RocData

Strength analysis of rock and soil masses

using
the Generalized Hoek-Brown, MohrCoulomb, Barton-Bandis and Power Curve
failure criteria

Users Guide

2004 Rocscience Inc.

Table of Contents
Welcome to RocData! ..............................................................3
Introduction ..............................................................................4
Generalized Hoek-Brown Criterion .................................................... 5
Barton-Bandis Criterion ...................................................................... 5
Power Curve Criterion ........................................................................ 6
Mohr-Coulomb Criterion ..................................................................... 6
Summary of Strength Models and Stress Data Types Analyzed ............. 7

How Can I Use RocData?.........................................................8

Determine Strength Parameters ............................................................... 8
Generalized Hoek-Brown Criterion .................................................... 8
Barton-Bandis Criterion ...................................................................... 8
Power Curve Criterion ........................................................................ 8
Mohr-Coulomb Criterion ..................................................................... 8
Plot Failure Envelopes.............................................................................. 8
Estimation of Input Parameters ................................................................ 8
Triaxial Lab Test Data............................................................................... 9
Triaxial Field Test Data............................................................................. 9
Direct Shear Test Data ............................................................................. 9
Curve Fitting.............................................................................................. 9
Equivalent Mohr-Coulomb Parameters .................................................. 10
Stress Sampler ....................................................................................... 10
Instantaneous MC Sampler .................................................................... 11
Other Generalized Hoek-Brown Rock Mass Parameters....................... 11
Project Settings: Selection of Failure Criterion and Units....................... 11
Export Data / Images .............................................................................. 11
Display Options....................................................................................... 11

Quick Tour of RocData ..........................................................12

Entering Input Data................................................................................. 12
Interactive Data Input ....................................................................... 12
Pick Dialogs...................................................................................... 12
Lab Test Data................................................................................... 13
Triaxial Field Test Data .................................................................... 13
Viewing of Test Data on Plots .......................................................... 13
Estimating Input Parameters for the Hoek-Brown Criterion ................... 15
Estimating Input Parameters for the Barton-Bandis Criterion ................ 17
Estimating Input Parameters for the Mohr-Coulomb Criterion ............... 19
Failure Envelope Plots............................................................................ 21
Right Click Menu .............................................................................. 22
Hoek-Brown Parameters ........................................................................ 22
Other Generalized Hoek-Brown Rock Mass Parameters....................... 22
Power Curve Parameters ....................................................................... 23
Mohr-Coulomb Parameters .................................................................... 24
Equivalent Mohr-Coulomb Parameters for Curved Failure Envelopes... 24
Failure Envelope Range................................................................... 25

Analysis of Triaxial Test Data ................................................................. 25

Analysis of Field (Rock Mass) Triaxial Data .................................... 27
Analysis of Direct Shear Test Data......................................................... 28
Analysis with Strength Models for fitting both Triaxial and Direct Shear
Data ........................................................................................................ 30
Fitting of Different Strength Criteria to a Dataset.................................... 30
Issued Caution when Switching between Data Types ..................... 31
Selection of Curve Fitting Technique...................................................... 31
Stress Sampler ....................................................................................... 33
Instantaneous Mohr-Coulomb Sampler.................................................. 34
Exporting Data / Images ......................................................................... 35
One Click Export to Excel ................................................................ 35
Display Options....................................................................................... 37
Mogis Line ....................................................................................... 37
Zoom Extents ................................................................................... 38
Project Settings....................................................................................... 39

Documentation .......................................................................40
Tutorials ..................................................................................41
Example 1 Hoek-Brown Strength Envelope for a Tunnel in Undisturbed
Rock (D = 0)............................................................................................ 41
Example 2 Hoek-Brown Strength Envelope for a Slope Application in
Highly Disturbed Rock (D = 1) ................................................................ 43
Example 3 Hoek-Brown, Power Curve and Mohr-Coulomb Analysis of
an Intact Rock Triaxial Dataset............................................................... 45
Example 4 Generalized Hoek-Brown Analysis of Field Data .............. 47
Example 5 Mohr-Coulomb and Power Curve Analysis of a Direct Shear
Dataset.................................................................................................... 49

References..............................................................................52

Welcome to RocData!
RocData is a software program for determining soil and rock mass
strength parameters through analysis of laboratory or field triaxial or
direct shear data. The program can fit the linear Mohr-Coulomb
strength criterion and three other non-linear failure criteria the
generalized Hoek-Brown, Barton-Bandis and Power Curve strength
models to test data.
RocData includes built-in tables for estimating typical strength
parameters for various rock and soil types. This feature, combined
with an intuitive interface, rapid response to user inputs, and
immediate plotting of strength curves, facilitates parametric studies of
strength behaviour.
RocData is a product of Rocscience Inc.

Rocscience produces many other software products for geotechnical,

mining and civil engineering applications. Visit www.rocscience.com
to find out about the other Rocscience programs.

