3.

47

Multiple modes of shear failure In rock

Les differents modes de rupture par cisaillement dans les roches

Verschiedene Arten des Felsscherbruches

by F. D. PATTON,Geologist and Foundation Engineer

Research Associate, Department of Civil Engineering, University of Illinois, Urbana, Illinois, U. S. A., (presently NATO Post-Doctora
Fellow, LNEC, Lisbon, Portugal)

Summary Resume Zusammenfassung

The mechanism of shear failure in rock
was investigated by studying over 300 rock
slopes in the Rocky Mountains, making
laboratory sliding friction tests on rock
samples and direct shear tests on simulated
rock surfaces, and reviewing the shear
strength literature. This paper describes the
Iabora tory shear tests used to provide a
theoretical framework for interpreting the
shear strength of intact or discontinuous
rock having an irregular failure surface.
Specimens made of plaster of Paris were
cast with irregular surfaces and tested in
a specially designed shearing device. Test
variables included the inclination, number,
and strength of the specimen teeth, and the
normal loads applied. The following con-
clusions were drawn: I) failure envelopes
for specimens with irregular failure surfaces
are curved, 2) changes in the slope of a
failure envelope reflect changes in the mode
of failure, and 3) changes in the mode of
failure are related to the physical proper-
ties of the irregularities along the failure
Surface. An application of these conclusions
was demonstrated by interpreting a series
of laboratory shear tests on rock.
On a etudie Ie mecanisme de rupture des
roches par cisaillement, en observant plus
de 300 pentes rocheuses dans les Montagnes
Rocheuses, en fa isant, au laboratoire, des
essais de frottement sur des eprouvettes de
roches et des essais de cisaillement directs
sur des modeles de surfaces rocheuses, et
en passant en revue la literature sur la resis-
tance au cisaillement, Dans la presente
communication, on decrit les essais de
cisaillement executes au laboratoire qui ont
servi II etablir un cadre theorique permettant
l'interpretation de la resistance au cisaille-
ment de roches intactes ou discontinues
ayant une surface de rupture irreguliere.
Dans un dispositif projete expressernent II
ce but, on a fait des essais de cisaillement
sur des echantillons en platre de Paris,
rnoules avec des surfaces irregulieres, Les
variables de J'essai comprenaient I'Inclinai-
son, Ie nombre, et la resistance des redents
de l'echantillon et les charges normales
appliquees, On en a conclu que: I) les
courbes intrinseques de rupture des echan-
tillons ayant des surfaces de rupture irre-
gulieres ne sont pas droites; 2) des varia-
tions dans I'inclinaison de la courbe in-
trinseque traduisent des variations dans Ie
mode de rupture; et 3) les differents modes
de rupture refietent les caracteristiques phy-
siques des irregularites de la surface de
rupture. On a dernontre les conclusions
ci-avant, en les appliquant II I'interpretation
d'une serie d'essais de cisaillement de roches
executes au laboratoire.
Durch Untersuchung von mehr als 300
Felsboschungen in den Rocky Mountains,
Rutschreibungsversuche von Gesteinsproben
und direkte Scherversuche von vorgetauschten
Gesteinsoberfliichen im Labor, sowie Durch-
sicht der einschliigigen Literatur, wurde
der Mechanismus des Felsscherbruches er-
forscht. Dieses Referat beschreibt die La-
borversuche die durchgefiihrt wurden, urn
ein theoretisches Gedankengebiiude zur Erk-
larung der Scherfestigkeit ganzen oder di-
skontinuierlichen Felsens entlang einer un-
regelrnassigen Bruchfliiche zu schaffen. Es
wurden Gipsproben mit unregelmiissigen
Oberfliichen geformt, und in einer speziell
entworfenen Schereinrichtung geprUft. Unter
anderem, wurde die Abhiingigkeit der Er-
gebnisse von der Neigung, AnzahI und Fe-
stigkeit der Probezahne, sowie von der
Normallast untersucht. Es wurden folgende
Ergebnisse erhalten: I) Die Mohrsche Urn-
hullungskurve fur Proben mit unregelmiissiger
Bruchfliiche ist krummlinig. 2) Steilheitsan-
derungen der Mohrschen UmhUlIungskurve
zeigen Anderungen der Bruchart an. 3) An-
derungen der Bruchart hiingen von den phy-
sikalischen Eigenschaften der Unregelmiissig-
keiten der Bruchfliiche abo Die Erkliirung
einer Reihe von Laborscherversuchen mit
Felsen zeigt eine erfolgreiche Anwendung
dieser Schliisse.

