Petroleum Engineering Department

ROCK MECHANICS
Lecture 5

Rock failure criteria

By: Foad Yousefi

 Rock Mechanics Lecture 5

Rock strength anisotropy

In general, rocks or rock masses always present a certain degree of anisotropy, particularly in
fractured (jointed) rock masses or slates, shales, and schists. The effect of the stress states on failure
behavior in anisotropic rocks has been studied by many researchers using triaxial compressive
tests (σ1 > σ2 ≥ σ3). Donath extensively studied the strong influence of planar anisotropy on rock
strength. Fig. 3.16 shows schematically his experimental method and the observed results. The
right graph in Fig. 5.1 shows the differential stress (σ1 − σ3) at failure as a function of angle a for
different confining pressure (Pc = σ2 = σ3).

Fig.5. 1. Compressive strength (or σ1 − σ3) of the anisotropic rocks as function of the angle α between
the maximum principal stress (σ1) and weak planes under the conventional triaxial compression.

Here α is the angle between the maximum stress (σ1) and the orientation of the weak planes (or
bedding planes). As can be seen in this figure, the compressive strength of the anisotropic rock is
the lowest at around α = 30o. Fig. 5.2 presents laboratory test results of the compressive strength
of Tournemire shale versus the plane of weakness. Again, it shows that the compressive strength
of the anisotropic rocks is the lowest at α≈30o. These results show that failure of anisotropic rocks
is likely to occur when the angle α is nearly equal to the shear failure angle of isotropic rocks with
roughly similar solidity, because the failure angles of isotropic rocks are nearly α = 30o in many
cases.

1
By: Foad Yosefi
 Rock Mechanics Lecture 5

Fig.5. 2. Triaxial compressive test results for Tournemire shale showing the variation of peak principal
stress difference (σ1 − σ3) with the angle of inclination of the major principal stress to the plane of
weakness (α), for the confining pressures (s3) indicated

The bedding planes in rock formations cause rock strength anisotropy. Willson et al. (2007)
presented the following equation to calculate rock UCS variation relative to the bedding planes:

where UCSϑ is the uniaxial compressive strength at ϑ with consideration of bedding effects; ϑ is
the angle between the stress concentration orientation and the bedding plane, ϑ=0 represents
loading perpendicular to bedding; and ϑ=90o represents loading parallel to bedding; UCSmax is the
maximum strength at any orientation; k1 and k2 are defined in the following:

where q∥ is the strength with the bedding parallel to the sample axis; q⊥ is the strength with the
bedding perpendicular to the sample axis; UCSmin is the minimum strength at any orientation.

2
By: Foad Yosefi
 Rock Mechanics Lecture 5

Failure mechanics
• Tensile failure
• Shear failure

Tensile failure
Tensile failure occurs when the effective tensile stress across some plane in the sample exceeds a
critical limit. This limit is called the tensile strength, it is given the symbol T0, and has the same
unit as stress. The tensile strength is a characteristic property of the rock. Most sedimentary rocks
have a rather low tensile strength, typically only a few MPa or less. In fact, it is a standard
approximation for several applications that the tensile strength is zero.
A sample that suffers tensile failure typically splits along one—or very few—fracture planes, as
illustrated in Fig.5.3. a. Thus tensile failure is a highly localized and inhomogeneous process. The
fracture planes often originate from preexisting cracks, oriented more or less normal to the
direction of the tensile stress. The highest probability for further damage of the rock is at the
perimeter of the largest of these cracks, hence the largest crack(s) will grow increasingly faster
than the other, and rapidly split the sample.

Fig.5.3. a) Tensile failure. b) Shear failure.

3
By: Foad Yosefi
 Rock Mechanics Lecture 5

The failure criterion, which specifies the stress condition for which tensile failure will occur, and
identifies the location of the failure surface in principal stress space, is given as:

For isotropic rocks, the conditions for tensile failure will always be fulfilled first for the lowest
principal stress, so that the tensile failure criterion becomes

Shear failure
Shear failure occurs when the shear stress along some plane in the sample is sufficiently high.
Eventually, a fault zone will develop along the failure plane, and the two sides of the plane will
move relative to each other in a frictional process, as shown in Fig.5.3. b. It is well known that the
frictional force that acts against the relative movement of two bodies in contact depends on the
force that presses the bodies together. It is, therefore, reasonable to assume that the critical shear
stress (τmax) for which shear failure occurs, depends on the normal stress (σ) acting over the failure
plane. That is:

|𝜏| = ƒ(𝜎) 1

This assumption is called Mohr’s hypothesis.