Introduction
Lack of data input on soil and rock mass properties is a major obstacle
often encountered in the numerical modeling of geotechnical
structures and excavations. The usefulness of elaborate constitutive
models, and powerful numerical analysis programs, is greatly limited,
if engineers cannot obtain or estimate reliable geotechnical input
parameters.
RocData helps to remedy this situation. It provides tools for quickly
and easily testing out hypotheses on four of the most widely used and
accepted strength models for soils and rock. The program can be used
to determine strength models that best describe laboratory or field
data.
RocData is designed to aid engineers, especially at the preliminary
stages of design. It provides simple and intuitive implementations of
the Generalized Hoek-Brown, Barton-Bandis, Power Curve and MohrCoulomb failure criteria. The program enables users to easily visualize
the effects of changes in input parameters on rock and soil failure
envelopes.
In addition, RocData comes with built-in tables of typical strength
parameter values for various rock and soil types, compiled from very
credible sources. This allows users to readily obtain reliable estimates
of the strength properties of a wide variety of rocks and soils.
The task of determining rock and soil mass properties is usually not
an end in itself. It is carried out in order to obtain input material
properties for use in limit equilibrium or numerical analysis of
geotechnical structures.
The material properties determined from RocData can be used as
input for analysis programs such as Phase2 (finite element stress
analysis and support design for excavations) and Slide (limit
equilibrium slope stability analysis). (Phase2 and Slide are programs
also developed by Rocscience.)
There are several different models for describing the strength of
materials. In rock and soil mechanics, the most popular models are
the Generalized Hoek-Brown, Mohr-Coulomb, Barton-Bandis and
Power Curve failure criteria. They are briefly described next.

Generalized Hoek-Brown Criterion

This empirical failure criterion establishes the strength of rock in
terms of major and minor principal stresses. It predicts strength
envelopes that agree well with values determined from laboratory
triaxial tests of intact rock, and from observed failures in jointed rock
masses.
RocData implements the most recent update (the 2002 edition) of the
Generalized Hoek-Brown criterion. This edition resolves some
formerly troublesome issues including:

The applicability of the criterion to very weak rock masses, and

The calculation of equivalent Mohr-Coulomb parameters, from the

Hoek-Brown failure envelope

The Generalized Hoek-Brown criterion is non-linear and is expressed

as
1'

= 3' + ci mb

a
3'
+ s , where
ci

ci is the uniaxial compressive strength of the intact rock material,

GSI 100
mb = mi exp
,
28 14 D
GSI 100
s = exp
, and
9 3D
a=

1 1 GSI /15 20 / 3
+ e
e
.
2 6

GSI, known as the Geological Strength Index, relates the failure

criterion to geological observations in the field. mi is a material
constant for intact rock, while mb and s are rock mass constants.
Barton-Bandis Criterion
The Barton-Barton failure criterion is an empirical relationship widely
used to model the shear strength of rock discontinuities. It is very
useful for fitting a strength model to field or laboratory shear test data
of discontinuities. The Barton-Barton criterion has the non-linear
form


JCS
' = n' tan b + JRC log10 ' ,
n

where b is the basic friction angle, JRC is the joint roughness

coefficient and JCS is the joint compressive strength.
Power Curve Criterion
A substantial amount of experimental evidence suggests that the
failure envelopes of many geotechnical materials, ranging from clays
and rockfill to rock discontinuities and rock masses, are not linear,
particularly in the range of small normal stresses. Commonly, the
relationship between shear and normal stresses of such curved
envelopes can be described with the Power Curve model

' = a n' + d , where

a, b and d are the parameters of the model.

In some literature, the Power Curve is written in the form
'
n

= APa + T ,
Pa

'

which involves only non-dimensional model parameters A, T and n.

Atmospheric pressure is often used as the normalizing constant Pa .
The Power Curve model in RocData can be fit to both triaxial and
direct shear data.
Mohr-Coulomb Criterion
This is the most common failure criterion encountered in geotechnical
engineering. Several geotechnical analysis methods and programs
require use of this strength model. The Mohr-Coulomb criterion
describes a linear relationship between normal and shear stresses (or
maximum and minimum principal stresses) at failure.
The Mohr-Coulomb criterion implementation in RocData can be used
to analyze both direct shear and triaxial test data. The Mohr-Coulomb
criterion for triaxial data is expressed as
'

1 =

2c' cos ' 1+sin ' '

+
3 ,
1sin '
1sin '

where

c is the cohesive strength, and f is the friction angle.

The direct shear formulation of the criterion is expressed by the
equation
' = c ' + n' tan ' .

Summary of Strength Models and Stress Data Types Analyzed

The table below summarizes the strength criteria in RocData and the
types of data each can be applied to:
Strength Model
Generalized Hoek-Brown
Barton-Bandis
Power Curve
Mohr-Coulomb

Type of Stress Data

Triaxial
Direct Shear
X
X
X
X
X
X

How Can I Use RocData?

The following tasks can be accomplished with RocData.

Determine Strength Parameters

Generalized Hoek-Brown Criterion
Determine the Generalized Hoek-Brown strength parameters of a rock
mass (mb, s and a), based on the following input data:

unconfined compressive strength of intact rock sigci

the intact rock parameter mi
the geological strength index GSI
the disturbance factor D

Barton-Bandis Criterion
Determine the Barton-Bandis strength parameters JRC and JCS of a
discontinuity based on direct shear test results and the following
input:

basic friction angle of the discontinuity fb

Power Curve Criterion

Determine the Power Curve strength parameters of a soil or rock
(mass) (a, b and d, or alternatively A, T and n).
Mohr-Coulomb Criterion
Determine the Mohr-Coulomb strength parameters, c (cohesive
strength), and f (friction angle) of a soil or rock (mass).

Plot Failure Envelopes

Plot the failure envelopes of the four strength models in principal and
/ or shear-normal stress space.

Interactively change the parameters of the various strength

models to see how they influence the failure envelopes

Estimation of Input Parameters

For the Generalized Hoek-Brown, Barton-Bandis and Mohr-Coulomb
failure criteria, conveniently estimate the strength parameters of
various rock and soil types using charts and tables built into
RocData.

