Stress

Stress
Introduction
The stress tensor
Cauchy formula
Principal stresses
Mohr circle
Pore pressure
Mohr-Coulomb criterion
Power-law creep
The state of stress in the lithosphere
Recommended reading is:
Means, Stress and strain: Basic concepts of continuum mechanics for geologists
Turcotte and Schubert, Geodynamics
Pollard and Fletcher, Fundamentals of structural geology
Stress: Introduction
Geologists and geophysicists use stress rather than forces. Why?
Consider two blocks of different cross-sections. Intuitively, the
blocks whose cross-section is smaller is going to deform a lot
more than the other.
Fig. from Twiss and Moores
For this reason, it makes sense to work with stresses.

STRESS = FORCE/AREA
Pascal=Newton/m2
Stress: Introduction.
A stress of 1Pa is very small. For example, the load due to 1m

of water is about 104Pa
So it is better to use MPa
Other units are bars and atm:
1MPa = 106Pa = 10bars = 9.8692atm
The traction is a vector

quantity that acts at a point
on an imaginary or real
surface of arbitrary
orientation.
The traction at a point on a
surface is equal and opposite
to the traction that at that
same point for the same
surface with opposite
outward unit normal vector.
In general, a stress acting on a plane may be expressed as a sum
of shear and normal stresses.
Normal stress: The component of stress acting perpendicular to

the plane
Shear stress: The component of stress acting parallel to the
plane
Consider a small cubic element of rock extracted from the Earth.
The stress acting on this element may be visualized as follows:
The first index indicates the plane in question

The second index indicates the direction at which the stress
acts
The sign convention adopted by geophysicist differs from that
adopted by engineers:
In engineering, the stress is positive if it acts in the positive
direction on the positive plane. In other words, the stress is
positive in tension and negative in compression.
In geophysics, the stress is positive if it acts in the negative
direction on the positive plane. In other words, the stress is
positive in compression and negative in tension. [This is
because the stresses in the Earth are compressive (although
locally tensional stresses are possible too)].
Stress: The stress tensor
It is convenient to pack the stress components into a tensor

form. In 3D:
!
12 13
# 11
ij = # 21 22 23
##
" 31 32 33
In 2D (that is, when
13 = 31 = 23 = 32 = 33 = 0
!
12
ij = # 11
# 21 22
"
$
&
&
%
$
&
&
&&
%
):
Stress: The stress tensor
The stress tensor is symmetric:

Unless the torque is equal to
zero, the block will rotate. In the
example below, the condition of
zero torque may be written as:
( xy y z ) x / 2 + ( yx x z ) y / 2 = 0
And we get that: xy = yx . So the

number of independent
parameters is equal to 3.
Similarly, in 3D we get that: xy = yx , xz = zx and yz = zy , and the
number of independent stress components is equal to 6
Stress: Cauchy formula

Consider a small cubic element of rock extracted from the earth,
and imagine a plane boundary with an outward normal, n, and an
area, A cutting through this element - so it is reduced to a
triangular element with sides 1 and 2.

The force components acting on sides 1 and 2 are:
1.
f1x = xxAcos
f1y = xyAcos
f 2x = yxAsin
f 2y = yyAsin .
Note that:
2.
cos = n x
sin = n y.
Replacing 2 in 1 gives:
3.
f1x = xxAn x
f1y = xyAn x
f 2x = yxAn y
f 2y = yyAn y .

