Considerations on strength of intact sedimentary rocks

This study presents the results of laboratory testing of sedimentary rocks under point loading as well as in uniaxial and triaxial compression. From the statistical analysis of the data, different conversion factors relating uniaxial compressive and point loading strength were determined for soft to strong rocks. Additionally, the material constant m_i, an input parameter for the Hoek and Brown failure criterion, was also estimated for different limestone samples by analysing the results from a series of triaxial compression tests under different confining pressures. The uniaxial compressive strength (UCS) of intact rocks, as estimated from the point load index using conversion factors, together with the Hoek–Brown constant m_i, and the Geological Strength Index (GSI) constitute the parameters for the calculation of the strength and deformability of rock masses.     

A three-dimensional Hoek–Brown failure criterion based on an elliptical Lode dependence

A new three-dimensional (3D) Hoek–Brown (HB) failure criterion based on an elliptical Lode dependence is proposed to describe failure of rocks and concrete under multiaxial stress states. This criterion not only inherits all benefits of the classical HB criterion that is developed for the triaxial compression (TXC) of rocks but also accounts for the effect of the intermediate principal stress. It is capable of representing the strength difference between the triaxial extension (TXE) and TXC with the introduction of an additional coefficient k (0.5 ≤ k ≤ 1.0), which can be derived from TXE tests or taken as 0.53 for rocks in cases where the TXE test data is unavailable. Other two material constants (m_i and σ_ci) involved in this criterion can be obtained from TXC tests. Additionally, the failure surface of this criterion is smooth and convex on the deviatoric stress plane when 0.5 < k ≤ 1.0. The new criterion achieves very good fit to the test data of TXC/TXE, biaxial compression, and polyaxial compression (PXC) on a wide variety of rock materials and concrete, reported in the literature. Comparison of the new criterion with an existing 3D HB criterion based on the same Lode dependence has demonstrated that the new criterion performs better than the latter for test data of rock and concrete under multiaxial stress states except for PXC test data of one rock type. Finally, the influence of values of k on the accuracy of the new criterion is discussed.     

A Simplified Failure Criterion for Intact Rocks Based on Rock Type and Uniaxial Compressive Strength

The uniaxial compressive strength (UCS) of intact rock, which can be estimated using relatively straightforward and cost-effective techniques, is one of the most practical rock properties used in rock engineering. Thus, constitutive laws to represent the strength and behavior of (intact) rock frequently use it, along with additional intrinsic rock properties. Although triaxial tests can be employed to obtain best-fit failure criterion parameters that provide best strength predictions, they are more expensive and require time-consuming procedures; as a consequence, they are often not readily available at early stages of a project. Based on the analysis of an extensive triaxial test database for intact rocks, we propose a simplified empirical failure criterion in which rock strength at failure is expressed in terms of confining stress and UCS, with a new parameter which can be directly estimated from the UCS for a specified rock type in the absence of triaxial test data. Performance of the proposed failure criterion is then tested for validation against experimental data for eight rock types. The results show that strengths of intact rock estimated by the proposed failure criterion are in good agreement with experimental test data, with small discrepancies between estimated and measurements strengths. Therefore, the proposed criterion can be useful for preliminary (triaxial) strength estimation of intact rocks when triaxial tests data are not available.     

Studying the effect of non‐spherical micro‐particles on Hoek–Brown strength parameter mi using numerical true triaxial compressive tests

The strength parameter m_i in the Hoek–Brown strength criterion is empirical and was developed by trial and error. To better understand the fundamental relationship between m_i and the physical characteristics of intact rock, this paper presents a systematic study of m_i by representing intact rock as a densely packed cemented particle material and simulating its mechanical behavior using particle flow modeling. Specifically, the three‐dimensional particle flow code (PFC3D) was used to conduct numerical true triaxial compression tests on intact rock and to investigate the effect of non‐spherical micro‐particle parameters on m_i. To generate numerical intact rock specimens containing non‐spherical micro‐particles, a new genesis process was proposed, and a specific loop algorithm was used based on the efficiency of the process and the acceptability of generated specimens. Four main parameters—number, aspect ratio, size, and shape—of non‐spherical micro‐particles were studied, and the results indicated that they all have great effect on m_i. The strength parameter m_i increases when the number, aspect ratio, or size is larger or the shape becomes more irregular, mainly as a result of the higher level of interlocking between particles. This confirms the observations from engineering experience and laboratory experiments. To simulate the right strength parameter m_i, it is important to use appropriate non‐spherical micro‐particles by controlling these four parameters. This is further demonstrated by the simulation of two widely studied rocks, Lac du Bonnet granite and Carrara marble. Copyright © 2014 John Wiley & Sons, Ltd.     

