International Journal of Rock Mechanics and Mining Sciences 37 (2000) 1013±1018

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Technical Note

Ultimate bearing capacity of rock masses based on the modi®ed

Hoek±Brown criterion
A. Serrano a, C. Olalla b,*, J. GonzaÂlez c
a
E.T.S.I.C.C.P. Univ. PoliteÂcnica, Madrid, Spain
b
Lab. Geotecnia, CEDEX-MOPTMA, Alfonso XII, 3 y 5, 28014, Madrid, Spain
c
Ing. del Suelo, S.A., Madrid, Spain

Accepted 3 April 2000

 n
s1 ÿ s3 s3
1. Introduction ˆ m ‡s …2:1†
sc sc
In a previous paper [1], a method to determine the
ultimate bearing capacity of a homogeneous and iso- where s1 is the major principal stress at failure, s3 is
tropic rock mass was presented using the Hoek±Brown the minor principal stress, sc is the uniaxial compres-
failure criterion [2]. Hoek et al. [3] modi®ed their orig- sive strength of the intact rock, and m, s are constants
inal model, in order to apply it to highly fractured that depend on the characteristics of the rock and the
media (RMR R 25), incorporating a new exponent degree of fracturing. The value of the exponent n
``n'' ranging between 0.5 and 0.65. A value of the ranges from n = 0.5 to n = 0.65 and also depends on
exponent of n = 0.5 corresponds to the original cri- the degree of fracturing.
terion. The expression for the modi®ed Hoek±Brown failure
In this technical note, the method for obtaining the criterion involving Lambe's variables for plane strain,
ultimate bearing capacity is generalized for the new ( p=(s1+s3)/2 and q=(s1ÿs3)/2), allows for a simpli-
failure criterion. All the hypotheses, and thus the val- ®ed and normalized treatment of the rock mass failure
idity and applicability of the new method, are the phenomenon. With these variables, the modi®ed
same as the old one: plane strain, weightless mass, Hoek±Brown failure criterion is expressed as follows:
without inertial forces, etc. Consequently, this paper "  k #
should be read together with the previous one [1]. p q q
‡ zn ˆ 1 ‡ …1 ÿ n† …2:2†
New values of the Nb factor are obtained for di€er- bn bn bn
ent magnitudes of the exponent, (n ), which allow the
ultimate bearing capacities to be calculated.
where k, bn and zn are constants for the rock mass,
and depend on n, m, s and sc in the following way:

k ˆ …1 ÿ n†=n; bn ˆ An sc ; zn ˆ s=…mAn † …2:3†

2. Analysis of the modi®ed Hoek±Brown failure
criterion where

The modi®ed Hoek±Brown criterion [3], which is Akn ˆ m…1 ÿ n†=21=n

valid for extremely fractured rock mass, is as follows:
In dimensionless and normalized form, the failure cri-
terion becomes:
* Corresponding author. Tel.: +34-91-335-7300; fax: +34-91-335-
7322.
E-mail address: colalla@cedex.es (C. Olalla). p0  p ‡ zn ˆ b1 ‡ …1 ÿ n†qk cq …2:4†

1365-1609/00/$ - see front matter 7 2000 Elsevier Science Ltd. All rights reserved.
PII: S 1 3 6 5 - 1 6 0 9 ( 0 0 ) 0 0 0 2 8 - 9
1014 A. Serrano et al. / International Journal of Rock Mechanics and Mining Sciences 37 (2000) 1013±1018
 
where p and q are the normalized and dimensionless t 1 ÿ sin r 1=k
t  ˆ cos r
Lambe's variables, …p0 ˆ p=bn ‡ zn ; q=q/bn). bn k sin r
The envelope of Mohr failure circles, t=t(s ), is
de®ned by: s
s0  ‡ zn ˆ …n ‡ sin
bn
t ˆ q cos r
  1=k …2:9†
1 ÿ sin r 1 ÿ sin r
r†
s ˆ p ÿ q sin r …2:5† sin r k sin r

where r is the ``instantaneous friction angle''. This is Fig. 1 shows expressions (2.9) for n = 0.5 and n =
the angle that the tangent to the Mohr±Coulomb 0.65, respectively.
envelope forms with the abscissa axis, at the tangent
point to Mohr's circle.
The following is obtained using previous ex-
pressions:
3. Obtaining Riemann's invariant
dq
ˆ sin r …2:6† When there are no mass forces along the character-
dp
istic stress lines, the following di€erential equations are
Taking into account Eq. (2.4), veri®ed [1]:
dq 1 cos r
sin r ˆ ˆ …2:7† dp2dc ˆ 0 …3:1†

