Geophysical Journal International

Geophys. J. Int. (2013) 194, 1023–1041 doi: 10.1093/gji/ggt143

Advance Access publication 2013 May 16

Numerical simulation of stick-slip behaviours of typical faults

in biaxial compression based on a frictional-hardening
and frictional-softening model

X. B. Wang,1,2 J. Ma1 and Y. S. Pan2

1 State Key Laboratory of Earthquake Dynamics, Institute of Geology, China Earthquake Administration, Beijing 100029, China. E-mail: wxbbb@263.net
2 College of Mechanics and Engineering, Liaoning Technical University, Fuxin, Liaoning 123000, China

Downloaded from https://academic.oup.com/gji/article-abstract/194/2/1023/599889 by guest on 04 September 2019

Accepted 2013 April 8. Received 2013 March 31; in original form 2012 November 12

SUMMARY
Stick-slip behaviours of typical faults and interactions among faults are numerically modelled
using a proposed frictional-hardening and frictional-softening elastoplastic continuum model.
Forty numerical tests in biaxial compression are conducted quasi-statically or dynamically in
plane strain and in small or large strain mode using FLAC-3D. Faults are modelled by square
or quadrilateral elements from a viewing angle perpendicular to the maximum surface of a
specimen. An incremental plastic shear strain in a stick-slip cycle is involved in the model,
which is calculated at the beginning of slip and then is set to be zero upon reaching its maximum
at the end of stick. Thus, the repeated stick-slip behaviour can be modelled using the same set
of equations, and only the evolution of an internal frictional angle is required to be different at
different stages. At the slip stage, a decrease of the angle leads to an increase of the incremental
plastic shear strain, while at the following stick stage, it is updated according to the present
incremental plastic shear strain. Nodal velocities change at the two stages because of the use
of dynamic equations even though a rate- and state-dependent law is not introduced. Effects
of loading rate, fault width and maximum incremental plastic shear strain are investigated.
To obtain size-independent stress-deformation curves, a slower loading is required for a finer

GJI Seismology
mesh to ensure the same propagating distance of stress wave. For two intersecting faults or
an echelon fault, a few small events are observed at the stick stage because of interactions
among faults, whereas only one large event is observed at the slip stage. For a specimen with a
bending fault, as the angle between two fault segments is large, the asynchronic softening and
hardening of fault elements lead to a small stress drop at loading ends (stable sliding) rather
than a saw-tooth-like behaviour (stick-slip). To validate the proposed model, a laboratory test
is modelled quasi-statically that was performed on a specimen including an inclined fault
oriented an angle of 60◦ with the horizontal direction in biaxial compression. The physical
and numerical results agree well. Numerical results show that the stick-slip period is doubled
if the loading velocity is halved. Compared with the rate- and state-dependent law, the present
model is simple and can be implemented in FLAC-3D, capable of modelling the effects of
creep, seepage and temperature. For complex faults under complex loading conditions, the
proposed model can be used to identify faults prone to sliding or those with large stress
drops, and to investigate active sequences of faults and their interactions. Advantages and
disadvantages of square or quadrilateral meshes are also addressed, especially on the aspect
of stick-slip modelling. For a bending or a single straight fault, a long stick-slip period and a
low load-carrying capacity are obtained for quadrilateral meshes, but not for square meshes.
Key words: Numerical solutions; Seismic cycle; Friction; Rheology and friction of fault
zones; Continental tectonics: strike-slip and transform; Dynamics and mechanics of faulting.

gists. Many theoretical and numerical studies have been conducted

1 I N T RO D U C T I O N
to investigate various seismic problems using different constitutive
As a mechanism of earthquakes, the frictional stick-slip phe- models and numerical methods. Amontons’ law requires a constant
nomenon of faults has attracted much attention of many seismolo- frictional coefficient, and yet cannot consider the static friction and


C The Authors 2013. Published by Oxford University Press on behalf of The Royal Astronomical Society. 1023
1024 X. B. Wang, J. Ma and Y. S. Pan
the dependence upon the velocity of sliding (Lorig & Hobbs 1990).
The static–kinetic friction law requires that the friction is static be-
fore slip initiates, followed by a low kinetic friction once motion
commences. However, the law always predicts an unstable motion
once slip starts.
One constitutive relation, commonly used to describe slip pos-
sibly leading to an instability, is the slip-weakening law (Ida 1973;
Day 1982; Andrews 1985; Shibazaki & Matsu’ura 1992; Harris
& Day 1993, 1997; He 1995; Ide & Takeo 1997; Guattei & Spu-
dich 2000; Wolf et al. 2006; Ampuero & Ben-Zion 2008; Tinti
et al. 2009). The law, in which the friction is only a function of
slip distance, has been used to model various seismic phenomena.
Because it inherently neglects the time and rate effects, it cannot
reproduce more than one seismic cycle without resetting the fric-
tion level when slip stops (Rice 1983). The slip-weakening law
with initial slip-hardening was also proposed (Ohnaka & Yamashita
1989; Ohnaka 1993). Bizzarri et al. (2001) discussed implications
of initial slip-hardening.
Another constitutive relation, commonly used, is the rate- and
state-dependent law where the slip velocity and state variables en-
ter the constitutive relation. Different versions have been proposed
so far (Dieterich 1979, 1992, 1994; Ruina 1983; Kato & Tullis
2003; Kato et al. 2007). The law is believed to be a more com-
plete constitutive description of fault behaviours (Okubo 1989). To
avoid different singularities for a locked fault (i.e. zero slip ve-
locity) as well as for very high slip velocities, numerous different
regularizations have been suggested (Beeler et al. 1994; Marone
1998; Bizzarri et al. 2001). Even though, no existing friction law
can describe all experimental data, and it is not known which law
is appropriate for describing seismic cycles (Kato & Tullis 2003).
Many modifications of the friction law lead to redundant analyt-
ical formulations (Bizzarri et al. 2001), and numerical solutions
are not easy to obtain (Miyatake 1992). In some models, a quasi-
static method during slow deformation is used, and then a dynamic
method is triggered once an instability starts (Okubo 1989). The
abrupt switching from one scheme to another disrupts the natural
development of the instability, and the effects of this disruption on
the further model response cannot be determined easily. To avoid
this difficulty, Lapusta et al. (2000) proposed an efficient and rigor-
ous numerical procedure for calculating the elastodynamic response
of a fault subjected to slow loading processes. Detailed comparisons
between the slip-weakening law and the rate- and state-dependent
friction law have been made by Okubo (1989) and Bizzarri et al.
(2001). Bizzarri et al. (2001) emphasized that the rate- and state-
dependent friction law includes the most prominent features of the
slip-weakening law. Okubo (1989) demonstrated that when a fric-
tion law with high-speed cut-offs to the rate- and state-dependent
term is used, the fault behaviour closely resembles slip weakening.
Some other models, such as various spring-block models, gran-
ular models (Mora & Place 1994; Abe et al. 2006) and cellular
automata (Bak & Tang 1989; Ito & Matsuzaki 1990), with simple
friction law or without, have been used to model complex seismic
phenomena. In the granular model of Mora & Place (1994), no
any frictional property is included. Doz & Riera (2000) used a lat-
tice model without friction. Abe et al. (2006) treated the fault as
a discrete arrangement of particles with the same frictional coeffi-
cient. The application of these models is difficult at a large scale.
Alternatively, continuum models are attractive and appropriate be-
cause many factors can be taken into account, such as complex
boundary conditions, loading conditions, fault geometries and ma-
terial models including heterogeneities. Inclusion of spatial het-
erogeneities in continuum models (Miyatake 1992; Bizzarri et al.
2001; Hillers et al. 2006) results in complex seismic behaviours.
Beroza & Mikumo (1996) found that the short rise times observed
in an earthquake can be fully explained by a strongly heterogeneous
spatial distribution of stress drop and strength excess, and that a self-
healing mechanism, such as a strongly velocity-dependent friction,
is not required.
In this study, to model stick-slip phenomena of some typical
faults, a frictional-hardening and frictional-softening model is pro-
posed and implemented in a commercial continuum software devel-
oped by Itasca Corporation, Fast Lagrangian Analysis of Continua
in 3 Dimensions (FLAC-3D). The model can reproduce the peri-
odic stress change, that is saw-tooth-like behaviour of stress, and
consider interactions among faults. As a key ingredient, an incre-
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mental plastic shear strain in a stick-slip cycle is introduced, which
is increased from zero at the beginning of softening, and then is set
to be zero upon reaching its maximum, to control the evolution of
an internal frictional angle. Though no velocity is introduced into
the present model that is simpler than the rate- and state-dependent
law, a change in velocity can be described at the slip and stick stages
because equations of motion are solved. At slip and stick stages, the
same set of equations is used, and only the evolution of the internal
frictional angle is required to be different. Forty numerical tests are
performed in plane strain biaxial compression. Effects of loading
conditions (confining pressure and loading rate), fault width and
fault geometry on stick-slip behaviours are investigated. The vali-
dation of the proposed model is checked through a comparison with
a physical test in biaxial compression, and size-independent stress-
deformation curves are obtained through decreasing the loading
velocity for fine meshes.
2 I N T RO D U C T I O N T O F L AC - 3 D
FLAC-3D can be used to model mechanical behaviours, failure
processes, and plastic flows of geological structures (Strayer &
Hudleston 1997; Mckinnon & De La Barra 1998; Erickson et al.
2001). In FLAC-3D, properties of elements in different regions can
be assigned to be different. Thus, joints and imperfections within
rock specimens can be modelled (Wang 2005; Wang 2007a,b, 2008;
Wang et al. 2009). Also, using a provided command, a normal
(Gaussian) distribution for parameters of elements can be assigned,
or an arbitrary random distribution can be accomplished through
users’ development (Cundall 1989; Fang & Harrison 2002; Wang
& Pan 2008; Wang & Zhang 2009; Wang et al. 2010, 2012).
In FLAC-3D, equations of motion are solved for each node.
Forces acting at a node i include two parts: one is the out-of-balance
force that is a resultant force of gravity, external force and elastic
force of surrounding elements; another is the local non-viscous
damping force (Cundall 1989). The use of local damping is simpler
than Rayleigh damping, because it is unnecessary to specific a
frequency. Thus, damped dynamic equations can be written as
Mi ai = Fi + f i , (1)
where Mi is the nodal mass, ai is the acceleration, Fi is the out-of-
balance force and f i is the damping force.
In a time step or cycle of FLAC-3D, constitutive equations for
elements and equations of motion at grid points or nodes are exe-
cuted one time. Using the Gauss divergence theorem, the velocity
at a node i at time t is related to the strain rate or strain increment
of elements. Moreover, the strain increment depends on the stress
increment in terms of a constitutive relation. Adding the stress in-
crement to the old stress leads to a new stress. Application of the

