THEORIES OF FAILURE

• In practice most of the elements are subjected to a state of complex stress system i.e.,
combination of axial load, lateral load, and torque.
• The phenomenon of failure of an element under the complex stress system is explained by
theories of failure i.e., the failure causing parameter is identified.
• Failure
• Rupture
• Failure of an element represents either direct separation of particles from each other (brittle
failure) or slipping of particles accompanied by considerable plastic deformation (ductile
failure) in the material of element.
The following are the theories of failure for a material:
1. Principal stress theory
2. Principal strain theory
3. Shear stress theory
4. Strain energy theory
5. Shear strain energy theory (Distortion energy theory)
Data:
1) Principal Stresses:
1 = major principal stress
2 = intermediate principal stress
3 = minor principal stress
2) allowable stress
y = yield stress in simple tension test .. .. for ductile material
u = ultimate stress in simple tension test .. .. for brittle material
allowable stress = Yield stress or (Ultimate Stress) with Factor of safety
𝝈𝒚
𝝈𝟎 = .. .. .. for ductile material
𝑭.𝑺.
𝝈𝒖
𝝈𝟎 = .. .. .. for brittle material
𝑭.𝑺.
3) Material Constants:
Young’s modulus of elasticity E and Poisson’s ratio 
1) Principal Stress Theory (Rankine’s theory):
According to this theory, the failure of a material is assumed to have taken place
under a state of complex stress system, when the value of major principal stress
is equal to that of stress at yield point obtained in a simple tension test.
The failure condition is 𝝈𝟏 = 𝝈𝟎
The design criterion is 𝝈𝟏 < 𝝈𝟎
• This is the simplest and oldest theory of failure.
• This theory does not consider the effects of other principal stresses and shearing stresses.
• The Principal stress theory is found to be accurate for brittle materials.

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2) Principal Strain Theory (St. Venant’s theory):
According to this theory, the failure of a material is assumed to have taken place
under a state of complex stress system, when the value of major principal strain
is equal to that of strain at yield point obtained in a simple tension test.
1 𝜎𝑂
The failure condition is 𝜺𝟏 = 𝜺𝟎  [𝜎 − 𝜇(𝜎2 + 𝜎3 )] = 
𝐸 1 𝐸
[𝝈𝟏 − 𝝁(𝝈𝟐 + 𝝈𝟑 )] = 𝝈𝑶
The design criterion is [𝜎1 − 𝜇 (𝜎2 + 𝜎3 )] < 𝜎𝑂
• This theory is applicable to ductile materials.
• This theory becomes invalid in many cases.
For example, when there are two equal like normal stresses acting on orthogonal planes,
this theory is not applicable.
𝜎𝑦
Let 1 = 3 =  and 2=0, then the failure condition becomes ( - ) = y  ∴ 𝜎 = (1−𝜇).
This relation indicates that the maximum tensile stress is more than the yield stress, which
is absurd.

3) Shear Stress Theory (Guest and Tresca’s theory):

According to this theory, the failure of a material is assumed to have taken place
under a state of complex stress system, when the value of maximum shear stress
is equal to that of stress at yield point obtained in a simple tension test.
𝜎1 −𝜎3 𝜎𝑂
The failure condition is 𝝉𝒎𝒂𝒙 = 𝝉𝒎𝒂𝒙,𝑶  ( )= 2  (𝝈𝟏 − 𝝈𝟑 ) = 𝝈𝑶
2
The design criterion is (𝜎1 − 𝜎3 ) < 𝜎𝑂
• This theory has been found to give quite satisfactory results for ductile materials.
• This theory does not give accurate results in case of a state of pure shear.
• This theory becomes invalid if the state of stress consists of two equal like normal stresses
acting on perpendicular planes.

4) Strain Energy Theory (Beltrami and Haigh’s theory):

According to this theory, the failure of a material is assumed to have been taken
place under a state of complex stress system, when the value of total strain
energy per unit volume is equal to that of energy per unit volume at yield point
obtained in a simple tension test.
2
1 𝜎𝑂
The failure condition is 𝒖 = 𝒖𝟎  [𝜎12 + 𝜎22 + 𝜎32 − 2𝜇(𝜎1 𝜎2 + 𝜎2 𝜎3 + 𝜎3 𝜎1 )] =
2𝐸 2𝐸

[𝝈𝟐𝟏 + 𝝈𝟐𝟐 + 𝝈𝟐𝟑 − 𝟐𝝁(𝝈𝟏 𝝈𝟐 + 𝝈𝟐 𝝈𝟑 + 𝝈𝟑 𝝈𝟏 )] = 𝝈𝟐𝑶

The design criterion is 𝑢 < 𝑢0 
[𝝈𝟐𝟏 + 𝝈𝟐𝟐 + 𝝈𝟐𝟑 − 𝟐𝝁(𝝈𝟏 𝝈𝟐 + 𝝈𝟐 𝝈𝟑 + 𝝈𝟑 𝝈𝟏 )] < 𝝈𝟐𝑶
• This theory has been found to give good results for ductile materials.

