Auditoría de modelos numéricos

para macizos rocosos

Dr. Alejo O. Sfriso

Universidad de Buenos Aires materias.fi.uba.ar/6408 asfriso@fi.uba.ar
SRK Consulting (Argentina) latam.srk.com asfriso@srk.com.ar
AOSA www.aosa.com.ar asfriso@aosa.com.ar

Propósito de las auditorías técnicas

(Hudson & Feng 2010)
Auditoría de modelos numéricos para macizos rocosos

• Evaluar la lógica del trabajo en función de su objetivo

• Establecer si los mecanismos, variables y parámetros
relevantes han sido considerados
• Mostrar que el análisis de respaldo es apropiado dentro
de los límites del conocimiento disponible
• Considerar si las conclusiones están justificadas en
términos de los objetivos del proyecto
• Proporcionar rastreabilidad de la información, análisis y
decisiones adoptadas

La auditoría debe ser independiente, sin limitaciones

2 técnicas ni constractuales, y agregar valor al proyecto

1
 monitoring and back analysis, leading to the final design. The validity of the modelling and design of a rock engineering
Similarly, the auditing is applied to the seven design steps project will depend on the accuracy of the supporting information
discussed in [2], these being the project purpose, key features of
the site/rock mass/project, design approach strategy, choice of
Audit
modelling method and appropriate code, initial design, integrated 'Soft' Audit 'Hard Audit'
modelling and feedback information and final design and Evaluation
verification/validation.
Obtains the basic Obtains the Establishes
information for detailed whether the
establishing the information on all modelling is
1.3. ‘Soft’ and ‘hard’ technical audits and the audit evaluation
essence of the the procedures adequate to meet
problem being used the objectives
Note that the technical auditing can be ‘soft’ or ‘hard’, with the
characteristics as indicated in Fig. 2. Thus, for modelling, i.e. using
Ability to state
one or more of the eight main types of modelling methods shown Ability to state
Ability to whether the
in Fig. 1, either auditing type can be utilized, depending on the the details of
purpose of the auditing. The soft audit can be used initially to
support the development of the modelling programme. However,
Los ocho métodos de diseño present what is
being done
what is being
done
modelling is
adequate for the
purpose
the hard audit is necessary for the total audit evaluation and
en ingeniería de rocas (Hudson & Feng 2010)
Auditoría de modelos numéricos para macizos rocosos

ability to state whether the modelling is adequate for the purpose. Fig. 2. The ‘soft’ and ‘hard’ audits and the audit evaluation.

Objective

Method A Method B Method C Method D

Basic Extended
Use of
Analytical numerical numerical Level 1
pre-existing
methods, methods, FEM, methods,
Hudson, X.-T. Feng / International Journal of standard
Rock Mechanics & Mining Sciences 47 (2010) BEM,
877–886 1:1 mapping
stress-based DEM, fully-coupled
methods
hybrid models
Site
Invest-
modelling and design and record igation The two demonstration auditing examples that follow are:
Database
Integrated
(1) thePrecedent
procedure
type for
Rockauditing
mass a site
expert investigation measurement—
systems
analyses and classification, systems, & Level 2
rock stress (soft
in situ modifications RMR, Q, audit)
GSI and
other (2) auditing the modelling
systems
approaches, for
Not 1:1 mapping
internet-based
the design of hydropower caverns approaches
at the Laxiwa site on the Yellow
he above list, an additional benefit River in China (semi-hard audit).
enables highlighting of any ‘guess Whether a soft or hard audit is appropriate in any given
Design based on forward analysis Design based on back analysis
perience that is potentially subject situation will depend on the requirement and according to the
ther experience and updating as descriptions in Fig. 2; both forms of audit are demonstrated in the
Construction
3 following sections. The limited audit illustrated for the second
also presented within the context demonstration
Fig. 1. Flowchart of rock audit
mechanics for thetypeshydropower
modelling used to support rockcaverns in (from
engineering design China[2]). is
rating the eight basic modelling termed ‘semi-hard’ because it is not possible to include the full
here are four methods A–D with detail given the limitations on the paper length.
eft to right, each with two sub-
ether the method involves 1:1
g of the project geometry); the
sic steps in the rock engineering 2. Demonstration example 1: the procedure for technically
pects of Fig. 1 can be subject to auditing a site investigation measurement—in situ rock stress
ning the site and rock mass (soft audit)
gation, use of the eight types of
used singly, in combination or in
Los 2.1.
dosBackground
niveles de auditoría técnica
(Hudson & Feng 2010)
the initial design, construction
Auditoría de modelos numéricos para macizos rocosos

is, leading to the final design. The validity of the modelling and design of a rock engineering
plied to the seven design steps project will depend on the accuracy of the supporting information
he project purpose, key features of
sign approach strategy, choice of
Audit
iate code, initial design, integrated 'Soft' Audit 'Hard Audit'
ormation and final design and Evaluation