In the τ–σ plane, Eq. (1) describes a line that separates a “safe region” from a “failure” region, and
we may consider Eq. (1) as a representation of the failure surface in the τ–σ plane. The line is
sometimes referred to as the failure line or the failure envelope. An example is shown in Fig. 2,
where we have also indicated the three principal stresses and the Mohr’s circles connecting them.
It was explained before that for a given set of principal stresses all possible combinations of τ and
σ lie within the area in between the three circles (i.e. the shaded area of Fig. 5.4). The stress state
of Fig. 5.4. represents a safe situation, as no plane within the rock has a combination of τ and σ
that lies above the failure line. Assume now that σ1 is increased. The circle connecting σ1 and σ3
will expand, and eventually touch the failure line. The failure criterion is then fulfilled for some

4
By: Foad Yosefi
 Rock Mechanics Lecture 5

plane(s) in the sample, and the sample fails. Note that the value of the intermediate principal stress
(σ2) has no influence on this situation. Since σ2 by definition lies within the range (σ3, σ1), it does
not affect the outermost of Mohr’s circles, and hence it does not affect the failure. Thus, pure shear
failure, as defined by Mohr’s hypothesis, depends only on the minimum and maximum principal
stresses and not on the intermediate stress.

Fig.5. 4. Failure line, as specified by Eq. (1), in the shear stress–normal stress diagram.
Also shown are the Mohr circles connecting the principal stresses σ1, σ2, σ3.

Mohre-Coulomb failure criterion

Linear Mohre-Coulomb failure criterion
Shear failure occurs when the shear strength of a formation is exceeded. Even for compressive
loading, shear failure can also happen in the rock as shown in Fig. 4.8B and C. Fig.5.5 is field-
observed Z-shape sigmoidal veins (shear fractures) developed by the shear stresses. When a rock
is loaded by the far-field principal stresses, shear stresses can be generated on an inclined plane as
shown in Fig. 5.6. Shear failures will occur in the rock when shear stress overcomes the friction
stress (μσn or σntanφ) plus rock inherent shear strength or cohesion (c). The Mohre-Coulomb
failure criterion uses this principle to describe the shear failure mechanism. For dry rocks, the
Mohre-Coulomb failure criterion says that when the shear stress, τ, is greater than c + σntanφ, the
shear failure occurs.

5
By: Foad Yosefi
 Rock Mechanics Lecture 5

Fig.5. 5. Field example of shear failures in sigmoidal veins. Fig.5. 6. Shear stresses developed in an inclined
plane in the rock under far-field compressive
. stresses.

The Mohre-Coulomb failure criterion can be written as the following linear form between shear
and normal stresses:
5.1

where σn is the normal stress; τ is the shear stress; c is the cohesion (also called the inherent shear
strength); φ is the angle of internal friction, μ=tanφ; μ is the coefficient of friction. For a fractured
rock, it can be assumed c = 0.
In the principal stress space, (σ1, σ2, σ3), the Mohre-Coulomb failure criterion can be expressed as
follows:

where σ1 and σ3 are the maximum and minimum principal stresses, respectively; and

Based on the Mohre-Coulomb failure criterion, the UCS, angle of internal friction and cohesion
have the following relation:

6
By: Foad Yosefi
 Rock Mechanics Lecture 5

When the experimental results of the maximum and minimum effective stresses (difference of total
stress and pore pressure) are plotted at failure in a Darley Dale sandstone, the failure data nearly
form a single failure curve, which in this particular case is nearly a straight line, but slightly
concave downward (Fig. 5.7). Therefore, for the porous rock in the principal effective stress space,
the Mohre-Coulomb failure criterion can be expressed as the following:

Fig.5. 7. Effective stresses at failure in a Darley Dale sandstone.

5.2

where σ1′ and σ′3 are the maximum and minimum effective principal stresses, respectively.
Therefore, the Mohre-Coulomb failure envelope of Eq. (5.1) can be expressed in the effective
stress forms as follows:
5.3

It can be observed from Eq. (5. 3) that pore pressure reduces rock shear strength. A simple physical
interpretation of this condition is that, while the normal stress tends to strengthen a fracture inside
the rock, by pushing the two opposing rock faces together, the pore pressure acts to weaken it, by
pushing the two opposing rock faces apart.

7
By: Foad Yosefi
 Rock Mechanics Lecture 5

Fig.5.8. The Mohre-Coulomb failure criterion in the effective stress domain. (A). shear failure plane under
triaxial compression condition; (B). the Mohr circles and the linear shear failure envelope (tangent line of the
Mohr circles).

