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Explicit codes in geomechanics—FLAC, UDEC and PFC

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Chapter 16 of Innovative Numerical Modelling in Geomechanics (Eds. L. Ribeiro e Sousa, Euripedes Vargas Jr., M.
Matos Fernandes, Roberto Azevedo), CRC Press, Taylor&Francis, London, 2012, pp. 299-315.

Explicit codes in geomechanics – FLAC, UDEC and PFC

J.V. Lemos
LNEC – Laboratório Nacional de Engenharia Civil, Lisbon, Portugal

ABSTRACT: Codes based on explicit solution algorithms have gained wide acceptance in geomechanics
modeling. The continuum code FLAC, the discrete element block code UDEC and the particle code PFC, as
well as their 3D counterparts, are well-known tools for a broad range of geotechnical engineering problems.
In this paper, the key numerical features of this modeling approach are examined, and its present capabilities
are reviewed with reference to various applications in soil and rock mechanics. Trends in the development
and use of geotechnical software are discussed, whether for research purposes, or in the context of engineer-
ing practice.

1 INTRODUCTION was one of the relaxation techniques employed to

1.1 Early developments in explicit techniques
Most of the early development of software for ge-
otechnical applications, in the 60’s and 70’s, fol-
lowed to a large extent the established methods and
practices of structural engineering. They were based
on the finite element method, the most critical com-
putational task being the solution of a system of lin-
ear equations. Nonlinear analysis was addressed as
an extension of elastic analysis, by means of incre-
mental or iterative techniques. In rock mechanics, a
special type of element, the joint element (Goodman
1968), was introduced to deal with the discontinui-
ties. These models, however, had difficulty in ad-
dressing some problems, particularly in failure anal-
ysis. The concept of a rock mass as a block
assemblage had already been proposed (e.g. Trol-
lope 1968), but the existing codes did not handle the
condition of block rigidity, or, for example, situa-
tions in which one block became totally detached
from a rock slope in the course of a simulation.
Cundall (1971) devised a general solution technique
capable of materializing the block assemblage con-
cept, based on the time integration of the equations
of motion of each block. The modeling of mechani-
cal contacts between the blocks, which could now be
assumed perfectly rigid, and the methods to detect
them, completed the novel features of the designated
‘Distinct element method’. Large displacement
analysis became manageable, with the system con-
nectivity automatically updated during a simulation.
This type of solution was well known in the finite
difference community. Dynamic relaxation (DR)
solve systems of linear equations before computers
made direct solution feasible. Physically it amounts
to seeking the static solution of a mechanical system
by integration of the equations of motion with artifi-
cially high damping (Otter et al. 1966). It has also
been widely used in structural mechanics (e.g. Un-
derwood 1983), where, for highly non-linear prob-
lems, the DR method continues to provide a robust
alternative, and is particularly competitive in compu-
tational terms for large 3D systems (Papadrakakis
1993).
Dynamic relaxation was also the basis of the ear-
ly finite-difference ‘hydrocodes’ developed for
modeling elasto-plastic material flow in the large de-
formation range (Wilkins 1964). The continuum
code FLAC follows this line of development, attest-
ing the capabilities of the explicit solution methods
in soil and rock mechanics problems. A further ad-
vantage of explicit codes is that the same algorithm
may be used for both static and dynamic analysis.
The only difference is the choice of damping param-
eters and inertial masses, which may be scaled for
optimal convergence in static analysis.
It may seem that the choice of the solution meth-
od is not a decisive factor in geotechnical modeling.
In fact, given the same constitutive assumptions, all
applicable codes should reach the same results. It is
clear, however, that the solution algorithm governs
the entire structure of the code. It also has some in-
fluence on the way the code is used, as it makes cer-
tain types of analyses feasible, faster or easier to per-
form. The explicit algorithms, by reaching the
solution sequentially, through a series of physically
meaningful states, are consistent with modeling
methodologies that stress the ‘experimental’ use of
numerical models as a means to understand the re-
sponse of the system, and the interplay of the vari-
ous parameters (Starfield & Cundall 1988).
1.2 Continuum and discontinuum representations –
FLAC, UDEC and PFC codes
The primary classification of geomechanical models
relies on the distinction between two groups: contin-
uum and discontinuum models. The first group in-
cludes the models based on the theory of continuum
mechanics, in which the material is represented as an
equivalent medium obeying constitutive laws that
reflect in some way the most significant features of
its physical behavior. The second group is composed
of those models that represent explicitly the granular
or blocky structure of the medium, even if this is
done in a highly idealized manner.
FLAC and FLAC3D (Itasca 2011b, 2009) are con-
tinuum codes, based on a spatial discretization de-
rived from the finite-difference perspective, as dis-
cussed in the following section. They are widely
used in soil mechanics applications, as well as for
equivalent continuum idealizations of rock masses.
The user’s ability to program new constitutive mod-
els gives the codes significant power in addressing
the complex behavior of geomaterials.
Discontinuum representations range from the
consideration of a small number of joints or inter-
faces in an extended medium, to assemblies of dis-
crete blocks or particles. The former type of problem
may still be addressed with continuum codes as
FLAC/FLAC3D, both providing interface logic to
perform the role of joint elements in typical finite el-
ement packages. As the number of the discontinui-
ties increases, and their patterns turn more complex,
it becomes more natural, as well as computationally
efficient, to resort to the codes based on the distinct
(or discrete) element method (DEM).
UDEC (Itasca 2011a) and 3DEC (Itasca 2007)
were originally created to model jointed rock, sub-
Apply equations of motion
Rigid blocks, particles
and mesh nodes
New stresses
and forces
Apply constitutive laws
Contacts and mesh elements
Figure 1. Calculations performed at each step of an explicit code.
stantially extending the capabilities of Cundall’s
original rigid block model, but retaining its essential
nature. Both codes are capable of analyzing block
stresses and deformations, by means of an internal
finite element mesh. The same constitutive models
featured in the FLAC codes, including user-defined
models, are also available in the block codes. At the
limit, a finely meshed single block with complex
constitutive laws allows a continuum analysis to be
performed with UDEC/3DEC, but obviously not ex-
ercising the specific DEM capabilities. Block mod-
els are presently found in a variety of fields besides
rock mechanics, ranging from the structural analysis
of masonry to process engineering.
Particle models compose the second group of
DEM models, deriving from the proposal by Cundall
& Strack (1979) of a conceptual representation of
granular media as assemblies of rigid circular parti-
cles. Cundall’s original BALL and TRUBAL codes
led to the current PFC2D and PFC3D (Itasca 2008a,
2008b). The field of application of these representa-
tions extends far beyond geomechanics, addressing
many physical systems, under different designations,
namely Molecular Dynamics (e.g. Pöschel &
Schwager 2005). In rock mechanics, these models
became powerful research tools for fundamental
studies in fracture analysis, initially at the lab test
scale. Their use at a larger scale, in the solution of
practical engineering problems, is becoming achiev-
able with the increase in computer power, and the
dominance of the discontinuum approach in geome-
chanics has been predicted (Cundall 2001). The con-
ceptual alternative is between complex constitutive
relations with many parameters, required by contin-
uum representations, and the simpler mechanical
laws that govern the elementary interaction of ran-
domly distributed particles in large assemblies.
All Itasca codes, from FLAC to UDEC and PFC,
share a number of features that embody a common
approach to modeling. Preeminent among these
common features are the use of explicit solution al-
gorithms, for static or dynamic analysis, and the ca-
pability to extend the simulations into the large dis-
New velocities and
displacements
Chapter 16 of Innovative Numerical Modelling in Geomechanics (Eds. L. Ribeiro e Sousa, Euripedes Vargas Jr., M.
Matos Fernandes, Roberto Azevedo), CRC Press, Taylor&Francis, London, 2012, pp. 299-315.