Triaxial Lab Test Data

Determine the intact rock parameters (sigci and mi) of the HoekBrown criterion, the parameters (c and phi) of the Mohr-Coulomb
criterion, or the Power Curve parameters a, b and d (or alternatively
A, T and n) from triaxial lab test data.
The triaxial data

Can be imported from Microsoft Excel through the clipboard, from

tab-delimited or comma separated value text files, from RocLab
or RocData files, or
Entered into the program directly using a built-in spreadsheet

Triaxial Field Test Data

For the Generalized Hoek-Brown criterion, determine the rock mass
parameters (mb, s and a) from triaxial field test data on rock mass
strength, with the uniaxial compressive strength, sigci, and the
disturbance factor, D, as input.
Field data can be imported in the manner described above for triaxial
lab data.

Direct Shear Test Data

Determine the parameters (c and phi) of the Mohr-Coulomb criterion,
(JCS and JRC) of the Barton-Bandis criterion, or (a, b, d or
alternatively A, T and n) of the Power Curve model from direct shear
test data. For the Barton-Bandis criterion the basic friction angle,
phib, must be supplied as input.
Direct shear data can be imported in the manner described above for
triaxial lab data.

Curve Fitting
RocData provides three methods for fitting strength models to test
data. The Levenberg-Marquardt method is the default technique for
fitting all strength criteria to data points. This robust algorithm has
become the standard for non-linear regression. It is very reliable in
practice, and has the ability to converge quickly from a wider range of
initial guesses than other typical methods.
Users can also fit strength models to data using the Simplex method.
The Simplex method is one of the best curve fitting methods, and has
a reputation for being very reliable.

Linear Regression (linear least-squares) curve fitting is the third

technique provided in RocData. It can be used to only fit the HoekBrown criterion for intact rock, and the Mohr-Coulomb strength model
to lab data.
The following table summarizes which curve fitting methods are
available for the different strength models:
Curve Fitting Method
Strength Model

LevenbergMarquardt

Simplex

Linear
Regression

Hoek-Brown (lab data /

intact rock)

Generalized Hoek-Brown
(rock mass / field data)

Barton-Bandis

Power Curve

Mohr-Coulomb

RocData calculates the sum of the square of the vertical distances of

the given data points from a fitted curve, known as Residuals in the
program. This value is a measure of how well a strength criterion fits
a given data set.

Equivalent Mohr-Coulomb Parameters

For the non-linear strength criteria (Hoek-Brown, Barton-Bandis and
Power Curve), calculate equivalent Mohr-Coulomb strength
parameters (cohesion and friction angle).

The best-fit Mohr-Coulomb strength envelope is determined over a

stress range that you can define based on your application (i.e.
tunneling or slope stability).
Plot the equivalent Mohr-Coulomb failure envelope in principal
and / or shear-normal stress space

Stress Sampler
Graphically sample any failure envelope to determine specific stress
(principal, shear or normal stress) values at any point along the
envelope.

10

Instantaneous MC Sampler
Graphically determine the instantaneous Mohr-Coulomb parameters
at any point along any of the curved (non-linear) failure envelopes.

Other Generalized Hoek-Brown Rock Mass Parameters

RocData calculates rock mass parameters such as tensile strength,
uniaxial compressive strength and deformation modulus for the
Generalized Hoek-Brown criterion.

Project Settings: Selection of Failure Criterion and Units

Select a failure criterion or switch between criteria using the Project
Settings dialog. In the dialog you can also supply a title for your
RocData project.

The Project Settings dialog also allows analyses to be carried out

in either Metric or Imperial units. In Metric, the available stress
units are Megapascals (MPa), Kilopascals (kPa) and Tonnes per
square metre (tsm). In Imperial, the stress units may be either
Kilopounds per square foot (ksf), Kilopounds per square inch
(ksi), Pounds per square foot (psf), Pounds per square inch (psi)
or Tons per square foot (tsf).
Export Data / Images
Export data for further analysis or report writing:
Copy the data and / or plots to the clipboard for easy import into
Microsoft Word or your favourite word processor or image-editing
program
Copy the data and / or plots directly into Microsoft Excel
Save the plots to a JPEG, BMP, EMF or WMF image file
Print and Print Preview capabilities.

Display Options
Numerous Display Options to customize the appearance of your plots:

Change colors, fonts, line thickness.

Grid overlay.
Add plot title and show input data directly on plots.
Zooming.
Plot Mogis line (transition from brittle to ductile failure).
Grayscale for output to black and white printers

11

Quick Tour of RocData

The following quick tour of RocData will familiarize the user with
the features of the program.

Entering Input Data

The primary means of user interaction with RocData, is with the
sidebar (Docking Form) data input area. The sidebar input area for
the Generalized Hoek-Brown method is shown below. The sidebar is
used for data input, and for displaying calculated output parameters.
Input data can be entered in various ways:
Interactive Data Input

arrows with the

You can click on the
mouse to change the input data. All
output data is immediately recalculated,
and the failure envelope plots are
redrawn.

This feature allows you to interactively

observe the effect of parameter changes on
the shape of failure envelopes, and on
computed output values.
Pick Dialogs
You may also enter input parameters
using the Pick dialogs. When you select
, you will be presented
a Pick button
with a dialog, in the form of a chart or
table, which guides you to estimate an
appropriate value for the input
parameter. Upon selecting OK in the
dialog, the selected parameter value will
be loaded into the sidebar data input area.
RocData proceeds to automatically
calculate all output data, and update the
failure envelopes.