Force balance leads to:
f
f
= t xA xxAn x yxAn y = 0
= t yA xyAn x yyAn y = 0.
Rearranging the above:
t x = xx n x + yx n y
t y = xy n x + yy n y .
This is equivalent to:
t j = ij n i ,
where tj is the traction acting on ni.
Stress: Principal stresses

We have learned that the stress tensor is symmetric. A property of
symmetric matrices is that they may be diagonalized. The
transformation from the non-diagonal to the diagonal tensor
requires transformation of the coordinate system. The axes of the
new coordinate system are the principal axes, and the diagonal
elements of the tensor are referred to as the principal stresses.
#1 0 0 &
%
(
ij = % 0 2 0 (.
%
(
0
0
$
3'
Note that the shear stresses along the principal axes are equal to
zero.
Stress: Mohr circle

Given a set of principal stresses, one can compute the shear and
normal stresses on any plane.
Adding vectors in directions parallel and normal to the plane in

question:
F = F cos + F sin
N
FS = F1 sin F3 cos .
Stress: Mohr circle

This is equivalent to:
N = 1 cos2 + 3 sin 2
S = (1 3 )sin cos .
Substituting the following trigonometric identities:
sin 2 = (1 cos2 ) /2
sin cos = sin2 /2.
gives:
1 + 3 1 3
N =
+
cos2
2
2
1 3
S =
sin2 .
2
Stress: Mohr circle

This equation describes a circle on a S vs. N space, with a
center on the horizontal axis at (1 + 3)/2, and a radius that is
equal to ( 1 - 3)/2.
1 + 3 1 3
N =
+
cos2
2
2
1 3
S =
sin2 .
2
(1 + 3)/2 is the mean stress.
A matter of convention:
1 2 3
(1 - 3)/2 is the differential stress.

is the angle between 1 and the normal to the plane - positive
when measured counter-clockwise from 1 .
Stress: Mohr circle

Note that for a given stress tensor, the mean stress is independent
of the plane in question, that is:
mean
1 + 2 11 + 22
=
=
.
2
2
We can thus write the stress tensor as a sum of the mean stress
field and the deviatoric stress field:
#11 12 13 & # mean

&
0
0 & #11 mean
12
13
%
( %
( %
(
=
0
0
+
22
23 (
mean
21
22
mean
23
% 21
%
( %
(
%
( %
( %
(
0
mean ' $ 31
32
33 mean '
$ 31 32 33 ' $ 0
Stress: Mohr circle

Note that:
Shear stresses equal to zero at =0 and 90 degrees.
Maximum shear stress is equal to ( 1 - 3)/2 at =45 degrees.
The shear stresses along the principal directions are equal to
zero.
The principal axes are orthogonal.
Stress: Mohr circle

Mohr circle in 3D
! 90 0 0 $
#
&
ij = # 0 60 0 &
# 0 0 30 &
"
%
Stress: Mohr circle

Mohr circle in 3D
! 90 0 0 $
#
&
ij = # 0 60 0 &
# 0 0 30 &
"
%
Stress: Mohr circle

Mohr circle in 3D
! 90 0 0 $
#
&
ij = # 0 60 0 &
# 0 0 30 &
"
%
Stress: Mohr circle

Mohr circle in 3D
! 90 0 0 $
#
&
ij = # 0 60 0 &
# 0 0 30 &
"
%
Stress: Mohr circle

Mohr circle in 3D
A single Mohr circle describes the variation of shear and normal
stress along a principal plane (a plane that contains 2 principal
axes). The representation of a 3D state of stress is obtained by
the superposition of three Mohr circles, as follows:
The state of stress on planes that are not perpendicular to a

principal plane fall within the shaded area.
Stress: The state of stress
Uniaxial stress: Only one non-zero principal stress. For example:
Biaxial stress: One principal stress equals zero, the other two do
not. For example:
Stress: The state of stress
Triaxial stress: All principal stresses are non-zero. For example:
Axial stress: Two of the three principal stresses are equal. For
example:
Stress: Pore pressure and effective stress

Pressure is a special state of stress in which the shear stress is
equal to zero, i.e.: 1= 2= 3.
Question: How does this state of stress plot on a Mohr diagram?
It is useful to consider two pressures: Lithostatic and hydrostatic.
Lithostatic pressure:
The stress equals the weight of the overlying column of rock.
Plithostatic = g (z)dz.
z
In the absence of tectonic forces or fluids, the state of stress

would be lithostatic.

