Lecture 1 − State of stress

External force: Body force and surface force

Body force: gravity, inertial force, electromagnetic force

Surface force: contact force, liquid pressure

F x , F y , F z --- body force

f x , f y , f z --- surface force

Internal forces: we use the term “stress” to represent the intensity of internal forces.

We use σ for denoting normal stress and τ for shear stress.

In mechanics of materials, we use Mohr’s circle to study the 2D state of stress:

In mechanics of materials or structural mechanics:

the tensile normal stress is positive, and the
clockwise shear stress is positive on Mohr’s
circle

Take the x-plane of the cube:

1
With respect to the center of the cube, the moment is

1 1
2𝜏𝜏𝑦𝑦𝑦𝑦 𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 ∙ 𝑑𝑑𝑑𝑑 = 2𝜏𝜏𝑧𝑧𝑧𝑧 𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 ∙ 𝑑𝑑𝑑𝑑
2 2
𝜏𝜏𝑦𝑦𝑧𝑧 𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 = 𝜏𝜏𝑧𝑧𝑧𝑧 𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑

𝜏𝜏𝑦𝑦𝑦𝑦 = 𝜏𝜏𝑧𝑧𝑧𝑧

Follow the same method, it is the same for 𝜏𝜏𝑥𝑥𝑥𝑥 = 𝜏𝜏𝑦𝑦𝑦𝑦 , 𝜏𝜏𝑥𝑥𝑥𝑥 = 𝜏𝜏𝑧𝑧𝑧𝑧 .

Where are the normal stresses in the derivation?

Example for comparison Mohr’s circle in structural mechanics and soil mechanics:

Draw the corresponding Mohr’s circle in structural mechanics

2
 1
𝑅𝑅 = �(−20 + 10)2 + (4 + 4)2 = 4√2
2
According to the Mohr’s circle we can see that we can get the principle planes by rotate counter-
clockwise 45⁰/2.

In soil mechanics, the compressive normal stress is positive and counter-clockwise shear stress
is positive on Mohr’s circle:

Corresponding Mohr’s circle:

For given x, y, z coordinates (Cartesian coordinates), the 3D state of stress at one point can be
given by Cauchy stress tensor (2nd order tensor).
𝜎𝜎𝑥𝑥 𝜏𝜏𝑥𝑥𝑥𝑥 𝜏𝜏𝑥𝑥𝑥𝑥 𝜎𝜎11 𝜎𝜎12 𝜎𝜎13
𝜏𝜏
σ = � 𝑦𝑦𝑦𝑦 𝜎𝜎𝑦𝑦 𝜏𝜏𝑦𝑦𝑦𝑦 � or σ = �𝜎𝜎21 𝜎𝜎22 𝜎𝜎23 �
𝜏𝜏𝑧𝑧𝑧𝑧 𝜏𝜏𝑧𝑧𝑧𝑧 𝜎𝜎𝑧𝑧 𝜎𝜎31 𝜎𝜎32 𝜎𝜎33

3
2nd order tensor has 3×3 = 9 elements, which is actual 3×3 matrix.

According to previous 2D shear stress analysis, there are actually only 6 quantities in Cauchy
stress tensor, which are 𝜎𝜎𝑥𝑥 , 𝜎𝜎𝑦𝑦 , 𝜎𝜎𝑧𝑧 , 𝜏𝜏𝑥𝑥𝑥𝑥 = 𝜏𝜏𝑦𝑦𝑦𝑦 , 𝜏𝜏𝑥𝑥𝑥𝑥 = 𝜏𝜏𝑧𝑧𝑧𝑧 , 𝜏𝜏𝑦𝑦𝑦𝑦 = 𝜏𝜏𝑧𝑧𝑧𝑧 .

Consider an infinitesimal cube at the point, the components of stress in three dimensions:

The first subscript denotes which plane the stress is at, and the second subscript denotes the
stress direction.

The Cauchy stress tensor σ actually is a symmetric matrix which is σ = σT.

In the stress analysis, you may consider a new coordinate system (x', y', z') instead of (x, y, z).