I. Introduction By making corrections for the geometry of the rock discon-

Previous work by NEWLANDand ALLELY (1957), RIPLEY
and LEE(1961), and WITHERS(1964) indicated that irregulari-
ties along failure surfaces should play an important role
in the determination of shear strength characteristics of
rocks. With this in mind, a field and laboratory investigation
into the effect of surface irregularities was undertaken.
The effects of natural irregularities on the stability
of rock slopes were studied on over 300 stable, unstable,
and failed slopes in the Rocky Mountains (PATTON,1966).
tinuities, the angle of frictional sliding resistance along a
relatively flat plane was determined under field conditions.
For sandstones and carbonate rocks this angle was found
to compare favorably with the angle of residual frictional
sliding resistance obtained from laboratory tests on wet,
relatively flat, rough-sawn sandstone and carbonate rock
surfaces.
The field and laboratory study showed that irregularities
have an appreciable influence upon the shearing resistance
of rock masses. Furthermore, it seemed apparent that

509
different modes of shear failure take place along irregular
rock surfaces. For example, failures of rock masses have
occurred by sliding along rock surfaces having various
orientations, by shearing through intact rock, or both.
A framework that would permit this multiple-mode failure
BB
mechanism to be better understood and allow an improved
interpretation of the results of shear tests on rock was
required. The laboratory tests described in this paper
were devised to help provide such a framework. BB " Ill 011.55-

D. Test specimens
The interpretation of the results of shear tests on real
rocks is usual1y complicated by sample variability - even
when several samples are taken from the same block of
Fig. 1 - Some
BBof the Different Types of Plaster Specimens
rock. To overcome this difficulty the laboratory specimens
were made from an artificial material so that the shape,
size, and internal strength of the irregularities or teeth Cylindrical samples, which were cast and cured with
on the surface of the test specimens could be evaluated separa-
each series of test specimens, were later tested for their
tely. point-load tensile strength and their unconfined compressive
Plaster of Paris was selected as the testing material as
strength.
it had rock-like properties, fil1ers could be added to vary
its strength, and the shape of the teeth could be accurately
reproduced using molds. Two different fillers - crushed III. Test apparatus and procedure
quartz sand and kaolinite - were used to decrease the
strength of the specimens. The properties and ingredients A direct shear device was constructed to permit elec-
of the specimens are outlined in Table t. tronic recording of the loads and the vertical and horizontal

Table 1

Summary of Physical Properties of Plaster of Paris Specimens

Sand Sand Kaolinite Kaolinite

Filler

Ratio Filler: Plaster by weight 3: I 3:2 I: I I: 2

Weight Mixing Water Ibs/IOO Ibs Plaster 148 85 127 96
Unit weight at testing lbs/cu ft 88.9 94.3 64.5 66.9
~, degrees (1) 34-36 35-39 27-28 29-30

Tests on Cilinders

Av. unconfined comp, strength psi 248 1240 601 988

A v. point-load tensile strength psi 53 120 70 90
1.15 .22 .45
Average E, x 108 psi (I) .65

