'f}(0-)
2

h(-C-10-)

(6.31)

(6.32)

(6.33)

d0-

Let us observe that (6.33) is not a true probability density since it is not normed;
in fact, according to (6.21), one has

cxM

cxM

h(a)da =

d'f}(a) = 'f}a

(6.34)

where TIa is the total crack porosity.

It is then necessary to divide h( a) by TIa to obtain a probability density.
An example (for Vosge Sandstone) is taken from Fig. 6.4 and shows that in this
case aM ~ 4.10-3 (h(a) in that example is divided by 'f}o).

6.6

CLOSURE OF A CRACK POPULATION UNDER

A COMPRESSIVE STRESS FIELD

Knowledge of crack opening distribution h(a) makes it possible to follow crack

closure under an increasing compressive stress field.
Given a defect of length a, shape coefficient a submitted to a biaxial compressive
stress field 0-1, 0-2 such that 0-1 < 0-2 and whose major axis makes an angle (3 with 0-2
(Fig. 6.5).
The shape coefficient being small (a ~ 1) one can suppose that the normal has
a constant direction. The normal and tangential components applied to the defect
will be such that

{:

(6.35)

~ (o-z - o-d sin 2(3

Under the effect of 0-, the defect initially open begins to close. According to (6.12)
and (6.32), the critical value or o- for the crack to close is
o-er

= -aC

(6.36)

Three cases can be considered: if O-er < 0-1, the defect will remain open whatever
its orientation since the minor component is less compressive than O-er; if O-er > 0-2 on
the contrary the defect cannot remain open; finally, if 0-1 < O-er < O-i, the defect will
be open if its direction (3 is such that
7r

(3er

< (3 < "2

with o-(3er) = o-er

120

Part Tl, Mechanism af material strain

Chapter 6. Behavi

36
34
32

30
28
26

E
Z
<,
E-o
Z

,,

"

\~"
\.

24
22
20
18
16

a \

14
12
10

8
20t
Fig. 6.5. Open crack

under

a b axi al loading.

F.

01'

f3cr

. JlJ'l+O:C
arcsm
IJ'1 -

IJ'2

(o

One can easily find from (6.37) the two first cases: if IJ'1 = -o:C, f3cr = O (the
-o:C, f3cr
'Ir/2 (the crack is closed whatever
crack is open whatever 13is) and if IJ'2
13 is). Let us consider now N defects and given h(o:) the probability density on 0:.
Among these N defects, a certain number d N have a shape coefficient comprised
between o: and o: + do: that is

01

(6.37)

(6.38)

ADDITl
THE el

but, among these dN defects, those whose argument is comprised between

f3cr (1J'1, IJ'2, 0:) and 'Ir /2 will remain open. If we suppose furthermore a homogeneous
distribution of 13, the number of open cracks wiU be then

Under uniaxial
pressure shows thl

st; = Nh(o:)do:

'Ir

"2 dNT = d N

f3cr(lJ'l, IJ'2, 0:)

'Ir

(6.39)

2
Under a compressive stress field IJ'1, IJ'2, the percentage of open cracks will be then
such that
NT
(CXM 1
N = J ;h(o:) ['Ir- 2f3cr(1J'1, IJ'2, 0:)] do:
(6.40)
o

The numerical integration of (6.40) is represented on Fig. 6.6 for Vosge Sandstone
and clearly shows that even for a smaU confining pressure IJ'2, only a few percent of
defects remain open. Nevertheless we will see afterwards that these open cracks have
a great importance as regards rupture.

6.7

(a) The micro

Increases, 1
(b) The closun
sil" microe
tween lips]
important
non-lineari
(e) In the san
modulus .E

aJaterialstrain

Chapter 6. Behaviour

oi a material containing

121

cavities

36
J4
32
30
28
26

24

z
)..

22

z,

20
lB

16
14
12

lO
8
200

300

400

lall
Fig. 6.6. Percentage
of confining

(6.37)

pressure

600

(bar)

of open cracks

for different

values

(Vosges sandstone)

(after Ctuirlez et al. 1991).

6.7
(6.38)

ADDITIONAL OBSERVATIONS CONCERNING

THE CLOSURE OF THE MICROCRACKS

Under uniaxial compression, direct observation

pressure shows that:

(6.39)

,
(6.40)

500

of the microcracks closure under

(a) The microcracks perpendicular to the direction of the stress close as the stress
increases, while those parallel to the latter have a tendency to open.
(b) The closure of the microcracks is nearly always incomplete as far as the "fossil" microcracks are con cerned (non-superimposable lips, residual material between lips). The morphological characteristics of the microcracks playa very
important part in their closure. This phenomenon alone explains why the
non-linearity is due to the microcracks and not to the pores.
(c) In the same way as we have defined J{E, one can define a drained Young's
modulus EB and drained Poisson ratio VE such that

(6.41)

122

6.8

Part II. Mechanism

of material strain

CONCLUSION. CONCEPT OF POROSITY

CHAPTER

The preceding paragraphs

clearly show that a porous medium can only be envisaged as an equivalent material whose macroscopic behaviour is finally identical to
that of the actual material. With this average material wiU be associated equivalent
characteristic
parameters which will only be representative
of a sufficient quantity of
material. Thus, independently
of their shape, the vacuums will be characterized
by
an average parameter:
"porosity" 0 which is by definition the volume ratio between
the vacuum and the total volume, that is

Thern
satura

(6.42)
This concept, in the same way as EB, l/B and f{B, is a global parameter (in other
words associated with a macroscopic quantity of material) and not a localquantity.

BIBLIOGRAPHY
BRACE, W.F., WALSH, J.B. and FRANGOS, W.T.,
under high pressure, JGR, Vol. 73.
BRACE, W.F., 1965, Some new mesurements
Vol. 70, No 2.

1968, Permeabi/ity

of linear compressibi/ity

of granite

of rocks, JGR,

CHARLEZ, P., SEGAL, A., PERRIER, F. and DESPAX, D., 1991, Microstatistica/
behaviour of brittle rocks, submitted to lnt. Jour. Rock Mech. and Mining Sciences.
GHIASSI, H., 1985, Dtermination
de l'tat de contrainte
microfissuration
des roches. Thesis EC Paris.

in situ par analyse de la

JAEGER, J.C., 1966, Brittle fracture of rocks, in "Failure and breakage

VIlIth Symposium on rock mechanics, City Press, Baltimore.
MAVKO, M., and NUR, A., 1978, The Effect of non-elliptical
ibility of rocks, Jour. Geoph. Research, Vol. 83.

of rocks",

cracks on the compress-

MORLIER, P., 1971, Description de l'tat de fissuration d'une roche

non destructifs simples, Rock mechanics, Vol. 3, pp, 125-128.

partir d'essais

SEGAL, A., 1989, Elaboration d'un modele microstaiistique

linaire de la rupture
fragile et application a la stabilit des forages profonds. Thesis EC Paris.
WALSH, J .B., 1965, The effect of cracks on Poisson's ratio
-' (The effect of cracks on ihe uniazial elastic compression of rocks);
- (The effect of cracks on the compressibility of rocks}, JGR, Vol. 70.

"

Porous media
taining vacuums ~
beyond a certain
could then be Ial
associated a globs
The chapters de-v
pothesis: either o
implicitly that th4
the presence of Yo
continuous media
tally filled by 0114
"interstitial presss
If the connect
saturated,
each al
certain conditions
rated. Its behavi
deals only with p4
Historically sp
was supplemented
(1975), who for th
Mac Tigue (1985)
equations the infll
Lastly, quite 11
thermomechanics
His achievemei
and opens the wa

CHAPTER

Thermodynamics of
saturated porous media

.!

(6.42)

..

rupture

Porous media were envisaged in the previous chapteras continuous media containing vacuums of different forms (pores or microcracks). It was also observed that
beyond a certain loading value, the microcracks completely close and the material
could then be ranked with an equivalent continuous medium with which could be
associated a global parameter characterizing the proportion of vacuums: porosity 0.
The chapters devoted to porous media will be made in the scope of the following hypothesis: either one considers that the medium is not microcracked, or one assumes
implicitly that the loading is sufficient for all the microcracks to be closed. However,
the presence of vacuums is not the only dominant characteristic that differentiates
continuous media and porous media. The connected porosity is always partly or totally filled by one or several fluids under pressure p, known as "pore pressure" or
"interstitial pressure" .
If the connected porosity is entirely filled with fluid, the medium is said to be
saturated, each of the fluids participating in the saturation. On the contrary under
certain conditions (particularly at low depth) the medium is only imperfectly saturated. Its behaviour becomes then very difficult to model. The following chapters
deals only with porous media saturated by a single fluido
Historically speaking, Biot was the first to deal with solid fluid coupling. His work
was supplemented in the seventies first by Geertsma (1969), then by Rice and Cleary
(1975), who for the first time provided a comprehensive formulation of poroelasticity.
Mac Tigue (1985) completed the work of Rice and Cleary by adding to the poroelastic
equations the influence of temperature.
Lastly, quite recently Coussy (1989 a) (1989 b) developed a general theory of the
thermomechanics of porous media by writing the major conservative laws.
.
His achievement makes it possible to go beyond the stage of thermoporoelasticity
and opens the way to thermoporoplasticity.

124

7.1

Part II. Mechanism ol material strain

BASIC HYPOTHESIS
OF THERMOPOROMECHANICS

7.3

The relevancy of the description of a porous medium is based on the following

hypotheses. First of all (and this is the main difference between continuous and porous
media) a porous medium is thermodynamically
open: it exchanges Huid with the
exterior. Secondly, although the medium is profoundly biphasic there will not be any
differentiation between Huid and skeleton: the macroscopic description of phenomena
will be considered as continuous. At least, the kinematic quantities associated with the
medium (displacements, velocities, strains) are described with respect to the skeleton.

7.2

Chapter

Jiodao

ifda

In the presen
other hand, the I
to (since the mal

where p and (2)

present configura
mass increment)
be equal to
m represents the
strained configw
The total ma

We saw in Chapter 1 that during a finite transformation, volume or area increments are modified and that elements in strained state (that is dV and da) could
be determined from elements in the non-strained state (that is dVo and dao) provided the transformation gradient f and its determinant J (also known as Jacobian
of the transformation) are known. These convective transports were expressed by the
equations [Eqs (1.15) and (1.19)]
JdVo

MASS'

Given a non-s
Ro, and given 8)

THE IMPORTANCE OF THE LAGRANGIAN

DESCRIPTION FOR WRITING
CONSERVATIVE LAWS

dV

7. Thermo

(7.1)

Given W (l
normal Ti (conves
is then an exit 11
Mass conserv

't

To give to (7.

with

that

f= o~
oX

= det If I

(7.2)

where
is the coordinate of any point of the medium in the present configuration
and X its initial position in the reference configuration (Lagrangian variable).
In the case of continuous media, the conservative laws are often described neglecting the convective transports. This can be justified by the fact that the medium is
thermodynamically
closed. The open character of porous media necessitates writing
the conservative laws in finite transformations for fear of committing serious errors
particularly with regard to mass balance.

where dao is the

to this surface E
depends only on
From (7.1) al

By inserting
the expression ol

Chapter

7.3

7. Thermodynamics

oEsaturated

125

porous media

MASS CONSERVATION

Given a non-strained

volume element dVo with respect to an initial reference frame

+ solid) such that

Ro, and given 8Mo the total mass of this element (fluid
8Mo

= modVo

(7.3)

In the present strained state, the mass of solid remains unchanged while, on the
other hand, the mass of fluid contained in the element of present volume dV is equal
to (since the material is saturated) by taking account of (7.1)

= p0dV = J p0dVo

8M!

(7.4)

where p and 0 are respectively the fluid density and the medium porosity in the
present configuration.
In this way, the total mass increment ..M (equal to the fluid
mass increment) between the initial configuration and the present configuration will
be equal to
J p0 dVo - po0o dVo
mdVo
..M
(7.5)

area incre. c..d da) could

_d dao) proas Jacobian
i!l!!llllIeSsed by the

m represents therefore the mass increment between the initial configuration

strained configuration divided by the initial volume.
The total mass 8\.1 in the strained state will therefore be written
8M

= 8Mo

+..M

= (m + mo)dVo

(7.6)

Given Mi da the mass of fluid flowing by time unit across the present area da of
normal (conventionally taken towards the exterior of the volume element). Mi da
is then an exit flow.
Mass conservation implies

f ~ (mo + m )dVo + t.
f Mi da = O
i;

(7.1)

(7.7)

vt

To give to (7.7) a Lagrangian

form, let us introduce

that
(7.2)
c:onfiguration
le).
t.:med neglect
medium is
.ates writing
senous errors

and the

odao

the Lagrangian

= Mi da

vector

M such
(7.8)

where dao is the surface element in the non-strained state and o the outside normal
to this surface elemento In fact, M has no physical meaning, but M, unlike Mi,
depends only on X and t.
From (7.1) and (7.8) one can extract furthermore
(7:9)
By inserting (7.8) into (7.7) and by applying
the expression of mass conservation

m=-V'M

the divergence

theorem one is led to

(7.10)

126

Part Il. Mechansm ol material stran

where m is a partial derivative with respect to time. The divergence operator is

defined in (7.10) with respect to the reference configuration Ro.
The usefulness of the Lagrangian description introduced by Biot (1977) in writing
the conservative laws is especially apparent when one derives Eq.(7.5). The state
variable which appears naturally is not p 0 (which is generally admitted) but J p 0.
In the hypothesis of small deformations, the J acobian being such that
J

kk

Ghapter 7. Thermo

Taking accow
gence theorem

where t = 1/2[v
the external foro

+1

the variation in mass is therefore equal to

(7.11)

7.5

FIRST

where ti is the velocity, and not

m=
as is generally admitted

7.4

(p0)

(7.12)

when convective transfers are not taken into account.

This principk
of the system au
external forces ir

Given udV, t
volume dV and
variation in inte
equal to

CONSERVATION OF LINEAR MOMENTUM

AND MECHANICAL ENERGY BALANCE

If one neglects inertia and body forces, it is reduced to a static equilibrium (see
Chapter 2). Writing directly the equations in the present configuration it will be
written

the second term

variables (7.20) I

(7.13)
where T is the surface force applied on the present surface of the body. The boundary
condition implies
(7.14)
where !?: is the Cauchy stress tensor also defined in the present configuration. It is not
then necessary in the linear momentum balance to differentiate stresses in solid and
skeleton. !?: and T are to be understood as average quantities.
Substituting (7.14) in (7.13) and applying the divergence theorem, one is led to
the classical equilibrium equation

The power o
paragraph and o
respect to the sil
If Vr is the ~
surfacic force exl
will be such that

(7.15)
The mechanical energy balance is a consequence of linear momentum conservation.
If v is the velocity of any point of the skeleton (with respect to which, we may recall,
the kinematic quantities are defined), one can easily deduce from (7.15)

ti(\7 . !?:)dV= l

\7. io. !?:)dV- l!?::

(\7 0 v)dV = O

(7.16)

This equatioi

1For convenienc
reference s made
densty of the medi

Chapter

7. Thermodynamics

oE saturated

127

porous meda

Taking account of (7.14), Eq. (7.16) can also be written, after applying the divergence theorem

(7.17)

a
where ~ = 1/2[\7 <'9v + t(\7 <'9v)] is the strain velocity tensor and
e the power of
the external forces as if the Huid and the skeleton had the same velocity
that is

v,

(7.18)

vTda

(7.11)

7.5

FIRST PRINCIPLE OF THERMODYNAMICS1

This principle expresses the energy balance, that is the variation in internal energy
of the system augmented by the rate in kinetic energy is equal to the power of the
external forces increased by the heat rate:

(7.12)

(7.19)
Given udV, the internal energy of the Huid and the solid contained in the present
volume dV and given Um, the internal energy of the Huid per unit of mass. The
variation in internal energy of the system during the increment of time dt will be
equal to

u. = 8ta J v udV +
l

A Um

a
u. = 7i
t

uodVo

Vo

(7.20)

W . iida

the second term being due to the open character

variables (7.20) can be expressed

(7.13)

..

j-

of the medium.

In Lagrangian

1-

(7.21)

umM . iiodao

Ao

The power of the external forces is the sum of W: expressed in the previous
paragraph and of
the power of the forces in the relative motion of the Huid with
respect to the skeleton.
If
is the relative velocity of the Huid with respect to the skeleton and TF the
surfacic force exerted on the Huid portion of the total area (that is 0da), this power
will be such that in the present configuration

W;

v,.

(7.15)

W; =

(7.22)

TF . VrOda

This equation can be written by introducing

the surfacic flowrate

such that

(7.23)
(7.16)

lFor convenience, the state functons (u, s, h, 1/J) are related to the unit volume except when
reference is made to the Huid (specific state functon with index m). This is the reason why the
densty of the medium does not appear in the equatons as it was the case in Chapter 3.

128

Part II. Mechanism al material strain

and the pore pressure p such that

Chapter

7. Therm~

by temperature. 1
paragraphs, one CAl

(7.24)
where the minus sign indicates a compression ( is towards the exterior).
(7.23) and (7.24) into (7.22) one obtains

. -

w; = -

Replacing

In (7.31),

p-

W . iida

(7.25)

AP

So

is

entropy of the flu

written

or in Lagrangian variables taking account of (7.8)

. =w;

P-

Ao

-M
P

odao

(7.26)

Let us extract

Let us introduce finally the heat rate Q such that

Q=

- { q. da = - {

s.. Q.

lA

TS
odao

(7.27)

or after developme

{~

where q and Q are respectively the "Eulerian" and "Lagrangian" heat flows received
(the minus sign compensates for the fact that the normal points towards the exterior). The formula of convective transport of surfaces also makes it possible to
express

Jq= F

(7.28)

Neglecting the kinetic energy rate k, substituting (7.21), (7.26), (7.27) in (7.19)
one obtains by introducing, hm
Um + p] p, the fluid mass enthalpy
2

(7.29)
By applying the divergence theorem to the surface integral and substituting''
value of ea extracted from (7.17), one is led finally to

vv

Let us introdu
thalpy gm of the :f

one is led to the

ti

the
One will suppc

(7.30)

7.6

SECOND PRINCIPLE OF THERMODYNAMICS

INEQUALITY OF CLAUSIUS-DUHEM

The second principle expresses that the variation in entropy of the system (again
volume term plus convective term) is greater than or equal to the heat rate divided
2This hypothesis is not necessary. If k: is not nil, it appears in (7.18) and is eliminated between
(7.18) and (7.19). See paragraph 3.11.2 and 3.11.3.
3Equation (7.17) can be written indifferently in Lagrangian or Eulerian configurations (expression
of energy).

(7.10),

cll1 is known as

7.7

CHOICl

The inequality
of the system (the

or material

Chapter

strain

7. Thermodynamics

129

of saturated porous media

by temperature. The approach being quite similar to that developed in the previous
paragraphs, one can write the equation directly in Lagrangian variables that is
(7.24)
- r). Replacing

(7.31)

(7.25)

In (7.31), So is the volume entropy of the skeleton fluid whole and Sm the mass
entropy of the fluido Locally, by applying the divergence theorem, (7.31) can be
written

Tso + T'l (smM) ~ -'l.

Q + T . ('lT)

(7.32)

Let us extract -'1 . Q from (7.30) and introduce it into inequality (7.32),

(7.26)

(7.33)
(7.27)

or after development

{Q': t - (uo

M}

- Tso - 1'so) - 1'so - (hm - Tsm)'l

(7.34)

+ { - ~ srr - M . ['1 hm

T'l

sml } ~

Let us introduce into (7.34) the volumic free energy tPo and the specific free enthalpy gm of the fluid such that
tPo = Uo - Tso
(7.29)

(7.35)

one is led to the final expression of the inequality of Clausius Duhem

(7.36)
One will suppose the decoupling of the two dissipations that is, taking account of
(7.10),

(7.30)

<I>l

t - sor + gm m - ~o ~ o
Q
- T . ('lT) - M . ('1gm +

Q' :

Sm

<1>1 is known as inirinsic

7.7

dissipaiion,

(7.37)

'lT) ~

<1>2 as thermohydraulic

dissipation.

CHOICE OF STATE VARIABLES (intrinsic dissipation)

ted between
(expression

The inequality of Clausius-Duhem which defines the thermodynamic admissibility

of the system (the dissipation must always be positive) reveals three observable state

130

Part Il. Mechanism ol material strain

variables: the total strain ~, the temperature T and the mass variation of the system
m (we should remember that it is only a Huid mass variation).
This latter state variable characterizes simultaneously the presence of vacuums
(through 0), the Huid compressibility (through p) and the medium compressibility
(through tu). Taking into account dissipative phenomena such as plasticity necessitates the introduction of additional variables known as internal variables. These
variables are of two types: plastic strain and hardening variables that characterize
the memory of the material (see paragr. 3.12.3). For a porous medium, plastic strain
results, from on the one hand, irreversible strain of the matrix ~~ (which is not an
observable variable) and on the other from that of the interconnected porous space.
In fact these variables are not independent.
First of all, the hypothesis of small
deformations induces,

Chapter 7. Therm~

that is replacing

(J'-~
(

7.9

<1

CASE O
LAWS(

(7.38)
where ~e and ~p are respectively the elastic and the plastic total strain. Secondly, the
total plastic strain can be divided into a matrix plastic strain (on the portion 1-00
of the total volume) and a plastic porosity 0P such that
(7.39)
Physically, the plastic porosity represents the irreversible change of porosity after
unloading.
As a summary, taking account of (7.38) and (7.39), after elimination of ~e and ~~
the state variables can be chosen as ~' ~P, 0P, T, m and Vk in which Vk represents
the hardening variables that characterize the possible memory of the material.

In case of reves
leads to

In the same w;
lastici ty. If 1/Jo is
largely devoted ~

7.10

CASE

In the case of i
of Clausius Duhen

7.8

CONSTITUTIVE
STATE LAW AND
THERMODYNAMIC
POTENTIAL

In the same way as for continuous media we assume the existence of a scalar
function 1/Jo (known as thermodynamc potential) of the state variables. \Ve shall
assume that this is free energy 1/Jo such that
(7.40)

(7.44) defines thes

7.11

DIFFU
THERJ

1/Jo being a state function one can calculate its total differential in order to eliminate

~o from the inequality of Clausius Duhem (7.37). By following the same reasoning as
in [Eq. (3.57)], one is led, taking account of the strain partitioning rule, to

,i. _ {No .. e
o/o - fJc_ e . f

{No T
fJT

{No.

+ fJm m +

{No 0'
fJ0P

(No

+ fJVk

Vi
k

(7.41)

Intrinsic dissip
Indeed, therrnopo
pressure and temj
tion results from 1

Chapter 7. Thermodynamcs

o( saturated

131

porous media

that is replacing (7.41) in the first Eq. (7.37),

(J" -

o'if;o )

o.

--

.e

+-

(J" :

.P

_ o'if;o

o0P

7.9

+ ( gm -

o'if;o). m - ( So
-Bm

el _ o'if;o Vi

Q'if;o)
+ -oT

T'

>o

OVk k -

(7.42)

CASE OF REVERSIBLE BEHAVIOUR

LAWS OF THERMOPOROELASTICITY

(7.38)
In case of reversible behaviour
leads to

(tP = izl = Vk
o'if;o
gm=--

om

= O) (7.42)
So

be comes equality which

= ---o'if;o
oT

(7.43)

In the same way as for continuous media (7.43) define the laws of thermoporoelasticity. If 'if;o is a quadratic form, the behaviour becomes linear. Chapter 8 will be
largely devoted to this.

(7.39)

P
and _M
Vi represents
material.
OfE;e
_

7.10

CASE OF IRREVERSIBLE BEHAVIOUR

In the case of irreversible behaviour, taking account of Eqs (7.42), the inequality
of Clausius Duhem becomes

,
of a scalar
_ We shall

(7.40)

(7.41 )

(7.44)
(7.44) defines thermoporoplasticity.

7.11

Chapter 10 will be devoted to this subject.

DIFFUSION LAWS OF
THERMOPOROMECHANICS

Intrinsic dissipation describes only partially the behaviour of a porous medium.

Indeed, thermoporomechanical
coupling prescribes knowledge at every moment of
pressure and temperature distribution in the medium. We shall see that this calculation results from two diffusion laws: Darcy's law and Fourier's law.

132

7.11.1

Part II. Mechanism of material strain

First diffusion law: hydraulic

or Darcy's law

Chapter

diffusion law

Replacing the

This law expresses that the fluid velocity V through a porous medium is proportional to the interstitial pressure gradient 'Vp. The proportionality coefficient depends
on the fluid (by means of its dynamic viscosity f-L) and the rock, by means of a tensor
~ characterizing the medium's percolation quality and known as permeability iensor,
that is
k
v=_:::'.'Vp
(7.45 )

= pil,

or after developrnei

with f{= :::.

in which 1f is known as the hydraulic diffusion

7.11.2

one obtains

= -l(. 'Vp

T'V

The first term o

flow, the second, tI
local increase in he
member characteri
irreversibilities or 1

(7.46)

f-L

tensor.

Second diffusion law: heat diffusion law

or Fourier's law
BIBLIOGRAl

This is similar to the previous one and expresses that the heat flow per unit of
surface Q is proportional to the temperature gradient. The proportionality constant,
which is also tensorial, characterizes the ability of the medium to diffuse heat, and is
known as thermal conductibility tensor x, Fourier's law will be written

Q=
7.11.3

SI

one obtains

f-L

or by introducing the surface flow rate

7. Tbermodyi

Hydraulic

and thermal

(7.4 7)

-!S. 'VT

diffusivity laws

The drawback of the diffusion laws is that they depend on the flow rate M and
the heat flow Q. Therefore diffusivity laws, (combining diffusion and conservation
laws) are preferred.
The hydraulic diffusivity law can be obtained by coupling Darcy's law and the
mass conservation that is
m=-'VM
(7.48)
which Ieads after elimination of

to

m-

'V(pIJ. 'Vp) =

(7.49)

Similarly, the thermaI diffusivity law can be obtained by coupling Darcy's law and
the two principles of thermodynamics [Eqs (7.30) and (7.37)]

+ 'V.

(hmM)

M., 1941, (
12.
- 1972, Variation.
chanics of porous
579-597.
- 1977, The theor
27,597-620.
BIOT,

= q::

4. -

'V.

Q
(7.50)

CHARLEZ, P., 1981

du Groupe TMP, 1

COUSSY, 0.,1989
du Groupe III du I
- 1989, Thermod,
J ournal of Mechan
- 1989, A general
March 1989.
- 1988, Personal (

133

Cbapter 7. Tbermodynanlcs of saturated porous media

Replacing the second of these equations in the first and taking into account that

'lj;o
um is proporcient depends
s of a tensor
bility iensor,

uo - T So - soT
(7.51)

(7.45)

one obtains

(7.52)
or after development

(7.53)
The first term of (7.53) represents the input of convective entropy due to the fluid
flow, the second, the variation in entropy of the material over time and the third, the
local in crease in heat due to the therrnal conductivity of the material. The right hand
member characterizes the energy dissipated in heat, either mechanically in plastic
irreversibilities or by the viscosity forces in the moving fluido

(7.46)

BIBLIOGRAPHY

tlow per unit of

ity constant,
heat, and is

BIOT,

M., 1941, General theory of ihree dimensional

consolidation,

J. Appl. Phys.,

12.
- 1972, Variational Lagrangian thermodynamics
of non-isothermal finite strain mechanics of porous solids and thermonuclear
diffusion, Int. J. Solids Structures 13,
579-597.
- 1977, The theory of finite deformations of porous solids, Indiana Univ. Math. J.,
27,597-620.

(7.47)

(7.48)

(7.49)
Darcy's law and

(7.50)

CHARLEZ,
P., 1989, Thermomcanique
des milieux poreux saiurs, rapport de recherche
du Groupe TMP, March 1989, unpublished.

COUSSY, 0.,1989, R61e du fluide interstitiel sur le comportement des roches, rapport
du Groupe III du GS Mcanique des roches profondes.
of saturaied porous solids in finite deformation, European
- 1989, Thermodynamics
Journal of Mechanics, A/Solids, Vol. 8, No 1.
Transport in porous media,
- 1989, A general theory of thermoporoelastoplasticity,
March 1989.
- 1988, Personal Communications, TOTAL CFP, unpublished.

CHAPTER

Infinitesimal
thermoporoelasticity

In the case ofreversible (i.e. elastic) behaviour, the inequality ofClausius-Duhem

becomes an equality which leads to the general equations of thermoporoelasticity!
{)1/J
s=--

{)T

(8.1)

To obtain a linear theory, it is sufficient to choose a quadratic form for the thermodynamic potential. The most physical approach is to find the thermodynamic
potential by integrating the constitutive laws rather than to find the constitutive
laws by deriving the thermodynamic potential. It is proposed first of all to determine
![, gm and s.

8.1

HOOKE'S LAW IN THERMOPOROELASTICITY

CONCEPT OF ELASTIC EFFECTIVE STRESS

One can rank dry rocks with an equivalent continuous medium the mechanical
behaviour of which is identical to that of the actual material.
The laws of thermoporoelasticity are built on the following assumptions.
First of all, one assumes that the equivalent dry material (i.e. without any fluid
in the porous space) is linear, elastic and isotropic with elastic constants EB and v.
Secondly one admits that the matrix (solid + unconnected porosity) is continuous
isotropic and linearly elastic with elastic constants EM and VM.
lln the previous chapter, index zero referred to a Lagrangian quantity. In the case of small
perturbations (which is the scope of this chapter), Lagrangian and Eulerian configtirations being
ident.ical, the index has been abolished.

136

Part Il, Mechanism

oi material strain

The second hypothesis as we shall see later is not necessary to build a general
theory.

8.1.1

-p

....

where KM
EM/3{J
Component 11 o
stress field r!: + [p 3D

Decomposition of the state of stress

Hooke's law of a porous medium

The previous considerations enable one to determine easily the constitutive law of
the equivalent material by decomposing the actual state of stress into two elementary
components according to Fig. 8.1: the porous medium is subjected to a state of stress
r!: and to a pore pressure P which are decomposed into a purely hydrostatic component
1 and a deviatoric component 1I. We shall mention that stresses are defined with
respect to an initial state of stress r!:o different from zero (because of the hypothesis
on microcracks closure). The pressure is also defined with respect to a reference value
Po

Chapter 8. Infinitesimal

The ~verall straI

in which KB = EBI
Eq. (8.5) represents I

8.1.2

Biot's co

Let us write

az

@
Component

Fig. 8.1. Decomposition

with

~
+

o
Component

of the state

After pooling Eq.

~-

a2+p

In other words, 11
as that of a continuo

II

(a) The stresses e

(b) The elastic el
EB, VB

of stress

(cift er Carnet.1976).

Let us now apply Hooke's law to these two elementary states of stress [Eq. (4.30)]
that is

~
v
= 2G - ElJkk8'J

'J

(8.2

Component 1 corresponds to the hydrostatic loading of the matrix (with pressure

p) and leads to a deformation state

{J
I

'J

P
= -3KM

'J

(8.3)

The stresses < O"ij

coefficient. It is there
the strain of a poron
stress is linked to t

Chapter

137

8. Infinitesimal thermoporoelasticity

where KM
EM /3(1 - 211M) is the bulk modulus of the matrix.
Component 11 corresponds to the loading of the dry equivalent material by a
stress field q;+ lP and leads to a deformation state c{f
II

c~J

titutive law of
two elementary
a state of stress
ic component
. are defined with
the hypothesis
a reference value

.r

1+ IIB

= ---;;;-((f~J + p8~J)-

IIB

EB ((fa

+ 3p)8~J

(8.4)

The ~verall strain is obtained by adding (8.3) and (8.4) which leads to

(8.5)

in which KB
EB/3(1 - 211B) is the bulk modulus of the equivalent dry material.
Eq. (8.5) represents Hooke's law of poroelastic materials.

8.1.2

Biot's coefficient and elastic effective stress

Let us write
with
a

= 1- KB

KM

(8.6)

< (fa >= (fa + 3ap

After pooling Eq. (8.5) becomes

(8.7)
In other words, Hooke's law of a poroelastic medium is written in the same way
as that of a continuous material provided one replaces:
(a) The stresses (f'J by < (fij >.
(b) The elastic characteristics by those of the equivalent continuous dry material

EB,

(8.2)

(8.3)

ve-

The stresses < (fij > (8.6) are known as effective stresses and a is known as Biot's
coefficient. It is therefore the effective stresses and not the total stresses that govern
the strain of a porous elastic material. We may note that this concept of effective
stress is linked to the constitutive
law. It is not a static concepto

138

Part II. Mechanism oEmaterial strain

Chapter 8. Infinit.

(8.11) and (1

8.2

VOLUME VARIATIONS ACCOMPANYING

THE DEFORMATION OF A SATURATED
POROUS MEDIUM
Since dO'

8.2.1

Bulk volume variations

The bulk volume variations (matrix + pores) can easily be calculated from Hooke's
law (8.5). Indeed, the volume strain f.u is such that
f.u

6.VB
VB

1 (Uu
KB 3

+P

)
-

P
KM

Variation in pore volume

It is exclusively the variations in normal components that generate porous volume

variations. Let us decompose the normal total stress into a hydrostatic part and a
deviatoric part such that
with /7

By eliminati

(8.8)

in which VB is the bulk volume.

8.2.2

=-

Uu

(8.9)

The final ex
jected to an ine
pressure, is obu
the two transfor
in which the me
remains constan
pore pressure v
volume de crease
increase in the Il
dO' referring
reciprocity theoi

Let us analyze separately the variations in pore volume due:

(a) To the variations in mean stresses and interstitial pressure on the one hand.
(b) To the variations in deviatoric stresses on the other.

By replacing

Let us assume that Vp (pore volume) and VB (bulk volume) are state functions of
p and /7. One can therefore calculate their total differentials. The relative variations
in pore volume will therefore be such that
or taking accour
dVp
Vp

= _1

Vp

(OVp)
8U

dO'+ ~ (OVp)
Vp
op

dp

To eliminate/ (oVpfop)q from (8.10), let us consider the stress path -dp
Equations (8.3) and (8.8) lead to
dp
--dVB
=
--=
VB
KM
Since dVp

= dVB -

1
f.k/c

= --dVM
VM

dO'

(8.10)

77

= -dp

= dO'.
(8.11)

The same res

pression

dVM taking account of (8.11) one obtains

dVp

dp
= --(VB
KM

- VM)

dp
= --,,-Vp
AM

2The theory being linear, the partial derivatives are independent

The final exJ

(8.12)
of the loading path.

Formula (8.1:

 material strain

Cbapter 8. Innnitesimal tbermoporoelasticity

139

(8.11) and (8.12) lead to the identity

dVp
Vp

dVM
-VM

dVB
-VB

dp
KM

M=-dp

(8.13)

Since M = -dp, Eq. (8.10) will be written by taking account of (8.13)

By eliminating

{}(

p -

Vp

ap

(8.14)

7i

(aVp/ap)u between (8.10) and (8.14), one is led to

dVp
Vp

(8.9)

1 (avp)

1 (avp)

KM = Vp

~ (avp)
{}(
Vp

= __ l_dp+
KM

(M+ dp)
p

(8.15)

The final expression of the relative variation in pore volume for a material subjected to an increment M of mean total stress and to a variation dp of interstitial
pressure, is obtained by applying Betty's reciprocity theorem (see paragr. 4.10) to
the two transformations represented in Fig.8.2: on the one hand the transformation
in which the mean total stress varies between 7f and 7f + M whereas the pore pressure
remains constant and, on the other, that in which 7f remains constant whereas the
pore pressure varies from p to p + dp. In the first case, the increment M induces a
volume decrease (M negative when increasing compression) while dp induces a volume
increase in the second case.
M referring to the external surface (Fig.8.2) and dp to the pore surface, Betty's
reciprocity theorem will be written

dVp,

dp + dVB

O = dVP2 X 0+ dVB

By replacing the differentials by their values (Fig. 8.2), one obtains

p
(av{}()

functions of
ive variations

(aVB)

(8.16)

or taking account of (8.8)

(8.10)
JIIdh

-dp

= M.

(avp)
{}(

= VB

1 1)

(8.17)

KB - KM

The final expression of the relative variation will therefore be written

(8.18)

(8.11)
The same reasoning with the deviatoric components
pression
(8.12)
path.

dVp
Vp

1 ( 1 1)

KB

KM

of Eq, (8.9) leads to the ex-

(dUiAJ - M)

Formula (8.18) remains valid in the general case.

=O

(8.19)

140

Part Il, Mechanism

ol material strain

Chapter 8. Inni

8.3

av

dV: =( --p)
Pl

au

MAS!
ACC(
OFA

dCT
p

The pore

VI

in which p is ti

-p

that is, after l.iJ

The differen
(assumed to be

dV:B?=(

-aaVBP )-u dp
which can also

Fig. 8.2. Applicatian

af the variatian

8.2.3

of Betty's thearem

af the paraus

Dividing (8.
after linearizati

far calculatian

:=(

valume.

in which m = 1
of per unit of t.
7Y and p, ar.
pore pressure p

Relative porosity variation

By differentiating

porosity 0= Vp / VB one obtains

r
i

8.4
d0 _ dVp._ dVB
Vp
VB

o -

(8.20)

UNDJ
SKElV
AND

that is by replacing (8.18) and (8.8) in (8.20)

d0

(8.21 )

The name "

do not induce t

 _material

strain

Chapter 8. InfinitesimaI thermoporoelasticity

8.3
iJvp

_
dO'

--)

iJO'

141

MASS VARIATIONS
ACCOMPANYING
THE DEFORMATION
OF A SATURATED POROUS MEDIUM

it contains a mass of fluid M equal to

The pore volume being saturated,

= pVp

(8.22)

in which pis the fluid density. The differentiation of this expression leads to
dM

= pdVp + Vpdp

(8.23)

that is, after linearization,

The difference in density can be expressed as a function of the fluid compressibility

(assumed to be constant in the range of pressures used). Indeed [see Eq. (3.31)].

~M

= Po~Vp + (p -

_1 __
K -

Po)Vp

(8.24)

.L (OVp)
Vp

op

which can also be written after linearization

te = ~

(8.25)

p- Po

Dividing (8.24) by PoVp and taking into account of (8.18) and (8.25), one obtains
after linearization
(8.26)
in which m = ~M/VB
is identical to that defined in Chapter 7 (variation fluid mass
of per unit of total initial volume).
(j' and p, are defined with respect to a reference state of stress [o and a reference
pore pressure Po.

J
(8.20)

(8.21 )

8.4

UNDRAINED
BEHAVIOUR
SKEMPTON'S COEFFICIENT
AND UNDRAINED
ELASTIC CONSTANTS

The name "undrained test" is given to a test during which the loading variations
do not induce fluid mass variations. By taking m
O, Eq. (8.26) becomes

p =-B(

(8.27)

Part Ir. Mechanism ol material strain

142

Chapter 8. Infiai

Identifying

in which
1

B =

J(B {M
o [~j - }M] + [;B - }M]
-----

(8.28)

is known as "Skempton's coefficient" .