placement range. The scheme in Figure 1 illustrates

the basic cycle repeated at each time step, composed
of two sets of calculations: (i) the application of the
equations of motion, either of the rigid blocks and
particles or the mesh nodes, which produces the new
velocities and displacements; (ii) the application of
the constitutive models of the continuum elements,
interfaces and contacts, providing new stresses and
nodal and contact forces.
As all software designed for geotechnical engi-
neering analysis, the FLAC/UDEC codes also have
specific features, such as structural elements, e.g. to
represent anchors, piles, rock bolts or tunnel support,
capabilities for thermal and hydro-mechanical analy-
sis, facilities to address seismic problems, and a
suite of built-in constitutive models for soil, rock
and rock joint behavior.

2 NUMERICAL COMPONENTS
2.1 Finite-difference spatial discretization
Classical finite-difference (FD) formulations, based
on the direct discretization of the governing equa-
tions in terms of values at a regular grid of points,
had serious practical limitations, e.g. in handling ir-
regular domains and general boundary conditions.
The development of finite-difference methods using
integral difference techniques allowed much more
flexibility, with meshes organized in terms of zones.
In these formulations, the Gauss theorem is invoked
to calculate zone averages of variables, such as
strain rates, as well as the nodal forces equivalent to
the stress state (Wilkins 1964). This development
brought finite-difference methods closer to standard
finite elements, and equivalence between the two
may be proved for some types of low order elements
(Benson 1992).
Quadrilateral finite-difference zones typically as-
sume uniform stresses, and therefore, as 4-node fi-
nite elements integrated with a single Gauss point,
display mechanisms, the hourglass modes. For
FLAC and FLAC3D, Cundall avoided this problem
by developing special types of quadrilateral and par-
allelepiped zones. These are based on overlays of
triangular zones in 2D, and tetrahedral zones in 3D,
which are similar to the corresponding uniform
strain finite elements. In FLAC, the quadrilateral is
divided into 2 overlays of 2 triangles each. The av-
eraging of the nodal forces resulting from each over-
lay confers symmetry to the element. As illustrated
in Figure 2, the 8-node brick-shaped zone in
FLAC3D is also formed by 2 overlays, each contain-
ing 5 tetrahedra, a scheme which also confers a
symmetric behavior to the brick. Stress output is
presented in terms of averages for each quadrilateral
or brick, but the individual zone stresses are still ac-
cessible if necessary.
Figure 2. Brick-shaped zone in FLAC3D formed by 2 overlays
of 5 tetrahedra each.
For geotechnical problems, with complicated ge-
ometries and material heterogeneity, these low order
elements are quite convenient for practical mesh de-
sign. Refined meshes may be needed where stress
accuracy is more critical. The ability to ‘attach’
zones of multiple edge sizes simplifies the use of lo-
cal refinements. Poor performance of these elements
in plasticity problems is solved by the ‘mixed dis-
cretization’ technique described in the next sub-
section. Another drawback of low order elements is
the elastic bending behavior. Pound (2006) analyzed
the performance of FLAC zones in the simulation of
structural bending, for example in the representation
of tunnel linings, defining the minimum number of
elements required for a correct response.
In UDEC and 3DEC, meshes of triangular or tet-
rahedral zones (or elements) are employed inside
each deformable block. For arch dams, 3DEC allows
the combination of 20-node brick elements in the
concrete vault with tetrahedral zones in polyhedral
blocks of the rock mass, which improves the stress
analysis in the structure (Lemos 2008).
2.2 Elasto-plastic analysis and mixed discretization
Low order elements tend to exhibit ‘locking’ when
undergoing plastic deformations, which leads, for
example, to inaccurate estimates of loading capacity.
Mixed discretization is one of the numerical tech-
niques that overcome this problem. In FLAC and
FLAC3D, volumetric strains are averaged for the el-
ements that compose each overlay, producing an ac-
curate response in the plastic range as shown by
comparisons with analytical solutions presented in
the codes’ manuals.
In UDEC and 3DEC, where single overlay mesh-
es are used, an alternative designated as ‘nodal
mixed discretization’ is implemented (Detourney &
Dzik 2006). In this case, the average procedure is
performed for zones connected to a given grid-point
(node), resulting in a measure of the average nodal
volumetric strain, which is followed by an interpola-
tion to obtain the average volumetric strains in each
zone from the nodal values. Tests against closed-
form solutions have also confirmed the good per-
formance of this new technique.
2.3 Damping
2.3.1 Quasi-static analysis
When dynamic relaxation algorithms are used to
solve static problems, the convergence to the equi-
librium state, or the collapse mechanism in the case
of failure, is obtained by artificial damping. The aim
is to introduce energy dissipation in the system dy-
namical response, eliminating the vibratory re-
sponse. Viscous damping, proportional to mass, was
the initial choice. For an elastic system, optimal
convergence is usually achieved with critical damp-
ing of the dominant mode in the response. As the de-
termination of eigenfrequencies is demanding, and,
for non-linear systems, the nature of the response