theorem of virtual work results in forces at the node i. Thus, a new
velocity at the next time t + t will be calculated using an explicit
central difference approach, where t is the length of a time step.
The procedure mentioned above is executed continuously until a
satisfactory result is reached.
For a dynamic analysis, the nodal mass, velocity and acceleration
are true or physical, and the dynamic time step t is extremely small
to provide a numerically stable solution. Thus, probably, a dynamic
problem will consume a very long computational time. The dynamic
time step in FLAC-3D is automatically calculated, and is related to
the P-wave speed and geometrical sizes of subzones (one element
or zone includes ten subzones).
In practice, a quasi-static analysis is appropriate for modelling a
quasi-static experiment in laboratory, and a uniform unit time step
is adopted, that is t = 1. Thus, the nodal mass must be enlarged
enough to fulfil the numerical stability condition. The enlarged
nodal mass is usually called fictitious mass that is dependent on
some elastic constants and geometrical sizes of subzones. Corre-
spondingly, the nodal velocity and acceleration are not true, whose
units are m time step−1 and m time step−2 , respectively.
In FLAC-3D, some classical elastic and plastic constitutive mod-
els are available, among which two are selected in this study. One
is the isotropic linear elastic model controlling the relation between
incremental stress and elastic strain:
 
2
σi j = 2Gεi j + K − G εkk δi j , (2)
3 γ p
where σi j is the stress tensor, εi j is the strain tensor, G is the
shear modulus, K is the bulk modulus and δi j is the Kronecker sign.
G and K are related to two elastic parameters: elastic modulus E
and Poisson’s ratio υ.
Another is the strain-softening or strain-hardening model for
failed elements, which comprises a failure criterion and a post-
failure description that specifies the relation between incremental
stress and plastic strain. The Mohr–Coulomb criterion is selected
as the failure criterion:
 next will start. The zero γ p corresponds to the onset of softening,
σ1 = σ3 Nϕ + 2c Nϕ , (3)
 whereas the maximum γ p corresponds to the end of hardening.
where Nϕ = (1 + sin ϕ) (1 − sin ϕ), ϕ is the internal frictional an-
gle, c is the cohesion, σ1 and σ3 are minor and major principal
stresses, respectively. The Mohr–Coulomb criterion comprises two
shear strength parameters ϕ and c. These two parameters are permit-
ted to change with plastic shear strain after an element fails in FLAC-
3D. Thus, the strain-softening or strain-hardening behaviour can be
modelled straightly without introducing special solving strategies.
3 T H E F R I C T I O NA L - H A R D E N I N G A N D
F R I C T I O NA L - S O F T E N I N G M O D E L
If ϕ and c are assigned to be linearly or non-linearly decreased with
plastic shear strain before the residual stage, then the behaviour
resembles slip-weakening because the slip distance along a fault is
proportional to the plastic shear strain of the fault provided that the
fault is modelled as a continuum. Nevertheless, the slip distance in
the slip-weakening law needs to be converted to the plastic shear
strain given that fault width. However, such model cannot reproduce
the seismic phenomena more than one stick-slip cycle. To avoid
this difficulty, herein, a frictional-hardening and frictional-softening
model is proposed (Fig. 1), including two parts: linear softening and
hardening parts, describing slip and stick processes, respectively.
For the sake of simplicity, only one shear strength parameter ϕ is
permitted to change after an element fails. When an element just un-
Stick-slip behaviours of typical faults 1025
Figure 1. A frictional-hardening and frictional-softening model for the soft-
Downloaded from https://academic.oup.com/gji/article-abstract/194/2/1023/599889 by guest on 04 September 2019
ening and hardening behaviour of a failed element.
dergoes the strain-softening behaviour, ϕ approaches its initial value
ϕm , the peak value. At the softening stage, as deformation proceeds,
ϕ will decrease from ϕm to its residual value ϕ0 , causing an incre-
mental plastic shear strain γ p . When ϕ decreases to ϕ0 , softening
terminates, and then hardening begins, describing the phenomenon
that an increase of γ p or slip distance causes a recovery in strength.
At the hardening stage, γ p continuously increases because of the
further plastic deformation under displacement-controlled loading,
and ϕ is assumed to be linearly increased with γ p :
ϕ = ϕ0 + p · (ϕm − ϕ0 ) . (4)
γm
When γ p reaches its permitted maximum value γmp , ϕ will
reach its maximum ϕm and the Mohr–Coulomb criterion will be
satisfied soon or immediately under displacement-controlled load-
ing. Therefore, the next slip will occur. Before the next slip, γ p
is enforced to return to zero. The implication of the present model
suggests that in a cycle the maximum accumulated plastic shear
strain γmp or the corresponding critical slip distance is constant.
Once γmp is reached, then the present cycle terminates, and the
Thus, the repeated cycles can be modelled. If the slip distance in a
cycle is divided by the fault width, then γ p can be obtained. A too
low γmp can cause an advanced termination of slip, namely, ϕ has
not decreased to ϕ0 . Apparently, stress drops and stick-slip periods
will be shortened correspondingly under this condition.
Note that γ p does not enter the constitutive relation. γ p
is set to be zero when ϕ reaches its maximum, whereas the ac-
cumulated plastic shear strain ε p = ε p of a failed element al-
ways increases as plastic deformation proceeds under displacement-
controlled loading, as shown later. In each time step, the incremental
plastic shear strain ε p in the constitutive relation is very small,
corresponding to a small increment ϕ (Fig. 1). In a time step of
FLAC-3D, ε p of a zone is calculated as a volumetric average of
the second invariant of plastic shear strain increment vectors over
all subzones in the zone. These plastic shear strain increment vec-
tors are determined by a non-associated flow rule specifying the
direction of the plastic shear strain increment vector as that normal
to the potential surface. In a stick-slip cycle, γ p ranging from 0
to γmp can be divided into several small ε p . γ p is increased
from zero at the beginning of softening, corresponding to a specific
ϕ. At the entire softening or hardening stage, calculations need to
consume many time steps. In each time step, ε p will be created.
Summing all of ε p from the onset of softening in a cycle leads to
the present γ p .
1026 X. B. Wang, J. Ma and Y. S. Pan
Both similarities and differences exist between the proposed
model and the rate- and state-dependent friction law. No veloc-
ity is introduced in the present model, and yet a change in velocity
can be described during the stick or slip process owing to the use
of equations of motion in FLAC-3D. That is to say, the velocity is
treated as a response, not as a constitutive parameter.
At the slip or softening stage, a decrease of ϕ of elements on
a fault leads to a decrease of the load-carrying capacity of the
fault, whereas the stress in the elastic body outside the fault cannot
decrease immediately. Thus, a non-equilibrium in stress between
fault and elastic body will be created, leading to an increase of
the nodal out-of-balance force on the fault. According to equations
of motion, these nodes will move in a rapid manner until a stick
stage begins. Therefore, a decrease of ϕ of elements can result in an
increase of nodal velocity. On the contrary, at the stick or hardening
stage, an increase of ϕ leads to a progressive decrease of nodal
velocity. Therefore, the nodal velocity on a fault cannot remain
constant in a cycle. A change in velocity stems from a change in ϕ.
In summary, the present model is based on a classical elastoplastic
continuum model where an internal frictional angle is used instead
of a slip distance. As a key ingredient, an incremental plastic shear
strain in a stick-slip cycle is introduced, which is increased from
zero, and then is set to be zero upon reaching its maximum, to control
the evolution of the internal frictional angle, analogous to the slip
distance in a cycle in the rate- and state-dependent friction law to
some extent. Even though no velocity is introduced into the present
model, the nodal velocity changes at the slip and stick stages because
equations of motion are solved. At the slip or stick stage, the same
set of equations, including constitutive, geometrical, and dynamic
equations, is used, and only the evolution of one shear strength
parameter, that is internal frictional angle, is required to be different.
The present model is written by use of a built-in programming
language, FISH.
4 E X A M P L E S A N D R E S U LT S
4.1 Numerical specimens
Forty numerical tests (Table 1) are performed in plane strain biaxial
compression and in small or large strain mode. The plane strain
condition is accomplished by application of roller boundaries on
the front and back surfaces of a 3-D specimen. These numerical
specimens are shown in Fig. 2 except for scheme 40. In schemes 1–