The Mohre-Coulomb failure criterion can be depicted by the Mohr circle diagram. Fig. 3.21 shows
the Mohr circle and Mohre-Coulomb failure envelope. Shear failure will not occur if the values of
(σ′𝑛 , τ) of a point in Fig. 5.8 lie below the failure envelope. In the Mohre-Coulomb criterion, two
conclusions should be noted: (1) the intermediate principal stress σ′2 does not affect shear failure
and this may overestimate rock failure; (2) the plane of the shear fracture passes through the
direction of the intermediate stress. These conclusions can be applied to determine the direction of
the in situ intermediate stress when the stress regime is known. The most likely shear failure plane
can be obtained from the Mohr circles and the Mohre-Coulomb envelope, when the Mohr circle
touches the failure envelope as shown in Fig. 5.8. The angle of the shear failure plane can be
obtained from the geometric relationship in Fig. 5.8:

From triaxial compression test results, the Mohr circles and Mohre Coulomb failure envelope can
be obtained. If several experimental datasets are available, the Mohr circles can be drawn, as shown
in Fig. 5.8. Then, the cohesion and angle of internal friction can be calculated according to the
geometric relationship shown in Fig. 5.8. Using two Mohr circles as an example, the following
relations can be obtained:

8
By: Foad Yosefi
 Rock Mechanics Lecture 5

(Circle 2) (Circle 1) (Circle 2) (Circle 1)

R1 and R2 are the radii of circles 1 and 2, respectively; X1 and X2 are the distances from the origin
to the circle center in circles 1 and 2, respectively. Notice that the values of σ1 and σ3 in circle 1
are different from those in circle 2.

Fig.5.9. Over pressured pore pressure (pp from the normal pressure of pn = 31 MPa increasing to 40 and 45 MPa) moving
the Mohr circles to the left. (A) both total stresses (σ1 and σ3) have no change with pore pressure variations; (B) the
minimum stress (s3) increases as the pore pressure increases (assuming the stress path ∆h/∆p = 0.6) but no change in
vertical stress σ1.
9
By: Foad Yosefi
 Rock Mechanics Lecture 5

Fig. 5.9 illustrates how pore pressures affect the Mohr circles and rock failures. It shows a case for
a shale oil formation at a depth of 3100 m, where the vertical stress σv = σ1 = 73 MPa, the minimum
horizontal stress σ3 = 50 MPa, and the hydrostatic pressure pn =31 MPa. Two scenarios on how
pore pressure variations impact the minimum stress are examined here. If the total stresses (σ1, σ2,
and σ3) keep unchanged with pore pressure variations, the increase in pore pressure (or
overpressure) will reduce the minimum and maximum effective stresses (σ1′ , σ′3 ). This will move
the Mohr circle to the left side, making the Mohr circle touch or cross the shear failure envelope
and causing shear failures (Fig. 5.9A). However, in most cases, the increase of pore pressure may
also cause the minimum horizontal stress σ3 to increase as the field observed. Therefore, the other
scenario is that the increase in the minimum horizontal stress induced by the increase of pore
pressure causes the Mohr circle size reduction (Fig. 5.9B) with the assumption of no change in
vertical stress σv. The rock in this case is much less likely to have shear failures than the one shown
in Fig. 5.9A. By contrast, the decrease in pore pressure (e.g., the reservoir depletion) increases the
Mohr circle size and moves the circle to the right side, and the increased Mohr circle sizes may,
then, cross the shear failure envelope and cause shear failures (see Fig. 5.9B).

Modified Mohre-Coulomb failure criterion

Triaxial tests have found that the Mohre-Coulomb failure envelope has a nonlinear behavior (e.g.,
Fig. 5.10). It was recognized in 1970s that the shear-strength envelopes for intact rocks, when
tested over a wide range of confining stress, would have an obvious curvature, and eventually
reach a horizontal stage with no further increase in strength. This was termed the “critical state,”
and the simple relation σ1 = 3σ3 suggested itself, as illustrated in Fig. 5.11. This critical state can
be considered as the separation between the brittle and ductile deformation of the rock as illustrated
in Fig. 5.11. In ductile and brittle deformation stages, the rock behaviors are very different.

10
By: Foad Yosefi
 Rock Mechanics Lecture 5

Fig.5.10. Nonlinear failure envelope from triaxial compression tests for Daye marble.

Fig.5.11. Critical state line (defined by σ1 = 3σ3) suggested by numerous high-pressure

triaxial strength tests in dry rocks. Note the closeness of the unconfined strength (UCS)
circle to the confining pressure σscrti. ‘J’ represents jointed rock. The magnitude of φc is
26.6 degrees when σ1 = 3σ3. For porous rocks, effective stresses should be used to
replace the total stresses.

The rock loaded at a low confining pressure (small σ1- σ3) is brittle as shown in Fig. 5.12, meaning
that after reaching the peak stress the strength decreases to a residual value determined by frictional
sliding. The difference between the peak and residual strengths is the stress drop (Fig. 5.12). At a
high confining pressure, however, no stress drop occurs, and the rock is in elastic perfectly plastic

11
By: Foad Yosefi
 Rock Mechanics Lecture 5

deformation. The transition of the confining pressure at which no loss in strength occurs is a
possible definition of the brittle-ductile transition.