12

Lab Test Data

For the Generalized Hoek-Brown criterion, you may determine
values of sigci and mi, from triaxial lab test data for intact rock.
This is done with the Use Lab Data option, as described in a later
section. When you select Apply or OK in the Calculate sigci, mi
from Lab Data dialog, the RocData calculation is carried out, and
all output values and failure envelopes are updated. The MohrCoulomb and Power Curve criteria can be also used to fit triaxial
lab data.
The Mohr-Coulomb, Barton-Bandis and Power Curve criteria can
as well be used to fit direct shear test data through selection of the
Use Lab Data option.
Triaxial Field Test Data
Given sigci and D values, the Generalized Hoek-Brown model can
be fit to triaxial field test (rock mass) data.
Viewing of Test Data on Plots
When test data is analyzed, the data points can be plotted in
RocDatas main view, in addition to the failure envelopes. The
data points can be toggled on and off by selecting the Plot Test
Data option. For triaxial test data, the lab or field data is plotted
as points in principal stress space, and as Mohr circles in direct
shear space. For direct shear data, test data is only plotted as
points in direct shear space. Examples of such plots of triaxial and
direct shear test data are shown below.

13

Plot of triaxial data on failure envelopes

Plot of direct shear data on failure envelopes

14

Estimating Input Parameters for the Hoek-Brown Criterion

Each of the parameters used as input for the Hoek-Brown criterion
sigci, mi, GSI and D can be estimated using convenient charts and
tables built into RocData.
These charts and tables are accessed by selecting the Pick button
located beside each of the input parameter edit boxes in the sidebar
(docking form).

When you select a Pick button, a table or chart will appear, allowing
you to determine a suitable value for the desired parameter. For
example, the dialogs for estimation of mi and GSI (Rock Type =
General) are shown below.

Once you have determined a value, select OK in the Pick dialog. The
value will be automatically loaded into the docking form, and the
RocData calculation will automatically be carried out (i.e. output
parameters and failure envelopes will be re-calculated using the
selected input data).

15

GSI chart (Rock Type = General)

Select the Pick button for each of sigci, mi, GSI and D, and
experiment with the dialogs.
Notice that there are TWO distinct GSI charts:

One for general rock mass types, and

A second for weak, heterogeneous rock mass types such as flysch,
which extends the useful range of GSI down to values as low as 5.

For further information about the Hoek-Brown classification

parameters sigci, mi, GSI and D, please consult Ref.1.

16

Estimating Input Parameters for the Barton-Bandis Criterion

Each of the parameters used as input for the Barton-Bandis criterion
phib, JRC, and JCS can be estimated using convenient charts
and tables built into RocData.
These charts and tables are accessed by selecting the Pick button
located beside each of the input parameter edit boxes in the sidebar.

When you select a Pick button, a table or chart will appear, allowing
you to determine a suitable parameter value. The dialogs for
estimating phib and JRC are provided below as examples.

Phib dialog

17

JRC dialog
Once you have determined a value, select OK in the Pick dialog. The
value will be automatically loaded into the sidebar input data area,
and the RocData calculation automatically carried out.
The material list in the phib dialog can be filtered by moistened state
(dry or wet), while the list in the JCS dialog can be filtered into
properties for rocks and those for soils.
Select the Pick button for each of phib, JRC, and JCS, and
experiment with the dialogs.

18

Estimating Input Parameters for the Mohr-Coulomb Criterion

Mohr-Coulomb parameters c and phi can be estimated using
RocDatas conveniently built in tables.
These tables are accessed by selecting the Pick button located
beside each of the input parameter edit boxes in the sidebar.

The tables for c and phi are shown below. Using the search option in
the dialogs, you can quickly locate the parameters for a material of
interest.

Cohesion, c, values for a variety of rock and soil types

19

Friction angle, phi, values for various soil and rock types
Select the Pick button for c and phi to experiment with the dialogs.

20

Failure Envelope Plots

RocData plots failure envelopes in two different spaces:

Principal stress space (sigma1 vs. sigma3)

Shear Normal stress space (sigma normal vs. Tau)

The strength curves plotted correspond to the current data in the

docking form. By default, BOTH principal stress AND shear-normal
plots are displayed.

However, you can choose to display either plot type on its own, by
selecting the desired plot type from the toolbar, the Analysis menu or
the right-click menu.
Various additional display / analysis options are available, including:

Display of equivalent Mohr-Coulomb envelope

Stress sampler / Instantaneous Mohr-Coulomb sampler
Customization of plot appearance with Display Options (eg. grid
overlay, line thickness, fonts etc), and zooming

21

Right Click Menu

TIP most of the plot display options, are also conveniently available
in the right-click menu, if you right-click the mouse anywhere in the
plot display area.

Hoek-Brown Parameters
For a given set of input parameters (sigci, GSI, mi and D), RocData
calculates the parameters of the generalized Hoek-Brown failure
criterion (mb, s and a).
These are displayed in the sidebar, as shown below. The Generalized
Hoek-Brown failure envelopes plotted in RocData are generated
using the values of mb, s and a shown on the sidebar.

These parameters are calculated using the latest version of the HoekBrown failure criterion. For a definition of these parameters, and the
equations that define them, please see Ref. 1.

Other Generalized Hoek-Brown Rock Mass Parameters

At the bottom of the sidebar for the Generalized Hoek-Brown
criterion, you will notice that the following rock mass parameters are
also calculated:

Sigt (rock mass tensile strength)

Sigc (uniaxial rock mass compressive strength)
Sigcm (global rock mass compressive strength)
Em (rock mass modulus of deformation)

22

For the definitions of these parameters, and the equations used to

calculate them, please see Ref. 1.
In particular, you will notice that there are two calculated values of
rock mass compressive strength sigc and sigcm. For a discussion of
how these two parameters are defined, and how they may be used,
please see Ref. 1 section 5: Rock Mass Strength.

Power Curve Parameters

For a given set of input parameters (a, b and d), RocData calculates
the parameters of the non-dimensional version of the Power Curve
criterion (A, T and n), and the tensile and uniaxial compressive
strengths (sigt and sigc) of corresponding to the input parameters.
These are displayed in the sidebar, as shown below.