Obtains the basic Obtains the Establishes

information for detailed whether the
establishing the information on all modelling is
udits and the audit evaluation
essence of the the procedures adequate to meet
problem being used the objectives
ting can be ‘soft’ or ‘hard’, with the
ig. 2. Thus, for modelling, i.e. using
Ability to state
ypes of modelling methods shown Ability to state
Ability to whether the
can be utilized, depending on the the details of
present what is modelling is
oft audit can be used initially to what is being
being done adequate for the
e modelling programme. However, done
purpose
or the total audit evaluation4 and
delling is adequate for the purpose. Fig. 2. The ‘soft’ and ‘hard’ audits and the audit evaluation.

Objective

Method A Method B Method C Method D

2
Basic Extended
Use of
 Fig. 5. (a) 3D model for numerical analysis and (b) calculation model for excavation of the Laxi

Un ejemplo de auditoría: 38 pregun- Table 2

J.A. Hudson, X.-T. Feng / International Journal
The 11of Rock Mechanics
subject & Mining
headings Sciences
for the 47 (2010)
semi-hard 877–886
technical
Subject Area 3 in Table 3
audit of the rock mechanics 881itself:
the numerical code us
tas garantizan la calidad del modelo (Hudson
modelling supporting the cavern excavation design for the & Feng
Laxiwa 2010)
project on the
analyses and presentation
Auditoría de modelos numéricos para macizos rocosos

Yellow River, China.