may evolve rapidly, several methods have been pro-
posed to optimize the damping parameters (e.g. Un-
derwood 1983). In UDEC/3DEC an adaptive scheme
is available for this purpose, freeing the user from
the need to specify these parameters.
Cundall (1987) proposed an alternative to viscous
damping, termed ‘local damping’. In essence, it dif-
fers from the viscous model in that the damping
force magnitude is not proportional to the velocity
but to the unbalanced force, while its direction is
still taken contrary to the velocity vector. Experience
has shown that this damping scheme performs very
well and is now standard in all Itasca codes.
The influence of damping on the results of explic-
it simulations is often a cause of concern. For linear
systems, convergence to a unique solution is certain.
The behavior of nonlinear systems is always path-
dependent, and numerical solution techniques may
have some effect on the results. However, damping
is no more a problem than the numerical parameters
governing iterative implicit solvers. In fact, dynamic
relaxation, as it proceeds through a large number of
small steps, has been shown to be a rather robust
solver for strongly nonlinear systems. Serious path-
dependence is often traceable to inadequate model-
ing procedures, such as sudden application of large
loads, unrealistic changes in boundary conditions or
material properties, and so on.
2.3.2 Dynamic analysis
The most common type of damping for dynamic
analysis is Rayleigh damping, composed of mass-
proportional and stiffness-proportional components,
in spite of the fact that the implied frequency de-
pendence does not fit well the experimental evidence
for geomaterials. In explicit algorithms, the stiff-
ness-proportional component requires a reduction of
the time step, to maintain numerical stability, which
in some cases substantially increases the run times.
Various authors have proposed alternative energy
dissipation schemes. Cundall’s hysteretic damping,
implemented in FLAC and FLAC3D, has been shown
to be a computationally effective tool for seismic
analysis (Han & Hart 2006).
2.4 Seismic analysis
Earthquake analysis is one of the principal applica-
tions of dynamic models in geotechnical engineer-
ing. FLAC, UDEC and their 3D versions have the
required features for seismic analysis of extended
geotechnical media, namely boundary conditions,
such as quiet boundaries, based on the viscous
boundary formulations, to allow energies radiation at
the model limits. The seismic input at the model
base may be applied by means of stress waves, while
the lateral support conditions are correctly repre-
sented by numerical free-field calculations, based on
auxiliary meshes that calculate the free-field dynam-
ic motion of the extended medium, as shown in Fig-
ure 3 (e.g. Lemos 1999).
Figure 3. Dynamic free-field conditions for seismic analysis
available in 3DEC and FLAC3D.
Dynamic analysis still imposes sizeable computa-
tional costs, particularly in 3D. In explicit algo-
rithms, the time step needs to be limited to guarantee
numerical stability, and it is automatically deter-
mined by the code. Often, a judicious choice of
model setup and mesh may significantly improve the
computational cost, and the various code manuals
provide helpful indications on the factors that govern
the dynamic time step. For example, avoiding high
Chapter 16 of Innovative Numerical Modelling in Geomechanics (Eds. L. Ribeiro e Sousa, Euripedes Vargas Jr., M.
Matos Fernandes, Roberto Azevedo), CRC Press, Taylor&Francis, London, 2012, pp. 299-315.
stiffness components or interfaces, or replacing them
by rigid connections, is advisable. Other numerical
devices are also available to save on run times, such
as multi-stepping techniques, in which different time
steps are automatically applied to different parts of
the grid.
2.5 User-defined constitutive models
One of the critical factors in the choice of codes is
the wealth of constitutive models offered. Giving the
user the ability to program its own material models
has greatly enhanced the software range of applica-
tion. In particular, it extends the range of commer-
cial codes in innovative research projects, to which
they may bring all of their facilities for model gener-
ation and graphical user interfaces that special pur-
pose codes often lack. User-defined constitutive
models in FLAC were initially written in the internal
FISH language, but currently C++ is preferred,
providing a standard programing framework. This
also permits libraries of tested models to be built and
made available to the geotechnical community.
The same user defined constitutive models for
continuum media may be assigned to FLAC zones
or to UDEC/3DEC deformable block zones. Effi-
cient C++ versions of the popular Mohr-Coulomb or
Hoek-Brown models, published in the code manuals,
are a good starting point to develop alternative con-
stitutive routines. For DEM codes, joint or contact
constitutive models may also be programmed. The
FLAC/DEM symposia proceedings contain many
examples of user-defined models, particularly for
soil behavior.
2.6 User interfaces. Access to data structures
The user interface is a critical component of any
code intended for engineering practice, as it may
control to a large extent the time and effort demand-
ed to reach a solution to a problem. Often, run times
are less critical than the time spent in building and
verifying the model, as well as interpreting the out-
put. From their early versions, Cundall’s codes fa-
vored a script based type of input, very effective for