Application of the Christensen Failure Criterion to Intact Rock

The Christensen criterion, originally introduced in materials science, has a simple mathematical form and uniaxial tensile and compressive strength as the only parameters, making it an attractive candidate for rock engineering purposes. In this study, the applicability of the criterion to rock materials is examined. Explicit equations for application of the criterion under biaxial, triaxial compression, triaxial extension, and polyaxial states of stresses are derived. A comprehensive strength data set including the results of tests on synthetic rock, chert dyke, Carrara marble and Westerly granite is utilized to examine the accuracy of the Christensen criterion to the failure of rock material. The two surprising findings about the Christensen criterion are the zero values of tensile strength and the very low slopes of the failure envelope obtained from fitting analyses for chert dyke and Westerly granite. It is shown that the two problems are interrelated and the values of tensile strength tend to zero to produce higher slopes. It is then mathematically proven that the maximum initial slope of the Christensen failure envelope is limited to 4 in triaxial compression and 2.5 in triaxial extension which is considerably lower than the slope of experimental data. The accuracy of the Christensen criterion was found to be significantly lower than the well-established Hoek–Brown criterion. The circular π-plane representations and brittle-to-ductile transition limits from the Christensen criterion are also inconsistent with the observed behavior of rocks.     

Probabilistic analysis of three-dimensional tunnel face stability in soft rock masses using Hoek–Brown failure criterion

This paper investigates tunnel face stability in soft rock masses via coupled limit and reliability analyses. Specifically, a 3D face collapse mechanism was first constructed. Then the Hoek–Brown failure criterion was introduced into the limit analysis via the tangential technique. Taking the variability of rock mass parameters and loads into consideration, a reliability model was established. The collapse pressure and failure range of tunnel faces were determined. In addition, the required factor of safety (FS) and supporting pressure under three safety levels were obtained, and the corresponding safety level graphs for support design were presented. Comparison of the obtained results with previous work demonstrates the rationality of the 3D collapse mechanism and the validity of the results. A decrease in the geological strength index, Hoek–Brown parameter m_i, and uniaxial compressive strength or an increase in the disturbance factor results in a nonlinear increase of the collapse pressure and an enlargement of the failure zone. Such changes also lead to a nonlinear increase of the required support pressure under a certain safety level. By contrast, the FS does not exhibit any obvious change when these parameters vary. Therefore, when a rock mass is of poor quality or heavily disturbed, the advance support should be enlarged from upper front to right above the tunnel face. Moreover, as the safety level increases, both the required FS and supporting pressure of the tunnel face increase nonlinearly at a higher rate.     

Practical Estimates of Tensile Strength and Hoek–Brown Strength Parameter m i of Brittle Rocks