Assume the relationship between the new and old coordinate systems are

x y z
x' l1 m1 n1
y' l2 m2 n2
z' l3 m3 n3

l 1 is the cosine of the angle between x' and x axis;

m 1 is the cosine of the angle between x' and y axis;

n 1 is the cosine of the angle between x' and z axis.

The same for l 2 , m 2 , n 2 , l 3 , m 3 , n 3 .

4
x' axis in the (x, y, z) coordinate system can be given by unit vector e 1 '=(l 1 , m 1 , n 1 )T

y' axis in the (x, y, z) coordinate system can be given by unit vector e 2 '=(l 2 , m 2 , n 2 )T

z' axis in the (x, y, z) coordinate system can be given by unit vector e 3 '=(l 3 , m 3 , n 3 )T

e 1 ', e 2 ', e 3 ' are orthogonal vectors. The inner products between each other are zero.

In the new coordinate system, the Cauchy stress tensor can be calculated as:
𝜎𝜎𝑥𝑥 ′ 𝜏𝜏𝑥𝑥 ′ 𝑦𝑦 ′ 𝜏𝜏𝑥𝑥 ′ 𝑧𝑧 ′ 𝑙𝑙1 𝑚𝑚1 𝑛𝑛1 𝜎𝜎𝑥𝑥 𝜏𝜏𝑥𝑥𝑥𝑥 𝜏𝜏𝑥𝑥𝑥𝑥 𝑙𝑙1 𝑙𝑙2 𝑙𝑙3
𝜏𝜏
� 𝑦𝑦 ′ 𝑥𝑥 ′ 𝜎𝜎𝑦𝑦 ′ 𝜏𝜏𝑦𝑦 ′ 𝑧𝑧 ′ � = �𝑙𝑙2 𝑚𝑚2 𝑛𝑛2 � �𝜏𝜏𝑦𝑦𝑦𝑦 𝜎𝜎𝑦𝑦 𝜏𝜏𝑦𝑦𝑦𝑦 � �𝑚𝑚1 𝑚𝑚2 𝑚𝑚3 �
𝜏𝜏𝑧𝑧 ′ 𝑥𝑥 ′ 𝜏𝜏𝑧𝑧 ′ 𝑦𝑦 ′ 𝜎𝜎𝑧𝑧 ′ 𝑙𝑙3 𝑚𝑚3 𝑛𝑛3 𝜏𝜏𝑧𝑧𝑧𝑧 𝜏𝜏𝑧𝑧𝑧𝑧 𝜎𝜎𝑧𝑧 𝑛𝑛1 𝑛𝑛2 𝑛𝑛3

Or

𝝈𝝈′ = (𝒆𝒆′𝟏𝟏 , 𝒆𝒆′𝟐𝟐 , 𝒆𝒆′𝟑𝟑 )𝑇𝑇 𝝈𝝈(𝒆𝒆′𝟏𝟏 , 𝒆𝒆′𝟐𝟐 , 𝒆𝒆′𝟑𝟑 )

Define:

𝑙𝑙1 𝑙𝑙2 𝑙𝑙3

𝑚𝑚
𝑷𝑷 = � 1 𝑚𝑚2 𝑚𝑚3 � = (𝒆𝒆′𝟏𝟏 , 𝒆𝒆′𝟐𝟐 , 𝒆𝒆′𝟑𝟑 ), thus, PT=P-1 (Transpose of P is equal to inverse of P)
𝑛𝑛1 𝑛𝑛2 𝑛𝑛3

For Cauchy stress tensor, there is always a coordinate system that you can get:
𝜎𝜎𝑥𝑥 ′ 𝜏𝜏𝑥𝑥 ′ 𝑦𝑦 ′ 𝜏𝜏𝑥𝑥 ′ 𝑧𝑧 ′ 𝜎𝜎1 0 0
�𝜏𝜏𝑦𝑦 ′ 𝑥𝑥 ′ 𝜎𝜎𝑦𝑦 ′ 𝜏𝜏𝑦𝑦 ′ 𝑧𝑧 ′ � = � 0 𝜎𝜎2 0 �, where 𝜎𝜎1 ≥ 𝜎𝜎2 ≥ 𝜎𝜎3
𝜏𝜏𝑧𝑧 ′ 𝑥𝑥 ′ 𝜏𝜏𝑧𝑧 ′ 𝑦𝑦 ′ 𝜎𝜎𝑧𝑧 ′ 0 0 𝜎𝜎3

σ 1 , σ 2 , and σ 3 are called principal stresses.

