CHAPTER 4 Failure Criteria for Soils and Rocks More Fundamental Concepts ‘Structural Failure ‘The two propertise that enable soil ora rook mass to remain in equilibrium when forsis axe acting to distur it, for example to resist the gravitational forces produced by its own weight, to sustain the stress concentrations produced around an excavation, or to support the weight of a structure erected upon it, are its shear strength and its tenile strength, IF fan earth material yilds to these applied forces it can only be through the medium of pro: cesses of deformation and fracture. I the material isto fal then the cohesion ofits miner and particulate constituents must be overcome, by forces of tension or by pressure acting from within (i which ease the fracture surfaces are pulled oF ose pushed directly apart), oF by forces of shear (in which case the fracture sufaces are forced over one another at an angle and against a resistance which depends upon the internal friction characteristics ofthe earth ‘atesal in relation to the ambient stress distribution). When we speak ofthe “strength” of an earth material we mean its ability to resist deformation and fracture by virtue of ts properties ‘of cohesion and internal fection. Tes these properties that the conventional methods of materials {estingare intended to display, under loads that generate forces of shear, tension, and compression. It is now necessary for us to define some more fundamental concepts, added to those we have already considered, Friction Consider horizontal plane such as a bedding plane ina rock mas, supporting an elamentl block, of weight Wy, resisting an is surface (ee Fi, 4.1(a)). The wight of the block generates an equal and opposite reaction R. W and R together form » compression fee normal to the pane of contact, and theres no generated tendency forthe rock to move If 2 small horizontal force (not lrge enough to move the cock) i applied tothe block, the reaction R wil no logerbenoxmal tothe plane of contact. adjust in mapsitude and direction to equal the resultant Vand H. The tangle of foxes represents, in magnitude and deeton, the elationshipe between NV, H, and R, and the anle 8 (se Fig 4.1()) ‘The normal force A= R'cos 8, and the force Hf acts acrss the plane of contact, such that HeRsind. If the shear force His increased un the block i jut about to slid, R wil increase, and so wil the angle 8. A the point whes siding begins, the tional contact holding the materials stable along the plane of contact wil be broken, and @ will have attained is maximom possible value on the surface eoncerne. ‘That maximum valves g, the angle of riction, and tan HIN the coefficient of fttion aGeotechnalogy Referring now to Chapter 2 (Fig. 2.2), where the resultant stress acting along 2 plane is resolved into stesso, acting normal tothe plane and a shear stress r acting along the plane, if we imagine the plane to be a plane of facture in the material, movement along that plane in response to the shearing force will be dependent upon the angle of intemal friction (#) ofthe material eoncermed, where tan p= 7/0, ‘Mohr's Circle of Stress “Although the state of stress in real situation is essentially a threeimensional problem it is foften more convenient, and quite adequate for practical purposes, to simplify the conditions and to picture the problem in two dimensions, in the plane of the intermediate principal stro. The major and minor principal stresses 0, and 0,, acting within a body under losd, may then. be represented as shown in Fig. 4.2. Consier a plane AD inthe material inclined at an angle @ to the direction ofthe minor principal stres23, o Fig. 42. Twodimendonsl str pattem on a Fig. 4.1, Sliding feton, ‘line AD intrccting he minor pina tess ‘deen at an aap 1 can be shown thatthe principal stresses 0, and 03 induce a stress system in that plane, and we have sen that such a system ean be resolved into a shear stress acting along the plane ‘and a notmal sess acing arose the plane. The magnitudes ofthese stresses are shear stess and normal stress or = 05 + (0, — 23) e026. ‘These elationships may be represented graphically by Mohr’ circle of stress (see Fig. 4.3), The following convention is adopted. Iti asumed that the diction of the major prinepal ss parallel with OY, that is, OX Ues inthe major principal plane. All principal streses are then plotted slong OX, as are all norma stresses. All shear stresses are plotted along OY. aFalure Criteria for Sols and Rocks Procedure Lay down the axes OX and OY, set off OA and OB slong the OX axis, representing and 4, respectively, to scale. Construct a crcl on the diameter AB. The coordinates oF ll points onthe circumference of his circle represent to scale, shear stresses and normal street forall planes parsing through the point A, orthogonal to the plane of the diagram, Fig. 4.3. Oaphia comnsction of Ofoh?' Cie of trex), presenting ‘the tredieasional ress pater of i. 42 For example on Fig. 42. the plane AD is inclined to the major principal plane at an angle 8 On Fig. 43. the lie AD, inlined at 6 to AB, cuts the perimeter ofthe circle at D. The coordi nates Of then give the normal and shear stresses on the plane AD, n= 08, 1=DE Because the normal stress = OE= OA + AE 5 05 + AD cos 6 05 + AB cos! 8 05 +(0, ~05) cos? 6, and theshearstrss=r=DE = DCsin (180 ~ 28) = Desin26 29 sin 28. 