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5) Shear Strain Energy Theory (Distortion energy theory)
(Von Mises & Hencky’s theory):
According to this theory, the failure of a material is assumed to have taken place
under a state of complex stress system, when the value of the shear strain energy
per unit volume is equal to that of energy per unit volume at yield point obtained
in a simple tension test.
The failure condition is 𝒖𝒅𝒊𝒔𝒕 = 𝒖𝒅𝒊𝒔𝒕,𝟎 
1 𝜎02
[(𝜎1 − 𝜎2 )2 + (𝜎2 − 𝜎3 )2 + (𝜎3 − 𝜎1 )2 ] =
12𝐺 6𝐺

[(𝝈𝟏 − 𝝈𝟐 )𝟐 + (𝝈𝟐 − 𝝈𝟑 )𝟐 + (𝝈𝟑 − 𝝈𝟏 )𝟐 ] = 𝟐𝝈𝟐𝟎

The design criterion is 𝑢𝑑𝑖𝑠𝑡 < 𝑢𝑑𝑖𝑠𝑡,0 
[(𝝈𝟏 − 𝝈𝟐 )𝟐 + (𝝈𝟐 − 𝝈𝟑 )𝟐 + (𝝈𝟑 − 𝝈𝟏 )𝟐 ] < 𝟐𝝈𝟐𝟎
• This theory gives very good results for the ductile materials.
• It is not valid for hydrostatic pressure condition and three equal tensile principal stresses
condition.
Strain Energy due to Principal Stresses:
Co-ordinate axes are X, Y and Z as shown.
Geometry of element is dx, dy and dz along the respective co-ordinate axes.
Principal stresses on the element are 𝝈𝟏 , 𝝈𝟐 and 𝝈𝟑 in X, Y and Z directions respectively.
The corresponding Principal strains are
1
𝜀1 = [𝜎1 − 𝜇(𝜎2 + 𝜎3 )]
𝐸
1
𝜀2 = [𝜎2 − 𝜇(𝜎3 + 𝜎1 )]
𝐸
1
𝜀3 = [𝜎3 − 𝜇(𝜎1 + 𝜎2 )]
𝐸
1
Strain energy = 2 X force X deformation
1 1
𝑈 = 𝑃∆= (𝜎𝐴)(𝜖𝑙)
2 2

1 1 1
𝑈 = [ (𝜎1 𝑑𝑦𝑑𝑧)(𝜀1 𝑑𝑥)] + [ (𝜎2 𝑑𝑥𝑑𝑧)(𝜀2 𝑑𝑦)] + [ (𝜎3 𝑑𝑥𝑑𝑦)(𝜀3 𝑑𝑧)]
2 2 2
(𝑑𝑥𝑑𝑦𝑑𝑧)
= 2
[𝜎1 𝜀1 + 𝜎2 𝜀2 + 𝜎3 𝜀3 ]
(𝑑𝑥𝑑𝑦𝑑𝑧)
= 2𝐸
[(𝜎1 (𝜎1 − 𝜇(𝜎2 + 𝜎3 ))) + (𝜎2 (𝜎2 − 𝜇(𝜎3 + 𝜎1 ))) + (𝜎3 (𝜎3 − 𝜇 (𝜎1 + 𝜎2 )))]
1
𝑈= [(𝜎12 + 𝜎22 + 𝜎32 ) − 2𝜇(𝜎1 𝜎2 + 𝜎2 𝜎3 + 𝜎3 𝜎1 )](𝑑𝑥𝑑𝑦𝑑𝑧)
2𝐸

