5 Strain

Strain is a change in the relative configuration of points within a solid. One

can study finite strain or infinitesimal strain-both are relevant to the
deformations that occur in the context of the principles of rock mechanics
and their engineering applications. Large-scale strain can be experienced
underground as illustrated in Fig. 5.1, where there is severe deformation
around a coal mine access tunnel. When such displacements are very small,
one can utilize the concept of infinitesimal strain and develop a strain
tensor directly analogous to the stress tensor. Thus, we will first discuss
finite strain and then infinitesimal strain.

S. 1 Finite strain
Strain may be regarded as normalized displacement. If a structure is
subjected to a stress state, it will deform. However, the magnitude of the
deformation is dependent on the size of the structure as well as the
magnitude of the applied stresses. In order to render the deformation as a
scale-independent parameter, the concept of strain (which in its simplest
form is the ratio of displacement to the undeformed length) is utilized. Such
displacements can also occur naturally in rock masses through the
application of tectonic stresses resulting from past and present geological
processes. Some excellent examples are shown in Ramsey and Huber
(1983).
The displacements, whether natural or artificial, can be complex; an
example is shown schematically in Fig. 5.2. It should also be noted that
strain is a three-dimensional phenomenon that requires reference to all
three Cartesian co-ordinate axes. However, it is instructive, in the first
instance, to deal with two-dimensional strain: once the fundamental
concepts have been introduced, three-dimensional strain follows as a
natural progression.
In order to provide a structure for our analysis of two-dimensional strain,
we will consider the separate components of strain. There are normal
strains and shear strains, as illustrated in Fig. 5.3.
As with normal stress and shear stress components, it is much easier to
72 Strain

Figure 5.1 Large displacements around an originally arch-shaped coal mine access
tunnel (from Pan, 1989).

grasp the concept of normal strain than shear strain. This is because the
normal displacement and the associated strain occur along one axis.
However, in the case of shear strain, the quantity of strain in say, the
x-direction, also depends on the position along the y-axis. In other words,
normal strain only involves one Cartesian axis, whereas, shear strain
involves two (or three), i.e. it involves an interaction between the axes.
One convenient simplification that can be introduced to aid the study
of strain is the concept of homogeneous strain which occurs when the state

c lta I, :--, ... lftt..llondo11llld.

Figure 5.2 Example of the evolution of a complex displacement field (from Ramsey
and Huber, 1983).
 Examples of homogeneous finite strain 73

Q Q'
f---- 'I

--(

I'
[) -
_.!;
,; V I
1 ...

Contraction positive Negative shear strain: P'Q'>PQ

f = _! :: I 'I= tan ,j,

I

Figure 5.3 Normal strain and shear strain.

of strain is the same throughout the solid. Under these circumstances:

(a) straight lines remain straight;
(b) circles are deformed into ellipses; and
(c) ellipses are deformed into other ellipses.

S.2 Examples of homogeneous finite strain

We will now consider four examples of simple homogeneous finite strain.
These are all important, both fundamentally and in terms of understanding
strain. We will discuss strain components and thence also begin to
introduce the notion of strain transformation, in terms of matrices. The four
examples are shown in Fig. 5.4.
In each of the examples in Fig. 5.4, we have given the equations relating
the new positions (e.g. x') in terms of the original positions (e.g. x) of each
point. The coefficients k and y indicate the magnitudes of the normal and
shear strains, respectively. The final case in the figure, pure shear, is a result
of extensional and contractional normal strains which will be explored later,

(x.y) (x'.y') t--------. (x'.y')

-------,
(x.y) I
I
I

x' = kx y' = y

Extension it long x-axis Extension along x-and v-axes

(x.y) (x.y)
y T------(x'.y') -------"1
!----- ,_- (x'ry')
I
I
I
I
I

x = x + 'IY......_ y' = y x' = kx y'=h

Nole interaction with v-axis

Simple shear Pure shear

Figure 5.4 Four simple cases of homogeneous finite strain.