experienced users. The latest version of the Itasca
codes also provide menu based input, within ad-
vanced graphical user interfaces, which facilitate
their operation by new or infrequent users.
The internal programming language FISH, com-
mon to all these codes, greatly enhances their power,
as it gives the user access to all the internal data
structures, without having to know the source de-
tails. It allows, for example, the development of
functions to create complex geometries, which may
be modified and reused in new models. It provides
the means to control the code execution, e.g., to pro-
gram the performance of series of parametric stud-
ies. Monitoring specific variables and indicators dur-
ing a run, as well as post-processing of the results,
are also much facilitated by such full access to all
the stored data.
3 EXAMPLE APPLICATIONS
The range of problems approached by Itasca codes
has enlarged markedly in recent years, not only in
geomechanics, but also in other science and engi-
neering fields. A few types of geotechnical applica-
tions will be briefly reviewed in the following sec-
tions.
3.1 Dam foundations
The conceptual model of a rock mass as a blocky
system has been employed for many years in the de-
sign of concrete dam foundations, mostly based on
analytical techniques, such those in Londe’s classi-
cal papers (e.g. Londe 1970). Cundall’s original rig-
id block model was motivated by jointed rock slope
problems. A numerical DE model of an arch dam
foundation may be viewed as an extension of classi-
cal block stability analysis, but with many more ca-
pabilities. Instead of a single rock wedge, a block
system is represented, and therefore, not just one,
but multiple failure modes may be checked in a sin-
gle run. Furthermore, block deformability can be
considered, taking into account the dam-rock inter-
action, which could be relevant in valleys with
marked heterogeneity.
In the study of arch dams, the correct representa-
tion of the deformability and stresses in the concrete
shell is important. For this purpose, 3DEC allows
meshes of 20-node brick finite elements in the con-
crete structure, while the rock mass blocks are still
discretized with tetrahedra. This combination is
shown in the model of Alqueva dam (Figure 4), a 96
m high arch, employed in a study focused on the
presence of a major fault (Resende et al. 2004).
Figure 4. Model of Alqueva arch dam with foundation fault
(Resende et al. 2004)
 Besides the fault, the only other discontinuities in
this simple model are the concrete-rock interface,
and the contraction joints between the cantilevers.
Earthquake analysis with this type of model are also
often performed with 3DEC, allowing the study of
the effects on the arch stresses of episodes of slip on
foundation surface or the opening of the vertical
cantilever joints (e.g. Lemos 2008). In these anal-
yses, the dynamic reservoir-structure interaction
may be represented by means of the added mass
technique.
More complex representations of the rock mass
structure are easily generated with 3DEC, as in the
case of the model developed for the 110 m high
Baixo Sabor dam, a detail of which is shown in Fig-
ure 5 (Lemos & Antunes 2011). In this case, major
discontinuities with known locations were first in-
troduced in the model, and then a few discontinuities
of each of the 3 main joint sets were selected. The
aim is to represent the potential failure modes, not
the detail of rock mass jointing. In this type of mod-
el, in which only a few discontinuities are present, it
is obligatory to use deformable blocks in the rock
mass, with Young’s moduli calibrated to provide the
overall deformability. Several other simplifying as-
sumptions were made to reduce the computational
effort, for example, using equivalent continuum
blocks in areas not involved in the failure modes, at
some distance or upstream from the dam.
Figure 5. 3DEC model of Baixo Sabor dam. (top) full model;
(bottom) detail of the right-bank half (Lemos & Antunes 2011).
After application of water pressure to the dam up-
stream face and in the rock discontinuities, safety
factors for foundation failure modes were evaluated
by progressive reduction of the joint strength proper-
ties, leading to the development of mechanisms such
as the one depicted in Figure 6.
Figure 6. Failure mechanism of arch dam foundation model ob-
tained after progressive reduction of rock joint friction.
In the previous model, a relatively course block
structure was sufficient to represent the major failure
modes. More detailed jointing patterns are some-
times required to study the behavior of specific areas
of the foundation or abutments, as in model devel-
oped by N.S. Leitão for Foz Tua dam (Figure 7, Ma-
tos et al. 2010).
fault C
vertical discontinuity
upstream
Figure 7. Detail of block model for the analysis of failure of
the left abutment of Foz Tua dam (dam and upstream rock hid-
den) (Matos et al. 2010).
A key aspect in dam foundation analysis is the ef-
fect of water pressures in the rock mass. In a numer-
ical model, it is easy to consider multiple assump-
tions on joint water pressure distributions, based on
the standard design assumptions, or indeed to run a
hydro-mechanical analysis to determine the water
pressures. In DE models, the direct application of
water pressures on the joint surfaces leads to effec-
Chapter 16 of Innovative Numerical Modelling in Geomechanics (Eds. L. Ribeiro e Sousa, Euripedes Vargas Jr., M.
Matos Fernandes, Roberto Azevedo), CRC Press, Taylor&Francis, London, 2012, pp. 299-315.