2 In Fig. 43. the triangle ODE represents the stress situation on the plane AD of Fig.4.2. The aresultant sess in magnitude, to scale, while the angle DOB represents the age of obliquity (a) thatthe resultant strese makes with te direction ofthe noxnal the plane AD. EB | ig. 4.4 Detention of shear tree and normal stssat alr, wing Mohs ce of ses, ‘Maximum Shear Strength ‘The maximum resistance to shear i developed when the angle of obliquity reaches a limiting valve @, the angle of intemal friction. For this condition the ine OD bevomesa tangent to the stress cele inclined at an angle tothe axis OX. ‘Theories of Failure Observation on earth materials in the fed, in mines and tunnels and in ofen-pits, tells us that rocks which on some occasions may appear to be hard and brittle may, under other circumstances, display characteristics of plastic flaw and creep, The structural geologist ses ample evidence ofthis in Folded stata and inthe flow structures often displayed in what now seem to be the most permanent and rigid rock formations. We know foo that if an earth material such as 4 rock or soil, becomes highly loaded it may yield tothe point of fracture, consequent breakdown, aad ultimate collapse. Failure of Elastic Materials ‘We may study the processes of deformation and fracture in the materiaststng laboratory, to determine the stress-strain and straintime characteristics that we have already discussed. Let us now consider what happens when we load our laboratory specimens until they Fall If the mater ie east and ductile, like a metal such as copper or mild sted, it wil display 4 linear deformation stress relationship up to the yield point A, shown in Fig. 45. 1¢ wil then {deform inelastically over the range AB, es the material becomes strain-hardened, but at B it “Yr Failure Criteria for Sols and Rocks attains a state of plasticity In which It ceases to resist further deformation, until it ultimately ruptures a the point C. Fig. 4.5 Stesatain relationship foraneasleductib mata If the material is elastic and brite, like cast iron or las, i wil at first deform elastically under load, but it may then rupture before a discernible yield-point it reached (or very soon ‘thoreafer). Failure is able fo be instantaneous and associated withthe violent release of energy from the testing mechanism. As a result of this, the specimen may be shattered com- pletely (Fig. 46). A Fig. 4.5, Suoaatain slatonthip for an ease brite mata Failure of Earth Materials In general, earth materials such as rocks are not 25 ductile as the metals, and seldom so Iitte as glass, but they display failure characteristics intermediate Between the to extremes. “he stronger rocks with high silica content and crystalline composition are usually more brittle ‘tan the porous sediments, and most rocks appear to havea ditceribe yield point before they rupture, IC the testing mechanism is suitably designed, to prevent the sudden release of strain 6sGeotechnology energy when the rock begins to yield, the specimen may be observed to retain some resistance to deformation afer the yield point (ee Fg. 4.7). Fig 4.7. Suesestanrelitonsip Fr ark materia loaded on asi testing machine. We may therefore interpret the “failure” of a bite sock material to oceur at one or other of (@) The attainment of the yield-point, (®) The point of rupture ofthe material (©) The point at which the material can no longer sustain the imposed load. However, ifthe material is not brittle but displays a tendency to deform plastically, the point of failure might be described as (@) When the strain rate begins to accelerate under a canstant load. or, if both elastic and plastic deformation characteristics are displayed: (© When a maximum allowable percentage of residual permanent deformation occurs in ‘the material Criteria of Failure By selecting one or other ofthese definitions, and applying it toa specific earth material, we ‘may specify the point at which a glven material is Ukely to “fail” under a given distribution of ‘tess, That is to say, we can establish a “eriterion of falure” by means of