How to find this coordinate system and how to calculate σ 1 , σ 2 , and σ 3 ?

𝜎𝜎1 , 𝜎𝜎2 , and 𝜎𝜎3 are the eigenvalues of Cauchy stress tensor, and can be obtained by solving

𝜎𝜎𝑥𝑥 − 𝜆𝜆 𝜏𝜏𝑦𝑦𝑦𝑦 𝜏𝜏𝑧𝑧𝑧𝑧

det(σ-λI) = det� 𝜏𝜏𝑥𝑥𝑥𝑥 𝜎𝜎𝑦𝑦 − 𝜆𝜆 𝜏𝜏𝑧𝑧𝑧𝑧 � = 0
𝜏𝜏𝑥𝑥𝑥𝑥 𝜏𝜏𝑦𝑦𝑦𝑦 𝜎𝜎𝑧𝑧 − 𝜆𝜆

=> Polynomial equations λ3 – I 1 λ2 + I 2 λ – I 3 = 0 to get the roots.

where, I 1 = 𝜎𝜎𝑥𝑥 + 𝜎𝜎𝑦𝑦 + 𝜎𝜎𝑧𝑧

5
 2 2 2
I2 = 𝜎𝜎𝑦𝑦 𝜎𝜎𝑧𝑧 + 𝜎𝜎𝑥𝑥 𝜎𝜎𝑧𝑧 + 𝜎𝜎𝑥𝑥 𝜎𝜎𝑦𝑦 − 𝜏𝜏𝑥𝑥𝑥𝑥 − 𝜏𝜏𝑥𝑥𝑥𝑥 − 𝜏𝜏𝑦𝑦𝑦𝑦
2 2 2
I3 = 𝜎𝜎𝑥𝑥 𝜎𝜎𝑦𝑦 𝜎𝜎𝑧𝑧 + 2𝜏𝜏𝑥𝑥𝑥𝑥 𝜏𝜏𝑦𝑦𝑦𝑦 𝜏𝜏𝑥𝑥𝑥𝑥 − 𝜏𝜏𝑥𝑥𝑥𝑥 𝜎𝜎𝑧𝑧 − 𝜏𝜏𝑦𝑦𝑦𝑦 𝜎𝜎𝑥𝑥 − 𝜏𝜏𝑥𝑥𝑥𝑥 𝜎𝜎𝑦𝑦

I 1 , I 2 , and I 3 are called the first, second, and third stress invariants, respectively.

The (l 1 , m 1 , n 1 )T, (l 2 , m 2 , n 2 )T, and (l 3 , m 3 , n 1 )T are the unit eigenvectors of 𝜎𝜎1 , 𝜎𝜎2 , 𝜎𝜎3
respectively.

Example: given the Cauchy stress tensor. What are principal stresses 𝜎𝜎1 , 𝜎𝜎2 , 𝜎𝜎3 and

(l 1 , m 1 , n 1 )T?
𝜎𝜎𝑥𝑥 𝜏𝜏𝑥𝑥𝑥𝑥 𝜏𝜏𝑥𝑥𝑥𝑥 2 −2 0
𝜏𝜏
� 𝑦𝑦𝑦𝑦 𝜎𝜎𝑦𝑦 𝜏𝜏𝑦𝑦𝑦𝑦 � = �−2 1 −2� MPa
𝜏𝜏𝑧𝑧𝑧𝑧 𝜏𝜏𝑧𝑧𝑧𝑧 𝜎𝜎𝑧𝑧 0 −2 0

2 − 𝜆𝜆 −2 0
det� −2 1 − 𝜆𝜆 −2� = 0, I1 = 3, I 2 = -6, I 3 = -8.
0 −2 −𝜆𝜆

λ3 – 3λ2 - 6λ + 8 = 0, therefore, λ 1 = σ 1 = 4, λ 2 = σ 2 = 1, λ 3 = σ 3 = -2.