By applying the Griffith stress criterion of brittle failure, one can find that the uniaxial compressive strength (σ_c) of rocks is eight times the value of the uniaxial tensile strength (σ_t). The Griffith strength ratio is smaller than what is normally measured for rocks, even with the consideration of crack closure. The reason is that Griffith’s theories address only the initiation of failure. Under tensile conditions, the crack propagation is unstable so that the tensile crack propagation stress (σ_cd)_t and the peak tensile strength σ_t are almost identical to the tensile crack initiation stress (σ_ci)_t. On the other hand, the crack growth after crack initiation is stable under a predominantly compressive condition. Additional loading is required in compression to bring the stress from the crack initiation stress σ_ci to the peak strength σ_c. It is proposed to estimate the tensile strength of strong brittle rocks from the strength ratio of R = \fracs_\textc | s_\textt | = 8\fracs_\textc s_\textci . R = {\frac{{\sigma_{\text{c}} }}{{\left| {\sigma_{\text{t}} } \right|}}} = 8{\frac{{\sigma_{\text{c}} }}{{\sigma_{\text{ci}} }}}. The term \fracs_\textc s_\textci {\frac{{\sigma_{\text{c}} }}{{\sigma_{\text{ci}} }}} accounts for the difference of crack growth or propagation in tension and compression in uniaxial compression tests. \fracs_c s_ci {\frac{{\sigma_{c} }}{{\sigma_{ci} }}} depends on rock heterogeneity and is larger for coarse grained rocks than for fine grained rocks. σ_ci can be obtained from volumetric strain measurement or acoustic emission (AE) monitoring. With the strength ratio R determined, the tensile strength can be indirectly obtained from | s_\textt | = \fracs_\textc R = \fracs_\textci 8. \left| {\sigma_{\text{t}} } \right| = {\frac{{\sigma_{\text{c}} }}{R}} = {\frac{{\sigma_{\text{ci}} }}{8}}. It is found that the predicted tensile strengths using this method are in good agreement with test data. Finally, a practical estimate of the Hoek–Brown strength parameter m _i is presented and a bi-segmental or multi-segmental representation of the Hoek–Brown strength envelope is suggested for some brittle rocks. In this fashion, the rock strength parameters like σ_t and m _i, which require specialty tests such as direct tensile (or Brazilian) and triaxial compression tests for their determination, can be reasonably estimated from uniaxial compression tests.     

Instantaneous Friction Angle and Cohesion of 2-D and 3-D Hoek–Brown Rock Failure Criteria in Terms of Stress Invariants

The Mohr–Coulomb (M–C) failure criterion is one of the most widely used failure criteria in rock mechanics, although it has a number of shortcomings such as neglecting the nonlinear strength observed in rock or the effect of the intermediate principal stress σ ₂. Other failure criteria have been proposed to effectively include in the predictions of failure the non-linear response of rock to confinement or the effects of the intermediate principal stress. The M–C criterion is still widely used, and it is arguably the criterion most used in practice. For example, stability evaluations of shallow rock structures such as slopes and foundations are routinely carried out by estimating a friction angle and a cohesion of the rock mass. To include the dependency of cohesion and friction angle on stresses, efforts are being made to estimate equivalent values of the M–C parameters for the range of stresses applicable to a particular design. The paper suggests a new and convenient approach to find the equivalent friction angle and cohesion from any failure criterion that can be expressed in terms of the Nayak and Zienkiewicz’s stress invariants. To demonstrate the capabilities and application of the methodology, the new approach is applied to two failure criteria: the Hoek–Brown (H–B) criterion and the Hoek–Brown and Willam–Warnke (HB–WW) criterion, 2-D and 3-D failure criteria, respectively. Results from the new method, in terms of equivalent friction and cohesion for the H–B criterion, are exactly the same as the results obtained from Balmer’s theory, which confirms the validity of the new method. The predicted equivalent friction and cohesion for the HB–WW criterion show a dependency on σ ₂, which does not occur for a 2-D failure criterion.     

An Investigation into the Rock Properties Influencing the Strength in Some Granitoid Rocks of KwaZulu-Natal,South Africa