23

Mohr-Coulomb Parameters
For a given set of input parameters (c and phi), RocData calculates
the uniaxial compressive strength sigc.

Equivalent Mohr-Coulomb Parameters for Curved Failure

Envelopes
In addition to the parameters of the non-linear failure criteria (the
Generalized Hoek-Brown, Barton-Bandis and Power Curve models),
RocData always calculates Mohr-Coulomb parameters (cohesion and
friction angle) equivalent to a currently specified strength model.
Since most rock engineering software is still written in terms of the
Mohr-Coulomb failure criterion, the calculation of these equivalent
Mohr-Coulomb parameters is an important feature of RocData.

24

The corresponding Mohr-Coulomb envelope can be viewed by selecting

the Mohr-Coulomb Envelope option from the toolbar or the Analysis
menu.
Failure Envelope Range
It is important to note that the Failure Envelope Range option has
a direct effect on the calculated Mohr-Coulomb parameters.

For details about the Mohr-Coulomb fitting procedure, and the

significance of the Failure Envelope Range option, see Ref. 1
(section 4: Mohr-Coulomb Criterion, and section 6: Determination
of 3 max )

The General option is available only for the Generalized HoekBrown criterion. When the Failure Envelope Range option is set to
this option, notice that sigma3max = sigci / 4. This is based on the
empirical observation that the stress range associated with brittle
failure, occurs when sigma3 is less than about one-quarter of
sigci.
When the Failure Envelope Range option = Custom, you may enter
any value of sigma3max or sigNmax.
The Failure Envelope Range has NO effect on the calculated
parameters of a non-linear failure envelope.

The appropriate stress range (maximum sig3 value) over which

equivalent Mohr-Coulomb parameters must be obtained depends on
the application, i.e. the type of geotechnical excavation being designed
or analyzed. Based on the principles outlined in Ref. 1, RocData
estimates maximum sig3 values for tunneling and slope design
applications.

Analysis of Triaxial Test Data

A fundamental feature of RocData, is its ability to input triaxial
stress test data (sigma1 / sigma3 data pairs), in order to determine
strength parameters. Three of the failure criteria in the program the
Generalized Hoek-Brown, the Mohr-Coulomb and the Power Curve
allow analysis of triaxial test data. Such analysis is performed as
follows:
1. Select the Use Lab Data option from the Analysis menu or the
toolbar.
2. The data can be entered in a spreadsheet, or imported from a file,
as shown in the dialog below.
3. A curve fit is then performed on the data, using the LevenbergMarquardt, Simplex or Linear Regression curve fitting techniques,

25

and values of sigci and mi (Hoek-Brown strength of intact rock

data), c and phi (Mohr-Coulomb strength), or a, b and d (Power
Curve strength) are obtained. These calculated strength
parameters are known as best-fit values.
4. After entering the data, select OK in the dialog, and the best-fit
values will be used to calculate the failure envelopes and other
parameters of the selected strength model.

Example showing fitting of the Hoek-Brown criterion to intact rock lab

data.
Obtaining actual values of strength parameters from triaxial lab test
data is always recommended. It should be emphasized that a large
number of test results is not always necessary, and good results can be
obtained from a relatively small number of data points (eg. 6 or 7
triaxial tests).
If triaxial lab data is not available, parameter values can always be
estimated in RocData, using the Pick dialogs described previously.
If incorrect data pairs (i.e. data for which sig3 exceeds sig1) are
accidentally imported into triaxial data analysis, the curve fitting
calculations are not carried out, and an error notice is issued. An
example is shown below.

26

Errors issued in dialog when a direct shear data set is incorrectly

loaded as triaxial data.
Analysis of Field (Rock Mass) Triaxial Data
The Generalized Hoek-Brown strength model can be fit to triaxial field
data. The procedure is the same as above except the Use Rock Mass
Data option has to be employed. In addition, the analysis of field data
requires entry of intact rock uniaxial strength, sigci, and disturbance
factor, D, as input.

27

Fitting of the Generalized Hoek-Brown criterion to triaxial field test

data

Analysis of Direct Shear Test Data

RocData can be used to fit the Mohr-Coulomb, Barton-Bandis and
Power Curve strength criteria to direct shear (shearnormal) test
data. Such analysis is performed as follows:
1. Select the Use Lab Data option from the Analysis menu or the
toolbar.
2. The data can be entered in a spreadsheet, or imported from a file,
as shown in the dialog below.
3. A curve fit is then performed on the data, using the LevenbergMarquardt, Simplex or Linear Regression curve fitting techniques,
and values c and phi (Mohr-Coulomb strength), JRC and JCS
(Barton-Bandis strength), or a, b and d (Power Curve strength)
are obtained. (Fitting of the Barton-Bandis criterion to direct shear
data requires the input of the basic friction angle, phib.)
4. After entering the data, select OK in the dialog, and the computed
best-fit values will be used to calculate the failure envelopes and
other parameters of the selected strength model.

28

Example showing Simplex fitting of the Barton-Bandis criterion to

direct shear data.

29

Analysis with Strength Models for fitting both Triaxial and

Direct Shear Data
The Mohr-Coulomb and Power Curve strength criteria can be fit to
both triaxial and direct shear data. At the top of the data analysis
dialogs for these criteria, there are two radio buttons for selecting the
required data type.

Notice the radio buttons in the upper left corner of the dialog for
selecting the type of data to be analyzed for Power Curve strength
parameters. In the example shown, the strength model was fit to
triaxial data.