dp0 1 ‡ kqk 2q

If it is taken into account that sin r=dq/dp; together

The following parametric equations are obtained for
with (2.8), then:
the criterion with Lambe's variables [after (2.4) and
(2.7)]: cot r dq
2dc ˆ 0 …3:2†
 1=k 2 q
q 1 ÿ sin r
q  ˆ …2:8a† Taking into account (2.8a):
bn k sin r
dq 1 ‡ sin r
  1=k ˆ …3:3†
p 1 ‡ k sin r 1 ÿ sin r q k sin r cos r
p0  ‡ zn ˆ n …2:8b†
bn sin r k sin r The ``Riemann's invariant'' is:
… … …
The parametric expressions for Mohr's envelope can cos r cot r dq
In …r†  dIn …r† ˆ dp ˆ …3:4†
be obtained by taking into account (2.5) and (2.8): 2q 2 q

Taking into account (3.3):

… …
1 1 ‡ sin r
dIn …r† ˆ ÿ dr …3:5†
k 2 sin 2 r

The change of the Riemann's invariant along the

Fig. 1. The Mohr's envelope of the failure stress circles (modi®ed
Hoek±Brown criterion).
characteristic stress lines is the change of position of
the pole on the Mohr's circles, as Eq. (3.2) expresses.
The Riemann's invariant is useful because, if we know
the change of the position of the pole, we can evaluate
the change of the instantaneous friction angle (known
from the Riemann's invariant), and then the Mohr's
circle which allows the evaluation of the stresses.
The invariant for the modi®ed Hoek±Brown cri-
terion is, integrating (3.5):
   
1 r
In …r† ˆ cot r ‡ ln cot …3:6†
2k 2
The Riemann's invariant for the original criterion is:
 A. Serrano et al. / International Journal of Rock Mechanics and Mining Sciences 37 (2000) 1013±1018 1015
   s01
1 r ˆ cos
I…r† ˆ cot r ‡ ln cot …3:7† bn
2 2
2
Then  1=k  
1 ÿ sin r1 4n 1 ‡ sin r1 cos
i01
I…r† k sin r1 sin r1 …4:4†
In …r† ˆ …3:8†
k s 3
   2
and 1 ‡ k sin r1
i01 ÿ 1 ÿ n sin 01 5
sin r1
In …r†2c ˆ constant …3:9†
where i01 is the ``ecient'' inclination of the load at
Boundary 1, de®ned by tan i01=t/s01. Angle r1 is
obtained from this equation.
4. Ultimate bearing capacity
The inclination of the major principal stress, c1, at
Boundary 1 is expressed by the following:
4.1. Procedure
t
sin 2…c1 ‡ a† ˆ …4:5†
The general theory of ultimate bearing capacity the- q
ory is applied to the speci®c case of assuming that the
modi®ed Hoek±Brown criterion applies. The method- where a is the slope of Boundary 1. Then the following
ology followed is identical to the one used in the pre- holds:
vious paper [1]. 0
Along the characteristic line of the family a, the fol- p 1 ÿ1 B
@
lowing is veri®ed if there is no ground weight: c1 ‡ a ˆ ÿ sin sin
2 2
dIn …r† ‡ dc ˆ 0 …4:1† 2
 
If this expression is integrated between one point lying 4 1 ‡ sin r1 …4:6†
i01 n cos
on Boundary 1 and another point lying on Boundary sin r1
2, the following holds:
1
s 3
In …r1 † ‡ c1 ˆ In …r2 † ‡ c2 …4:2†    2
1 ‡ k sin r1 C
i01 ÿ 1 ÿ n sin i01 5 A
This expression is the key to ®nding the ultimate bear- sin r1
ing capacity. If one knows the values of variables c1
and r1 at Boundary 1 and variable c2 under the foun- The above equation can be used to obtain the incli-
dation (Boundary 2), r2 can be obtained. This friction nation of the major principal stress inclinations at
angle r2 makes it possible to determine the ultimate Boundary 1, (c1), as a function of the instantaneous
bearing capacity by means of Eq. (2.9). friction angle (r1).