25, each specimen is divided into square elements (cubic elements
from a spatial viewing angle), whereas in schemes 26–39, elements
are quadrilateral (hexahedral from a spatial viewing angle). Thus,
faults are modelled by solid elements. Faults can also be modelled
by use of interface elements without thickness (Rutqvist et al. 2007).
In schemes 1–34 and 36–40, calculations are conducted in a small
strain mode, whereas in scheme 35, a large strain mode is triggered.
In schemes 1–25, uniform square meshes are adopted. Inevitably,
zigzag fault surfaces will be generated. In the present numerical
specimens, interconnected elements, whose centres fall into be-
tween two parallel linear segments, are used to approximately model
a fault or gouge zone with non-zero width (Marone & Kilgore 1993;
Kato et al. 1994), as accomplished through a written FISH function
(Wang 2005, 2007a). The fault width is determined by the spac-
ing of the two linear segments. In schemes 26–35, non-uniform
quadrilateral meshes are used to form smooth fault surfaces.
Square meshes can model complex fault systems including sev-
eral inclined or straight faults whose surfaces are uneven. A de-
crease of the size of elements leads to a relatively smooth fault
surface together with a decrease of computational efficiency. Also,
formation of new failure zones or faults can be modelled effec-
tively (Fang & Harrison 2002; Wang et al. 2010, 2012). Quadri-
lateral meshes can be only applicable for relatively simple fault
systems with smooth surfaces, such as an inclined straight fault or
a bending fault, whereas new faults are difficult to model because
of different mesh sizes at different positions. If a model is divided
into quadrilateral meshes, then the number of elements is possibly
fewer, improving computational efficiency. Accuracy increases as
element aspect ratios tend to unit. Therefore, when two or several
intersecting faults are included in a model, it is not easy to design
the mesh or grid for accurate solutions. In addition, once the size of
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square elements is determined, then the minimum fault width will
be specific. Thus, only wide faults can be modelled by use of square
elements unless the size of meshes is further decreased, leading to
a decrease of computational efficiency. However, if we use quadri-
lateral meshes to model a straight fault, then its width can be small
enough, and it can change continuously. In dynamic analyses of
FLAC-3D, the length of time steps depends on the minimum size
of all elements in a model to ensure the numerical stability. Thus, if
some narrow quadrilateral meshes are included in the model, then
the computational efficiency will be greatly decreased. Therefore,
two kinds of meshes have advantages and disadvantages. If we want
to study the influence of fault width, quadrilateral meshes have
apparent advantages. If we want to model complex faults where
new faults are possibly generated under quasi-statical and dynamic
loading conditions, square meshes can be more appropriate.
Displacement-controlled loading is exerted in σ1 direction
through a velocity on two loading ends of a specimen to shorten the
computational time, different from the usual experimental condi-
tion. Thus, the needed time or number of time steps will be halved
in comparison with the case of loading at one end. In numerical
calculations, quasi-static loading is adopted in schemes 1–33 and
35–40, to save the computational time, as will be mentioned later.
In scheme 34, dynamic loading is conducted. The average compres-
sive stress at two ends can be calculated by use of a FISH function,
provided in the FLAC-3D’s user manual. At two lateral surfaces, a
confining pressure σ3 is applied.
A specimen is composed of two parts: fault and rock block.
Correspondingly, elements include fault and rock elements. At the
elastic stage, for two kinds of elements, the constitutive relations
and parameters are identical, and the isotropic linear elastic model
(eq. 2) is used: E = 26.5 GPa and υ = 0.21. Two faults can form a
bending or echelon fault and two intersecting faults. In this study,
we assume that fault elements will fail once the Mohr–Coulomb
criterion (eq. 3) is satisfied, whereas rock elements remain elastic
except for a part of rock elements in echelon faults. In schemes
1–34 and 35, the cohesion of a failed element remains unchanged,
that is 0.2 and 2.8 MPa, respectively.
In some stick-slip tests, some faults are prescribed in rock spec-
imens and fractures of rock blocks are seldom observed (Sobolev
et al. 1996; Miao et al. 2010; Ma et al. 2012). However, for rock
specimens including echelon faults, the case is quite different. For
echelon faults, theoretical results (Segall & Pollard 1980; Zachari-
asen & Sieh 1995), experimental results (Ma et al. 1986, 2007,
2008, 2010; Jiang et al. 2002), numerical results (Wang et al. 2010,
2012) and field observations (Tchalenko & Ambraseys 1970; Sibson
1985) show that new failed regions or cracks will form in the jog or
outside during the loading process, providing necessary conditions
for occurrence of stick-slip behaviours along faults. Therefore, in
schemes 24 and 25, some elements in rock blocks are permitted
Table 1. Numerical tests and related parameters.
p
Scheme Type Height (m) Width (m) Number of elements Loading velocity Fault width (m) γm σ3 (MPa) ϕ m (◦ ) ϕ 0 (◦ ) Other features
1 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.007 4 × 10−4 0.5 20 10 α = 30◦
2 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.007 4 × 10−4 0.5 20 10 α = 38◦
3 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.007 4 × 10−4 0.5 20 10 α = 45◦
4 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.007 4 × 10−4 0.5 20 10 α = 53◦
5 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.007 4 × 10−4 0.5 20 10 α = 60◦
6 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.007 4 × 10−4 2.5 20 10 α = 45◦
7 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.007 4 × 10−4 5.5 20 10 α = 45◦
8 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.007 4 × 10−4 10.5 20 10 α = 45◦
9 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.007 2 × 10−4 0.5 20 10 α = 45◦
10 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.007 6 × 10−4 0.5 20 10 α = 45◦
11 Straight 0.1 0.05 20 × 40 1 × 10−9 m time step−1 0.0035 6 × 10−4 0.5 20 10 α = 45◦
12 Intersecting 0.1 0.05 20 × 40 1 × 10−9 m time step−1 0.0035 6 × 10−4 0.5 20 10 α 1 = α 2 = 45◦
13 Intersecting 0.1 0.05 20 × 40 1 × 10−9 m time step−1 0.0035 6 × 10−4 0.5 20 10 α 1 = 45◦ , α 2 = 30◦
14 Intersecting 0.1 0.05 20 × 40 1 × 10−9 m time step−1 0.0035 6 × 10−4 0.5 20 10 α 1 = 45◦ , α 2 = 60◦
15 Intersecting 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.007 6 × 10−4 0.5 20 10 α 1 = 45◦ , α 2 = 60◦
16 Intersecting 0.1 0.05 40 × 80 1 × 10−9 m time step−1 0.00175 6 × 10−4 0.5 20 10 α 1 = 45◦ , α 2 = 60◦
17 Intersecting 0.1 0.05 40 × 80 5 × 10−10 m time step−1 0.00175 6 × 10−4 0.5 20 10 α 1 = 45◦ , α 2 = 60◦
18 Bending 0.1 0.05 20 × 40 5 × 10−10 m time step−1 0.0035 6 × 10−4 0.5 20 10 β 1 = β 2 = 45◦
19 Bending 0.1 0.05 20 × 40 5 × 10−10 m time step−1 0.0035 6 × 10−4 0.5 20 10 β 1 = 45◦ , β 2 = 38◦
20 Bending 0.1 0.05 20 × 40 5 × 10−10 m time step−1 0.0035 6 × 10−4 0.5 20 10 β 1 = 45◦ , β 2 = 53◦
21 Bending 0.1 0.05 20 × 40 5 × 10−10 m time step−1 0.0035 6 × 10−4 0.5 20 10 β 1 = 45◦ , β 2 = 57◦
22 Bending 0.1 0.05 20 × 40 5 × 10−10 m time step−1 0.0035 6 × 10−4 0.5 20 10 β 1 = 45◦ , β 2 = 60◦
23 Bending 0.1 0.05 20 × 40 5 × 10−10 m time step−1 0.0035 6 × 10−4 0.5 20 10 β 1 = 45◦ , β 2 = 50◦
24 Echelon 0.1 0.1 40 × 40 1.25 × 10−10 m time step−1 0.0035 1.2 × 10−3 0.5 20 5 Compressive
25 Echelon 0.98 0.1 40 × 32 1.25 × 10−10 m time step−1 0.0035 1.2 × 10−3 0.5 20 5 Extensional
26 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.007 4 × 10−4 0.5 20 10 α = 45◦
27 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.0035 4 × 10−4 0.5 20 10 α = 45◦
28 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.00175 4 × 10−4 0.5 20 10 α = 45◦
29 Straight 0.1 0.05 10 × 20 1 × 10−9 m time step−1 0.00175 1.6 × 10−3 0.5 20 10 α = 45◦
30 Straight 0.1 0.05 10 × 39 1 × 10−9 m time step−1 0.00175 1.6 × 10−3 0.5 20 10 α = 45◦
31 Straight 0.1 0.05 10 × 39 5 × 10−10 m time step−1 0.00175 1.6 × 10−3 0.5 20 10 α = 45◦
32 Straight 0.1 0.05 20 × 40 1 × 10−9 m time step−1 0.00175 1.6 × 10−3 0.5 20 10 α = 45◦
33 Straight 0.1 0.05 20 × 40 5 × 10−10 m time step−1 0.00175 1.6 × 10−3 0.5 20 10 α = 45◦
34 Straight 0.1 0.05 10 × 20 5.7 × 10−3 m s−1 0.00175 1.6 × 10−3 0.5 20 10 α = 45◦ , Dynamic
35 Straight 0.1 0.05 20 × 40 1 × 10−9 m time step−1 0.00175 1.6 × 10−3 0.5 20 10 α = 45◦ , large strain
36 Straight 0.1 0.05 20 × 40 5 × 10−10 m time step−1 0.0035 6 × 10−4 0.5 20 10 β 1 = β 2 = 45◦
37 Bending 0.1 0.05 20 × 40 5 × 10−10 m time step−1 - 6 × 10−4 0.5 20 10 β 1 = 45◦ , β 2 = 38◦
38 Bending 0.1 0.05 20 × 40 5 × 10−10 m time step−1 - 6 × 10−4 0.5 20 10 β 1 = 45◦ , β 2 = 53◦
39 Bending 0.1 0.05 20 × 40 5 × 10−10 m time step−1 - 6 × 10−4 0.5 20 10 β 1 = 45◦ , β 2 = 60◦
40 Straight 0.3 0.15 10 × 20 (1–2) × 10−9 m time step−1 0.003 1.88 × 10−2 5 31 8 α = 60◦
Stick-slip behaviours of typical faults
1027