Equation (8.27) shows that under undrained conditions, pressure in creases linearly
with mean stress with a slope equal to the Skempton's coefficient (Fig.8.3). Taking
account of (8.28) and (8.6), (8.26) is written in the general case

J(Bm = _0"+-

--

expo

which leads fin

(8.29)

which can also

Hooke's la1
elastic constan

~ ~a

or taking aCCO
Fig. 8.3. Skempton's

Under undrained
of (8.27)

coefficient

(undrained

conditons).

conditions, Hooke's Eq. (8.5) is then written, by taking account

(8.30)
or , by introducing

where

r is a constant

Biot's coefficient ex
one is led to
(8.31 )

One defines then the undrained elastic constants

Vu

and E such that

that is taking ,
(8.32)

Chapter 8. Infinitesimal

Identifying

thermoporoelasticity

143

(8.31) and (8.32), one obtains

1 + V
Eu

1 + VB
EB

------===>

(8.28)

3VB
-3v" = __
E"

G _ G

,,-

(8.33)

(1- 2vB)aB
+ 00....-_-=-'--_

EB

EB

which leads finally to the expressions

Vu

+ (1 - 2VB )aB
= 3VB
3 - (1 - 2vB)aB

(8.29)
E

(8.34)

3EB
3 - (1 - 2vB)aB

(8.35)

/{B

(8.36)

1-aB
which can also be written

taking account of the first of the Eqs (8.33)

(8.37)

Hooke's law can be written in its general form as a function of the undrained
elastic constants K and E". By solving with respect to the stresses, (8.5) becomes

(8.38)
or taking account of (8.36)

(8.39)
where
(8.40)
(8.30)

r is a constant

and depends on

/{u,

B and a. Indeed by combining (8.29) and

(8.41)

(8.31 )

one is led to

--/{Bm
=
poa

rr

1\Bkk

(1-

aB)
B

(8.42)

that is taking account of (8.36)

(8.32)

(8.43)

144

Part II. Mechanism

of material stl'ain

Chapter 8. ImiII

(8.44)

The consti
constants by i
then written

By eliminating p between (8.40) and (8.43) one obtains

r=--

BKu
O'

Taking account of (8.44), Eq. (8.40) is finally rewritten

p

= r ( -O'a + :)

(8.45)

Equation (8.45) enables one to interpret physically constant r: T}/ Po evaluates the
excess of pressure that needs to be exerted with respect to a reference configuration
to in crease the fluid content by a unit of mass per unit of total volume for an isochoric
(a
O) and isothermal stress path since thermal phenomena have not been taken
into account.

8.5

The last te

(p = Po), non-

taking accoun
from an incres

THERMAL EFFECTS

In the gen

The constitutive Eqs (8.38), (8.39) and (8.45) established in the preceding paragraph consider implicitly that the temperature of the medium remains constant during
the transformation.
The main temperature effect on a medium (solid, liquid or gas) is to cause an
in crease (or a diminution) in volume: this is the phenomenon of thermal expansion.
The increase in incremental volume resulting from an increment in temperature dT
is such that
dV
- = O'fdT
(8.46)

8.6

ENT
ATl

Vo

where O' J is the thermal expansion coefficient of the material. If one wishes to maintain
the volume of material constant during transformation, one has thus to apply to this
latter a compressive mean stress such that

(8.4 7)
Let us now consider the case of a saturated porous medium and let us carry out an
isochoric (ea
O), undrained (m
O) test with temperature variations. This causes
the appearance of a thermal stress of the type (8.47) with K (undrained bulk modulus) and O'u (volumic thermal expansion coefficient of the medium under undrained
conditions) as parameters.
In the general case, after linearization of Eq. (8.47) the
constitutive equation will be therefore''

(Ku - 2~u ) a5]

+ 2Gue.]

Entropy .c
obvious reaso
and T rather
After differen1

or dividing b3
d

(8.48)
(ni (:)

To compm

S and the fre

5,] - O'uJ(u(T - To)5,]

3We write now the equations taking into account the initial state.

Each part
tests.

_ material strain

(8.44)

Chapter

8. Infintesmal

145

thermoporoelastcity

The constitutive equation can also be expressed as a function of the drained elastic
constants by introducing the drained thermal expansion coefficient e- Eq. (8.38) is
then written
2GB)
( J(B - -3-

+ 2GBC

1)

(8.49)

a(p - Po)8,) - O:BJ(B(T - To)8'J

(8.45)
", evaluates the
configuration
b an isochoric
aot been taken

Ckk81)

The last term of (8.49) is therefore, characteristic of an isochoric (ckA: = O), drained
(p = po), non-isothermal (T#To) transformation. By comparing (8.48) and (8.49) and
Gu, one obtains the pressure variation resulting
taking account of the fact that G B
from an in crease in temperature in an isochoric undrained transformation, that is

p-

aBJ(B (T

_ auJ(u -

Po -

'T')

(8.50)

-.Lo

In the general case, Eq. (8.45) will be written

p - Po

8.6

= r [m]
-aCkk

+-

Po

;; - aBJ(B
(T - To)
o:

(8.51 )

ENTROPY VARIATION ACCOMPANYING

A TRANSFORMATION

(8.46)
To compute the thermodynamic

(8.47)
carry out an
_ This causes
bulk mod_der undrained
_ Eq. (8.47) the
lIS

potential

1/J, one has to write the global entropy

S and the free enthalpy of the Huid gm.

Entropy S being a state function, one can calculate its total differential. For
obvious reasons, we will choose as state variables VE (bulk volume), M (total mass)
and T rather than Ckk, m and T, the first two already being incremental
After differentiation, one obtains

dS = ( oS )
aVB

dVB

M ,T

(OS)
aT

vB,M

ar ; (

OS)
aM

vB,T

quantities.

dM

(8.52)

or dividing by VB
OS)
( aVB

(8.48)
Each partial
tests.

m,T

Ckk

1
VB dT

(OS)
aT
Ekk,m

os )

aM

(8.53)

Ekk,T

derivative can be expressed explicitly by assuming three different

146

8.6.1

Part II. Mechanism oE material strain

(m = O) isothermal

Undrained

(T

= To)

test

where s~ is ti
one increases
fluid, one has
that is

In this case one has

(a~~k)
3

m,T

(::r)

(8.54)
m,T

Now, it has been shown in [Eqs (3.31) and (3.37)] that

(a~:')
3

(avaT )
B

m,T

zs:
m,

where L is the
therefore the _
the temperail
latter transfos

= ll'uVB

The total,
(8.55)

aO';k)

Chapter 8. lD&

aVB
m,T

that is

Replacing (8.55) in (8.54), one obtains

(8.56)

8.6.2

Undrained

(m

= O) isochoric

Replacing
of reference ".

(ckk = O) test

or, after lineal

In this case, one has to introduce isochoric specific heat
in paragraph 3.9.1 for Cv.
The incremental increase in temperature dT (at m and
supply of heat dQ to the system

Ckk

in the same way as

kk constant)

induces a

(8.57)
where Mo and To are the initial mass (invariable since the test is undrained)
reference temperature. The second partial derivative is such that

and the

8.7

VAR

DUR

The free el
(8.58)

By differes

8.6.3

Isochoric

(ckk = O) isothermal

(T = To) test

By introducing an additional mass offluid into the porous medium, one introduces
an additional quantity of entropy such that
(8.59)

where Vi is ti!
medium is sat

ot material strain

Chapter 8. Infinitesimal thermoporoelasticity

147

where s~ is the specific entropy of the Huid at temperature To. But by injecting Huid,
one in creases its pressure. Since compression tends to in crease the temperature of the
Huid, one has to extract heat from the system to maintain its temperature constant
that is
dQ= -LdM
(8.60)
(8.54)

where Lis the latent heat per unit ofmass of fluid supplied. The latent heat represents
therefore the quantity of heat to be removed per unit of mass of Huid for maintaining
the temperature constant in an isochoric, isothermal test. There results from this
latter transformation a decrease of entropy

dS2

=-

dQ
To

= -~dM

(8.61)

To

The total entropy variation during the test is therefore

(8.55)

dS

= dS + dS = s~dM
1

- -dM
To

(8.62)

that is

(:!)
(8.56)

kk,T

= s~

- ~

(8.63)

Replacing (8.56), (8.58) and (8.63) in (8.53), and introducing

of reference volume VB, one obtains finally

entropy s per unit

(8.64)
or, after linearization,
(8.65)

(8.57)

8.7

VARIATION IN FLUID FREE ENTHALPY

DURING A TRANSFORMATION

ed) and the

The free enthalpy of the Huid is such that
(8.58)
By differentiating

(8.59)

- TS,

(8.66)

(8.66) one is led to (see Chapter 3)

dG,

one introduces

= H,

G,

= V,dp -

S,dT

(8.67)

where V is the Huid volume contained in the porous medium (equal to Vp since the
medium is saturated)

(OG,)
op

=
T

V
'

(OG,)
oT

=
p

-S,

(8.68)

148

Part Il. Mechanism al material strain

V and S being state functions,

one can calculate

(av)
ap

dV

dS

dp
T

(as)
ap

dp
T

their total differentials

(av)
aT

dT
p

gm

(as)
aT

- 1 [l+a(T-To)--.,~

dT
p

p - po]
A

T-To

+ Cp--

Sm

where a and K are respectively

(8.70)

the thermal

Po

expansion

coefficient

static bulk modulus of the fluid, and Cp its specific heat at constant
Replacing

(8.70) in (8.68) and after integration,

_

gm -

9m

o
T - To)sm

a
+-(T
Po

8.8

p + --

- To)(p - Po) -

THERMODYNAMIC

and the hydropressure.

one obtains

Po

Po

Cp

2T,

(p - PO)2

(8.71)

one obtains afl

.,
2poA.

POTENTIAL

tensor AV. such that

(b) The porous tensor

(c) The thermaI tensor
The constitutive

= (Kv. -

17

2A22 =-

+ G.(b'kbJl + b,ebJk)

E = a1J[.

-6 = a.Kv.1.

equations

2~ .) b'Jbkl

one obtains aft

The last co
Now in a Ji

'"
A~kl

The coeffici
and by identifj

(T - To)2

The constitutive Eqs (8.48), (8.51), (8.65) and (8.71) define the thermomechanical
behaviour of a poroelastic material.
These equations can be written in a matricial
form by introducing:
(a) The elastic undrained

Contrary ti
in T - To and
is a quadratic
while the term
In these ea

-(p - Po)

To

= 9~-

(8.69)

which can also be written by taking account ofEqs (3.31) and (3.41), after linearization
and division by mass (the index m indicates specific quantities)
1

Chapter 8. InfinI

= - + A'"'"
0
17

p = Po - R:

or, taking acco

can be written,

e - (m) -

R
-

+ 1J+
Po

Po

9m -gm

A (T - To)
-

a .K .- aBKB
(T - To)
a

(8.72)
Deriving (8
(8.73)

Chapter 8. Innnitesimal

149

thermoporoelasticity

mo(T - To)
O
To
+Smm-

S=SO+{l.:f+GEkk
gm

= gm -

(T - TO)sm

P-PO

+ --

(8.69)

PO

Gp

(T-To)2
2

Lm
To

+ -(T

T.

- To)(p - PO)

Po

(8.74)

(8.75)

(p - PO)2
2pOK
linearization

Contrary to (8.72), (8.73) and (8.74), (8.75) is not linear but of the second order
in T - To and P - Po. In a linear theory (i.e. for which the thermodynamic
potential
is a quadratic form), only the three first terms of (8.75) are taken into consideration
while the terms of the second order are neglected.
In these conditions, the thermodynamic
potential can be written

(8.70)
'1/;

A2(T

+ f : 411 : f + A22(T - TO)2 + A33m2 +;:h : f +

'1/;0

- To)

+ A3m +;:h2 : f (T - To) +;:h3 : f m + A23(T - To)m

(8.76)

The coefficients can be estimated by taking account ofthe partial derivatives (8-1)
and by identifying subsequently with (8.72,8.73,8.74,8.75).
Thus by calculating
0'1/;
u=-

of

(8.71)
one obtains

after identification

with (8.72)
dt3

= -~

(8.77)

0'1/;

s=-one obtains

after identification

with (8.74)

mo

= -G

2An

oT

Ekk-

(8.78)

To

The last coefficients can be calculated

Now in a linear theory gm is written
O
gm = gm
- (T -

using the second partial

rro)
.1. o

Sm

deri vati ve (8 - 1).

P+ --

Po
Po

(8.79)

or, taking account of (8.73),

gm

= gmo -

1J

: f
Po

TI

2" m

Po

+ (T - To)

[ -Smo

a" te; - o s
+ -----poa

KB]

(8.80)

(8.72)
Deriving

(8.76) with respect

to m, one obtains

0'1/;

(8.73)

gm = om = 2A33m

+ A3 + dt3

: f

+ A23

(T - To)

(8.81 )

150

Part

Ir.

Mechanism

ol material strain

Chapter 8. InDi&

which leads after identification with (8.80) to

= -2rPo

A3

= gm

The expression of
_
V; - V;o
+[0: , -

V;

A33

23

= -Sm +

Q'u

Ku - Q'B KB
poQ'

(8.82)
Substituting
one finally obta

is therefore such that

e :

mO

~u :

so(T - To) + g!m o

-Smm

- C~kk 2To (T - To)

(,6 : ,)(T
Lm

T - To)-+ -(T
To

+ 2P6m

- To) -

3 : ,

(8.83)

(:)

8.10

- To)

Finally, identification of A23 in (8.78) and (8.82) leads to a relation between latent
heat and thermal expansion coefficients
L= To [Q'uKu -Q'BKB]
Q'
Po

8.9

(8.84)

RELATION BETWEEN THERMAL

EXPANSION COEFFICIENTS

I~Vfl

= ~V

= sv -

(8.86)

~VB

I~Vfl = VfCtf(T - To) - VBCtB(T

Extracting I
time, one obtaa

(8.85)

- ~Vp

+ ~VM
- To) + VMCtM(T

Up to now
Fourrier's law ti
into the constin
law is written ~

Mass conser

During a temperature variation, in drained conditions and at constant mean stress,

fluid is expelled from the porous medium to maintain a constant pressure.
In fact, the volume of fluid really expelled during the process is such that
I~Vfl

EQU

Replacing (1

(8.87)

- To)

where Ctf and CtM are respectively the fluid and matrix expansion coefficients. IntroVf), one
ducing the porosity and taking account that the medium is saturated (Vp
is led to

I~Vfl

= [0oCtf

- CtB + (1- 00)Q'M]VB(T - To)

(8.88)

8.11

PAR:

(8.89)

Let us consa
and (8.96) are 1

or again dividing the two members by VB

m

- = -[00Ctf - CtB + (1- 00)CtM](T - To)

Po

the minus sign indicating that the fluid is expelled from the porous space.
On the other hand, in drained conditions (that is at constant pore pressure) and
at constant mean stress, Eqs (8.49) and (8.51) are written

(8.90)

Gl material strain

Chapter 8. Infinitesimal

151

thermoporoelasticity

(8.91)

(8.82)
Substituting
(8.89) and (8.90) in (8.91) and taking account
one finally obtains

of (8.36) and (8.44),

(8.92)
(8.83)

8.10
between latent

(8.84)

EQUATION

OF HYDRAULIC

DIFFUSIVITY

Up to now we have not used the diffusion equations (Darcy's law for flow and
Fourrier's law for heat) defined in the previous chapter. They have to be introduced
into the constitutive laws in order to complete the formalismo As regards flow, Darcy's
law is written [Chapter 7, Eq. (7.46)] (l{ is supposed to be a scalar)

!Vi

= -l{V'p

with l{

Po
Mass conservation

= -/-tk

(8.93)

implies [Eq. (7.10)]

m=-V'!Vi

(8.85)
(8.86)

(8.94)

Extracting m from (8.73), taking account of (8.84) and deriving

time, one obtains
.
Po {)p
PoB
()
P5L {)T
m =- - + : - - 1]

Replacing

(8.87)

{)t

{)t

1]

1]To

with respect

{)t

to

(8.95)

(8.95) in (8.94) and taking into account of (8.93), one is led to

!{)p + a O.::kk_

Lpo {)T

1] {)t

T01]

PARTICULAR

{)t

(8.88)

8.11

(8.89)

Let us consider first an isothermal

and (8.96) are written

= ~V'2p

{)t

/-t

(8.96)

CASES
test at constant

mean stress.

In that case, (8.8)

(8.97)

(8.90)

(8.98)

oi materal stran

Chapter 8. Infiair

By replacing (8.97) in (8.98) and by taking account of (8.36) and (8.44) one is led

Taking a.caJI

Part II. Mechansm

152

to
~

= ~J1\12p

8p

Bl\.B 8t

(8.99)

or taking account of (8.28)

mass conservati
8p

(8.100)

8t

Eq. (8.95) and]

1

where

~[_l __1] __1

00

KB

KM

(8.101)

KM

are respectively the fluid and the pore volume compressibilities [see Eq. (8.18)] at
constant mean stress.
(8.100) is the classic equation used in reservoir engineering.
Another interesting case is that of a rock with an incompressible matrix
(KM -+ 00, O:M -+ O). For such a material, the thermoporoelastic coefficients become
[see Eqs (8.6), (8.28), (8.36), (8.44), (8.84) and (8.92)]

Kf

(8.103)

+ 00KB
K

00

To
= -af1\

In Eq. (8.11
fluid flow is of
theory. Taking

PoL

(8.104)

7]=-

since in a lineal

(8.102)

a=l

(8.108) can :

T.7

(8.105)

11

(8.113) is ti

Po

By replacing (8.102), (8.103), (8.104) and (8.105) in (8.96), the hydraulic diffusivity equation becomes
_1_ 8p
J{

8t

+ ~

fJckk

_ O: 8T

00 8t

at

= .s: \12p
00J1

(8.106)

8.13

RES~

BOU

ANI:

which only depends on the fluid properties (that is J{ and a) and the porosity.

A general tl

8.12

EQUATION

OF THERMAL

DIFFUSIVITY

This derives directly from Eq, (7.53), assuming on the one hand 1>1 = O (no mechanical dissipation in an elastic material) and ignoring, on the other, the viscous
dissipation in the fluido In this case, around the reference temperature To, one obtains
(8.107)

(a) The tot

(b) The su
(c) The dis
(d) The int
(e) The teJ
In the sam
equations and
form: the Belti

Chapter 8. Innnitesimal

153

thermoporoelasticity

Taking account respectively of Eq. (8.74)

as

(8.99)

0<;'

mo

aT

Lm

o.

at =-6 : 8i+CCkkTo 7it+smm-

(8.108)

To

mass conservation
(8.109)

(8.100)
Eq. (8.95) and Fourier's law

Q=

-/\,VT

(8.108) can be written (replacing matrices

(8.101)

(a,J'uTo

- LpQa)

(8.110)

-6

and

by their values)

aekk
(
P6L2) er
Tt
+ CCkkmO + rTo 7it
(8.111)
_poL ap
r

at

+ T.oMVs
m

= /\,V2T

since in a linearized theory [Eqs (8.68) and (8.71)]

agm

Sm

= - aT =

(8.112)

sm

(8.102)
In Eq. (8.111), the convective term ToMVsm representing the heat supply due to
fluid fiow is of the second order and consequently can be neglected in a linearized
theory. Taking account of (8.84), one obtains

(8.103)

PoL ap
- ry
at

(8.104)

(
CEkkmO

P6L2)
rTo

er

.r

aekk

7it + aBJ'BT0Tt

2
/\'V

(8.113) is the linearized diffusivity equation of thermoporoelastic

(8.105)

(8.113)

T
materials.

IIItkallllic diffusi-

8.13
(8.106)

RESOLUTION OF A THERMOPOROELASTIC
BOUNDARY PROBLEM. BELTRAMI-MITCHELL
AND CONSOLIDATION EQUATIONS

A general thermoporoelastic
(a)
(b)
(c)
(d)
(e)

(8.107)

The
The
The
The
The

problem contents 17 unknowns that is:

total state of stress that is six unknowns.

state of strain that is six unknowns.
displacement field that is three unknowns.
interstitial pressure.
temperature.

In the same way as for elastic media, the Hooke's equations, the compatibility
equations and the equilibrium equations can be expressed together into a differential
form: the Beltrami-Mitchell equations.

Chapter 8. InlUtc

Part Il. Mechanism ol material strain

154

For this purpose, let us express the Hooke's equations in drained conditions with
respect to the deformations. Taking account of Eq. (8.37) this is written [see Eq. (8.5)]

2GBt:'J

(O"J - O'?J) - -1 /lB

+ /lB (O'kk - O'Zk) 'J

3(/1" - /lB)
+ B(1 + /1,,)(1 + /lB) (p - PO)'J

+ fJ2t:zz

Writing
(3

= 2 {Pt:yz

oy2

Two further
After summing

(T - To)'J

Consider now one of the compatibility equations, for instance [see Eq. (1.82)]
{Pt:yy
oz2

(8.114)

O:BEB

+ 3(1 + ve)

or by replacing

(8.115)

oy Z

3(/1" - /lB)
B(l + /1,,)(1 + /lB)

which is the Bell

the hydraulic di
the consolidatia

(8.116)

(8.114) in (8.115)

one obtains after substituting

020'yy

020'kk

-----;2 - 1 + /lB -----;2 +

(302p
OZ2

"Y

o2T
Oz2

Taking into
substituting in ~

(8.117)

where
The equilibrium equations on the other hand are
Adding Eqs
00' xx

00' xy

00' x z

00' yx

00' yy

00' yz

---;-+Ty+Tz

OO'zy

(8.118)

---;-+Ty+Tz
OO'zx

2Jj

OO'zz

---;-+Ty+Tz

+-

Let us derive these equations respectively with respect to x, y and z. After summation of the two last and subtraction of the first, one is led to
02
2~=-~-~+
oyoz

that is, after substitution

1
---

1 + v

02

02
oy2

02

O'xx
ox2

oz2

(8.119)

where CT is cal]
Writing

allows one to ea

of (8.119) in (8.117)
[020'kk
020'kk]
---+-oy2
oz2

+r

['V2T

"2-

O'

_ 02T]
ox2

x+ (3

=O

["2
v

p--022 ]

ox

Equation (8.

(8.120)

of material strain

155

Chapter 8. Innnitesimal thermoporoelasticity

conditions with
[see Eq. (8.5)]

f3 and

or by replacing

'V

2 [U

xx(1

i by their values

VB) - ukkl

(8.114)

_ aBEB
3

[PUkk

3(vu
B(l

+ ---;;2 ('V2T

VB)
V )
u

(2'V p -

[Pp)
OX2

(8.121 )

=O

_ 02T)

Ox2

Two further expressions (with respect to y and z) can be derived in the same way.
After summing of the three equations, one finally obtains
2 [

(8.115)

'V

Ukk + B(l

6(vu - VB)
+ v.)(l _ VB/

2aBEB]
VB) T

+ 3(1 _

=O

(8.122)

which is the Beltrami Mitchell equation of a thermoporoelastic medium. By combining

the hydraulic diffusivity equation with the Beltrami Mitchell equation, one obtains
the consolidation equation. Consider the diffusivity equation

(8.116)

2-

om
at

Po

= K'V2p

(8.'i23)

Taking into account (8.37) and (8.48), deriving (8.51) with respect to time and
substituting in (8.123), one obtains

(8.117)

2KGBB(1+vB)(1+vu)'V2
3(V,,-VB)
\

where

P-

-!.- [
ot

(]H+

~P

~T]

B +

KB

= Ba

(8.124)

(8.125)

(aB - au)

Adding Eqs (8.122) and (8.124), one obtains

2 [

CT'V

(8.118)

6(vu

2KGBB(1 + vB)(l
+
3CT(Vu-VB)

-.dz.

After sum-

~
(8.119)

VB)

vu)

] _

2aBEB
3(1-vB)T

!.- [

(8.126)
lT]

P-atUkk+BP+C

where CT is called "isothermal consolidation coefficient" .

Writing
6(vu - VB)
2KGBB(1 + vB)(l + vu)
+
B(l + vu)(l - VB)
3CT(Vu - VB)

=-B

(8.127)

allows one to compute CT, that is

CT

.,]

0'1:.1:+B(l+vu)(l-vB)P+

2KGBB2(1 + vu)2(1- VB)

9(vu - VB )(1 - vu)

(8.128)

Equation (8.126) can then be written

(8.120)
(8.129)

156

Part

Ir.

Mechanism

oE material strain

Chapter 8. InnnitesJI

or by writing

- 1989, A general
March 1989.

(8.130)

GEERTSMA, J.A.,
elasticity o/ satur.l
- 1957, The effect
Petroleum transact

(8.131)
called "general consolidation equation". Coupled with the diffusivity Eqs (8.96) and
(8.113) it allows one to calculate (TU, p and T.
In the particulate case of an isothermal transformation, one obtains

CT'12
called isothermal

consolidation

[(TU +

!p]

%t [(TU +

!p]

NUR, A., and By

mation o/ rocks tf1j
MACTIGUE, D.F.,
9533-9542.

(8.132)

RICE, J.R., and

saturaied elastic 1M
No2.

equation.

SCHEIDEGGER, A.:
New York.

8.14

CONCLUSION

The constitutive
such as

equations ofthermoporoelasticity

encloses independent

constants

(8.133)
These constants do not necessitate taking into account the hypothesis of homogeneity and isotropy of the matrix. This hypothesis is then not necessary to the
establishment of the constitutive laws. The equations deriving from this hypothesis
[expression of the Biot's coefficient (8.6), of the Skempton's coefficient (8.28) and relation (8.92)] have to be used carefully. It is better to measure directly fundamental
constants like, J(u, a and B and to verify subsequently this hypothesis.

BIBLIOGRAPHY
BEREST, P., 1988, Phnomnes
canique des roches", BRGM.

thermiques

en gotechnique,

BOURBIE, T., COUSSY, O., and ZINNER, B., 1987, Acoustics

nip, Paris.
CORNET, F.R., 1976, Etude du comportement
par un liquide, Annales du CF11R.

in "La Thermomo/ porous media, Tech-

lastique et [raqile des Taches satures

CORNET, F.R., and FAIRHURST, C., 1974, lnfiuence o/ pore pressure on the dejormation behaviour o/ saturaied rocks, in Proceeding of the 3rd Congress of ISRM, Vol.
1, part B, pp. 638-644, National Academy of Sciences, Washington.
COUSSY, O., 1988, Thermoporoelastic

response o/ a Borehole, unpublished.

)-

Chapter 8. Innnitesimal

(8.130)
(8.131)

(8.132)

thermoporoelasticity

157

- 1989, A general theory of thermoporoelastoplasticity,

Transport in porous media,
March 1989.
GEERTSMA, J .A., 1957, Remarks on the analogy between thermoelasticity
and the
elasiicity of saturated porous media, J. Mech. Phys. Solids, 13-16
- 1957, The effeci of fluid pressure decline on volumetric changes of porous rocks,
Petroleum transaction AIME, Vol. 210.
NUR, A., and BVERLEE, J .D., 1971, An exact eJjective stress law [or elastic deformation of rocks with flud, JGR 76, 6414-6419.
MAcTIGUE, D.F., 1986, Thermoelastc response of a flud saturated porous rack, JGR
9533-9542.
RICE, J .R., and CLEARV, M.P., 1976, Some basic stress diJjuson solutons [or flud
saturated elastic porous media, Review of Geophysics and Space Physics, Vol. 14,
No2.
SCHEIDEGGER, A.E., 1960, The physcs
New York.

(8.133)

media, Tech-

on the defor-

o ISRM, Vol.

of flow through porous media, Mac Millan,

CHAPTER

The triaxial test

and the measurement of
thermoporoelastic properties

The triaxial cell is the most suitable tool for determining the thermoporoelastic
properties of a geomaterial. This test derives in fact from soil mechanics where it has
long been used (since the 1930s), except for its adaptation to high-pressure conditions.
For a more detailed study therefore, readers are referred to the work of Bishop and
Henkel which contains complete information on the subject.

9.1

DESCRIPTION OF THE TEST AND

OF THE EXPERIMENTAL SYSTEM

In a triaxial test one applies to a cylindrical sample a vertical load ov and a radial
confining pressure Pc. In a radial plane, the stress field is therefore isotropic (and
equal to Pc). Furthermore, an interstitial pressure p is imposed in the interconnected
porosity via a third pressurization circuit.
The latter can moreover function (Fig.9.1) under drained (valve V1 open) or
undrained conditions, (valve V1 closed). The Total Compagnie Francoise des Peiroles
(Total CFP) experimental system is of entirely new design. It is schematized in
Fig.9.2.
Its originality lies in the fact that instead of conventionally regulating a vertical
load and a confining pressure, one directly imposes a hydrostatic stress and a deviator.
This is accomplished thanks to direct communication (through conduit AB) between
the confining pressure and the chamber above the piston (chamber C).

160

Part II. l\1echanism of material strain

Chapter

9. The tria

In this way, tI
The deviator is a
load O"y is (Fig. 9
fluid inlet

VI

__

~I"""

-~

Fig. 9.1. Schematic

description

of the triaxial

test.

clcvia t.oric s trc ss

....,
:;:;
'"

.<oJ

Pv is the pre
of the piston (eq

?'

'"
~

'Fl

:..

:..

in

~
?'

0~

'Fl

'"

'"
c,
?'

0c,

9.2

Fig. 9.2. TOTAL-CFP triaxial

(Nicolas

patent).

cell

DRAll

The interstiti
recovered) volun
ment of the piS
(Fig. 9.4).
A set of two 1
in the table belo

161

Chapter 9. The triaxial test

of material strain

In this way, the confining pressure is in fact equivalent to a hydrostatic pressure u.

The deviator is applied via a second circuit (chamber D) so that the actual vertical
load o'V is (Fig. 9.3)
"

..

(9.1)

,,..

a
2r

2R

Fig. 9.3. Delail

st.ress

.'

view or the piston.

Po is the pressure in chamber D, Rand r respectively

of the piston (equal to the sample radius) (Fig.9.3).

9.2

the large and small radii

DRAINAGE CIRCUITS

The interstitial pressure is imposed via a servo-controlled jack. The injected (or
recovered) volume can be evaluated with maximum precision by measuring the movement of the piston with the help of a displacement transducer linked to the rod
(Fig. 9.4).
A set of two valves (1 and 2) enables one to establish three types of drainage listed
in the table below

162

Part II. Mechanism

Regime
Undrained
Drained
at 2 ends
Drained
at 1 end

Vl

V2

Closed

Closed
or open

Open

Open

Open

Closed

injection

VI

of material strain

j ac k

fluid inlet

Chapter

9. The trial

The displacement
to the strain of tI
cell base, in othes
unwelcome strain
The strain gal
strain of the cell a
(i.e. horizontal ta
of the sample (sa;
is not integrated
reliable results tl
dependent on the
displacement trar
to regulation exo

C2
regulation
Cl }-

loop

....J

9.4

FRICTJ

Friction probl
of two orders.

V2

9.4.1

Fig. 9.4. Diagram

of the circuit.

If Vl is closed, one is working under undrained conditions and one can no longer
control the interstitial pressure since the sample is isolated from the injection jack. It
is therefore essential for obvious reasons of regulation to schedule two measurements
of pressure (transducers Cl and C2) so that the transducer on which the cylinder is
regulated (C1 in our case) is not isolated from the jack.
Under drained conditions, on the other hand, a single transducer would be sufficient (Cl and C2 do in fact provide an identical measurement). Valve V2 makes it
possible to carry out drainage at both ends if it is open, at one end only if it is closed.
Drainage at both ends speeds up the test quite notably, which is extremely useful
when the sample has a low permeability.

! .

9.3

STRAINS MEASUREMENT

The measurement of strains is conventionally made either using displacement

transducers (external or internal) or with strain gauges stuck to the sample via a
layer of resin to prevent direct contact between the glue and the interstitial fluid.

Frictil

This relates tA
ment of the plane
manner the latteJ
of limiting this E
teflon, on the oth
be homogeneous.
correct.

of material strain

jack

lion loop

163

Chapter 9. The triaxial test

The displacement transducer can be placed outside the cell. In that case, in addition
to the strain of the rock, one measures that of the cell. It can also be placed on the
cell base, in other words in the confining chamber. In this case, one eliminates the
unwelcome strain of the central block of the cell.
The strain gauges have the advantage, on the one hand, of not integrating any
strain of the cell and on the other of allowing possible measurement of the radial strain
(i.e. horizontal tangential strain). However, their use requires meticulous preparation
of the sample (sticking, wiring) and the measurement remains localized (the strain
is not integrated over the whole sample). Generally, strain gauges give much more
reliable results than displacement transducers the measurements of which are very
dependent on the quality of sample faces parallelism. The author recommends that
displacement transducers should not be used for strain measurements but restricted
to regulation except when the material is highly deformable.

9.4

FRICTION PROBLEMS

Friction problems are the most crucial in experimental rock mechanics. They are
of two orders.

9.4.1

Friction of the piston

This relates to the friction between rock and piston which prevents free displacement of the plane faces of the sample. Instead of becoming strained in a homogeneous
manner the latter tends to assume the form of a barrel (Fig.9.5). There are two ways
of limiting this edge effect: on the one hand friction can be limited by grease or
teflon, on the other, one can increase the length of the sample for the central zone to
be homogeneous. Ratio 2 between length L and diameter is generally admitted to be
correct.

would be sufe V2 makes it

if it is closed.
cnremely useful
.c

<I
I

o
.c

displacement
sample via a
. iderstitial fluid.

Fig. 9.5. Fric ti on effect

(b orrcl

shape).

on the strain

of the sample

164

9.4.2

Part II. Mechanism

of material strain

Friction of moving piston

Friction of the moving piston is very troublesome when one inverses loading.
thermore this friction generally increases very sharply with confining pressure,
the loading-unloading loop increases (Fig.9.6). A very effective technical trick
enables one to avoid this by making the piston slide over a teflon ring (Fig.9.7).
o-ring located behind the ring ensures the tightness of the system. Thanks to
method, it is possible to minimize to a large extent these disturbing effects.

Furand
over
An
this

displacement
Fig. 9.6. Typical stress strain curve
with hysteresis
due to friction
during

9.5

unloading.

PREPARATION AND INSTALLATION

OF THE SAMPLE

Chapter

9. The trial

damage minerals I
However, it is espt
a problem, much

After cleaning
avoid such unwelc
better to use a no
distilled water is
Once it has be
porous plates an
ensure better dist

9.6

COMP]

After 48 houn
To be convinced
hydrostatic stress
connected porosit
in the hydrostati
increases slightly
An undrained
tion. Contrary tc

A classical dimension of the samples is 4 em diameter by 8 ern height. So as

not to increase the heterogeneity of the stress field (already disturbed by friction
problems), it is advised that one accurately monitors the parallelism of the faces and
their perpendicularity to the symmetry axis of the core.
A second essential point concerns saturation.
Very often, the cores have not
been protected and they require cleaning with solvents (alcohol, trichloroethylene,
benzene ... ). These cleaning procedures are often disputed. Indeed the fluids used can

165

Chapter 9. The triaxial test

loading. Furpressure, and

.cal trick over
(Fig. 9.7). An
Thanks to this
'effects.

damage minerals contained in the interconnected porosity (particularly clay minerals).

However, it is especially at the physico-chemical level (wettability) that they may pose
a problem, much more than at the purely mechanical level.

teflon

ring

\
o-ring

I
piston

Fig. 9.7. Anlifriclion

a tenon

ring

system

with

(Nicolas Patent).

After cleaning, the samples are presaturated in a vacuum system for 48 hours. To
avoid such unwelcome phenomena as clay swelling (frequent in sandstones) it is often
better to use a non-polar fluid such as a low-viscosity refined oil. Among polar fluids,
distilled water is to be avoided.
Once it has been presaturated the sample is introduced into a rubber sleeve. Two
porous plates are placed between the pistons and the faces of the sample. These
ensure better distribution of the fluid into the sample. .

9.6

COMPLETE

SATURATION

OF THE SAMPLE

After 48 hours in a vacuum system, the sample is generally very poorly saturated.
To be convinced of this fact, it is sufficient to close the drainage and to increase the
hydrostatic stress (f. If the sample is poorly saturated (presence of air in the interconnected porosity), the interstitial pressure will respond poorly to any incrementing
in the hydrostatic load (f: either the interstitial pressure remains unchanged or it
increases slightly with respect to (f and above all with a certain delay (Fig. 9.8).
An undrained test is therefore a very reliable way of checking the sample saturation. Contrary to what is generally admitted, it is not a flow but a consolidation

166

Chapter 9. The tria:

Part II. Mechanism of material strain

that will permit

the drainage and
lower than the tc
volume injected iJ
The consolidatioi
(time), the inject
tion time, t100) i
uniform interstiti

undrained

pressure

Ir

CALCl

9.7
saturated
(instantaneous

sample

THEe

response)

unsaturated

Aside from 1>4

rect method of D
For this puq
initial and bourn
transformation,
;
isothermal conso

sample
time

Fig. 9.8. Interstitial

during

pressure

an undrained

response

test.

with

volume
)

The boundar

log(time)

Fig. 9.9. Consolidation

evaluation

of 'tOO'

curve

with

where Pi is the
conditions (9.4),
Carslaw pp. 99-1

p(z
in which Tv is a

almaterialstrain

167

Chapter 9. The triaxial test

'

that will permit complete saturation of the specimen.

For this purpose, one opens
the drainage and one imposes a certain pressure Pc in the injection jack (naturally
lower than the total stress u reached in the previous phase). One then follows the
volume injected into the interconnected porosity by maintaining the loading constant.
The consolidation curve has the appearance given in Fig. 9.9: as a function of the log
(time), the injected volume increases, then after a certain time (known as consolidation time, tl00) it stabilizes. At this stage, one may assume that the sample has a
uniform interstitial pressure and that consequently it is saturated.

9.7

.',
(

CALCULATION OF PERMEABILITY
THE CONSOLIDATION TIME

FROM

Aside from being a very effective saturation process, consolidation is also an indirect method of measuring permeability via the isothermal consolidation coefficient.
For this purpose one has to solve the consolidation equation for the imposed
initial and boundary conditions imposed [Eq. (8.131)]. In the case of an isothermal
transformation, a constant load and a linear flow (according to axis x of the core) the
isothermal consolidation equation is written
(9.2)

with

CT = 2kGBB2(1

9J1.(vu

+ vu)2(1

- VB)

vB)(l

Vu)

(9.3)

The boundary conditions (in the case of drainage at both ends) are such that

p(x, t = 0) = 0

= -h, t)
p(x = h, t)

p(x

Vx
(9.4)

Pi } Vt
Pi

where Pi is the consolidation pressure and h the half-length of the sample. With
conditions (9.4), (9.2) admits the well-known solution (see for example Jaeger and
Carslaw pp. 99-100)

P()z , t

= Pi -

4Pi ~

(_l)n

-;- L.J (2n

+ 1) e

(2n

_(2n+1)2,,2T.
4

cos

+ 1)1I'x
2h

(9.5)

n=O

~'

in which Tv is a dimensionless variable such that

(9.6)

168

Part II. Mechanism

To evaluate the consolidation time, one introduces

known as "degree of consolidation" such that

of material strain

a dimensionless

9. The triaJI

variable U,
p(bar)
50

f~hP(x,t)dx

(9.7)

2hpi
substituting

Chapter

(9.5) in (9.7), one obtains after integration,

8

U=l--

2:

00

11"2n=O

(2n

+ 1)2

_ (2n+l)'".'Tv
4

(9.8)
30

It will easily be verified that

for

Tv=O

U=O

Tv=oo

U=l

20

The sample is therefore consolidated after an infinite time. It is possible to calculate the consolidation time from approximate expressions. That of Terzaghi for
example provides a very accurate approximation up to a 90 % degree of consolidation

10

(9.9)
In a first approximation, if one admits this equation valid up to 100 % of consolidation, one can easily evaluate the consolidation coefficient as a function of consolidation
time tlOO that is

50

100

<Tl(bar)

1I"h2

CT

= -4tlOO

(9.10)

Substituting (9.10) in (9.3), one obtains a relationship between the permeability

and the poroelastic properties. Consolidation is therefore an indirect permeability
evaluation.