(I) Obtained from direct shear tests after large displacements

(2) E1 is the tangent modulus of elasticity at Soo/u ultimate stren&tb

Five to eight identical specimens of 12 geometrical con-
figurations were made for each of the four mixes. Four
types of inclined teeth with slopes of 25, 35, 45, and 55
were formed. Two series of specimens - one with four teeth
and the other with two - were cast for each type of inclined
teeth. All the teeth had a height of 0.20 inches.
Both halves of each specimen were cast simultaneously
in a brass mold the surfaces of which were machined to
within .005 inches. Similar specimens were cast within
one or two days of each other. The kaolinite-plaster speci-
mens were cured at 70F and 5C% relative humidity until
testing ccrrmenced 45 to 50 days after casting. When both
halves of the specimen were placed tcgether after casting,
each specimen was 2.95 inches long, 1.75 inches wide,
and 2.0 inches high. Figure 1 shows some of the different
types of specimens.
displacements. This allowed the complete load-displacement
curve to be obtained even with brittle materials.
The shearing device consisted of 1) a shear box in which
a horizontal shearing force was applied, 2) a motor, variable-
speed transmission, and a worm gear-ram arrangement
that developed and transmitted the shearing force, 3) a
loading frame and weights for applying the normal force,
4) twin load cells to measure the shearing force in tension,
and 5) three LVDT transducers to measure horizontal and
vertical displacements. Shearing was at a constant rate of
displacement of .0624 inches per minute. Most of the results
were plotted directly upon a Moseley x-y recorder.
After a series of tests on one type of specimen, the
peak and residual shear strengths were taken from the
load-horizontal displacement graph made by the x-y recor-
der and plotted on a shear strength diagram at the appro-

