Appendix A

Useful Formulae (1985-1989-1993-)

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 Jeremić et al. A.1. CHAPTER SUMMARY AND HIGHLIGHTS 1787 of 2120

A.1 Chapter Summary and Highlights

A.2 Stress and Strain

This section reviews small deformation stress and strain measures used in this report.

A.2.1 Stress

In this work, the tensile stress is assumed positive, and in general we follow classical strength of materials
(mechanics of materials) conventions for stress and strain. The stress tensor σij is given as
   
σxx σxy σxz σx σxy σzx
   
σ=  σyx σyy  =  σxy σy σyz 
σyz    (A.1)
σzx σzy σzz σzx σyz σz

In small deformation theory, this stress is symmetric, that is, σxy = σyx , σyz = σzy , and σzx = σxz .
There are only six independent components and sometimes the stress can be expressed in the vector
form

σ = {σxx , σyy , σzz , σxy , σyz , σzx } (A.2)

Jeremić et al., DRAFT, work in progress!

The principle stresses σ1 , σ2 , and σ3 (σ1 ≥ σ2 ≥ σ3 ) are the eigenvalues of the symmetric tensor
σij in Equation A.1 and can be obtained by solving the equation
 
 σ −σ σxy σxz 
 xx
 
 σyx
 σyy − σ σyz  = 0 (A.3)
 
 σzx σzy σzz − σ 

or in alternative form

σ 3 − I1 σ 2 − I2 σ − I3 = 0 (A.4)

The three first-type stress invariants are then

I1 = σii

= σxx + σyy + σzz

= σ1 + σ2 + σ3 (A.5)

1
I2 = σij σji
2
2 2 2
= −(σxx σyy + σyy σzz + σzz σxx ) + (σxy + σyz + σzx )

= −(σ1 σ2 + σ2 σ3 + σ3 σ1 ) (A.6)

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 Jeremić et al. A.2. STRESS AND STRAIN 1788 of 2120

1
I3 = σij σjk σki = det (σij )
3
2 2 2
= σxx σyy σzz + 2σxy σyz σzx − (σxx σyz + σyz σzx + σzz σxy )

= σ1 σ2 σ3 (A.7)

The stress σij can be decomposed into the hydrostatic stress σm δij and deviatoric stress sij as
σij = σm δij + sij , with the definitions

1 1
σm = I 1 , sij = σij − σkk δij (A.8)
3 3

where δij is the Kronecker operator such that δij = 1 for i = j and δij = 0 for i 6= j.
Since both hydrostatic and deviatoric stresses are stress tensors, they have their own coordinate-
independent stress invariants respectively. The three invariants of the hydrostatic stress are

2 1 1 3
I1 = 3σm = I1 , I2 = −3σm = − I12 , 3
I3 = σm = I (A.9)
3 27 1

Since I1 , I2 and I3 are all simple functions of I1 , the hydrostatic stress state can therefore be represented
by only one variable I1 .
The three eigenvalues of the deviatoric stresses sij are called principal deviatoric stresses, with the
order s1 ≥ s2 ≥ s3 . The three invariants of the deviatoric stress are
Jeremić et al., DRAFT, work in progress!

J1 = sii = 0 (A.10)

1
J2 = sij sji
2
1 2
= I + I2
3 1
1
= [(σ1 − σ2 )2 + (σ2 − σ3 )2 + (σ3 − σ1 )2 ]
6
= −(sxx syy + syy szz + szz sxx ) + (s2xy + s2yz + s2zx )
1 2
= (s + s22 + s23 ) = −(s1 s2 + s2 s3 + s3 s1 ) (A.11)
2 1

1
J3 = sij sjk ski = det(sij )
3
1 2 1 1
= I3 + I1 I2 + I13 = I3 − I1 J2 − I13
3 27 3 27
1
= (2σ1 − σ2 − σ3 )(2σ2 − σ3 − σ1 )(2σ3 − σ1 − σ2 )
27
= sxx syy szz + 2sxy syz szx − (sxx s2yz + syy s2zx + szz s2xy )

= s1 s2 s3 (A.12)

The deviatoric stress state can therefore be represented by only two variables J2 and J3 .