Fig.5.12. Schematic triaxial stress-strain curves for rock loaded at different confining
pressures and the brittle-ductile transition.

A study by Singh et al., involving reanalysis of thousands of reported triaxial tests, has revealed
the astonishing simplicity of the following equality: UCS ≈ σscrti (i.e., critical σ3) for the majority
of rock types. In other words, the two Mohr circles referred to in Fig. 5.11 are touching at their
circumference. The curvature of peak shear strength envelopes is more correctly described, so that
few triaxial tests are required, only needed to be performed at low confining stress, to delineate
the whole strength envelope. This simplicity does not of course apply to the case, where triaxial
tests are required over a wide range of confining stress, to correct the envelope, usually to adjust
to greater local curvature.
Singh et al. basically modified the Mohre-Coulomb criterion by absorbing the critical state defined
in Barton and then quantifying the necessary deviation from the linear form, using a large body of
experimental test data. This modified Mohre-Coulomb nonlinear failure criterion may be written
in the effective stress form as follows:

5.4

12
By: Foad Yosefi
 Rock Mechanics Lecture 5

where A is an empirical constant for the rock type under consideration. Eq. (5.4) is the linear
2
Mohre-Coulomb failure criterion (Eq. 5.2) except the last team -Aσ1′ . For 0 ≤ σ′3 , ≤ σ′crti , Singh
et al. found that parameter A has the following form:

where σ′crti is the critical effective confining stress and σ′crti ≈ UCS. In the tensile stress area (i.e.,
σ3 < 0) in Fig. 5.11.

Weak plane sliding failure criterion

Because most sedimentary and metamorphic rocks are anisotropic, the effect of anisotropy on
strength is of great importance. The simplest situation is the planar anisotropy in which a rock
mass has a set of parallel planes of weakness, as shown in the experimental results (Fig. 5.1). Using
the Mohre-Coulomb failure criterion, Jaeger and Cook gave the following equation to calculate
the maximum and minimum principal stresses associated with the weak plane sliding along
preexisting planes of weakness for a rock mass having a set of parallel planes of weakness:

5.5

where, β is the angle between σ1 and the normal to the planes of weakness, and φw < β < 90o (refer
to Fig. 5.13); it should be noted that the angle of β is different from α in Fig. 5.1, and α = 90o - β;
σ1 and σ3 are the maximum and minimum principal stresses, respectively; cw is the cohesion of the
plane of weakness; φw, μw are the angle and coefficient of internal friction in the plane of
weakness, respectively; μw=tanφw; and φw is the angle of internal friction in the plane of weakness.

13
By: Foad Yosefi
 Rock Mechanics Lecture 5

Fig.5.13. (A). Transversely isotropic specimen with a set of parallel weak planes in a triaxial
compression test; (B). Schematic rock peak strength variation with the angle, β, in the triaxial
test at a constant confining stress (σ3) inspired by experimental tests and Eq. (5.5).

In terms of effective stresses, Eq. (5.5) can be expressed in the following form:

5.6

The value of σ1 required to cause failure, as given by Eqs. (5.5) and (5.6), trends to infinity as β
→90o or β → φw (i.e., failure in the rock). In other words, when 0 < β < φw and β = 90o, the planes
of weakness have no impact on the rock strength. If φw < β < 90o, shear failure will occur in the
weak planes at a finite value of σ1 that varies with β, as shown in Fig. 5.13B. The minimum
strength occurs in the following condition (refer to Fig. 5.13B):

5.7
Compared to the experimental results in the outcrop of the Mancos shale, the model of the planes
of weakness Eq. (5.5) gives a good prediction (Fig. 5.14). For multiple sets of parallel planes of
weakness, superposition principle can be used in Eq. (5.6) to solve the complex problem.

14
By: Foad Yosefi
 Rock Mechanics Lecture 5

Fig.5.14. Measured uniaxial compressive strengths versus β and the strength

predicted by the planes of weakness model in the Mancos shale (Eq. 5.5).

Fig.5.15. Shear failure plane (A) and the Mohr circle (B) in the rock with a set of
parallel planes of weakness.

Fig. 5.15 plots the Mohre-Coulomb failure envelope and the Mohr circle representation of the rock
containing a set of parallel planes of weakness. The shear failure angle (βw) in the shear failure
plane of the rock can be obtained from the Mohr circle, i.e., βw = 45o + φw/2. Compared to Eq.
(5.7), the minimum strength or the shear failure that the anisotropic rock is most likely to occur is
when the bedding angle, β, is equal to the shear failure angle (βw), i.e., β = βw = βmin.

15
By: Foad Yosefi