Seismic safety of high concrete dams

China is a country of high seismicity with many hydropower resources. Recently,a series of high arch dams have either been completed or are being constructed in seismic regions,of which most are concrete dams. The evaluation of seismic safety often becomes a critical problem in dam design. In this paper,a brief introduction to major progress in the research on seismic aspects of large concrete dams,conducted mainly at the Institute of Water Resources and Hydropower Research(IWHR) during the past 60 years,is presented. The dam site-specific ground motion input,improved response analysis,dynamic model test verification,field experiment investigations,dynamic behavior of dam concrete,and seismic monitoring and observation are described. Methods to prevent collapse of high concrete dams under maximum credible earthquakes are discussed.     

Integrative seismic safety evaluation of a high concrete arch dam

An integrative seismic safety evaluation of an arch dam should include all sources of nonlinearities, dynamic interactions between different components and the external loads. The present paper investigates the calibration procedure and nonlinear seismic response of an existing high arch dam. The first part explains the conducted analyses for the static and thermal calibrations of the dam based on site measurements. The second part investigates the nonlinear seismic analysis of the calibrated model considering the effect of joints, cracking of mass concrete, reservoir–dam–rock interaction, hydrodynamic pressure inside the opened joints and the geometric nonlinearity. Penetration of the water inside the opened joints accelerates the damage process. The integrative seismic assessment of a case study shows that the dam will fail under the maximum credible earthquake scenario. The dam is judged to be severely damaged with extensive cracking and the joints undergo opening/sliding. A systematic procedure is proposed for seismic and post-seismic safety of dams.     

考虑劣化屈服老化裂纹后混凝土水库堤坝排水边坡抗震性研究

针对在水库堤坝排水边坡混凝土裂纹的抗震性研究中,未考虑岩土体抗剪强度参数的劣化屈服效应以及混凝土裂纹的老化,存在抗震性判断结果准确率较差等问题,提出水库堤坝排水边坡混凝土考虑老化后产生裂纹的抗震性能研究方法。模拟强震下边坡混凝土的开裂破坏过程,根据D-P屈服准则,实现对闸墩混凝土材料的屈服判断。采用薄层整体单元模拟和分离式裂纹单元,实现混凝土裂纹的数值模拟,加载地震波后,获取混凝土裂纹的强震响应规律与破坏特征。实验结果可知,本文方法对坝体位移变化的研究精度高,得到的混凝土裂纹扩展范围更为准。运用本文方法对水库堤坝排水边坡混凝土的抗震性研究准确率以及可信度较高,说明本文方法具有一定的可取性。     

Pseudo‐dynamic testing of a concrete gravity dam

Inspired from the simplified single degree of freedom modeling approach used in the preliminary design of concrete gravity dams, a pseudo‐dynamic testing method was devised for the seismic testing of a concrete gravity dam section. The test specimen was a 1/75 scaled section of the 120‐m‐high monolith of the Melen Dam, one of the highest concrete gravity dams to be built in Turkey. The single degree of freedom idealization of the dam section was validated in the first stage of the study using numerical simulations including the dam–reservoir interaction. Afterwards, pseudo‐dynamic testing was conducted on the specimen using three ground motions corresponding to different hazard levels. Lateral displacement and base shear demands were measured. The crack propagation at the base of the dam was monitored with the measurement of the crack widths and the base sliding displacements. After the pseudo‐dynamic loading, a static pushover test was conducted to determine the reserve capacity of the test specimen. Despite major cracking at the base of the monolith, neither significant sliding nor a stability problem that might jeopardize the stability of the dam was observed. Copyright © 2015 John Wiley & Sons, Ltd.     

Earthquake response of concrete arch dams: a plastic–damage approach

There are several alternatives to evaluate seismic damage‐cracking behavior of concrete arch dams, among which damage theory is the most popular. A more recent option introduced for this purpose is plastic–damage (PD) approach. In this study, a special finite element program coded in 3‐D space is developed on the basis of a well‐established PD model successfully applied to gravity dams in 2‐D plane stress state. The model originally proposed by Lee and Fenves in 1998 relies on isotropic damaged elasticity in combination with isotropic tensile and compressive plasticity to capture inelastic behaviors of concrete in cyclic or dynamic loadings. The present implementation is based on the rate‐dependent version of the model, including large crack opening/closing possibilities. Moreover, with utilizing the Hilber–Hughes–Taylor time integration scheme, an incremental–iterative solution strategy is detailed for the coupled dam–reservoir equations while the damage–dependent damping stress is included. The program is initially validated, and then, it is employed for the main analyses of the Koyna gravity dam in a 3‐D modeling as well as a typical concrete arch dam. The former is a major verification for the further examination on the arch dam. The application of the PD model to an arch dam is more challenging because the governing stress condition is multiaxial, causing shear damage to become more important than uniaxial states dominated in gravity dams. In fact, the softening and strength loss in compression for the damaged regions under multiaxial cyclic loadings affect its seismic safety. Copyright © 2013 John Wiley & Sons, Ltd.     