74 Strain

especially in terms of the perhaps unexpected relation between the shear

modulus and Young's modulus and Poisson's ratio.
We have noted earlier that there may have been successive phases of
deformation of the rock mass during geological history. Thus, in decoding
such compound deformation into its constituent parts, as illustrated by
specific types of simple deformation in Fig. 5.4, we need to know whether
strain phases are commutative, i.e. if there are two deformational phases A
and B, and is the final result of A followed by B the same as B followed by
A? Similarly, in engineering, does the sequence of excavation have any
influence on the final strain state? Perhaps counterintuitively, the answer
is that the final strain state is dependent on the straining sequence in those
circumstances where shear strains are involved. An elegant example from
Ramsey and Huber (1983) is shown in Fig. 5.5, wherein the non
commutative nature of shear strains is illustrated, both graphically and
mathematically. With reference to earlier emphasis on the significance of
the off-diagonal terms of the strain matrices, the reader should note that
it is these off-diagonal terms which give rise to the non-commutative
phenomemon. In Chapter 14, the concept of interactions in the off-diagonal
terms is introduced for a matrix with general state variables along the
leading diagonal, in the context of rock engineering systems.
It can be helpful to think about these strain operations in general and to
be able to identify the components of a general strain transformation matrix
for all circumstances. Such affine transformations are used in computer
graphics and we mention here the case of distorting any two-dimensional
shape. In order to introduce translation, i.e. movement of the entire
shape (without rotation) within the plane of the figure, 'homogeneous
co-ordinates' are used. These are three co-ordinates, simply the two
Cartesian coordinates plus a third which allows translation to be intro
duced. The transformation of co-ordinates is shown in Fig. 5.6.

[:] : [ : l[;l [ y'x'] =[

=
k O
0 \
l[ l
x
y

Simple shear Pure shear

k O
[ OYk
l[ l l
l 'I
Ol
= [ k k'f
0\
........ .....

Pure shear followed by simple shear

Simple shear followed by pure shear

Figure 5.5 Shear strain is not commutative (example from Ramsey and Huber, 1983).
 Infinitesimal strain 75

[, y' Q ['Y Q [ : b

:]
a
or d

m n

Figure 5.6 The general transformation of a two-dimensional shape using

homogeneous co-ordinates.

Note that in the equation

x' =ax+ cy +m

the coefficient a is related to extensional strain (as shown in Fig. 5.4), the
coefficient c is an interaction term and related to shear, and m is related to
the magnitude of the translation. Through such considerations, we can
identify the strain components associated with different parts of the matrix,
as shown below.

Shearing, Projection, perspective

scaling, rotation

D
(m n)
GJ
8 Overall
Translation scaling

We will see later that the ability to determine which functions are
performed by which parts of the transformation matrix is especially
helpful when interpreting the compliance matrix. This matrix relates
the strains to the stresses for materials with different degrees of
anisotropy.

5.3 Infinitesimal strain

Infinitesimal strain is homogeneous strain over a vanishingly small
element of a finite strained body. To find the components of the strain
matrix, we need to consider the variation in co-ordinates of the ends of an
imaginary line inside a body as the body is strained as illustrated in
Fig. 5.7. By this means, we can find the normal and shear components in
an analogous fashion to the finite case presented above.
In this figure, the point P with co-ordinates (x, y, z) moves when the body
is strained, to a point P* with co-ordinates (x + u., y + uy, z + u,). The
components of movement, u., uy and u2 , may vary with location within
the body, and so are regarded as functions of x, y and z. Similarly, the point
Q (which is a small distance from P), with co-ordinates (x + ox, y + oy,
76 Strain
P (x, y. z)

lE'l
y

p, (x + ,,,Y + ", ,+ ,,)

(:::::)
z + dz
Q* (::::::::)
,._ "'------- z +dz+ u,*
x

z
Figure 5.7 Change in co-ordinates as a line PQ is strained to P*Q*.

z + &), is strained to Q* which has co-ordinates (x + & + ux ", y + <iy + Uy*,

z + & + Uz "). If we now consider holding P in a constant position and Q
being strained to Q*, the normal and shear components of strain can be
isolated.
The infinitesimal longitudinal strain is now considered in the x
direction. Because strain is 'normalized displacement' (see Section 5.1), if
it is assumed that Ux is a function of x only, as in Fig. 5.8, then

Exx = dujdx and hence dux = Exxdx.

Considering similar deformations in they- and z-directions, the normal

components of the strain matrix can be generated as also shown in Fig. 5.8.
Derivation of the expressions for the shear strains follows a similar
course, except that instead of assuming that simple shear occurs parallel to
one of the co-ordinate axes, the assumption is made initially that the shear
strain (expressed as a change in angle) is equally distributed between both
co-ordinate axes, i.e. du = duv if dx = dy. This is graphically illustrated in
Fig. 5.9. .

