CHAPTER II

STRESS AND STRAIN ANALYSIS IN ROCK

MECHANICS
 2. STRESS AND STRAIN ANALYSIS IN ROCK MECHANICS

2.1 Definitions and State of Stress at a Point

Body Forces : acting over the entire volume of the body (gravity, inertia, magnetism)
Surface Force : direct contact of the bodies

F1 Surface forces

Body in equilibrium

F4

Make an imaginary cut (plane perpendicular to OP direction)

Imaginary cut plane

perpendicular to OP direction


Here, F is the internal surface force vector maintaining the equilibrium and ∆A is the
elementary area on which this force acts.
Stress vector on a plane whose normal is in OP direction (stress units):


 F
pOP = lim
A → 0 A

stress vector on a plane stresses which are the components

with a normal in x direction of the stress vector on this plane

Plane perpendicular
To x direction

σx (or σxx), τxy and τxz are the components of the stress vector pOx in x, y, and z
directions

Consider the elementary area ∆A which is perpendicular to Ox. Here, σx is the normal
stress since it acts in the direction of normal Ox.

τxy and τxz are in the plane of the area ∆A (i.e. they are the parallel to the plane), and
they are called shear stresses, since they represent forces tending to slide or shear the
material in the plane of ∆A.
Similarly → poy has components σy (or σyy), τyx, and τyz

poz has components σz (or σzz), τzx, and τzy

τxy = τyx , τxz = τzx , τyz = τzy

first subscript is the direction of normal

to the plane; second subscript is the direction
of the shear stress in that plane

Stress is a second order tensor and state of stress at a point means a total of 9 stress
components shown below:

 xx  xy  xz   x  xy  xz 
   
 yx  yy  yz  Or  yx  y  yz 
 zx  zy  zz   zx  zy  z 
   

3 * 3 Matrix representation of stress components

However, we have only 6 independent stress components since

τxy = τyx, τxz = τzx, τyz = τzy
2.2 Stresses on the Faces of a Cubic Element and Positive Sign Convention

A Positive Surface : It is the surface whose normal is in the (+) coordinate axes.

Rock Mechanics Sign Convention : Normal stresses σx, σy, σz, are positive when
compressive, and shear stresses τxy, τyz, τxz are positive on a positive surface when they
act in the direction of negative coordinate axes.

2.3 Stress Transformation

Purpose: When a stress state is known for planes whose normals are in x, y, z directions
find the stresses for planes whose normals in x′, y′, z′ directions. x′, y′, z′ are new
coordinate axes obtained by rotating the x, y, z axes. Regularly, in a three dimensional
problem we need six transformation relations, since in the new rotated system we again
have six independent stress components (σx′, σy′, σz′, τx′y′, τx′z′ and τy′z′). These relations
are given in terms of direction cosines and six independent stress components in the
original x-y-z system. However, for two dimensional problems only three components
(σx′, σy′, and τx′y′ ) are found by three expressions in terms of direction cosines and
stress components σx, σy, and τxy.
Figures below show the way we mark positive values of τx′y′ in rock mechanics with
respect to the right handed rotated coordinate system x′y′.

Examples of Rotation of Axes and Positive Shear Directions whose normals ( x′ ) are
inclined at θ degrees from x.

θ is the angle measured counterclockwise from the x axes. σx′ is the normal stress on the
new surface whose normal is in x′ direction. Similarly τx′y′ is the shear stress on this
surface, and it is positive when directed as shown in the figures above.
Derivation of Two Dimensional Stress Transformation Expressions

Consider the square element OABC of very small length a. Square is in the xy-plane. In
this two dimensional analysis there is no effect of z direction perpendicular to the plane
of the paper. Then, we only deal with σx, σy, τxy, τyx stress components.

Σ Forces in x direction = (σx - σx + τyx - τxy ) * a = 0

Σ Forces in y direction = (σy – σy + τxy – τyx ) * a = 0

Stress * area = 0

Σ Moment around O = a*a (τyx - τxy ) = a2 (τyx - τxy )

For the equilibrium of the square :

a2 (τyx - τxy ) = 0
τyx = τxy
Otherwise, the square starts rotating.
Stress Transformation in Two Dimensions → Consider a plane passing through A and
B in the figure. Our purpose is to find σx′ = σ (normal stress) and τ = τx′y′ (shear stress)
on the plane whose normal makes an angle θ with x axes. px, py are components of the
stress vector pOP = pOx′ . Say AB = a then the side lengths are : OB = a cosθ,
OA = a sinθ. Resolving forces parallel to Ox direction:
 𝑃𝑥 • 𝐴𝐵 = 𝜎𝑥 • 𝑂𝐵 + 𝜏𝑦𝑥 ⋅• 𝑂𝐴 for  Fx = 0 (1)

Px • a =  x • a cos +  yx • a sin (2)

px =  x cos +  yx sin (3)