Seismic fragility assessment of concrete gravity dams

Many concrete gravity dams have been in service for over 50 years, and over this period important advances in the methodologies for evaluation of natural phenomena hazards have caused the design‐basis events for these dams to be revised upwards. Older existing dams may fail to meet revised safety criteria and structural rehabilitation to meet such criteria may be costly and difficult. Fragility assessment provides a tool for rational safety evaluation of existing facilities and decision‐making by using a probabilistic framework to model sources of uncertainty that may impact dam performance. This paper presents a methodology for developing fragilities of concrete gravity dams to assess their performance against seismic hazards. The methodology is illustrated using the Bluestone Dam on the New River in West Virginia, which was designed in the late 1930s. The seismic fragility assessment indicated that sliding along the dam–foundation interface is likely if the dam were to be subjected to an earthquake with a magnitude of the maximum credible earthquake (MCE) specified by the U.S. Army Corps of Engineers. Moreover, there will likely be tensile cracking at the neck of the dam at this level of seismic excitation. However, loss of control of the reservoir is unlikely. Copyright © 2003 John Wiley & Sons, Ltd.     

Nonlinear seismic response of tall concrete-faced rockfill dams in narrow canyons

The seismic behavior of tall concrete face rockfill dams in narrow canyons is investigated, based on numerical simulation of the staged construction, creep settlements, reservoir impoundment and seismic shaking of the dam. The study takes into account the flexibility of the canyon rock, the hydrodynamic effects and potential dynamic rockfill settlements. The static analysis uses a hyperbolic model for the rockfill, whereas the dynamic analysis uses a nonlinear hysteretic model, which accounts for the initial dynamic stiffness and produces hysteresis loops in agreement with the experimental data regarding the shear modulus and damping ratio. A damage plasticity model is used for the reinforced concrete, whereas frictional contact behavior is considered at the base and vertical walls of the concrete slab panels. An existing 150-m-high dam is used to investigate some key issues on the seismic behavior of such dams subjected to upstream−downstream and vertical excitation. Emphasis is placed on the evaluation of the tensile stresses within the slab panels, the compressive stresses at the slab-to-slab vertical interfaces and the opening of the joints. Moreover, the effect of potential dynamic settlements on both the slab stresses and joint openings is investigated. Recommendations for increasing the dam safety and reducing the water leakage through the dam body are given.     

Damage evaluation of concrete gravity dams under mainshock–aftershock seismic sequences

A large mainshock may trigger numerous aftershocks within a short period, and large aftershocks have the potential to cause additional cumulative damage to structures. This paper investigates the effects and potential of aftershocks on the accumulated damage of concrete gravity dams. For that purpose, 30 as-recorded mainshock–aftershock seismic sequences are considered in this study, and a typical two-dimensional gravity dam model subjected to the selected as-recorded seismic sequences is modeled. A Concrete Damaged Plasticity (CDP) model including the strain hardening or softening behavior is selected for the concrete material. This model is used to evaluate the nonlinear dynamic response and the seismic damage process of Koyna dam under mainshock–aftershock seismic sequences. According to the characteristics of the cracking damage development, the local and global damage indices are both established to study the influence of strong aftershocks on the cumulative damage of concrete gravity dams. From the results of this investigation, it is found that the as-recorded sequences of ground motions have a significant effect on the accumulated damage and on the design of concrete gravity dams.     

A comparative study of the different procedures for seismic cracking analysis of concrete dams

Different procedures are compared for the three-dimensional seismic cracking analysis of gravity and arch dams during strong earthquakes. The fracture procedures include the extended finite element method with cohesive constitutive relations, crack band finite element method with plastic-damage relations, and the finite element Drucker−Prager elasto-plastic model. These procedures are used to analyze the nonlinear dynamic response of Koyna dam to the 1967 Koyna earthquake and the seismic cracking of the Dagangshan arch dam subjected to design earthquake. The cracking process and profiles of the two dams using the three different procedures are compared. The applicability and the suitability of the three procedures for seismic cracking analysis of gravity and arch dams are discussed.     

Seismic evaluation of concrete dams via continuum damage models

In this paper a general methodology for the analysis of large concrete dams subjected to seismic excitation is outlined. It is valid both for gravity dams (2D representation) and arch dams (3D representation). The method allows for non-linear material behaviour of the dam, ‘transparent fictitious boundaries’ for dealing properly with in-coming and out-going seismic waves, and an efficient procedure to deal with dam-soil-fluid interaction. The mechanical behaviour of concrete is modelled using an isotropic damage model which allows for tension and compression damage, and exhibits stiffness recovery upon load reversals. Emphasis is placed in the treatment of fluid-structure interaction, regarding both formulation and efficiency aspects. A gravity dam and an arch dam are analysed subjected to artificially generated earthquakes of different intensities, and the results are used to study the degree of (un)safety of the dams.     