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1028 X. B. Wang, J. Ma and Y. S. Pan

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Figure 2. Numerical specimens in plane strain biaxial compression. (a) scheme 1; (b) scheme 2; (c) schemes 3 and 6–10; (d) scheme 4; (e) scheme 5; (f)
schemes 11 and 18; (g) scheme 12; (h) scheme 13; (i) scheme 14; (j) scheme 15; (k) schemes 16 and 17; (l) scheme 19; (m) scheme 20; (n) scheme 21; (o)
scheme 22; (p) scheme 23; (q) scheme 24; (r) scheme 25; (s) scheme 26; (t) scheme 27; (u) schemes 28, 29 and 34; (v) schemes 30 and 31; (w) schemes 32,
33 and 35; (x) scheme 36; (y) scheme 37; (z) scheme 38; (z1) scheme 39.

to fail. For the compressive echelon fault (Fig. 2q), a column of
elements can fail, going through two fault tips, and extending to
two loading ends. For the extensional echelon fault (Fig. 2r), a few
elements can fail to form a short failed region, linking two fault tips.
For failed rock elements and fault elements, there is no difference
in mechanical properties.
For the single straight fault (Figs 2a–f and s–w), the angle between
fault and horizontal direction is in the range of 30o –60o . For two
intersecting faults (Figs 2g–k), the angle between one fault and
horizontal direction is 45o , whereas another ranges from 30o to 60o .
For the bending fault (Figs 2l–p), the left fault is oriented at an angle
of 45o with the horizontal direction, whereas the right fault angle
is from 38o to 60o . For echelon faults (Figs 2q–r), the orientation
of each fault is 45o with the horizontal direction, and the fault
overlapping is about 0.01225 m, equal to the spacing.
4.2 Numerical results of an inclined fault using
square elements
First, we investigate the influence of the angle α between fault
and horizontal direction on the evolution of stress with the number