Fitting of Different Strength Criteria to a Dataset

RocData allows users to test the fit of different strength models to a
given test dataset. Such analysis is performed as follows:
1. Select the Project Settings option from the Analysis menu or
the toolbar. Select the desired strength model from the resulting
dialog.
2. Next select the Use Lab Data option from the Analysis menu or
the toolbar, and enter the test data as previously described.

30

3. To test the fit of a different strength model to the same data, go to

the Project Settings dialog and select the new strength model.
Click the OK button in the Project Settings dialog.
4. The data dialog for the selected strength criterion is immediately
opened, with the previously entered data points automatically
transferred.
Issued Caution when Switching between Data Types
The Generalized Hoek-Brown strength model in RocData can be fit
only to triaxial data, while the Barton-Bandis model can be applied
only to direct shear data. As a result, when a user attempts to switch
to one of these models while analyzing a data type that is
incompatible, the program alerts the user on the inconsistency.
If the user chooses to proceed with the switch, the new data analysis
dialog is opened, but without any data. The data type switch warning
can be turned off if desired by selecting the Do not show warning
again checkbox.

Data type switch warning dialog

Selection of Curve Fitting Technique

For every strength criterion in RocData there are at least two
techniques available for fitting the criterion to test data. Curve fitting
techniques can be selected from the dropdown menu in the upper left
corner of every data analysis dialog.

31

New parameters are calculated as soon as a curve fitting method is

selected from the dropdown menu.
The following table summarizes the curve fitting methods available
for the different strength models:
Curve Fitting Method
Strength Model

LevenbergMarquardt

Simplex

Linear
Regression

Hoek-Brown (lab data /

intact rock)

Generalized Hoek-Brown
(rock mass / field data)

Barton-Bandis

Power Curve

Mohr-Coulomb

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Stress Sampler
The Stress Sampler option allows the user to graphically obtain the
exact stress coordinates at any point along the failure envelopes. This
is done as follows:
1. Select the Stress Sampler option from the toolbar, the right-click
menu or the Analysis menu.
2. Single click the left mouse button, at any value of sigma3 (on the
principal stress plot), or any value of normal stress (on the shearnormal stress plot).
3. The stress coordinates will be displayed, corresponding to the
value of sigma3 or normal stress, at which the mouse was clicked.
A vertical dotted line will be displayed on the plots, to mark the
location.
4. Alternatively, if you click and HOLD the left mouse button on
either of the plots, and DRAG the mouse left or right, the stress
coordinates of the failure envelopes will be continuously displayed,
as you move the mouse.
5. NOTE: if the equivalent Mohr-Coulomb envelopes are also
displayed, then the stress coordinates of BOTH the non-linear
strength, and equivalent Mohr-Coulomb envelopes will be
displayed.

33

Instantaneous Mohr-Coulomb Sampler

The Instantaneous Mohr-Coulomb Sampler option allows the user
to graphically obtain the instantaneous Mohr-Coulomb parameters
(cohesion and friction angle), at any point along a curved failure
envelope. This is done as follows:
1. Select the Instantaneous MC Sampler option from the toolbar,
the right-click menu or the Analysis menu.
2. Single click the left mouse button, at any value of sigma3 (on the
principal stress plot), or any value of normal stress (on the shearnormal stress plot).
3. The instantaneous Mohr-Coulomb envelope (tangential line) will
appear on the plots, for the value of sigma3 or normal stress, at
which the mouse was clicked. The instantaneous values of
cohesion and friction angle will be displayed, as well as the stress
coordinates. A vertical dotted line will be displayed on the plots, to
mark the location.
4. Alternatively, if you click and HOLD the left mouse button on
either of the plots, and DRAG the mouse left or right, the
instantaneous Mohr-Coulomb envelope and coordinates, will be
continuously displayed, as you move the mouse.

34

Exporting Data / Images

The RocData analysis results and failure envelope plots can be
exported to other programs for report writing, further analysis, etc.
This can be done in various ways.

The Copy Data option in the sidebar or the Edit menu, will copy
the contents of the sidebar (i.e. all input and output parameters) to
the clipboard. From the clipboard, this can be pasted into a word
processor or spreadsheet. This provides a handy analysis
summary.
The Copy option in the toolbar or the Edit menu, will copy an
image of the current failure envelope that is displayed, to the
clipboard. From the clipboard, this can be pasted into reports or
image editing programs, etc.
The failure envelope plots can also be saved directly to a JPEG,
BMP, EMF or WMF image file, with the Export Image File
option. This is available in the File menu, or the right click menu.
(An image of this option is displayed below.)

One Click Export to Excel

The most powerful data export feature is the following with a single
mouse click, all data AND plots can be exported to Microsoft Excel. To
do this:
1. Select the Export to Excel toolbar button.
2. If you have Excel installed on your computer, the Excel program
will be automatically started, and all analysis input and output
data will be exported to an Excel spreadsheet.
3. Failure envelope plots will then be generated in Excel.
4. This all takes place with a single mouse click!!!
Note that the plots, which are generated in Excel, correspond to the
failure envelope plot(s) that you are currently viewing. For example, if
you are only viewing the shear-normal plot, then only the shearnormal data and plot will be generated in Excel. If you are viewing
both plots (principal stress and shear-normal), then both plots will be
generated in Excel. In addition, if the equivalent Mohr-Coulomb
envelope is displayed, this will also be plotted in Excel. Finally, note
that the number of data points used to create each failure envelope is
controlled in the Display Options dialog in RocData.

35

The Export option in the File submenu

36

Display Options
The appearance of the Failure Envelope plots may be customized with
Display Options, zooming, and other options.