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 𝟏
Total Strain energy is 𝑼 = [(𝝈𝟐𝟏 + 𝝈𝟐𝟐 + 𝝈𝟐𝟑 ) − 𝟐𝝁(𝝈𝟏 𝝈𝟐 + 𝝈𝟐 𝝈𝟑 + 𝝈𝟑 𝝈𝟏 )] 𝑽
𝟐𝑬
Strain energy per unit volume is
𝟏
𝒖 = [(𝝈𝟐𝟏 + 𝝈𝟐𝟐 + 𝝈𝟐𝟑 ) − 𝟐𝝁(𝝈𝟏 𝝈𝟐 + 𝝈𝟐 𝝈𝟑 + 𝝈𝟑 𝝈𝟏 )]
𝟐𝑬
Shear Strain Energy (Distortion energy):
Co-ordinate axes are X, Y and Z as shown.
Geometry of element is dx, dy and dz along the respective co-ordinate axes.
Principal stresses on the element are 𝝈𝟏 , 𝝈𝟐 and 𝝈𝟑 in X, Y and Z directions respectively.
𝜎1 ≠ 𝜎2 ≠ 𝜎3
The corresponding strains are
1
𝜀1 = [𝜎1 − 𝜇(𝜎2 + 𝜎3 ]
𝐸
1
𝜀2 = [𝜎2 − 𝜇(𝜎3 + 𝜎1 ]
𝐸
1
𝜀3 = [𝜎3 − 𝜇(𝜎1 + 𝜎2 ]
𝐸

Strain energy per unit volume is

1
𝑢= [𝜎12 + 𝜎22 + 𝜎32 − 2𝜇(𝜎1 𝜎2 + 𝜎2 𝜎3 + 𝜎3 𝜎1 )]
2𝐸
Due to external loading, the element undergoes
• dilation (i.e., change in size)
• distortion (i.e., change in shape)
(a) Strain energy per unit volume due to dilation:
The element is subjected to hydrostatic stress system,
𝜎1 = 𝜎2 = 𝜎3 = 𝜎 (compressive)
1 (1−2𝜇)(𝜎)
𝜀1 = [𝜎1 − 𝜇(𝜎2 + 𝜎3 ] = (compressive)
𝐸 𝐸
(1−2𝜇)(𝜎)
Similarly, 𝜀2 = 𝜀3 = (compressive)
𝐸
(𝟏−𝟐𝝁)(𝝈)
 𝜺𝟏 = 𝜺𝟐 = 𝜺𝟑 =
𝑬
• the strain (i.e., rate of deformation) is same in all three directions
 the element undergoes only dilation without distortion.
The Strain energy per unit volume due to dilation is
1 (1−2𝜇)(3𝜎 2 )
𝑢𝑑𝑖𝑙𝑎𝑡𝑖𝑜𝑛 = [(𝜎 2 + 𝜎 2 + 𝜎 2 ) − 2𝜇(𝜎 2 + 𝜎 2 + 𝜎 2 ))] = 
2𝐸 2𝐸
(𝟏−𝟐𝝁)(𝟑𝝈𝟐 ) 𝝈𝟐
𝒖𝒅𝒊𝒍𝒂𝒕𝒊𝒐𝒏 = =
𝟐𝑬 𝟐𝑲

For an element (subjected to principal stresses in all three

orthogonal directions) to undergo only dilation without any
distortion, then the element shall be subjected to equal and
like normal stresses in all three orthogonal directions