300

200

9.8

UNDRAINED HYDROSTATIC
MEASUREMENT
OF BAND

COMPRESSION

x;

100

The second phase of the test consists in gradually increasing 0', in undrained conditions, up to the mean total in situ stress O'g. If complete saturation has been reached
(it is generally the case) after the first consolidation, an increment of hydrostatic
stress /:).0', induces an instantaneous interstitial pressure increase /:).p
/:).p = -B/:).O'

(9.11)

where B is the Skempton's coefficient. However, the response is not always ideal as
is shown by a few typical cases in Fig. 9.10: total destruction of the interconnected

20

40

of material strain

169

Chapter 9. The triaxial test

ess variable U,
p(bar )

p(bar)
50

25

(9.7)
20
_1 -.,'
.

(9.8)

.-:,,:,
30

~~-':....--......
-""''''''''!'''

15

20

10

is possible to calof Terzaghi for

of consolidation

10

1000(bar)
o

(9.9)

50

100

150

200

250

300

50

100

150

200

250

p(bar)
150

(9.10)
the permeability
_.rect permeability

.'

300

./

100

.!

1~:

200

ION

..

'

.'

.'

/
d

50

100

undrained condihas been reached

t of hydrostatic
Lip

lal(bar)

Ev (*10000)

20

60

80

100

Fig. 9.10. Typical behaviour

a-total

(9.11)
always ideal as
lite interconnected

destruction

b-unsaturated

of porous

under

100
undrained

space

sample

c-influence

of fissuring

on stress

strain

d-influence

of fissuring

on stress

pressure

(after

Charlez.1987)

curve
curve

200

300

conditions

170

Part II. Mechanism of material

strain

Chapter 9. The trY

porosity (a) (at the end of the test, the porosity is no longer in communication with
the pressure transducer) or quite simply (b) poor initial saturation.
Contrary to
what is generally accepted in soil mechanics, Skempton's coefficient is often much less
than 1.
Type of rock

Ruler sandstone*
Tennessee marble*
Charcoal granite*
Berea sandstone*
Westerly granite*
Vosges sandstone
Weher sandstone*
Venezuela sandstone

0.88
0.51
0.55
0.62
0.85
0.41
0.73
0.30

0.02
0.02
0.02
0.19
0.01
0.18
0.15
0.05

* According to Rice and Cleary (1976).

Under undrained conditions, the loading rate should have no effect on the response
of the material which in poroelasticity is necessarily instantaneous. However, the rate
of the test plays a very important part for two main reasons.

9.8.1

The measuring circuit of pore pressure

The pressure transducer measuring the interstitial pressure is connected to the

porous medium by a steel tube via a porous stone (Fig. 9.11). Therefore, the various
links in the measuring chain (rock - porous stone - steel tube) will not react in the
same way to the variations in total stress and in pore pressure. Bishop (1962) analyzes
the effect of the measurement circuit by introducing two additional parameters ml
and m2.
If ml is the compressibility of the porous disc, during a total stress increment .D.7f
and a pore pressure increment Llp, the volume rejected LlVl will be
(9.12)
On the other hand, the tubing (whose compressibility is m2) is only sensitive to
pore pressure variation .D.p. Its volume variation will be
(9.13)
If loading is applied quickly, these volumes must equalize and, consequently, the
change in interstitial pressure PI observed immediately after an increment Ll7f will be
Llp

1
Ll7f = -kLl7f
_m_2-1

= PI = -=--mi

(9.14)

The instanta
that of the mat
coefficient).
The rock not
can take a certa
that is Pt, can b
the expression (4

where

an is the roo
Po is the initi
PI is the initi
Pt is the pres
poo is the eqt
J1.

(7r /2) [h.

inverse of the oe

171

Chapter 9. The triaxial test

nnication with
. Contrary to
is often much less

porous

stone

(compressibility
factor m L)

tube for pressure

(compressibility
Fig. 9.11. Pore pressure

me asurerne nt
factor

m2)

measurement

system

(after Bishop and Henkel. 1962)

on the response
:Dowever, the rate

The instantaneous response is therefore that of the measuring circuit Pl and not
that of the material Po (which is equal to -Bl:!."ff in which B is the Skempton's
coefficient) .
The rock not being necessarily very permeable, equalization between Pl and Po
can take a certain time. The pressure evolution in the measuring circuit at time t,
that is Pt, can be evaluated by integrating the consolidation equation. One is led to
the expression (Gibson, 1954)
1-~
Poo

(9.12)

(9.13)

(9.15)

where
0,
an is the root of the equation an cot an
Po is the initial pressure in the sample,
Pl is the initial pressure in the measuring system,
Pt is the pressure measured at instant t,
Poo is the equilibrium pressure,
f1
(7r/2)[hD2mv/(ml
+ m2)] in which D is the sample diameter and mv the
inverse of the oedometric modulus

(9.14)

m,,=

1- v - 2v2
E(I-v)

172

Part II. Mechanism

In (9.15), Poo is the equilibrium pore pressure (theoretically

infinite time, i.e. for Tv -+ 00) such that

of material strain

obtained

after an

1- PI }
Poo

= Po { 1-

1 +~

(9.16)

When equalization is reached between the sample and the measuring system, one
evaluates an apparent Skempton coefficient Bmes such that

= -BmesL:l.7i

Poo

(9.17)

The measured value ofSkempton's coefficient must be corrected; one easily obtains
by replacing (9.14) and (9.17) in (9.16)

= Bmes

(1

+ ~) -

(9.18)

Generally, especially for high pressure systems, the tubing is much more compressible than the porous disc (ml > m2) so that k is closer to 1. As J1. is always
greater than 100 (except for very incompressible samples), this correction modifies
very slighty the results. An example of measurement of Skempton's coefficient is
presented in Fig.9.12.
40
30

Chapter

9.8.2

9. The tI

The

The heterog
consequence is
become uniforn
of the interstiti
unwelcome phe

Aside from
makes it possil
phase of (Fig.!
linearity in the
observed whose
ticularly specta
instantaneouslj

9.9

snco

When the h;
pressure (whid
actual value ~
a final consolid
permeability hi
consolidation is
the loading rate
geostatic stress

36

..
oj

.D

34
32

~
:..

30

;::l

25

OJ
OJ

~
..
c,

9.10

PAR

26
24

"@

~
...,

22

OJ

20

...,~

.S

MEA

15
16
14
12
10
100

120

140

160

mean
Fig. 9. 1.2-~lcasurement
on Lavoux limestone.

stress

150

200

(bar)

of Skempton's

coefficient

220

A test unde
carried out in s
throughout the
too fast the loe
modulus will 1>4
The ideal sc:
but this proced
coefficient to ei
excessive local]
Let us imag
this test is earn
will be equal to

of material s~rain

obtained

after an

(9.16)

._ring system, one

(9.17)
0Ile

easily obtains

(9.18)
lIluch more com-

L As jJ is always
tion modifies
's coefficient is

173

Chapter 9. The triaxial test

9.8.2

The heterogeneity of the stress field

The heterogeneity of the stress field within the sample is due to end effects. The
consequence is a heterogeneity of the instantaneous pore pressure which tends to
become uniform in the same way as during the previous process. The distribution
of the interstitial pressure prior to the equilibrium is difficult to evaluate, and this
unwelcome phenomenon often remains difficult to quantify.
Aside from Skempton's coefficient, the undrained hydrostatic compressibility test
makes it possible to obtain the undrained bulk modulus. In fact there is firstly a
phase of (Fig.9.10-c) microcracks closure which is reflected in a very marked nonlinearity in the stress strain curve. During this phase, microruptures are occasionally
observed whose effect is to increase the connected porosity; this phenomenon is particularly spectacular on the curves in Fig. 9.l0-d in which the interstitial pressure falls
instantaneously by nearly 100 bars. This effect will be studied in the third part.

9.9

SECOND PHASE OF CONSOLIDATION

When the hydrostatic pressure (j reaches the mean geostatic stress, the interstitial
pressure (which was not monitored during the previous phase) is readjusted to its
actual value PR (corresponding generally to that of the reservoir) by carrying out
a final consolidation. Generally speaking, during the preceding hydrostatic phase,
permeability has decreased so that the consolidation time corresponding to this final
consolidation is greater than the previous one. Measuring it enables one to readjust
the loading rate of the subsequent phases which will always take place above the mean
geostatic stress.

9.10

MEASUREMENT OF DRAINED ELASTIC

PARAMETERS

A test under drained conditions, on a previously consolidated sample, must be

carried out in such a way that the interstitial pressure remains constant and uniform
throughout the sample. The loading rate plays therefore an essential part: if it is
too fast the local excess pore pressure does not have time to dissipate, and Young's
modulus will be closed to that observed in undrained conditions (i.e. Eu).
The ideal solution would be to consolidate the sample at each loading increment
but this procedure would be too long. Therefore, it is better to use the consolidation
coefficient to evaluate a sufficiently slow loading rate that will allow dissipation of
excessive local pore pressure.
Let us imagine an increase in the total deviatoric stress (0"1 - 0"2) till rupture. If
this test is carried out under undrained conditions the interstitial pressure at rupture
will be equal to

_ P

Pu -

R-

B0"1-

0"2

(9.19)

174

Part II. Mechanism of material strain

On the contrary, if drainage had

have changed during the deviatoric
Under imperfect drainage conditions,
of rupture) is equal (on average) to
D such that
D

Chapter

9. The

been perfect, the interstitial pressure would not

phase, and would have remained equal to PR.
the pressure dissipates slowly and, at tf (instant
Pf(> PR). One defines the degree of dissipation
P
1- Pf - R
(9.20)
Pu -PR

It varies between the two limits

Pf

= PR

=1

perfectly drained test ==> D

(9.21)

Pi = Pu undrained test ==> D = 0

Once again, the dissipation degree can be evaluated by integrating the consolidation equation. However, Gibson and Henkel (1954) have found an empirical formula
similar to that of Terzaghi and such that
D

= 1-

h2
--

(9.22)

nCTtf

in which n is a constant depending on drainage conditions: it is equal to 3 for a

sample drained at both ends, 0.75 for a sample drained at one end. If one supposes
that a dissipation degree of 95 % is sufficient (order of magnitude verified by experimentation), the time t i required to reach rupture will be such that (in the case n
3)

20hZ
tf =

3CT

(9.23)

and will ensure proper drainage of the sample. If R; represents the compression
strength of the material under the considered confining pressure, a loading rate such
that
Rc
(9.24)
Ve=tf

will therefore ensure proper drainage of the sample. Once

of the drained properties is easy (Fig.9.13):

Vc

is known measurement

(a) By increasing the deviatoric stress and maintaining the hydrostatic

stant one measures EB.
(b) By increasing the hydrostatic load and maintaining the deviatoric
stant, one measures J{B.
(c) By increasing the deviatoric load and maintaining the hydrostatic
stant, one also has access to liB (provided EB is known).

9.11

MEASUREMENT
PROPERTIES

OF UNDRAINED

load conload con-

9.12

MEA
AND

load conLet us take;

case of a hydro

ELASTIC

Measurement of undrained elastic properties (Ku, lIu, Eu) is carried out using the
same loading paths, but the loading rate can be higher.

Two cases c

1. If one aI
the hydJ

of material strain

Chapter 9. The triaxial test

would not
equal to PRo
d, at tf (instant
of dissipation

250

(9.20)

230

175

.l!Ssure

240

220
210

(9.21)

200

the consolida~irical
formula

(9.22)

~
.D

190

';:;'

0
..,

180

<Il

'I

';:
<1>

'"

170
160

'

..

equal to 3 for a
H one supposes
. ed by experithe case n
3)

150

140
130

120

(9.23)

110
-2

2
deformation

Fig. 9.13. Measurement

(9.24)

(10--4)

of elastic

properties

on Lavoux limestone.

tic load conric load con-

9.12

MEASUREMENT
OF BlOT'S COEFFICIENT
AND MATRIX BULK MODULUS

tic load conLet us take again the expression of the variation in total volume [Eq. (8.8)]; in the
case of a hydrostatic loading 7f, it is written
1:!.kk

1
= -}.'
(6.7f + a6.p)
'\..B

(9.25)

Two cases can be envisaged:

......,;0.0. out using the

1. If one assumes an isochoric test (6.kk

0) by regulating the jack acting on
the hydrostatic pressure, one measures directly Biot's coefficient since
6.7f

= -a6.p

(9.26)

Part II. Mechanism

176
2. If the interstitial
increment (~O'
(9.25) becomes

of material strain

pressure increment remains equal to the hydrostatic pressure

one measures directly the matrix bulk modulus since

~Ekk

= -}'iM

(9.27)

An example is presented in Fig. 9.14 for Lavoux limestone.

210

t*

190
180
170

(fJ

~
'"..
'"~

....,

160

ro

150

:j:++'

140

t*
t*

110

Th4

When the ts
form

Generally tl
perature. In th
such that

where ar is the
The volume
tion will be sue

+1

/
l

++

or again

However, tl
the order of 10'
therefore relati

130
120

9.13.1

(-If

200

9. The CI

= -~p),

~(f

Chapter

+*
+*

0.1 0.3 0.5 0.7 0.9 1.1 1.3 1.5 1.7

axial def'orm ati on (10--4)
Fig. 9.14. Meastli'ement

of grains

bulk modulus

of Lavoux limestone.

9.13

MEASUREMENT OF THE COEFFICIENTS

OF THERMAL EXPANSION

The thermal expansion coefficients are probably the most difficult therrnoporoelastic constants to measure. In fact, there are four different coefficients (au, oe, au
and aj), but only two of them are independent.

9.13.2

M.

In theory, I
sample in a tri
associated stra
The heatin

1. Either
rock.
2. Or by c

In the first
rogeneous due
the confining (
of the rock an4

177

Chapter 9. The triaxial test

atic pressure
modulus since

(9.27)

9.13.1

Thermal expansion coefficient of the fluid

When the temperature

form

variations remain moderate, fluid obeys an equation of the

(9.28)

Generally the fluid is in a solid receptacle which also undergoes changes of temperature. In this way, the receptacle which initially occupied the volume Vo expands
such that
(9.29)
Vr
Vo [1 + O'r(T - To)]

where O'r is the thermal expansion coefficient of the receptacle.

The volume variation of fluid Va is therefore only apparent, and the actual variation will be such that
(9.30)
or again
(9.31)
However, the values of the thermal expansion coefficient of fluids are generally of
the order of 10-3
while those of solids are rather 10-6
The correction remains
therefore relatively small.
0'/ =O'a+O'r

rC

rC.

Thermal expansion coefficient

of some common fluids at atmospheric pressure
Fluid

0'/(10-3;oC)

Acetone .......
Benzene .......
Oil ............
Water .........
Mercury ......

1.32
1.16

0.9
0.5
0.18
.'

9.13.2

Measurement

of au and o

In theory, their determination seems to be easy since it is sufficient to heat the

sample in a triaxial cell under drained or undrained conditions and to evaluate the
associated strains (or displacements).
The heating can be carried out in two separate ways:
1. Either using an electric resistance placed between the rubber sleeve and the
rock.
2. Or by directly heating the confining oil.
thermoporoe-

ts (au, O'B, aM

In the first case, only the rock is heated, but the temperature distribution is heterogeneous due to heat losses by conduction in the piston steel and by convection in
the confining oil. The temperature field depends greatly on the thermal conductivity
of the rock and on the thermal convection coefficient in the oil.

178

of material strain

Chapter 9. Tbe CI

Rather than heat just the rock, it is better in order to obtain a homogeneous
temperature field, to heat the whole of the cell via the confining oil and to measure
the thermal strain with the aid of a strain gauge stuck on the sample so as to avoid
the expansion of the various parts of the cell (or of the transducer itself if it is situated
inside the cell). The disadvantage of this technique is that it restricts measurement
to temperature fields below 1300 (problem of thermal instability of the gauge at high
temperature). An example is presented in Fig. 9.15 for Lavoux limestone (undrained
test ).

In SI units I
The thermal
but it remains 4

Part II. Mechanism

...

vert

'"

~-1

;..

...,;:J

<Q

~
c,

1-2 \

..., 40
(J)

hor

.,'

"t;j

35

-3

30
-4
vol

25

-5~~
20

1
lime

3
(thousands

__ -L__~ __L-~ __-L

"~

o
time

of s)

Fig. 9.15. Measurement

of thermal

expansion

(thousands

of s)

coefficient

on Lavoux Limestone.

9.14

THERMAL CONDUCTIVITY

Thermal conductivity measures the ability of the medium to let heat flow through
it. This is expressed by Fourier's law which relates the heat flow Q to the temperature
gradient
Q -K'VT
(9.32)

of material strain

Chapter 9. The triaxial test

a homogeneous
and to measure
so as to avoid
if it is situated
measurement
the gauge at high
ne (undrained

179

In SI units K. is expressed in Wjm.oC.

The thermal conductivity of rocks is generally greater than that of gases and water,
but it remains considerably less than that of metals (by approximately a factor 100).
Thermal conductivity of different materials
Materials

K.

Gas at 1 atm . ......... .

Coal
Wood
Rocks and soils
Building materials ......
Insulating materials .....
Non-metallic liquids .....
Metallic liquids .........
Pure metals .............

00

i
\.

t:

0.006-0.180
0.167-0.377
0.100-0.400
0.100-8
0.628-2.930
0.025-0.25
0.1-1
8.5
20-400

0.0

0.0

in W j m.oC

vert
f

TABlE 1
Thcrmal

hor

conductivities

of common

2.5

rocks

at 20 C

7.5
--..

sedimentary

rocks

quartzite
dolomite
sandstone

vol

limestone

wet clay
shales
argillaceous

sand
salt

anhydrite
metamorphic

rocks
gneiss

marble
volcanic

rocks
basalt
g abbro

---

diabase
granite

(9.32)

K(w/m.C)

180

Part II. Mechanism of material strain

Chapter 9. The tr

Contrary to electrical conductivity or magnetic susceptibility, thermal conductivity changes are relatively small from one rock to another. Low for clays, medium
for carbonates, it is relatively high for rock-salt.

The measur
fluid at a given
being known ill
temperature of
specific heat of

TABLE 2
of common

Specific heat
600

BOO

700

900

rocks

1000

at 20 C

1100

1200

1300

BIBLIOGB
dolomite
---------

sandstone

-----------

BISHOP,

limestone

--

CHARLEZ,

argillaceous
----salt
-----

-----

Ph.,
abilite d 'une fIl
- 1987, The tr.
mation, Augus

shales

metamorphic

A.W.

triaxial test, Ec

wet clay
sand

anhydrite
rocks

COSTE,

J.,

gneiss
marble

GIBSON,

R.E.

rate of strain,

volcanic rocks

JAEGER,
basalt

.C.:

Oxford.

--gabbro

REUSCHLE,

diabase

f--------------------

am

: "Plasticite et

T.

un calcaire, un

granitc

SKEMPTON,

pore pressure,
TERZAGHI,

K.

- 1948, Soil AI

9.15

V
Vol. I & II, 'I'I
VUTUKURI,

SPECIFIC HEAT

WEAHLS,

For solids and fluids, it is not useful to distinguish specific heat at constant pressure
and volume. One merely defines it at constant strain, that is C'kk. Specific heat was
defined in Chapter 3. It represents the capacity of the material to store heat. It is
defined by the quantity of heat required to increase by one degree the temperature of
one gramme of material, that is
(9.33)

Cekk is expressed as J /(kg. DC). Specific heat varies very little from one rock to
Its order of magnitude is 800 J /kg.oC.

another.

H.}

the soil mecha

., material strain

181

Chapter 9. The triaxial test

The measurement of specific heat can be carried out in a calorimeter filled with
fluid at a given temperature
(water for example). The specific heat of this fluid
being known as well as the masses of fluid m f and of rock mr, if T; is the initial
temperature
of the rock and TF the final equilibrium temperature
of the mixture, the
specific heat of the rock will be written

T!

c <Ok

mf T/ -TF
f mr TF- Tl'
i

(9.34)

BIBLIOGRAPHY
I

i
I

I
~

l
(

BISHOP, A.W., and HENKEL, D.J., 1962, The measurement

triaxial test, Edward Arnold Publisher.

of soil properties

in the

CHARLEZ, Ph., 1981, Etude critique des differentes methodes de mesure de la permeabilite d 'une roche au laboratoire, in French, unpublished.
- 1987, The triaxial test. Its application to petroleum engineering, Petroleum Information, August.
COSTE, J., and SANGLERAT, G., 1975, Cours pratique de mecanique
: "Plasticite et calcul des tassernents", Dunod Technique.

des sols, Vol. I

GIBSON, R.E., and HENKEL, D.J., 1954, Influence of duration of tests at constant
rate of strain on measured drained strength, Geotechnique 4: 6-15.
JAEGER, J.C.,
Oxford.

and CARLSAW, 1959, Conduction

of heat in solids, Clarendon

REUSCHLE, T., and HEUGAS, 0., 1989, Mesures ihermoporoelasiiques

un calcaire, unpublished (in French).

Press,

sur un gres et

SKEMPTON, A.W., 1960, Effective stress in soils, concrete and rocks, Proc. Conf. on
pore pressure and suction in soils, 4-16, London, Butterworth.
TERZAGHI, K., 1943, Theoretical Soil Mechanics, John Wiley.
- 1948, Soil Mechanics in Engineering Practice, John Wiley.
VUTUKURI, V.S., LAMA, R.D., and SALUJA, S.S., Mechanical
Vol. I & II, Trans Tech Publications.
WEAHLS, H.E., 1962, Analysis of primary
the soil mechanics division ASCE, Dec.

(9.33)

tiom one rock to

f
t

and secondary

properties

consolidation,

of rocks,
Journal

of

CHAPTER

"':-'.-

10

Thermoporoelastoplasticity
General theory and
application

In the case of irreversible behaviour, it is necessary to introduce into the formalism

the concepts of plastic strain f.P, plastic porosity 0P and hardening variable. These
additional parameters will clarify the concept of "effective stress".

A.GENERALCONCEPTS
10.1

CONSTITUTIVE LAWS IN IDEAL

THERMOPOROELASTOPLASTICITY

Let us consider the simplest case of ideal plasticity, ignoring therefore any hardening phenomenon. We propose in this scope to write the constitutive laws.

10.1.1

Variations in pressure associated

transformation

with a TPEP

Let us imagine an isothermal (T

To) and isochoric (ckk
0) transformation. Let
us gradually inject a mass of fluid m from the reference pressure Po (Fig. 10.1). As long
as p is less than a limit value v', in conformity with Eq. (8.73), the pressure p increases
linearly, with a slope TJ/ Po. When the ideal plasticity threshold is reached, although

184

Part II. Mechanism

of material strain

fluid continues to be injected, the pressure remains constant (p

pe). Finally, during
a possible unloading, only the mass of fluid me will be recovered. The mass mP is the
irreversible increase in fluid content that is

Chapter 10. Tben

or

(10.1)

10.1.3

Var
trm

Let us imag
of fluid minto j
plasticity thresl
variation is eqw

e
P

'YJ

Po
Po

~m
me

111

Fig. J 0.1. Pressure

vari at.ions for an

tsot.hcrm al isoehorie

t ransrorm

at ion.

where 0P is the plastic porosity (irreversible variation or porosity when the material
is unloaded). During the transformation, since only the increment of elastic mass me
can generate an increase in pressure the constitutive equation of ideal plasticity for
pressure is therefore such that
p

= Po + !L(m -

p00P)

(10.2)

Po

The same reasoning for an undrained-isothermal

tion
p

= Po

-G:TJ(ckk

transformation

leads to the equa-

c1k)

(10.3)

in which cu and c1k are respectively total strain and plastic strain. For a general
transformation, the overall variation in pressure will therefore be written
(10.4)

10.1.2

Constitutive

law in TPEP

By the same reasoning one is led to

2 = 20 + 1;:B: (fo - foP) - al(p - Po) - G:B/{Bl(T - To)

(10.5)

The final te
extracted from
phase, one folka
the material be
yond point A d
extract heat fro
Entropy ine
to AB' as woul
point A. In this

.EmaUrial

strain

Finally, during
mass mP is the

185

Chapter 10. Thermoporoelastoplasticity

or
(7'

--

(7'0

+ AU

""

( --

P)

(m -

-Po

0P)

A (T - To)
-

(10.6)

(10.1)

10.1.3

Variation in entropy associated with a TPEP

transformation

Let us imagine an isochoric isothermal transformation and let us inject a mass

of fluid m into the connected porosity (Fig. 10.2). As long as one remains below the
plasticity threshold (m < me), the behaviour being thermoporoelastic, the entropy
variation is equal to [Eq. (8.74)]
s=s

m---

Lm
To

(10.7)

O=-~"-----'---L----

(10.2)

Fig. 10.2. Entropy variations

an isochoric

isothermal

associated

with

transformation.

(10.3)

(lOA)

(10.5)

The final term of the right-hand member represents the quantity of heat to be
extracted from the system to maintain the temperature constant. During this first
phase, one follows path OA of Fig. 10.2. When the ideal plasticity threshold is reached,
the material becomes strained at constant pressure. The additional fluid supply beyond point A does not create any increase in pressure; it is no longer necessary to
extract heat from the system to maintain its temperature constant.
Entropy increases therefore according to AB (parallel to OM) and not according
to AB' as would have been the case if the elasticity limit had not been reached at
point A. In this way, the variation in entropy is therefore such that
s = s~m - ~ (m - P00P)

(10.8)

186

Part II. Mechanism of material strain

By repeating the same reasoning for an undrained

obtains therefore for any transformation

isothermal transformation

Chapter 10. Thermo

one

(10.9)

-so(T - To)-

10.1.4

Variation in fluid free enthalpy

-(T-To

According to Eq. (8.71) the free enthalpy of the fluid in a linearized theory is such
that
(10.10)

10.2
or by taking into account that g! = 1,b!

INEQl

CONe

+ pol Po
(10.11)

In the case of i
is reduced to

that is by taking account of (10.4)

gm

1,b!+
-s!(T

10.1.5

in which Vk are tJ
Taking accoun

:0 [PO+17[-o:(c;kk-c;~k)+(:-0P)]+P;~(T-To)]
- To)

Thermodynamic

(10.12)
The pore pres
that the dissipatk

potential in TPEP

The thermodynamic potential can be obtained by integrating the constitutive

via the equations of thermoporoelasticity

a1,b
s=-aT

laws

(10.13)

However one must take care when integrating on variable m since (10.12) combines
energy flows (1,b! and s!) and a pressure term. By the same reasoning as in the
previous paragraph, it is clear that the integration of gm leads to
(10.14)

since once plasticity appears the pressure remains constant. Taking account of (10.4)
and of the two other partial derivatives of (10.11) one is led after integration to

where

is the thermodyni
If one consides

(10.18) is writ

In the case of
ciated with fP is ~
This effective stre
As already menta
It depends on the

Chapter

187

10. Thermoporoelastoplasticity

ormation one
'I/J= 'l/Jo+ 2:0 : (f. - f.P)

- 0P)

+ 'I/J~m + Po (:

(10.9)
-so(T-To)+

-(T

[Cf.-f.p) :~u:

(f. - ~P)- s~m(T

- ToM:

+~

theory is such

(f.-f.p)]

- To)

[m _ 0

-0P)

/2- (:
+ L(m

8: (f.-e)
T-To

(10.15)

- p00P)----r;;-

CkkmO (T _ TO)2
2To

P] 2 _

2 Po

(10.10)

10.2

(10.11)

INEQUALITY OF CLAUSIUS-DUHEM AND

CONCEPT OF PLASTIC EFFECTIVE STRESSES

In the case of irreversible behaviour [Eq. (7044)], the inequality of Clausius-Duhem

is reduced to
a : iP - 8'I/J 6P _ 8'I/J irk > 0

(T - To)]

80P

8Vk

(10.16)

in which Vk are the hardening variables.

Taking account of (10.15) and (lOA), one obtains
8'I/J

(10.12)

(10.17)

= - 80P

The pore pressure is therefore the thermodynamic

that the dissipation function can be written

force associated

with 0P so

(10.18)
where

(10.13)

Ak = _ 8'I/J
8Vk
force associated with Vk.

(10.19)

is the thermodynamic
If one considers a plastically incompressible matrix that is

(10.20)
(lD.18) is written
(10.21)
(10.14)

In the case of a plastically incompressible matrix, the thermodynamic force associated with P is
"+ [p, the effective stress conventionally used in soil mechanics.
This effective stress is different from that defined in poroelasticity (equal to "+alp).
As already mentioned, the effective stress cannot be considered as a static concept.
It depends on the constitutive law; it is a rheological concept.

i=

188

Part II. Mechanism of material strain

Chapter 10. Thermop

Secondly, we have seen (paragr. 3.19) that in the case of dissipative phenomena
the normality concept was not necessarily verified and one has in the general case
to differentiate the yield locus from the plastic potential F. Under the hypothesis of
matrix incompressibility, the plastic How rules will be written
(10.22)
where). is the plastic multiplier.
(10.22) clearly shows that the idea of plastic effective stress is connected to the
concept of plastic flow and not to the concept of yield locus (Coussy, 1989). In the
general case, even under the hypothesis of plastically incompressible matrix, one has

f(q;,p)#f(rz+l

p)

(10.23)

The concept of effective plastic stress on the contrary is very interesting for an
associated plastic flow rule for which f == F. In that case, the poroplastic problem
can be considered as a continuous plastic problem provided that one replaces total
stress q;by effective plastic stress
in the plastic formalism, exclusively. On the other
hand, it makes no sense to write static conditions with effective (elastic or plastic)
stresses. For example boundary conditions have always to be written in terms of total
stress and pore pressure separately.

10.3

PHYSICAL CONCEPT OF HARDENING

CALCULATION OF HARDENING MODULUS
AND OF PLASTIC MULTIPLIER

At the end of Chapter 3, we have introduced without any supplementary

tions the hardening modulus H such that [Eqs (3.90) and (3.91)]

~= ~

(0-:- Of)
orz

First of all, let us observe that the sign of H is that of 0- :

or nil so that (Fig. 10.3)
H
H

>0 ====?

hardening

<0 ====?

softening

====?

. of

u:7J>
-

====?

loading

====?

unloading

(J'

. of

u:7J<
-

informa-

of / 8q; since ~ is positive

====?

The plastic HOl

As for the elasti

the incremental ela

(10.24)

(J'

The physical meaning of H can be easily understood if one considers the simple
a.
case of an uniaxial stress path and an associated constitutive law such that, f

The hardening I
and in this simple
local stiffness).
The hardening
pends on several he
In the stress 51
"deform" the yield
The hardening
time. They are the
The evolution (]
both in size (isotro
across the stress sp
scalar, tensorial or
This is so for e
hardening consists
dening consists in a
variable).

189

Chapter 10. Thermoporoelastoplasticity

a
hardening

(10.22)
softening

(10.23)
!!jIIIftSLin,g for an

ti",c problem

replaces total
_ On the other
- or plastic)
. _ tenus of total

OL--L------

~~

E
Fig. 10.3. Physical concept

of hardening

modulus .

The plastic flow rule (10.24) is then written

'p

1.
=-rr
H

'e

1.
= ~rr
E

As for the elastic part, one has

the incremental elastoplastic law is written

"'_uy informa(10.24)

The hardening modulus has then in plasticity (from an incremental point of view
and in this simple case) the same meaning as Young's modulus in elasticity (i.e. a
local stiffness).
The hardening modulus describes the memory of the material and generally depends on several hardening variables.
In the stress space these hardening variables appear as parameters which can
"deform" the yield locus.
The hardening variables describe therefore the evolution of the yield locus over
time. They are the image of the past.
The evolution of the yield locus can take several forms (Fig. 1004): it can change
both in size (isotropic hardening), in shape (anisotropic hardening) or simply move
across the stress space (kinematic hardening). The hardening variables can thus be
scalar, tensorial or both.
This is so for example in Fig. IDA in which the yield locus is a circle: isotropic
hardening consists in an increase of radius R (scalar variable) while kinematic hardening consists in a displacement of the circle whose radius remains constant (tensorial
variable).

190

Part II. Mechanism

of material strain

Chapter

10. Therm

the consistency e
c

and the plastic fI

1_--+-4 __

By replacing

Fig. 10.4. Different

types

of hardening.

a-isotropic
b-anisotropic
c-kinematic

'-r
,

Given f-L and a respectively the scalar and tensorial hardening

modynamic potential 'Ij;can be written!

The hardening variables are associated with the thermodynamic

such that [see Eq. (3.65)]

variable, the ther-

forces Rand

Similarly, the
by identifying (1

JS

INCH
OF Aj

lOA
(10.25)

If one supposes for 'Ij;a decoupling rule such that

If one asSUID
dition will be WI
and if one derives (10.25), with respect to time, one obtains
(10.26)

The partitios

In the general case (no partitioning rule between 9" and f-L), one has to introduce crossed terms in the expression of'lj; (see Lemaitre and Chaboche, 1988, p.198).
Writing
{)2'1j;
I< = {)2'1j;
and
L=-

with

(10.26) becomes

where A is the eI

{)f-L2

R=I<jJ,

and

and

{)!J2

=f

.9"

(10.27)

==

As by definil

The yield locus being such that

I1j; is a volumic quantity.

2 One will write

suppose furtheJ'IDIII

191

Chapter 10. Thermoporoelastoplasticity

the consistency condition

= 0 is written
(10.28)

and the plastic flow rule with respect to the hardening variables [Eq. (3.95)]
(10.29)
By replacing (10.26) and (10.29) in (10.28) one finally obtains

of

~:

0"

uO"

(10.30)

Similarly, the hardening modulus H can be calculated from the plastic multiplier,
by identifying (10.24) and (10.30)
-

le, the therH=

10.4

of

(10.31)

o~

INCREMENTAL LAW IN THE CASE

OF AN ASSOCIATED PLASTIC FLOW RULE

(10.25)

If one assumes that J1 is the only scalar hardening variable, the consistency condition will be written '

of . (/

00-'
- .(10.26)

The partition

of. - 0

(10.32)

+ 0 p. J1-

rule is written
(10.33)

with

i/=A:i:e

- ~-and
(10.34)
where A is the elastic tensor.
(10.27)

=:

As by definition

e'

20ne will write the equations with respect to the plastic effective stress
= +lp. One will
suppose furthermore c<= 1 (elastic effective stress identical to plastic effective stress).

192

Part II. Mechanism

of material strain

or

.x = -~ of it

(10.35)

n o;

Taking account of (10.33) (10.34) and (10.35), (10.32) will be written

(- -.x 8q;'8f)

of : A:

8q!

'"

- tt

=0

(10.36)

~f : A:

da'

8f

A=
H

'" -

+ 8q! : 4:

of

(10.37)

8q;'

Taking account of (10.33) and (10.34), the incremental law can be written

8f)

U'=A:-.x(A:

or by introducing

the elastoplastic

'" -

matrix

10. TherIlMlt

(b) If the stres

contrary

The hyperplao
of the incremental
one side and pure!
We shall thus 4
the incremental e
independent of tit
In a tensorial
two tensorial ZOnE
an arbitrary choic
multiplier X and tl

(10.38)

'" oq;'

4ep

Chapter

10.6
and taking account of (10.37)

LAWS
ZONE!

(10.39)
with
(10.40)

Identically one easily shows

10.5

= (AeP)-l
'"

: ;,

(10.41)

GENERALIZATION
OF ELASTOPLASTICITY:
CONCEPT OF TENSORIAL ZONE

To define the plastic flow rule (Chapter 3, paragr. 3.19), one assumes the existence
of a constitutive matrix varying with the incremental stress direction:
(a) If the increment dq; points outside the yield locus
tutive relationship is such that

(8 f / 8q; : ' > 0) the consti-

In the case of
the entire increme
the elastic tensor]
loading zone and;
than two tensorial
increment, sever~
law (four tensoria
raise serious proh
However, mod
ample) is facilitat
model, paragr. U

10.7

LAWS
TENS4

If the numbs
corresponds to a
no longer disconl
very difficult expe
dissipative mecha

of material strain

(10.35)

(10.36)

(10.37)

lie written

193

Chapter 10. Thermoporoelastoplasticity

(b) If the stress increment

contrary

i!

points inside the yield locus (8 f / 8![ : i!

< 0) on the

The hyperplan of equation 8 f / 8![ : f! is therefore a boundary between two regions

of the incremental stress space for which the constitutive law is different, plastic on
one side and purely elastic on the other.
We shall thus call tensorial zone any domain of incremental stress space for which
the incremental equation is linear, i.e. for which the behaviour of the material is
independent of the stress increment.
In a tensorial zone, the constitutive matrix is a constant. On the boundary of
two tensorial zones, there must be continuity of the strain increment. This prohibits
an arbitrary choice of constitutive matrix and leads to the introduction of the plastic
multiplier X and the plastic potential F.

(10.38)

10.6

"'(10.37)

LAWS WITH MORE THAN TWO TENSORIAL

ZONES: THEORY OF MULTIMECHANISMS

(10.39)

(10AO)

(lOA 1)

In the case of (linear or non-linear) elasticity a single tensorial zone exists: in

the entire incremental stress space, the constitutive matrix is constant (and equal to
the elastic tensor). Classical elastoplasticity possesses two tensorial zones: a plastic
loading zone and an elastic unloading zone. When the constitutive law contains more
than two tensorial zones, one speaks about multimechanisms: according to the loading
increment, several types of plasticity can exist. It is the case of the octolinear Darve's
law (four tensorial zones, Fig. 10.5). These extremely complex models occasionally
raise serious problems of continuity for the transitions between tensorial zones.
However, modelling of certain geomaterials of complex behaviour (chalk, for example) is facilitated by the introduction of multiple sources of plasticity (see Lade's
model, paragr. 10.30).

10.7

LAWS WITH AN INFINITY OF

TENSORIAL ZONES

If the number of tensorial zones becomes infinite, (each loading increment

corresponds to a different constitutive matrix) the matrix varies continuously and
no longer discontinuously as in the case of the multimechanisms, for it is always
very difficult experimentally speaking to define the "boundaries between the different
dissipative mechanisms" .

194

Part II. Mechanism

Chapter 10. Thermop

of material strain

transformation

will

where
)

At least, instead
void ratio which is

Fig 10.5. Octolinear

incremental

in the space of incremental

The four tensorial

zones

law with four tensorial

zones

sollicitations.

are defined

by the dashed

in which 0 is the II
One can dedua
differentiating (10.'

lines.