Display Options is available in the toolbar, the View menu, and

also in the right-click menu (if you right-click the mouse anywhere
in the Failure Envelope display area).

Most of the Display Options are self-explanatory, and it is left to the

user to experiment with the options. However, we will note the
purpose of the following options:
Mogis Line
Mogis Line defines the ratio of major and minor effective principal
stresses at which there is a transition from brittle to ductile failure.
This line is simply defined by sig1/sig3 = 3.4, and is plotted as a green
line on the principal stress plot, when the Mogis Line option is
selected in the Display Options dialog.

If the principal stress failure envelope lies ABOVE Mogis line, this
indicates a brittle failure mode.
If the principal stress failure envelope lies BELOW Mogis line,
this indicates a ductile failure mode. This may occur with low
values of GSI, for example.

37

Zoom Extents
The Zoom Extents option will automatically scale the axes of the
failure envelopes for the Generalized Hoek-Brown criterion, so that all
possible failure envelopes, for the current value of sigci, will be visible
on the plot.
This corresponds to maximum values of GSI (= 100) and mi ( = 40).
1. To demonstrate this, select the Zoom Extents option.
2. Use the interactive arrow buttons, to increase the value of GSI to
100, and the value of mi to 40.
3. Observe the failure envelope plots. When GSI = 100 and mi = 40,
the extent of the principal stress envelope will correspond to the
maximum extent automatically calculated by the Zoom Extents
option.
You may find the Zoom Extents option useful for interactive
demonstration of parameter changes on the failure envelope.

38

Project Settings
The Project Settings dialog is used to enter a project title, to select a
failure criterion or to select a measurement unit.

The Project Settings dialog is available in the toolbar, the

Analysis menu.

The Project Settings dialog is self-explanatory, and it is left to the user

to experiment with the options.

39

Documentation
The calculations in the RocData program, are based on the latest
version of the Generalized Hoek-Brown failure criterion, as detailed in
the following paper (Ref. 1):
Hoek, E., Carranza-Torres, C.T., and Corkum, B. (2002), HoekBrown failure criterion 2002 edition. Proc. North American
Rock Mechanics Society meeting in Toronto in July 2002
The program RocData incorporates all of the latest developments
described in this paper.
The paper should be read by all users of the Generalized Hoek-Brown
criterion in RocData!!! The definitions and equations for all input and
output parameters in RocData, can be found in this paper, which is
available as a PDF document.
Another useful document is the following (Ref. 2):
A Brief History of the Hoek-Brown Failure Criterion, by Evert
Hoek.
This paper provides a brief chronological overview of the evolution of
the Hoek-Brown failure criterion, and provides references to all of the
significant papers which have been published. This is also
recommended reading for all users of the Generalized Hoek-Brown
criterion. The paper is available as a PDF document.
Finally, a set of notes by Dr. Evert Hoek, Practical Rock Engineering,
(Ref. 3) is available on the Rocscience website, www.rocscience.com ,
in the form of a series of PDF documents. Practical Rock Engineering
is recommended reading for all students of rock mechanics. Chapter
11 (Rock mass properties) should also be read by users of RocData.
Note that the version of the Hoek-Brown failure criterion which is
presented in the current version of Practical Rock Engineering, has
been superceded by the latest version of the criterion (Ref. 1).
However, the conceptual information is still relevant, and gives
further insight into the development of the Hoek-Brown criterion.

40

Tutorials
Example 1 Hoek-Brown Strength Envelope for a Tunnel in
Undisturbed Rock (D = 0)
Consider an undisturbed in situ rock mass surrounding a tunnel at a
depth of 100 meters, with the following Hoek-Brown classification
parameters.

Enter this data in the sidebar input data area. Also, enter the
following data to determine the Failure Envelope Range (sig3max),
which is used to calculate equivalent Mohr-Coulomb parameters for
the Hoek-Brown model.

The resulting output will be automatically displayed in the sidebar,

and the failure envelopes calculated and plotted.
Notice the equivalent Mohr-Coulomb parameters that have been
calculated:

The envelope corresponding to these parameters can be viewed on the

plots, by selecting the Mohr-Coulomb strength envelope option, from
the toolbar or the Analysis menu.

41

To get a better look at the MC envelope, lets view only the Normal vs.
Shear stress plot. Select the Normal vs. Shear Stress option from the
Analysis menu or the toolbar. This will hide the principal stress plot,
and show only the Normal vs. Shear stress plot, maximized in the
view.

If you examine the MC envelope, you can graphically confirm the

calculated values of cohesion, friction angle, and also the rock mass
tensile strength sigt. The tensile strength is the negative value of
normal stress, at the origin of the failure envelope.

42

Example 2 Hoek-Brown Strength Envelope for a Slope

Application in Highly Disturbed Rock (D = 1)
Consider a rock mass with the same basic parameters as the previous
example, but in a highly disturbed slope of 100 meters height, with a
disturbance factor D = 1.
Enter disturbance factor D = 1.

Enter the following data to determine the Failure Envelope Range

(sig3max):

The resulting output will be automatically displayed in the sidebar,

and the failure envelopes calculated and plotted.
Notice the equivalent Mohr-Coulomb parameters which have been
calculated:

43

Compare the equivalent Mohr-Coulomb parameters and envelopes,

calculated in Example 1 and Example 2. This demonstrates the
significant effect which the disturbance factor D, can have on the
calculated rock mass strength.
For information about the Disturbance Factor, see Ref. 1 section 7:
Estimation of Disturbance Factor D.