Figure 2. (Continued.)
of time steps (Fig. 3a). In schemes 1–5, the angle α is 30◦ , 38◦ ,
45◦ , 53◦ and 60◦ , respectively. The number of time steps is pro-
portional to the strain ε1 in σ1 direction: ε1 = 2v 0 t0 /L, where v 0
is the loading velocity, L is the specimen’s length in σ1 direction
and t0 is the number of time steps. In schemes 1 and 2, stress
drops are seldom found. At the same number of time steps, stresses
in schemes 1 and 2 are higher than in schemes 3–5, suggesting
a higher load-carrying capacity. This means that, slip is easy to
take place at a moderate α. However, slip is more difficult at a
higher or a lower α, and occurs only at a higher stress. Moreover,
in schemes 1 and 2, the duration between two adjacent stress drops
is longer, reflecting a longer stick-slip period, especially in scheme
1; and interestingly, the stress for the occurrence of slip is ele-
vated continuously. These characteristics cannot be observed for
schemes 3–5.
Stick-slip behaviours of typical faults 1029
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A detailed examination of change in stress shows that for the
former stick-slip events, rapid stress drops are found, leading to
acute local stress peaks, that is acute saw-tooth-like curves (Fig. 3b).
In scheme 3, the acutest stress peak and lowest stress corresponding
to the onset of slip are found. In addition, the stress at the beginning
of slip or the stress drop decreases as deformation proceeds until a
constant stress level is reached (Fig. 3b). The reason for this special
phenomenon will be discussed later.
Specimens are subjected to different lateral pressures σ3 in
schemes 3 and 6–8. Thus, the influence of confining pressure can be
investigated (Fig. 4). It is found that the stick-slip period becomes
longer at a higher σ3 , especially for the former stick-slip events.
Moreover, the stress drop becomes larger, and the first slip is later.
In scheme 8 (σ 3 = 10.5 MPa), for the former three events, the stress
at the beginning of slip increases as deformation proceeds, similar
1030 X. B. Wang, J. Ma and Y. S. Pan
Figure 3. Evolution of stress with the number of time steps for a specimen
with a single straight fault. Angles α between fault and horizontal direction
are different in different specimens.
Figure 4. Evolution of stress with the number of time steps for a specimen
with a single straight fault. Confining pressures σ3 are different in different
specimens.
to results in schemes 1 and 2 (Fig. 3a) and then the local stress peak
decreases continuously.
The maximum incremental plastic shear strain γmp significantly
affects post-failure deformation characteristics. The strains γmp
are prescribed to be different in schemes 3, 9 and 10 (Fig. 5). The
stick-slip period is shorter, the stress drop is smaller, and the first
event is earlier at a lower γmp . A lower γmp leads to a less obvious
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Figure 5. Evolution of stress with the number of time steps for a specimen
p
with a single straight fault. Maximum incremental plastic shear strains γm
are different in different specimens.
stick-slip phenomenon at a later stage of deformation. A too small
γmp that is smaller than γ p corresponding to ϕ0 (Fig. 1), can
cause the slip behaviour to end beforehand (ϕ has not decreased
to ϕ0 before the stick stage), and then ϕ reaches ϕm immediately.
Therefore, a small stress drop will be expected, and the stick-slip
period will be shortened correspondingly.
We present the evolution of the accumulated plastic shear strain
ε p with the number of time steps in scheme 11 (Fig. 6). The deforma-
tional meshes with a 30 times exaggeration of nodal displacements
are also presented. It is found that elements on the fault have the
nearly same ε p , whereas ε p is zero outside the fault because the fail-
ure of rock blocks is not permitted. ε p is found to always increase
under displacement-controlled loading, as mentioned above.
In FLAC-3D, the small strain mode assumes small displacements,
displacement gradients, and rotations in each cycle or time step.
Thus, nodal coordinates are not updated, and stress rotation cor-
rections are not taken into account in each time step. During the
stick-slip simulation, if the number of time steps is large enough,
elements on faults can reach relatively large strains (Fig. 6). Thus,
this founding is inconsistent with the assumption of small strain.
Seemingly, considering large strain mode is necessary. We will com-
pare results under different deformational modes using quadrilateral
meshes later.
4.3 Numerical results of two intersecting faults using
square elements
An increase of the number of faults alters the fault structure, and in-
teractions among faults could be apparent. For a single fault (scheme
11), the curve is relatively simple in a cycle: the stress first in-
creases and then decreases (Fig. 7). However, for two conjugate
faults (scheme 12), about three small stress drops in a cycle are ob-
served at the stick stage, because of interactions among two faults
with a moderate angle α, and then only a large stress drop is found
at the following slip stage. Moreover, the stress at the beginning
of slip is low in scheme 12 because two faults greatly decrease the
load-carrying capacity of the specimen. The period in scheme 12 is
obviously longer than in scheme 11.
We observe the effect of fault geometry (Fig. 8). In schemes
12–14, the left fault angle is fixed as α 1 = 45o , whereas right fault
angles α 2 are different. In scheme 13 (α 2 = 30o ), a regular saw-
tooth-like curve is found in a cycle, above other two curves. The
curve in scheme 12 (α 2 = 45o ) is given again for a comparison, with

Figure 6. Distribution of the accumulated plastic shear strain ε p in scheme 11. (a–c) the number of time steps is 10 000, 30 000 and 50 000, respectively.
Figure 7. Evolution of stress with the number of time steps for specimens
with different numbers of faults.
Figure 8. Evolution of stress with the number of time steps for a specimen
with two intersecting faults. The left fault angle is fixed, whereas right fault
angles α 2 are different in different specimens.
a larger stress drop and a longer stick-slip period. The lowest stress
corresponding to the onset of slip is found in scheme 12, whereas
the highest is found in scheme 13. In scheme 14 (α 2 = 60o ), a large
stress drop occurs after four small stress drops, and the stress for the
occurrence of each small slip increases as deformation proceeds, as
also found in scheme 12. The complex curves in schemes 12 and
14 are because of interactions among two faults.
Different from schemes 12 and 14, scheme 13 has a relatively
regular stick-slip behaviour though two faults are included in the
Stick-slip behaviours of typical faults 1031
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Figure 9. Evolution of stress with the number of time steps for a specimen
with two intersecting faults. Number of elements and fault width are different
in different specimens.
specimen. It is deduced that one fault is difficult to slip so that the
influence on another fault is negligible. To verify this, a detailed
comparison shows that only a few differences exist for the former
stick-slip events in schemes 13 and 11 (Figs 7–8). Furthermore, as
deformation proceeds the difference can be neglected. This suggests
that the fault oriented at an angle of α 2 = 30o with the horizontal
direction is difficult to slip, as also found in Fig. 3(a). A large
majority of slip events take place on a 45o fault.
Use of square elements leads to a wide fault unless the size of
square elements is further decreased. We focus on the effect of
minimum fault width controlled by the size of square elements
(Fig. 9). In schemes 14–16, the number of elements is 800, 200 and
3200, respectively; that is to say, the mesh size is 0.005, 0.0025 and
0.00125 m, respectively. Seemingly, results are mesh-dependent or
mesh sensitive (De Borst 1989). It is noted that fault widths are dif-
ferent in schemes 14–16: 0.0035, 0.007 and 0.00175 m, respectively.
Therefore, these results are not considered to be the sole influence
of mesh size, including the remarkable influence of fault width. The
sole influence of fault width and size-independent results will be
presented later by use of quadrilateral meshes. A fine mesh and a
narrow fault in scheme 16 lead to a complex curve, a short period
and a high stress at the beginning of slip. For a narrower fault, the
accumulated plastic shear strain in a cycle will be higher at the
same displacement increment in σ1 direction or the same critical
slip distance along a fault so that γmp is reached easily, leading to
a smaller stress drop and a shorter period. However, a coarse mesh
1032 X. B. Wang, J. Ma and Y. S. Pan
Figure 10. Evolution of stress with the number of time steps for a specimen
with two intersecting faults. Number of elements and loading velocity v 0
are different in different specimens.
and a wide fault in scheme 15 result in a simple and regular stick-
slip curve with a low stress corresponding to the onset of slip. It is
known that the load-carrying capacity of a specimen is affected by
fault width (Wang 2007a), supporting the present numerical result
that a low strength is expected for the specimen with a wide fault.
The reason for the ideal stick-slip phenomenon for coarse meshes
will be explained as follows. For large elements, the propagation
of stress wave from faults to loading ends of a specimen is rapid.
Otherwise, during the propagating process, stress waves stemming
from different positions of faults can superimpose each other. Thus,
a relatively uniform stress can be reached at loading ends of the
specimen, which cannot reflect the true state of stress on faults.
An increase of loading velocity exerted on one loading end of a
specimen leads to an increase of the axial displacement or strain of
the specimen in a time step. We present the effect of loading ve-
locity (Fig. 10). Specimens in schemes 14, 15 and 17 are subjected
to different loading velocities. It can be found that higher veloci-
ties are necessary for coarser meshes to model a regular stick-slip
phenomenon. If the mesh is refined, then v 0 must be decreased. A
high velocity leads to an increase of the stress at the beginning of
slip. The use of a low v 0 increases the computational time on two
aspects. On one hand, the number of elements increases. On the
other hand, slow loading requires a number of time steps to reach
the same strain ε1 .
4.4 Numerical results of the bending fault using
square elements
A change in the angle between two fault segments of a bending
fault alters the fault geometry. The influence of fault geometry is
shown (Fig. 11). In schemes 18–22, the left fault angle is set to
be 45o , whereas angles between two fault segments are different.
At β2 = 38◦ (scheme 19), the stress approximately increases as
deformation proceeds, and no apparent stick-slip phenomenon is
found, similar to the result in scheme 2 (Fig. 3a). As we know,
for the single straight fault oriented at an angle of 45o with the
horizontal direction, slip is prone to occur (Fig. 3). After adding a
gentle 38o fault, a very straight curve is observed. This means that
slip on a 45o fault is prohibited by the 38o fault.
Interestingly, at β2 = 60◦ (scheme 22), a smooth and horizontal
curve without a periodic change in stress, resembling stable sliding,
is observed. When β2 decreases from 60o to 45o , the stick-slip
behaviour becomes more apparent; the peak stress that a specimen
can reach decreases; and the stress drop increases (Fig. 11b).
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Figure 11. Evolution of stress with the number of time steps for a specimen
with a bending fault. The left fault angle is fixed, whereas right fault angles
β2 are different in different specimens.
To find the reason for the smooth curve in scheme 22, the evolu-
tion of ϕ of elements on the left and right faults is monitored during
the loading process. These elements are marked in Fig. 2(o) with the
black colour. For a comparison, ϕ of elements on a 5o bending fault
(scheme 23), common in the field (Segall & Pollard 1980; Barka
& Kadinsky-Cade 1988; Aydin & Du 1995; Hemendra 1997; Kato
et al. 1999; Ma et al. 2012), is also monitored. These results together
with the evolution of stress are shown in Fig. 12, and results in the
range of (2–3) × 104 time steps are shown in Fig. 13. The evolution
of ϕ is very chaotic in scheme 22, lacking synchronization (Figs 12a
and 13a). For the element at the bending point, a slow change in ϕ is
found, suggesting a high deformational resistance. Ma et al. (2012)
found from physical tests that the temperature change is complex in
the vicinity of the bending point, indicating the stress redistribution
and fault sliding. Asynchronic evolution of ϕ on the left and right
faults is found to be responsible for the smooth curve without appar-
ent stress drops. However, the softening and hardening behaviours
indeed take place for each element.
A distinct phenomenon can be observed in scheme 23 (Figs 12b
and 13b): nearly all elements behave similarly except for those at
the bending point. For different elements, a nearly simultaneous
increase or decrease of ϕ is found. Synchronic softening and hard-
ening behaviours create large slip events. The element at the bending
point shows a long period, suggesting a difficult deformation, simi-
lar to results (Figs 12a and 13a). Apparently, the difficult extent of
deformation is different at the bending point and at other positions of
faults. Also, on a fault, the difficult extent of deformation is different
 Stick-slip behaviours of typical faults 1033

