Stress

Chapter 4

Stress can not be seen or measured directly, but it is fundamental to the

deformation of rock and necessarily occurs with strain, and vice versa.
This is a photoelastic model of the stress state in a sandstone.
Illustration of stress magnitudes in photoelastic plastic
• Photoelastic materials
– Have a stress-dependent refractive index (n)
• n = c / v,
– where c is the speed of light and v is the phase velocity of light in the medium
• Show optical properties of material under mechanical deformation that can
be illustrated by viewing the deformed material between crossed polarizers.
• The stress distribution generates a color fringe pattern, displaying contours
of equal stress, that are “frozen” in the plastic.
• Perfectly clear (colorless) plastics are strain-free.
 Moving from uniaxial strain
to understanding stress states

• Consider progressive
deposition of sediment where
basin margins are fixed
• Weight of sediment above
compacts sediment below
– Grain rearrangement,
crushing, pore collapse
• Leads to shortening in vertical
direction, no lateral strain
– Uniaxial shortening

#0 0 0 & #0 0 0 &
% (
E ij = 0 0 0 = 0 0 0 % (
% ( % (
From Chapter 3
%$0 0 −E 33 (' %$0 0 −ε 33 ('
Brittle Failure in Porous Rocks
• “Tight” rocks and “porous” rocks
– Tight rocks - mostly solid with
crack porosity in grains and
along grain boundaries
– “Porous, granular” rocks -
equant grains with significant
void space that supports no
loads if Pf = 0
• Stress concentrators
– Tight rock
• Tips of cracks
– Porous, granular material
• Grain contacts, generally small
areas of contact
• Stress concentrations develop at
contacts under hydrostatic loads
and under differential stress
loads

Gallagher et al., 1974

Uncompacted sand grains

Close-ups of fractures caused by

Compacted sand grains increased stress at contact points
 Close-ups of fractures caused by
Compacted sand grains increased stress at contact points
Chapter 4: Deformation continued

Today’s Overview:

• Definitions with illustrations

• Force, stress, stress on a plane, stress at a point
• Example application to ground motion studies, and 2019 Ridgecrest
Earthquake Sequence
• Stress – 2nd order tensor
• Visualized as normal and shear stress components on the six faces of
a cube in 3D
• Principal axis coordination system, non-principal axis coordinate
system
• Matrix characterization
Sign Conventions in Mechanics

• In descriptive structural geology, the conventions are

– For strain: extension, elongation, and stretch are positive
• Fossen Chapters 2, 3
– For stress: compression is positive
• Fossen Chapter 4, 5

• In mechanical engineering and geomechanics we relate

stress and strain, so we can not assign sign
conventions independently. We know that:
– A pull (tension) causes elongation
– A push (compression) causes shortening
• So we use the following sign conventions
– In Engineering: tension and extension are positive
• Fossen Chapter 6
– In Rock Mechanics: compression and shortening are positive
• Fossen Chapter 7
Force and Stress
• Force
– Vector - direction and magnitude, 3 vector components in 3D
– Types of forces
• Body forces and surface forces
– Transmission of forces through a material is described by surface
forces
• Newton’s 1st and 3rd Laws
• Stress describes the forces within and on a solid

Laws of classical mechanics (Newton’s Laws)

1st law - every body persists in a state of rest or constant motion unless compelled to change by
forces acting upon it.
For static equilibrium SF = 0 SM = 0
2nd law - force acting on a body produces acceleration, and resulting acceleration is the vector sum
of each independent acceleration
SF = 0
3rd law - For every action, there is an equal and opposite reaction (basis of free body diagrams)
sedimentary rock pinnacle

m1 g Surface and Body Forces –

F1 Free Body Diagrams
• Static Equilibrium
F1 – Sum of forces (vectors) equals
zero
– On balanced rock, downward
force due to gravity equal in
magnitude to upward surface
m2 g
force on bottom of rock
– Can split rock into parts along
F2 surfaces to make a free body
diagram of forces
F2 – Illustrates forces (from both
surface and body forces)
conveyed as surface forces

m3 g What is the magnitude of the upward surface

force on bottom of balanced rock?

What is the upward stress?

sedimentary rock pinnacle

m1 g Surface and Body Forces –

Free Body Diagrams
F1
• Body forces
F1 – Act throughout the volume of a body
• Gravity, electric fields and magnetic
fields

m2 g • Surface forces
– Act across an internal or external
F2 surface in a body (defined at any
scale)
F2 – Can be decomposed into two
perpendicular components
• Normal force perpendicular to a surface,
acting over the area of the surface
m3 g
• Shear force tangential to the surface,
acting over the area of the surface.