𝑙𝑙
Substitute λ 1 = 4 into (σ-λI) �𝑚𝑚� = 0
𝑛𝑛
−2 −2 0 𝑙𝑙
�−2 −3 −2� ∙ �𝑚𝑚� = 0, with Gaussian elimination =>
0 −2 −4 𝑛𝑛
−2 −2 0 𝑙𝑙
� 0 −1 −2� ∙ �𝑚𝑚� = 0, =>
0 −2 −4 𝑛𝑛
−2 −2 0 𝑙𝑙
� 0 −1 −2� ∙ �𝑚𝑚� = 0
0 0 0 𝑛𝑛
Take l=1, solve for the m, n:

6
Obtain, m = -1 and n = 1/2.

𝑙𝑙1 T
2 −2 1
Since (l 1 , m 1 , n 1 )T should be unit vector, therefore, �𝑚𝑚1 � = �√9 √9 √9
�
𝑛𝑛1

𝜎𝜎𝑥𝑥 𝜏𝜏𝑥𝑥𝑥𝑥 𝜎𝜎1 0

For 2D x, y plane, assume σ x = σ 1 , σ y = σ 2 , therefore �𝜏𝜏 𝜎𝜎𝑦𝑦 � = � 0 �
𝑦𝑦𝑦𝑦 𝜎𝜎2

Assume the coordinate system rotate an angle θ,

x y
x' cos θ -sin θ
y' sin θ cos θ

𝜎𝜎𝑥𝑥 ′ 𝜏𝜏𝑥𝑥 ′ 𝑦𝑦 ′ cos 𝜃𝜃 −sin 𝜃𝜃 𝜎𝜎1 0 cos 𝜃𝜃 sin 𝜃𝜃

�𝜏𝜏 ′ ′ 𝜎𝜎𝑦𝑦 ′ � = � sin 𝜃𝜃 �� �� �
𝑦𝑦 𝑥𝑥 cos 𝜃𝜃 0 𝜎𝜎2 −sin 𝜃𝜃 cos 𝜃𝜃

𝜎𝜎𝑥𝑥 ′ = 𝜎𝜎1 cos2 𝜃𝜃 + 𝜎𝜎2 sin2 𝜃𝜃,

𝜎𝜎𝑦𝑦 ′ = 𝜎𝜎1 sin2 𝜃𝜃 + 𝜎𝜎2 cos2 𝜃𝜃,

𝜏𝜏𝑥𝑥 ′ 𝑦𝑦 ′ = (𝜎𝜎1 − 𝜎𝜎2 )sin 𝜃𝜃 ∙ cos 𝜃𝜃

Which is equivalent to Mohr’s circle:

7
Example for Mohr’s circle:

What are 𝜎𝜎𝑥𝑥 ′ , 𝜎𝜎𝑦𝑦 ′ , 𝜏𝜏𝑥𝑥 ′ 𝑦𝑦 ′ values?

5√3 5√3
𝜎𝜎𝑥𝑥 ′ = 15 + MPa, 𝜎𝜎𝑦𝑦 ′ = 15 − MPa and 𝜏𝜏𝑥𝑥 ′ 𝑦𝑦 ′ = 5 sin 30° = 2.5 MPa.
2 2

Differential equations of equilibrium (Navier equations):

Most used partial differential governing equations in solid mechanics.

Assume an infinitesimal cube as a 3D stress element in (x, y, z) coordinate. The edges of the cube
are dx, dy and dz. Imagine there are infinitesimal stresses (including both normal stress and shear
stress) increments from one surface of the cube to the opposite surface of the cube, it can be
drawn as follows.