The uniaxial compressive strength (UCS) of rocks is a critical parameter required for most geotechnical projects. However, it is not always possible for direct determination of the parameter. Since determination of such a parameter in the lab is not always cost and time effective, the aim of this study is to assess and estimate the general correlation trend between the UCS and indirect tests or indexes used to estimate the value of UCS for some granitoid rocks in KwaZulu-Natal. These tests include the point load index test, Schmidt hammer rebound, P-wave velocity (V_p) and Brazilian tensile strength (σ_t). Furthermore, it aims to assess the reliability of empirical equations developed towards estimating the value of UCS and propose useful empirical equations to estimate the value of UCS for granitoid rocks. According to the current study, the variations in mineralogy, as well as the textural characteristics of granitoid rocks play an important role in influencing the strength of the rock. Simple regression analyses exhibit good results, with all regression coefficients R² being greater than 0.80, the highest R² of 0.92 being obtained from UCS versus σ_t. Comparison of equations produced in the current study as well as empirical equations derived by several researchers serves as a validation. Also illustrate that the reliability of such empirical equations are dependent on the rock type as well as the type of index tests employed, where variation in rock type and index tests produces different values of UCS. These equations provide a practical tool for estimating the value of UCS, and also gives further insight into the controlling factors of the strength of the granitoid rocks, where the strength of a rock is a multidimensional parameter.     

Parametric Monte Carlo studies of rock slopes based on the Hoek–Brown failure criterion

Probabilistic evaluation of slope failures is increasingly seen as the most appropriate framework for accounting for uncertainties in design. This paper performs reliability assessments for rock slopes based on the latest version of the Hoek–Brown failure criterion. The purpose of this study is to demonstrate the use of a new form of stability number for rock slope designs that has been recently developed from finite element upper and lower bound limit analysis methods, and to provide guidance for its use in probabilistic assessments. The analyses show that by using this newly proposed stability number, the probability of failure (P_f) obtained from case studies agrees well with the true state of the slope. In addition, this paper details a procedure to determine the magnitude of safety factor required for rock slope design.     

A logistic regression classifier for long-term probabilistic prediction of rock burst hazard

Rock burst is a complex dynamic process can lead to casualties, to failure and deformation of the supporting structures, and to damage of the equipment on site; hence, its prediction is of great importance in underground construction. We present a novel empirical method to predict rock burst based on the theory of logistic regression classifiers. An extensive database collected from the literature, which includes observations about rock burst occurrence (or not) in underground excavations in projects from all over the world, is used to train and validate the model. The proposed approach allows us to compute new class separation lines (or planes) to estimate the probability of rock burst, using different combinations of five possible input parameters—tunnel depth, H; maximum tangential stress, MTS; elastic energy index, W _et; uniaxial compressive strength of rock, UCS; uniaxial tensile strength of rock, UTS—among which it was found that the preferable model could be developed in H–W _et–UCS space. The proposed model is validated with goodness-of-fit tests and nine-fold cross-validation; results show that its predictive capability compares well with previously proposed empirical methods and confirm that, as expected, the probability of rock burst increases with excavation depth, and that both W _et and UCS have a similarly significant influence on rock burst occurrence. Finally, expressions are proposed for identification of conditions associated with several reference values of rock burst probability, which can be employed in preliminary risk analyses.     

Seismic rock slope stability charts based on limit analysis methods

Earthquake effects are commonly considered in the stability analysis of rock slopes and other earth structures. The standard approach is often based on the conventional limit equilibrium method using equivalent Mohr–Coulomb strength parameters (c and ?) in a slip circle slope stability analysis. The purpose of this paper is to apply the finite element upper and lower bound techniques to this problem with the aim of providing seismic stability charts for rock slopes. Within the limit analysis framework, the pseudo-static method is employed by assuming a range of the seismic coefficients. Based on the latest version of Hoek–Brown failure criterion, seismic rock slope stability charts have been produced. These chart solutions bound the true stability numbers within ±9% or better and are suited to isotropic and homogeneous intact rock or heavily jointed rock masses. A comparison of the stability numbers obtained by bounding methods and the limit equilibrium method has been performed where the later was found to predict unconservative factors of safety for steeper slopes. It was also observed that the stability numbers may increase depending on the material parameters in the Hoek–Brown model. This phenomenon has been further investigated in the paper.     