(after Darve.1987)

if one neglects the

(dVB == dVp). Fim

B. THE CAMBRIDGE

MODEL

Generally in books on rock mechanics, few pages are devoted to clay materials. Indeed, clays are very often solely listed under the word "soil", relating to un compacted
materials existing at shallow depth.
In fact, numerous oil drillings show compact rocks with a very high clay content
at great depth. For this reason we describe in the following paragraph the classical
Cam-Clay model recently generalized to thermoporous materials by Coussy (1989,
1991).

10.8

SPACE OF PARAMETERS

Let us consider a volume element submitted to a state of stress " a pore pressure
p and undergoing a total strain increment df. The strain energy associated with this

10.9

PHEN(

NORM
HYDW
Elastoplasticity
memory of the grt:A
The consolidati
applying to a SaIIlJl
Consolidation take
Let us consider a
completely unload!

195

Chapter 10. Thermoporoelastoplasticity

transformation

will be such that

+ pdv
.: d + Pdv

dW

![: df.

(10.42)

rdc+ Pdv
where
s = a-

P =

1
-fT""I

+P

-fTkk

(10.43)

J~(~:~)

At least, instead of porosity, as regards clay materials it is preferable to talk about.

void rat.io which is t.he ratio between porous and solid volumes that is
e

Vp
Vs ==> e

in which 0 is the porosity.

One can deduce an important relationship
differentiating (10.44) one is led to
de = dVp Vs

-2 dVs

Vs
if one neglects the compressibility
(dV8 ~ dVp). Finally one obtains

clay content
the classical
Coussy (1989,

(10.44)

from (10.43) and (10.44); indeed, by

Vp ~ dVp
Vs

(10.45)

of the matrix with respect to that of the pores

dv~--

10.9

0
1_ 0

de
l+e

(10.46)

PHENOMENOLOGICAL
STUDY:
NORMALLY CONSOLIDATED CLAY UNDER
HYDROSTATIC COMPRESSION

Elastoplasticity of clays is based on the following concept: the material has the
memory of the greatest consolidation stress undergone in the course of its history.
The consolidation concept was described in details in Chapter 9: it consists in
applying to a sample a constant mean total stress and a uniform interstitial pressure.
Consolidation takes a certain time having regard for the permeability of the material.
Let us consider a previously consolidated clay sample (at a value P
pJ) then
completely unloaded, and given eo the void ratio of the sample after removal of the

196

Chapter

Part II. Mechanism of material strain

load. Let us load the sample again under a hydrostatic compression P (Fig. 10.6)
and under drained conditions. One assumes that loading is sufficiently slow for the
interstitial pressure to remain uniform at all times.

10. TbenDIII

with

To introdnc
a state function 01

For an isothen

while, for a transfC

strain will increase

where Cl:B is the de

during this transli
0) one can calcula
to determine the Ii

In(-P)

Fig. 10.6. Behaviour

hydrostatic

of a clay under

compression.

10.9.2
Initially the material displays a non-linear elastic behaviour such that the void
ratio decreases linearly versus logarithm of mean effective stress P with a slope equal
to K known as "swelling coefficient". At pJ, irreversible strains appear. The material
hardens and the maximum value reached by the loading (PJ in Fig. 10.6) is memorized
as a new consolidation stress. The maximum consolidation stress appears therefore
as an elastic limit but also as a hardening variable, so that an unloading according
to path Be will be purely elastic and during a subsequent reloading, plasticity will
appear in B and no longer in A.
During hardening, the material exhibits again a linear behaviour of void ratio
versus In (-P), but with a deeper slope >., known as "compressibility coefficient".

When the me;

irreversibilities apj
(known as compre
for strains, the COI
e=
or taking account,

that is

10.9.1

Behaviour in the elastic domain

If the mean effective stress is less than the current consolidation stress, the non
linear constitutive law is written (Fig. 10.6?
eO

= eo

- K In( - P)

for the fact that P is negative since it is compressive.

POI.

(10.47)

or, with respect to the mean pressure P and the volumetric elastic strain [see Eq. (10.46))
3The minus sign compensates

where e~ is the pi

It is necessary
tition rule) is not
since, infinitely so
ism. Although ope
hypothesis issued

197

Chapter 10. ThermoporoeIastoplasticity

P (Fig. 10.6)
slow for the

= Poexp

with

ko

{ko(ve

(10.48)

va)}

= _1 + eo
K;

To introduce in the state law (10.7) thermal phenomena, let us consider P as

a state function of u" and T that is

dP =
For an isothermal path (dT
(~;)

(o~)
ov

dve

(OP)

dT

oT

(10.49)

u.

= 0), (10.48) remains valid so that

= Poko exp {ko(v

(10.50)

va)}

while, for a transformation at constant mean effective stress (dP

strain will increase in such a way that

ve

Va = aB(T

= 0) the

volumetric

- To)

(10.51)

where aB is the drained expansion coefficient (the interstitial pressure being constant
during this transformation).
Replacing (10.50) and (10.51) in (10.49) (with dP
0) one can calculate the second partial derivative which allows one after integration
to determine the general non isothermal state law

P = Po [1 + exp{ko(ve

10.9.2
that the void
a slope equal
The material
~ is memorized
Illlealrs therefore
according
plasticity will

va)} - exp{koaB(T

- To)}]

(10.52)

Behaviour in the plastic domain

When the mean effective stress P reaches the consolidation stress Pal, plastic
irreversibilities appear: the void ratio evolves linearly versus In( - P) with a slope >.
(known as compressibility coefficient) greater than K;. Assuming the partition rule
for strains, the constitutive law will be written (Fig. 10.6)
e

= e"

+ eP

= eo + >.In( -POI)

- K; In( -POI) - Aln( -P)

or taking account of (10.47)

eP
that is

= -(A

- K;)[ln(-P) -In(-PoI)]

P = POI exp {keeP - eb)}

1

(10.53)

k=->._K;
where eb is the plastic void ratio associated with the initial consolidation

pressure

POI'
(10.4 7)
(see Eq. (10.46)]

It is necessary to point out that the small perturbation hypothesis (i.e. the partition rule) is not strictly in accordance with a non linear elastic constitutive law
since, infinitely small of power more than one are taken into account in the formalism. Although open to criticism from a theoretical point of view, we will adopt this
hypothesis issued from the Cambridge School.

198

10.10

Part II. Mechanism

of material strain

Chapter

10. Thermop

however that, cone

speaking refer to J:
distinct structures..

BEHAVIOUR OF A CLAY
UNDER DEVIATORIC STRESS
CRITICAL STATE CONCEPT

To simplify, let us consider the case of a triaxial test (iI, (i2

(i3).
After consolidation under P = POI (Fig.lD.7), let us maintain the confining pressure constant and increase the vertical load (iI, under drained conditions (that is at
constant interstitial pressure p). In diagram, -Pr, the loading representative point
follows path AB (Fig.lD.7) with a slope 3 since 4
dP = d(il

and

dr

= =dtr,

260
220

a
e..

180
140
100

60
20
0

elastic

limi t

IL- __ ~

__

~~_P

-JL-~

Pcr
Fig. 10.7. Concept

of critical

state

The clay behaviour for such a loading path is displayed in Fig.lD.8. It can be
divided into three phases: initially, the material is strained under growing deviatoric
stress and undergoes a plastic volume decrease (contractant behaviour). The density
of the sample increases, the material hardens. The second phase shows the appearance
of an ideal plasticity stage: the material is then strained at constant plastic volume.
This second type of behaviour has a limit, and gradually there is a strain localization
in a shear band: this is the phenomenon known as bifurcation for which the behaviour
becomes dilatant (dVB > D). Only the first two types of behaviour will be studied
in this chapter; bifurcation will be dealt with in the third Part. We may mention
4Do not forget that

dlT~

is negative (compression).

The transition
the change from a
is associated with
which the originaJi
1. Critical sta;
P constant
The critiea
slope M . .Ii
and of the i
-Pr into
'f)

= =rl P,

2. This first a
density) de

flEJBaterial

strain

199

Chapter 10. Thermoporoelastoplasticity

however that, concerning the appearance of a shear band, one can no longer strictly
speaking refer to rheological behaviour given the separation of the sample into two
distinct structures.

-s)

positive

Z50

confining pres(that is at
tative point

hardening

phase

ideal pi aslic behaviour

(cri t.ic al slale)

,...--r-~~~'

ZZO

00 bar

180

~
.0
J::'

140
00 bar

100
00 bar
50
100 bar
20
0

10

12

14

Ev(l~)
Fig. 10.8. Stress
(remoulded

strain

curve under

deviatoric

loading

deep clay from France).

The transition phase (which can be ranked with perfect plasticity), characterizes
the change from contract ant to dilatant behaviour and is known as critical state. It
is associated with two fundamental properties, corroborated by experiment and on
which the originality of the Cambridge model is built:
1. Critical state appears for a ratio between deviatoric stress r and mean stress
P constant.
The critical state is reflected therefore in diagram -Pr, by a straight line
slope M. M, being a material constant independent of the loading parameters
and ofthe initial void ratio (Fig. 10.7). The critical state line divides the plane
-Pr into a contracting zone and a dilating zone. Introducing the parameter
1] = -r/ P one has

1]

1]

< M ==? dvP < 0

hardening

1]

= M ==? dvP = 0

critical state

> M ==? dVB > 0 ==?

shear band

2. This first condition is not sufficient: in the critical state, the void ratio (or the
density) depends only on the mean effective stress, which is expressed by
e

+ A In( -P) = Const. = r

(10.54)

200

Part II. Jl,fechanism of material

strain

r, is a characteristic of the material in the critical state only. In another,

plastically admissible state, Eq. (10.54) will remain valid but the constant will
be different from r (see paragr. 10.15).

10.11

EXPRESSION

dvP
(10.55)

=T}-M

One can then calculate plastic strain work dWP such that [see Eq. (10.42)]
dWP

one is led after iDIIi

The first condition and its three associated zones can be synthesized by writing
that the plastic volume strain, plastic deviatoric strain ratio is such that
dc;p

10. TheJDllllll

The constant CI
for instance the
the yield locus eqIII!

OF THE PLASTIC WORK

Chapter

= Pdd' + rde"

(10.56)

= -111Pde"

(10.57)

which is the eq~

hardening variable
becomes greater; II
Hardening caa
consolidation pns
point P
-Pert r

that is, taking account of (10.55)

dWP

so that the yield

Equation (10.57) used in the original model has been modified by Burland so as
to obtain better forecasts for low ratios -r / P
(10.58)
which leads by taking account of (10.56) and introducing the variable
dc;P
dvp

10.12

DETERMINATION

10.13

to

2T}
T}2-

(10.59)

M2

HARI

To determine d
(10.54). Indeed, iIi
associated void rail

OF THE YIELD LOCUS

An additional hypothesis has to be introduced

plastic flow rule.
In this case the flow rule is writteu''

iP

T}

now: the associativeness

= ~.of
or

of the

(10.60)

Let us unload"
line whose ordinal!

Finally, a new
that is

Taking account of (10.59)

of

or

of -

27]
T}2-M2

T}

=-P

(10.61)

oP
5A

star has been put after the plastic multiplier to avoid a confusion with the compressibility
coefficient.

Eliminating eo ;
of (10.47) to

Per increases d
the critical state. ']

201

Chapter 10. Thermoporoelastoplasticity

one is led after integration

to
r2

+ M2 P = Const.

(10.62)

The constant can be calculated by choosing a particular "plastic" loading point,

for instance the hydrostatic consolidation point r
0, P
POI' One obtains finally
the yield locus equation

(10.63)
.lSilred by wri ting

(10.55)
Eq. (10.42)]

which is the equation of ellipses in diagram -Pro

In Eq. (10.63), POI appears as a
hardening variable: if the sample is consolidated at a higher value, the elastic domain
becomes greater; the material hardens.
Hardening can also be characterized by the critical pressure Per instead of the
consolidation pressure Po. Indeed, the ellipse (10.63) intercepts the critical line at
point P = -Per, r = M Per such that

(10.56)

(10.57)

p __ POI
er 2

Per>

(10.64)

so that the yield locus can also be written

(10.65)
(10.58)

10.13
(10.59)

HARDENING

LAW

To determine the hardening law (i.e. how Per evolves), one has to use the condition

(10.54). Indeed, if Per is the current mean stress [positive according to (10.64)], the
associated void ratio is such that (Fig. 10.9)
Cer

- iveness of the

= Cer

Finally, a new elastic reloading (1

that is
C

(10.61 )

r - ).In Per

(10.66)

Let us unload elastically the material from point A of Fig. 10.9. It follows a swelling
line whose ordinate at origin Co will be
Co

(10.60)

Eliminating
of (10.47) to

Co

+ K In Per

(10.67)

< -P < Per) will follow the same swelling line

Co

(10.68)

Kln(-P)

and Cer from (10.66), (10.67) and (10.68), one is led taking account
Per = exp{ k( Co

cP

r)}

(10.69)

Per increases therefore during the hardening contractant phase and is constant in
the critical state. The latter corresponds as indicated previously to perfect plasticity.

202

Part II. Mechanism of material strain

Chapter 10. Th_

with [see Eq. (10.'

e

To calculate II
(10.70); taking aCl

eo
eer

t---==------.-

K
A

I-------~--_I

To calculate II
sider the three pa

In(-P}

Per
Fig. 10.9. Hardening

law for the Carn-Clay.

-ovof = (1+~
P

Substitution of (10.69) in (10.65) gives a more general form to the yield locus,
that is taking account of (10.47)
r2 + M2 P2]
[ -2M2P

f(P,r,e)=e+Kln(-P)+(A-K)ln

-r=o

dvP )

( dc.:P

where -UP is such

that is by replacil

Equation (10.1
in the critical sta!
calculated

PLASTIC FLOW RULE AND

HARDENING MODULUS

For the Cam-Clay, the relationship

parameters will be such that

(10.70)

In the generalized space of the Cambridge parameters (P, r, e), the Cam-Clay can
be ranked with ideal plasticity. The yield surface (10.70) is fixed since the only parameters figuring in it are material constants (A, K, M and I'). The representative points
localized outside the surface (10.70) are therefore inaccessible to experimentation.
In the space of the loading parameters P and r on the other hand, Eq. (10.70)
shows that e appears as a hardening variable. To complete the formalism, it is necessary now to calculate the plastic flow rule and the hardening modulus.

10.14

In (10.73),"
will be written6

between plastic strain increments and loading

= (N')-l
==

( dP )
dr

(10.71)

6The prime inda:

stress.
7 Remember tluI& i

_material

strain

Chapter

203

10. Thermoporoelastoplasticit.r

with [see Eq. (10.41))

1 of

of

(AP)-l =
HoP oP
'"
[ 1 of of
HoP Or

.2. of

of
HoP or
1 of of
--H or or

1
(10.72)

To calculate the partial derivatives and the hardening modulus, let us differentiate

(10.70); taking account of (10.46) and (10.47), one obtains

df

= (1 + e)dvP

21]('\ -

K)

- P(1]2 + M2) dr
(10.73)

(M2 _1]2)(,\ - K) dP
+ P(1]2 + M2)

To calculate the elastoplastic matrix and the hardening modulus, one has to consider the three partial derivatives

.lID

the yield locus,

(10.70)
tile Carn-Clay can
the only param-

of
~=(l+e)
P
uv

of
or

of
oP

(M2 _1]2)(,\ - K)
P(1]2 + M2)

In (10.73), vP appears as a new hardening variable so that the consistency condition

will be written"
_ 0
of . "
of.
(10.75)
!:l
,.0+zuvPp V U" where

iJP

is such that [see Eq. (10.24) and (10.60))

(10.76)

tative points
lIIperiJ" mentation.

lland, Eq. (10.70)

law"ism, it is nee-

(10.74)

that is by replacing (10.76) in (10.75) and taking account of (10.74)

(1 + e)(M2 _1]2)(,\ - K)
P(1]2 + M2)

(10.77)

Equation (10.77) shows that before the critical state (71 < M), H is positive" while
0 (ideal plasticity). The plastic matrix (10.72) can now be
in the critical state H
calculated

(10.78)
18 and loading

(10.71)

6The prime index is introduced in (10.75) and (10.76) to indicate that 'is an effective state of
stress.
7Remember that in (10.77) P is negative.

204

Part II. Mechanism of material strain

Chapter 10. ThermopGI

for the plastic matrix and

_ >.. - K (dP
1+e
P

dtJ'

>.. -

K (

1+ e

for the incremental

10.15

=>

2TJdTJ )
TJ2
M2

2TJ

(2TJdTJ
TJ2
M2

M2 - TJ2

dv

= dtf'

_ ~

(10.79)

dP)

+P

law.

APPLICATION OF THE CAMBRIDGE

TO SOME SPECIFIC STRESS PATHS

Equations (10.79) can be integrated onto some particularly

10.15.1

dP

1+e P

MODEL

interesting stress paths.

Isotropic consolidation

In this case, r

= TJ = 0 which

leads by replacing in (10.70) to

+ >.. In( -P)

10.15.3

= .6..

This is charactee

with

.6.. =

r + (>" -

(10.43),
K) In 2

(10.80)

The elastoplastic law has thus the same form, as for the critical state but the
constant is no longer r but .6...

10.15.2

Oedos

Anisotropic

In this case, TJ = Const.

consolidation
=> r
e

= -TJP

which leads by replacing in (10.70) to

+ >..In( -

P)

Let us seek a all

For this purpose let
constant and equal
After substitutial

= e'l

TJo is therefore III

with
(10.81 )
which is indeed a constant since TJ is constant in this type of test. Again the elastoplastic law is identical, but the constant is different. It will easily be verified that the
three constants are such that r < e'l < .6..(Fig. 10.10).
We may observe that in the specific case in which TJ = M (critical state) one has
e'l = r. Lastly, for TJ = a (isotropic consolidation) one obtains e'l = .6...

which is a constant
K,>" and M).
Rather than 'lo. i

of material

strain

205

Chapter 10. Thermoporoelastoplasticity

isotropic

consolidation

(10.79)
anisotropic

consolidation

critical

state

MODEL

stress paths.

OL-

Fig. 10.10. Admissible

10.15.3

in the e-P

diagram.

Oedometric consolidation

This is characterized
(10.43),

by a zero radial strain that is de3 = O. Taking account of

(10.80)
state but the

states

-p

de

2
= --dv
3

(10.82)

Let us seek a constant value of 7] (and equal to 7]0) for which (10.82) is verified.
For this purpose let us replace in (10.82) Eq. (10.79) with d7] = 0 (since 7] is assumed
constant and equal to 7]0 in the course of loading).
After substitutions, one obtains
7]2

+ 3A7]

M2 = 0

in (10.70) to
A=I-}"
7]0

(10.83)

is therefore the root of Eq. (10.83) that is

7]0

(10.81 )
which is a constant

= ~ [V9A2 +4M2

(it depends only on the material

3A]

(10.84)

parameters

A and M, that is,

K,>.. and M).

Rather than

7]0,

it is often better to use the oedometric

T/

no -

0";,- _
0"1

327]0

7]0

+3

ratio Ko such that

(10.85)

206

Part II. Mechanism

or, after substitution

of (10.84) in (10.85)
J(

10.15.4

of material strain

-- 1 [

One can also c

phase (~0'2 = 0).
9

-1]

3(1-A)+v'9A2+4M2

0-2

Chapter 10. ThenDllll

(10.86)

Undrained triaxial test

that is by elirmna.

Let us consider a clay sample previously consolidated isotropically at a value Po

(Fig. 10.11). According to Eq. (10.80) the corresponding initial void ratio eo is such
that
eo + Aln(-Po) - r - (A - K)ln2 = 0
(10.87)

or by replacing

(It

M
240

10.16

200

DIFFl

THEi

1;1 160
.0

';:;'
120

In the Cam-OI
C1k see FAI-I
equation of fluid (

[0P

80

40

Fig. 10.11. Typical undrained

behaviour
of clay for different
pressur-es
(r'eruoul ded deep clay from Francc).
consolidation

Let us now increase 0'1 alone under undrained conditions. Given the matrix incompressibility, this condition is obtained by assuming a constant void ratio during
loading so that (10.70) can be written (introducing 'fJ instead of r).
eo

+ Aln(-P)

- (A - K)ln

2
2

'fJ

r=0

(10.88)
p

1+ M2
A

Equalling (10.87)
1 - KIA)

which only de~

therefore similar' I
To determine
equation. One ~
The first deriw i
at constant mean;

and (10.88) one finally obtains

(introducing

the

constant

(10.89)

By substitutisq
led to

_.aterial strain

207

Chapter 10. Thermoporoelastoplasticity

One can also calculate interstitial

0). During the latter
phase (Ll0"2

pressure increase resulting from the deviatoric

(10.86)
LlO"l

P
that is by eliminating

= Po + -3- + Llp

LlO"l

===} Llp = P - Po

at a value Po
-.io eo is such

+ -r

or by replacing (10.89)
(10.87)
(10.90)

10.16

DIFFUSIVITY EQUATIONS ASSOCIATED WITH

THE CAM-CLAY

In the Cam-Clay, one assumes elastic and plastic incompressibility

of the matrix

[0P = c1k see Eq. (10.20)]. Taking account of Eqs (8.102) to (8.105), the constitutive
equation of fluid (10.4) becomes

(10.91)

the matrix inratio during

_d

(10.88)

,".

the

constant
(10.89)

which only depends on fluid properties. The hydraulic diffusivity equation will be
therefore similar to Eq. (8.106).
To determine the thermal diffusivity equation, it is necessary to know the entropy
equation. One will proceed as in Chapter 8, paragraph 8.6.
The first derivative of Eq. (8.55) consists in a non isothermal undrained elastic test
at constant mean total stress for which Eqs (10.52) and (10.91) are written

+ Po exp{ kOCkd

Po

Po +

By substituting
led to

- Po exp{ koCl:B(T - To)}

~~(-Ckk) + Cl:jKj(T

(10.92)

- To)

the first Eq. (10.92) in the second and after differentiation,

one is
(10.93)

208

Part II. Mechanism

of material strain

The second derivative consists in an undrained isothermal elastic transformation

P
O"kk

3 +P
that is after substitution

Kj
Po - -fkk

00

[O"Zk]

3 + Po

Chapter

10. Thermot

test. In diagram P
(point C) will be I

(10.94)
e

exp{kofkk}

of the first Eq. (10.94) in the second and derivation,

(10.95)

The last two partial derivatives [Eqs (8.58) and (8.63)] being identical, the entropy
equation takes the form
8

80

+ m8~ + POCiBko

+ajKj

(f

kk-

:)

exp{a8ko(T

- TO)}fkk

+ ;:CEkk(T-To)

(10.96)

The thermal diffusivity equation is then easily obtained by substituting (10.96)

in Eq. (8.107). Let us recall that this equation assumes that no thermal dissipation
takes place in the plastic process.

10.17

e, ~

THE CONCEPT OF OVERCONSOLIDATION

APPLICATION TO TRIAXIAL TESTS

Up to now, we have only considered normally consolidated samples: the beginning

of the deviatoric phase always began for P = Po, (consolidation pressure of the
sample). Other cases may however be encountered: let us imagine a consolidated
clay under an overburden Po, then as a consequence of erosion, the lithostatic stress
diminishes markedly. The material is therefore in the present state subjected to
a loading P~ much lower than its actual consolidation pressure (maximum reached
during its history): it is said to be overconsolidated and the ratio of overconsolidation
is defined as
N
The value of the overconsolidation
behaviour of a clay.

10.17.1

Po

(10.97)

p~

ratio plays a decisive part in the rheological

Undrained overconsolidated

test

Let us consider a normally consolidated clay sample under a mean effective stress
Po (Fig. 10.12). Given eo the initial void ratio. From Po, let us carry out an undrained

R~

al'material

strain

Chapter 10. Thermoporoelastoplasticity

209

test. In diagram P, r, one then follows the curve PoBC [Eq. (10.89)]. The critical state
(point C) will be reached, with a mean effective stress equal to
(10.94)

P2

Po
2A

(10.98)

tlerivation,

(10.95)
M

.meal, the entropy

(10.96)

o~-L

-J~

__ ~+-~

~-P

-L

i
- the beginning
'" pressure of the
a consolidated
lithostatic stress
subjected to
.
- urn reached
OIerconsolidation

critical

(10.97)

state

Fig. 10.12. Influence

ratio

on the stress

of the overconsolidated
path (after

Desptuz, 1987).

-p

210

Part II. Mechanism

of material strain

In diagram e, P, the undrained path, corresponds to line PC (initial consolidation

follows path OP).
Let us now imagine (still starting from Po) stopping the loading in B (still under
undrained conditions). During path PoB, the material has hardened, and the initial
elastic limit (passing through Po but not represented on the diagram) moves farther.
In particular it passes through point B(r, Pd which is expressed by

(10.99)
in which P~ is the new consolidation pressure. It can be calculated by taking account
of the fact that B also belongs to the undrained path normally consolidated PoB that
is [Eq. (10.89)]

Pl=

Po

[1+ ;2]

'h
WIt

1]

=--r
PI

(10.100)

Eliminating r between (10.99) and (10.100), one is led to

Chapter

10. Th~

If the test was:

equal to 2, and III
To study the ~
loading point IIJB!
constant (and stiI
not maintain the
consolidate agaia
PI (intersection p
passing through ,
If the deviatOl
travels along the w
loading point rem
the two critical sII
point is not sit1Ul
The represenfil
the first plastic in
one meets point (;

(10.101 )
An unloading from B being purely elastic the constitutive equation will be
e + JCIn( -P)

= Const.

(10.102)

In this case till

tion ratio compra

According to Eq. (10.102), as the void ratio does not vary, (it remains equal to the
initial void ratio eo), the effective mean stress P remains therefore constant during
this unloading (vertical path B Pion Fig. 10.12) while in diagram e, P, the figurative
point remains fixed. To understand the effect of the overconsolidation ratio under
undrained conditions (in other words at a constant void ratio equal to eo), let us
reload the material starting from Pl' The present consolidation pressure being
the overconsolidation ratio Nl is therefore such that

P;,

(10.103)
Given the choice of Ps ; it can easily be verified that this ratio N; is comprised
between 1 and 2. One can moreover, taking account of (10.101), relate pressure PI
to the initial consolidation pressure Po and to the overconsolidation ratio Nl that is

(10.104)
Starting from PI and reloading the material (still under undrained conditions with
void ratio equal to eo), one follows a vertical elastic path PIB. At point B, the first
plastic irreversibilities appear. One follows therefore, as far as the critical state in
C, the undrained path normally consolidated BC. During this phase, the material
hardens and the final yield locus corresponds to a consolidation pressure P; = 2P2.

A typical exau
ical analysis (ovee

lllMerial strain

If the test was begun at point P2, the overconsolidation ratio would then had been
equal to 2, and the critical state reached according to P2C, in a purely elastic path .
To study the effect of an overconsolidation ratio greater than 2, the representative
loading point must evolve towards P3 (Fig. 10.12) while maintaining the void ratio
constant (and still equal to eo). Since from point P2 elastic unloading P2P3 would
not maintain the void ratio constant (path CR in diagram e; P), it is necessary to
consolidate again the sample (necessarily under drained conditions) until pressure
PI (intersection point of the isotropic consolidation path and the elastic exponential
passing through point eo, P3) then unload until P3 (elastic exponential SP3).
If the deviator is gradually increased in P3, (under undrained conditions), one
travels along the vertical line P3C3 in diagram P, r while in diagram e, P, the figurative
loading point remains fixed. When the critical straight line is crossed in C3, one of
the two critical state conditions is not respected. Indeed in diagram e, P, the loading
point is not situated on the critical state path (point C for a void ratio equal to eo).
The representative point crosses therefore the critical straight line r
M P, and
the first plastic irreversibilities appear only in B3. One can show experimentally that
one meets point C by a straight line of slope m (which is a new material parameter)

. B (still under
.C

211

Chapter 10. Thermoporoelastoplasticity

aad the initial

moves farther.

(10.99)

(10.100)

(10.101)

(10.102)

r = m(-P)

+ (M

(-Po)
- m)2A"

(10.105)

In this case the curve r, s, displays a peak (Fig. 10.13) while, for an overconsolidation ratio comprised between 1 and 2, it does not.

2<N

(10.103)

axi al strain

o~--------------------------~~
(10.104)
Fig. 10.13. Influence of the overconsolidated
ratio on the stress strain curve.

A typical example is presented in Fig. 10.14 and shows the validity of the theoretical analysis (overconsolidation ratios of 1, 2 and 12).

212

Part II. Mechanism of material strain

Chapter 10. Th~

M=O.90
2

Ii

OCR=l

-P(bar)

3
Fig. 10.14. Typical example
(after

of an overconsolidated

clay

D'espax. 1987).

10.17.2

Drained overconsolidated test

In the case of drained triaxial tests (slope + 3 in diagram P - r) for samples

previously consolidated under PI, the influence of the overconsolidation ratio can be
summarized as follows (Fig. 10.15).
For a normally consolidated sample one follows the elastoplastic path AlGI. For
an initial mean stress comprised between P3 and PI (for example Pd, one follows the
elastic exponential DIBI at the beginning then, as soon as one crosses the elastic
limit in BI, the plastic path B, G1 as far as the critical state. The case of an initial
mean stress equal to P3 poses no problem: the behaviour remains purely elastic as
far as the critical state (point G3).
Lastly, if the initial mean stress is smaller than P3 (for instance P2), it can be
shown that one first follows an elastic exponential D2B2 with decrease of the void
ratio until a peak is reached (point B2) followed by an increase in volume until the
critical state is reached in point G2. Point B2 which corresponds to the elastic limit
is situated on a curve OB2C3 of equation

r = m(-P)

+ (M

- m)

[(-;I)r

(_p)l-A

e~

(10.106)
e

material strain

Chapter

213

10. Thermoporoelastoplasticity

Cl

....

O~~L-

~"_-P

-4__~~~~

critical

isotropic

consolidation

(10.106)
e

Fig. 10.15. Influence

under

drained

of consolidation

conditions

(after

ratio

on stress

Despax. 1987).

path

state

214

Chapter 10. Th~

Part II. Mechanism of material strain

C. THE CONCEPT OF INTERNAL FRICTION

10.19 THE]

THE MOHR-COULOMB CRITERION

In diagram tTr.p is known for ob.

triaxial compressil
cut the straight. iii

In numerous geomaterials, plastic strains take their origin from relative slippage of the grains. The most conventional criteria of rock mechanics derive from this
concept. Therefore, although the subject has been developed by numerous authors it
seemed essential to examine in detail what is perhaps one of the oldest concepts of
rock mechanics: the Mohr-Coulomb criterion first formulated in 1773.

with the directioa

criterion reveals a
two extreme priDC

10.18 THE CONCEPT OF INTERNAL FRICTION

AND OF COHESION

The concept of slippage is intimately linked to that of friction. Let us imagine

two grains 1 and 2 (Fig. 10.16) welded together by a glue of resistance c, and let us
subject the whole to a normal stress a and to a shear stress T.

(J

grain

glue (cohesion

c)

Equation (10.1
stresses (j[, UIII (.
the triangles OO'(

gr ain 2

Fig 10.16. Physical

meaning

of Mohr-Coulomb

AB=~

criterion.

The contact between the two grains produces a frictional force proportional to the
normal stress a and opposed to the motion of the two grains. The relative slippage
will only be possible if
(10.107)
in which J1. is known as internal friction

coefficient and c cohesion of the material.

with

In Eq. (10.111),

Chapter

10.19

215

10. Thermoporoelastoplasticity

THE MOHR COULOMB STRAIGHT

LINE

In diagram U - T, Eq. (10.107) represents a straight line of slope Jl- tan <p where
<p is known for obvious reasons as "internal friction angle". Therefore, a sample under
triaxial compression will be plastified when the biggest of the three Mohr circles will
cut the straight line that is on a facet forming an angle /3 such that
.;

:;:"

11"

<p

/3=---

(10.108)

with the direction of the principal major stress UI (Fig. 10.17). The Mohr-Coulomb
criterion reveals one of its essential properties: the elastic limit depends oniy on the
two extreme principal stresses and is independent of the intermediate component U II.

;
Fig. 10.17. Mohr-Coulomb

criterion.

Equation (10.107) can moreover be represented as a function of the principal

stresses UI, UIII (UI is the major and UIII the minor) instead of U and T. Considering
the triangles OO'C and ABC in Fig. 10.17
2

AB

UI -

OA =

UfII

UI

+ UfII

SlD<p=

AB
=
AC

Uf -

c cot o

(10.109)

(10.110)

2ccot<p-(UI+UIII)

UIIf

= -Co

2cc~s<p
1- SlD<p

q=

with

Co =

UIII

==>
(10.107)

OC =

+ qUI
1 + sin <p
1 - sin <p

(10.111)

In Eq. (10.111), Co represents the elastic limit under uniaxial compression.

216

Part II. Mechanism

of material strain

Chapter

10. Th~

Similarly one can seek the elastic limit in uniaxial traction by making in (10.111)
=0

p~

(7II1

(71

Co
q

2ccosr.p

1 + sin r.p

= To

(10.112)

Ii

..

finally the criterion can be written

n.

'-

V:

(10.113)

Vtj

The six eqwdi1j

10.20

YIELD LOCUS IN THE SPACE OF

PRINCIPAL STRESSES
f

Given (Fig. 10.18) a sample under a triaxial state of stress (71, (72, (73. These
stresses (Arabic index) are associated with directions x, y, z. The Roman index, that
is (71, (7II and (7II1 will define the intensity (major, intermediate, minor).

They describei
towards the tradij
axis.
:

i
I

.~

hydrostatic

axis

---- ...
i
Fig. 10.lB. Yield locus

of the Mohr+Cou lorub cri tcrio n

(after Palll. 1968).

The Mohrthe hydrostatic'

(72

To find a 3D representation of the Mohr-Coulomb criterion in the principal stresses

space, let us consider the six possibilities of sequencing the principal stresses. To each
of the major-minor pairs corresponds an equation of type (10.111) defining a plane in
the principal stresses space. The whole is shown in the table hereafter:

+ (73)/V3.

to a straight .
symmetry axes
Fig. 10.19 rep
the hexagon
criterion: the

217

Chapter 10. Thermoporoelastoplasticity

in (10.111)
Plane
(10.112)

(10.113)

I
II
III
IV
V
VI

Order
(13
(13
(11
(11
(12
(12

< (12
< (11
< (13
< (12
< (11
< (13

Equation
of type
(10.111)

(TIll

(11

minor
stress

major
stress

(13

(11

(13

(13

(12

(13

(11

(12

(11

(11

(13

(11

(12

(13

(12

(12

(11

(12

< (11
< (12
< (12
< (13
< (13
< (11

= -Co +
= -Co +
= -Co +
= =C +
= +C +
= -Co +

q(11
q(12
q(12
q(13
q(13
q(11

The six equations have a common point such that

(11

(12

(T3. These
index, that

~.

(13

Co
= S; = --q-l
= c cot e

(10.114)

They describe a pyramid (Fig. 10.18), the apex of which is pushed back in S;
towards the tractions and whose axis (such that (11
(12
(13) is known as hydrostatic
axzs.

).

a'J

'fresco

hexagon

,..

t
Fig. 10.19 Yield locus in a devi atoric
for different

values

of

plane

'P.

The Mohr-Coulomb criterion can also be represented in a plane perpendicular to

the hydrostatic axis known as deviatoric plane, graduated by the parameter p
(11 +
(12 + (13)/-13. Any deviatoric plane intercepting each face of the pyramid according
to a straight line, the yield locus will appear as a "non-regular" hexagon with three
symmetry axes (projection of the three axes (11, (12, (13 in the deviatoric plane).
Fig. 10.19 represents these hexagons for different values of ip. In particular for ip
0,
the hexagon becomes regular: one is then in a special case of the Mohr-Coulomb
criterion: the "Tresca criterion".

218

10.21

Part II. Mechanism of material strain

SPECIAL

CASE OF TRIAXIAL

Chapter 10. Thermop

TEST

Pial
I
D

In rock mechanics, the triaxial test (for which CT2

0'3) is of special interest. In
this case, we are therefore particularly interested in the intersection of the pyramidal
yield locus with the plane 0'2 = 0'3.
This plane is made up of the two straight lines common respectively to planes III,
IV and I, VI (for 0'2 = 0'3, 0'1 cannot be the intermediate stress component).
The yield locus is displayed in Fig. 10.20 in a diagram of absciss .../20'2
.../20'3 and
of ordinate 0'1 in order to respect the different proportions. Construction of the yield
locus is relatively easy from the three points V (hydrostatic traction Su), T (uniaxial
traction To) and C (uniaxial compression Co).

n,
V

In plane stress ~
pseudo- hydrostatic
<p
0, To
Co; 311

-'

hydrostatic

Ol'-------'--- __~

axis "./

""

.- -'

-'

-'

"
planes

III and IV

Fig. 10.20. Yield locus

in a triaxial

plane.

Figure 10.20 reveals a second essential property of the criterion: plastification of

the material is not possible under hydrostatic compression, the yield locus being open
in the third quadrant ..

10.22

SPECIAL

CASE OF BIAXIAL LOADING

Another interesting special case is that of the biaxial test (0'3 = 0), for it leads to
very different conclusions. Again, one has to consider the six possibilities of sequencing
the stresses, and this is summarized in the table hereafter.
C.ases I and II, corresp~nd to uniaxial tension, cases IV and V, to uniaxial compression.

10.23

TENS

Up to now we
"compression" .
In fact, for gn:
deviators (a pheno

_ material strain
Chapter

219

10. Thermoporoelastoplastici~y

Plane

Order

Cfl

I
II

Cfl
Cf2

>
>

III

Cf2

> 0>

IV
V

0>
0>

>
>

VI

Cf2
Cfl

Cf2
Cft

Equation
of type
(10.113)

CfIlI

Cft

Cf2

Cf2

Cfl

0
0

Cfl

Cf2

Cft

Cft

0
0

Cf2

Cft

Cft

Cf2

> 0
> 0

Cf2

> 0>

Cft

CfIl

Cf2

Cft

= To
= To
=1
Co
= -Co
= =C
=1

Cfl,

Cf2
Cf2 _

To
Cft
Cf2
Cft _

Cf2

To

Cf2

Co

In plane stress (Fig. 10.21), it is thus possible to plastify the material under biaxial
pseudo-hydrostatic
loading (Cfl
Cf2), the elastic domain being closed. At least, if
cp 0, To Co; and the yield locus becomes a regular hexagon, that of Tresca.

hydrostatic

axis

/
/
/

TO

...1----.,./

-CO
/
/
/

IV

/
/
/
/

/
/

/
/

Fig. 10.21. Mohr-Coulomb

biaxial

10.23

I
t

TENSION

state

of stress

yield locus

under

( (13 =0).

CUTOFFS

Up to now we have not made any physical distinction between "traction" and
"compression" .
In fact, for growing mean compression, geomaterials resist increasingly to high
deviators (a phenomenon due of course to internal friction) whereas in traction, plas-

220

Part II. Mechanism of material strain

ticity only occurs in connection with the major stress, independently of the two others.
In fact, in tension friction has no action since the contact does not exist.
Thus, the value of To proposed [Eq. (10.112)] is only an ideal and purely theoretical
value. These considerations have led certain authors (Paul, 1961) to modify the yield
locus by introducing into the traction domain a cube-shaped yield locus intersecting
the initial pyramid by three planes perpendicular to the axes (Fig. 10.22) at a distance
equal to To, (real and not ideal traction resistance).