510
 priate normal load. The results of several such tests were
joined by lines which formed two failure envelopes, one
representing maximum shear strength and the other residual
shear strength.
IV. Definition of terms
~ is the angle of sliding or shearing resistance. It is used
where a more specific term does not seem warranted.
~I.l is the angle of frictional sliding resistance. Its value
changes with the surface characteristics of the rock. For
most practical problems involving rocks, the appropriate
value of ~I.l can apparently be obtained after large displace-
ments have occurred along macroscopically smooth and
flat but microscopically irregular (i. e., unpolished) wet
surfaces.
~r is the angle of residual shearing resistance of materials
which initially were partly or completely intact. It is obtained
from the asymptotic minimum values of shear strength
following large displacements. . failure occurs these two strengths are equal.
i is the angle of inclination of the failure surfaces with
respect to the direction of application of the shearing force.
It is also used in a graphical sense as a particular angle
on a shear strength diagram.
V. Resnlts
The results presented here are from the tests on speci-
mens of kaolinite-plaster. Similar results were obtained
from tests on the sand-plaster specimens.
1) Specimens with fiat surfaces
Figure 2 shows a typical failure envelop , from a series
of ,direct shear tests on relatively flat, unpolished, surfa7es.
FaIlure envelopes from these specimens were straight
lines passing through the origin and inclined at an angle
~I.l from the horizontal. The angle ~I.l for the specimens of
the stronger mix (kaolinite-plaster I :2) was 310. For the
weaker mix ~I.l was 2710.
..c:.
. (/)
...
C'I
C
.....
QI
(/)
01
C
..
e
QI
..c:.
(/)
Normal Load, N
Fig. 2 - Failure Envelope for Specimens with Flat Surfaces
2) Specimens with inclined teeth at low normal loads
Figure 3 shows two failure envelopes typical of those
obtained from tests at low normal loads on specimens with
inclined teeth. The maximum strengths recorded for a number
of specimens were used to form the maximum strength enve-
lope (line A). The residual strengths remaining in these same
specimens after large displacements had occurred were
the basis for the residual strength envelope (line B).
The equation describing the maximum strength envelope
is S = N tan (~I.l+ i) where S is the total shearing strength
and N is the total normal load. The inclination of the resi-
dual envelope is ~r and the envelope can be described by the
equation S = N tan ~r' For the various plaster specimens,
the angle ~r was always within 11 of ~I.l and the two were
often identical.
Line A of Figure 3 represents two different types of
strengths. It represents the value of the external frictional
resistance along the inclined planes, and it represents the
internal strength of the teeth at the point of failure. When
It may be noted from line A that although intact material
was sheared there was no cohesion intercept indicated
when the results were plotted. Yet the internal cohesive
strength of the teeth still contributed to the total strength
by making possible the development of increased frictional
resistance along the surface of the teeth. The precise con-
tribution of the internal cohesive strength of the teeth
at any given normal load is the difference in strengths
between the maximum and residual strength envelopes.
A cohesion intercept would occur if the sum of ~I.l+i became
equal to or greater than 900.
3) Different inclinations of teeth
Results from three series of tests, each made on speci-
mens with different inclinations of teeth, are shown in
Figure 4. The failure envelope for specimens with i = 250
is a straight line -line A. For specimens with i = 350
and i = 45 the failure envelopes are curved but each envelope
can be approximated by two straight lines as are envelopes
Band C, respectively. Line D is drawn through the residual
shear strengths of aU three series of specimens.
..
..en
s:
c
..
..
QI
(/)
en
c
..
tl
QI
s:
(/)
Normal Load" N
Fig. 3 - Failure Envelopes for Specimens with Irregular Surfaces
511
 o
~
MAll VALU[~ 'Oft , TE(IH
6 MAll VAlU(~'()III 2 fEtfH
. It(SIQUAl VALUn 'Olt 1I0TH
r"PC5 or ~"[CIM[N~
~llOAO,H .. 1M. "'" 100
1'0011I"'''''
Fig. 4 - Failure Envelopes for Specimens Fig. 5 - Failure Envelopes for Specimens
with Different Inclinations of Teeth with Different Numbers of Teeth
The inclinations of the lower or primary portions of
lines A , B, and C are equal to, or within one degree of,
i11+i. The inclinations of the upper or secondary portions
of lines Band C are very close to the 'value i,. The abrupt
changes in the slopes of lines Band C are related to changes
in the mode of failure. Below the changes in slope the maxi-
mum shearing strength is related to the frictional resistance
along the inclined surfaces. Above the transition in slope
the maximum strength is unrelated to the increased surface
friction due to the inclination of the teeth.
The cross-sectional area of the intact material at the
base of the 350 teeth is greater than for the 450 teeth. This
explains why the transition in the mode of failure for the
two inclinations of teeth occurred at different normal
loads. Line A is straight because the range of normal loads
used was not high enough to reach the transition for the
specimens with 250 teeth.
4) Varying the number of teeth
Figure 5 shows the effect of doubling the number of
teeth from two to four and keeping the specimens identical
in other respects. Each maximum strength failure envelope,
although curved, is approximately described by two straight
lines. The secondary portion of the failure envelope for
specimens with four teeth '(line A) is about twice as far
above the residual envelope' (line C) as the envelope for
specimens with two teech (line B).
The steeply sloping primary portions of the failure
envelopes are approximately equal to ~11+ i , The inclina-
tions of the secondary portions of the failure envelopes
are approximately i,. The change in slope again is related
to a change in the mode of failure associated with the initial
displacements.
The effect of having additional teeth is to move the
abrupt change in slope of the failure envelope to a higher
normal load and to move the secondary portion of the
failure envelope about twice as far above the residual enve-
lope as the failure envelope for two teeth.
This diagram illustrates the difficulties encountered in
attaching any real meaning to the average shearing stresses
computed for tests on real rocks. In rocks the number,
size, and shape of the irregularities are unknown; hence the
real shearing and normal stresses are also unknown.
512
o KAOllNlf[ ,PLAST!1t ll21.,.4S"
6 I<AOlINl1[ "lASTEoII 1l.11,;'U"
" 1t[5'OUAL VAlUeS 11:21 SP[CIM[N5
It[SIDUAL VALUES II II SPECIMENS
200
KAOLINIT[
lOAO. N 1M.
PLAST[lt
300
11.11
Fig. 6 - Failure Envelopes for Specimens
with Different Internal Strengths
From tests made on higher strength specimens it was
found that specimens with four teeth often gave failure
envelopes that were only slightly greater than the envelopes
for specimens with two teeth. This was interpreted as evi-
dence of progressive failure.
5) Varying the strength of the teeth
Figure 6 shows the results of tests on two series of spe-
cimens with identical surface configurations but different
internal strengths. Line A is the failure envelope for the
stronger specimens and line B for the weaker specimens.
Lines C and D are their respective residual strength envelopes.
Slopes of the primary and secondary portions of the
failure envelopes are slightly different for each series of
tests. These differences reflect a change in ~11 and ~, for
the two strengths of specimens. The change in mode of
failure occurs at a higher normal stress for the stronger
specimens than for the weaker ones. Thus, increasing the
strength of the specimen teeth has an effect similar to that
of increasing the number of teeth.
VI. Conclusions
Three general conclusions can be drawn from the results
of the tests on plaster specimens: 1) failure envelopes for
specimens with irregular failure surfaces are curved, 2)
changes in the slope of the failure envelope reflect changes
in the mode of failure, and 3) changes in the mode of failure
are related to the physical properties of the irregularities
along the failure surface.
These conclusions, together with the fact that ~ does not
vary throughout a wide range of normal loads (although
~+i does vary), have many practical applications. In par-
ticular, they facilitate the interpretation of curved failure
envelopes.
VII. Interpretation of tests on real rocks
From the results of shear tests on real rocks one would
expect to obtain a superposition of the effects of the separate
variables investigated for the plaster specimens. For example,
in the same sample of rock the irregularities along the failure
surface would have different sizes, inclinations, internal
 SUMMARY SUMMARY
ill: 29~41 ill~-4lr:33
300 300
APPARENT COHESION INTERCEPT COHESION INTERCEPT: 0
: 10- 50 psi
VI
Q.