Hydrostatic pressure:
The stress equals the weight of a column of water.
Phydrostatic = g water z.
Pore fluid: Is the fluid within the

pores.
Pore pressure: Is the pressure within

the pore fluid.
Usually the fluid is water, but it can
also be oil or gas.
In a granular medium, the pore
pressure acts to reduce the contact
between the grains.
fluid presses out equally in all

directions
in a saturated sediment the
weight of all the water above
produces a pore pressure that
tends to push the grains apart

Effective stress:
effective stress = normal stress - pore pressure

The effective stress tensor is:
$11 P
12
13 ' $11 12 13 ' $ P
&
) &
) &
22 P
23 ) = & 21 22 23 ) & 0
& 21
&
) &
) &
% 31
( % 31
32
33
32
33 ( % 0
Question: Is pressure a vector or a scalar?
0
P
0
0'
)
0)
)
P(
The effect of pore pressure increase (for example, due to water

pumping) is to lower the effective stress. Graphically, this may be
illustrated as follows:
Stress: Frictional resistance
Question: Given that all objects shown below

are of equal mass and identical shape, in
which case the frictional force is greater?

Leonardo Da Vinci (1452-1519) showed that the friction force is
independent of the geometrical area of contact.
Movie from: http://movies.nano-world.org/movies/frictionmodule/en/

Amontons' first law: The frictional force is independent of the
geometrical contact area.
Amontons' second law: Friction, FS, is proportional to the normal
force, FN:
FS = FN
Movie from: http://movies.nano-world.org/movies/frictionmodule/en/

Byerlee law:
The coefficient of sliding friction for most rock types was
experimentally determined to be 0.6-0.8.
Friction measured at maximum stress
The best fit line in the diagram defines the failure envelope used in
Mohr Circle analysis. Mohr Circle equations and the Coulomb
equation are both used to determine the ideal angle between
maximum stress and the failure plane, which is referred to as .
s = S0 + n tan = S0 + n ,
For a coefficient of friction of 0.7, is equal to 30 degrees.
Question: for equals 30 degrees, compute .
Stress: Coulomb-Mohr criterion
Show animation from:

http://folk.uib.no/nglhe/e-modules/Chapter%207/07%20Brittle%20deformation.swf
Figure from Structural Geology by Fossen
Figure from Structural Geology by Fossen
Shear
stress
Coulomb
equation
Normal
stress
Question: Whats the effect of increasing the pore pressure?
Shear
stress
Coulomb
equation
Normal
stress
So it is the effective normal stress that we should plug into the

Coulomb-Mohr criterion: s = S0 + n tan = S0 + ( n P ) .
Shear
stress
Coulomb
equation
The set of two possible

solutions is referred to as
the conjugate set
Normal
stress

Shear
stress
Normal
stress
Imperial Valley (CA)
Figure from Scholz [1990]
Izu peninsula (Japan)
Figure from Scholz [1990]
Stress: Anderson model
Since the shear stress acting on the free surface is zero, the free
surface is a principal plane. Thus, either 1 or 2 or 3 is
perpendicular to the free surface.
Stress: Anderson model
Vertical 1 gives rise to normal faults

dipping at about 60 degrees.
Vertical 3 gives rise to thrust faults

dipping at about 30 degrees.
Vertical 2 gives rise to strike-slip
faults dipping at about 90 degrees.
Stress: Fault mechanics

We assume x and y are principal
directions of the stress tensor, and yy
is equal to the lithostatic pressure.
Then:
yy = gh
and:
xx = gh +
for a thrust:
> 0
for a normal fault:
< 0

the effective normal stress is:
1.
n = gh P +
(1+ cos2 )
2
and the shear stress is:

2.
=
sin 2
2
plugging 1 and 2 into the Coulomb

criterion we get:
2 ( gh P )
=
.
3.
sin 2 1+ cos2

The crust contains many
preexisting fractures. These
zones of weakness can be
reactivated at an angle that
minimizes the tectonic stress.
The angle that gives the
minimum value of stress is
found via solution of:
d
= 0,
d
which yields:
4.
1
tan 2 = ,
1
and therefore: tan 2 = .
Replacing 4 in 3 gives:
2 ( gy P )
1
2 2
1+
( )
normal
thrust
If the rock is already fractured, faults with certain orientation may

be reactivated (Sibson, 1985).
unfractured
fractured
Brittle deformation: Consequences of pre-fractured rocks
What are the conditions for fault reactivation (Sibson, 1985)?