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Figure 12. Evolution of internal frictional angle and stress of elements on Figure 13. Evolution of internal frictional angle and stress of elements
the bending fault (a) scheme 22 (b) scheme 23. on the bending fault [from (2–3) × 104 time steps] (a) scheme 22 (b)
scheme 23. In scheme 22, curves with red, pink, orange, green, brown, cyan,
at different segments. A detailed examination of the evolution of ϕ and blue colors are for elements 243# , 306# , 369# , 411# , 494# , 577# , and
reveals that elements far away from the bending point facilitate slip. 619# , respectively (Fig. 2o). In scheme 23, curves with the same colours
mentioned above are for elements 243# , 306# , 369# , 431# , 513# , 595# , and
698# , respectively (Fig. 2p).
4.5 Numerical results of echelon faults using
square elements
We compare stick-slip behaviours of two kinds of echelon faults
(Fig. 14). For the compressive one, the stick-slip occurs at a high
stress, and the evolution of stress in different cycles is relatively
complex and irregular. Experimental tests (Ma et al. 2008) show
that the stick-slip behaviour along an extensional echelon fault oc-
curs easily, whereas it is difficult along a compressive one because
of the prohibition of the compressive jog. Based on a heteroge-
neous strain-softening model, numerical results show that the load-
carrying capacity of the specimen with a compressive echelon fault
is higher than with the extensional one (Wang et al. 2012). These
evidences support the present numerical results.
We compare the compressive stress evolution on three faults, Figure 14. Evolution of stress with the number of time steps for specimens
including the left, right and middle faults, and at loading ends of with echelon faults.
specimens with two kinds of echelon faults (Figs 15a and 16a).
Failed rock elements between the left and right faults form a middle the specimen with an extensional echelon fault is lower than on the
fault. Close-up figures in a few cycles are also shown (Figs 15b and left or right fault; and that on the middle fault, an ideal saw-tooth-
16b). As shown in Fig. 15, the evolution of stress on the middle like curve is expected, different from that in Fig. 15(a). The simple
fault is complex during a stick-slip process, and the stress is the or regular evolution of stress and a low level of stress mean that slip
highest. The average stress on the left or right fault is lower than on is easy on the middle fault.
loading ends of the specimen with a compressive echelon fault. In Several small events take place at the stick stage in a cycle,
addition, the stress on the right fault is always higher than on the left whereas only one large event occurs at the slip stage (Figs 14b
fault, which is related to the slightly different numbers of elements and 15b), consistent with some experimental observations (Sobolev
on both faults. No apparent difference exists in stick-slip periods of et al. 1996; Miao et al. 2010; Ma et al. 2012). This phenomenon
both faults. Fig. 16 shows that the average stress at loading ends of can also be found for two intersecting faults (Figs 7 and 8).
1034 X. B. Wang, J. Ma and Y. S. Pan

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Figure 15. Evolution of stress with the number of time steps for a specimen
with a compressive echelon fault in scheme 24.

4.6 Sole influence of fault width using Figure 16. Evolution of stress with the number of time steps for a specimen
quadrilateral elements with an extensional echelon fault in scheme 25.

As mentioned above, use of square elements cannot ensure a con-

tinuous change in fault width, and the fault width depends on the
size of square elements. Herein, we demonstrate the sole influence
of fault width w by use of quadrilateral elements (Fig. 17). Also, the
result in scheme 3 is also provided for a comparison. Fault surfaces
are even in schemes 26–28 because of the use of quadrilateral ele-
ments. In schemes 3 and 26, the fault width is identical. In scheme
3, owing to the use of square elements, the fault surface is uneven.
A saw-tooth-like fault surface leads to high peak stress and stress
corresponding to the end of slip. However, two kinds of fault sur-
faces result in the nearly same stick-slip period when the fault width
is identical. Moreover, the influence of fault width on the stick-slip
period and stress drop is remarkable. A narrower fault leads to a
shorter stick-slip period and a smaller stress drop, similar to results
in Fig. 9. The result in scheme 28 is like a stable sliding. When the Figure 17. Evolution of stress with the number of time steps for a specimen
fault width is halved, the stick-slip period is also halved. In schemes with a single straight fault. Fault widths are different in different specimens.
26–28, the maximum incremental plastic shear strain γmp remains
constant. Thus, a wider fault means a higher critical slip distance, the number of time steps. In schemes 28 and 29 (Figs 17 and 18),
and the stick-slip period will be longer. a higher γmp leads to a longer stick-slip period, consistent with
results (Fig. 5). When γmp is increased by a factor of 4, the period
is quadrupled.
4.7 Size-independent results using quadrilateral elements
Compared with scheme 29, schemes 30 and 32 have finer meshes.
To obtain size-independent stress-deformation results, we focus If the number of elements outside the fault is doubled in scheme
on the evolution of stress with displacement on one loading end 29, then the mesh in scheme 30 will be generated. If the mesh in
in schemes 29–33 with different mesh sizes or loading velocities scheme 29 is refined one time in the horizontal direction, then the
(Fig. 18). The displacement is a product of the loading velocity and mesh in scheme 32 will be expected. Indeed, different meshes lead