For static equilibrium SF = 0 SM = 0

Balance of Forces PBR
• Precariously balanced rocks
- PBRs are a subtype of fragile
geologic features (FGFs)
- Naturally occurring features
that could be easily toppled by
strong earthquake shaking
- Used to set upper limits on
ground motion near high slip-
rate faults, e.g., in vicinity of the
San Andreas fault
- Force/Area = Stress
- F/A = s

Phil Dombrowski
 Ridgecrest earthquake
sequence
July 4-5, 2019

Red marks the major fault zones. The red zone extending northeast from "LA" is the Garlock Fault. Extending
northward from the Garlock Fault are (east-to-west) the Death Valley fault zone (orange), Panamint Valley Fault
(red), Little Lake and Airport Lake fault zones (short bit of orange). The White Wolf Fault (yellow) parallels the
western end of the Garlock Fault, with the Kern Canyon Fault striking north.
When the balance of forces are perturbed PBR

Ridgecrest earthquake sequence

• July 4-5, 2019
• N-NW of Los Angeles, CA
• Mainly occurred within the Naval Air Weapons
Station China Lake
• The largest earthquake sequence in
Southern California in two decades
• 3 initial main shocks Mw 6.4, 5.4, 7.1
• Plus many aftershocks
• Effects were felt across much of Southern
California and beyond
• As far north as the San Francisco Bay Area
and Sacramento, and as far south as Baja
California, Mexico, as well as parts of Arizona
and Nevada.
• ~ 20 million people experienced the foreshock
• ~ 30 million people experienced the mainshock
• Trona Pinnacles National Monument
• Over 500 tufa spires within 5 km of the
mapped M7.1 fault trace
free body diagrams
When the balance of forces are perturbed
When the balance of forces are perturbed

Digital elevation model (DEM) identifying

rupture extent of historic 1857 (black) and 1812
(white) earthquakes on the southern San
Andreas fault (PF: Parkfield, BF: Bidart Fan,
FM: Frazier Mountain, LR: Littlerock, PC: Pallett
Creek, WW: Wrightwood). Journal of Geophysical Research: Solid Earth, Volume: 122, Issue: 3, Pages:
2193-2218, First published: 02 March 2017, DOI: (10.1002/2016JB013606)

1857
rupture
length

?
Definitions and Units of Stress
• Stress, s, is defined as force per unit area, s = F/A
– Physical quantity that expresses the internal forces that
neighboring particles of a continuous material exert on each
other
– Same units as pressure
• “Stress” used for solids with shear strength
* In this class we will define compression as positive, tension as
negative
• “Pressure” used for gas and fluids with low shear strength
– Units
• 1 MPa (MegaPascals) = 106 Pa (Pascal) = 10 bars = 145 psi
– psi (pounds per square inch)
– 1 Pa = 1 N/m2; very small magnitude
– 100 MPa = 1 kbar
– 1 Bar = 105 Pa ≈ 1 atmosphere pressure (metric unit of pressure)
Stress on a plane
• Stress acting on a plane (s = F/A)
- Distributed force acting over a surface
• Vector: magnitude and direction
• Direction of force can be resolved to normal and shear tractions
•Normal component and one resultant shear component
•Normal and two shear components (all components orthogonal)

Normal
stress
3D Physical quantities described by tensors: Distributed component
force acting
• 0th order tensor – scalar; magnitude (1 over a surface

component) = s3
• 1st order tensor – vector; magnitude and
direction (3 components)
t
• 2nd order tensor – tensor; magnitude in
multiple directions (9 components)
t2
t1 Resultant shear
component
Note: Textbook switches between x, y, z and
x1, x2, x3 coordinate system, and
directions of axes change (as in the slides)
Stress Tensor - Describes Stress at a “Point”
• sij defines the 3 components of
stress on each face of the cube
– One normal stress and two shear
stresses, all that are parallel to the
face 1
axes
– Each face is defined by the direction of
the outward normal (axis) to that face
– sij is a 2nd order tensor composed of
9 components; the two subscripts, ij,
represent the two directions below
• i denotes the plane/face on which the
face 3 stress is acting
face 2 • j denotes the direction in which the
stress is acting
• What stresses are acting on the other
• Think of an infinitesimal volume, a cube, three faces?
centered about a point in space – Think of Newton’s laws
• Imagine the stress vectors on the faces of the
cube
*In this class we will always define
– Positive faces of the cube shown here compression as positive stress
– Follow right-hand rule!
 X’1 axes

compressive
stress arrows

X’3

shear
stress
arrows

X’2 What directions are the stress arrows

pointing on the positive faces of the cube?
Stress in a body is defined by the stress tensor
• Describes stress at “point”
+
+

s11

+
+
s33
s22
Note that the positive
+ + ends of the coordinate
axes are shown

Because we take compression as positive:

• On the positive faces of the stress cube, all positive stresses point in the
negative coordinate directions,
and
• On the negative faces of the cube, all positive stresses point on the
positive coordinate directions.
Stress Tensor, cont.
• Stress tensor has 6 independent components (symmetric tensor)
• Magnitude of each component depends on coordinate system
chosen; stress is a physical quantity, however, so it does not
change with coordinate system.
• Geological convention
• Compression defined as positive stress
• Engineering convention
• Tension defined as positive stress

sij

symmetric

s12 = s21
s13 = s31
s23 = s32
In class exercise:
• Draw the stress cube and
coordinate axes
• Label the coordinate axes
• Label the 9 positive components
of the stress tensor using the
proper notation
• Write out the stress tensor in
matrix form
Coordinate System and Principal Stresses

• For any state of stress, there is one set of coordinate directions (three
orthogonal planes) where the shear stresses are zero, and the stress on these
planes is described by a non-zero normal stress.
• These normal stresses are called the principal stresses
• These planes are the principal planes
• Using the convention of compression positive, s1 is the maximum principal stress,
s3 is defined as the minimum principal stress.
• Principal compressive stresses
• s1 > s2 > s3 Analogy with principal stretches S1, S2, S3
 - If properly orient coordinate system, then can define stress at a point
with 3 unique stress components (the normal stress components)
> The 3 principal stresses that act on the principal planes that are
defined by the principal axes (directions)
> In this case there are no shear stresses
! 80 0 0 $
# &
σ ij = # 0 50 0 &
#" 0 0 20 &%

Rebecca Brannon,
https://csmbrannon.net/2018/05/17/visualization-of-rotation/ University of Utah
 Principal stresses in 2D Non-principal stresses in 2D

#σ 1 0 & #σ 11 ' σ 13 ' &

σ =% ( σ ij '= % (
$ 0 σ3' $σ 31 ' σ 33 ''

tation
ro
ccw

€ €

X2
X2

Principal stresses in 2D Non-principal stresses in 2D

Principal Stress Tensor and
Reference Stress States xx13 Principal
planes

s3
s1 0 0 x3
sij = s2 0 s2

s3 s1

What does this mean?

No shear
x2 stresses

Note these are

not true triaxial
stress states

]
Critical definitions
• Differential stress
• Mean stress
• Maximum shear stress
• Deviatoric stress
Differential Stress
• Remember the principal compressive stresses
• s1 > s2 > s3
• Differential stress

• (s1 – s3) = Ds (given as positive number)

Mean Stress
• Mean stress can affect the deformation process, e.g., fracture
• Mean stress for 3D

sm = (s11 + s22 + s33)/3 3D and 2D

values are not
sm = (s1 + s2 + s3)/3 the same

• Mean stress for 2D

sm = (s1 + s3)/2
Maximum Shear Stress
• tmax = ½(s1 - s3) = ½ Ds

Deviatoric Stress
• Deviatoric stress tensor (3D)
• Deviatoric stress is responsible for permanent deformation
Stress Review
• Stress on a plane
• Vector and vector components

• Stress at a point (3D)

• Tensor - a collection of vectors that define stress on multiple planes
• 9 components for 3D
– Symmetric tensor, so 6 components are unique
– If properly orient coordinate system, then can define stress at a point
with 3 unique stress components
• The 3 principal stresses that act on the 3 principal planes that are defined
by the 3 principal axes (directions)
• In this case there are no shear stresses, e.g.,

! 80 0 0 $
# &
σ ij = # 0 50 0 &
#" 0 0 20 &%
Assignment: Stress Tensor and Stress Invariants

For all answers, show all equations and calculations

1. For the following stress tensors, identify which stress term sij is the maximum and
minimum principal stress, and the mean stress. Do not forget to include units!
MPa
50 0 0
32 0
MPa
!- = !- =
!"# = !"# = 0 15 0
0 96 !. = !. =
0 0 28
!/ = !/ =

2. For the following stress tensor, determine the MPa

mean and deviatoric stress tensors.
MPa !/ =
51 13 2
!"# = 13 −4 0 = !/ + 2"#
2 0 28 MPa

2"# =
Stress Transformation and Mohr Circle
• Transformation equations
– Allow one to calculate the principal stress directions and principal stress
magnitudes from a non-principal (arbitrary) reference frame, and vice
versa
• We will do this in 2D only
– Work in x1, x3 coordinate system because usually concerned with the
maximum and minimum principal stresses, s1 and s3
– This means we will change orientations of x1 and x3, but not x2
• i.e., spin the cube around x2
• Stresses related to x2 coordinate direction don’t change, so can represent stress
tensor in 2D.