[ :: l
y

du,
= [ " _:
0 0 2 ,
l [ :; l
dz

Figure 5.8 Infinitesimal longitudinal strain.

 The strain tensor 77

First, we should note that the term Y,y, i.e. 2a, is known as the
engineering shear strain, whereas the term r,/2, i.e. a, is known as the
tensorial shear strain. Second, although engineering shear strain is the
fundamental parameter by which means shear strain is expressed, it is
tensorial shear strain that appears as the off-diagonal components in the
strain matrix in Fig. 5.9.

5.4 The strain tensor

Combining the longitudinal and shear strain components which have been
developed above, we can now present the complete strain tensor-which
is a second-order tensor directly analogous to the stress tensor presented
in Section 3.5. The matrix is shown below:

e;
e; t:y, .

f' "
_"Y
t:,y '"1
cz z

Note that this matrix is symmetrical and hence has six independent
components-with its properties being the same as the stress matrix
because they are both second-order tensors. For example, at an orientation
of the infinitesimal cube for which there are no shear strains, we have
principal values as the three leading diagonal strain components. The
matrix of principal strains is shown below:

The strain component transformation equations are also directly

analogous to the stress transformation equations and so the Mohr's circle
representation can be utilized directly for relating normal and shear strains
on planes at different orientations. Other concepts which we mentioned
whilst discussing stress, such as the first stress invariant, also apply because
of the mathematical equivalence of the two tensors. Thus, the first strain
invariant is

Exx + E,1,1 + Ezz = 1 + 2 + 3 = a constant.

e_,y = 'l,y/Z etc.

dy[du+I [du,] ,,[, :.tj[dxJ

du,
P. P* J3 a dx dz
duy - '1,,/2
'lxy/2 0 'lvz/2
,,/2 -0
dy ::: :;: ]'.]
'l

Figure 5.9 Infinitesimal shear strain.

78 Strain

The transformation properties of the strain matrix allow us to determine

the complete in situ or laboratory strain tensor from measurements which
are made with strain gauges and which are normal strain measurements
only. In the same way that shear stresses cannot be measured directly,
neither can shear strains, and hence the complete strain matrix must be
established from normal strain measurements.

5.5 The elastic compliance matrix

One may be tempted to ask, given the mathematical equivalence of the
strain matrix developed in this chapter and the stress matrix developed in
Chapter 3, whether there is any means of linking the two matrices together.
Clearly, this would be of great benefit for engineering, because we would
then be able to predict either the strains (and associated displacements)
from a knowledge of the applied stresses or vice versa. As we will be
discussing in Chapter 6, it is often critical to be able to consider whether it
is stress, or strain, which is being applied and hence whether it is strain, or
stress, which is the result.
A simple way to begin would be to assume that each component of the
strain tensor is a linear combination of all the components of the stress
tensor, i.e. each stress component contributes to the magnitude of each
strain component. For example, in the case of the t:xx component, we can
express this relation as

Because there are six independent components of the strain matrix, there
will be six equations of this type. If we considered that the strain in the x
direction were only due to the stress in the x-direction, the previous
equation would reduce to

or

O'xx = ExxlS11 = Et:xx, where E = 11511,

This form of the relation, where the longitudinal strain is linearly

proportional to the longitudinal stress, as is the case for a wire under
tension, was first stated by Robert Hooke (the first President of the Royal
Society) in 1676. He published the relation as an anagram in The Times of
London as CEIIINOSSSTTUU and three years later revealed this to mean
UT TENSIO SIC UIS, i.e. as the extension so the force. For this reason, the
more complete expression where Exx is related to all six components of stress
is known as the generalized Hooke's law.
Hence, the complete set of relations between the strain and stress
components is:
 The elastic compliance matrix 79
En 5110:u + 51201.v + 5130",z + 514r,y + 51s1!,z + 516rzx
Eyy +++++
zz == 531 O"xx + S320"yy + 5330",z + 534 r,y + 535!yz + 536 !zx
Exy == 5410:u + 5420"yy + 5430"zz + 544rx. + 545l;1z + 546rzx
_1/Z == Ss1 O"u + Ss20"yy + 5530",z + 554 r,y + Sss ryz + 556 r,,