*
= ,
which may be rewritten as:
*
*
*
*
*
*
sin2
( 1 3)
( 1 3 ) ( 1 3 ) cos2 .
This can be reduced to:
#1* &
R =%
* ( = (1+ cot )(1 tan ).
$ 3 '
A plot of the stress ratio for fault reactivation versus the

reactivation angle for =0.75 [Sibson, 1985]:
The optimum angle for
reactivation as a shear fracture
is * with R=4.
R increases to infinity as
approaches 0 and 2*.
R<0 for >2*, which requires
3<0.
A further limitation on the

allowable stress states for fault
reactivation is that they must
not induce failure of the
surrounding rock.
The stress circle is constrained
by the the failure criteria of the
intact rock.
The role of preexisting foliation for

constant 3
Figure from Fossen

Under constant stress (strain) field, faults rotate.
The range of angles beyond which fault reactivation is impossible is referred to as the
lock-up angles.
Once faults orientation reaches the lock-up angle, they become inactive and a new set
forms.
Figure from Ron et al. [2000]
(the idea that strain accommodation in the brittle crust results in

fault rotation is attributed to Freund [1974].)
Note that exactly the same fault configuration may result from rotation of the stress
field.
Figure from Ron et al. [2000]

Question: suggest ways to distinguish fault rotation from stress rotation?
Brittle deformation: Stress trajectories and stress concentration
Stress trajectory: A line

indicating the continuous
change in the orientation of a
principal stress throughout a
body. Although trajectories
may curve, their intersections
with other principal stresses
remain perpendicular.
Superposition of a tectonic
horizontal compressive
stress on the standard state
of stress
Adding a horizontal shear

stress that increases with
depth and has a constant
magnitude along the base of
the block
Example for stress concentrators
E1
E2
cavity
inclusion
discontinuities
Brittle deformation: Theoretical vs. actual strength
The modifying effect of a cavity on the distribution of stress in solid

(Iglis, 1913):
c = a 1+ 2c b .
Elliptical cavity:
Stress concentration for c=3b:
c = a 1+ 2c b .
Schematic Illustration of local stress
concentrations in a material with a
circular and an elliptical hole.
A material withelliptical hole will be
easier to pull apart.
Figure from Fossen
Stress concentration for c=3b:
c = a 1+ 2c b .
Thus, the local stress about a sharp notch or corner could rise to a
level several times that of the applied stress, and even
submicroscopic flaws my act as stress concentrators that weaken
the solid.
The figures above show the change in the fault-parallel shear

stress and fault-perpendicular normal stress, due to right-lateral
slip along a dislocation embedded in an infinite elastic medium
Isochromatics - contours of equal shear stress
Brittle deformation: Stress determination

1. Faulting and focal mechanism
World stress map

2. Igneous dikes
According to Andersons
hypothesis, dikes intrude
perpendicular to the least
compressive stress
Dikes that intrude a region
where the stress field is
homogeneous are
expected to follow straight
path, and are expected to
follow a curved path if the
stress is heterogeneous.