8
If there is no acceleration, the force should be balanced. Take the x direction as an example,
𝜕𝜕𝜎𝜎𝑥𝑥 𝜕𝜕𝜏𝜏𝑧𝑧𝑧𝑧 𝜕𝜕𝜏𝜏𝑦𝑦𝑦𝑦
(𝜎𝜎𝑥𝑥 + 𝑑𝑑𝑑𝑑 − 𝜎𝜎𝑥𝑥 )𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 + (𝜏𝜏𝑧𝑧𝑧𝑧 + 𝑑𝑑𝑑𝑑 − 𝜏𝜏𝑧𝑧𝑧𝑧 )𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 + (𝜏𝜏𝑦𝑦𝑦𝑦 + 𝑑𝑑𝑑𝑑 − 𝜏𝜏𝑦𝑦𝑦𝑦 )𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 = 0
𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕

𝜕𝜕𝜎𝜎𝑥𝑥 𝜕𝜕𝜏𝜏𝑧𝑧𝑧𝑧 𝜕𝜕𝜏𝜏𝑦𝑦𝑦𝑦

=> 𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 + 𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 + 𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 = 0
𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕

𝜕𝜕𝜎𝜎𝑥𝑥 𝜕𝜕𝜏𝜏𝑦𝑦𝑦𝑦 𝜕𝜕𝜏𝜏𝑧𝑧𝑧𝑧

=> + + =0
𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕

The same for y and z direction force balance.

𝜕𝜕𝜏𝜏𝑦𝑦𝑦𝑦 𝜕𝜕𝜎𝜎𝑦𝑦 𝜕𝜕𝜏𝜏𝑦𝑦𝑦𝑦 𝜕𝜕𝜏𝜏𝑧𝑧𝑧𝑧 𝜕𝜕𝜏𝜏𝑧𝑧𝑧𝑧 𝜕𝜕𝜎𝜎𝑧𝑧
+ + = 0, + + = 0.
𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕

Therefore, we get
𝜕𝜕𝜎𝜎
𝑥𝑥 𝜕𝜕𝜏𝜏𝑦𝑦𝑦𝑦 𝑧𝑧𝑧𝑧 𝜕𝜕𝜏𝜏
⎧ 𝜕𝜕𝜕𝜕 + 𝜕𝜕𝜕𝜕 + 𝜕𝜕𝜕𝜕 = 0
⎪𝜕𝜕𝜏𝜏𝑦𝑦𝑦𝑦 𝜕𝜕𝜎𝜎𝑦𝑦 𝜕𝜕𝜏𝜏𝑦𝑦𝑦𝑦
+ 𝜕𝜕𝜕𝜕 + 𝜕𝜕𝜕𝜕 = 0
⎨ 𝜕𝜕𝜕𝜕
⎪ 𝜕𝜕𝜏𝜏𝑧𝑧𝑧𝑧 + 𝜕𝜕𝜏𝜏𝑧𝑧𝑧𝑧 + 𝜕𝜕𝜎𝜎𝑧𝑧 = 0
⎩ 𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕 𝜕𝜕𝜕𝜕

This tells us the divergence of Cauchy stress tensor is equal to zero: ∇ ∙ 𝝈𝝈 = 0

If there are body forces, the differential equation of equilibrium is ∇ ∙ 𝝈𝝈 + 𝑭𝑭 = 0, where 𝑭𝑭 =

(𝐹𝐹𝑥𝑥 , 𝐹𝐹𝑦𝑦 , 𝐹𝐹𝑧𝑧 ) is body force or body forces.

Remember this equation! It’s one of the most important governing equations in numerical
simulations.

Stress boundary condition

What’s the stress condition at the boundary?

9
Assume v=(l, m, n)T is the unit vector of the normal of the boundary of the object, the surface
force (f vx , f vy , f vz )T at boundary meets the equation:

𝑓𝑓𝑣𝑣𝑣𝑣 𝜎𝜎𝑥𝑥 𝜏𝜏𝑥𝑥𝑥𝑥 𝜏𝜏𝑥𝑥𝑥𝑥 𝑙𝑙

�𝑓𝑓𝑣𝑣𝑣𝑣 � = �𝜏𝜏𝑦𝑦𝑦𝑦 𝜎𝜎𝑦𝑦 𝜏𝜏𝑦𝑦𝑦𝑦 � �𝑚𝑚�
𝑓𝑓𝑣𝑣𝑣𝑣 𝜏𝜏𝑧𝑧𝑧𝑧 𝜏𝜏𝑧𝑧𝑧𝑧 𝜎𝜎𝑧𝑧 𝑛𝑛

This is called stress boundary condition.

Is the differential equation of equilibrium plus the stress boundary condition solvable?

10