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(b) Strain energy due to distortion:
The element is subjected to tri-axial state of principal stresses
𝜎1 ≠ 𝜎2 ≠ 𝜎3
The three orthogonal strains are
1 1 1
𝜀1 = [𝜎1 − 𝜇(𝜎2 + 𝜎3 ] , 𝜀2 = [𝜎2 − 𝜇(𝜎3 + 𝜎1 ] and 𝜀3 = [𝜎3 − 𝜇(𝜎1 + 𝜎2 ]
𝐸 𝐸 𝐸
 𝜀1 ≠ 𝜀2 ≠ 𝜀3
• the strain (i.e., rate of deformation) is different in each of the three directions
The three orthogonal strains are not equal.
Therefore, distortion occurs
The volumetric strain is
(1−2𝜇) 𝑑𝑉
𝜀𝑣 = 𝜀1 + 𝜀2 + 𝜀3 = [𝜎1 + 𝜎2 + 𝜎3 ] = where dv is the change in volume V.
𝐸 𝑉
for constant volume (no dilation) condition, dv shall be zero i.e.,
either •  shall be 0.5 i.e., natural rubber
or • [𝝈𝟏 + 𝝈𝟐 + 𝝈𝟑 ] = 𝟎 i.e., materials other than
algebraic sum of three orthogonal natural rubber
stresses shall be zero
For no dilation, the algebraic sum of three orthogonal stresses must be zero
For an element (subjected to principal stresses in all three orthogonal
directions) to undergo only distortion without any dilation, then the
algebraic sum of these three principal stresses must be equal to zero.
Each principal stress is divided into two components
Principal stress = Dilation component + Distortion component
𝜎1 = 𝜎′ + 𝜎1′
𝜎2 = 𝜎′ + 𝜎2′
𝜎3 = 𝜎′ + 𝜎3′
by adding all three principal stresses, 𝜎1 + 𝜎2 + 𝜎3 = 3𝜎 ′ + (𝜎1′ + 𝜎2′ + 𝜎3′ )
(𝜎1 +𝜎2 +𝜎3 )
For only distortion without dilation 𝜎1′ + 𝜎2′ + 𝜎3′ = 0  𝜎 ′ =
3
The Strain energy per unit volume due to dilation only, is
(1−2𝜇)(3𝜎 2 ) (1−2𝜇)(3𝜎 ′2 ) 3(1−2𝜇) 𝜎1 +𝜎2 +𝜎3 2
𝑢𝑑𝑖𝑙𝑎𝑡𝑖𝑜𝑛 = = =[ ][ ]
2𝐸 2𝐸 2𝐸 3
(𝟏−𝟐𝝁)
𝒖𝒅𝒊𝒍𝒂𝒕𝒊𝒐𝒏 = (𝝈𝟏 + 𝝈𝟐 + 𝝈𝟑 )𝟐
𝟔𝑬
From 𝑬 = 𝟑𝑲(𝟏 − 𝟐𝝁),

𝟏 𝝈𝟏 + 𝝈𝟐 + 𝝈𝟑 𝟐
𝒖𝒅𝒊𝒍𝒂𝒕𝒊𝒐𝒏 = ( )
𝟐𝑲 𝟑

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The Strain energy per unit volume due to only distortion only is
𝒖𝒅𝒊𝒔𝒕𝒐𝒓𝒕𝒊𝒐𝒏 = 𝒖 − 𝒖𝒅𝒊𝒍𝒂𝒕𝒊𝒐𝒏
1
𝑢𝑑𝑖𝑠𝑡𝑜𝑟𝑡𝑖𝑜𝑛 = [(𝜎12 + 𝜎22 + 𝜎32 ) − 2𝜇(𝜎1 𝜎2 + 𝜎2 𝜎3 + 𝜎3 𝜎1 )]
2𝐸
(1−2𝜇)
− [(𝜎1 + 𝜎2 + 𝜎3 )2 ]
6𝐸
1 (1−2𝜇)
= (𝜎12 + 𝜎22 + 𝜎32 ) [ − ]
2𝐸 6𝐸
2𝜇 2(1−2𝜇)
−(𝜎1 𝜎2 + 𝜎2 𝜎3 + 𝜎3 𝜎1 ) [ + ]
2𝐸 6𝐸
2(1+𝜇)
= (𝜎12 + 𝜎22 + 𝜎32 ) [ ]
6𝐸
2(1+𝜇)
−(𝜎1 𝜎2 + 𝜎2 𝜎3 + 𝜎3 𝜎1 ) [ ]
6𝐸
From 𝑬 = 𝟐𝑮(𝟏 + 𝝁),
1 1
𝑢𝑑𝑖𝑠𝑡𝑜𝑟𝑡𝑖𝑜𝑛 = (𝜎12 + 𝜎22 + 𝜎32 ) [ ] − (𝜎1 𝜎2 + 𝜎2 𝜎3 + 𝜎3 𝜎1 ) [ ]
6𝐺 6𝐺
𝟏
𝒖𝒅𝒊𝒔𝒕𝒐𝒓𝒕𝒊𝒐𝒏 = [(𝝈𝟏 − 𝝈𝟐 )𝟐 + (𝝈𝟐 − 𝝈𝟑 )𝟐 + (𝝈𝟑 − 𝝈𝟏 )𝟐 ]
𝟏𝟐𝑮
𝟏
For simple tension test: 𝒖𝒅𝒊𝒔𝒕𝒐𝒓𝒕𝒊𝒐𝒏 = [(𝝈𝟎 )𝟐 ]
𝟔𝑮

oOo

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