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 Jeremić et al. A.2. STRESS AND STRAIN 1789 of 2120

Combining hydrostatic and deviatoric stress, we can conclude that the stress state can be be repre-
sented by three variables I1 , J2 and J3 . Using the three invariants (I1 , J2 , J3 ) or its equivalents instead
of the nine components of σij is widely used in geomechanics.
The stress state may also be described in three dimensional space (p, q, θσ ), defined as
1
p = − I1 (A.13)
p3
q = 3J2 (A.14)
√ !
1 3 3 J3
θσ = arccos p (A.15)
3 2 J23

where θσij is the stress Lode’s angle (0 ≤ θσij ≤ π/3). A stress state with θσ = 0 corresponds to the
meridian of conventional triaxial compression (CTC), while θσ = π/3 to the meridian of conventional
triaxial extension (CTE). The relationship between (σ1 , σ2 , σ3 ) and (p, q, θσ ) is
   
σ1 cos θσ
 σ2  = −p + 2 q 
   2 
 cos (θσ − π) (A.16)

3  3
  
2

σ3 cos (θσ + π)
3
The line of the principal stress space diagonal is called hydrostatic axis. Any plane perpendicular to
Jeremić et al., DRAFT, work in progress!

the hydrostatic axis is an deviatoric plane, or π plane. The Haigh-Westergaard three dimensional stress
coordinate system (ξ, ρ, θσ ) Chen and Han (1988a), is defined as
I1 √
ξ = √ = − 3p (A.17)
3
r
p 2
ρ = 2J2 = q (A.18)
3
The Haigh-Westergaard invariants have physical meanings. ξ is the distance of the deviatoric plane to
the origin of the Haigh-Westergaard coordinates, and ρ is the distance of a stress point to the hydrostatic
line and represents the magnitude of the deviatoric stress. The projections of the axes σ1 , σ2 and σ3 on
the deviatoric plane are assumed σ1′ , σ2′ and σ3′ respectively. (ρ, θσ ) is the polar coordinate system in the
deviatoric plane with the σ1′ the polar axis and θσ the polar angle. The relationship between (σ1 , σ2 , σ3 )
and (ξ, ρ, θσ ) is
   
σ1 r cos θσ
 σ2  = √1 ξ +
  2  2 
ρ  cos (θσ − π) (A.19)
 
3  3

  3 2

σ3 cos (θσ + π)
3

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 Jeremić et al. A.2. STRESS AND STRAIN 1790 of 2120

A.2.2 Strain

Point P (xi ) and nearby point Q(xi + dxi ) displace due to applied loading to new positions P (xi + Ui )
and Q(ui + (∂ui /∂xj )dxj ). We can define a displacement gradient tensor ui,j as

∂ui
ui,j = (A.20)
∂xj

Matrix form of the displacement gradient can decomposed into the symmetric and antisymmetric parts
   
1 1
u1,1 u1,2 u1,3 u1,1 2 (u1,2 + u2,1 ) 2 (u1,3 + u3,1 )
   
 u2,1 u2,2 u2,3  =  1 (u2,1 + u1,2 ) u2,2 1
2 (u2,3 + u3,2 ) 

   2
1 1
u3,1 u3,2 u3,3 2 (u3,1 + u1,3 ) 2 (u3,2 + u2,3 ) u3,3
 
1 1
0 2 (u 1,2 − u 2,1 ) 2 (u 1,3 − u 3,1 )
 
+ 1 1 (A.21)
 2 (u2,1 − u1,2 ) 0 2 (u2,3 − u3,2 ) 

1 1
2 (u3,1 − u1,3 ) 2 (u3,2 − u2,3 ) 0
or

ui,j = ǫij + wij (A.22)

where
Jeremić et al., DRAFT, work in progress!

1
ǫij = (ui,j + uj,i ) (A.23)
2

1
wij = (ui,j − uj,i ) (A.24)
2

The symmetric part of the deformation gradient tensor, ǫij , is the small deformation strain tensor 1 ,
while the antisymmetric part of the deformation gradient tensor, wij , is the rotation motion tensor. The
matrix form of the strain ǫij is
   
1 1
ǫxx ǫxy ǫzx ǫx 2 γxy 2 γzx
   
ǫ= 1 1
 ǫxy ǫyy =
ǫyz  2 γxy ǫy 2 γyz
(A.25)
 

1 1
ǫzx ǫyz ǫzz 2 γzx 2 γyz ǫz

The engineering strain is usually expressed in the vector form

ǫ = {ǫx , ǫy , ǫz , γxy , γyz , γzx }T (A.26)

Note that the engineering shear strain γij is the double of the corresponding strain component ǫij .
1
Here the second and higher order derivative terms are neglected due to the small deformation assumption.