A generalized three-dimensional Hoek–Brown strength criterion

Summary  Although the Hoek–Brown strength criterion has been widely used in rock mechanics and rock engineering, it does not take account of the influence of the intermediate principal stress. Much evidence, however, has been accumulating to indicate that the intermediate principal stress does influence the rock strength in many instances. Therefore, researchers have developed three-dimensional (3D) versions of the Hoek–Brown strength criterion. In this paper, three existing 3D versions of the Hoek–Brown strength criterion are reviewed and evaluated. The evaluation shows that all of the three 3D versions of the Hoek–Brown strength criterion have limitations. To address the limitations, a generalized 3D Hoek–Brown criterion is proposed by modifying the generalized Hoek–Brown strength criterion. The proposed 3D criterion not only inherits the advantages of the Hoek–Brown strength criterion but can take account of the influence of the intermediate principal stress. At a 2D stress state (triaxial or biaxial), the proposed 3D criterion will simply reduce to the form of the generalized Hoek–Brown strength criterion. To validate the proposed 3D strength criterion, polyaxial or true triaxial compression test data of intact rocks and jointed rock masses has been collected from the published literature. Predictions of the proposed generalized 3D Hoek–Brown strength criterion are in good agreement with the test data for a range of different rock types. The difference of the proposed generalized 3D Hoek–Brown strength criterion from and its advantages over the existing 3D versions of the Hoek–Brown strength criterion are also discussed. It should be noted that the proposed 3D criterion is empirical in nature because it is an extension of the 2D Hoek–Brown strength criterion, which is empirical. Because of the non-convexity of the yield surface for a biaxial stress state, the proposed 3D criterion may have problems with some stress paths. Correspondence: L. Zhang, Department of Civil Engineering and Engineering Mechanics, The University of Arizona, Tucson, Arizona 85721, USA     

Bearing capacity of spatially random rock masses obeying Hoek–Brown failure criterion

This paper presents a probabilistic analysis to compute the probability density function of the bearing capacity of a strip footing resting on a spatially varying rock mass. The rock is assumed to follow the generalised Hoek–Brown failure criterion. The uniaxial compressive strength of the intact rock (σc) was considered as a random field and the geological strength index was modelled as a random variable. The uncertainty propagation methodology employed in the analysis is the sparse polynomial chaos expansion. A global sensitivity analysis based on Sobol indices was performed. Some numerical results were presented and discussed.     

Bearing capacity of foundations on rock mass using the method of characteristics

The method of stress characteristics has been used for computing the ultimate bearing capacity of strip and circular footings placed on rock mass. The modified Hoek‐and‐Brown failure criterion has been used. Both smooth and rough footing‐rock interfaces have been modeled. The bearing capacity has been expressed in terms of nondimensional factors N_σ0 and N_σ, corresponding to rock mass with (1) γ = 0 and (2) γ ≠ 0, respectively. The numerical results have been presented as a function of different input parameters needed to define the Hoek‐and‐Brown criterion. Slip line patterns and the pressure distribution along the footing base have also been examined. The results are found to compare generally well with the reported solutions.     

Effect of rock discontinuities on certain rock strength and fracture energy parameters under uniaxial compression

Summary Five series of test blocks of Pendeli marble with artificially created discontinuities of different crack densities (simulating three mutually orthogonal joint sets) were tested in uniaxial compression in order to study the effect of discontinuities on: (a) the compressive strength and the modulus of elasticity, and (b) certain fracture energy parameters expressed by the ratio W _A/W _V, where W _A is the surface energy and W _V the volume elastic strain energy. Mathematical relationships are derived similar to those suggested by other authors relating strength parameters to crack densities. Such relationships clearly show a reduction in strength with increased crack density. The experimental results obtained permit the extension of Persson's relation (which refers to ideal intact rock) to the more realistic case of discontinuous rock mass by introducing the appropriate term that takes into consideration the effect of rock mass discontinuities on the energy ratio W _A/W _V. A comparison between laboratory results and field observations was subsequently carried out assuming the rock mass to behave as a linearly elastic material, obeying the Hoek and Brown failure criterion. This comparison showed that laboratory results can be extended to larger scale. Furthermore, in order to predict the in situ strength and stability of a rock mass in uniaxial compression (which is of major importance in underground excavations) certain concepts are proposed based on laboratory tests, in situ investigations and first principles of linear elastic fracture mechanics.     