Chapter 10. Thermopa

where F(O") is a fm
mentally. This fune
of the preceding ail
The fundamental PI!
particular the indep
stress component. j

...
.0

0.8

0
[/)

'0

.:
oj

0.6

[/)

;::l
0

..c:
..,

~\0-

0.4

0.2

0
0

Fig. 10.22. Mohr-Coulomb

modified

with tension

Paul. 1968).

cutoff (after

cr i te r io n

10.25
10.24

GENERALIZATION OF MOHR-COULOMB
CRITERION: CONCEPT OF INTRINSIC CURVE

While the Mohr-Coulomb Criterion models fairly accurately the behaviour of low
cohesion soils, for rocks the forecasts are often poor particularly at low mean stresses.
In fact, for material such as sandstone, the internal friction coefficient is not a
constant and depends on the stress level. This phenomenon can be clearly explained
by the presence of microcracks and will be developed in the third part. At present, we
will content ourselves with introducing the concept of intrinsic curve: the irreversible
strains occur when the shear stress 7 on a given plane reaches a limit value as a
function of the normal stress on this plane, that is

171 = F(O")

(lO.115)

THE N
THEP

It is often assmJI
locus. This hypothe
model. For the inlli
that plasticity is all
friction coefficient
Very often, expe
only observed just I
has to be consideee
yield locus and the
model.

221

Chapter 10. Thermoporoelastoplasticity

where F(a-) is a function dependent on the material and to be determined experimentally. This function known as intrinsic curve in diagram (J', T is a generalization
of the preceding criterion, for which the internal friction coefficient J1. depends on (J'.
The fundamental properties of the Mohr-Coulomb criterion remain therefore valid, in
particular the independence of the criterion with respect to the intermediate principal
stress component. An example is presented in Fig. 10.23.

~
...
.n

0.8

en

"'s::
"

0.6

11l

en
::l

0
..c:
...,

~10-

0.4

0.2

o
o

0.2

0.4

0.6

0.8

1.2

1.4

1.6

1.8

IQ-Kthousands of bar)
Fig. 10.23. Intrinsic

10.25

1
,

..

(10.115)

curve

of Vosges Sandstone.

THE NON-ASSOCIATIVENESS OF
THE PLASTIC FLOW RULE

It is often assumed in plasticity that the plastic potential is identical to the yield
locus. This hypothesis of normality has been used in the framework of the Cambridge
model. For the intrinsic curve model, the hypothesis of normality (Fig. 10.24) shows
that plasticity is accompanied by a plastic dilatancy dp the greater the internal
friction coefficient is large. The dilatancy factor j3 is defined as the ratio de" / diP.
Very often, experiments do not confirm these forecasts, and generally dilatancy is
only observed just before and possibly after the rupture peak. A "Mohr Coulomb"
has to be considered with a non associated plastic flow rule; by differentiating the
yield locus and the plastic potential. Such is the case with the Rudniki and Rice
model.

222

Part II. Mechanism

of material strain

Chapter

10. Thermop

Rudniki and Hi
7

f(7f,7') =1

Expression (10_
defining identically
Let us introdue

a~

J-

that is after derivat

Fig. 10.24. Non associativiness

intrinsic curve criterion.

For a non-assoe
yield locus f

of the

where

10.26

THE RUDNIKI AND RICE MODEL

In their moi

To understand Rudniki and Rice's approach, let us express in two dimensions the
principal stresses as functions of components Uxx, UYY' uxy

C1I

C1II

= 21(C1xx
=

~(uxx

+ C1yy) +
+ Uyy)

[2

C1xy

+ 41(C1xx

[u;y

+ ~(uxx

C1yy)

2] !

-r

Let us now decompose the tensor g into its mean component

component s.) such that

2
s.,

u'3 -

(f

(10.116)

and its deviatoric

(10.117)
o'J(f

and let us consider the generalized shear 7' such that

7'

in which j3 is the d
the plastic strain ill
a standard law. 'l'l
Eqs (10.40) and (UI
of 9 and f is writtl

1
]!
= [2s.,s'3

Finally the
(10.118)

Under these conditions, the principal stresses can be written

(10.119)
(f-7'

COllI

material

strain

223

Chapter 10. Thermoporoelastoplasticity

Rudniki and Rice introduce the yield locus f(O=,1')

f(O=,1')

= l' + J1*0= = c"

with

such that

= sin <p c" = c cos <p

J1*

(10.120)

Expression (10.120) can be easily generalized to the case of 3D state of stress by

defining identically 0= and 1'.
Let us introduce matrix Qsuch that

that is after derivations

Q
For a non-associated
yield locus f

_
'J -

s'J

21'

J1* 0

(10.121)

'J

plastic flow rule, the plastic potential 9 is different from the

(10.122)

where

ag

Pij

=--

au.)

In their model, Rudniki and Rice assume a plastic potential such that
dimensions the
(10.123)

(10.116)

..t
,

in which f3 is the dilatancy factor defined in paragraph 10.25. Therefore, for f3 = 0,

the plastic strain increment will be parallel to the l' axis while for f3 J1* , one obtains
a standard law. The calculation of the incremental law is obtained by generalizing
Eqs (10.40) and (10.41) to non associated plastic flow rule which, given the definitions
of Qand fis written

its deviatoric
A-"

(10.117)

(10.124)

elastoplastic matrix of the RRM will be such that

G(OmkOnl
(Skl

(10.119)

H+Q:1,::f

1,:-1+ ~(Q@f)
Finally the constitutive

(10.118)

A:Q@P:A
-

+ OmlOkn) + (I< -

2~)

OkiOmn

+ f3I< Okl) (smn + kJ1* omn )

H + G + J1* I< f3

(10.125)

224

10.27

Part II. l\1echanism

of material strain

Chapter 10. TherIIJCIIMI

Cu is known as '
idation pressure. II
state is independess
criterion is reduced
only dependent on t

CORRELATION BETWEEN CAMBRIDGE

AND MOHR-COULOMB MODELS

The concept of critical state written in the principal stress space makes it possible
to define for a clay an apparent cohesion and an angle of internal friction. Indeed,
one has (Fig. 10.25)8
r

= -A1P

==::}

0"1

2M+3
3-M

(10.126)

0"2

<P=arcsin ---

3M
6+M

a~__--~~----~-------------Fig 10.25. Critical

state

in the Mohr di agr am.

D.APPL
that is by comparing with (10.111) (these are compressions

Co = 0

2M+3
3-M

s=

==::}

O"Hf

O"~)

TO TIm
(10.127)

or again
c

=O

.
sin <p

= 6 3.M
+M

10.1

28)

Under undrained conditions on the other hand, taking account of equation (10.89),
the critical state will be such that
r

= -M P ==::}

0"1

= 0"2

MP

+ """""2Ao

( 10.129)

that is

Co = _ ~~o

q = 1

(10.130)

or again
<p=o
8 O"~ and

O"~

are effective stresses.

=-

MPo

21+1\

(10.131 )

Among rock I
logical behaviour. It
as "coccolithes". 'l1
erty whose impact 0
reaches 45 % or IIlOI
has become essential
velopment of chalq
been observed (se
considerable.
Numerous exped
is highly complex
the gradual poroSity:
multiplicity of elastcJj
ticated constitutive 1
to explain the rheola

of material strain

225

Chapter 10. Thermoporoelastoplasticity

Cu is known as "undrained cohesion". It increases proportionally to the consolidation pressure. Eq. (10.131) shows that, under undrained conditions the critical
state is independent of the deviator since the angle of internal friction is zero. The
criterion is reduced to a Tresca criterion (Fig. 10.26) and the undrained cohesion is
only dependent on the consolidation pressure Po.

(10.126)

a-

Fig. 10.26. Tresca-type

in undrained

Cu

'J
criterion

for a clay

conditions.

D. APPLICATION OF THE LADE MODEL

TO THE ELASTOPLASTIC BEHAVIOUR
(10.127)

(10.128)
ofequation

(10.89),

(10.129)

(10.130)

(10.131)

OF CHALK
Among rock materials, Chalk is certainly the one with the most complex rheological behaviour. It originates from the sedimentation of planktonic organisms known
as "coccolithes". This chemically very pure rock (99 % Ca C03) possesses a property whose impact on mechanical behaviour is decisive: its porosity which frequently
reaches 45 % or more. In recent years, a rheological understanding of this material
has become essential in petroleum engineering. Indeed, as a consequence of the development of chalky oil deposits in North Sea, very large payzones compactions have
been observed (several %), and their transmissions to the surface (subsidence) are
considerable.
Numerous experimental studies carried out have dearly shown that this behaviour
is highly complex and exhibits very substantial plastic irreversibilities resulting from
the gradual porosity destruction, both under deviatoric and hydrostatic loadings. The
multiplicity of elastoplastic mechanisms has led certain authors to increasingly sophisticated constitutive laws. However, we shall see that two mechanisms are sufficient
to explain the rheological behaviour of this extremely capricious material.

226

10.28

Part II. Mechanism

of material strain

PHENOMENOLOGICAL STUDY
UNDER HYDROSTATIC LOADING

Chapter 10. Thermopa

10.29

One of the essential characteristics of a "Mohr-Coulomb" material is never to

enter plasticity under hydrostatic loading. Now, while this is true for conventional
sedimentary materials (sandstones, limestones, dolomites), for very porous rocks like
chalk (0 > 40%), the experimental reality is very different.
Indeed, under growing hydrostatic loading, the stress-strain curve offers three very
distinct zones (Fig. 10.27). Firstly, a linear elastic zone OA rarely extending above
2 % of strain (and limited to a hydrostatic effective pressure of 50 to 150 bar). For this
value, plastic irreversibilities appear in the form either of a perfect plasticity stage
(AB) or of a smooth positive hardening zone.

PHENC
DEVIA

Under deviatoric
fluenced by the COD
pressure (Fig. 10.281
precedes a pseudo-I
rheological significai

600
500

400

,D

300

Ie
200
100
0

10

~V/V(%)
Fig 10.27. Typical behaviour
under

hydrostatic

of a porous

compression

stress

chalk

state.

This zone generally covers a range of substantial strains (over 10%). Lastly, the
curve becomes inflected quite sharply (Be), the final slope being of the order of the
initial elastic slope. This behaviour becomes even more complex if one carries out
successive loading-unloading cycles (Fig. 10.27): the elastic bulk modulus increases
very sharply with loading, particularly when the final zone is reached.

Fig.
strei

At 75 bar of COD
peak is observed; tl
vertical strain of 10
Lastly at 150 be
practically disappea
pression) and only 1

227

Chapter 10. Thermoporoelastoplastticity

10.29

PHENOMENOLOGICAL STUDY UNDER

DEVIATORIC LOADING

Under deviatoric loading, the behaviour of chalk is more conventional but is influenced by the confining level as can be seen in Fig. 10.28. At 25 bar of confining
pressure (Fig.10.28a) an elastic zone is observed during the deviatoric phase; this
precedes a pseudo-brittle peak and a negative hardening zone which no longer has
rheological significance (appearance of a shear band, see Chapter 13).

E1(lII)

E1(lII)
4

10i -021
c

100

50

Fig. 10.28. Behaviour of a porous chalk under

stress state for different confining pressures.

deviatoric

At 75 bar of confining pressure, (Fig. 10.28b) the elastic zone is still large, but no
peak is observed; the material hardens positively during the elastoplastic phase (a
vertical strain of 10 % is reached at the end of the test).
Lastly at 150 bar of confining pressure, (Fig.l0.28c) the initial elastic zone has
practically disappeared (the material has left the elastic domain in hydrostatic compression) and only the positive hardening phase is observed.

us increases

,
I

228

Part II. Mechanism

of material strain

Chapter

10. Thermop

Chalk offers therefore two very distinct types of behaviour in the stress space: on
the one hand, an "implosive" mechanism due to the destruction of the porosity under
hydrostatic loading, on the other, a mechanism highly dependent on the confining
pressure (therefore on the internal friction) under deviatoric loading.
It is therefore essential to define for chalk two distinct elastoplastic mechanisms.

10.30

THE "TWO-POTENTIALS"

LADE MODEL

In this model the total strain increment dt:<) is divided into an elastic increment
dt::), a plastic collapse increment dt:~) and a deviatoric plastic increment dt:f) so that
in accordance with the partition rule (small perturbations) one can write

tri axial plol

(10.132)

10.30.1

Elastic behaviour.

Loading-unloading

modulus

The loading-unloading cycles in Fig. 10.27 show a very sharp increase in the hydrostatic bulk modulus with the mean stress ff
( 10.133)
where K; is the initial bulk modulus (in other words under zero confining pressure),
Pa the atmospheric pressure (its purpose is to makes the equations homogeneous) and
n a material constant. On the other hand the model assumes a Poisson's ratio loading
independent. Young's modulus follows therefore a law identical to Eq. (10.133).

10.30.2

Elastoplastic

behaviour under deviatoric loading

Under deviatoric loading, the yield locus is an "internal friction" cone for which
the friction angle decreases when the mean stress increases.
To take this curvature into account Lade proposes for the yield locus an equation
in terms of the first and third stress invariant that is
(10.134)
in which h = 0'1 + 0'2 + 0'3
Is = O'!O'20'3
m 2: O.
In the principal stresses space Eq. (10.134) is a pseudo-conical surface whose projections in a triaxial plane and in a deviatoric plane are represented on Fig. 10.29.
Under growing continuous loading, the surface increases in size around the hydrostatic axis by means of the hardening parameter fp which evolves with loading. In
conformity with the positive hardenable plasticity hypothesis, the yield locus corresponds to the highest value reached by Ip during the material history.

The value of fp
nitely and, for a T.iI
bifurcation phenoo
motion of two rigi~
Equation (10.C
m and '1]1. These all
(Pal h). Let us no
(confining pressure
The hardening I
the basis of the aJ
curves are extre~
pressure, the more
elastic zone is rem.
This phenomes
where Wp is the pi

'1]1(0'2)
(maximl
(Fig. 10.30); but, tI
increases with inCII

229

Chapter 10. Thermoporoelastoplasticity

hydrostatic
rupture

triaxial

axis

surface

plane

/
/

(10.132)

hydrostatic

/ ,/

hydrostatic

plane

axis

,/
,/
/
/

/
,/

,/
,/
,/

",teal!;e in the hy-

(10.133)

Fig. 10.29. Yield locus of the Lade model under

deviatoric stress state (after Lade. 1977).

t
locus an equation

f
(10.134)

The value of fp has a limit however: indeed, the material does not harden indefi7]1, a shear band appears (see Chapter 13); this is the
nitely and, for a value of fp
bifurcation phenomenon followed by a softening phase corresponding to the relative
motion of two rigid structures.
Equation (10.134) contains (aside from the hardening parameter) two parameters
m and 7]1. These can be easily determined from rupture tests in a diagram (Ir /13 - 27),
(Pa/h). Let us note that m is a true constant while 7]1 depends on the mean stress
(confining pressure).
The hardening (i.e. evolution of fp with loading) law needs now to be specified on
the basis of the experimental results presented in Fig. 10.28: indeed the stress-strain
curves are extremely dependent on the confining pressure. The higher the confining
pressure, the more "the plastic effect" dominates "the peak effect" and the more the
elastic zone is reduced.
This phenomenon appears again very clearly in a diagram fp, Wp (Fig. 10.30)
where Wp is the plastic strain work such that

Wp

J L

a;

cf

(10.135)

7]1(0'2)
(maximum value reached by fp on each curve) is fairly 0'2 dependent
(Fig. 10.30); but, the amount of plastic strain work required to reach the peak largely
increases with increasing confining pressure.

230

Part II. Mechanism of material strain

40r------r------.------r----~~----_.----__,

Chapter 10. Th_"

10

0.3

0.1
0]

o~

L_

3
(WplPaJ

Fig. 10.30. Hardening

law tp=F(1p)

(after Lade,1977).

This suggests the use of a hardening isotropic law such that

I = 7]1

(;;~&k)~ ~::;:&:p
e

where q and W;-&k are two functions of 0"2 experimentally

Deriving fp with respect to Wp, that is

(10.136)

with for ins

determined,

w;e&k_Wl'

Wpea.k
p

(10.137)

fp is maximum for Wp
W;-&k, that is for fp
7]1 and the curve fp (Wp) is
tangent at the origin (since 8fp/8Wp is infinite), (q > 1).
The hardening law (10.136) depends on two functions of 0"2, that is W;-&k and q.
Experience shows that q is a linear decreasing function of 0"2 (Fig.10.31b), while
W;e&k is an increasing function of log 0"2 (Fig.10.31a).
The criterion being based on the concept of internal friction, the plastic flow rule
is not associated, the plastic strain increment being parallel to the direction of the
shear which induces the slippage.
The plastic potential 9p is therefore not identical to the yield locus. In Lade's
model, the function proposed for gp is of the type
gp

Ir -

[27

+ 7]2

( ~;

m] 13

(10.138)

The choice of this function derives directly from experimental observations. Its
form is relatively similar to the yield locus (10.134), but the angles at the apex in a
triaxial plane are greater than those of the yield locus.

which finally

231

Chapter 10. Thermoporoelastoplasticity

10
r-r-r-r-r-r-rr--:

.--.-1 --,---.,
(a)

4~------~------~----~
(bl

0.3

0.1

L-- __

----'-

0.3

.J--.__ ----'__ --------'

3
10
30

0'--------'-----'-------1
0

(<Tz'Pal

10

15

(0'2'Pa)
peak
of Wp
and q with

Fig. 10.31. Evolution

confining

pressure

(after

Lade. 1977)

The plastic flow rule will be written under these conditions

d

(10.136)

p _
Cj -

ogp

(10.139)

Ap OO'j

with for instance

(10.140)

(10.137)
IS

is W;-&k and q.
lO.31b), while

Two further parameters (in addition to m which is a constant) appear therefore

in the plastic flow rule: plastic multiplier Ap which determines the plastic strain
increment intensity and "12 characteristic of its direction.
"12 can be easily determined
from triaxial tests (Lade, 1977).
To calculate the plastic multiplier one has to multiply the two members of (10.139)
by O'j. After summation, one obtains
(10.141)

which finally leads to

(10.142)

In Lade's

(10.138)

which is written taking account of (10.140)

\

dWp

Ap -

3gp

+ m"12

(
~;

)m 13

(10.143)

232

10.30.3

Part II. Mechanism of material strain

Elastoplastic behaviour under

hydrostatic loading

Chapter 10. Thermo,-

In the case of a I

To take account of possible plastic irreversibilities under hydrostatic loading

the yield locus has to be closed.
In the present model one introduces a second yield locus: a sphere centred on the'
origin. Only the sphere part seen by the solid angle of the cone clearly has an interest.
Therefore, in a triaxial plane the complete yield locus is represented (Fig. 10.32) by
two lines subtending the arc of a circle around the hydrostatic axis. The equation of
the sphere in the space of principal stresses is such that

( 10.144)

with dc~ = de; - dii

to

Similarly, in the

Experience show
ponential form of th

C and p being t
diagram. Caleulatio
that is

which leads finally t

hydrostatic

axis

10.31
Fig. 10.32. Complete yield surface
a triaxial

SHAO

in

plane.

This model whie

in the choice of the
the scalar quantity.

in which I: (radius of the sphere), is~ second hardening parameter. Under the effect
of loading, the radius increases, but this mechanism does not give rise to a possible
rupture. Only plasticity is considered here.
Let us now study the plastic flow rule. The material being assumed to be isotropic,
under hydrostatic loading, strains are identical in all directions. The associated plastic
flow rule will be such that

Furthermore,

th

(10.145)
As was already the case for the deviatoric mechanism, let us assume an isotropic
hardening as a function of the plastic strain work We

(10.146)

For the hydrO&b

of material strain

233

Chapter 10. Thermoporoelastoplasticity

In the case of a purely hydrostatic

loading (f, this plastic work is equal to

(10.147)

tatic loading

centred on the
has an interest.
(Fig. 10.32) by
The equation of

with df:~
to

= de;

au/ K.

Taking account of (10.133) and after integration,

Wc = -Uf:v
Similarly, in the case of hydrostatic

n-2-n
PaU
-

(10.148)

(2 _ n)Ki

compression the value of

one is led

Ie

is reduced to
(10.149)

(10.144)

Experience shows quite clearly that Eq. (10.146) can be approximated

ponential form of the type

by an ex(10.150)

C and p being two hardening variables. They are easily measurable in a log-log
diagram. Calculation of the plastic multiplier is carried out in the same way as before,
that is
(10.151)

which leads finally to

(10.152)

10.31

SHAO AND HENRY'S SIMPLIFIED MODEL

This model which is specifically adapted to chalk differs from Lade's model mainly
in the choice of the hardening variable which is no longer the plastic strain work but
the scalar quantity ~p,c such that
(10.153)

Furthermore,

the sphere cap is replaced by a plane such that

(10.154)

(10.145)
e an isotropic

(10.146)

For the hydrostatic

mechanism, the normality hypothesis enables one to write

df:i

x, 881
(J'i

1,2,3

(10.155)

234

Part II. Mechanism of material strain

Chapter 10. ~

To calculate the plastic multiplier one proceeds as previously, that is

2:, O";dcf

100WPJ

= ,xc 2:
a; ~ I.
.
uO",

(10.156)

68

which leads finally to

,x _
The determination

of

,xc

48

dWc

c-

S8

(10.157)

Ie

38

necessitates choosing a hardening law

28

(10.158)

18

For the deviatoric mechanism, the yield locus is identical to that of the Lade model
[Eq. (10.134)] that is
1(0"1,0"2,0"3)

If
)
( 13 - 27

(h)m
P

= Ip(~p)

(10.159)
38

while for the plastic potential

proposed

(non-associated

flow rule) a simplified expression is

25

gp =

If -

2713

(10.160)

28

which comes down to assuming in (10.138)

15
TJ2

=0

(10.161)

18

The plastic flow rule will be written

5
8
12

(10.162)

v(%)
which makes it possible to determine the plastic multiplier such that
(10.163)

that is

(10.164)

10.32
The hardening law of this second mechanism is different from that proposed by
Lade (hyperbolic Duncan law)
(10.165)
where Do and b are material constants.
Shao and Henry's model contains therefore eight constants which can easily be
determined by conventional tests. Some examples of comparisons between numerical
and experimental results are presented in Fig. 10.33.

TA~
RES.

To take into~
stress space al
normal stresses

0):1

.~

.,

Tisama~

of material strain

235

Chapter 10. Thermoporoelastoplasticity

/(Jt-(J21(MPa)

laKMPa)
28

68

(10.156)

51"
EXP

58

_51"
EXP

15

40

(10.157)

18

30
28

IU21-5l1Pa

(10.158)

18
0

18

12

14

11

12

h(%)

Ev(%)

12

El(%)

(10.159)
lat-a

IO"C0"21(MPa)

I(MPa)

78

38

expression is

(10.160)

51"
EXP

25

IUj"4"ttPa

S8

28

51"
EXP

S8

48
15
38

(10.161)

18

28
luz-1Bt1Pa

:5

18
8

(10.162)

12

Fig. 10.JJ. Comparison

and numerical
results

Ev(%)

El(%)

Ev(%)

(10.163)

12

12

12

El(%)

between experimental
on a porous chalk

(after Shao.Henry and Guenot.1988).

(10.164)

10.32

(10.165)

TAKING INTO ACCOUNT

RESISTANCE TO TRACTION

To take into account material cohesion, a translation is carried out in the principal
stress space along the hydrostatic axes (Fig. 10.34) by adding a constant T to the
normal stresses such that
0:;

= +T
U;

= 1,2,3

T is a material constant loading independent.

(10.166)

236

Part II. Mechanism of material strain

Fig. 10.34. Change of coordinates

of resistance

10.33

to take

Chapter 10. Th

account

to traction.

LADE'S MODEL AND PRINCIPLE

OF EFFECTIVE STRESSES

LB.,

BURLAND,

of wet clay, in

F., 1987.

DARVE,

The deviatoric mechanism of Lade's model deriving from a non-associated flow rule
the application of the principle of effective plastic stresses is theoretically not allowed.
However theoretical forecasts are excellent particularly under undrained conditions if
one admits the plastic effective stress principle.
Under undrained conditions (incompressible fluid and grains) any volume change
is zero whatever the loading. In the specific case of Lade's model this is expressed by
the condition
(10.167)
Under undrained conditions a rise in interstitial pressure tlp takes place such that
condition (10.167) is respected.
The results obtained by Lade show a remarkable concordance between the simulated tests (continuous line) and the experimental points (Fig. 10.3.5).

de lois de com
des ponts et dulllli!ll

G., el

DEBANDE,

research pro
DESPAX,

D.,

phase, internal
A., I

DRAGON,

of Poitiers.
HILL,

R., 1950,

JAEGER,

J.e.,

& Hall, Londoa..

LADE,

P.V., 1

surfaces, Int. J.

,. material strain

237

Chapter 10. Thermoporoelastoplasticity

J: ..

....bN3

::--....

b'"'2

.: ... ~.. J
30

20

10

E1(%)
Fig. 10.35. Comparison
numerical
sand

[after

results

between

of undrained

experimental
tests

and

on a loose

Lade. 1978).

BIBLIOGRAPHY

BURLAND, I.B., and ROSCOE, K.H., 1968, On the generalized stress strain behaviour
of wet clay, in "Engineering Plasticity", Cambridge, Heyman-Leckie.
.ated flow rule
y not allowed.
conditions if

DARVE, F., 1987, L 'Ecriture incremeutale des lois rheoloqiques ei les gran des classes
de lois de comportement, in "Manuel de rheologie des geomateriaux" , Ecole nationale
des ponts et chaussees press.
DEBANDE, G., et aI., 1985, Mechanical
research program, phase I, Stavanger.
DESPAX, D., 1987, Alwyn, Stability
phase, internal report TOTAL CFP.

(10.167)

behaviour of Chalks, Symposium

analysis

DRAGON, A., 1988, Cours de Mecanique

of Poitiers.
HILL, R., 1950, The mathematical
JAEGER, J.C., and COOK, N.G.W.,
& Hall, London.

of inclined

- Plasticite

theory of plasticity,
1979, Fundamentals

of the Chalk

boreholes during 12" 1/4

- Endommagement,
Oxford University
of rock mechanics,

LADE, P.V., 1977, Elastoplastic stress strain theory for cohesionless

surfaces, Int. J. Solid Structures, Vol. 13, pp. 1019-1036.

University
Press.
Chapman

soil curved yield

238

Part II. Mechanism of material strain

- 1978, Prediction of undrained behaviour of sand, Journal of the geotechnical

neering division, June.
- 1978, Three dimensional behaviour of remolded clay, JGTED, February.
LEMAITRE, J., and CHABOCHE, J .L., 1988, Mecanique

des materiaua: solide, Dunod.

Ii simple potentiel, in "Manuel

LORET, B., 1987, Elastoplasticite
geomateriaux" , Ecole nation ale des ponts et chaussees press.
JONES, M.E., 1985, Deformation
mechanisms
research program, phase I, Stavanger.

engi-

de rheologie

in chalk, Symposium

des

of the Chalk

PAUL, B., 1968, Macroscopic criteria for plastic flow and brittle fractures, in "Fracture, an advanced treatise", Academic Press New York, San Francisco, London.
ROSCOE, K.H., SCHOFIELD, A.N., and WROTH,
soils, Geotechnique 9, p.71.

C.P.,

1968, On the yielding

of

RUDNICKI, J .W., 1984, Effects of dilatant hardening on the development of concentrated shear deformation in fissured rock masses, JGR, Vol. 89 B 11, pp.9259-9270.
RUDNICKI, J.W., and RICE, J.R., 1975, Conditions for the localization of deformation in pressure-sensitive
dilatant materials, J. Mech. Phys. Solid, Vol. 23, pp.371394.
SHAO, J.F., HENRY, J.P., and GUENOT, A., 1988, An adaptative constitutive
for soft porous rocks (Chalk), in Proceedings of the XXIXth U.S. Symposium
questions in rock mechanics" Univ. of Minnesota, Mineapolis, Ed. Balkema.

model
"Key

Part III

Mechanisms
of material cohesion loss

CHAPTER

11

Fissuring

11.1

HETEROGENEITY OF MATERIAL

The rheological mechanisms studied in the previous chapters only relate to homogeneous materials. In other words, homogeneously loaded materials strained in a
homogeneous manner.
In fact, actual materials are profoundly heterogeneous: impurities, inclusions,
pores, strain incompatibilities of neighbouring grains, are inherent in all materials
and represent their heterogeneity. This may be referred to in the broad sense as
defects.
Emphasis should be laid on the fact that these defects preexist any loading. The
fissuring process takes its origin from this structural heterogeneity. Indeed, by the
action of loading some defects will progress as cracks along discontinuities where
material has been destroyed by rupture of the bonds preexisting the process: we have
then what is called material cohesion loss.
There exist two distinct fissuring mechanisms: brittle rupture and ductile rupture.
Brittle rupture only involves ruptures of bonds, without any appreciable plastic strains. Total energy is concentrated in a process that leads to very large fractures, propagating rapidly through the material. For ductile rupture, on the other
hand, energy is primarily dissipated plastically; crack evolution will progress much
less quickly than in brittle materials.
Since in the majority of cases the fissuring behaviour of rocks is brittle, we shall
limit the scope of our study to this single type of mechanism. Readers interested by
ductile rupture are referred to the works listed in the bibliography.

11.2

BASIC HYPOTHESIS OF BRITTLE RUPTURE

Brittle rupture is based on the following hypothesis:

1. One assumes, within the continuous medium, the existence of initial defects
which can be either inherent in the microstructure or the result of a previous
loading.

242

Part III. Mechanisms

of material

cohesion loss

2. Among all the defects some are subjected to much greater stresses than others.
This will be particularly the case for those with a shape factor close to zero
(infinitely flattened ellipses). We shall therefore specially refer to this type of
geometric disturbance as a defect.
3. The continuous material containing these defects is assumed to be linear elastic.
4. Under a system of increasing external loading the initial defect can extend to
neighbouring material through rupture of the preexisting bonds (Fig.ll.l).

,
!

Fig. 11.1 Fracture

(after

model

Goodier. 1968).

The layers of particles are linked by elastic springs whose strength has a limit.
Beyond this limit, there is rupture of the bond and therefore irreversible separation
of the two layers (Fig.Il.2).
Fissuring reveals the concept of a threshold: if this
threshold is not reached, there can be no fissuring.
This simple model shows us that fissuring (brittle or ductile) is an irreversible
process in the thermodynamic sense. We shall study this concept in detail later.

243

Chapter 11. Fissuring

loading

amax

""',.".".,

,"..,

interparticulate
distance
V

rnax

Fig. 11.2 Linear model of cohesion

by brittle

11.3

elastic

loss

fissuring.

STRESS FIELD ASSOCIATED WITH A CRACK

CONCEPT OF STRESS INTENSITY FACTOR

Before studying the conditions for crack extension (one also speaks of propagation)
under the effect of external loadings, it is essential to study the disturbed stress
field around the crack. The material being linear elastic, the problem can be solved
considering the' solution of the infinite plate with an elliptical cavity of semi axes a
and b under uniaxial tension (J' (Fig. 11.3).

2a

1I

a
Fig. 11.3. Infinite

plate with an elliptical

hole.

244

Part III. Mechanisms of material cohesion loss

This calculation has been developed in Chapter 5 and has shown the state of stress
along the major axis of the ellipse (that is y
0 and Ixl ~ a) was the superposition of
a trivial problem (medium without cavity) and an auxiliary problem (pressure equal
to -(1' on the surface of the ellipse)

{1'xx

l+m

+ {1'yy

2{1'

+ (1'

p -m

(11.1)
{1'yy -

{1'xx

1{1'(

m2

-m

)2

1 + p2

+2

p2(1 _ p2)]
2

p -m

+ {1'

We may recall that in Eqs (11.1), m is the inverse shape factor (m

1 if a
and p the first elliptical coordinate such that [see Eqs (5.101), (5.102), (5.103)]
2 p=

x(l

+ m)

acosO

If the ellipse is reduced to a crack

axis becomes

+
(a

(11.2)

= 0 that

is m

1) the stress

2{1'

{1'yy

Furthermore,

for 0 = 0, (that is y

= 0)

= {1'+-2-p - 1
= 0) and

{1'yy

along y
(11.3)

m = 1, one obtains
(11.4)

To analyze the stress field at the crack tip, let us write

x = a(1

+0

with

(11.5)

By replacing (11.5) in (11.4) one obtains

p2 -1

= 2(e + 2~)![(e + 20! + (1+~)]

(11.6)

~ being small with respect to 1,

can be neglected with respect to ~, ~ with
respect to 1 and finally ..j'Jl, with respect to 1, which
(11. 7)
Introducing
re-written

coordinate

r considered from the crack tip (x

= a + r)

(11.3) can be
(11.8)

with
(11.9)
Equation (11.8) shows that the linear elastic solution is singular at the crack tip
0).
(that is for r

245

Chapter 11. Fissuring

If we re-write (11.8) in the form

a yy.J'2r
I( r can be defined as

I(r

= (j.J'2r + 1(1

(11.10)

= r-+O
lim(jyy.J'2r

(11.11)

In other words, for r small one can simply write

f{/

(jyy

== V2T

-+

(11.12)

1(1 represents the intensity of the singularity. It depends on the geometry of the
problem (here a) and of the loading o, For obvious reasons it is known as stress
intensity factor.

11.4

GENERALIZATION OF THE CONCEPT

OF STRESS INTENSITY FACTOR

Irwin (1957) generalized the concept of stress intensity factor in the case of any
loading by no longer considering the crack as a particular type of cavity but as a local
discontinuity in the displacement field.
By decomposing the displacement discontinuity vector [il] into its three elementary
components one can describe any movement of the crack lips by three elementary
kinematic modes (Fig. 11.4).

opening

mode

Fig. 11,4 Elementary

shearing

kinematic

1. Mode I or opening mode such that

lily]

-I 0

mode

modes

tearing

associated

with a crack.

mode

246

Part III. Mechanisms of material cohesion loss

2. Mode II or plane shearing mode such that

3. Mode III or antiplane shearing mode such that

Each of these kinematic modes corresponds to a different type of stress with which
is associated a stress field in the vicinity of the crack tip. By limiting the study to
modes I and II (we shall not develop mode III in the scope of this book), the calculation
can be dealt with in plane elasticity. The asymptotic stress field at the crack tip is
then such that

J{/

---cos(211'r)~

. 8 . 38
1 -sm-sm2
2
. 8
38

sm cos'2

. 8 . 38

+ sin 2Slll2

. () [

3()]

- sm - 2 + cos - cos 2
2
2
J{II

. -8 SIn
. -38]
cos -8 [1 - sm
222

+---.
(21I'r) 2

. -8 [cos -() cos -38]

sm
2
2
2
(11.13)

and the displacement field

(::)

J{/

2G

J{II

r ) ~ ( cos ~
211'

+2G (2.)
=

(c -

1 + 2sin2~)

. 2
8 ( II:+ 1 - 2 cos282)

sin

~ (sin~

[1I:+1+2COS2~]

-w,~

[.-1-2'in'~l

where II: 3 - 4/1 (plane strain) and G is the shear modulus of the material.
In these expressions rand 8 are the polar coordinates centred on the crack tip
(Fig. 11.5), J{/ and J{II the stress intensity factors associated respectively with the
elementary kinematic modes I and II. They are function of the geometry of the problem and of the loading parameters. Let us insist once again on the fact that these
equations are only valid at the crack tip for the reasons set out in the previous paragraph.

Chapter

247

11. Fissuring

Fig. 11.5. Coordinate

11.5

system

at the cr ac k tip.

PHYSICAL SIGNIFICANCE
INTENSITY FACTORS

OF THE STRESS

The stress intensity factors reveal their physical significance through the displacement discontinuities. For this purpose, let us calculate for example the crack opening
[u]y such that (Fig. 11.6)

[Uy]

= v [r, e = 7r] -

= -7r]

v [r, ()

(11.14)

+7r
----t----->--+---I~

_7r

Fig. 11.6. Displacement

discontinuity

at the crack

tip.

Replacing (11.13) in (11.14), one obtains

_ ] = 8I<f(1 -

uy

v2) fr

V~

(11.15)

in the same way

(11.16)

248

Part III. !ltIechanisms of material

cohesion loss

The stress intensity factors can be understood as the image of the displacement
discontinuities at the crack tip associated with each of the elementary kinematic
modes. The fundamental quantities associated with a crack are no longer stresses and
strains (or displacements) but stress intensity factors and displacement discontinuities.
One can also write Eqs (11.15) and (11.16) in terms of stresses.
Indeed, at the crack tip and for e = 0
[{I

<u

= ---,
(211"1')2

<Txy

= (21lT)~

(11.17)

[{II

Eliminating

[{I

and

[{II

(11.18)

through (11.15) (11.16) (11.17) and (11.18), one obtains

_
[Uy]

_
lux]

8(1 - v2)
E
r
8(1 E

v2)

t
<Tyy

(11.19)

<Txy

(11.20)

Through these equations clearly appears the decoupling of the two modes: a
normal stress creates only an opening, and a shearing parallel to the crack creates
only a slippage.

11.6

CALCULATION OF THE STRESS

INTENSITY FACTOR

The elastic calculation of a crack-containing structure is based therefore on the

knowledge of the stress intensity factors associated, we may recall, with the geometry
of the structure and the external loadings. The stress intensity factors can only be
calculated analytically for simple geometries and loadings.
The method consists in calculating the stress field in the immediate vicinity of
the crack tip, then in evaluating J{I and [{II by identifying the results with Irwin's
Eqs (11.13). We reproduce below some fundamental results in infinite plates.

11.6.1

Infinite plate with a rectilinear crack

in a uniaxial stress field

If the crack is inclined at an angle f3 with respect to the direction of x axis, the
stress intensity factors are such that (Fig. 11.7)

tc,

<T cos '

[{II

<T sin

f3Fa

f3cos f3Fa

"

(11.21)

249

Chapter 11. Fissuring

,
y

a
Fig. 11.7. Inclined

11.6.2

crack

under

uniaxial

loading.

Infinite plate with rectilinear crack

in any far stress field

Let us observe in Eqs (11.21) that O'cos2 f3 and -O'sinf3cosf3 represent the normal
and tangential projections of 0' on the crack plane. Therefore this particular case can
be generalized to any loading '. If ii is the normal to the crack, the stress intensity
factors become!

(' . ii) . iiFa

I (' . ii) . t I Fa
11.6.3

(11.22)

Infinite plate with a concentrated force

on the crack lips

A system of self-balanced concentrated forces P and Q is applied at a distance

b from the crack center (Fig. 11.8). The stress intensity factors associated with this
configuration are equal to (Sih, 1973)

P (a+b)~
a-b

Fa
Q

(a + b)~

Fa a-b
1KJI

must always be positive.

(11.23)

250

Part III. Mechanisms

of material cohesion loss

Fig. I1.B. Concentrated

loads

on a crack

(ofter Sih.1973).