III
III
W
.. 200
It:
III
200

100

00 100 200 300 100 200 300

AVERAGE NORMAL STRESS, psi AVERAGE NORMAL STRESS. psi

a) STRAIGHT LI NE FAILURE ENVELOPES b) CURVED FAILURE ENVELOPES REFLECTING

MULTIPLE MODES OF fAILURE

Fig. 7 - Two Interpretations of Direct Shear Tests on Ruck Samples with Irregular Surfaces

strengths, and coefficients of friction. Thus, failure envelopes
for rocks would not reflect a simple change in the mode
of failure but changes in the intensities of different modes
of failure occurring simultaneously.
. Figure 7 illustrates two interpretations that can be
given to four series of tests (A , B , C , and D) on different
surfaces of the same rock. Figure 70 shows the shear test
results interpreted as forming straight-line failure envelopes.
This is equivalent to saying that only one mode of failure
o~urred during the tests at different stress levels. From
F!gure 70 it would also appear that the value of ~ was
dIfferent for each series of tests and was not a relatively
c~nstant property of the material. In addition, the straight-
line envelopes could lead some designers to conclude that
an appreciable amount of cohesive strength exists at zero
nor mal load. These errors are avoided in Figure 7b in which
the same data is used to form curved failure envelopes.
The curved failure envelopes in Figure 7b also provide
more information on the geometry and effectiveness of the
surface irregularities than is offered in' Figure 70. For
example, at a given normal stress the vertical distance
between a point on any maximum strength failure envelope
and the residual envelope (line E) gives the internal strength
contributed by the irregularities. This strength is the strength
that is lost when significant displacements occur along the
failure plane.
. From Figure 7b the rocks of the test series outlined by
~me A can be interpreted as having small relatively steep
normal load of 120 and 270 psi some larger irregularities
which had inclinations of 10 (43 minus 33) became effec-
tive. Above 270 psi these larger irregularities began to fail
before displacements could occur.
For some engineering design purposes straight-line
failure envelopes are adequate. But to facilitate an under-
standing of the failure mechanisms curved failure envelopes
reflecting the multiple modes of shear failure appear to be
a necessity.
VIII. Acknowledgments
This paper is based upon a thesis submitted in partial
fulfillment of the requirements for a Ph. D. in Geology at
the University of Illinois. The thesis was completed under
the direction of Dr. D. U. Deere, professor of civil engineer-
ing and geology, who made many valuable contributions
to the study.
References
NEWLAND. P. L., and B. H. ALLELY - 1957, Volume changes in drai-
ned triaxial tests on granular materials, Geotechnique, Vol. VD,
pp. 17-34.
PATTON, F. D. - 1966, Multiple Modes of Shear Failure in Rock
and Related Materials, Ph. D. Thesis, Univ. of Illinois, 282 pp.
RIPLEY, C. F., and K. L. LEE - 1961, Sliding friction tests on sedi-

Irregularities which were effective between a normal stress mentary rock specimens, Communication 8, 7th Congress of
Large Dams, Vol. IV, pp. 657-671.
of 0 to 40 psi. Above 40 psi these small irregularities failed WITHERS, J. H. - 1964, Sliding Resistance Along Discontinuities In
before displacements could occur along them. Between a Rock Massi'S. Ph. D. Thesis. Univ. of Illinois. 124 pp.

5.13