Ezx 561 O"u + S620"yy + s630"zz + 564 rxy + 565 !yz + 566 r,x.
It is not necessary to write these equations in full. An accepted
convention is to use matrix notation, so that the expressions above can be
alternatively written in the abbreviated form

[] [SJ[ al

"' : Sil S,2 51] s., s,., s,6

e; a!'." 521 522 s2J Sz.i 525 526
,,
and[a]=
a,, and[5]= s31 532 SJJ SJ.I 535 s:16
where jz]==
,X}I r,y 541 542 543 541 S, s,
e; r_, 551 552 55) 554 SS, 556
,, r,_, 561 562 563 SM 56, 566

The [SJ matrix shown above is known as the compliance matrix. In

general, the higher the magnitude of a specific element in this matrix, the
greater will be the contribution to the strain, representing an increasingly
compliant material. 'Compliance' is a form of'flexibility', and is the inverse
of 'stiffness'.
The compliance matrix is a 6 x 6 matrix containing 36 elements. However,
through considerations of conservation of energy it can be shown that the
matrix is symmetrical. Therefore, in the context of our original assumption
that each strain component is a linear combination of the six stress
components, we find that we need 21 independent elastic constants to
completely characterize a material that follows the generalized Hooke's
law. In the general case, with all the constants being non-zero and of
different values, the material will be completely anisotropic. It is necessary,
particularly for practical applications of the stress-strain relations, to
consider to what extent we can reduce the number of non-zero elements
of the matrix. In other words, how many elements of the compliance matrix
are actually necessary to characterize a particular material?
The key to this study is the architecture of the compliance matrix, and
especially the off-diagonal terms, which have already been emphasized.
For typical engineering materials, there will be non-zero terms along the
leading diagonal because longitudinal stresses must lead to longitudinal
strains and shear stresses must lead to shear strains. The isotropy of the
material is directly specified by the interaction terms, i.e. whether a normal
or shear strain may result from a shear or normal stress, respectively. This
is illustrated conceptually in Fig. 5.10.
80 Strain

Indirect coupling of normal Coupling of normal and

components (EIJ) shear components(o)

0 0 0

Direct coupling of all
0 0 0
normal
([I])
components [II] 0 0 0
Coupling of shear ( , \
components {S;;)J
@
Svmmrtric
@ in different directions'

Direct coupling of all @

associated (<0)
shear components ,

Figure 5.10 The architecture of the elastic compliance matrix.

As a first approximation, and in relation to Fig. 5.10, let us assume that

there is no coupling between the normal and shear components and that
there is no coupling of shear components in different directions. This
means that all of the elements designated by the symbols with dense cross
hatching and left-inclined shading in Fig. 5.10 become zero. We know that
the direct relation between a normal strain and a normal stress is given by
1/: this is because the definition of Young's modulus, E, is the ratio of
normal stress to normal strain. Hence, all the elements designated by the
vertical hatching will be reciprocals of Young's moduli. Following the
definition for Poisson's ratio given in Section 4.6.2, and recalling that this
parameter links orthogonal contractile and extensile strains (which are
manifested by a negative sign in equations containing Poisson's ratio), all
the elements designated by the wide-cross-hatching will be Poisson's ratios,
v, divided by a Young's modulus. Finally, the elements designated in Fig.
5.10 by the right-inclined shading, being the ratio of shear strain to shear
stress, will be the reciprocals of the shear moduli, G.
This results in the reduced elastic compliance matrix shown below:

1/ 1 -V21 / 2 -V31 / 3 0 0 0
1/ 2 -V32/E3 0 0 0
1/ 3 0 0 0
1/G12 0 0
l/G23 0
symmetric 1/GJI

A material characterized by this compliance matrix has nine independent

elastic constants and is known as an orthotropic material. The nine material
properties are the three Young's moduli, the three shear moduli and the
three Poisson's ratios, i.e.
 The elastic compliance matrix 81

Such a material could arise from the microstructure of the intact rock, or in
the case of rock masses when three mutually perpendicular sets of discon
tinuities with different properties and/or frequencies are present. The double
subscripts applied to the Poisson's ratios are required in order to differentiate
the effects in the two different axial directions in each case.The reader should
note that there are in fact six Poisson's ratios: the symmetry of the matrix
ensures that there are three relations of the form v12IE1 = v21IE2.
We can reduce the elastic compliance matrix even further by considering
the case of transverse isotropy. This is manifested by a rock mass with a
laminated fabric or one set of parallel discontinuities. In the case when the
plane of isotropy is parallel to the plane containing Cartesian axes 1 and 2,
we can say that
and and

and V13 = Vz3 = v'