which the maximum tutlzable strength of the material can be identified and used for the purpose of design. The success or failure of our design will then depend upon the extent to which we are correct in four assumptions a6 to the mode of failure and on the degree to which we can establish the ‘magnitudes and distribution ofthe stresses and strains involved, | ‘There are many alternative eriteria from which to choose, and its important that we should select one that is appropriate to the particulat design problem that we are concerned with. If ‘we were dealing with materials such es metals, or other elastic bodies, we could apply criteria such as the maximum allowable principal stress, or maximum permissible shear stress, oF maximum energy of distortion that the material could sustain, Such theores assume thatthe materials behave perfectly elastically with tensile strength equal to the compressive strength, and they define fulute at the beginning of inelastic behavior in the material, We know that 46nl r t Failure Criteria for Sols and Rocks ‘orth materials such a soils and rocks, and some constrstional matedials such as conecates, ‘may behave inelastically under very low stresses and that they have very different compresive and tensile strengths. We should look towards theories of filure which do not involve assump- tioas that ae obviously contrary to out experince, The failure cltera that are most commonly spplied in geotechnology include the following: ‘Mohr’ Theory of Failure Mob’s theory of failure does not attempt to differenticte between fallure by deformation for by actual rupture of the material It states thatthe failure ofa material may be represented ‘by a functional relationship between the shear stessr ating slong the plane of failure, and the normal tress oy acting acros that plane, such that + = Rep): ‘The basic assumption hece thatthe normal stresses, whathr they be tensile or compressive contribute towards causing fallure, and that sheasing stosses also contribute, one being a function of the other. Ie is not assumed that the material is equally strong both in tension and compression, but it is inferred that in a stress field resslved into three principal stresses 0,>03> 4g, the intermediate principal stress 0 hus no inlvence onthe failure of the material. ‘The fundamental relationship between + and oq is charcteristc of the material concerned, and it must be determined by experimental tests, A grapsical representation ofthe state of stress in the material — the Mohr circle of stress ~ is used, atthe limit condition for failure (Fi 44), Determination of the Mohr Failure Envelope ‘A number of dil-core samples of the matecal are prepared, each with its cylindrical surface ‘enclosed in a flexible jacket. The samples are placed, each in turn, ona tial testing machine ‘0 that lateral confining pressure can be applied through the medium of « hydraulic jacket. Keeping the lateral confining pressure constant, the axial load which generates the principal ses 0, is Increased until the specimen fails. Each tests conducted with a different value of lateral confining pressure, including the unixial (9, = 0) condition. Sometimes, with rocks, the uniaxial testis also conducted with oy in tension, but this requires special testing erange> ‘mentt, and itis not easy to perform satisfactory. With most earth materials, and soll, a ‘tension testis not attempted, The results of each test are plotted as a Mor circle, so thatthe complete test produces a number of Mohr circles of stess. The line formed by joining a common tangent to these circles i called the Mohr Envelope (Fi, 4.8). ‘The Mohr onvelope defines the conditions for stability of the material under load. If for 2 given load condition the values of stcese lle within the exvelope, the material willbe stable. But if for a load which praduces a certain value of normal stress, the corresponding value of shear stres lies outside the envelope, the material wil fai. Since the envelope is symmetrical Ahout the OX axis itis customary t0 represent the envelope only by the half that lies above the OX axis The Coulomb Criterion of Failure for Soils Refersing to the Mohr graphical construction, ifthe ange of intemal ction y is assumed ‘to be constant for a certain material with no vniaxal tensile strength, then the shear strength aFig. 48, Construction of Moh allure envelope frm the reat of trea compression can be represented by two lines pasting through the orjgin Ost angles 4 and ~p to the axis ‘OX (eee Fp, 49). These lines comprise the Mohr envelope forthe material for which czcle ‘A represen stable conditions, circle B represents incipient failure, and circle C represents | ‘Fig 49. Mor flue envelope