tive normal stresses, as required for the application

of the constitutive models.
In gravity dam studies, mostly done in 2D, cou-
pled hydro-mechanical analyses pose no computa-
tional difficulties. The blocks are typically assumed
impervious, with all fluid flow taking place along
the discontinuities. The example of Albigna dam,
performed by Gimenes & Fernandez (2006) with
UDEC, allowed an interesting comparison with dam
monitoring results.
In 3D models of arch dams, the proper represen-
tation of the flow pattern requires many more joints
than a mechanical stability study. Besides, the com- Figure 9. Back-analysis of the Lower San Fernando Dam: (a)
plications introduced by the grout and drainage cur- horizontal velocity (m/s) and (b) horizontal displacement (m) at
tains make the hydro-mechanical analysis less end of analyses for coupled effective stress analysis (Naesgaard
& Byrne 2007).
straightforward at the design stage. Therefore, in
practical studies, instead of the fracture flow model
implemented in 3DEC, developed by Damjanac 3.3 Rock slopes
(1996), simplified water pressure distributions are
As already mentioned, the analysis of the toppling
often prescribed for the discontinuities, in accord-
mode of slope failure was one of the initial motiva-
ance with regulatory standards. Alternatively, the
tions for the development of the rigid block models.
water pressure field in the rock mass could be ob-
It remains a typical application for DE models, given
tained in a less demanding continuum hydraulic
the role played by structurally governed failure
analysis, particularly in the safety assessment of ex-
mechanisms, and many examples are available in the
isting dams, for which monitoring data is available
literature of civil and mining problems. For example,
to calibrate the model (e.g. Farinha et al. 2011).
Brideau & Stead (2010) used a 3DEC model to in-
These water pressures may then be applied to the
vestigate the three-dimensional effects in toppling,
joints of a block model for stability assessment.
namely the role of boundary conditions (Fig. 10).
Alejano et al. (2011) analyzed in particular the be-
3.2 Foundations and embankments havior at the toe of the slope, employing UDEC
models with deformable blocks capable of simulat-
Embankment dams are often analyzed in 2D, but 3D
ing the block failure. Soil slopes are also routinely
models are becoming more common, as in the case
analyzed with FLAC’s plastic constitutive models.
shown in Figure 8 (Ma et al. 2011), where the valley
Detailed analysis of the phenomena involved in
shape is clearly relevant.
rock slope failure, e.g., the role of rock bridges and
crack extension processes, are also being analyzed
with the type of DE models employed in rock frac-
ture analysis (e.g., Lorig et al. 2011), as discussed in
section 3.7.

Figure 8. Seismic stability analyses of a hydraulic fill dam (Ma

et al. 2011).

The soil constitutive laws available in FLAC and

FLAC3D, as well as user-defined models, address
complex patterns of material behavior. For example,
Ma et al. (2011) employed a critical state based soil
model, while Naesgaard & Byrne (2007) performed
a back-analysis of the Lower San Fernando dam Figure 10. 3DEC model of toppling failure (Brideau & Stead
simulating the liquefaction process (Fig. 9). 2010).
 3.4 Tunneling and caverns capability of the DE representation to capture a
complex deformation is evident.
Tunneling analysis are normally performed in 2D,
but there is an increase of use of 3D representations,
e.g. for particular sections, such as tunnel intersec-
tions, or in case of proximity to existing excavations
or building foundations. For example, a FLAC3D
model was used by Sousa et al. (2001) to study the
effects of a new subway tunnel to be built a short
distance above an old masonry lined tunnel.
The increased importance of tunnel boring ma-
chines poses the challenging problem of simulating
the complex excavation process, which has been ad-
dressed by several authors. For example, Senís &
FLAC3D 3.00
Varona (2008) have developed a procedure for ap-
gs: Model Perspective

r:
plication of FLAC3D to the analysis of the excava-
23 Sat May 19 2007

Rotation:
807e+001tion using an EPB machine (Fig. 11).
578e+001
X: 10.000
Y: 0.000
009e+001 Z: 50.000
3.709e+002 Mag.: 3.05
Ang.: 22.500

k Group
ucleo
uelo
ovela
ortero
pb

Figure 12. Underground powerhouse complex modeled with

FLAC3D (Leitão 2009).

Consulting Group, Inc.

apolis, MN USA
Figure 11. Detail of FLAC3D model to analyze the excavation
of a tunnel using an EPB machine (Senís & Varona 2008).

The design analysis of large caverns in rock for

civil engineering projects, such as underground
powerhouses, is often based on 3D continuum mod-
els, which provide the global stress and displace-
ment fields. Subsequently, local block stability stud-
ies may be performed by simplified methods. The
FLAC3D model in Figure 12 (Leitão 2009) repre-
sents the underground works of Cahora Bassa dam,
in Mozambique (shown superimposed on the surface Figure 13. Detail of model of Picote II cavern (Esteves et al.
topography). A detail of the model developed for the 2008).
Picote II cavern (Esteves et al. 2008) shows the rep-
resentation of the various openings and roof support
(Fig. 13). Miranda (2007) also used FLAC3D to ana-
lyze the Venda Nova II powerhouse, in a compre-
hensive study applying back-analysis tools to infer
rock mass in situ stresses and properties from the
monitored behavior during the excavation. The hy-
dro-mechanical behavior of the pressure circuit in
the same project was addressed by Leitão & Lamas
(2006) (Fig. 14).
A well-known application of discontinuum mod-
els to underground works was the analysis of the
large span cavern at Gjovik, in Norway, by Barton et
al. (1994), performed with UDEC, where the behav-
ior of the rock joints was simulated with the Barton-
Bandis model. Figure 15 shows a model of a shallow Figure 14. Model for hydromechanical analysis of Venda Nova
tunnel in a stratified rock mass (Bandis 2004). The II pressure circuit (top part of rock mass hidden for viewing)
(Leitão & Lamas 2006).
Chapter 16 of Innovative Numerical Modelling in Geomechanics (Eds. L. Ribeiro e Sousa, Euripedes Vargas Jr., M.
Matos Fernandes, Roberto Azevedo), CRC Press, Taylor&Francis, London, 2012, pp. 299-315.