2. Igneous dikes
Muller and
Pollard, 1977
Map of Spanish Peaks region of southeastern Colorado with

traces of dikes and trajectories of maximum compressive principal
stress

3. Hydraulic fracturing
(The Instantaneous Shutin Pressure (ISIP) is just

sufficient to hold the
fracture open)
Increase the fluid pressure until the wellbore fractures

Record the fluid pressure and fracture orientation
The stress vs. time record is used for the inference of the least
horizontal stress
The magnitude of the least horizontal stress is equal to the ISIP

3. Hydraulic fracturing
Measurements of the minimum
horizontal stress as a function of
depth in the 3.5 km deep Cajon Pass
borehole near the San Andreas fault
lithostatic
A series of ISIP measurements were

carried out using both hydro-fractures
and pre-existing fractures
60% lithostatic
(Zoback and Healy, 1992)

4. Wellbore breakouts
Although the borehole drill cut is cylindrical, some wellbores

have systematic increase in radii along two diametrically
opposed zones
This fracturing is caused by the stress concentration induced by
the borehole
The interpretation is that the breakouts align with the direction
of the least horizontal stress

4. Wellbore breakouts
Map of Western Canada with directions of least

horizontal compressive stress inferred from
wellbore breakouts

5. Overcoring
Drill a hole in an intact rock
Install strain gauges at 3
perpendicular directions
Overcore the first hole
The strains on the strain gauges
are used to determine the original
state of stress.
This technique rests on the assumption that the overcoring
completely relieves the stress in the isolated block
Brittle deformation: Stress maps
Fig. from Heidback et al., 2007
Fig. from Heidback et al., 2007
Breakout: inward-pointing arrows

Hydraulic fracturing: stars
Focal mechanism: circles
Fig. from Townend and Zoback, 2004
Breakout: inwardpointing arrows

Hydraulic fracturing:
stars
Focal mechanism:
circles
Fig. from Townend and Zoback, 2004
Stress orientations are consistent on regional scale

Boundaries between provinces of uniform stress direction
generally coincide with major structural boundaries
In many regions, the orientation of the maximum compressive
horizontal stress generally coincides with directions of plate
motion
In central California, the axis of maximum horizontal
compressive stress lies at a high angle to the SAF, implying low
friction (this is highly debated matter)
Brittle deformation: Does Anderson theory hold for all faults?

Geological map of Tinos Island (Cyclades, Greece)
Question: What is the
nature of the contact?
Greenschist
Eclogite-Blueschist
Figure from Vapnik and

Avigad [2004]
These low angle

normal faults are
widespread all
over the Cycladic
massif (Greece).
Such tectonic
contacts are
commonly
referred to as
detachments.
Figure from Zeffren et al. [2005]
Very low angle reverse faults are

referred to as low-angle
overthrusts or thrust sheets.
Allochthon: A package of rocks which has been moved a long
way from their original place of deposition.
Autochthon: Rocks that have moved little from their place of
formation.
Klippe: An isolated remnant of allochthon resting on a lower
plate.
Tectonic window: A ''hole'' through the thrust sheet that exposes
isolated area of rocks that lie beneath the thrust.

Chief Mountain (Montana) is an example of a klippe. It consists of
a Precambrian block which rests directly above younger
Cretaceous gray shales. The surrounding portion of the thrust
sheet has be removed by erosion leaving behind this isolated
block of Proterozoic rock.
Find the tectonic window
Brittle deformation: Mechanics of low angle faults
The problem is: how to force a very thin sheet to slide as a

(almost) rigid body, without causing internal faulting.
Brittle deformation: Coulomb failure criterion in terms of principal

stresses
Recall that the Coulomb failure criterion in terms of normal and
shear stress is:
s = c + n ,
where:
is the coefficient of friction (equals tan)
c is cohesion
The Coulomb failure criterion in terms of the principal stresses is:
1 = C0 + K 3 ,
where:
1+ sin
cos
K=
and C0 = 2c
.
1 sin
1- sin
The problem: is how to force a very thin sheet to slide as a

(almost) rigid body without causing internal faulting.
Force balance along the x direction requires that:

z
x
xx
dz =
zx
dx .
Lets first evaluate the right-hand side of the force balance

equation. Since zx is the frictional resistance to sliding, we write:
zx = n = zz ,
where is the coefficient of friction. The normal stress is just the
lithospheric stress:
zz = gz ,
with being the rock density and g being the acceleration of

gravity. So:
x
zx dx =
0
gzdx = gzx .
0
Next we evaluate the left-hand side of the force balance equation.