The “1” face

X2
What are the shear X2
and normal stresses
on this plane?
Principal stresses in 2D Non-principal stresses in 2D
2D Stress Transformation Equations
• Principal coordinate system (x1, x3)
– Principal stresses (s1, s3)
#σ 1 0 &
σ =% (
• Non-principal (arbitrary) coordinate
system (x1’, x3’) $ 0 σ3'
– Non-principal stresses (s33’, s31’) and
non-principal planes are primed
• Rotate axes CCW • Given a 2D state of stress,
represented by the principal
stresses, s1 and s3
€ • Find the shear (t = s31’) and
principal planes
normal stress (sn = s33’) on a
non-principal plane

principal
X2 stresses
non-
#σ 11 ' σ 13 ' &
principal σ ij '= % (
plane principal
coordinate $σ 31 ' σ 33 ''
system
2D Stress Transformation, cont.
• Transform stresses from principal coordinate system (x1, x3) to a
non-principal coordinate system (x1’, x3’)
– This transforms principal stresses (s1, s3) to non-principal stresses, e.g.
(sn, t) = (s33’, s31’)
• Positive axis directions and positive
rotation angle, θ, are shown
• θ drawn from a principal axis (x3) to the
non-principal plane
corresponding non-principal axis (x3’). For
this example, this is a counter-clockwise
rotation (CCW) so θ is positive
• Derive equations for stress on non-
principal plane in terms of s1 and s3, and
the rotation angle, q
• Do this as a free body diagram – sum
+θ
CCW
forces to zero
• Key concept is that stresses don’t
behave just like forces in a free body
diagram – have to consider the area
acted on by the stress

s = F/A & F = s A
2D Stress
Transformation, cont.
Acosq

SF3’ = 0 (sum of forces in x3’ direction = 0):

s33’A = s3 cos q (A cos q) θ
+ s1 sin q (A sin q)

SF1’ = 0 (sum of forces in x1’ direction = 0): Asinq

s31’A = s1 cos q (A sin q)

- s3 sin q (A cos q) θ

sin2 q = ½ (1 - cos 2q)

sn’ = s33’ = ½(s1 + s3) – ½(s1 - s3) cos 2q
cos2 q = ½ (1 + cos 2q)

sin q cos q = ½ sin 2q t’ = s31’ = ½(s1 – s3) sin 2q

trig identities
s11’ = ½(s1 + s3) + ½(s1 - s3) cos 2q
 So by substitution,
2D Stress Transformation s11’ = sm + tmax cos 2q
Depicted in Mohr Circle
s13’ = tmax sin 2q
• Mohr diagram is a graphical method
used to carry out 2D tensor (stress, s33’ = sm - tmax cos 2q
strain) transformations
and,
• Also useful for illustrating stress
states and failure criteria s1 = sm + tmax
s3 = sm – tmax
Recall:
τ
s11’ = ½(s1 + s3) + ½(s1 - s3) cos 2q

s13’ = ½(s1 - s3) sin 2q

tmax
(σ 11" , σ 13" )
t
€
we also see, s3
2θ =+60˚
sm = ½(s1 + s3) = ½(s11’ + s33’) sm s1 σn
€
tmax = ½(s1 - s3) = ½ Ds
€
Can’t plug these into calculator and solve problems for this class
€
2D Stress Transformation Transformation Equations
s11’ = sm + tmax cos 2q
& Mohr Circle
s13’ = tmax sin 2q
sm = ½(s1 + s3) = ½(s11’ + s33’) s33’ = sm - tmax cos 2q

tmax = ½ Ds = ½(s1 - s3) and,

s1 = sm + tmax
s3 = sm – tmax

(σ 11" , σ 13" )
tmax
€
+
s3 2θ =+60˚
X2 sm s1 σn
€
€

€
2D Stress Transformation & τ
Mohr Circle – Summary
• Mohr diagram for Stress (σ 11" , σ 13" )
– Stress on a plane plots as a point € tmax
– Stress at a point plots as a circle s3 2θ = 60˚
• Centered on horizontal axis at mean stress sm s1 σn
• Radius equals one-half differential stress €
(maximum shear stress) €
• Understand how to plot 2D and 3D stress
states in Mohr Space τ €
=

σ1

€
€

σ3
σ2

€
Example Stress States

*** P = Pc = confining pressure

Assignment: Stress in Physical and Mohr Space
Using proper sign conventions, represent the triaxial stress τ
tensor below in physical space (on the cube) and in Mohr space
using the sign convention shown on the right. Label the physical
space diagram with s1, s2 and s3, stress vector magnitude, and (σ 11" , σ 13" )
with stress vector arrow pointing in the proper direction to € tmax
2θ = 60˚
represent the sign of the stress. s3
−10 0 0 sm s1 σ n
€
!"# = 0 20 0 €
0 0 90
€

x1

x3

x2