11.6.4

Infinite plate with rectilinear

continuous loading

crack and

One can easily extend the previous solution to the case of a continuous loading
normal O"yy(x,O) and tangential O"xy(x,O).
At any point of the crack, a system of
self-balanced localized forces acts that is

O"yy(x,O)dx

0"

(11.24)

xy( x, O)dx

By summing the effects of the various local loads one is led to

l+
l+

1
t--::

y7l'a

1
t--::

y 7ra

11.7

-a

O"xx(x,O)

-a

O"xy(x,O)

(a+ x)t
(a+ X)t
--

a-x

--

a- x

dx
(11.25)

dx

CONDITION FOR CRACK INITIATION

GRIFFITH CRITERION

When the external forces system is such that at the crack tip the bonds between
grains reach their ultimate resistance, the initial crack begins to grow. This condition
is known as propagation criterion. The singular form of the stress field at the crack
tip does not allow one to approach this problem in terms of ultimate stress. /'Therefore
it is preferable to use a thermodynamic approach.
'

251

Cbapter 11. Fissuring

11.7.1

Writing the first pr-inciple

The energy balance of a transformation during which a crack of initial length a

grows by an increment of length da is written [Eq. (3.3)]

if + 1< = Pert + Q -

w.

(11.26)

In Eq, (11.26), W. is an additional term that did not appear for continuous media.
It characterizes the fact that the boundary is evolutive and represents the dissipated
energy by the cohesion loss mechanism.

11. 7.2

Kinetic energy associated with

the propagation of a crack

Kinetic energy variation during a transformation - often neglected - is essential

from a qualitative point of view to understand the propagation condition of a crack.
The general expression of the kinetic energy associated with particles motion of a
strained solid of volume V is such that
(11.27)

1I
i

1
:

in which it is the displacement velocity field at any point of the solid. If the solid
contains a crack of length a which propagates by an increment da under the action
of an external constant stress field, expression (11.27) can be written
J{

1 2
= _pa
2

1({r)2
.

aa

dV

(11.28)

in which a is the propagation velocity of the crack.

Let us expound (11.28) for a crack of length a under a uniaxial tension a in an
infinite plate. In this case the displacement field il associated with the auxiliary
problem (one does not consider the trivial solution which is independent of a) is
proportional to ao f E; therefore ail/aa is proportional to a l E,
a being the only characteristic dimension in the material, the volume integral
(11.28) (which is in reality a surface integral per unit of thickness) is proportional to
a2 so that (11.28) can be written in the form
(11.29)
in which k is a constant. One can now calculate the particulate derivative of (11.29).
On the hypothesis of a constant propagation velocity a, one obtains finally
(11.30)

252

Part III. Mechanisms

of material cohesion loss

In other words "under a given loading, a crack can only grow if the kinetic energy
of the system increases during the transformation" which can be summarized by the
inequality

I<~O

{::::::::}a=O

K>O

{::::::::}a>O

We should note that the case

restoration of the initial crack).

11.7.3

a<0

(11.31)

cannot be physically considered (no possible

Griffith criterion

The energy balance (11.26) makes it possible to express condition (11.31) in the
form
k = Pext + Q - W$ - U > 0 {::::::::}
a>0
(11.32)
Each of the terms of (11.32) can be clarified. The expressions of Pext and
already been developed in Chapter 3

Pext

is

fadS

have

(11.33)

in which S is the external surface, f the external loads and 11the displacements
the external surface (external surface plus crack), and [see Eq. (3.48)]

of

(11.34)
The term W$ is, we may recall, the dissipated energy in the mechanism of cohesion
loss. It depends therefore on the crack surface created during the transformation.
In
Griffith's hypothesis, this energy is proportional to the surface increment created
during the time increment that is
(11.35)

W. = 2ra

r being the surface energy of the material, independent of loading and geometry, and
the factor 2 originating from the fact that the total area created is not da but 2da
(newly created upper face and lower face).
Replacing (11.33), (11.34) and (11.35) in (11.32), taking account of the fact that
the material is elastic one is led to the expression

is

fadS -

Wet -

2ra > 0 {::::::::}

a>0

(11.36)

or by revealing derivations with respect to a

(1
S

-fJiidS - -aWel F-

aa

aa

2)'r

>

0 {::::::::}
a. > 0

(11.37)

253

Chapter 11. Fissuring

then by writing
9

r FEN'dS
_ aWel
aa
aa

(11.38)

is

one obtains the final expression of the Griffith criterion

a > 0 ::=} 9 >

(11.39)

2,

9 is known as energy release rate.

It depends on loading and geometrical configuration.
energy contained in V is such that [see (4.53) and (4.57)]

Wet

Indeed, the elastic strain

= 21 ivr (q; : ~) dV = 21 isr rcas

(11.40)

that is by deriving with respect to a

oWe1 = ~
oa
2

isr

of

Ba+ u oa)

(Fou

dS

(11.41)

which leads by replacing (11.41) in (11.38) to

9

=~
2

ris (faUaa _ uofoa)

(11.42)

dS

When only forces are prescribed on the external surface (11.42) reduces to

}.

I
~
,

1
I

11.8

r fOUaa dS

is

(11.43)

GROWTH OF AN INITIATED CRACK

QUASISTATIC PROPAGATION

The Griffith criterion tells us about the initiation conditions (the external loading
must be such that 9 > 2,), but Eq. (11.39) does not solve the extension problem.
Let us consider a material containing a crack of arbitrary length a subjected on
its external surface to a loading f (tractions) with which is associated a displacement
field U.
The energy release rate associated with this loading and "this configuration is such
that (since only forces are prescribed on the external surface)

gda

=~

For low loadings, (g

is reduced to

=~

is

(Fdu)dS

(11.44)

< 2,), the initial crack cannot grow (a = 0) and Eq. (11.36)
(11.45)

254

Part III. Mechanisms

of material cohesion loss

The material behaviour remains purely elastic (the work of the external forces is
wholly transformed into elastic strain energy) and the stress path can be represented
in diagram f, il by a straight line OA whose slope (in other words the modulus) is
lower the greater the length of the crack (Fig. Il.9).

~~========~~
Fig. 11.9. Growth of a defect (after

Bui.1978).

This slope is moreover limited between a maximum value corresponding to the case
of a continuous medium (no initial crack) and a zero slope (u axis) corresponding to
a medium completely crossed by the crack.
Given A the representative loading point for which 9
2,. A, defines therefore the
boundary between purely elastic loading and loading for which propagation occurs.
For other initial crack lengths, the limit point f, ii will be different. The set of limit
points forms a curve of equation 9
2, in the diagram f, il. This curve is comprised
between two asymptotes, corresponding to the two extrema defined just above.
If the loading point crosses the limit curve, 9 becomes greater than 2, and the
initial crack is propagated. This propagation can have two aspects however.

11.8.1

Quasistatic controlled rupture

If, starting from point A, one controls the loading so that 9 exceeds only very
slightly 2" the rate of kinetic energy remains low, the consequence of this being a
slow advance of the crack (a small) hence the name quasistatic given to it. Quasistatic
propagation implies therefore as a first approximation that 9 is at any moment equal
to 2, which prescribes the representative loading point to evolve on the limit curve.
Thus starting from a crack of initial length corresponding to the slope OA, once the
equilibrium curve is reached, the representative loading point will evolve on the limit
curve from A towards B.

Chapter

255

11. Fissuring

During this phase, the crack will grow. To be convinced of this fact, it is sufficient
to carry out in D an unloading according to the elastic path OD whose slope is
less than OA. A geometrical interpretation of the surfaces subtended by the limit
curve shows that the energy dissipated during loading path OADO is equal to the
curvilinear triangle OAD. This energy is assumed to dissipate exclusively in surface
energy. One has in this, means of determining experimentally the surface energy 2,.

11.8.2

Uncontrolled

or dynamic rupture

Let us now consider the case in which after elastic loading OA, the representative
point crosses the equilibrium curve as far as G (therefore such that 9 largely exceeds
2,), then follows the path GEBF, where the crack stops.
As previously, the crack begins to be propagated in A. At point E, the crack is of
exactly equal length to that which corresponded to point D in the quasistatic case.
Since OAD was equal to the energy exclusively dissipated in an additional element
of crack surface, AGED represents therefore the energy excess (g - 2,)da, in other
words the kinetic energy variation of the system which will moreover be maximum at
point B (equal to area AGEB). This kinetic energy must now be dissipated in order
to bring the system back into an equilibrium state. Various dissipative processes can
come into play: heat, acoustic energy but also new crack growth. The representative
point comes back to the elastic domain but the crack continues to be propagated
before finally stopping at point F where it is of a length corresponding to the slope
OH.
Only a part of the kinetic energy AGEB is therefore dissipated in the form of
new surface after point B: namely area BH F. The process leads therefore to a nonuniqueness of the solution: the division of the kinetic energy in the form of additional
new surface or in the form of another dissipative process not being known a priori,
the final propagation length is not known either.
Generally, to solve the problem, one assumes that fissuring is the only source
of dissipation. In this case there is equality between areas AGEB and BF H which
makes it possible to determine graphically the final point F. The rest of the exposition
will be made on a quasistaticity hypothesis, but one must keep in mind that in rock
a lot of rupture phenomena are dynamic (earthquakes for example).

11.9

STABILITY AND INSTABILITY

OF PROPAGATION

According to Griffith's criterion, a crack of length a within a structure

to a loading F is initiated if
g(a, F) > 2,

subjected

(11.46)

Let us consider a crack propagating by an infinitesimal quantity da. If the loading

is maintained constant the energy release rate associated with this new configuration will be equal to g(a + da, F). Two situations are then possible:

256

Part III. Mechanisms

of material

cohesion

loss

1. Either

g(a

+ da,

F)

< g(a, F)

(1l.47)

and the Griffith's criterion is no longer satisfied after propagation.

cannot continue to grow. The situation is stable.

The defect

2. Or
g(a

+ da,

F) > g(a, F)

(ll.48)

and the Griffith criterion will again be satisfied after infinitesimal crack growth.
The rupture becomes unstable and only a decrease in the external loading can
stop the growth.
A crack is therefore unstable if and only if

og(a) > 0
oa
It can easily be verified that the instability
in the rate of kinetic energy. Indeed

ic = (g

(11.49)
condition corresponds

to an increase

- 21')ci

(11.50)

which can also be written

oJ{

8a = 9 Taking account of (11.49), the instability

21'

(11.51)

condition will be written

(11.52)

The crack will then be propagated at increasingly high velocities which can reach
orders of magnitude of 1000 m/s. It can however be shown that the propagation
velocity is limited to that of longitudinal waves in the material (Berry, 1960).
Application: Experimental propagation of a crack
As we have just seen, the stability of a brittle process depends strongly on the
boundary conditions.
Let us consider two specific cases:

11.9.1

Rupture with servo controlled loading (Fig.Il.I0)

When the initiation point is reached (in A or A'), one maintains the force F
constant. In this case the crack cannot evolve in a stable manner because one remains
constantly in the domain 9 > 21'.

257

Chapter 11. Fissuring

\-- __

OL-

Fig. 11.10. Stable

11.9.2

Rupture

unstable

and u ns t ab le prop ag ation.

with servo controlled displacement

By maintaining if constant after initiation in A' the crack is propagated towards

point A and comes back to the stability domain. During the process the load F will
decrease to maintain the displacement constant.
This shows that the only way of obtaining stable ruptures is to carry out tests by
servo controlling the displacement and not the load.

11.10

LOCAL EXPRESSION OF GRIFFITH

CONCEPT OF TOUGHNESS

CRITERION

Expression (11.42) makes it possible to calculate g knowing if and f everywhere

on the external contour.
To express the energy release rate using the internal stress field, let us consider
an initial state for which the solid contains a crack of length a under the effect of a
surfacic load F and a final state, for which under the effect of the same loading the
crack has been propagated by an increment AB (not necessarily colinear with the
initial crack). if and if + dif are the associated displacements of the external surface
respectively under initial and final state.
In both cases the crack is assumed stress-free.
In the initial state, on the "potential" propagation increment AB a stress field
[(1) is applied corresponding to the asymptotic solution (since AB is small). During
propagation, this stress state is released on this increment.

258

Part III. Mechanisms

of material cohesion loss

The initial state is thus identical to the final one but, in the initial state, increment
AB (which appears this time to be part of the external surface) is loaded by surface
(]'(1)ii in which ii is the external normal to increment AB.
forces F
After propagation on AB one has

(11.53)
The energy release rate associated with the initial configuration will be written
g

11

= -2

_OF)

(-ail
F- - uoa
oa

dS

11AB ( -e

+-

_OF)

F- - uoa
oa

dS

(11.54)

since the initial crack is not loaded. Taking account of (11.53) and of the fact that
remains constant on the external surface S, one is led to

that is by writing il
crack)

2gda

= f (Fdil)dS +

+ dil

= iJ<2) (displacement

Js

JAB

q;(l)ii(il

(11.55)

field associated with the propagated

= f (Fdil)dS + f
is
JAB

2gda

+ dil)dS

q;(1)iia(2)dS

(11.56)

The first term of (11.56) represents the work of the forces on the external surface
S, while the second represents the work of the forces on the potential crack increment.
The first term being of a lower order than the second, one can neglect it so that
(11.57)

AB+ and AB- being the upper and lower faces of the crack increment AB.
Eq. (11.57) can be analytically expounded in the case of cracks growing in their own direction (Fig. 11.11) by replacing q;(1) and iJ<2) by their asymptotic expressions (11.13).
~a - x)
If only mode I plays a role in the process one has (r

(1) _
(]'

yy

J{[

(27rX)

(2)_

and

uy

1\[

",+1
2G

(~a-x)2
27r

(11.58)

and, after (11.57)

(11.59)
since only increment ~a is loaded.
After integration, one obtains
_

,/

g -

K,

+ 1J{2

8G

(11.60)

259

Chapter 11. Fissuring

O"yy(I)

uf2)

is taken with respect to O(r=x.O=O)

is taken with respect to O(r=Lla-x.

0= 7r)

+7r

Lla ",

,
,
,

--------------O+--.-----+-O-L~
x

Lla-x

Fig. 11.11. Crack being propagated

in

its own direction.

If both mode I, mode II had been considered, one would have obtained in the same
way
K+l
2
2)
9
---sc;(J(I + J(1I
(11.61)

The Griffith criterion can therefore be expressed in terms of stress intensity factors.
For mode I only, it is written

+ 1 ....
= ---sc;AI
= 2,
K

or

(11.62)

J(I

(~6Z~)

'i

= f{JC

(11.63)

f{Ie is known as critical stress intensity factor in mode I, or toughness. It depends

only on the material by means of its surface energy, and its elastic constants G and II.
Similarly, one can define in mode II, Kt ic whose significance is identical to that
of [(Ie, with rupture occurring if

[(II

= Kttc

(11.64)

We shall see in the next paragraph that the latter equation poses a problem and
that mode II does not have an obvious physical meaning.

11.11

EXPERIMENTAL DETERMINATION OF
TOUGHNESS FOR ROCKS

This problem has been dealt with in detail by Ouchterlony. Numerous methods
exist at the present time. We shall describe merely two of them.

260

Part III. Mechanisms

11.11.1

of material cohesion loss

Determination of K/C
from a three points bending test

It is proposed to determine [{IC (and consequently the surface energy) by

measuring the instability load in a bending test (Fig. 11.12).

,,

:w

4W

OL------J....--II~y
a)Totally

unstable

propagation.

b)Unstable

propagation

by a stable

Fig. 11.12. Bending test in three

followed

propagation.

points.

The load (P)-deflection (y) curve is recorded.

At rupture it offers an angular point with which is associated a critical load P;
(Fig. 11.12). The critical stress intensity factor can then be determined analytically
from the theory of linear elasticity and classical beam theory

(11.65)
in which B is the width of the beam, W its height, a the depth of the initial notch
and F (a/W) a polynomial function such that

11.58

C~)~-18.4~C~)
7

-150.66 ( ; ).,
Once

[{IC

has been determined,

+ 87.18
9

(;)

~
(11.66)

+ 154.30 (;;, ) .,

the surface energy can be calculated using Eq. (11.63).

261

Chapter 11. Fissuring

11.11.2

Triaxial tests
Influence of confining pressure on I<IC

While considered as such, toughness is not an intrinsic property of the material

and can be heavily dependent on the state of stress.
This problem has been dealt with by Biret who has determined J(IC from triaxial
tests (Fig.ILl3).

. =="==",..

..........-

Klc(Mpa*v1i)

DJ---~--~--~--~-..--~~~
o

10

20

30

40

so

60

Confining pressure(MPa)

r__-_-1
R

H=72 mm
R=18 mm
5.3<a<II.3

mm

0.295 <alR<O.630
H/2R=2

Fig. 11.13. Influence

(after

of confining

pressure

on toughness

Biret.1987).

The test consists in notching circumferentially at half height a cylindrical sample

then in filling the notch with a plastic material so that, if a confining pressure is
applied on the sample, it will be wholly transmitted onto the notch surface.
The core is first brought to a hydrostatic stress state, then, the confining pressure
remaining constant, the axial stress (T" is gradually reduced. The notch subjected to
a growing pressure equal to the deviator finally leads to the rupture of the sample in
mode I parallelly to the notch plane.

262

of material cohesion loss

Part III. Mechanisms

The deviatoric load (Uh -Uti) at rupture makes it possible to determine the critical
stress intensity factor at rupture by equation
]{IC

in which F is the traction force at rupture

the polynomial

= (1-

-ii

fo

1222

(R)a ~ -

1777

(Ii)a

(11.67)

7r~~2

and Y a compliance function defined by

~

+ 0740 (R)

0184

(R)a

~]

(1168)

a being the depth of the notch and R the radius of the standardized core according
to the dimensions in Fig. 11.13. This type of test enables one to demonstrate the
influence of mean pressure on ]{IC, and the independence of the mechanism with
respect to the dimensions of the notch (Fig. 11.13).
This dependence appears to be linked to the microstructure and not to the porosity
of the rock, but no theory exists at the present time to quantify the phenomenon.

11.12

THE PROBLEMS RAISED BY THE

CONVENTIONAL THEORY
MANDEL CRITERION

It is proposed to study the case of an initial straight crack of length 2a subjected

to a shear stress T.
If one assumes an incremental growth of the crack ~a, in its own direction (dotted
line of Fig. 11.14), the stress intensity factors associated with this loading and this
configuration will be such that
(11.69)

real

path

()

theoretical
mode II path

Fig. 11.14. St.raig ht, cr ack subjecled

to a shear.

In other words, if the crack were propagated in its own direction, only mode II
should come into play by a relative slippage of the two faces of the crack.

Chapter

263

11. Fissuring

The reality does not correspond to this process, and experience shows that the
initial fracture branches in a direction forming an angle () with that of the initial
crack: the fracture is said to branch and () is known as branching angle (Fig.Il.15).

Fig. 11.15. Uniaxial compression

plexiglas
(after

plates

with initial

tests

on

defects

Horii and Nem.at=Nasser.

1985)

The physical explanation of this phenomenon has been provided by Mandel. The
latter assumes that a critical state is reached around the crack when, on a circle of
radius p = TO (from the crack tip), the stress (188 reaches a threshold value (Fig. 11,16).

,
fI()()

.:

~-....

~-

---~

.:/ \'-.a

-------------"!------,.'
:
,. p=ro'
-~-~
7

:
...

()(J

----Fig. 11.16. Critical

zone associated

with

the Mandel criterion.

The fracture tends therefore to be propagated along a path normal to the direction
of the maximum value of (188. In other words, although a shearing stress is the engine
of the growth, only opening mode prevails and not mode II as conventional theory
would have led one to suppose.
In the case of any stress field (1xx, (1YY' (1xy, the branching angle can easily be
determined by calculating the polar stress state in the vicinity of the initial crack that
is [see Eq. (2.34)]

(1xx
(1yy

sin2 6 + (1yy cos2 6 -

(1xx)

2(1xy

sin 6 cos 6

sin 6 cos 6 + (1xy cos 2()

(1l.70)

264

Part III. Mechanisms

in which 0"xx, 0"yy and 0"xy represent

in (11.70) and after simplifications
(

K1

(.

---

4J27Tr

3KII

()

3 cos - + cos 2
2
()

which can also be written

solution (11.13).

Replacing (11.13)

3()) - --- SIll - + SIll -3())

4J27Tr
2
2
3()) + --- cos - + 3 cos -3())
SIll - + SIll -

[(1

--4v'271T

the asymptotic
one is led to

of material cohesion loss

[(II

(.

()

(11.71)

(()

4J2irr

in matrix form
(11.72)

with

1(

()

3())

"2 +COS "2

3 cos

. -3e)
-- 3 (.SIll -() + SIll
422

(11.73)

. -3())
-1 (.SIll -e + SIll
4
2
2
1 (()

- cos422
The angle eM for which 0"99 is maximum

+3cos-

3())

is such that

80"99
--=O~e=eM
8e

(11.74)

that is

tc\.1--ae
8K?1
8KP2 = 0 ==:} e = eM
+ tc\.11--ae
that is after substitution
-K1
4

of (11.73) in (11.75)

. -3()M)
SIll -eM + SIll
2
2

(.

(11.75)

[(II
+ -4

3()M)
cos -eM + 3 cos -2
2

=0

(11.76)

In other words, the path for which 0"99 is maxirnum is identical to that
for which 0" p9 is zero.

II

Chapter

11.13

I
I
\

...

265

11. Fissuring

11.13.1

MANDEL CRITERION IN TERMS OF

STRESS INTENSITY FACTOR
Bui's elasto brittle solution for an incremental
branching crack

Determination of the stress intensity factors associated with non-rectilinear configuration is a very complex problem from the analytical point of view except when
the initial branching crack is infinitesimal (in other words small with respect to the
initial crack length).
This problem has been calculated by Bui et al. He has shown that the stress
intensity factors kl and k2 associated with the final configuration (Fig. 11.17) are
such that
(11.77)

dl

2a

initial

___

configuration

2a__

final

LJJ)

configuration

Fig. 11.17. Elastobrittle

Bui's solution
for an incremental
branch.

in which the 1(;j are functions of (), and J{/, J{II the stress intensity factors associated
with the initial configuration (Fig. 11.17) under the same loading.
The J{ij can be expanded in Taylor series, whose first term is largely preponderant
with respect to the others and is finally very close to the completed solution.
These first terms 1(fj are analytically expressible and furthermore rigorously equal
to the 1(fj of Eqs (11.73).

11.13.2

Criterion of the kl maximum or of the k2 zero

The Mandel criterion can now be replaced by a criterion in terms of the stress
intensity factor
BUBB

B()

=0

or

or

(11.78)

In other words, the crack always chooses the configuration for which kl (which, it
should be remembered, is the kl after branching) is maximum, or, which comes down
to the same, the configuration for which k2
O.

266

11.14

Part III. Mechanisms

of material cohesion Joss

STEIFF'S APPROXIMATE SOLUTION FOR A

NON INFINITESIMAL BRANCHING CRACK

When the branching length is no longer infinitesimal, there are no longer any exact
analytical solutions for the stress intensity factors.
Steiff's solution is an original
example of approximate solutions.
Let us consider a solid S (Fig. 11.1B) containing a crack oflength 2a (forming an
angle f3 with x axis) and two branching cracks of length I each at an angle f3 + ()with
the same x axis. On the solid boundary S (assumed to be infinite) a surfacic force
field is applied.

-.
F

-.

n~~8

oV:::
t

Fig. 11.18. Non infinitesimal

branch

crack.

The stress intensity

loading can be written

factors kl and k2 associated

with this configuration

and this

(11.79)
ki'O and k~'o being the stress intensity factors associated with the branching cracks
if the latter were isolated cracks of same length and k~nJI and k;nJI being the differences between the actual kl and k2 and the isolated contributions
kl'o and k;o.
The isolated contributions are given by Eqs (11.22), that is
(l1.BO)

267

Chapter 11. Fissuring

ii' being the normal to the branching crack. The quantities k~nJI and k;nJI characterize the influence of the movements of the main crack on the stress field at the
branchs tip. Indeed, the stress field projections on the main crack such that
17

= (q:ii)ii

and

= (#)t

(11.81)

create at the branching points respectively a normal displacement discontinuity [uy)

and a tangential displacement discontinuity [u:oJ (Fig. 11.19). Since the influence of
the principal crack on the branches is contained in these movements, the associated
stress intensity factors can be written in the form [see Eqs (11.15) and (11.16)J

)(
in which f3ij are indeterminate

(11.82)

functions of 8.
crack

main

tip

crack

[U;]
I

Fig. 11.19. Displacement

discontinuities

at the branching

poinl.

[uy) and [uxJ are computed approximately. If the whole crack was rectilinear
(of length 2a + 2C) subjected to a shearing T and a normal stress 17, the associated
displacement discontinuities at the branching point (that is for r = C) would be such
that (Eqs (11.15) and (11.16))

(11.83)

since the associated stress intensity factors are respectively equal to

J{II

= n/7r(a

+ C)

268

Part III. Mechanisms

of material

cohesion loss

Equations (11.83) implicitly include the contribution of the wings subjected to

the same stresses (J" and -r and which are respectively equal to

(11.84)

These contributions must obviously be subtracted from (11.83) in order that

(11.82) represents the only influence of the principal crack. Replacing in (11.82)
one is led to
(11.85)

We may observe that when --+ 00 (large wing with respect to the initial crack),
the influence becomes negligible and the factors k~nfl and k~nfl tend towards zero.
On the contrary, when --+ 0 (incremental branching) solution (11.85) is equal to
solution (11.77) with J{/ = (J"y'7W. and J{II = ry'7W..
By identifying (11.85) and (11.77) with -+ 0 one obtains

/311
( /321

(11.86)

Replacing (11.86) in (11.85) then (11.80) in (11.79) one finally obtains

( :: ) =
(J"'

I ( ::)

+~

[va + -

Vi] ( ~~~:

and r' being the projections of!!: on the branching direction.

11.15

11.15.1

BEHAVIOUR OF A CRACK UNDER

A COMPRESSIVE STRESS FIELD
Closure of a crack in a compressive stress field

The problem has already been dealt with in Chapter 3. We showed that an elliptical cavity in an infinite plate subjected to a uniaxial compression (J" (perpendicularly
to the major axis of the ellipse) closed for a value (J"c such that [Eq. (6.11)]

(J"c

-aE
2(1 _

1I2)

(11.88)

Chapter

269

11. Fissuring

Q' being the shape factor (Q'

b/a) of the ellipse. An infinitesimal normal component
is therefore sufficient to close a crack (Q' --+ 0) in a compressive stress field.
In other words, once the solid is loaded there is an instantaneous contact between the crack lips submitted to a normal compressive stress 17. The displacement
discontinuity [Uy] being zero, the crack cannot be propagated therefore in this case.

11.15.2

Case of an inclined crack. Coulomb's law of friction

If the crack is inclined with respect to the stress field 2, the analysis is equivalent
to that of a crack loaded by 17 and T, respectively normal and tangential projections
of Q' on the crack plane.
Let us analyse separately the effect of these two components. The normal component 17 closes the crack and induces a nil stress intensity factor K/. Furthermore, a
frictional force is created due to the contact of the two lips. In Coulomb's hypothesis,
this frictional force is proportional to 17, that is
TF

(11.89)

J1.17

in which J1. is known as internal friction coefficient.

The shearing T tends to cause the lips of the crack to slip but this movement is
only possible if T exceeds TF. The driving propagation force is therefore such that
(11.90)
The stress intensity factors K/ and
KII
KII

KII

=
=0

such that

TMFa

>0
-<=> TM < 0

-<=>

TM

(11.91 )

are thus associated with the initial configuration.

The latter equation shows that there can be no propagation if there is no previous
slippage.

11.15.3

Conditions for initiation of a crack under

biaxial compression (Fig. 11.20)

If the material is subjected to a biaxial stress field and if the initial crack is inclined
of an angle /3 with the direction of 172, Eq. (11.90) will be written (11711> 1(721)
TM

= ~(172 - (71) sin 2/3 + J1. [~(171

+ (72) + ~(171

- (72) cos 2/3]

(11.92)

The driving force being a shearing, before branching, only KII is different from
zero so that the stress intensity factor in mode I after branching will be written
[Eq. (11.77)]
(11.93)

270

Part III. Mechanisms

of material

cohesion loss

()

t
Fig. 11.20. Inclined crack under biaxial compression

stress field.

According to the Mandel criterion, the crack will branch in a direction for which
kl is maximum, that is in a direction ()M such that (TM being independent of ())
[)J{P2

= 0 ===> () = (}M

(11.94)

This angle (}M is constant whatever the loading and the orientation (3 of the initial
crack and is equal to 70.53, a value wholly in accord with experience. The stress
intensity factor associated with the branching configuration is therefore such that

(11.95)
kl (()M) is a function of {3(by means of TM).
{3
in other words for

= (3M

(3M = - arctan
2
(II,

It is maximum for

(1)
--

jJ

+-7r2

(11.96)

kl((}M,{3M)
is therefore the maximum value of kl that can be found for a loading
(12 and a crack of initial length a.
Initiation is thus only possible if the initial crack length is greater than amin such

that

(11.97)
that is if

(11.98)

Chapter

271

11. Fissuring

If a is greater than amin, the propagation

/3 such that

will be possible only for an interval of

(11.99)

a> amin
Writing

C=

1
Ul - U2

+ (2)

J-l(Ul

2f{IC

(11.100)

- 1155Fa
'
.
1ra

equation (11.99) leads to the solution

(11.101)
Two conditions are therefore required for a crack of length a and of initial orientation /3 to propagate under a biaxial compression loading, that is
a> amin

(11.102)

/3Jr < /3 < /3~r

11.15.4

Approximate

calculation of the propagation

length

Steiff's approximate solution enables one to calculate the branching length. From
Eq. (11.87), the stress intensity factor kl after branching is such that
(11.103)
with

(lull> I(21)
a'
TM

- 1
1
= ("n')n'
= 2(Ul
+ (2) + '2(Ul

T -

J-llul

~(U2

ur) sin 2/3

(2) cos(2/3 + 28)

+ J-l

[~(

Ul

+ (2) + ~(Ul

According to the Mandel criterion, the crack is propagated

that kl (8M) is maximum

(2) cos 2/3]

(11.lO4)
in a direction OM such

(11.105)

BM is therefore no longer a constant as for the incremental solution. BM depends

on all the problem data (loading and initial configuration). The length of the branch
having to respect the Griffith criterion, that is
(11.106)
one thus obtains two Eqs (11.105) and (11.106) of the two unknowns 8M and f.

272

Part III. lViechanisms of material cohesion loss

11.16

THERMODYNAMIC
OF FISSURING

FORMULATION

Without considering any thermal and plastic process, the inequality of Clausius
Duhem becomes [see Eq. (3.53)] ('Ij; is a volumic quantity)

: ~e

_ ~

2: 0

(11.107)

In the case of fissuring, the thermodynamic potential 'Ij; can be described by two
state variables: the elastic deformation fe and the crack length a such that
.i.
'P

= (O'lj;)
..
O'lj;) .
0 fe .- + 0 a a
e

(11.108)

By introducing (11.108) into (11.107) and taking account of the first law of thermoelasticity [see Eq, (3.60)], the inequality of Clausius-Duhem is reduced to
(11.109)
In the case of an elastic cracked material (see Chapter 6) the thermodynamic
potential 'Ij; is a quadratic form whose rigidity matrix ~{a) is a function of the crack
iength.
If one considers a volume V of material subjected to a constant external loading
F on its external surface S the elastic strain energy contained in V is such that
'Ij;

= ~ [(f

~(a) : f)dV

(11.110)

Deriving (11.110) with respect to a, one obtains

(11.111)
To eliminate 01:::/
strain law such th~t

oa from

(11.111), one calculates the total differential ofthe stress

Of)
da = (O~
oa : - + (A:
= oa

d
Extracting

oMoa

o'lj;
oa

from (11.112) and replacing in (11.111) one obtains

(11.112)

273

Chapter 11. Fissuring

since according to equilibrium Y'!! and Y'(d!!) are nil. Applying to the last integral
the divergence theorem and taking account of the boundary condition and of the fact
that f is constant on S one finally obtains

- a~

= ~ { fail

aa

2 }s

Ba

dS

=g

(11.113)

The energy release rate is thus the thermodynamic force associated with the dual
variable a.
The inequality of Clausius-Duhem is finally written

(11.114)
The thermodynamic formulation of fissuring is thus very close to that of plasticity. The evolution of the internal variable a can be computed from a complementary
formalism: the dissipation potential <p or its conjugate <p* such that
.
a

=-

a<p*

ag

(11.115)

Brittle fracture can then be compared with ideal plasticity with a yield locus such
that

(11.116)

/(g) = g - 2,

If the energy release rate (Fig. 11.21) is less than 2" the crack length remains
constant whereas when g reaches 2, there is a "brute rupture" that is

/<0
/=0
/=0

/<0
/=0

(dg

< 0)

(dg

= 0)

(11.117)

Fig. 11.2 I. Analogy between

and brittle

ideal plasticity

fracture.

The crack length evolution is indeterminated

a=~a/

ag

=~

since

(11.118)

274

Part III. Mechanisms

of material

cohesion loss

By assuming a linear quasistatic process, one allows the loading point to move
outside the yield locus (Fig. 11.22) otherwise than by an incremental quantity (since
before releasing the process, the energy release rate can largely exceed 2}) which is
theoretically prohibited by the plasticity theory.

g(F+~F.a)

g(F+~F.a+~a)
=g(F.a)
2'Y
~

~___________

Fig. 11.22. The two steps of a linear

brittle

11.17

elastic

process.

CONCLUSION

The propagation of a single crack through a brittle material incompletely explains

rocks rupture, particularly under compressive stress fields. In fact, a piece of rock
contains numerous flaws and, under increasing loadings, these microcracks propagate,
leading finally to the collapse of the structure by appearance of a macroscopic fracture.
There is therefore a "non-linear" phase between the purely elastic domain and the
collapse level.
This non-linear phase corresponding to an "equivalent plastic hardening" is called
"damage" and will be studied in the next chapter.

BIBLIOGRAPHY
M., BUI, H.D., and BANG VAN, K., 1979, Analytical asymptotic solutions
of the kinked crack problem, C.R. acado Sc. Paris, serie B 289; pp. 99-102.

AMESTOY,

BERRY,
J.P., 1963, J. App. Phys., 34-62.
- 1960, J. Mech. Phy. Solids, 8/194.

Chapter 11. Fissuring

275

BUl, H.D., 1978, Mecanique de la rupture fragile, Masson.

CHARLEZ, PH., SEGAL, A., and PERRIE, F., 1991, Microstatistical
brittle rocks, Submitted to IJRM and mining sciences.

behaviour

COTTERELL, B., and RICE, J .R., 1980, Slightly curved cruces, International
of Fracture, Vol. 16 No2, pp.155-169.
ERDOGAN, F., 1968, Crack propagation
Vol. II, Academic Press.
GOODIER, J.N., 1968, Mathematical
advanced treatise", Vol. II, Academic
GRIFFITH, A.A.,
classics.

theories, in "Fracture,
theory of equilibrium
Press.

1920, The phenomenon

of

Journal

an advanced

treatise" ,

cracks, in "Fracture,

an

of rupture and flow in solids, Metallurgical

lIAMAMDJIAN, C., 1989, Determination

de l'eiat de contrainte
de la microfissuration
des roches, Ph.D Thesis, Ee Paris.

geostatique

par l'etude

HORII, H., and NEMAT-NASSER, S., 1985, Compression-induced

microcracks growth
in brittle solids: axial splitting and shear fracture, J .G.R., Vol. 90, No 14, pp.31053125.
IRWIN, G., 1957, Analysis of stress and strain near the end of a crack traversing
plane, J. of applied Mechanics V.S.S., No3, pp.361-364.

JAEGER, J .C., 1966, Brittle fracture of rocks, in "Failure and breakage of rocks", 8th
Symposium on Rock Mechanics, 15-17 September 1966, Minneapolis, Port City Press,
Baltimore.
MANDEL, J., 1966, Mecanique

des milieux

continus, Vol. I and II, Gauthier-Villars.

OUCHTERLONY, F., 1980, Review of fracture toughness

testing of rock, unpublished.

RICE, J .R., 1968, Mathematical analysis in the mechanics

and advanced treatise", Vol. II, Academic Press.
SIH, G.C., 1973, Methods of analysis and solutions
hoff International
Publishing, Leyden.

of fracture,

in "Fracture,

of crack problems, Vol. I, Noord-

SIH, G.C., and LIEBOWITZ, H., 1968, Mathematical theory of brittle fracture,
"Fracture, an advanced treatise", Vol. II, Academic Press.
STEIFF, P., 1984, Crack extension under compressive
mechanics", Vol. 20, No 3, pp.463-473.

loadings, "Engineering

in

fracture

CHAPTER

12

Introduction to damage
theory

Let us consider once more, the case of a triaxial test, but let us in crease the
deviatoric loading beyond the elastic domain.
The radial and longitudinal stress strain curves are both analyzed (Fig. 12.1).
One can easily see that after a linear part, cor. csponding to purely elastic behaviour, there is an inflection of the stress strain curves, much more obvious on the
radial direction than on the longitudinal one.
This phenomenon is clearly explained if one remembers the Mandel criterion
(Chapter 11): "Under compressive loading, each crack has a tendency to align itself
parallelly to the minimal component of the stress tensor (compressions are negative!)
but, the propagation lengths are limited by friction. Furthermore only a certain quantity of flaws (those inclined with respect to the principal stresses) will be active".
Damage by microcracking is therefore only sensitive to the deviatoric component
of the stress tensor but insensitive to the mean stress which does not induce any shear
on the crack lips.
Macroscopically, damage corresponds to a gradual decreasing of the rigidity matrix
of the material more particularly, of its shear modulus since damage is insensitive to
the mean stress. Furthermore, damage is generally accompanied with other dissipative
processes such as plasticity or friction.
There are two categories of damage models.
The first one is called phenomenological since its foundations are based on purely
macroscopic considerations of the material during damage irrespective of microscopic
effects. It is based on an irreversible reduction of the rigidity matrix during the
process.
The second category of models consists in analyzing the microscopic damage effects
then in substituting for the heterogeneous solid an equivalent homogeneous solido We
propose to analyse precisely both in the following paragraphs.

278

Part III. Mechanisms

re =

0.9

of material

cohesion loss

150 BARS

0.8

~ 0.7
.o

....
Ol\!

0.6

'"

'O

O..... ~
1

~ 0.5
;::l
o

.<::

t:

0.4

0.3
0.2

Indonesian

sandstone

Fig. 12.1. Stress-strain

curve in a damage material.

A. LEMAITRE'S DAMAGE MODEL

12.1

THEORETICAL

BASES

This model is the simplest one since it introduces a single scalar state variable. It
neglects sliding and friction: the only dissipative mechanism considered is damage.
The free energy 'Ij; is defined by a single elastic term (no blocked-up energy). The
elasticity matrix depends on a damage variable d
(12.1)
In the original model, the initial elastic isotropy is preserved during the irreversible
damage process. Following experimental considerations one is led here to damage
exclusively the shear modulus
(12.2)
where

eij

is the deviatoric strain

eij

= ij

kk
3Dij

(12.3)

279

Chapter 12. Introduction to damage theory

The constitutive

law is easily computed by deriving (12.2) with respect to f i.e.