An empirical strength criterion for heterogeneous tuff

An empirical failure criterion is formulated by expressing the second invariant of stress deviation at failure as a function of the first invariant of stress, key parameter, and volume. Strength data from Apache Leap tuff specimens are analyzed as a demonstration example. The density variable included as a key parameter for this tuff minimizes the effect of heterogeneity caused by nonuniform distribution of pores, mineralogy, inclusions, welding and grain bonding. The criterion incorporates all principal stresses and the scale effect, and hence allows predicting the strength toward in-situ conditions. The proposed derivation improves the correlations between test results and failure envelope for the heterogeneous tuff. The criterion formulated from the uniaxial and triaxial test data adequately predicts the strengths for biaxial compression tests.     

An experimental study on deformation and failure mechanical behavior of granite containing a single fissure under different confining pressures

Fissures in natural rocks play an important role in determining the strength, deformability and failure behavior of rock mass. However in the past, triaxial compression experiments have rarely been conducted for rock materials containing three-dimensional (3-D) fissures and the failure mechanical behavior of fissured rocks is not well known due to the difficulty of conducting triaxial experiments on fissured rocks. Therefore in this research, conventional triaxial compression experiments were performed to study the strength, deformability and failure behavior of granite specimens with one preexisting open fissure. Thirty-one specimens were prepared to perform conventional triaxial compression tests for intact and fissured granite. First, based on the experimental results, the effects of the confining pressure and the fissure angle on the elastic modulus and the peak axial strain of granite specimens are analyzed. Second, the influence of the confining pressure on the crack damage threshold and the peak strength of granite with respect to various fissure angles are evaluated. For the same fissure angle, the crack damage threshold and the peak strength of granite both increase with the confining pressure, which is in good agreement with the linear Mohr–Coulomb criterion. With increasing fissure angle, the cohesion of granite first increases and later decreases, but the internal friction angle is not obviously dependent on the fissure angle. Third, nine crack types are identified to analyze the failure characteristics of granite specimens containing a single fissure under conventional triaxial compression. Finally, a series of X-ray microcomputed tomography (CT) observations were conducted to analyze the internal damage mechanism of granite specimens with respect to various fissure angles. Reconstructed 3-D CT images indicate obvious effects of confining pressure and fissure angle on the crack system of granite specimens. The study helps to elucidate the fundamental nature of rock failure under conventional triaxial compression.     

In-situ Rock Spalling Strength near Excavation Boundaries

It is widely accepted that the in-situ strength of massive rocks is approximately 0.4 ± 0.1 UCS, where UCS is the uniaxial compressive strength obtained from unconfined tests using diamond drilling core samples with a diameter around 50 mm. In addition, it has been suggested that the in-situ rock spalling strength, i.e., the strength of the wall of an excavation when spalling initiates, can be set to the crack initiation stress determined from laboratory tests or field microseismic monitoring. These findings were supported by back-analysis of case histories where failure had been carefully documented, using either Kirsch’s solution (with approximated circular tunnel geometry and hence σ _max = 3σ ₁ ?σ ₃) or simplified numerical stress modeling (with a smooth tunnel wall boundary) to approximate the maximum tangential stress σ _max at the excavation boundary. The ratio of σ _max /UCS is related to the observed depth of failure and failure initiation occurs when σ _max is roughly equal to 0.4 ± 0.1 UCS. In this article, it is suggested that these approaches ignore one of the most important factors, the irregularity of the excavation boundary, when interpreting the in-situ rock strength. It is demonstrated that the “actual” in-situ spalling strength of massive rocks is not equal to 0.4 ± 0.1 UCS, but can be as high as 0.8 ± 0.05 UCS when surface irregularities are considered. It is demonstrated using the Mine-by tunnel notch breakout example that when the realistic “as-built” excavation boundary condition is honored, the “actual” in-situ rock strength, given by 0.8 UCS, can be applied to simulate progressive brittle rock failure process satisfactorily. The interpreted, reduced in-situ rock strength of 0.4 ± 0.1 UCS without considering geometry irregularity is therefore only an “apparent” rock strength.