Figure 16 displays the unstable rock volumes that

form in the roof and shaft sidewalls, and a 3DEC
analysis including rock bolt elements was subse-
quently performed to evaluate support requirements.

3.5 Mining
Mining is a field where explicit models have played
an important role, as there are many problems that
involve conditions close to failure, whether in open
pit or underground mining (e.g. Lorig 2007). The
large displacement capabilities of these codes allow
the simulations to proceed into the range of exten-
sive material damage and breakage. For example,
the simulation of cave mining methods has provided
a challenge to numerical modeling, whether based
on continuum or DE idealizations (e.g. Sainsbury et
al. 2011).
The code 3DEC, in particular, has been exten-
Figure 15. Representation of a complex deformation pattern sively used for large underground mining models.
around a shallow tunnel in a stratified rock mass (Bandis Besides its ability to incorporate the discontinuities,
2004). it is quite flexible in the representation of the rock
blocks, allowing the quick generation of irregular
The Tindaya cavern design was analyzed with 3D geometries, by means of cutting and joining of
polyhedral
3DEC, involving a detailed representation of the3DEC (Version 4.00) shapes. Then, its Delaunay algorithm al-
rock mass discontinuities (Senís & Varona 2008). lows deformable blocks to be meshed automatically.
11-May-06 20:24

Figure 17 shows a detail of a 3DEC model providing

analysis of stresses in pillars created by a complex
mine excavation (Rose et al. 2011).

dip= 60.00 above

dd = 260.00
center 1.092E+03
3.477E+02
8.956E+02
cut-pl. 0.000E+00
mag = 28.00
cycle 0

3DEC (Version 4.00)

25-May-06 20:08
4522 m3 Itasca
10030 m3
Figure 17. Deviatoric stress contours on horizontal plane in un-
dip= 40.00 above
derground mine 3DEC model (Rose et al. 2011).
dd = 260.00
center 1.173E+03
3.300E+02
8.760E+02
cut-pl. 0.000E+00
mag = 42.00
cycle 9509
3.6 Coupled problems
The presence of water in soil and rock masses brings
a coupled nature to most geomechanical problems,
even if in many practical cases, well-established as-
sumptions are employed to simplify the analysis.
The section on dam foundations in rock discussed
Itasca
the critical importance that water pressure in joints
has on stability. Hydro-mechanical models have
Figure 16. 3DEC model of Tindaya mountain project: (top) been used by many authors to determine flow and
Excavation shapes; (bottom) Volumes of unstable rock in the pressure fields, whether using equivalent continuum
unsupported case (Senís & Varona 2008).
 or discrete fracture idealizations. In 2D, gravity dam
analysis, the application of UDEC is straightforward
(e.g. Lemos 1999, Barla et al. 2004, Gimenes &
Fernandes 2006, Farinha 2010). An example is
shown in Figure 18, where the magnified defor-
e4) mations illustrate the pathways open for flow in the
4.00) rock mass upstream.
ec
0 sec
ation
E+03
-2.500 -1.500 -0.500 0.500 1.500 2.500 3.500
(*10^1)
Figure 18. Hydro-mechanical analysis of Pedrógão dam. Mag-
nified deformations of block model (Farinha 2010).
Nuclear waste isolation involves higher com-
plexity in the coupling effects, as thermal and chem-
ical phenomena become important. Transport is a
major issue in these problems, as well as in many
other environmental studies. An example of a study
of the effect of stresses on flow and solute transport
in fracture networks is shown in Figure 19.
Figure 19. (left) Fracture network for flow and solute transport
analysis; (right) flow rates under anisotropic stress state (Zhao
et al. 2011).
Hydraulic fracturing is also being approached
with DE models, within the framework of the rock
mass fracture studies to be addressed in the next sec-
tion (Damjanac et al. 2010).
3.7 Fracture
Particle DE models were initially intended for the
study of the micro-mechanical behavior of granular
media (Cundall & Strack 1979). When connected by
breakable bonds, however, these models became an
excellent tool for the fracture analysis of rock, con-
crete and other geomaterials. The random nature of
the assemblies simulates the natural arrangement of
grains in the structure of the rock matrix. Based on
elementary constitutive laws, governing the interac-
(*10^1) tion between the rigid particles, complex forms of
behavior develop, which approximate the behavior
4.000
trends experimentally recorded (Potyondy &
Cundall 2004). For example, the crack distribution
3.000
obtained with a PFC2D model of biaxial tests under
2.000
different confining stresses, in Figure 20, show the
more distributed damage pattern obtained with the
1.000
higher confinement. An active research effort has
ensued in recent years, with many authors testing the
0.000 capabilities of particle models to reproduce various
aspects of rock response (e.g. Cho et al. 2007,
-1.000
Schöpfer et al. 2009). Continued developments on
outstanding issues, such as the behavior under triax-
-2.000
ial conditions, have improved the performance of the
-3.000
bonded particle models (e.g. Potyondy 2010).
-4.000
4.500 5.500
Figure 20. Distribution of tensile and shear cracks in numerical
simulation of biaxial test of rock sample with low (left) and
high (right) confining stresses (Potyondy & Cundall 2004).
Polygonal block models resemble more closely
the grain structure of many rocks. However, from a
computational point of view, they are much more
demanding, mainly because the contact calculations
between polygons involve many more operations
than those needed in circular particle codes. Various
authors have nevertheless obtained very interesting
results of fracture analysis with UDEC models. Lo-
rig & Cundall (1987) performed an early application
to the fracture analysis of a concrete beam simulated
by an assembly of bonded Voronoi-shaped blocks.
Damjanac et al. (2007) studied the micro-mechanical
behavior of lithophysal tuff specimens with both
particle (PFC) and block (UDEC) models (Fig. 21).
Lan et al. (2010) represented the microstructure
of brittle rock by means of a deformable polygonal
grain-like assembly, in order to study effect of het-
erogeneity of grain deformability properties on the
behavior under uniaxial compression. Kazerani
(2011) used both Voronoi and Delaunay block as-
Chapter 16 of Innovative Numerical Modelling in Geomechanics (Eds. L. Ribeiro e Sousa, Euripedes Vargas Jr., M.
Matos Fernandes, Roberto Azevedo), CRC Press, Taylor&Francis, London, 2012, pp. 299-315.