Similarly,
p y =  y sin  +  xy cos for  Fy = 0 (4)

To find σ and τ project these components of the stress vector normal to the plane and
parallel to the plane respectively.

 x =  = px cos + p y sin  (5)

𝜏𝑥 ′ 𝑦 ′ = 𝜏 = 𝑝𝑦 𝑐𝑜𝑠 𝜃 ± 𝑝𝑥 𝑠𝑖𝑛 𝜃 (6)

 =  x cos2  +  y sin 2  + 2 xy sin  cos * (7)

1
 = ( y −  x ) sin 2 +  xy cos 2 ** (8)
2

The Same Analysis in Terms of Vectors : We resolve stress vector pox′ in the direction
of unit normal vector

  
n x = cos i + sin  j (9)

And the direction perpendicular to this with the unit normal

   
ny = − sin  i + cos j (obtained by replacing  →  + ) (10)
2
Obtained by replacing θ→ θ + π/2 where cos (θ + π/2) = - sinθ and sin (θ + π/2) = cos θ
are used.

To resolve pOx′ vector in nx′ direction take a dot product which gives σx′
 
( pOx • nx ) = px cos + py sin (11)

To get the shear component resolve pox′ parallel to the plane i.e. in ny′ direction :

( pOx • ny ) = − px sin + py cos → gives  xy (12)

which gives us τx′y′ .

To find poy′ stress vector on the plane whose normal is in y′ direction replace θ→θ + π/2
in the expression for pox′. Then the following dot product


( pOy • ny ) = (− x sin +  yx cos , y cos −  xy sin ) • (− sin , cos ) (13)

gives σy′. Another way of finding σy′ is to substitute θ + π/2 instead of θ in σx′
expression marked as * above. All the stress components together after the
transformation are :

 x =  x cos2  +  y sin 2  + 2 xy sin cos (14)

 y =  x sin 2  +  y cos2  − 2 xy sin cos (15)

 1
 xy = ( y −  x ) sin 2 +  xy cos 2 (16)
2
New square element in the x′y′ system where the given state of stress is now
represented by referring to the new coordinate system i.e. x′y′ is shown in the figure
below.
Transformation Expressions In Matrix Form :

 
x   cos  sin 2  sin 2   x 
2

y  =  sin 2  cos2  − sin 2    y 

   1 1 
z  − sin 2 sin 2 cos 2   z 
 2 2 

stresses with respect to transformation stresses in the

the new system matrix old system

Summation σx + σy = σx′ + σy′ or σx + σy + σz in three dimensions is invariant or

unchanged by rotation of axes.

2.4 Principal Stresses and Directions

To find orientation of planes on which shear stresses are zero

2 xy
 xy = 0 → if tan 2 =
 x − y

Which has multiple roots (basically four roots corresponding to the four faces or
principal planes of the elementary square making 90º angle with each other), since
arctangent is multivalued. However, following two roots having a 90º difference may
be enough to find the directions of σ1 and σ2, and the other two directions are
supposed to be 180º apart from these.
  1 2 xy
1 = + tan −1
2 2  x − y

1 2 xy
 2 = tan −1
2  x − y
Here, one gives the direction of maximum principal stress and the other one gives the
direction of minimum principal stress. To find which is maximum and which is
minimum, substitute these two angles θ1 and θ2 in (σx′) * expression. Algebraically
greater stress will be σ1, and smaller will be σ2 in two dimensions. Remember that σ1 and
σ2 always makes a 90º angle.

Formulas For Principle Stress Magnitudes

1/ 2
1  1 
 1 = ( x +  y ) +  xy2 + ( x −  y )2 
2  4 
1/ 2

( 2 or  3 )  2 = 1 ( x +  y ) −  xy2 + 1 ( x −  y )2 
2  4 

Usual question here is : σx, σy, and τxy that is a stress state is given; find the principal
σ1, σ2, and their directions. Use :

e. g. Solve the following to find principal stresses and directions

1/ 2
1  2 1 
 1, 2 = ( x +  y )   xy + ( x −  y ) 2 
2  4 
σy = 5
y (or  ) 1, 3
τxy = -5

σx = 10  1 2 xy
1 = + tan −1
x 2 2  x − y
 1 2 yx
 2 = tan −1
2  x − y

When x and y are chosen to be coincident with principal axes the τ = 0 which means
there is no shear stress on the element faces to the definition of principal axes.
Since τxy = 0 transformation formulas by substituting σx = σ1 and σy = σ2 will be

 x =  =  1 cos2  +  2 sin 2 

or by using trigonometric relations

1 1
 = ( 1 +  2 ) + ( 1 −  2 ) cos 2
2 2

1
 xy =  = − ( 1 −  2 ) sin 2
2

Note : Here σ2 can be replaced by σ3 if we are interested in σ1 and σ3 relations,

working in the plane of σ1 - σ3 .