We are seeking an expression for the largest xx that the block
can support without breaking. So we'll use the expression for
Coulomb criterion. We identify:
We thus get:
z
xx = 1 and zz = 3 .
z
Kgz
xx dz = (C0 + Kgz)dz = C0z + 2
0
0
Equation the right and left hand sides gives:

2
Kgz
C 0z +
= gzx .
2
Thus, given a thrust sheet of thickness z, the largest x is given by:
C0 Kz
x=
+
.
g 2
We plug in realistic numbers: = 300 (i.e., = 0.6), S0 = 20 MPa,
and = 2300 Kg/m3.
values we get: x = 5.4 km + 2.6 z.

With these
Often, however, it is observed that x >> 5.4 km + 2.6 z
There are several ways out of this paradox:

Rheology is incorrect.
Elevated pore pressure.
My favorite solution for this ''paradox'' is that thrust sheets do not
move as rigid bodies, instead they slide like a wrinkle of a rug!
The wrinkle model:

The wrinkle model:
Figure taken from: http://ic.ucsc.edu/~casey/eart150/Lectures/DefMech/14deformationmechanisms.htm

Insight from seismology, the 1992 Landers example and the
carpet wrinkle analogy:
Wald and Heaton, 1994

Stress

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Stress

Fig. from Twiss and Moores

For this reason, it makes sense to work with stresses.

A stress of 1Pa is very small. For example, the load due to 1m

The traction is a vector

Normal stress: The component of stress acting perpendicular to

The first index indicates the plane in question

Stress: The stress tensor

It is convenient to pack the stress components into a tensor

In 2D (that is, when

Stress: The stress tensor

The stress tensor is symmetric:

And we get that: xy = yx . So the

Stress: Cauchy formula

Stress: Cauchy formula

Stress: Cauchy formula

Rearranging the above:

where tj is the traction acting on ni.

Stress: Principal stresses

Stress: Mohr circle

Adding vectors in directions parallel and normal to the plane in

Stress: Mohr circle

Stress: Mohr circle

(1 - 3)/2 is the differential stress.

Stress: Mohr circle

#11 12 13 & # mean

Stress: Mohr circle

Stress: Mohr circle

Stress: Mohr circle

Stress: Mohr circle

Stress: Mohr circle

Stress: Mohr circle

The state of stress on planes that are not perpendicular to a

Stress: The state of stress

Uniaxial stress: Only one non-zero principal stress. For example:

Stress: The state of stress

Triaxial stress: All principal stresses are non-zero. For example:

Stress: Pore pressure and effective stress

In the absence of tectonic forces or fluids, the state of stress

Stress: Pore pressure and effective stress

Pore fluid: Is the fluid within the

Pore pressure: Is the pressure within

fluid presses out equally in all

Stress: Pore pressure and effective stress

effective stress = normal stress - pore pressure

Stress: Pore pressure and effective stress

The effect of pore pressure increase (for example, due to water

Stress: Frictional resistance

Question: Given that all objects shown below

Stress: Frictional resistance

Movie from: http://movies.nano-world.org/movies/frictionmodule/en/

Stress: Frictional resistance

Movie from: http://movies.nano-world.org/movies/frictionmodule/en/

Stress: Frictional resistance

Stress: Frictional resistance

Question: for equals 30 degrees, compute .

Stress: Coulomb-Mohr criterion

Show animation from:

Figure from Structural Geology by Fossen

Stress: Coulomb-Mohr criterion

Figure from Structural Geology by Fossen

Stress: Coulomb-Mohr criterion

Question: Whats the effect of increasing the pore pressure?

Stress: Coulomb-Mohr criterion