semblies, to study dynamic fracture propagation in
rock. Expanding the model size from lab test to the
scale of engineering problems, while still difficult, is
becoming approachable. Alzo’ubi et al. (2011) have
studied the buckling failure of rock slopes with in-
clined layers with a detailed UDEC model.
Figure 22. Synthetic rock mass (SRM) model (Pierce et al.
2007).
Mas Ivars et al. (2008) have created a SRM with
PFC3D to study scale effects in jointed rock masses.
The anisotropic response and the trends in tensile
and compressive strength variation were investigated
by performing a series of numerical tests on samples
of various sizes (Fig. 23).

Figure 21. UDEC model of uniaxial compression test on litho-

physal tuff specimen (Damjanac et al. 2007).

The rock joint structure may also be represented

in PFC models, using the Synthetic Rock Mass con-
cept (SRM). A discrete fracture network (DFN) is
overlaid on a particle assembly, thus partitioning it
into a system of grains or blocks formed by bonded
circular particles, as shown in Figure 22 (Pierce at
al. 2007). Different properties are assigned to the
bonds of the contacts between particles belonging to
the same block, representing the intact rock material,
and to the contacts between adjacent blocks, repre-
senting the joint behavior. The key to this approach
lies in Cundall’s Smooth Joint Model (SJM), which
Figure 23. Three-dimensional SRM models: (top) detail view
is applied to the contacts between different blocks. of DFN inserted on PFC brick; (bottom) view of the 80x40x40
Even if the interface is not an exact straight line, the m model (Mas Ivars et al. 2008).
SJM logic forces all these contacts to adopt a com-
mon normal, leading to a smooth sliding behavior The run times for very large systems are still sig-
governed by a prescribed friction angle. nificant, particularly in 3D. Cundall (2011) proposed
a faster alternative to PFC, the “lattice model”, in
which the finite-sized particles are replaced by point
masses, and the contacts between particles are re-
placed by springs that may break. Assuming small
displacements, this model achieves high computa-
tional efficiency because the interaction geometry
(location and apparent stiffness of springs) can be
pre-computed, eliminating contact detection as an
overhead. A SRM model based on the lattice formu-
lation was applied by Cundall & Damjanac (2009) to
the analysis of slopes with discontinuous joint sets,
considering the fracture of the intact rock bridges.
 Dynamic fracture phenomena were addressed by
Kazerani (2011) with randomly generated UDEC
block assemblies, employing a joint constitutive
model with rate-dependent behavior. Figure 24
shows the model developed to simulate a dynamic
fracture toughness test with a semi-circular bend
specimen, and the crack pattern obtained at a given
stage.
Figure 24. (top) UDEC model of a SCB dynamic fracture
toughness test of a rock specimen; (bottom) developing crack
pattern (Kazerani 2011).
3.8 Rock joints
In addition to rock fracture, other aspects of rock
behavior are being approached by means of detailed
models are the meso-level scale, mostly using parti-
cle DE representations. The mechanical response of
rock joints in laboratory tests is a suitable applica-
tion for these models, capable of reproducing the
roughness of joint walls. Joint shearing was simulat-
ed with PFC by Cundall (2000) in 2D, while a 3D
model was used by Park & Song (2009). The com-
plex patterns of compressive and tensile contact
forces creating by the uneven contact conditions are
evident in Figure 25. The development of cracks
during shearing of the samples may also be followed
in these simulations.
Figure 25. PFC3D model of rock joint shearing. Distribution of
compressive and tensile contact forces (Park & Song 2009).
The effect of discontinuities on stress waves was
investigated by Resende et al. (2011) also with a
particle model. A simplified procedure was devel-
oped to create a rough joint, resulting in a stress de-
pendent stiffness. The propagation of a plane wave
across the discontinuity was examined, for various
in situ stress levels which caused different extents of
contact between the joint walls (Fig. 26).
Figure 26. Particle model of a stress wave crossing a disconti-
nuity with only a few points of contact (Resende et al. 2011)
3.9 Other applications
The continuously expanding capabilities of numeri-
cal models are motivating new uses in geotechnical
and related fields. For example, the ability of dis-
crete element models to capture the behavior of
granular, particulate or loose block systems has been
allowing their application to problems such as rock
falls or landslide analysis (e.g. Poisel & Preh 2008,
Fig. 27), bulk handling of materials (e.g. Shimizu &
Cundall 2001), or mine caving (e.g. Sainsbury et al.
2011). The fundamental behavior or rock fill materi-
als or ballast (e.g. Aikawa 2011) is also being inves-
tigated with these models. The behavior of stone
masonry structures, besides their foundations, has
also many aspects in common with that of geome-
Chapter 16 of Innovative Numerical Modelling in Geomechanics (Eds. L. Ribeiro e Sousa, Euripedes Vargas Jr., M.
Matos Fernandes, Roberto Azevedo), CRC Press, Taylor&Francis, London, 2012, pp. 299-315.
chanical systems, and their static or seismic response
may be approached by DE models (Lemos 2007).
Figure 27. Landslide analysis with a particle model (Poisel &
Preh 2008).
4 COMPUTATIONAL TRENDS
Geotechnical software continues to evolve rapidly.
As the increase in computer power has made possi-
ble much larger and more complex models, engi-
neers need robust and validated software packages
capable of exploiting the available resources in an