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 Jeremić et al. A.2. STRESS AND STRAIN 1791 of 2120

Similar to the stress tensor, the strain tensor also has three principle strains ǫi (ǫ1 ≥ ǫ2 ≥ ǫ3 ), and
three strain invariants I1′ , I2′ , and I3′ , defined as

I1′ = ǫii

= ǫv

= ǫxx + ǫyy + ǫzz

= ǫ1 + ǫ2 + ǫ3 (A.27)

1
I2′ = ǫij ǫji
2
= −(ǫxx ǫyy + ǫyy ǫzz + ǫzz ǫxx ) + (ǫ2xy + ǫ2yz + ǫ2zx )

= −(ǫ1 ǫ2 + ǫ2 ǫ3 + ǫ3 ǫ1 ) (A.28)

1
I3′ = ǫij ǫjk ǫki = det (ǫij )
3
= ǫxx ǫyy ǫzz + 2ǫxy ǫyz ǫzx − (ǫxx ǫ2yz + ǫyz ǫ2zx + ǫzz ǫ2xy )

= ǫ1 ǫ2 ǫ3 (A.29)

The first strain invariant is also called the volumetric strain ǫv .

The strain ǫij can be decomposed into the hydrostatic strain ǫm δij and deviatoric strain eij through
Jeremić et al., DRAFT, work in progress!

ǫij = ǫm δij + eij where:

1 1
ǫm = I1′ , eij = ǫij − ǫkk δij (A.30)
3 3
Since both hydrostatic and deviatoric strains are strain tensors, they have their own strain invariants
respectively. The three invariants of the hydrostatic strain are
1 1 ′ 3
I1′ = 3ǫm = I1′ , I2′ = −3ǫ2m = − (I1′ )2 , I3′ = ǫ3m = (I ) (A.31)
3 27 1
The hydrostatic strain state can therefore be represented by only one variable I1′ .
The three eigenvalues of the deviatoric strains eij are called principal deviatoric strains, with the
order e1 ≥ e2 ≥ e3 . The three invariants of the deviatoric strain are

J1′ = eii = 0 (A.32)

1
J2′ = eij eji
2
1 ′ 2
= (I ) + I2′
3 1
1
= [(ǫ1 − ǫ2 )2 + (ǫ2 − ǫ3 )2 + (ǫ3 − ǫ1 )2 ]
6
= −(exx eyy + eyy ezz + ezz exx ) + (e2xy + e2yz + e2zx )
1 2
= (e + e22 + e23 ) = −(e1 e2 + e2 e3 + e3 e1 ) (A.33)
2 1

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 Jeremić et al. A.3. DERIVATIVES OF STRESS INVARIANTS 1792 of 2120

1
J3′ = eij ejk eki = det(eij )
3
1 2 1 1
= I3′ + I1′ I2′ + (I1′ )3 = I3 − I1′ J2′ − (I1′ )3
3 27 3 27
1
= (2ǫ1 − ǫ2 − ǫ3 )(2ǫ2 − ǫ3 − ǫ1 )(2ǫ3 − ǫ1 − ǫ2 )
27
= exx eyy ezz + 2exy eyz ezx − (exx e2yz + eyy s2zx + ezz e2xy )

= e1 e2 e3 (A.34)

The deviatoric strain state can therefore be represented by only two variables J2′ and J3′ .
Combining the hydrostatic and deviatoric strain, we can conclude that the strain state can be be
represented by three variables I1′ , J2′ and J3′ .
Strain state may also be represented with another three invariant (ǫp , ǫq , θǫ ), defined as

ǫp = −I1′ = −ǫv (A.35)

r
J2′
ǫq = 2 (A.36)
3
√ !
1 3 3 J3′
θǫ = arccos p ′ (A.37)
3 2 (J2 )3

where θǫ is the strain Lode’s angle and 0 ≤ θǫ ≤ π/3. The relationship between (ǫ1 , ǫ2 , ǫ3 ) and (ǫp , ǫq , θǫ )
Jeremić et al., DRAFT, work in progress!

is
   
ǫ1 r cos θǫ
 ǫ2  = − 1 ǫp +
  3  2 
ǫq  cos (θǫ − π) (A.38)
 
3 2  3
  
2

ǫ3 cos (θǫ + π)
3

A.3 Derivatives of Stress Invariants

In this part of the Appendix, we shall derive some useful formulae, that are rarely found2 in texts treating
elasto–plastic problems in mechanics of solid continua.
First derivative of I1 with respect to stress tensor σij :

∂I1 ∂σkk
= = δij
∂σij ∂σij

First derivative of J2D with respect to stress tensor σij :

2
if found at all.