(J"ij

= 007j; =

+ 2G(1

I:kkij

- d)eij

. (12.4)

ij

The thermodynamic

force associated with d can be defined as follows

(12.5)
Since damage is the only irreversible phenomenon
inequality of Clausius Duhem reduces to

considered in the process, the

gd '? O

(12.6)

If one compares relation (12.6) with Eq. (11.114) of the previous chapter one can
associate 9 with the energy release rate and d with the crack velocity a.
One can therefore generalize Griffith's criterion to damage process by defining the
yield locus I(g) such that

I(g, d)

=9-

k(d)

= Geijeij

- k(d)

= 1(1l, d)

(12.7)

where k(d) is a hardening function characterizing the non-linear behaviour of the

material during damage. In the case of an elastobrittle material, this function will be
a constant equal to the surface energy 2/.
The equivalent plasticity condition can be written as follows

Iis, d) < O

d=O

I(g,d)

=O

j(g, d) < O

=> d=O

I(g,d)

=O

j(g, d) = O

=> d>O

Finally the elastic-damage

with respect to time that is

incremental

(12.8)

law can be calculated by deriving (12.4)

(12.9)
To complete the constitutive relation, the damage evolution law has to be calculated. Assuming normality, it is written

(12.9b)
To calculate the plastic multiplier one has to consider the consistency condition
that is

01

01

0ll : Il + od d

=O

(12.10)

After some calculations, one obtains

(12.11)

280

Part lII. Mecbanisms

is non-negative

(no restoration

of the damage).

Substituting

oi material cobesion loss

(12.11) in (12.9) leads

to
O"ij = !<ikkij

[2G(1-

d)ikjl - kl~d) (2Gekl)(2Ge;j)]

ekl

(12.12)

or again taking account of (12.3)

(12.13)
where
J(ijkl - ~kl [2G(1-

d)ij]
(12.14)

[2G(1-

d)ikjl - kl~d) (2Geij)(2Gekl)]

with

12.2

=O

0=0

ifd

0=1

ifd>

EXPERIMENTAL DETERMINATION
OF DAMAGE HARDENING LAW
law k(d) such that

Let us consider a linear hardening

= "2ko[l + 2md]

k(d)

(12.15)

The two constants ko and m depend on the material and have to be determined
experimentally
by triaxial tests for instance.
During the deviatoric phase of a triaxial test", (increasing 0"1 and confining pressure 0"2 constant), the Eqs (12.4) are written taking account of (12.3)

+ 4G(1-

d)]

cd3J( - 2G(1-

d)]

cd3J(

which leads after elimination

C1
0"1-0"2

of

C2

+ c2[6J( - 4G(1
+ c2[6J( + 2G(1

- d)]
(12.16)
- d)]

to
3

+ d(2v
3E(1-d)

- 1)

O<d<l

(12.17)

If d = O (no damage), Young's modulus of the undamaged matrix i.e. E is found.

Similarly, the yield locus g can be expressed in terms of 0"1 and 0"2. Indeed
[Eq. (12.5)]
(12.18)
lOne has to consider stress variations to write (12.16). In fact, the sample is loaded by
and O.

0"1

0"2

Chapter 12. Introduction

to damage

281

theory

or taking account of (12.3) (in the case of the triaxial path)

(12.19)
lO.

By subtracting

the two Eqs (12.16), that is

El -

E2

0"1 -

0"2

2G(1 _ d)

(12.20)

0"2)2(1 + v)
(1- d)2E

(12.21)

one finally obtains

1 (0"1
9=

:3

In the case of a triaxial test, the incremental elastic-damage law is written

=
+ L1l22i2 + L1l33i3
"2= L2211il + L2222i2 + L2233i3

"l

Llllli1

Let us use Eq. (12.14) to compute the different coefficients. Taking account of the
fact that i2
i3, it is easily shown that,

L1l22
L2222

(12.22)

= L1l33
= L2233 + 2G(1

(12.23)

- d)

that is

(12.24)
or using again (12.14)

Lllll

L2211

Lll22 - L2233

d) - k'(d) (2G)2el(el

2G(1-

- k'(d) (2G)2e2(el

- e2)
(12.25)

- e2)

Since

(12.26)

ez

= :3(E2

El)

By replacing (12.25) and (12.26) in (12.24) one finally obtains

(12.27)

282

Part TII. Mechanisms

oE material

cohesion loss

Let us consider now the stress strain curve (Fig. 12.2) and the two particular points
A and B corresponding respectively to the beginning of non linearity (d
O) and to
the peak. For these points, the following conditions are fullfilled:

point A

0"1 -

0"2

point B

0"1 -

0"2

= Do
= DR

/
-

Id=dR

/, I
DO

d=O

--

Al

= PR

=:r:

secant slope

DR

d=O

lB

I
/
/
/
/

R
E~
1

Fig. 12.2. Calibralion of t.he model

through a triaxial test.

From the first condition, ko can be determined.

O, the yield locus is written
Indeed, for d

2g

= ko

d=O

(12.28)

that is, taking account of (12.21)

(12.29)
From the second condition, one calculates first the value dn of damage at rupture
[Eq. (12.17)] versus the slope PR of the stress strain curve at rupture, that is
(12.30)
Furthermore,

at the peak 0-1

0-2 = O which induces [Eq. (12.27)]

(12.31)

Chapter 12. Introduction

283

to damage theory

or finally taking account of (12.20)

(12.32)
since at the peak

0"1 -

0"2

= DR.

12.3

Damage modifies profoundly the thermomechanical behaviour of porous rocks.

The phenomenon can be summarized by assuming that damage consists of an
irreversible transformation of the non connected porosity into connected porosity.
Indeed, before damage the total porosity <l>t is such that

CASE OF THERMOPOROUS MATERIALS

(12.33)
where <l>8 and <l>~ are respectively the initial non connected and connected porosities.
During the non-linear phase, progressive microcracking of the material modifies
the initial data and connected porosity in creases while total porosity is supposed to
remain constant.
At the peak (i.e. for d
dR) porosity is wholly connected. Let us consider a
linear process, where <l>c (connected porosity) evolves with damage (Fig.12.3a)

<l>c = <l>~

+ d<l>g

(12.34)

= df d

being comprised between O (no damage) and 1 (maximum damage).

The porous space modifications have a fundamental consequence on the rock behaviour: the compressibility KM, of the matrix increases during damage since the
unconnected porosity decreases. On the contrary, the total porosity remaining constant, damage has no influence on the bulk compressibility modulus, KB. Biot's
constant o is thus an increasing function of d bounded by !l'o (elastic value) for d
O
and very close to 1 when maximum damage d is reached.
In a linear process, evolution of o with damage wiU be Such that (Fig. 12.3b)

!l'

!l'o

+ (1 -

!l'o)d

(12.35)

One understands more clearly here the dependence of the effective stress on the
rheological behaviour of rocks: the elastic effecti ve stress !2"+!l'op[ is not valid anymore
when damage appears and tends gradually towards the effective plastic stress !2"+ p],
Equations (12.34) and (12.35) define a simplified damage process of a porous
medium and, as a consequence, aII the thermoporous parameters depending on <l>c
and !l' such that B, Ku, TI, !l'u and L wiII be functions of damage while the other
parameters such that KB, Kf, s, !l'f, !l'M wiII remain constant.
Determination of the incremental law is very similar to that of the previous paragraph. However, to simplify the calculations one will consider the case of an isothermal porous medium. Taking into consideration thermal effects does not induce any
additional difficulty.

284

Part III. Mechanisms

oi material

cohesion loss

Fig. 12.3. Damage of a porous

In these conditions,
1jJ

the thermodynamic

1jJo

+ 21

(m)2
Po

-a(d)1](d)([
Frorn this potential

potential

[Ku(d)Skk
- 2

+1](d)
2

+ 2GB(1

can be written

- -ddR)eijeij

[see Eq. (8.83)]

+crz.o :s+gOm
m

(12.36)

: ~) (:)

one can derive the constitutive

![

= (~~)

P - Po =

law

(12.37)

T,m,d

Taking account of (8.45)

and eliminating
such that

material.

n [-aSkk

mi Po from (12.38) one obtains

:J

(12.38)

the constitutive

law in a drained form

(12.39)

Similarly, the thermodynamic

force ~ssociated

with

is such that
(12.40)

g = - (~~) T m e
, '-

that is, taking account of (12.38)2

g

= -21[2 Skk

{OKod

+ a 201]
od

O)}

- 2GBdReijeij

- 2a od(a1]

1 0'fJ (p - Po) 2
[01] a
O
-- -=- - -=(a'fJ)2 od
'fJ2
od 'fJ
od
20ne derives first expression (12.36) with respect to
not a state variable.

J (p -

1
'fJ

J
(12.41)

PO)Skk

and then substitues (12.38). Indeed, p is

Chapter 12. Introduction

285

to damage theory

The first term between brackets is nil.

The second term such that
(12.42)
leads after derivation to

B(d)-

(C o)

2K1B

;-

<PoCl"

+ 2B1

(1

2 )
KB - Ku
(1 -

Cl"o)

(12.43)

where C is a constant such that

(12.44)
Finally it is easily shown that the third expression between brackets is a constant
equal to -(1 - Cl"o).
In these conditions, (12.41) becomes

(12.45)

\.

I
!

function k(d) is introduced.

As in the previous paragraph, the damage-hardening

The equivalent yield locus gk, p, d] will be such that

=g-

(12.46)

k(d)

and the damage condition will be expressed by

(12.47)

i
I

= O is the

classic consistency condition allowing one to calculate the flux variable

d. This condition is written

of. + -=
of-d'-- O
f -- -of .'. + -p
of. - op
od

(12.48)

(12.49)
with

(p - po)2 B'(d)
(p - Po)(l 2(p - po)B(d)

+ k'(d)
(12.50)

Cl"o)

- (1 -

Cl"o)kk

B' (d) is a constant such that

1

(12.51 )

286

Part lIT. Mechanisms of material cohesion loss

The incremental law is determined in the same way as in the previous paragraph
by calculating the derivative of (12.39)

+ 2GB(1

I<Bikkbij

- ddR)eij

- 2GBdReijd
(12.52)

-Q'.pbij - (1 - Q'.o)(p - po)dbij

which can also be written after elimination of

by (12.49)
(12.53)

with
,
[I'.B

+ (1 -

-'3GB(l-

PH2]
Q'.o) Hl

ddR)bijbkl

- Hl [2GBdReij

Mij = [~:2GBdR]

bjbkl

+ 2GB(1-

2GBH2dR
Hl

ejbkl

ddR)bikbjl

(12.54)

+ (1- Q'.0)pbij][2GBdRek)
ej

+ [~: (1- Q'.o)p -

B. HOMOGENIZATION

0'] bij

(12.55)

OF

A FISSURED SOLID

12.4

INTRODUCTION

Homogenization consists in substituting for a heterogeneous solid an equivalent

homogeneous solid whose macroscopic behaviour is identical.
This type of approach allows one to define a physically consistent damage variable
linked to the presence of a crack and no longer purely empirical as in the Lemaitre's
model.
The process taking into account geometrical discontinuities, phenomena like
sliding or friction can be envisaged in the constitutive law by introducing other state
variables. Once the state variables are defined, the irreversible processes (crack sliding andjor propagation) will be described through a damage-plasticity
equivalent
formalismo

Chapter 12. Introduction

12.5

287

to damage theory

MACROSCOPIC

AND LOCAL STRESS FIELDS

Let us consider (Fig.12.4) a representative cell volume V containing

volume Z. The volume of the salid part is therefore such that
V = V - Z

Fig. 12.4. State

of stress

a cavity

(12.56)

in the representative

cell.

The cell is assumed to be loaded by a uniform stress field ~ known as "macroscopic

stress" while within the material, the local non-uniform stress state q; is statically
admissible with~.
If ii and are respectively the external normal to S (external
surface) and to Sz (surface of the cavity) the boundary conditions can be expressed
q;ii

= ~ ii

on S

(12.57)

If the cavity is opened, the normal displacement Un is not nul but, Un (normal
stress companent on the crack lips) is zero everywhere (since the cavity is not loaded);
if it is closed (un = O) then Un f. O. These two conditions can be summarized
on Sz

(12.58)

which can also be written in a vectorial form

lz itj n = O

on Sz

(12.59)

The stress field being statically admissible at any point of V

(12.60)

288

Part LII. Mechanisms of material

Given f any uniform strain field in V* and the associated

frorn (12.60) it follows

cohesion Ioss

displacement

r (V9.:)dV = O
lv.
which can also be written,
theorem

j;

(12.61 )

taking account of (12.59) and applying

9.:: f dV =

ls

(9.:)iJdS=

field;

ls

the divergence

(~)i7dS

(12.62)

= ~.

since on S, 9.:
Applying to the last integral the divergence theorem and taking account of the
fact that ~ and f are homogeneous, one is led finally to
(12.63)
since 9.:is nil inside the cavity when V differs from zero (cavity opened).

12.6

MACROSCOPIC

AND LOCAL STRAIN

FIELDS

Let us consider any strain field f and let us extend it in the cavity. If is the local
displacement field associated with f on S, one can write (since ~ is homogeneous)

~1aoas =

19.:iJdS

(12.64)

Applying to (12.64) the divergence theorem, one obtains

i

= 19.:iJdS

(~ : f)dV

Let us write

= ~

(12.65)

lf

dV

=> V(~: )

(12.66)

= 19.:iJdS

(12.67)

(12.67) express es the equivalence between the macroscopic strain energy and the
work done on the external surface S. Expression (12.66) can be developed snce f has
been defined arbitrarily in the cavity, that is

~[l.

fdV

~ [i.fdV

h
+ ~lz
+

fdV]

[( )

(12.68)

+ t(

)]dS]

289

Chapter 12. Introduction to damage theory

Writing
(12.69)
..,-l'

one finally obtains

=< f.

> +p

(12.70)

in which < f. > is the average strain field in the healthy

is not therefore sufficient to describe the internal state
of a state variable p describing the displacements of
to describe completely the state. This approach known
and Mande!.

parto The macrocospic strain

of the cell. The introduction
the cavity surface is essential
as mean method is due to Hill

f
!

12.7

EXPRESSION

OF <I>
IN THE CASE OF A CRACK

When the cavity is reduced to a crack, one can expound Eq. (12.69) for the upper
and lower lips taking account of the fact that the normals are in an opposite direction.
If + and ir: are the displacements respectively associated with the upper and the
lower lips, p will be written

(12.71)

Let us introduce now the displacement discontinuity vector ; + - - .

The latter can be decomposed into a normal component [n] and a tangential
component [t][
In these conditions, (12.71) can be expressed in the form
(12.72)
where ( i)5 is the symmetric part of ( i).
For a microcrack, does not vary along Sz (straight line). One can therefore
extract the matricial products ( t)5 and ( 0 ) from the integrals. Writing
(12.73)

p can

be finalIy written

p = a( 0 i)5 + /3( 0

(12.74)

290

Part III. Mechanisms

oE material

cohesion loss

The description of the cell state requires therefore that beside ffl an additional
information be added about the displacement discontinuities across the crack by introducing two internal variables a (slipping variable) and /3 (opening variable). The
description of the state is incomplete however since no variables characterize a possible
damage of the cell by crack propagation.

12.8

INTRODUCTION OF THE "DAMAGE"

VARIABLE

To introduce a damage variable, we shall start from elementary solutions in infinite

medium containing a crack such as have been developed in Chapter 11. Let us consider
the case of a straight crack of length 2a. We showed in the previous chapter that the
displacement discontinuities across the crack lips can be written in the form

E] -

a, a[ i = t or n

(12.75)

By replacing (12.75) in (12.73), that is

(12.76)
leads after integration

to
k;7ra2

a,/3= ~

7rkid

= -8-

(12.77)

4a2 / f.2, f. being the dimension of the repreafter having introduced the variable d
sentative plane cell (V
f.2).
By replacing (12.77) in (12.75) one obtains

(12.78)
A new state variable d characterizing the relationship between the dimension of
the representative cell and that of the crack appears in the process. Its evolution
(always positive) characterizes the irreversible deterioration of the cell.

12.9

STATE LAW. EXPRESSION OF THE

THERMODYNAMIC POTENTIAL

We will now determine the expression of the free energy 'I/;(ffl, a, /3,d) [Andrieux
(1983)].
The problem consists in applying on the external boundary of the cell a macroscopic stress field ~ and on the crack lips displacement discontinuities [t] and [n].

291

Chapter 12. Introducton to damage thepry

We may also recall that is the macroscopic strain field while !!, f and are the corresponding local fields. To calculate the expression of the thermodynamic potential 'I/J,
let us decompose the global problem into two elementary problems (Fig. 12.5).

Em2:
'" '"

local

local

fields

fields

local fields

U,E,\?
rvrv
I

Fig. 12.5. Decomposilion

of the global

prob lern.

1. That of the non-microcracked cell loaded with a homogeneous stress field ~'
If it is assumed that the material is linear elastic (with an elastic matrix A)
and if E-m is the macrocospic uniform strain field within the non-microcrack;d
cell, one will have (Hooke's law)

~=A:E
....
==
and

'l/Jm

where

-m

'l/Jm

= -E
: A: E
2 -m ". -m

(12.79)

(12.80)

is the associated elastic free energy [see Eq. (4.51)].

O)
2. That of the microcracked cell stress-free on the external boundary (~d
but subjected to displacement discontinuities [t], [un] on Z. Given !!d' fd
and Ud the various local fields, the free energy is such that
(12.81)
The external surface S being stress-free, we have
(12.82)
'l/Jd

can then be written

(12.83)

292

Pert III. Mechanisms of material cohesion loss

or by introducing the displacement discontinuities

boundary conditions on the crack lips Ut and Un

[t] and [n] and the associated

(12.84)
Taking account of relationships

(11.19) and (11.20), leads to

(12.85)

in which

7'

is the distance between the crack tip and a point of coordinate x (Fig. 12.6).
y

-a

-x

---

Fig. 12.6 Coordinate

system

at the crack

tipo

Replacing the elementary solutions (12.78) in (12.85) one obtains

tPd

4E(

71"2[2(1

which leads after integration

+ (32) 2

v2)d

{a

(a

+ x )dx +

-a

(a

+ x )dx

(12.86)

to
. hK
wit
\.0 =

or in a matrix form by introducing

(12.87)

the unit tensor of the fourth order

tPd = ~K(cI> : 1 : cI
2

2E
2( 1- v 2)

71"

==

Ko
wit. l}r
1 \. = -=d

(12.88)

The total free energy is the sum of the elementary thermodynamic potentials tPm
and tPd. By introducing instead of m in (12.80) (= m +~) one finally obtains
(12.89)

Chapter

12. Introduction

12.10

293

to damage theory

INEQUALITY OF CLAUSIUS-DUHEM
ASSOCIATED THERMODYNAMIC FORCES

The thermodynamic potential makes it possible to study reversible processes and

to define the thermodynamic farces associated with state variables. If dissipative
mechanisms come into play, a complementary formalism is necessary to describe the
evolution of the internal variables. In the case of a damage process by microcracking
and of a plastic process due to microfrictions (three state variables a, (3 and d),
inequality of the Clausius-Duhem can be written
Aa

+ B /3 + gd. 2: o

(12.90)

/3

a, and d being the time derivatives of internal variables and A, B and g the
thermodynamic forces associated with the internal variables and such that
8'1/;

B = _8'1/;
8(3
The thermodynamicforces
[Eq. (12.89)]

(12.91)

g=--.

8d

(12.91) can be calculated since expression of'l/; is known

8'1/;
8~
= -[(~- E): A+ KI : ~l: -=
-..
'" - 8a
8'1/;
8~
B = - 8(3 = -[(p-.fd):
~+ Ar: p]: 8/3

= -- 8a

(12.92)

=-

8'1/;

8d

1 ic;

= 2d

[p:

(12.93)

l; : p]

(12.94)

Replacing (12.92), (12.93) and (12.94) in (12.90) and taking account of the fact
that ~- - E
-E-m and E
= A E one obtains
---::::-m

8~. + (E -

(E- - K 1 : ~)
: !:l - a
va

8~. + (1- ~d.

K 1 : ~) : !:l(3- (3
-

Ko

[~:
-.. 1 :~]-

) -'d> O

(12.95)

or again, taking account of (12.74)

(12.96)
Three terms, each associated with each of the internal variables, appear in the
inequality (12.96). If the only dissipative processes are friction and damage, the
central term linked to opening is zero. Indeed, without damage (d
O), it is only
when the crack is closed (/3
O) that dissipation can exist (by friction). In this way,
the inequality of Clausius-Duhem is reduced to

(12.97)

Part lII. Mechanisms of material cohesion loss

294

Vle shall now derive from Eq. (12.97) four specific constitutive
following cases:
(a)
(b)
(c)
(d)

O).
Open crack (f3 # O) without damage (d
Closed crack (f3 = O) without damage (d = O).
Open crack (f3 # O) with damage ((1 # O).
Closed crack (f3 = O) with damage (d # O).

12.11

NO DAMAGE.

OPEN CRACK

. If the crack is open, there is not any friction.

(d

laws concerning the

If the damage does not evolve

= O),

the process is therefore purely reversible and Eq. (12.96) becomes an equality
which leads to (since , and j3 # O)

f3

2E:
J{ -

( :'S

2E:
J{-

( )

')

(12.98)

which can also be expressed as a function of the macroscopic strain fields.

Indeed, since
by writing

Equations

..

A: (t)s

!j

A: ( )

(12.99)

'"

(12.98) will therefore be written

(12.100)

f3
In these expressions, the right-hand terms containing J{ and ~ are of the second
order in d [see Eqs (12.74), (12.77) and (12.88)] while those containing only J{ are of
the first order in d. As d is small (a f) one can limit oneself to the terms of the
first order and write
1
a ~ }.?E:T
\.
(12.101)

f3

1
J{!2:!j

Taking account of (12.74), (12.89), (12.98) and (12.99) the free energy
equal to

'1j;

will be

(12.102)

Chapter 12. Introducton

to damage

295

theory

that is replacing (12.101) in (12.102)

1/J =

"2.fd: [~- [{-l(T T+ N N)] : .fd

(12.103)

which can be written

1

1/J=-E:A
2-

ti = ~ -

with

:E
'" J(-l(T

(12.104)

T+

N ~D

The effect of the microcrack (compared with a healthy matrix) is therefore to

reduce the rigidity of the material and to create a structural anisotropy (directional
character ofTand!!J.
On the other hand the behaviour remains, as predicted, elastic
since no dissipation intervenes in the process.

12.12

NO DAMAGE.

CLOSED CRACK

If friction alone intervenes as a dissipative proc~ss, the inequality

of Clausius-

= O since the crack is closed, d = O since no damage

Duhem is reduced to (/3

occurred)
(12.105)

whereas the thermodynamic

potential is such that [see Eq. (12.87)]

1/Jd =

a2

-J(o-=-

(12.106)

1/Jd represents a blocked-up energy in the friction process. This energy is stored
in the elastic matrix as in a spring and can be recovered if friction is inverted. The
thermodynamic potential is no longer sufficient to describe the material behaviour:
one has to introduce into the formalism a slippage criterion that of Coulomb for
example, that is
if

IUtl < -J.l.Un

[t] = O i.e. no slippage

if IUtl = -J.l.Un

:1 O

[t]

(12.107)
i.e. slippage

J.I. being the internal friction coefficient previously

defined, Un and a the normal and
tangential stress on the crack lips (un is negative).
These components can be computed from the solution of the elastic problem whose
boundary conditions are

on S
on Sz

~= ~
[n]

=O

(where ~ is the boundary condition)

[t]

8~
7rd

Ja

everywhere in V,

2 -

"V~

x2

=O

[Eq. (12.78)]

(12.108)

296

Part TIl. Afechanisms

oE material

cohesion loss

The solution to the problem is such that

a

~t-Ka
(12.109)

Un

~n

and ~n being the normal and tangential projections of ~ on the crack lips.
Replacing (12.109) in (12.107), one defines a convex domain f(~, a) such that

~t

f(~,a)

= (~t - Ka)2 - J.l2~~

(12.110)

This convex can be expressed with respect to the global macroscopic strain gby
introducing the elastic directional tensors T and J:!
(~){=

~t

(~)
-

~: (

i)s

= ~:

= ~ : ( ) = A : E
-

-= T:

m : ( i)s
: ( )

-m

=:::

-= N:
-

(12.111)

E-

since p [Eq. (12.73)] contains a which is of the first order in d [Eq. (12.77)] whereas
and Ka are of order zero in d. Replacing (12.111) in (12.110), one obtains
f(, a) = (T: + J.lJ:!: - Ka)(T:

- J.lJ:!: - Ka)

(12.112)

(12.112) represents a "damage" yield locus. By analogy, with plasticity, slippage

condition will be written

= O (no

f(, a)

<O

f(, a)

=O

and j(, a)

<O

= O (no slip)

f(, a) = O

and j(, a)

=O

Equation (12.112) represents in the space

T:

i=

slip)
(12.113)

O (slip)

, J:!: two straight lines (Fig.12.7).

f=O, ()=1

Ka

--------...""'-------j,.--'----~
f=O, () =-1

closed
crack

~~

open
crack

Fig. 12.7. Yield locus in the case of slippage

wthout

Equation

damage.

(12.112) can be condensed in the form

f(, a) = T: + (}J.lJ:!:- Ka = O

(}= 1
{ (}= -1

(12.114)

Chapter 12. Introduction

297

to damage theory

The inequality of Clausius-Duhem

[Eq. (12.96)] which is written

(12.115)

makes it possible to determine the signe of ex (i.e. the sliding direction).

Indeed, if = 1 the criterion is written

'[: l}d+ tJ;f: l}d- K ex

=o

(12.116)

Replacing (12.116) in (12.115) and taking account of the first Eq. (12.111), leads
to
(-tJ;f: fd)a ~ O

(12.117)

e a
a~

which shows (since J;f: fd < Othe crack being closed) that if = 1 is always positive.
Similarly one could show in the same way that if = -1,
O.
Let us now calculate the evolution of the sliding parameter ex by expressing the
consistency condition

f
The derivative of

af

af

af.

(12.118)

afd: fd+ aex ex = O

f with respect to fd is written [Eq. (12.112)]

('[: + tJ;f: )('[: l}d- tJ;f: l}d- Kex)

al}d:E

(12.119)

+('[: - tJ;f: )('[: l}d+ tJ;f: l}d- Kex)

If

o = 1, the

yield locus is such that

'[: fd- Ko

= -tJ;f:

fd

(12.120)

Replacing (12.120) in (12.119), one obtains

af
.
al}d: l}d= (-2tl:!:

..
l}d)('[: l}d+tJ;f: l}d)

In the same way, one obtains for the other derivatives

af

: E = (-2tN:
al}d
-

E)(-T:
-

..

E+ u.N: li'I
r" -';;;1

0=-1

~~a

= (-2tJ;f:

l}d)(-Ka)

0=1

~~ a

= (-2tJ;f:

l}d)(K a)

0=-1

(12.121)

The consistency condition can be condensed in the form

.
.
T: E+ OtN: E- - -

Ka

=O{

0=1
0=-1

(12.122)

298

Part TIl. Mechanisms of material cohesion loss

The evolution of

a will be

therefore such that

a = ~[T:
1.
B.. -

E+ O/lN: E]
. {:.'
-

(12.123)

0=-1

When a varies, the two straight lines of the yield locus move along the axis '[': J};
as shown in Fig.12.7. This is a sort kinematic hardening. We should note lastly that
the plastic strain increment ~ is such that [see Eq. (12.74)]
(12.124)
~ is parallel to the '[': J}; axis (direction of slip). The plastic flow rule is therefore
not associated since the normality principle is not respected.

12.13

DAMAGE

As in Lemaitre's phenomenological model, and by analogy with classical fracture

mechanics one considers that the damage will evolve if the thermodynamic
force
associated with d reaches a critical value k(d) in other words if and only if [see
Eq. (12.94)]

= ~;~ (a2 + ,82) -

k(d)

=O

(12.125)

The damage condition is therefore written

if F

<O

if F

=O
=O

if F

12.13.1

d=O
and

F<

and F

d=O

=O

d>O

(12.126)

Specific case in which the crack is open

In this case, the first two terms of the inequality of Clausius-Duhem

there is no dissipation by friction, that is [see Eq. (12.96)]

~(~:

are zero since

( i)s) = I~o('[: J};)

(12.127)

,8

~(E : ( ))
K

d (N: E)

Ko -

Replacing (12.127) in (12.125), one obtains

F(J};,d)

= 2J<Q [('[:

J};)2+ (ij: J};)2] - k(d)

(12.128)

Chapter

12. Introduction

In space

l:

299

to damage theory

, 1j: , the function F represents

a central circle of radius

k(d)

(Fig.12.8).
T:E

"''''

N:E
----------------~------+--------~ "''''

open
crack

closed
crack

Fig. 12.8. Yield locus in the case

of damage without friction.

The consistency condition is written

(12.129)
and leads to

d = Kok'(d)
1

E) + (N:

[(T: E)(T:
-

Similarly, deriving expressions (12.127) with respect to

Ko (l: )

f3

12.13.2

Ko (1j: )

E)]

E)(N:

-!2 and d, one

(12.130)
obtains

d
+ Ko (l: )
.

(12.131)

+ ko (1j:

Specific case in which the crack is closed

If the crack is closed, f3 = O, two mechanisms of dissipation

and friction) with which are associated the two yield loci

f(-!2, a, d)

F(d,a)

T: -!2+

!Ko
2

-p

8J1.!j:

a2 _

are involved (damage

-!2- K(d)a

k(d)

(12.132)

300

Part III. Mechanisms

oi material cohesion loss

Let us assume separately a non negative dissipation condition for each mechanism.
The "plastic" conditions are

a =1 o
d>o

{:::::::>

= o and j = o

{:::::::>

= o and F = o

(12.133)

The last one can be expounded directly

F
and

= O => a = ac(d) = d
.
F

aF.
= O => ~a+
va

(12.134)

aF.:...
O

--=d=
ad

That is after derivation

-d _

Ko (
-2

md

. )+

aa

since

d is always positive (no restoration)

(12.135)

with

Equation (12.134) shows that for the damage to evolve, one has reach a c:-itical
of dissipation
conditions
(i.e. Aa
value ac. The independence
do es not induce the independence
of the two mechanisms.
The conditions (12.133) can be replaced by

2:: o and gd 2::

O)

j=O
(12.136)
aa>

The evolution of a can be calculated from the first consistency condition that is

al . E al.
ald - o
f -- a
. - + aa a + ad -

(12.137)

which leads, taking account of (12.121) to

= BK(d)a + BK'(d)ad

(12.138)

with

= el: + Id!:
or, replacing K(d),

K'(d)

and d by their values

I~o [Ba - :~3Ba(aa)+]

(12.139)

Chapter

12. Introduction

301

to damage theory

which can also be written in the form (after a relatively long calculation)

= ~o es [kl(d) + ~d)
d

{l- 05g(a)}]

(12.140)

dm

where 5g is the sign function.

still being of the same sign as
and expressions between square brackets still
being positive,
is strictly positive. From expression (12.139),
can be calculated

md
a = k'(d)d

+ k(d)[l

dO'+
_ 8Sg(a)] J{o (O

The phenomenon is globally displayed in Fig.12.9.

(T: ., !:f: .) is in a position such that f < O and F
elastic.

<

(12.141)

If the representative point

O, the behaviour is purely

f=O,M=l

______________
~~----~~~L--___
~:~
Ka

f=O.M=-1
open
crack

closed
crack

Fig. 12.9. Yield locus in lile case

closed crack with damage.

of a

When the first criterion (that is f = O) is reached, there is some slip without
axis,
damage, and the two straight lines defining the slip criterion move along the
until one of the straight lines merges with F = O. At that moment, damage begins
(d > O), and ac evolves. The two straight lines F = O (a = ac or a = -ac) then
move in the direction indicated by the slip, which creates a dissymmetric evolution
of the damage criterion with respect to its initial state .
The sense of this dissymmetry must be physically understood through the frietion process: the blocked-up energy due to friction makes it more easy to reach the
critical value -ac if the sliding is reversed. Analogy of Fig.12.1O clearly shows the
phenomenon.

r: ~

302

Part III. Mechan;sms

oEmaterial coheaion

1055

ROCK
The e ncr gy stored in the
spring m ake s it e aster
lo bre ak lhe

Fig. 12.10. Analogy when reversing

glue.

lhc sliding.

BIBLIOGRAPHY
ANDRIEUX, S., 1983, Un modele de matriau
au bton, Thesis ENPC, Paris.

microfissur.

Application

aux roches ei

ANDRIEUX, S., BAMBERGER, Y., and MARIGO, J.J., 1986, Un modele de matriau
microfissur pour les btons et les roches, J. Mcanique Theor Appl, Vol. 5, pp. 471513.
CHARLEZ, PH., DESOYER, T., and DRAGON, A., 1989, Etude de la tenue mcanique
des parois rocheuses autour des forages. Intgration de l'endommagement,
CNRSTOTAL CFP report, "Stabilit des forages profonds" .
DRAGON, A., 1988, Homognisation.
Endommagement
par microfissuration.
Bifurcaton par localisation de la dformation, Conferences TOTAL CFP, unpublished.
DRAGON, A. and DESOYER, T., 1989, Endommagement
par microfissuration
accompagn d'effets de type plastique d aux microfrotiemenis, Etude de la tenue mcanique
des parois rocheuses auiour des forages profonds, TOTAL CFP report, CNRS Project
"Stabilit des parois" , unpublished.
DRAGON, A., 1988, Plasticit
Poitiers, ENSMA.

et endommagement,

Cours de 3' cycle, Universit

de

DRAGON, A., and MROZ, Z" 1979, A continuum model for plastic briitle behaviour
of rock and concrete, lnt. J. Engineering Science, Vol. 17, pp. 121-137.
KACHANOV, M.L. (Jr), 1982, A microcrack
chanics of materials", 1, pp. 29-41.
KACHANOV, L.M., 1986, Introduction
jhoff.

model of rock inelasticity,

to continuum

damage mechanics,

KRAJCINOVIC, D., and LEMAITRE, J., 1987, Continuum

tion, CISM Course, Springer.
SUQUET, P.M.,

1982, Plasticit

et homognisation,

partII.
Martines

"MeNi-

damage theory and applica-

Thesis Universit

Paris VI.

CHAPTER

13

Appearance of shearing
bands in geomaterials

A. INTRODUCTION
BASIC CONTRADICTION
Appearance of shearing bands in geomaterials (and particularly in rocks) remains a poorly understood phenomenon.
The main problem lies in the fact that there is a contradiction between the microstructural and the macroscopic behaviour with regard to rupture. Indeed under
compressive loading single cracks will always tend to align themselves with the minor
component of the stress tensor (compressions are assumed to be negative) by propagating in mode I (Fig. 13.1a). If this reasoning is extrapolated for material containing
numerous defects, any sample should therefore develop a macroscopic crack parallel
to this same minor stress and break into pillars (Fig. 13.1b).
This rupture mode is clearly observed under uniaxial compression. On the contrary
under biaxial (or, which is the same, triaxial revolution) compression, a "shearing
band" (Fig. 13.1c) inclined with respect to 0'1 appears. Aside from any kinematic
consideration the observed fracture threshold seems very closely linked to the cracking
mode: while at high confining pressure, the intrinsic curve is practically linear (and
consequently equivalent to a Mohr-Coulomb straight line) under low mean stress,
the material seems much less resistant than forecast by extrapolation of the MohrCoulomb slope (Fig. 13.2).
The stress area can therefore be separated into two distinct zones I and II corresponding respectively to the non-linear part of the intrinsic curve, on the one hand
(zone I) and to the linear part on the other (zone II). The two kinematics described
previously can be associated (qualitatively at least) with zones I and II: in zone lone
is more likely to observe column-type fractures, in zone II, shearing bands.

Part III. l\.fechanisms of material

304

a
Fig. 13.1. Fundamental
behaviour

contradiction

and the appearance

a-single

cohesion loss

between

of a shear

the microscopic

band.

crack

b+p ill ar rupture

c+she ar band

ZI

Z2

(J

Fig. 13.2. The two zones of the intrinsic

curve.

There is therefore a basic contradiction under biaxial compression between the

behaviour of a crack and that of a macroscopic volume containing a certain number of
cracks. At the present time there is no satisfactory answer: three different approaches
will be developed successively in this chapter.
Firstly, the appearance of a shearing band will be seen as a purely macroscopic phenomenon. This is the simplest and most conventional approach: the Mohr-Coulomb
criterion. Secondly, the process will be envisaged as the result of the coalescence of
growing cracks and, lastly, as a bifurcation phenomenon.

Chapter 13. Appearance

of shearing bands in geomaterials

B. THE MOHR-COULOMB
THE CONVENTIONAL

305

CRITERION

MACROSCOPIC

APPROACH

Appearance of a shearing band can be considered as the ultimate process of a

plastic strain by slip as described in Chapter 10. The Mohr-Coulomb criterion represents the most conventional approach in rock mechanics, to the problem of rupture
in compression. It is also the earliest since it dates back to the 18th century when
builders and architects were vitally concerned with knowing the maximum weight a
column could support.
Coulomb, however, was the first to correlate the orientation of rupture planes and
the direction of the maximum shearing parallel to them. It was Coulomb again who
attributed the angle differences with respect to 45 to the internal friction of the
material. This brief historical presentation shows that the origin of this criterion,
is known above all from a kinematic macroscopic description: the appearance of a
shearing band forming an angle 1r/4 - 'P/2 with the direction of the minor principal
stress (where 'P is the friction angle).
Although this kinematic is in contradiction with the microstructural rupture mechanism (mode I), the Mohr-Coulomb criterion remains at the present time as good an
explanation as any other. In particular, it provides a highly satisfactory explanation
for the three rupture modes encountered in the Earth's crust with which geologists
associate three different types of faults.

normal

fault
Fig. 13.3. The three

thrust

fault

types of elementary

transcurrent

fault

faults

(after Paul. 1968)

Depending on whether the vertical stress (Fig. 13.3) is major, intermediate or

minor, principal stress, the observed rupture plane will be oriented differently. These
three rupture modes are extremely important for they are often to be encountered
around deep wells.

306

Part III. Mechanisms

C. THE MICROSTRUCTURAL

of material

cohesion loss

APPROACH

OF THE SHEARING BAND

Another approach is no longer to consider the material as homogeneous but
as a population of cracks around which high stress concentrations eventually lead to
a collapse of the structure and consequently to the potential appearance of a shear
band.

13.1

THE ROCK CONSIDERED AS A MATERIAL WITH

A POPULATION OF CRACKS

Let us consider a macroscopic volume V of material as a set of N small elementary

cells of volume Va, each containing a crack of length 2a, of shape coefficient a and of
orientation (3 with respect to x axis (Fig. 13.4).

r-

-,
-,
-,
-,

<,

/
/

<,

/
/

-,
-,

-,
-,

<,

<,

,"-

-,

"-

<,

<,

<,

Fig. 13.4. Micro-structural

"'----------'---tl~

model of a geomaterial.