4.2. Boundary conditions

4.2.2. Transmission from Boundary 1 to Boundary 2
In the case of the ultimate bearing capacity, the so- The value of In (r2)+c2 in Boundary 2 can be found
called maximum and minimum Mohr's circles refer to using Riemann's modi®ed invariant:
stress conditions at Boundaries 1 and 2, respectively.
In …r1 † ‡ c1 ˆ In …r2 † ‡ c2 …4:2†
4.2.1. Boundary 1
When the shear and normal stresses at Boundary 1
are known (t and s ) the instantaneous friction angle
(r1), is given by the equation that de®nes Mohr's cir- 4.2.3. Boundary 2
cle: If the load of the foundation is normal at Boundary
2, it holds that c2=0 and so the value of r2 is deter-
 2  
t s0 2 mined directly by Eq. (4.2). If the load is inclined, c2
‡ p0 ÿ ˆ q2 …4:3† $ 0, and c2 is not determined beforehand, but also
bn bn
depends on the result of the ultimate bearing capacity.
with s0=s+bnzn. In this case, an iterative process is required.
This equation, together with Eq. (2.8), and the The minimum Mohr's circle for Boundary 2 is
pressures at boundary (t, s ), can be written as follows: expressed by the following equation:
1016 A. Serrano et al. / International Journal of Rock Mechanics and Mining Sciences 37 (2000) 1013±1018

s02
ˆ cos where Nb  s02 , that is to say:
bn
2
 1=k   Nb ˆ cos
1 ÿ sin r2 4n 1 ‡ sin r2 cos
i02 2
k sin r2 sin r2 …4:7†  1=k  
1 ÿ sin r2 4n 1 ‡ sin r2 cos
s 3 i02
   2 k sin r2 sin r2 …4:12†
1 ‡ k sin r2
i02 ‡ 1 ÿ n sin i02 5 s 3
sin r2    2
1 ‡ k sin r2
i02 ‡ 1 ÿ n sin i02 5
sin r2
The direction of the major principal stress c2 is given
by:

t
sin 2c2 ˆ …4:8†
q
4.3.2. Simpli®ed cases
Taking into account (2.8) and (2.9), this equation is as 1. If the load on exterior Boundary 1 is normal to the
follows: surface, i1=0, and therefore, c1+a=p/2, where a is
the angle of inclination for Boundary 1. Eq. (4.4)
0 2
  becomes:
1 ÿ1 B 1 ‡ sin r2
c2 ˆ sin @ sin i02 4n cos s1
2 sin r2 s01  ‡ zn
bn
1 …4:9†  1=k    
s 3 1 ÿ sin r1 1 ‡ sin r1
   2 ˆ n ÿ1 …4:13†
1 ‡ k sin r2 C
i02 ‡ 1 ÿ n sin i02 5 A k sin r1 sin r1
sin r2
This equation yields r1, and, therefore, the invariant
(In (r1)) can also be obtained. It can be ``trans-
The ecient inclination i02 of the load of the foun-
mitted'' to Boundary 2 by means of Eq. (4.2).
dation is de®ned by:
2. The load of the foundation is also normal at its
boundary. Then, i2=0, so c2=0. Therefore:
t tan i2
tan i02 ˆ ˆ   …4:10†
s0 zn
1‡
s0 ÿ zn
Table 1
Values of factor Nb for di€erent values of the exponent n with hori-
The system of Eqs. (4.2), (4.7), (4.9) and (4.10) allows
zontal ground and vertical external loads
one to ®nd the unknowns r2, c2, s0 and i02. This sys-
tem can be solved by iteration. The starting point for s01 a 0.50 0.55 0.60 0.65
the iteration is (c2)init=0 and (i2)init=i02. Eq. (4.2)
gives (r2)int. From Eqs. (4.7) and (4.9) with (i02)=i2 0 2.66 2.21 1.66 1.06
10ÿ6 2.89 2.25 1.75 1.24
and (r2)init the new c2 is determined. Finally, Eq.
10ÿ5 3.01 2.34 1.87 1.40
(4.10) provides the new i02. Now with the new c2 and 10ÿ4 3.30 2.54 2.13 1.74
i02 the iterative process can proceed. 5  10ÿ4 3.65 2.88 2.51 2.20

10ÿ3 3.86 3.10 2.77 2.53

5  10ÿ3 4.56 3.96 3.73 3.66
10ÿ2 5.00 4.53 4.39 4.45
2  10ÿ2 5.54 5.27 5.27 5.53
4.3. Ultimate bearing capacity 4  10ÿ2 6.26 6.23 6.45 7.01

0.1 7.54 7.96 8.67 9.88

4.3.1. General case 0.2 8.90 9.78 11.07 13.08
The equation that gives the ultimate bearing ca- 0.4 10.77 12.26 14.39 17.62
pacity Ph is 0.7 12.81 14.97 18.04 22.69
1 14.45 17.14 20.98 26.84