Figure 18. Evolution of stress with displacement at one loading end of a
specimen with a single straight fault. Mesh size and loading velocity are
different in different specimens.
to different peak stresses and stress drops (Fig. 18). Seemingly, the
present numerical results are size-dependent, lacking uniqueness.
However, in schemes 31 and 33, the size-dependency can be greatly
decreased if the loading velocity exerted on two loading ends is
halved. The reason for a finer mesh requiring a slower loading ve-
locity to avoid non-uniqueness of numerical solutions is explained
as follows. In a time step, the propagating distance of stress wave
will be the size of an element. When the number of elements in a
specimen is doubled, the propagating velocity of stress wave across
elements or meshes will be halved if the exerted loading velocity
remains unchanged. Therefore, if we want to obtain a unique so-
lution for different meshes, the number of time steps needs to be
increased for the specimen with fine meshes. If the size of elements
is halved, then the number of time steps needs to be doubled. Cor-
respondingly, the loading velocity needs to be halved to ensure the
same propagating distance of stress wave for different mesh sizes,
leading to an increase of the number of time steps or an increase of
the stick-slip period.
4.8 Results under dynamic loading using
quadrilateral elements
The velocity history of nodes at different positions of a fault can
demonstrate the stick-slip process of the fault. We present the evo-
lution of stress and nodal velocity with time step in scheme 34
(Fig. 19), focusing on three typical stick-slip cycles (Fig. 19b). Posi-
tions of monitored nodes on the straight fault are shown in Fig. 2(u).
Scheme 34 is conducted under dynamic loading with a mass density
of 2.7 × 103 kg m−3 and with an automatically calculated dynamic
time step of 1.763 × 10−7 s by FLAC-3D, different from schemes
1–33 performed under quasi-static loading. In scheme 34, the ex-
erted loading velocity at two ends of the specimen is true or physical
velocity (m s−1 ). Whether specimens are loaded quasi-statically or
dynamically, the local damping is used. Nevertheless, damping co-
efficients are different. In quasi-static analyses above, the default
value is 0.8, whereas in the present dynamic analysis, the coeffi-
cient is set to be 0.1571 (0.05π , π is the critical damping), that is
5 per cent critical damping, which is a typical value for dynamic
analyses. Schemes 34 and 29 have the same models and parameters,
and the same number of time steps, that is 5 × 104 , is calculated to
reach the same axial displacement or strain in σ1 direction. Thus,
Stick-slip behaviours of typical faults 1035
the required true loading velocity in scheme 34 can be calculated
as 5.7 × 10−3 m s−1 .
Schemes 29 and 34 have the same stick-slip period despite dif-
ferent loading modes (Figs 18 and 19a). It is found that the nodal
velocity for 221# node (Fig. 2u) rapidly rises during the slip process.
The reached maximum velocity (approaching 0.1 m s−1 ) is greatly
higher than at two loading ends of the specimen. At the follow-
ing stick stage, the velocity decreases in an oscillating manner until
this node again gains an extraordinarily high velocity at the next slip
stage. Interestingly, the evolution of the velocity is similar to famous
rate- and state-dependent friction laws to some extent. Therefore,
the present model can describe the change in velocity during stick
and slip processes although no rate- and state-dependent friction
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law is included.
It is found that prominent rises in nodal velocities have occurred
before rapid stress drops, indicative of slip precursors and a few
peaks can be observed (Figs 19b–d). There are some differences of
nodal velocities at different positions of the fault. For example, the
peak nodal velocity is high for the black curve (221# node is on
the left boundary of the specimen), whereas it is low for the purple
curve (261# node is on the right boundary). Moreover, the rapid
rise in velocity for 261# node is slightly delayed. Approximately,
velocities of these monitored nodes undergo the synchronic evolu-
tion, that is simultaneous increase and decay. This is related to the
relatively simple state of stress on the smooth fault surface, and no
heterogeneity is introduced in the present model.
4.9 Results under different deformational modes using
quadrilateral elements
As found before, with an increase of the number of stick-slip cycles,
the saw-tooth-like curve becomes less acute until its shape does not
change (Figs 3b, 5 and 7–11). Note that these results are obtained
using square elements. For quadrilateral elements, the phenomenon
mentioned above still exists, whereas it is less obvious (Figs 17,
18 and 19a). Therefore, changes in saw-tooth-like curves cannot be
only attributed to the influence of uneven fault surfaces.
One possible reason is that the inclusion of a small strain assump-
tion is not applicable for modeling stick-slip cycles at a late stage
of deformation. At the time, deformation of elements on a fault is
large, as mentioned above. However, a detailed comparison of two
results obtained using the small and large strain modes shows that
nearly no difference exists (Fig. 20). After introducing the large
strain mode, changes in saw-tooth-like curves are still observed,
leading to a long computational time. Scheme 32, calculated under
a small strain mode, consumes about 8 min for 2 × 105 time steps,
whereas scheme 35, under a large strain mode, only consumes about
5 min.
Though the shape of the saw-tooth-like curve is slightly differ-
ent at different stages of stick-slip processes, the period does not
change approximately. Also, changes in stress drops and slopes
of saw-tooth-like curves are not large at slip stages. Therefore,
changes in saw-tooth-like curves would not influence the qualita-
tive understanding of stick-slip phenomenon. Perhaps, at a late stage
of deformation, the synchronic change in level of stress for fault
elements is worse than at an early stage of deformation. This leads
to a propagation of stress along a fault rather than a strictly simul-
taneous increase or decrease of stress for different elements. Thus,
during strain-softening of a large majority of fault elements, a few
fault elements are undergoing strain-hardening, leading to a blunt
saw-tooth-like curve and a small stress drop.
1036 X. B. Wang, J. Ma and Y. S. Pan
Figure 19. Evolution of stress and nodal velocity for a node (a), and that for some nodes during three typical cycles (b–d) with the number of time steps in
scheme 34.
4.10 Numerical results of the bending fault using
quadrilateral elements
To generate a smooth fault surface, herein, the bending fault and
elastic bodies outside the fault are modelled by quadrilateral ele-
ments. Thus, the effect of uneven fault surface on the evolution of
stress can be excluded. We focus on the influence of fault geometry
(Fig. 21). Schemes 36–39 have the same parameters and computa-
tional conditions as schemes 18–20 and 22, respectively, except for
the fault width and mesh shape. In schemes 36–39, widths of left
and right faults are not completely identical, which is caused by the
present mesh generation method. For any mesh in schemes 36–39,
six subgrids are first generated, and then are attached together to
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form a unity. Three subgrids form the left part of the mesh, whereas
the other three subgrids form the right part. These two parts have
the same size. The left fault angle with the horizontal direction is
fixed as 45o , and the width is 0.0035 m. When the right fault angle
is larger or smaller than 45o , the width is smaller or larger than
0.0035 m, respectively.
Regular saw-tooth-like curves are found in scheme 36, but not
in schemes 37–39. When the angle between two fault segments is
higher or lower, the stress corresponding to the beginning of slip
is higher, and the stress drop is smaller. These characteristics are
basically identical to results in schemes 18–20 and 22 (Fig. 11).
Compared with results in schemes 18–20 and 22 (Fig. 11), results
in schemes 37–39 are more complex, which is related to slightly