mechanics and rock engine
1. THE MODELLING OBJECTIVE The purpose of the modelling? increasing and numerical mod
2. CONCEPTUALIZATION OF THE PROCESSES BEING MODELLED the auditing questions them
The sub-system(s) being isolated for study. The physical processes involved. capture the critical aspects in
3. SPECIFICATION OF THE MODELLING CONTENT ensuring that there is a check
What are the physical variables, connecting relations, parameters, boundary
that there have been checks
conditions, initial conditions, etc.
4. MODELLING SOLUTION REQUIREMENTS that uncertainties are capture
What type of model output is required, given the stated modelling purpose? reasonable, and that the mod
5. MODELLING SOLUTION TECHNIQUE Subject Area 4 in Table
How is the required model output to be obtained?
explicitly through the identifi
6. NUMERICAL CODE UTILIZED
Which numerical code is to be used? How do we know that the code is
and the possible need for cor
operating correctly? In the current absence of
J.A. Hudson, X.-T. Feng / International Journal of Rock Mechanics & Mining Sciences 47 (2010) 877–886 7. SUPPORTING MODEL 881 DATA & DATA INPUT METHOD the rock engineering design p
What are the necessary supporting data? How are they to be obtained? How ing areas such as aircraft
are they to be input?
illustrated in this demonstr
8. MODEL SENSITIVITY ANALYSIS
Fig. 5. (a) 3D model for numerical analysis and (b) calculation model for excavation of the Laxiwa cavern group.
How does the model output depend on the model input in terms of whether a answers to the questions lis
sensitivity analysis is required? that an adequate procedur
Table 2 9. PRESENTATION Subject Area 3 inRESULTS
OF MODELLING Table 3 concerns the modelling techniquefollowed. The auditing can be
The 11 subject headings for the semi-hard technical audit of the rock mechanics Is it possible to demonstrate
itself: that the
the numerical numerical
code used, code is operating correctly?
the supporting data, sensitivityactivity. Needless to say, con
modelling supporting the cavern excavation design for the Laxiwa project on Are the the modelling
analyses results clearly presented?
and presentation of the results. Because our rockso that any corrective action
Yellow River, China. 10. SOURCES OF ERRORS
mechanics and rock engineering knowledge is continuously
What are the main sources of errors?
1. THE MODELLING OBJECTIVE The purpose of the modelling? increasing and numerical models are continuously being improved,
11. MODELLING ADEQUACY
2. CONCEPTUALIZATION OF THE PROCESSES BEING MODELLED the auditing
Does the modelling seem questions
adequate forthemselves
the purpose?may needany
Are there be adjusted to3.3. Comments on the Laxiwa
to problem
The sub-system(s) being 5 isolated for study. The physical processes involved.areas? Iscapture the critical
any corrective action aspects
required? in this subject area. The key issues are
3. SPECIFICATION OF THE MODELLING CONTENT ensuring that there is a check on the appropriateness of the model,
What are the physical variables, connecting relations, parameters, boundary
It was noted earlier that
that there have been checks on how the model is used, ensuringexample has been termed ‘se
conditions, initial conditions, etc.
Fig. 5. (a) 3D model for numerical analysis and (b) calculation model for excavation of the Laxiwa cavern group.
4. MODELLING SOLUTION REQUIREMENTS that uncertainties are captured by sensitivity studies as far as ispossible to include all the relev
able 2
What type of model output is required, givenArea
Subject the stated modelling
3 in Table 3 concerns the modellingreasonable,
purpose?
conducted technique and that the modelling results appear valid.
within the eleven subject headings listed in Table 2. audit, via the eleven subject a
he 11 subject headings for the semi-hard 5. MODELLING
technical audit ofSOLUTION TECHNIQUE
the rock mechanics itself: the numerical code used, the supporting data, sensitivity Subject Area 4 in Table 3 covers model adequacy more
odelling supporting the cavern excavation How is the
design required
for the model
Laxiwa project onoutput
the to be obtained? The individual
analyses and presentation of the results. Becauseexplicitly auditing
our rock through questions
the and the answers
identification of actual for
or the designerrorstheir detailed answers in Table
potential
ellow River, China.
6. NUMERICAL CODE UTILIZED mechanics and rock engineering knowledge approach is continuously
usedthe in this case are listed in Table 3 with the eleven and how the answers reveal th
Which numerical
modelling?code is to be used? increasing
How do and
wenumerical
know that models are continuously
the code is beingand
improved, possible need for corrective action.
1. THE MODELLING OBJECTIVE The purpose
2. CONCEPTUALIZATION OF THE PROCESSES
of the
operating correctly?
BEING MODELLED the auditing questions themselves maysubject
need to headings
be In
adjusted the
tolisted under
current four
absence subject
of any areas.
internationally agreed check onin determining the cavern e
The sub-system(s) being isolated for study. The physical processes involved.
7. SUPPORTING MODEL DATA & DATA capture
INPUTthe METHOD The
critical aspects in this subject area. Theaudit
keythe subject
issues areas in design
are engineering
rock Table process
2 are different
(as occurs from those
in other in
engineer- support. To demonstrate this
3. SPECIFICATION OF THE MODELLING CONTENT
Whatrelations,
What are the physical variables, connecting are the necessary
parameters, supportingensuring
boundary data? How that are
there is a to
they check on the appropriateness
be obtained? How 1 because
Table
of the model,
ing now such
areas we areasdealing
aircraftwith a design
design), theproblem, procedurerequire illustration of the m
auditingrather
that there have been checks on how the model is used, ensuring
conditions, initial conditions, etc. are they to be input?
4. MODELLING SOLUTION REQUIREMENTS
8. MODEL SENSITIVITY ANALYSIS
that uncertainties are captured by sensitivitythan studies illustrated
site investigation
as far as is in measurements.
this demonstration example
However, the 2same
showslogichowis thecorrectness of the supporting d
What type of model output is required, given the stated modelling purpose? reasonable, and that the modelling results appear valid.answers to the questions listed in Table 3 enable confirmation
5. MODELLING SOLUTION TECHNIQUE How does the model output depend onSubject the model
Areainput
4 ininTable
terms3 ofcoversfollowed
whether a
model
in Table 3 beginning with the objective, Subject Area 1,
adequacy more
Noting that, in this case, t
thaterrors
an adequate
key stepsprocedure is the
being followed or in has
this beenthe auditing questions are gi
Un ejemplo de auditoría: 38 pregun-
How is the required model output to be sensitivity analysis is required? explicitly through the identification of and
obtained?
actual following
or potential the through to conclusions,
6. NUMERICAL CODE UTILIZED
9. PRESENTATION OF MODELLING RESULTS followed. The auditingincan be used during
Which numerical code is to be used? How do we know that the code is
Is it possible to demonstrate that the In
and the possible need for corrective action.
numerical code
the current is operating
absence
case the
correctly?
of any internationally
modelling
agreed
adequacy, Subject Area 4. or after the modellingaudit more efficient the form
check on Needless to say, contemporaneous auditing is preferred
operating correctly? activity.
more detail, e.g. whether a
tas garantizan la calidad del modelo
7. SUPPORTING MODEL DATA & DATA INPUT Are the modelling results clearly presented?
METHOD the rock engineering design process (as Subject
occurs in other Area 2
engineer- in Table 3 concerns the conceptualization
(Hudson of the
& Feng 2010)
ing areas such as aircraft design), the auditing so that any corrective action can be immediately implemented.
Auditoría de modelos numéricos para macizos rocosos