Lengths, opening and orientations are considered to be random variables A, B

and C with which are associated the probability distribution functions F(a), H(a)
and G({3) such that

F(a)

= ~[A

< a]

H(a)

= ~[B

< a]

G({3)

= ~[C

< {3]

(13.1)

Before any loading, the material is considered as isotropic; the orientation of the
cracks is thus equiprobable in all directions (varying by symmetry between 0 and 7f /2
only), that is
(13.2)

Chapter

13. Appearance

of shearing bands in geomaterials

307

in which g(f3) is the probability density associated with f3. The equiprobability
dependence of g(f3) with respect to (3) enables one to write
2
g(f3) = -

I
~

(in-

(13.3)

7r

The lengths distribution can be determined by taking account of the fact that
among a set of cracks identically oriented the longest will be the most critical under
an identical loading. One therefore seeks to find the distribution of the longest cracks
contained in V.
One can show in this case that a follows an exponential-type distribution (see
Freudenthal, 1968) such that

~[A

~
~

< a] = F(a) = exp

[_ (~)

-or]

(13.4)

in which 'Yand u are intrinsic characteristics of the material. u represents the modal
value of the distribution and 'Ythe dispersion around this modal value. It can easily
be verified that (13.4) respects the boundary conditions

F(oo)

F(O)

~[A < 00] = 1

~[A

< 0] = 0

By deriving (13.4) with respect to a one obtains the probability density associated
with a that is

(13.5)

1
\/.

The openings (or shape coefficients) distribution can be determined by a compressibility test and is limited to a maximum value aM. The knowledge of h( a) makes it
possible to calculate the number of cracks which remain open under a given state of
stress by the equation [see Eqs (6.37) and (6.40)]

NT
N

10F"

with
f3cr = arcsin

13.2

1
;h(a)[7r

- 2f3cr(a, 0'1, 0'2)]da

0'1 + aI(

(13.6)

E
I(

= 2(1- v2)

RUPTURE PROBABILITY OF A SINGLE CRACK

UNDER BIAXIAL LOADING

Since the crack is small with respect to the elementary mesh size (of volume Vo),
calculations can be made under the hypothesis of an infinite medium.

308

Part III. Mechanisms of material cohesion loss

We saw in the chapter devoted to fissuring that a closed crack under a compressive
biaxial loading initiated [Eqs (11.98) to (11.102)] if two conditions were observed,
namely

(13.7)

with

= -2 arctan

13M

(1)
--

J-l

+-7r2

and

(13.8)
with

In the more general case for which the crack is open, these equations have to be
corrected because of the fact that the actual normal stress is the difference between
the critical closing stress (equal to exl{) and the previous one.
Consequently, the driving shear stress acting on the crack is equal to
k
k

= 1 closed crack
= 0 open crack

(13.9)

Finally one is led to

with
13M

(1)

= -2 arctan
7r

13M =4

--

if k

+-7r2

=0

if k

=1

closed crack

open crack

(13.10)

and

(a)

~f3
Cr

with

= 13c1,

132
Cr

= arctan

~v'_1_---,-(C_2_---,kJ-l_2....:..)

(13.11)

309

Chapter 13. Appearance of shearing bands in geomaterials

The rupture probability of a crack contained in an elementary volume Vo can now

be calculated by considering all the lengths, orientations and openings, leading to
rupture that is

(13.12)
Assuming, to simplify, a constant average value for a, and taking account of (13.3)
and (13.5), we obtain

~R[0"1'0"2]

=~
7r

('0

,u'Yil,Bcr(a)a-('Y+1)exp {_

(~)-"f}

da

(13.13)

amin

By writing

(13.14)
the integral (13.13) becomes

(13.15)
with
Zmin

= exp { -

Y}
-u(amin)-'

The form of il,Bcr makes it possible to approximate

that is

(13.16)
(13.15) by the mean formula,
(13.17)

For a given loading one can therefore assign a rupture

cracks and Fc to closed cracks

FT

=F

(0"1'0"2,fL

Fc

=F

[0"1, 0"2,fL:/=

13.3

1
1

= O,,BM =~)
O,,BM

= ~ + ~arctan

COLLAPSE OF A SAMPLE
CONCEPT OF REFERENCE

probability

FT to open

open cracks

(13.18)
(--};)]

closed cracks

VOLUME

The conventional models proposed on the subject characterize the collapse of

a sample of volume V by individually analyzing each elementary mesh Vo. Two
approaches are generally proposed:

310

Part III. Mechanisms

of material cohesion loss

1. The Weibull model based on the "weakest link concept" which assumes that
instability "of a single mesh" is sufficient to collapse the sample. This is
therefore a "serial model" (Fig. 13.5).

Fig. 13.5.

Weakest link concept

model.

2. The J ayatilaka model based on the "bundle concept" which on the contrary
assumes that the collapse results in the coalescence of several critical cracks.
This model can therefore be idealized by a structure in parallel (Fig. 13.6).

Fig.13.6. Bundle concept

statistical

model.

In fact neither of these two models adequately accounts for rupture under compressive stress fields. Indeed damage does not progress homogeneously through the
sample. For example, under biaxial loading, the shearing band, which is the most intense damage zone does not affect the entire sample (Fig. 13.7), but remains localized
in a small volume VR (known as reference volume) greater than Va but much smaller
than V.
Moreover, outside VR, the material is only slightly damaged and even completely
sound. These considerations lead us to build a mixed model by decomposing the
total volume V into a certain number of NR reference volumes, each containing N
elementary cells of volume Va. The model assumes that the collapse of volume V is
reached with the destruction of a single reference volume. So, if HR(Tl, (T2) represents
the rupture probability of any reference volume, the fracture probability of the sample
of volume V will be such that
(13.19)
since the state of stress is assumed to be homogeneous, i.e. identical in any reference
volume.

Chapter 13. Appearance

311

of shearing bands in geornaterials

shear

b andfd amaged

zone)

/
v

VR containing

N dcfccts

urid am aged zone

Fig. 13.7. Combining CFP model

(after Ctuirtez et al. 1991).

The fracture probability of the reference volume under a given loading 0"1, 0"2 is
obtained by considering all the cases for which at least Nf cracks (among the N
contained in the reference volume) are critical.
Since the loading is fixed, one applies a constant fracture probability FT to every
open mesh and a probability Fe to every closed mesh.
Let us consider for example the case in which i open cracks (among NT) and j
closed cracks (among Ne) are critical. With such a configuration is associated the
probability (product of two binomials)
NT!
F,i (1 F )Nr-i
Ne!
Fi (1 F. )Nc-i
(NT - i)!i! T - T
(Ne _ j)!j!
e - e

(13.20)

since (NT - i) open cracks and (Ne - j) closed cracks are not critical. The fracture
probability of the reference volume is obtained by considering all possible cases (that
is i varying from 0 to NT and j varying from 0 to N e) giving rise to rupture (that is
i + j ~ NJ), in other words

=
(13.21)

=
=

It can easily be verified that HR is a probability: for zero loading (FT

Fe
0)
it is equal to zero while for infinite loading (FT
Fe
1, NT
0, Ne
N) it is
equal to 1.
An example of computed intrinsic curve with this combined model is presented in
Fig. 13.8.

312

Part III. Mechanisms

of material cohesion loss

u=1
Nf/N=26%
VO=0.000125cc
p.,=0.68

J.L=0.6
0.8

V=100cc

....
0

300

a=0.49

,D

0.6

'Y=1.510~-3

tIl

"0

'"

tIl

::>

0.4

..::
~-'

0.2

o
o

0.4

0.2

0.6

0.8

1001(thousands
Fig. 13.8. Computed
(the

Mohr circles

inlrinsic
are taken

Obar

curve

1.2

wilh the combined

for 50% r up ture

75bar

1.4

1.6

1.8

of bar)
CFP model

probability).

200bar

500bar

0.9
0.8

l!.
l!.

0.7
50bar

0.6

+<>

"
l!.

C....0.5

P::

l!.

0.4
l!.

0.3
0.2
0.1

O~~rL-.~~~.-~r-"--.---.--.--~~'---r-~
0.2

0.6

1.4

1.8

2.2

2.6

10011(thousands of bar)
Fig. 13.9. Prediction
sandstone

of the CFP combined

model

for Vosges

(after Charlez and al. 1991).

It can be observed that for high confining pressure, the intrinsic curve
with a slope of 0.68 i.e. very close to the microfriction coefficient /1.

IS

linear

Chapter

13. Appearance

313

of shearing bands in geomaterials

The micromechanical model takes complete account of the non-linear part of the
intrinsic curve at low confining pressure (compare the diameter of Mohr's circle at 0
bar with the extrapolation of the linear part of the intrinsic curve).
Figure 13.9 shows that a proper set of parameters makes it possible to fit very
closely experimental results with this model except at 50 bar confining pressure which
corresponds in that particular case to the transition between non-linear and linear
parts of the computed intrinsic curve: for this value, the model underestimates the
resistance considered. Physically speaking this means that at 50 bar there are no
longer any open microcracks although the model still envisages a certain number.
This shows moreover that the effect of open cracks is considerable on the quality of
the model prediction at low confining pressure.

13.4

CASE OF HETEROGENEOUS STATE OF STRESS

In the case of a heterogeneous state of stress, the structure is divided into a certain
number of reference volumes but, since in each point the state of stress varies, the
rupture probability of each reference volume will be different. If
is the rupture
probability of the reference volume localized at a point i, the rupture probability of
the structure will be such that

Hk

(13.22)

13.5

PSEUDO-THREE-DIMENSIONAL EXTENSION
AND SHAPE OF THE FAILURE ENVELOPE

The theory described above can be extended to a three-dimensional stress state ~

by assuming that the fracture (whose direction is localized by its azimuth 0 and its
line of slope rp) is propagated under the effect of the shearing stress applied on its
plane that is (assuming a
0)

TM

T -

Illul

(13.23)

with

(13.24)
a

= (~.ii).ii

(13.25)

in which ii is normal to the crack plane (Fig. 13.10).

rupture probability P(~) is such that
4

P(~)

s:

!!

= 2" f f f
7r Jo Jo Jo

1i[K/(i[)

Under these conditions,

- K/cldOdrpdFa

the

(13.26)

314

Part III. Mechanisms

of material cohesion loss

;;;>-------;----~

()
x
Fig. 13.10. Tridimensional

in which 'H is the Heavyside

function

1i( x)

crack.

such that

=1

1i(x)=O

if

x ~ 0

if

x<O

800

600

400

200

1000

Fig. 13.11. 3D average failure

the CFP combined

model

envelope

(after

Charlez

obtained

with

et al, 1991).

Chapter 13. Appearance

of shearing bands in geomaterials

315

and dFa the differential of the distribution of lengths [Eq. (13.5)). In this way,
Eq. (13.26) takes account only of the cases for which !{J(q:) ~ !{JC in other words
all the cases for which there is crack initiation. The calculation of a 3D !{J('Z) raising considerable analytical problems, one contents oneself in this model with Bui's
two-dimensional expression [expression (11.93)).
.
This pseudo-three-dimensional
extension makes it possible to display in the principal stress space the failure envelope (Fig. 13.11) which is relatively similar to that of
Mohr-Coulomb, namely a more or less strained pyramid around the hydrostatic axis.
This model leads therefore to very coherent results. However, it can be criticized
for globally disregarding kinematics and for viewing failure as a purely statistical
phenomenon.

13.6

i
~

I.

NEMAT NASSER'S

MICROMECHANICAL

MODEL

The appearance of a shearing band seen as an ultimate process in the coalescence

of cracks becoming propagated individually in mode I, can only be justified if one
considers the mutual interaction between cracks.
This type of approach presents theoretical difficulties and, at the present time, it
is only in simple cases for which a geometric periodicity is introduced that resolution
is possible.
Let us consider a row of identical cracks (Fig. 13.12) all of initial length 2e and
orientation /. These cracks are periodically spaced by a length d and are propagated
individually in mode I of a length f in an azimuth B. Lastly, the middle of each crack
is aligned along a straight line forming an angle cI> with the direction of 0"1.
The analytical calculation of the !{J associated with each of the propagated cracks
and taking account of the influence of the adjacent cracks is extremely awkward. We
shall content ourselves here with expounding the main results.
If confining pressure 0"2, crack space die and crack orientations / are fixed, the
propagation stress 0"11, as a function of the extension length fie for various directions
cI>, exhibits a type of curve represented in Fig. 13.13. For sufficiently large values of cI>,
0"1 increases monotonically with fie. For these values of <1>,
growth does not therefore
lead to instability. On the other hand, for smaller values of cI>, 0"1 initially increases
with fie, but quite quickly reaches a maximum then decreases towards a minimum
value followed by a further rise.
These results show that for a critical value of 0"1, the process suddenly becomes
unstable, which leads to the appearance of a macroscopic shearing band. This model
is extremely interesting because it takes account of the interaction between cracks, but
it can be criticized for the periodicity which "forces" the model towards the expected
result, and for the fact that the instability of the cracks being propagated in mode
I (in other words parallel to O"t) tends to lead to a uniaxial type rupture and not to
a shearing band. The appearance of a shearing band seen as a coalescence of cracks
remains therefore physically unexplained at the present time.
1Mode

I only is envisaged in this approach.

316

Part III. Mechanisms

of material

.L a1

, (I'
h;<I>

//

,
,

: / ()

i/
,I

~'Y

----------------------~-----I,
/:

-------------

2c

,
i
i
i
i
i

I
I

.I
I

,,

/t
Fig. 13.12. Nemat

Nasser's

micromechanical

model.

l/e
2

-~--------""""'------o
<I>
12".

(221

.161'

(29")

Fig. 13.13. Evolution

in Nernat

Nasser's

.2".

136"1

of the rupture
micromechanical

stress
model.

cohesion loss

Chapter

13. Appearance

of shearing bands in geomaterials

D. APPEARANCE

317

OF A SHEARING BAND

SEEN AS A BIFURCATION
Another approach is to consider the shearing band as a zone in which there is
localization of strain leading to a macroscopic instability of the material. Mathematically speaking, this leads to a loss of uniqueness of the boundary solution in other
words to a bifurcation.

13.7

EXISTENCE OF THE PHENOMENON

DESRUES'S EXPERIMENTAL APPROACH

Stereophotogrammetry makes it possible to measure the incremental displacement

field between two successive loadings and to calculate the associated strain field. This
method has been successfully used by Desrues (1984) to display the appearance of
a shearing band in biaxially loaded (plane strains) sands samples. One of his tests
is shown in Fig. 13.14 for various successive loading increments. At the top one can
observe the displacement field and at the bottom the associated strain field.
These observations reveal starting from increment 3-4, a block-on-block slippage
mechanism which intensifies during increments 4-5 and 5-6. For the latter, one observes a spectacular relative motion of two structures (only the upper left-hand part
moves). The strain fields clearly show that the localization appears during increment
3-4 then intensifies very sharply for the following increments. The strain localization in the band is accornpained by an unloading of the healthy parts which after
localization are practically no longer strained.
The appearance of a shearing band can therefore be seen as the shift from a diffuse
strain mode (increment 1-2 and 2-3) to a localized strain mode. Fig. 13.14 shows that
this localization is at the origin of the peak observed on the stress strain curve. We
should note however that, on loose sands, a localization can be observed in the absence
of a peak.
Generally, localization always precedes the peak, and the peak comes into being
in the extension phase of the band. The peak must therefore be considered as a
consequence of localization: localization
precedes cohesion loss.
Furthermore, the appearance of a shearing band is characterized by a substantial
dilatancy.
Strain localization in a shearing band is therefore experimentally observed. We
shall see that by expressing it as a kinematic condition, one is led to the loss of
uniqueness of the boundary solution, in other words to a bifurcation.

318

Part III. Mechanisms

of material cohesion loss

axial load(N)
3000

I
_4,

2000

1000

volume variation

1 <,

,o

/-,0;- 0-I

10

20

Fig. 13.14. Biaxial test

localization
(after

13.8

30

axial displacement
40

(mm)

50

on loose sand and display

from a stereophotogrammetry

of

method

Desrues. 1987).

MATHEMATICAL FORMULATION
OF LOCALIZATION

Although Hill (1962) put forward the idea oflocalization, it was Rudniki and Rice
(1975) who offered a clear formulation of the problem. The following paragraph is
therefore built on the basis of their work.

Chapter

13. Appearance

319

of shearing bands in geomaterials

Given a homogeneous solid loaded in a homogeneous manner. At all points of the

solid the state of stress ![o is statically admissible. Given (\7 00 the associated
velocity gradient (also homogeneous). The strain velocity tensor at all points is such
that
(13.27)
Let us now assume that there is localization in a shearing band chosen arbitrarily
normal to the reference axis X2 so that the strain velocities are higher than those of
the healthy material (Fig. 13.15) that is
in the shear band

(13.28)

healthy

material
(~

,!O)

av-

ax

(Jxy

healthy

Fig. 13.15. Localization

of the deformation

in a shear

material

band.

In the shear band, localization prescribes therefore a velocity gradient such that

ee (aJ)

ax = ax

(aJ)

+ ~ ax

(13.29)

In the healthy part, ~ (au/ax) is clearly zero. Can the velocity gradient (13.29)
exist, in other words is it kinematically, statically and rheologically admissible?

320

Part III. Mechanisms

of material cohesion loss

If so, two solutions will exist concomitantly: the homogenous solution fo which
shall remain valid and the bifurcated alternative solution; the boundary problem
would therefore no longer be unique. To verify the existence of such a solution, one
has to write certain supplementary conditions.

13.8.1

Kinematic condition

The direction of the band represents a first essential condition.

Indeed, in a
plane parallel to the band (plane Xl, x3 in Fig. 13.15) the velocity gradient remains
continuous and it is only if one moves according to axis X2 t.hat the localization
phenomenon is perceptible. In other words, it is only in the direction normal to the
band that the 6. (fJv;jfJXj) are non-zero which is written

with

Dij

=0

if

i =f. j

Dij

=f. 0

if

=j=2

(13.30)

or again in a vectorial form

(13.31)
since ii is parallel to X2.
In view of the latter equation, the increase in the strain velocity between the band
and the healthy part is therefore such that

6.4: = ~ [Ui
13.8.2

ii)

+ t(g

ii)]

(13.32)

Static condition

The stress vector (or stress ratio) must be continuous when passing the bounda
of the band which is written
(13.3

Q-o and Q- being the stress rates respectively in the healthy part and the band.

13.8.3

Rheological condition

The constitutive

law must be identical in the band and the healthy part, that is

u=
-

..

in which L is the constitutive

matrix.

Le
=:

(13.34

Replacing (13.34) in (13.33) one is led to

iif;(i - io) = 0

(13.35

Chapter

13. Appearance

321

of shearing bands in geomaterials

which can also be written taking account of the kinematic condition (13.32)
(13.36)

...

The condition for bifurcated solution is presented therefore in the form of a homogeneous linear system of three equations in the three unknowns ss, g2, g3.
This system admits on the one hand the trivial solution gl
g2
g3
0 which
corresponds to the homogeneous strain io (no localization). To obtain localization,
(gk non-zero) determinant of the matrix Aj k has to be zero

det

I~I= 0

A=n.L.n

'"

(13.37)

(13.37) is known as "bifurcation condition" for linear incremental constitutive

laws. It is essentially conditioned by the constitutive matrix L. We shall see that
only certain constitutive laws can lead to bifurcation. For this p{;'rpose let us envisage
two specific cases: linear elasticity and hardening plasticity.

13.9

ELASTICITY

AND BIFURCATION

In the case of linear isotropic elasticity, the constitutive matrix is loading independent (no memory of the material) and the constitutive law is written (Chapter 4)

u=Ai
- ::::-

(13.38)

with
Aijkl

= >'DijDkl

+ G(DikDjl + DilDjk)

(13.39)

Replacing (13.39) in (13.37) one easily shows that ~ can be written in the form.

~ = (>.

+ G)n n + Gf

(13.40)

where>. and G are the Lame's constants. The determinant of A can never be zero
(given the term
The appearance of a shearing band is therefore not possible in linear elasticity,
since only the trivial solution exists.

GD.

13.10

CASE OF RUDNIKI AND RICE'S

ELASTOPLASTIC
MODEL

Rather than adopt a very general approach we shall seek the conditions for localization in the specific case of Rudniki and Rice's elastoplastic model. Indeed, in
accordance with the values of f3 and p,*, it will be possible to analyze the effect of the
associativeness of the law on possible bifurcation.

322

Part III. Mechanisms of material cohesion loss

Given an element of material subjected to a stress state 0"1, 0"2, and 0"3 with respect
to its principal directions 1, 2, 3 and given II a potential localization plane (a priori
unknown) (Fig. 13.16) normal to a direction whose cosine directors are nl, n2, n3,
with respect to the reference frame 1, 2, 3. Let us consider lastly, the reference frame
x, y, z such that coordinate y is merged with normal ii. The elastoplastic matrix is
written [Eq. (10.125)]

G(DmkDnt
(~Skt

+ DmlDkn) +
+ (3KOkl)
H

(I< -

2;)

DktDmn

+ Kp.*Dmn)

(~smn

.,
(13.41)

+G + p.*K(3

localization

pl anc

I
Fig.

.,
l3.16.

Reference

frame

and localization

plane.

We should remember that in this equation, G and K are respectively the elastic
shear modulus and the hydrostatic bulk modulus, p.* the friction coefficient [in fact
this is not exactly the Mohr-Coulomb internal friction coefficient (equal to tan cp) but
p.* = sin cp] and (3, the dilatancy coefficient.
H is the hardening modulus. The stresses intervening in (13.41) have also been
defined previously such that

T
Sij

[~SijSij

O"ij -

DijU

(13.42)
_
O"kk
0"=-

Chapter

13. Appearance

323

of shearing bands in geomaterials

The condition for localization (13.37) will therefore be expressed given the specific
choice of the system Oxyz (Oy == ii)
det

161 = 0

(13.43)

which leads after resolution with respect to the hardening modulus H to

(Gsyy

+ j3K"f)(Gsyy +

J.t*

H=
1'2

K"f)

+ (~G +

f{) G(u;", + u;J

-1

(~G + 1<)

(13.44)

The value of H is a function of the orientation of the future localization plane and
of the stress state. The question that may be asked is "for a fixed stress state, what is
the direction of the first plane on which localization is observed?" H being a decreasing
function of incremental strain, one has therefore to seek the orientation for which H
is maximum. For this purpose, one has to express each of the components Uyy, uyx
and uyz as well as r in the principal reference frame 1,2,3 (Fig. 13.16). By using the
matrix of axis change [Eq. (2.34)], one obtains the equalities (Ul < U2 < U3 < 0)

..,

+ n~s2 + n~s3
sr + s~ + s~
nrSl

n122+
sl

n222+
s2

22 n3s3

(13.45)

Syy

l' being independent of ii, it is not necessary to replace it in (13.44). Substituting

the other two equations, one is led to
r

.,

(~G+ 1<) G
r2 (~G + f{)

(13.46)

[n~s~ - (n~sk)2]
-1

subjected to the constraint

J

= ni + n~ + n5 =

(13.47)

The search for a stationary point of H subjected to the constraint (13.47) can be
carried out using the method of Lagrange multipliers. The value of ii which maximizes
H is solution of the three equations

oH _ oX oj = 0
j

onk

onk

k = 1, 2, 3

(13.48)

which is written after derivation of (13.46) and (13.47)

k = 1,2,3

(13.49)

324

Part III. Mechanisms

with
,X*

=~

and
X
G
Three cases can be discussed:

(f3+fl*)(I+v)
3(1-v)

of material cohesion loss

Syy

(13.4gb)

r(l-v)

1st case
None of the
unknown X

nk

is zero. One obtains in this case two independent equations in the

(13.50)
This system has no solutions, X not being able to be chosen so that (13.50) is
satisfied. Therefore, at least one of the nk is zero.
2nd case
Two of the nk are zero. Although the solution is mathematically admissible, this
configuration has no physical sense, the shear band never originating in a principal
plane (in other words in a zero shear plane). The only physical solution corresponds
therefore to that in which the shear band is parallel to one of the principal directions.
3rd case
Only one of the nk is zero. Let us assume for example (this choice is arbitrary
for the moment) that n2
O. In this case the localization plane is parallel to n2.
Given that the localization plane intersects the plane 1 - 3 according to a straight
line whose normal makes an angle 0 with direction 3 (major principal stress, in other
words minimum compression) (Fig. 13.17). In this case, the director cosines of the
normal are such that

nl

= sinO

n3

= cos 0

(13.51)

'\

trace

of the shear band

in plane 1-3.

/"

()

219----"---"------~

Fig. IJ.17. Trace of the she ar band in the plane

in lhe case n2=0.

1-J.

Chapter

13. Appearance

and condition

325

of shearing bands in geomaterials

(13.49) is reduced to the equation

(13.52)

whose solution

is such that
(13.53)

that is since Sa

=0
(13.54)

from which one extracts

(13.47) and (13.51)

by replacing

cos 80

X in (13.49b)

~-Nm
NM - Nm

and taking

~ -

sin 80 = N

m-

account

NM
N

of (13.45),

(13.55)

with

~= (1+v)(,B+tL*)
3
Nm = ~

(13.56)

N = ~

Replacing

-N(1-v)
NM = ~

finally (13.55) in the expression

(13.46) of H, one is led to

-,'-'-

. t

(13.57)
From expressions (13.55) and (13.57) one obtains therefore both the orientation
of the shear band and the critical "bifurcation" hardening modulus.
This argument is conditioned however by the arbitrary choice of the direction of
the localization plane: this choice, which was made parallel to 0"2, could have been
made identically with respect to 0"1 or 0"3. In these cases, the condition of the type
(13.54) would have been

X=~
'f

T
S3

for a band parallel to

0"1

for a band parallel to

0"3

(13.58)

and the corresponding hardening modulus would have been obtained by substituting
in (13.57) N by Nm or NM. Knowing the three values of the critical hardening
modulus one has to compare them, which leads to the following inequalities (since H
normally decreases with loading)

H~r

> H;r <==>,B+ tL* < -2(N

H;r

> H;r

3
<==>,B+ tL* > -2(N

+ NM)

band parallel to 3

+Nm)

band parallel to 1

(13.59)

326

(0'1

Part III. Mechanisms

of material

cohesion loss

Equations (13.59) can be clearly studied in the case of a compression triaxial test
< 0'2 = 0'3) for which
NM

= N = ..;3

and

n.; = - ..;3

(since NM

+ N + N, = 0)

(13.60)
-

,"

Substituting
H~r

> H;r

H1cr

H2cr

>

'-

(13.60) in (13.59), one obtains

-..;3 < 0

=}

(3 + Jl*

<

=}

(3 + Jl *

V3
> 2"

plane parallel to

0'3

(13.61)
I
pane
para IIe1 to

OJ

0'1

The first condition (13.62) can never be satisfied since (3 and Jl* are always positive.
Furthermore, the orders of magnitude encountered for (3 (often very small for
geomaterials) and Jl* show that the second condition is almost never respected (3
0, Jl* > 0.87). In a more or less systematic way, the Rudnicki and Rice model schedules
therefore a shearing band parallel to the intermediate component 0'2. Bifurcation
is therefore
in agreement
with the Mohr-Coulomb
criterion.

13.11

BIFURCATION AND ASSOCIATIVENESS

Equation (13.57) shows that, in the case of an associated plastic flow rule (3 = Jl*),
bifurcation appears for a negative hardening modulus, in other words after the peak.
On the contrary, for a non-associated plastic flow rule localization can appear during
the positive phase of hardening; this is what is known as prebifurcation. This second
case is generally much more realistic.

13.12

DISCONTINUOUS BIFURCATION
"

In what precedes we assumed that the shear bands and the healthy parts were
identically loaded. In reality, experience clearly shows that the material in the healthy
part (in other words external to the localized zone) is unloaded elastically after bifurcation.
'\

13.13

CONCLUSION AND RECOMMENDED

RESEARCH
}

The appearance of shearing bands in geomaterials remains a complete theoretical

problem. While in elastoplastic materials, the theory of bifurcation provides valuable indications, in brittle rocks the basic contradiction between microscopic damage

Chapter

13. Appearance

327

of shearing bands in geomateriaIs

and the macroscopic shearing band remains unexplained.

We feel that the purely
micro "Nemat Nasser-type" approach is too complex to consider dealing with complicated geometries. We believe much more in a possible "homogenization-bifurcation"
coupling, the approach to which in our view is much more accessible.
This research could be a good challenge for the future.

BIBLIOGRAPHY
CHAMBON, R., 1986, Bifurcation par localisation en bande de cisaillement,
proche avec des lois incremenialement
non lineaires, JMTA, Vol. 5.

une ap-

CHAMBON, R., and DESRUES, J., 1984, Quelques remarques sur le probleme
localisation en bande de cisaillement, Mech. Res. Comm., Vol. 11, pp.145-153.

de la

CHARLEZ, PH., SEGAL, A., PERRIE, F., and DESPAX, D., 1991, Microstatistical
behaviour of brittle rocks, submitted to the Int. J. of Rock Mech. and Min. Sci. and
Geomech. Abstr.
COTTERELL, E., and RICE, J.R., 1980, Slightly curved of kinked cracks, International
Journal of fracture, Vol. 16, No 2, pp. 155-169.
DESRUES, 1984, Localisation de la deformation
D Thesis, IMG Grenoble, June 1984.

dans les metericux

qranulaires,

Ph.

FREUDENTHAL, A., 1968, Statistical approach to brittle fracture, In "Fracture an

advanced treatise", Vol. II, pp. 591-619, Academic press, London, New York, San
Francisco.
HILL, R., 1962, Acceleration

waves in Solids, J. Mech. Phys. Solids, 10, pp.1-16.

HILL, R, and HUTCHINSON, J.W., 1985, Bifurcation

test, J. Mech. Phys. Solids, 23, pp. 239-264.
;!

phenomena

HORII, H. and NEMAT NASSER, S., 1985, Compression induced microcrack growth in
brittle solids: axial splitting and shear failure, Journal of Geophysical Research, Vol.
90, No 84, pp. 3105-3125.
JACQUIN, G., 1985, Caractere fracial des rescaux de discontinuite
IFP Report, ref. 33699 .

.~

in the plane tension

JAYATILAKA, S., and TRUSTUM, K., 1977, Statistical

Journal of Materials Science 12, pp. 1426-1430.
MANDEL, J., 1964, Condition
canique des Sols, Kravtchenko

des massifs rocheux,

approach to brittle fracture,

de stabilite ei posiulai de Drucker.

et Sirieys Ed., IUTAM Symposium,

MORLIER, P., 1971, Description de l'etat de formation d'une roche

non destructifs simples, Rock Mechanics 3, pp. 125-138.

Rheologie
Grenoble.

a partir

ei Med'essais

PAUL, E., 1968, Macroscopic criteria for plasticfiow and brittle fracture, In "Fracture
an advanced treatise", Vol. II, Academic press, New York, San Francisco, London.
RICE, J .R., 1973, The initiation
and Soils MechanicS~ridge

and growth of shear bands, Symposium

(UK).

on Plasticity

328

Part III. Mecluuiisrns of material cohesion loss

RICE, J .R., 1976, The localization of plastic deformation,

Mechanics, W.T. Koiter Ed., North Holland Publ. Compo
RICE, and RUDNICKI, 1980, A note on some features
deformation, Int. J. sol. struct., 16, pp. 597-605.

Theoretical

and Applied

of the theory of localization

of

RUDNICKI, J.W., and RICE, J.R., 1975, Conditions for the localization of deformation
in pressure sensitive dilatant materials, J. Mech. Phys. Solids, Vol. 23, pp. 371-394.
VARDOULAKIS, 1., GOLDSCHEIDER, M., and GUDEHUS, Q.G., 1978, Formation of
shear bands in sand bodies as a bifurcation problem, Int. J. Num. Anal. Meth.
Geom. 2, pp. 99-128.
VARDOULAKIS, I., 1979, Bifurcation
Mechanica 32, pp. 35-54.

analysis of the triaxial test on sand samples, Acta

VARDOULAKIS, I., 1980, Shear band inclinaison and shear modulus of sand in biaxial
tests, Int. J, Num. Anal. Meth. Geom. 4, pp. 103-109.
VARDOULAKIS, I., 1981, Rigid granular constitutive model for sand and the influence
of the deviatoric flow rule, Mech. Res. Comm. 8, pp. 275-280.
VARDOULAKIS, I., and GRAF, B., 1982, Imperfection sensitivity
dry sand, IUTAM conf. Def. Fail. Grand. Media, Delft.
WEIBULL, W., 19.51, A statistical
Mech.,18.

distribution

function

of the biaxial test on

of wide applicability,

J. Appl.

Index

. ~:

Airy's potential
definition, 86
for infinite plates, 87, 89
for finite plates, 94, 96
in complex variables, 100
Analytical
functions,
98

'i

Betty's reciprocity
theorem, 83, 138
Belt rarni-Mit.chall
equations
of continuous media, 80
of porous media, 153
Bifurcation,
198, 317
Biot
coefficient of, 137, 143, 175, 283
modulus of, 144
Boundary
condition, 30
integral, 105
Brittle, 241
Bui,265
Bulk modulus
definition, 78
effective, 111, 115
drained, 135, 173
matrix, 136, 175
undr~ned, 143, 168
Cambr-idge, 194
Cauchy
stress tensor, 29
Cauchy-Rieman cond., 50, 98
integral, 105
Chalk, 225, 233
Clausius-DuheIn
(inequality
of)
of solids, 51
of porous media, 128

in poroplasticity, 187
of a damaged material, 293
Cohesion
coefficient of, 214
Complex
variable, 98
potentials, 100
boundary integrals, 105
Compressibility
fluid, 50
coefficient of a clay, 196
Confining pressure,
159
mapping, 102
Conformal
Consolidation
isothermal equation of, 153
coefficient of, 156, 167
second phase of, 173
of a clay, 195, 204
overconsolidation, 208
Constitutive
law
of solids, 51
standard, 65
of thermoporous media, 130
of poroplasticity, 183
Modified Cam-Clay, 194,224
Mohr-Coulomb, 214, 224
Rice and Rudnicki, 222
Lade, 225
Shao and Henry, 233
Lemaitre, 278
Weibull,310
Jayatilaka, 310
CFP, 311
Convection,
133, 153
Coulomb, 214, 269, 295

330
Crack
stress field of a, 243
initiation of a, 251
infinitesimal branching, 265
finite branching, 266
Criterion
Mohr-Coulomb,214
Griffith, 250
Mandel, 262
Critical state, 198

Damage
experimental, 277
of porous materials, 283
variable, 290
Darcy, 132, 151
Darve, 193
Desrues, 317
Diffusion
of fluid, 132
of heat, 132
Diffusivity
equations
of fluid, 132
of heat, 132
in poroelasticity, 151, 152
of Cam-Clay, 207
Displacement
definition, 9
discontinuity of, 247, 289
Dissipation
potential of, 58
intrinsic, 129
thermohydraulic, 129
Drained
bulk modulus, 135
elastic modulus, 137
Poisson's ratio, 137
thermal expansion, 145

Elasticity
definition, 45, 57
constant of, 77
uniquiness of solution, 81
plane, 85

Index

in polar coordinates, 87
of thermoporous media, 131
Energy
kinetic, 32, 127, 251
internal, 43, 127
free, 46
specific, 47
elastic, 82
of an elliptic hole, 109
of a cavity, 111
specific surface, 252
release rate, 253, 273
blocked-up, 301
Enthalpy
definition, 46
free, 46
specific, 47, 128
in poroelasticity, 147
in poroplasticity, 186
Entropy
definition, 44
specific, 47, 129
expression for a fluid, 51
in poroelasticity, 145
in poroplasticity, 185
Eulerian
definition, 2
strain tensor, 17
Expansion
coefficient
of fluid, 50, 144
drained, 145
undrained, 144
of the matrix, 150
measurement of, 175
of a clay, 197

Fourier, 132, 153

Freudenthal,
307
Friction
of a piston, 163
in the cylinder, 164
Coulomb Internal, 214, 269, 295

Griffith,

250

Index

331

Hardening
modulus, 64, 188, 191
concept of, 188
kinematic, 190
modulus of Cam-Clay, 202
damage law, 280
modulus of localization, 325
Heat
specific, 49, 146, 180
rate, 52, 128
diffusion, 131
latent, 147

Hill
principle of, 65
theorem of, 66
localization of, 318
Homogenization,
286
Hooke's law
of continuous media, 57, 73
isotropic, 74, 79
in cylindric. coord., 84
of a porous medium, 135
Incremental
plastic matrix
definition, 62, 191, 193
of Cam-Clay, 202
Intrinsic
curve
definition, 220
non-associativiness, 221
Irwin, 245
Kirsch'problem,

89

Lagrangian
definition, 2
strain tensor, 13
convective transports, 10, 12, 124
stress tensor, 36
descr. of porous media, 124
Latent heat, 147, 150
Localization
general formulation of, 317
Rudnicki and Rice model, 321

Momentum
linear, 4
kinetic, 5, 33
balance, 31
Mandel, 262, 265, 289
Mass
balance, 52, 125
variation of fluid, 141
Muschelishvili,98
Microcrack
definition, 113
closure of a, 119, 123
population of, 306
Mohr
circle, 38
Coulomb criterion, 214, 305
Morlier, 116

Nemat-Nasser,
315
Normality
(concept of), 58

Oedometric

test, 205

Permeability
definition, 132
measurement of, 167
Plasticity
definition, 45, 57, 59
plastic flow rule, 62, 191, 202, 221
plastic multiplier, 64, 188, 230, 233,
234
plastic work, 65
Plate
infinite, 87
with circular hole, 89
finite, 92
with elliptical hole, 106
Poisson's
ratio
of continuous media, 78
drained, 137
undrained, 142
Porosity
definition, 122
relative variation of, 140

332
Pressure
of a fluid, 46
interstitial pore, 128
Propagation
(of a crack)
quasistatic, 253
dynamic, 255
stable and unstable, 256
Reference
frame
definition, 1
change of, 35
Rudniki and Rice, 222, 321
Saleh,92
Saturation
(of a sample), 165
Shape coefficient, 115
Shear
stress, 30
modulus, 78
band, 303, 306, 315, 317
Skempton's
coefficient
definition, 141
measurement, 168
Softening, 188
State variable
definition, 43
observable, 54, 130
concealed, 55, 130
Statistical
distribution,
306
Sneiff, 266
Strain
Lagrangian sate of, 13
tensor, 17
diagonal, 19
non diagonal, 19
plane state of, 21
in cylindrical coord., 23
measurements of, 162
homogeneized, 288
Stress
vector, 27
tensor, 29
principal state of, 35
Lagrangian state of, 36
plane state of, 38
elastic effective, 137

Index

plastic effective, 187

deviatoric, 195
intensity factor, 243,245,247
homogeneized, 287
Swelling coefficient, 196
Tension cutoffs, 219, 235
Tensorial zone, 192
Terzaghy
approximation of, 168
effective stress of, 187
Thermal
conductivity
definition, 132
measurement, 178
Thermodynamics
definition, 43
first principle of, 43, 52, 127
second principle of, 45, 53, 128
potential, 55, 130, 186, 290
forces, 58, 273
of porous media, 123
in poroelasticity, 148
formulation of fissuring, 272
Triaxial
test, 159
Mohr-Coulomb, 218
Toughness
definition, 259
experimental measurement, 260
Undrained
definition, 141
elastic properties, 142
thermal expansion, 145
test for a clay, 206
Void ratio, 195
Volum.e
relative variation of, 20
bulk variation, 138
pore variations of, 139
elementary, 306
reference, 309
Weibull,

310

333

Index

Yield locus
definition, 59, 61
of modified Carn-Clay, 200
Mohr-Coulomb,216

,)

/'

Young's modulus
of continuous media, 77
drained, 137, 173
undrained, 142,174