for an earth matenl with no tem suena and no ooheienFaire Criteria for Sols and Rocks sues conditions beyond the limits that the strength of the material can withstand, Cohesion "A material such a a dry unconsolidated sand will not sustain a slope angle steeper than that which can be held by the fcetional contact of the constituent grains. The sides of 3 french cut through such a sand will slump to this angle, and the maximum slope of a heap ‘ofthe sand could not exceed the same angle. Other soll materials, such as damp sands silts, ‘and clays, will behave differenlly. The sles of @ trench cut through these materials may stand ‘ensupported, or not slump to the “angle of repose” for some considerable time, because the onstitent graint are held together by some force addtional to that produced by internal fition. This additional force is the cohesion ofthe material Ifa material has no cohesion, but depends enttely upon interal friction for its stability, then its Mohr envelope wil Intersect the OX axis at the origin O, as shown in Fig. 4.9. Bul f cohesive material possesses tome shear strength even when the normal stress is zero Its ‘Mohr envelope will therefore intersect the shear stess axis ata finite value, when the normal ‘stress i zero, This intercept on the shear stress axis is a measure of the cohesion of the material (Gee Fig. 410). The resistance to failure exhibited by such » material consists of two parts (4) Enteral fiction and (b) cohesion. f Fig. 4.10. The Coulomb cetesion offre fr aso. ‘A material such as a soll which is not consolidated can be astumed to possess a constant value of intemal fiction, no matter what is the value of the ncrmal stress on the plane of shear. Is resistance to shear will, however, also depend on its colesion and this too is a con- nt vale, independent ofthe applied stress. ‘The strength envelope of a soil may thus be described by the staight-in = etog ting the shear resistance a fllue, Le, the shear strength, the cohesion, the coeficient of internal friction, the normal stress at failure. oGeotecknology ‘This i the Coulomb cxiterion of falure— the basic equation in soll mechanics. Figure 4.10 shows the characteristic Mohr envelope for a cohesive sol. The strength of a soil with no cohesion, such as a dry sand, would be deseribed by 1 = gy tan o (Fig. 4.11 (4), while the strength of a wot clay, incapable of offering frictional resbiance to deformation, and subject only to plastic flow controlled by its cohesive power, would have a Mohr envelope similar to that shown in Fig. 4.11(6). ® Fig 4.1, Fale envelopes fr si) Sol with no cobeson. (0) Sol wth ao etionl ‘itinoe to deformation The Coulomb-Navier Criterion of Failure for Rocks ‘The Coulomb exiterion may also be applied to brite solids i itis postulated that onthe plane of failure the shear strength & reinforced by 2 fictonsl component of resistance to heat. Using the analogy of frietional restanes to sliding of a body resting on an inclined plane, the fetional resistance to shear flue Is given by the product of the normal force {cing acros the plane of failure, and the coeficlet of fition aor the plane concerned. [At the point of fullure, when shear siding is just about to begin, this fictional resistance reaches maximum vale, equal 42, wheres the coefficlent of intemal tion x= an) ‘The Coulomb:Navier file criterion may then be stated [AL the point of failure the maximum sheur resistance of the matelal (hear strength r) equals the shear stress on the plane of failure (S;) plus the internal frictional resistance io,)- ‘Alternatively, ‘A the point of falure the shear stress on the plane of Faure (S,) aqua the shear strength ofthe material (7) minus the internal tional ristace to shea (at) ‘he shear sree and tho normal stees on + fice plane inclined atan angle 8 othe minor principal stress, where the major principal tess 0 ae Nonmal stess oy = oto) + 23 cos 28 and Shoarstees r= a —ay sin 28 By substituting these values in the Covlomb-Navier equation, the criterion is expressed in 2 form to define the limiting stres conditions that the material can withstand under tensile 50Fallre Criteria for Soils ard Rocks and compressive loads. Conversely, if we have data conceming the shear strength, at 2210 confining pressure, the compressive strength, the tensile stength, and the angle of intemal fiition, of a particular rock material, i i possible to predict the limiting stess ccaditions| that the material can withstand in terms of the Coulom-Navier failure envelope. ‘The method is to plot ciccles, with radii proportional to compressive strength and tensile strength, respectively, to rght and loft of z0r0, on the normal stress axis, Plot the shearstrongth ff the material