What are the necessary supporting data? How are they to be obtained? How
are they to be input?
10. SOURCES OF ERRORS processes procedurebeing modelled, the specification of the modelling required to a particular quest
What are the main sources of errors? illustrated in this demonstration example 2 shows how the
8. MODEL SENSITIVITY ANALYSIS
How does the model output depend on11. the MODELLING ADEQUACY
model input in terms of whether a answers to the questions listed in Table content,
3 enable the modelling solution requirements and the modelling
confirmation
sensitivity analysis is required? that an adequate procedure is being followed or
solution 3.3. Comments
has been
technique. This onis athe Laxiwaarea
crucial casebecause,
example as indicated by
Does the modelling seem adequate for the purpose? Are there any problem
9. PRESENTATION OF MODELLING RESULTS followed. The auditing can be used during or after the modelling
areas?code
Is it possible to demonstrate that the numerical Is any corrective
is operating action required?
correctly? the associated sub-questions in Table 3, there needs to be
activity. Needless to say, contemporaneous auditing is preferred 4. Conclusions
Are the modelling results clearly presented?
10. SOURCES OF ERRORS
What are the main sources of errors?
• ¿Se so that ha establecido
any corrective conimplemented.
justification
action can be immediately claridad of the el propósito
exact modelling del modelo?
It was noted earlier that the technical auditing of this case
approach in terms of
example has been termed ‘semi-hard’ because it is has not been
comprehensiveness of the physical variables represented and In order to ensure that the
• ¿Cómo se sabrá cuando la modelación esté completa?
11. MODELLING ADEQUACY
3.3. Comments on the Laxiwa case example possible to include all the relevant details in the paper. However, the
Does the modelling seem adequate for the purpose? Are there any problem
the specification of all the conditions.
audit, via the eleven subject areas and thirty-eight questions with
modelling and rock engineer
conducted within the eleven subject headings listed in Table 2.
areas? Is any corrective action required?

The individual auditing•questions ¿Qué sistemas de macizo rocoso fueron considerados?

It was noted earlier that the technical auditing of this case
and
example has the answers for
been termed ‘semi-hard’ the design
because
their
it is has not
detailed
been
answers in Table 3, illustrates the style of the hard audit
approach used in this case are listed
possible in Table
to include all the3relevant
with details
the eleven and how
in the paper. However, the the answers reveal the procedures used and their suitability
onducted within the eleven subject
subject headings
headingslistedlisted
• ¿Qué
in Tableunder
he individual auditing questions and the answers for the design
The audit subject areas in and
2. audit,
fourvia
procesos
the eleven
subject
their detailed
Table
areas.
físicos
answers in Table 3, illustrates the styleprincipales
subject areas and thirty-eight questions with
in determining
of the hard audit fueron considerados?
the cavern excavation sequence and appropriate
support. To demonstrate this example as a truly hard audit would
pproach used in this case are listed in Table 3 with the eleven how 2 theare different
answers reveal thefrom those
procedures usedinand their suitability
ubject headings listed under Table 1 because
four subject
The audit subject areas in than
Table 2site
areas.
are different from those
investigation
• in ¿Cuál
now we are dealing
es
with athe
in determining
support. To demonstrate
measurements.
lacavern
design
However,this
variable
problem,
independiente
excavation sequence
theexample
same as a truly
logic
require
rather and appropriate
is hard audit would
correctness
illustration
principal?
of the more penetrating investigation of the
of the supporting data, numerical analyses, etc.
able 1 because now we are dealing with a design problem, rather require illustration of the more penetrating investigation of the
followed in Table 3 beginning
han site investigation measurements. However, the same logic
ollowed in Table 3 beginningand following
with the objective, the key
Subject
•steps
Area
is ¿Cómo
1,
with the
correctness
through
Noting that,
se
objective,
of the
to in
the
perturba
supporting Subject
thisconclusions,
case, the manner
Area
data, numerical elwhich
ininthis
1,sistema
analyses, etc.
the the auditing
answers to
para activar mecanismos?
Noting that, in this case, the manner in which the answers to
questions are given has been left open, to make the
nd following the key steps through
case the to the conclusions,
modelling
ase the modelling adequacy, in Subject Area 4. • Lista
in this
adequacy,
Subject Area 2 in Table 3 concerns
the
in de
auditing
Subject
audit more las
questions
Area
efficient
thee.g.
4.variables
the form físicas
are given has been left open, toaudit
of the answers should
conceptualization
make more
the
be specified in
efficient the form of the answers should be specified in
more detail, e.g. whether a narrative or numerical answer is
Subject Area 2 in Table 3 concerns the conceptualization of the more detail, whether a narrative of or the
numerical answer is
processes being
rocesses being modelled, the specification of the modelling
ontent, the modelling solution requirements
content, the and
•
modelled,
the modelling
modelling
Lista
the
required
de
specification
to a
los
particular
acoplamientos
of the
question.
solution requirements and the modelling
modelling
termo-hidro-mecánicos
required to a particular question.