Ph  s2 ˆ bn …Nb ÿ zn † …4:11† a
s01 ˆ …s1 =bn † ‡ zn :.
 A. Serrano et al. / International Journal of Rock Mechanics and Mining Sciences 37 (2000) 1013±1018 1017

5.1. Procedure

(A) Hoek±Brown parameters:

 
GSI ÿ 100
m ˆ m0 exp ˆ 19
28
 
20 ÿ 100
exp ˆ 1:0912
28

   
GSI ÿ 100 20 ÿ 100
s ˆ exp ˆ exp
9 9

ˆ 1:379  10 ÿ4

Fig. 2. Nb factors depending on the external load (for exponents n =

GSI 20
0.5; 0.55; 0.6; and 0.65). n ˆ 0:65 ÿ ˆ 0:65 ÿ ˆ 0:55
200 200
(B) Intermediate parameters:
p
In …r2 † ˆ In …r1 † ‡ ÿa …4:14†
2 …1 ÿ n† 1 ÿ 0:55
kˆ ˆ ˆ 0:8181
n 0:55
and
 1=k     1=k ˆ 1=0:818 ˆ 1:2222
1 ÿ sin r2 1 ‡ sin r2
Nb ˆ n ‡1 …4:15†
k sin r2 sin r2
Akn ˆ m…1 ÿ n†=21=n ˆ 1:01…1 ÿ 0:55†=21=0:55 ˆ 0:1391
Eq. (4.14) makes it possible to directly determine r2
as a function of the loads at Boundary 1 and par-
ameters zn and bn of the rock. An ˆ 0:13911:222 ˆ 0:0898
3. Boundary 1 is horizontal. Then a=0. If the two
aforementioned conditions (i2=0, i1=0) are veri®ed, bn ˆ An sc ˆ 0:0898  10 ˆ 0:898 MPa
the process becomes much simpler, and the solution
can be found immediately. In such cases, the table
shown below (Table 1) gives the coecient Nb as a zn ˆ s=mAn ˆ 1:38  10 ÿ4 =…1:091  0:0898†
function of the external normalized load at Bound-
ary 1, …s01 †: ˆ 1:41  10 ÿ3

Fig. 2 shows these results as a graph.

s1 ˆ 0:4  22:5 ˆ 9:0 kN=m 2

5. Example s1 9
s01 ˆ ‡ zn ˆ ‡ 1:41  10 ÿ3 ˆ 0:0114
bn 898
Calculate the ultimate load of the shallow foun-
(C) Ultimate load (Ph): using Fig. 2; Nb34.6 for s01 ˆ
dation depicted in Fig. 3.
0:0114: Ph=bn (Nbÿzn)30.898(4.6)=4.16 MPa.
A spreadsheet may be easily prepared.

6. Conclusions

1. The modi®ed Hoek±Brown criterion [3] has been

used to calculate the ultimate bearing capacity of
rock masses using the plasticity theory and the
Fig. 3. Example. characteristic method, as was done in the previous
1018 A. Serrano et al. / International Journal of Rock Mechanics and Mining Sciences 37 (2000) 1013±1018
paper [1] with the original Hoek±Brown criterion
[2].
2. This procedure is valid under the assumptions of
plane strain, homogeneity, isotropy and weightless
rock media.
3. The modi®ed Hoek±Brown criterion formulated in
principal stresses [Eq. (2.1)] can also be expressed in
a rigorous manner using the classical shear (t ) and
normal (s ) stresses (Mohr's envelope of the stresses)
in parametric form [Eq. (2.9) and Fig. 1]. Conse-
quently, these formulae are valid for determining
the evolution of the ``instantaneous internal friction
angle'' and the corresponding ``cohesion'' with the
levels of stresses.
4. The ultimate load of a shallow foundation can be
calculated using Eq. (4.11). For the simple case of
horizontal ground and vertical loads, a nomogram
is provided for obtaining the Nb factor.
References
[1] Serrano A, Olalla C. Ultimate bearing capacity of rock masses.
Int J Rock Mech Min Sci Geomech Abstr 1994;31:93±
106.
[2] Hoek E, Brown E. Empirical strength criterion for rock masses.
J. Geotech. Eng. Division. American Society of Civil Engineers
1980;106(GT9):1013±35.
[3] Hoek E, Wood D, Shah S. A modi®ed Hoek±Brown cri-
terion for jointed rock masses. In: Hudson JA, editor.
Proceedings of the Rock Characterization Symposium of
ISRM: Eurock 92. London: British Geotechnical Society,
1992. pp. 209±14.