on the shear stress axis, and insert the appropriate angle of flction by line tangent to the compression citle, Join up the point and the line so plotted by 2 smooth curve, to produce the failure envelope (se Fi. 4. Fig 412, Te Covlomb.Nava fare eteron for sock mate This envelope may now be applied, in conjunction with the construction of Mohr circles of stress for glren principal stress differences 0, dp, to estimate the stres magnitudes at Which shear Tale will occur. ‘Deponding upon the relative magnitudes of the various parameters represented, the envelope 40 oblained will be more or les curvilinear in the tensile zone, but straight in the compressive zone. This is bicause the Coulomb-Nevir criterion assumes a coastant value forthe coefficient of fiction, except over a limited range of stress at and near the tele zone. Most rocks have ntemal eition characteristics that vary with change of loading conditions, so that the angle of fiition may decrease with increase of the stress deviator (a, 3). The allure envelope 4s then curvilinear in the compression zone as well asin the tensile zone, and it can no longer ‘be described by the Coulomb-Navier extern, ‘The Griffith Brittle Faiture Criterion AA theory to explain the failure of brittle materials was orginally postulated by Griffith la 1924, Grifith worked with glass but his theories have been extended generally to other brittle ‘atevas, including rocks. In essence the theory is that fracture of tritle materials is initiated stGeotechnology tsa result of tensile failure produced by the stress concentrations that exist around the tips of microcracks and flaws present in the material, It is assumed that fracture extends from the boundary of an open flaw when the tensile stress on this boundary exceeds the loral ten strength of the material. It can be shown that high tensile stresses occur on the boundary of suitably orientated elliptical opening, even under compresive stress conditions on the material asawhole. "The theory originally dealt with the mechanism of crack propagation in a uniaxial stress field, but subsequent investigators have extended Griffith's Keas to biaxial and triaxial stress coneitions in rocks and also to explain te process of failure around a closed crack. "The results of allthis work suggest that in an isotropic rock material, where the orientation of the esacks may be assumed to be random, fracture will occur ifthe uniaxial tensile strength is lest than 21-2)" (the minussign denotes tension) Bo, +3) Matis tetaweceias (a -on? (Hensile strength) (01 + #2), ‘According to this eiteron, when oy =, 0 becomes the uniaxial compressive strength, and a =85, Murat has shown thatthe Griffith rte of bite fracture canbe expressed as the equation of Moh envelope in which 4570" 4572 a shots Fis. 4.19, The Gof faite extrion. In deriving this criterion it was assumed thatthe crack retains it elliptical shape until the ‘moment of failure. When the principal stesses g and a3 are tensile, or where the rock is strong, fand not very highly stresed, this assumption may be valid. But in'a weak rock, or ins highly stressed rock containing flat cracks, allowance may have to be made for closure of the cracks before the rock fuls, This was done by McClintock and Walsh, by introducing the internal 32Failure Criteria for Soils and Rocks fiction coefficient into thelr snalysis, Tey then derived » modified GrifGth criterion for the {allure ofa closed crac, in the form: (os ~ 03) (1+44)*] ~ so, +05) ‘This criterion may be represented by astrnghtdine Mab envelope with the characterise uo #28 hich sir to that of the Covlomb-Navierelteron. Selected References for Further Readiag FARMER, 1, W. Encineine Properties of Rocks (Chater 5,Stngth and fale In rocks, pp. 55-63), psa, London 1968. HARKNESS, RM. Te ‘impicalons of MoheCoulomb a fallue eiteion.Proa Roseoe Memorial Sympostm, Combrie Maras 1971 [HOEK E_ Brite flue of rock. tn Rock Mechoncr in Engnering Practice, Sigg nd Zienkiewice (Es), pp, 89-124, Wiby, London, 1968. HoLTE, Wesey, 6. Soll a an Engnaerig Mater, U. 8, Dept of the Inesior, Bureau of Redamatis “ister Retour Teche Pabst, Report No.1, 1965 HUCK, Vand DAS, H:Britenee determination of roaks by diferent methods, It J. Rock Mech Mn ‘$8 A Geomech, Abo. Val. 11, pp. 389-392 1979). LAZTAI, eZ and LAZTAT, V.N. The esution of Ute scar in rock. hi. Vol 13, pp. 1=18 (1974). MURRELL, S.A. FA criterion forthe bile finctate of rocks and concrete under ‘sal ses, end ‘he iss of pore pressreon the anteon. Proc. th Rock Mechs, Symposium, meso, C. Fa Inust (B49, pp. 365.577, Pergamon res, Oxford, 1963, ‘SMITH, . N. Berens of Soll Mechanics Chapter 4, Shea Seng of sl, p. 73-107), Crosby Lock. ‘wood, London, 1988