Figure 20. Evolution of stress with the number of time steps for a specimen
with a single straight fault.
Figure 21. Evolution of stress with the number of time steps for a specimen
with a bending fault. Angles between two fault segments are different in
different specimens.
Figure 22. Tested specimen with a single straight fault (a) and principal stress difference-time curves at different loading velocities v (b) from Miao et al.
(2010).
Stick-slip behaviours of typical faults 1037
different widths of two fault segments. In addition, the use of quadri-
lateral elements leads to a low load-carrying capacity and a long
stick-slip period, whereas square elements predict a high stress cor-
responding to the onset of slip and a short period, consistent with
results for a single straight fault (Fig. 17). Using provided com-
mands in FLAC-3D, at present, it is difficult to establish some
typical fault systems with smooth fault surfaces, such as a bending
fault with the same width at different positions, an echelon fault
and two intersecting faults. Alternatively, using square or cubic
elements, some typical or complex fault systems can be created
through writing FISH functions, providing a chance to investigate
stick-slip behaviours and interactions among faults. However, we
must acknowledge some disadvantages of square meshes, such as
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inevitable uneven fault surfaces and a low computational efficiency.
4.11 Experimental verification using quadrilateral
elements
Under biaxial compression, Miao et al. (2010) conducted stick-slip
experiments of cuboid rock specimens, each including an inclined
straight fault. The height, width and thickness of each specimen
(Fig. 22a) are 300, 200 and 50 mm, respectively. The fault with a
width of 3 mm is modelled with anhydrite, and the weight percent-
age of gypsum and water is 3:1. The fault surface is milled with
400# cumbersome. The applied confining pressures (σ3 ) are in the
range of 5–20 MPa on two lateral surfaces of specimens whose
area is 300 mm × 50 mm. Axially displacement-controlled load-
ing is quasi-statically conducted in σ1 direction at one end with a
low compressive velocity ν of 0.1–13.5 µm s−1 , whereas the axial
displacement of another end remains zero.
A part of a typical principal stress difference-time curve is shown
in Fig. 22(b) with σ3 = 5 MPa and ν = 0.05–0.1 µm s−1 . It is found
that the loading velocity influences the stick-slip period becoming
longer with a decrease of loading velocity. The peak stress and
stress corresponding to the end of slip do not change greatly. At
1038 X. B. Wang, J. Ma and Y. S. Pan
Figure 23. Numerical specimen with a single straight fault (a) and evolution of principal stress difference with the number of time steps at different loading
velocities v 0 (b) in scheme 40.
ν = 0.1 µm s−1 , six short slip-stick periods undergo about 2900 s,
and an average period of 483 s is expected for each stick-slip. At
ν = 0.05 µm s−1 , two long periods consume 2436 s, and an average
period is 1218 s.
In the following, the mentioned experiment above will be numer-
ically modelled. In tests, the fault is only 3 mm in width. Therefore,
it is inconvenient to use square elements to model the narrow fault
unless the size of square elements is set to be small enough. Thus, a
very long computational time will be expected because smaller ele-
ments require lower loading velocities, as mentioned in section 4.7.
For the specimen with an inclined fault, that is simple fault sys-
tem, it is convenient to model the fault using quadrilateral elements.
Outside the fault, the elastic body is also divided into the same kind
of elements. It is noted that four corners of the tested specimen
are cut-off to avoid intervention between loading platens (Fig. 22a).
Therefore, to accurately model the shape of the specimen, a few
quadrilateral elements must be deleted. Seemingly, it is unneces-
sary to do so. Alternatively, the width of the numerical specimen
is decreased to one half of the height. That is to say, only a part
of the tested specimen is numerically modelled, which is in the
dashed rectangle (Fig. 22a). Thus, the width of the numerical spec-
imen (Fig. 23a) is only 150 mm. The fault angle with the horizontal
direction is 60o , consistent with the experimental condition.
The tested and numerical specimens have the same height. The
axial displacement increment is mainly contributed from slip along
the fault because of the negligible deformation outside the fault.
Therefore, to ensure that each stick-slip causes the same slip dis-
tance for two kinds of specimens, we only need to require that two
specimens undergo the same axial displacement increment during
each stick-slip process.
For the tested specimen, the axial displacement increment u a
is
u a = vt,
where v is the actual or physical velocity (m s−1 ), and t is the time
interval (s). At v = 0.1 µm s−1 , t = 2900 s, corresponding to six
short stick-slip periods.
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For the numerical specimen, the axial displacement increment
u a is
u a = 2v0 t0 , (6)
where v 0 is the used velocity under quasi-static loading (m time
step−1 ), or called fictitious velocity, and t0 is the number of time
steps. To avoid oscillating numerical results, a low enough fictitious
velocity is needed, such as in the range of 10−10 –10−8 m time
step−1 . To model experimental results for v = 0.1 and 0.05 µm s−1 ,
fictitious velocities are selected as v 0 = 2 × 10−9 and 1 × 10−9 m
time step−1 , respectively.
We let u a = u a . Thus, we can obtain the needed number of
time steps under quasi-static loading. When v 0 = 2 × 10−9 m time
step−1 , t0 = 7.3 × 104 time steps, corresponding to six short periods.
Thus, we can deduce that one time step corresponds to 0.04 s, or 1 s
corresponds to 25 time steps.
Calculations include two stages in scheme 40: a hydrostatic stress
loading and then a displacement-controlled loading, similar to phys-
ical tests above. It can be found that calculated and experimental
results agree well (Figs 22b and 23b). For the same loading veloc-
ity, numerical saw-tooth-like curves are identical at different stick-
slip cycles because of few numbers of stick-slip cycles. Calculated
results, including the peak stress, minimum stress and stick-slip
period approach experimental observations. Strictly, the period is
doubled as the loading velocity is halved. This is slightly different
from experimental results shown in Fig. 22(b). Probably, anhydrite
is subjected to certain damages during loading, leading to slightly
different stick-slip periods even though the loading velocity is iden-
tical. The present calculation is ideal, and certain damages or other
factors, such as heat because of friction, have not been considered.
Therefore, if the loading velocity is decreased, then the stick-slip
period will be increased because the accumulated process of the
plastic shear strain on the fault is delayed.
(5) In the following, the needed time or number of time steps will
be assessed if the dynamic loading mode is triggered to model the
actual loading process in laboratory. Using the same computational
model and parameters as scheme 40 except for the loading mode,
the automatically calculated dynamic time step is 1.267 × 10−7 s

by FLAC-3D with a true loading velocity of v = 0.1 µm s−1 . So
small time step is to ensure the numerical stability. Thus, six short
stick-slip periods (about 2900 s) in laboratory will require 2.3×1010
time steps. However, under quasi-static loading, we only need 7.3 ×
104 time steps, and the needed time is less than 8 min using an or-
dinary personal computer. Thus, if we select the dynamic loading
mode, at least 7.4 × 104 min (i.e. 1.8 × 103 d) are needed to run,
an unacceptable task. As can be found from Fig. 23(b), numerical
results for v 0 = 2 × 10−9 and 1 × 10−9 m time step−1 are smooth
enough. Therefore, quasi-static loading is a feasible selection with-
out affecting the accuracy and efficiency.
5 C O N C LU S I O N S
For modelling the periodic stress change at loading ends of rock
specimens with one to three faults in plane strain biaxial compres-
sion, a frictional-hardening and frictional-softening elastoplastic
continuous model is proposed and implemented in FLAC-3D. The
model includes a linear softening part and then a linear hardening
part, to model slip and stick behaviours, respectively. A key feature
of the model is the inclusion of an incremental plastic shear strain
in a stick-slip cycle, which is set to be zero upon reaching its maxi-
mum at the end of stick. This implies that the permitted maximum
plastic shear strain or critical slip distance in a cycle is constant. At
the slip stage in a cycle, a decrease of an internal frictional angle
leads to an increase of the incremental plastic shear strain, whereas
at the following stick stage, the angle is updated according to the
present incremental plastic shear strain. Although, no velocity is
introduced in the present model, the nodal velocities change in a
cycle because of the use of equations of motion. Using the pro-
posed model, stick-slip behaviours of 40 numerical specimens are
modelled quasi-statically or dynamically, and the proposed model is
validated through a physical stick-slip test in biaxial compression.
For a single straight fault or two intersecting faults, the effects
of parameters on the evolution of stress acting on loading ends are
investigated, such as fault width, loading velocity and maximum in-
cremental plastic shear strain in a cycle. To obtain size-independent
stress-deformation curves, a low velocity is suggested for a fine
mesh to ensure the same propagating distance of stress wave. Also,
the maximum incremental plastic shear strain in a cycle is found
to affect the stick-slip period and stress drop. For two intersecting
faults, the attention is paid on the effects of the fault geometry, and
a few small slip events are observed at the stick stage because of
interactions among faults, whereas only one large event is found at
the slip stage. A similar phenomenon is found for echelon faults.
For bending faults, a small stress drop is observed at large an-
gles between two fault segments. The reason for this is attributed to
the asynchronic softening and hardening of fault elements, as con-
firmed through monitoring evolution of the internal frictional angle.
However, for a usual 5◦ bending fault, the synchronic evolution is
expected, creating a periodic change in stress. For a bending or a
single straight fault, the use of quadrilateral elements leads to a low
load-carrying capacity and a long stick-slip period, whereas square
elements predict a high stress corresponding to the onset of slip and
a short period.
For two typical echelon faults, stick-slip behaviours of different
faults, including the left, right, and middle faults, are compared.
New failed regions outside faults are permitted to appear to provide
necessary conditions for fault sliding. For the extensional echelon
fault, stick-slips on the left and right faults are synchronic, suggest-
ing that the influence of the extensional jog is negligible. However,
Stick-slip behaviours of typical faults 1039
for the compressive echelon fault, synchronic stick-slips are slightly
bad, and more complex stress evolution in a cycle is found because
of the prohibition of the compressive jog.
FLAC-3D can consider the influence of creep, seepage, and tem-
perature on mechanical behaviours of geomaterials. These features
can be involved in the present model without any difficulties. In
the future, the proposed model can be used to model stick-slip be-
haviours and interactions among faults of actual sizes under com-
plex loading conditions. Among several faults, active sequences,
stick-slip periods, and stress drops can be determined numeri-
cally. Even, faults prone to slip, and those with large stress drops
(stick-slips) or without (stable sliding), because of the synchronic
or asynchronic softening and hardening of elements, respectively,
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can be identified numerically. Also, the calibration of the model
should be emphasized. These further investigations are worth con-
ducting, especially important for fault mechanics and earthquake
predictions.
AC K N OW L E D G E M E N T S
We are grateful to two anonymous reviewers for their helpful com-
ments and suggestions in improving the manuscript. We also thank
the Editor, Prof. Jörg Renner, for language polishing and sugges-
tions for correction. This work was supported by the National Natu-
ral Science Foundation of China (50974069), the open research fund
(LED2010B04) of State Key Laboratory of Earthquake Dynamics,
Institute of Geology, China Earthquake Administration, and the Pro-
gram for Liaoning Excellent Talents in University (LJQ2011030).
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