44

Example 3 Hoek-Brown, Power Curve and Mohr-Coulomb

Analysis of an Intact Rock Triaxial Dataset
This tutorial will involve fitting three strength models the HoekBrown, Mohr-Coulomb and Power Curve criteria - to a triaxial lab
dataset for intact rock.
Start up RocData and a new analysis file will be automatically
opened. If you are already in the program select the New option from
the File menu or from the toolbar.
Select the Project Settings option (from the Analysis menu or the
toolbar) and ensure that the measurement unit is set to MPa. Notice
that the Generalized Hoek-Brown criterion is the default strength
model.
Next select the Use Lab Data option from the Analysis menu or
toolbar. This opens up the Hoek-Brown lab (intact) data analysis
dialog. The Levenberg-Marquardt technique is the default curve
fitting method in the dialog.
Set the number of data points to be analyzed to 5, and enter the
values shown on the figure below.

Notice that each time you hit Enter on the keyboard, sigci and mi are
immediately calculated for the data that has been input.
Select the Simplex curve fitting method and observe the immediate
calculation of a new fit. Next select the Linear Regression curve
fitting method and view the resulting parameters.
Select the Levenberg-Marquardt method again and click the OK
button. This action applies the analysis results to the main view of
RocData and exits the dialog.

45

The report at the top left corner of the main view displays all the
relevant parameters of the analysis of the lad data. At the very end of
the list, information is provided on the curve fitting method used and
the value of the Residuals.

Change the sigci value displayed on the docking form to a number of

your choice; note the changes in the last line of information displayed.
RocData warns that the currently displayed model is not a best-fit,
i.e. is not a model produced by one of the curve fitting techniques.

Go into the Project Settings dialog, select the Mohr-Coulomb

criterion, and click OK. Immediately the data analysis dialog for the
criterion is activated. The dialog contains the intact rock data
previously analyzed with the Hoek-Brown lab data option. Click the
OK button to apply the analysis results and exit from the dialog.
Next select the Power Curve strength model from the Project
Settings dialog. The Power Curve data analysis dialog is opened with
the input data and its corresponding fit. You may save the analysis
under any file name of your choice and exit the program.
This concludes the tutorial on fitting the Hoek-Brown, Mohr-Coulomb
and Power Curve strength models to an intact rock lab dataset.

46

Example 4 Generalized Hoek-Brown Analysis of Field Data

This tutorial will fit the Generalized Hoek-Brown criterion to triaxial
strength data for a rock mass.
Start up RocData and a new analysis file will be automatically
opened. If you are already in the program select the New option from
the File menu or from the toolbar.
Select the Project Settings option (from the Analysis menu or the
toolbar) and ensure that the measurement unit is set to MPa and
strength criterion set to Generalized Hoek-Brown.
Next select the Use Field Data option from the Analysis menu or
toolbar. This opens up the Hoek-Brown field (rock mass) data
analysis dialog.
Enter an intact rock compressive strength (sigci) of 50 MPa and a
Disturbance Factor (D) of 0.5. Set the number of data points to be
analyzed to 9, and enter the values shown on the figure below.

Input data for the tutorial

Select the Simplex curve fitting method and observe the immediate
calculation of a new fit. Click the OK button to close the dialog and
apply the analysis results to the RocData main view.

47

The default settings for the main view do not display the input data
points analyzed. To view them select the Plot Test Data option from
the Analysis menu or the toolbar.

Generalized Hoek-Brown analysis of triaxial field data

Triaxial data points are shown as points on the principal space plot of
the strength envelope, and as Mohr circles on the direct shear plot.
This concludes the tutorial on fitting the Generalized Hoek-Brown
criterion to field (rock mass) triaxial strength data.

48

Example 5 Mohr-Coulomb and Power Curve Analysis of a

Direct Shear Dataset
This tutorial will examine the fitting two strength models the MohrCoulomb and Power Curve criteria - to direct shear stress data
(measured in psi units) for a soil.
Start up RocData and a new analysis file will be automatically
opened. If you are already in the program select the New option from
the File menu or from the toolbar.
Select the Project Settings option (from the Analysis menu or the
toolbar) and set the measurement unit to psi. Change the strength
model from Generalized Hoek-Brown to Mohr-Coulomb.

Project Settings for the tutorial

Next select the Use Lab Data option from the Analysis menu or
toolbar. This opens up the Mohr-Coulomb lab data analysis dialog.
There are two radio buttons near the top of the dialog that enable
users to select the type of data to be analyzed: triaxial or direct shear.
Select the direct shear radio button. Set the number of data points to
be analyzed to 8, and enter the values shown on the figure below.

49

Input data for the tutorial. On the shown dialog image notice the radio
buttons for selecting the type of data to be analyzed.
Select the Linear Regression curve fitting method and view the
resulting parameters. (For Mohr-Coulomb data the Linear Regression
and Levenberg-Marquardt methods give the same answers for
practically all cases.)
Click the OK button. This action applies the analysis results to the
main view of RocData and exits the dialog.
Go into the Project Settings dialog, select the Power Curve
criterion, and click OK. Immediately the data analysis dialog for the
criterion is activated. The dialog contains the intact rock data
previously analyzed with the Mohr-Coulomb lab data option.

50

Power Curve fit of the sample direct shear data

This concludes the tutorial on fitting the Mohr-Coulomb and Power
Curve strength models to a direct shear dataset.

51

References
1. Hoek, E., Carranza-Torres, C.T., and Corkum, B. (2002), HoekBrown failure criterion 2002 edition. Proc. North American
Rock Mechanics Society meeting in Toronto in July 2002.
2. Hoek, Evert, (2002), A Brief History of the Hoek-Brown Failure
Criterion, unpublished document.
3. Hoek, Evert, Practical Rock Engineering An Ongoing Set of
Notes, available on the Rocscience website,
www.rocscience.com

52