The associated elastic compliance matrix is then

1/E -vlE -v' IE' 0 0 0
1/ E -v' IE' 0 0 0
1/E' 0 0 0
2(1 + v)
0 0
E
1/G' 0

symmetric 1/ G'

Note that in the above matrix, the term 2(1 + v)IE has been substituted
for 1/G12 because in the plane of isotropy there is a relation between the shear
modulus and the Young's modulus and Poisson's ratio. It is vital,
however, to realize that this relation, i.e. G = El2(1 + v), only applies for
isotropic conditions and so we cannot make a similar substitution for either
1/G23 or 1/G31, which are out of the plane of isotropy. Thus, the number of
independent elastic constants for a transversely isotropic material is not six
but five, i.e.

E E' G' v v'.

The final reduction that can be made to the compliance matrix is to

assume complete isotropy, where
82 Strain

Note that, because we now have complete isotropy, the subscripts can
be dispensed with, the shear modulus G is implicit and furthermore the
factor 1/E which is common to all terms can be brought outside the matrix.
Finally, we have

1 -v -v 0 0 0
1 -v 0 0 0
1 0 0 0
1/ E
2(1 + v) 0 0
2(1 + v) 0
symmetric 2(1 + v)

Complete anisotropy was characterized via the elastic compliance matrix

through 21 independent constants. By considering the architecture of the
full matrix and making all 'cross-coupled' terms zero, we obtained the
orthotropic case with nine independent constants. This was further
reduced in the case of transverse isotropy to five constants, utilizing the
relation between shear modulus and Young's modulus and Poisson's ratio.
The ultimate reduction (also using the shear modulus relation) resulted in
two elastic constants for the case of a perfectly isotropic material. One is
reminded of the quotation given by Jacques Grillo in his book Form,
Function and Design, that "In anything at all, perfection is finally attained
not when there is no longer anything to add, but when there is no longer
anything to take away".

5.6 Implications for in situ stress

There are many ramifications of the elastic compliance matrix and the
possible reductions which we have presented in Section S.S. One
particularly important corollary with reference to Chapter 4 on in situ stress
relates to the ratio of horizontal to vertical stress, as calculated by
the 'switched on gravity' analysis presented in Section 4.6.2. Recall the
ratio
v
(J'H =--0',.
(1-v)

which meant that the horizontal stress could never exceed the vertical
stress. Implicit in the derivation of this relation is the fact that the rock was
assumed to be isotropic. We can generate similar relations for varying
degrees of anisotropy, in particular for transverse isotropy and
orthotropy. Using the matrices presented in Section 5.5, and for the case
where axis 3 is vertical and plane 12 is horizontal, these are
v'
for tranverse isotropy = O'v
0'1-1 --
1-v
 Implications for in situ stress 83

and for orthotropy (jH

1
=
l l-V12V21
J
v l3 +v lZ v ZJ a.,
 The reader should note that, in order to simplify these relations, use has been made of various
complementary Poisson's ratios (e.g. v12 instead of v21Ei/E2). These equations are from Amadei
et al. (1983) and demonstrate conclusively that, for certain combinations of the respective
elastic constants, the horizontal components can be significantly different. In fact, an orthotropic
model is probably a much better representation of a discontinuous rock mass with three
perpendicular discontinuity sets than an isotropic model.
A final point is that, given the 21 independent components of the compliance matrix, the correct
engineering approach to the problem of modelling rock masses would be to establish to what extent the
compliance matrix can validly be simplified. In other words, the logic would be to assume complete anisotropy
unless we have reason to assume otherwise. However, because of cost constraints and the
practicalities of engineering, of the order of 99% of all analyses that have been conducted have contained the
assumption that the rock mass is fully isotropic with only two elastic constants. In the majority of the
remaining cases, transverse isotropy has been assumed; and in a few isolated examples, orthotropy (with
nine elastic constants) has been assumed. To the authors' knowledge, no one has either measured the 21
constants or conducted an analysis assuming a compliance matrix with non-zero components. There
are lessons here concerning the relation between rock mechanics and its application to rock engineering, i.e.
the theory and the practice