olution technique. This is a crucial area because, as indicated by

he associated sub-questions in Table 3, there needs to• be ¿El modelo es 1D, 2D, 3D4. oConclusions alguna combinación?
solution technique. This is a crucial area because, as indicated by
4. Conclusions
the associated
ustification of the exact modelling approach in sub-questions
terms of in Table 3, there needs to be
omprehensiveness of the physical variables of
justification
he specification of all the conditions.
represented
• ¿Se
the exactand
modela
In order to ensure
modelling
modelling
approach
un continuo
that the in
and rock engineering
comprehensiveness of the physical variables represented and
procedures
o un for thediscontino?
termsusedofin rock mechanics
design are appropriate
In order to ensure that the procedures used in rock mechanics
the specification of all the
6
• Especificación
conditions. de las condiciones
modelling and de rock borde
engineering design are appropriate for the

3
 Un ejemplo de auditoría: 38 pregun-
tas garantizan la calidad del modelo (Hudson & Feng 2010)
Auditoría de modelos numéricos para macizos rocosos

• Especificación de las condiciones iniciales

• ¿Cómo se establece la condición final?
• ¿Cuál es la salida requerida del modelo?
• ¿Cumplen los resultados con el objetivo del modelo?
• ¿Cómo se obtiene el resultado? ¿Un código, una corrida?
¿O un conjunto de experimentos numéricos?
• ¿Hay controles de calidad? Control de datos de entrada,
validación con soluciones conocidas, corridas duplicadas?
• ¿Qué código numérico se emplea?
• ¿Porqué se emplea ese código?
• ¿Dónde se originó el código?
7

Un ejemplo de auditoría: 38 pregun-

tas garantizan la calidad del modelo (Hudson & Feng 2010)
Auditoría de modelos numéricos para macizos rocosos

• ¿Cómo se validó el código?

• Lista de tipo y justificación de condiciones de borde
• Lista de datos de entrada incluyendo fuente y justificación
• ¿Hubo que ajustar datos antes de su entrada al código?
• ¿Cómo dependen los resultados de los valores de los
parámetros de entrada?
• ¿Se ha realizado un análisis de sensibilidad? ¿Que tipo?
• ¿Cómo resume resultados del análisis de sensibilidad?
• ¿Se puede demostrar que el programa funciona bien?
• ¿Se puede demostrar que los datos son hipótesis
razonables para un macizo rocoso?
8

4
 Un ejemplo de auditoría: 38 pregun-
tas garantizan la calidad del modelo (Hudson & Feng 2010)
Auditoría de modelos numéricos para macizos rocosos

• ¿Cómo se presentan los resultados del modelo?

• ¿Se ajusta la presentación de resultados con el objetivo?
• ¿Ha corregido algún error hasta ahora?
• Lista de los errores potencialmente significativos
• ¿Puede alguno de esos errores invalidar el resultado,
concepto y conclusiones?
• Las preguntas anteriores ¿indican que en principio el
modelo es adecuado para su propósito?
• Si no, liste las áreas problemáticas
• ¿Qué acción correctiva se requiere?
• ¿Debe repetirse esta auditoría luego de correcciones?
9