Sustainability 2020, 12, 10063 3 of 21

mass with a homogeneous and isotropic behavior. The linearization of the failure criterion implies
incorporating approximate methods and requires iterative procedures to ensure an optimized upper
or lower bound for the solution; therefore, it is desirable to be able to address the problem using the
non-linear criterion directly.
In addition, most of the formulations are limited to flat ground, the need to analyze the bearing
capacity of shallow foundations on sloping ground of moderate slopes being very common in dam
and bridge foundations. Finally, although the numerical solutions allow solving complex problems
with singular considerations when a seismic load or filtration acts, in the face of non-linear criteria,
a complete analysis of numerical convergence is necessary, which complicates the practical applicability
and the rapid design of foundations in rock masses.
An analytical method for the calculation of shallow foundations that solves the internal equilibrium
equations and boundary conditions combined with the failure criterion was proposed by Serrano and
Olalla [22] and Serrano et al. [23], applying the Hoek and Brown [19] and the Modified Hoek and
Brown failure criterion [20], respectively. It is based on the characteristic lines method [24], with the
hypothesis of the weightless rock, strip foundation and associative flow law. The formulation of the
bearing capacity proposed by Serrano et al. [23] introduces a bearing capacity factor, which makes the
failure pressure proportional to the uniaxial compressive strength of the rock (UCS).
In the present study, the analytical formulation of Serrano et al. [23] and design charts were
developed to study the bearing capacity when there is an increase in load induced by forces of seismic
origin or filtration in rock masses, where it is necessary to use a non-linear failure criterion and the
own weight of the ground is generally negligible compared to the resistant components, considering,
as usual, the possibility of the inclination of the ground to the edge of the foundation. Besides,
a numerical model was created through a finite difference method, assuming a similar hypothesis
for the analytical solution, and it was observed that the results obtained by both methods were
quite similar.

2. Problem Statement

2.1. Mathematical Model

As is generally known, in rock mechanics, the non-linear Modified Hoek and Brown failure
criterion is the most used, and it is applicable for a rock mass with a homogeneous and isotropic
behavior, meaning that by the inexistence or by the abundance of discontinuities, it has the same
physical properties in all directions.
In this research, the Modified Hoek and Brown failure criterion [21,25] was used, and it was
formulated as a function of the major principal stress (σ3 ) and minor principal stress (σ1 ) according to
the following equation:
σ1 − σ3 σ
 a
= m· 3 + s (1)
σc σc
The uniaxial compressive strength (UCS) is σc , while the parameters m, s and a can be evaluated
with (2)–(4) and depend on the intact rock parameter (mo ), quality index of the rock mass (geological
strength index (GSI)) and damage in the rock mass due to human actions (D), which in shallow
foundations, is usually equal to zero.
GSI−100
m = mo ·e 28−14·D (2)
GSI−100
s=e 9−3·D (3)
1 1 −GSI
 
−20
a = + e 15 − e 3 (4)
2 6
Serrano et al. [23] proposed an analytical formulation for estimating the ultimate bearing capacity
of the strip footing for a weightless rock mass, based on the characteristic method, which allows solving
the internal equilibrium equations in a continuous medium together with the boundary equations and