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 Jeremić et al. A.3. DERIVATIVES OF STRESS INVARIANTS 1793 of 2120

∂J2D ∂( 1 smn snm ) 1 ∂smn 1 ∂snm

= 2 = snm + smn =
∂σij ∂σij 2 ∂σij 2 ∂σij
∂snm ∂(σnm − 31 σkk δnm ) 1
= smn = smn = (δni δjm − δnm δki δjk )smn =
∂σij ∂σij 3
1 1
= (δni δjm − δnm δij )smn = δni δjm snm − δnm δij smn = sij †
3 3

First derivative of J3D with respect to stress tensor σpq :

∂J3D ∂( 1 sij sjk ski ) 1 ∂sij 1 ∂sjk 1 ∂ski

= 3 = sjk ski + sij ski + sij sjk =
∂σpq ∂σpq 3 ∂σpq 3 ∂σpq 3 ∂σpq
∂sij ∂(σij − 13 σkk δij ) 1
= sjk ski = sjk ski = (δip δqj − δij δkp δqk )sjk ski =
∂σpq ∂σpq 3
1 2
= δip δqj sjk ski − δij δkp δqk sjk ski = sqk skp − δpq J2D = tpq ‡
3 3

First derivative of spq with respect to stress tensor σmn , or second derivative of J2D with respect to
Jeremić et al., DRAFT, work in progress!

stress tensors σpq and σmn :

∂ σpq − 13 δpq σkk δmp δnq − 31 δpq δmn σmn

∂spq ∂
= = =
∂σmn ∂σmn ∂σmn
 
1
= δmp δnq − δpq δmn = ppqmn
3

Second derivative of J3D with respect to stress tensors σpq and σmn :
†
because δnm δij smn ≡ 0
‡
since 31 δij δkp δqk sjk ski = 31 δkp δqk sik ski = 13 δqp sik ski = 32 δpq J2D see also Chen and Han (1988a) page 222

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 Jeremić et al. A.3. DERIVATIVES OF STRESS INVARIANTS 1794 of 2120

∂ sqk skp − 32 δpq J2D ∂ (sqk skp ) ∂ 32 δpq J2D

∂tpq
= = − =
∂σmn ∂σmn ∂σmn ∂σmn
∂ (sqk skp ) 2 ∂J2D ∂sqk ∂skp 2
= − δpq = skp + sqk − δpq smn =
∂σmn 3 ∂σmn ∂σ ∂σmn 3
   mn 
1 1 2
= δqm δnk − δqk δnm skp + sqk δkm δnp − δkp δnm − δpq smn =
3 3 3
   
1 1 2
= δqm snp − sqp δnm + sqm δnp − sqp δnm − δpq smn =
3 3 3
2 2
= snp δqm + sqm δnp − sqp δnm − δpq smn = wpqmn
3 3

Multiplying stiffness tensor Eijkl with compliance tensor Dklpq :

Jeremić et al., DRAFT, work in progress!

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 Jeremić et al. A.3. DERIVATIVES OF STRESS INVARIANTS 1795 of 2120

Eijkl Dklpq =
  
E 1+ν 2ν −2ν
δij δkl + δik δjl + δil δjk δkl δpq + δkp δlq + δkq δlp =
2 (1 + ν) 2E 1 − 2ν 1+ν
1
(δik δjl δkp δlq + δil δjk δkp δlq + δik δjl δkq δlp + δil δjk δkq δlp ) +
4
ν ν
+ (δij δkl δkp δlq + δij δkl δkq δlp ) − (δik δjl δkl δpq + δil δjk δkl δpq ) −
2 (1 − 2ν) 2 (1 + ν)
ν2
− δij δkl δkl δpq =
(1 − 2ν) (1 + ν)
1
(δip δjq + δiq δjp ) +
2
ν ν
+ (δij δkq δkp + δij δkp δkq ) − (δil δjl δpq + δil δjl δpq ) −
2 (1 − 2ν) 2 (1 + ν)
3ν 2
− δij δpq =
(1 − 2ν) (1 + ν)
1
(δip δjq + δiq δjp ) +
2
ν ν
+ (δij δpq + δij δpq ) − (δij δpq + δij δpq ) −
2 (1 − 2ν) 2 (1 + ν)
3ν 2
− δij δpq =
(1 − 2ν) (1 + ν)
Jeremić et al., DRAFT, work in progress!

1
(δip δjq + δiq δjp ) +
2
ν ν
+ δij δpq − δij δpq −
(1 − 2ν) 2 (1 + ν)
3ν 2
− δij δpq =
(1 − 2ν) (1 + ν)
1
(δip δjq + δiq δjp ) +
2
ν (1 + ν) − ν (1 − 2ν) − 3ν 2
+ δij δpq =
(1 − 2ν) (1 + ν)
1 sym
(δip δjq + δiq δjp ) = Iijpq
2

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