effective manner. It is particularly important that the
codes are versatile, adaptable to the various levels of
use, from the quick solution of fairly standard prob-
lems to the more elaborate types of analysis arising
in research projects.
Figure 28. Coupling of PFC and FLAC models (Katsaga & Po-
tyondy 2012).
The similarities in the command procedures and
methodologies of application of FLAC, UDEC and
PFC, besides their sharing of the FISH language, fa-
cilitate the integrated use of the codes in a project,
each one in its specific type of analysis. It is actually
possible to couple the codes, synchronizing their ex-
ecution, with exchange of data at each time step.
Figure 28 illustrates such capabilities in the analysis
of stope excavation in deep mines (Katsaga & Po-
tyondy 2012). The near-field ahead of the stope is
modeled with PFC, while a FLAC grid is used for
the surrounding medium. The plot shows clearly the
continuity of the damage patterns across the spatial
numerical interface, with crack patterns in PFC ex-
tending through shear fractures in the continuum. In
the future, there will certainly be more demand for
expedite ways to analyze the interactions between
different types of discrete elements, and between
these and continuum meshes.
Besides the enhancement of the geomechanical
analysis features surveyed the previous sections, the
development of Itasca codes is also focused on im-
provements in speed and ease of use (Russell 2011).
There are clear trends to apply 3D models routinely
to more problems and also to resort more frequently
to discrete element representations. For both, faster
analyses are indispensable. The implementation of
multithreading in the current version of FLAC3D, to
take advantage of multiple core processors, has al-
ready produced significant performance improve-
ments, and these are being extended to the discrete
element codes 3DEC and PFC.
The widespread application of large and complex
models in many practical jobs has made model gen-
eration a critical task. It is important that the codes
are flexible in this respect, allowing the input of
model geometries created externally, by various ge-
ometric modeling tools, in close articulation with the
internal model generation facilities. The use of KU-
BRIX (e.g., Taghavi et al. 2006) to build and mesh
FLAC3D and 3DEC model is expanding. In rock me-
chanics, interfacing with software that creates dis-
crete fracture networks is also very helpful, for ex-
ample, in fluid flow analysis or in Synthetic Rock
Mass models. User interfaces with good graphical
capabilities are essential to increase productivity, al-
lowing the visual definition of 3D model descrip-
tions (e.g., assigning boundary conditions, materials,
etc.), as well as facilitating model checking, a criti-
cal task for complicated 3D models.
One of the difficulties in applying particle models
is the calibration of the contact micro-parameters in
order to obtain the desired macroscopic properties.
Tawadrous et al. (2009) have used artificial neural
networks to predict these input micro-properties to
reproduce the deformability and strength of cylindri-
cal rock samples in uniaxial compression tests. Data
for the training and verification of the networks were
obtained by running a large number of PFC3D mod-
els and observing the resulting macro-properties.
 Analysis and interpretation of the results of a nu-
merical simulation becomes increasingly difficult
and time-consuming when advanced material behav-
ior models are employed. Often, the output of many
parametric studies needs to be compared and synthe-
sized. An internal programming language such as
FISH, with access to the complete data structure of
the problem, provides an excellent tool to treat the
output of many runs, and create appropriate graph-
ical representations. Soft-computing techniques are
now increasingly applied to assist in building
knowledge from the results of numerical simula-
tions. For example, DeGagné et al. (2011) used neu-
ral networks to developed behavior prediction tools
for tunnels in squeezing ground, based on an exten-
sive series of FLAC analysis.
5 CONCLUDING REMARKS
Every advance in computer speed has been accom-
panied by the development of larger and more com-
plex models. The pursuit of better run times, wheth-
er by means of parallel processing techniques or
improved algorithms, remains a challenge for code
developers. Nevertheless, it must be recognized that
fairly complex 3D models are now routinely applied
in engineering practice with very reasonable compu-
tational costs.
For many geotechnical professionals, the main
priority is the progress in model generation proce-
dures. These need to be tied to advanced graphical
interfaces, allowing more effective model creation
and verification. Better facilities for post-processing
of numerical results, namely when series of paramet-
ric runs are performed, are also critical in order to
save the engineers’ time in computing-intensive pro-
jects.
The FLAC, UDEC and PFC codes have pio-
neered the trend to give users more access to the in-
ternal data structure, by means of programming lan-
guages, such as FISH, or the implementation of
user-defined models. These features have expanded
considerably the code capabilities, allowing the user
to build elaborate representations in a systematic
manner, to test new behavior models, or to sample
data and possibly intervene during the simulation.
The ability to reutilize verified routines in new pro-
jects and to interchange data between applications
are also important to improve the efficiency of anal-
ysis procedures, whether in research or in geotech-
nical practice.
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