Earthquake safety assessment of concrete arch and gravity dams

Based on research studies currently being carried out at Dalian University of Technology, some important aspects for the earthquake safety assessment of concrete dams are reviewed and discussed. First, the rate-dependent behavior of concrete subjected to earthquake loading is examined, emphasizing the properties of concrete under cyclic and biaxial loading conditions. Second, a modified four-parameter Hsieh-Ting-Chen viscoplastic consistency model is developed to simulate the rate-dependent behavior of concrete. The earthquake response of a 278m high arch dam is analyzed, and the results show that the strain-rate effects become noticeable in the inelastic range. Third, a more accurate non-smooth Newton algorithm for the solution of three-dimensional frictional contact problems is developed to study the joint opening effects of arch dams during strong earthquakes. Such effects on two nearly 300m high arch dams have been studied. It was found that the canyon shape has great influence on the magnitude and distribution of the joint opening along the dam axis. Fourth, the scaled boundary finite element method presented by Song and Wolf is employed to study the dam-reservoir-foundation interaction effects of concrete dams. Particular emphases were placed on the variation of foundation stiffness and the anisotropic behavior of the foundation material on the dynamic response of concrete dams. Finally, nonlinear modeling of concrete to study the damage evolution of concrete dams during strong earthquakes is discussed. An elastic-damage mechanics approach for damage prediction of concrete gravity dams is described as an example. These findings are helpful in understanding the dynamic behavior of concrete dams and promoting the improvement of seismic safety assessment methods.     

Seismic failure modeling of concrete dams considering heterogeneity of concrete

Study on the failure process of high concrete dams subjected to strong earthquakes is crucial to reasonable evaluation of their seismic safety. Numerical simulation in this aspect involves dynamic failure analysis of big bulk concrete dam subjected to cyclic loading. The Rock Failure Process Analysis (RFPA) proposed by C.A. Tang, with successful applications to failure modeling of rock and concrete specimens mainly subjected to static loading, is extended for this purpose. For using the proposed model, no knowledge on the cracking route needs to be known beforehand, and no remeshing is required. Simulation of the whole process of elastic deformation, initiation and propagation of microcracks, severe damage and ultimate failure of concrete dams in earthquakes with a unified model is enabled. The model is verified through a shaking table test of an arch dam. Finally a practical gravity dam is employed as a numerical example. Considering the uncertainty in ground motion input and concrete material, typical failure process and failure modes of gravity dam are presented. Several small cracks may occur due to tension particularly at dam neck, dam faces and dam heel, and a few of them evolve into dominant ones. Relatively smaller earthquake may cause damage to the dam neck while a bigger one may bring on cracks at lower parts of the dams. Cracking at the dam bottom may incline to a direction almost perpendicular to the downstream face after propagating horizontally for a certain distance when the shaking is strong enough.     

Effects of concrete cracking on the earthquake response of gravity dams

Tensile stresses exceeding the tensile strength of concrete can develop in concrete dams subjected to earthquake ground motion. This study examines the earthquake response of gravity dams including tensile cracking of the concrete. The interaction between the dam and compressible water is included in the analysis using a numerical procedure for computing the non-linear dynamic response of fluid-structure systems. The crack band theory is used to model tensile cracking with modifications to allow for the large finite elements necessary for dam analysis. The earthquake response of a typical gravity dam monolith shows that concrete cracking is an important non-linear phenomenon. Cracking is concentrated near the base of the dam and near the discontinuities in the face slope. The extensive cracking, which develops due to ground motion typical of maximum credible earthquakes, may affect the stability of dams during and after strong earthquakes.     

Seismic failure modeling of concrete dams considering heterogeneity of concrete

Study on the failure process of high concrete dams subjected to strong earthquakes is crucial to reasonable evaluation of their seismic safety. Numerical simulation in this aspect involves dynamic failure analysis of big bulk concrete dam subjected to cyclic loading. The Rock Failure Process Analysis (RFPA) proposed by C.A. Tang, with successful applications to failure modeling of rock and concrete specimens mainly subjected to static loading, is extended for this purpose. For using the proposed model, no knowledge on the cracking route needs to be known beforehand, and no remeshing is required. Simulation of the whole process of elastic deformation, initiation and propagation of microcracks, severe damage and ultimate failure of concrete dams in earthquakes with a unified model is enabled. The model is verified through a shaking table test of an arch dam. Finally a practical gravity dam is employed as a numerical example. Considering the uncertainty in ground motion input and concrete material, typical failure process and failure modes of gravity dam are presented. Several small cracks may occur due to tension particularly at dam neck, dam faces and dam heel, and a few of them evolve into dominant ones. Relatively smaller earthquake may cause damage to the dam neck while a bigger one may bring on cracks at lower parts of the dams. Cracking at the dam bottom may incline to a direction almost perpendicular to the downstream face after propagating horizontally for a certain distance when the shaking is strong enough.     

大坝抗震安全性研究进展

论证了广大坝抗震安全性研究的实践与发展现状。目前大坝在地震作用下的应力与变形分析方法主要有拟静力法和动力响应分析法,并依据大坝混凝土的抗拉强度判断大坝的安全性;各国规范体现的抗震设防弹念和大坝材料的容许应力差别很大。坝址河谷不同高程处地震动状态不尽相同、河谷两恻同一高程处地震动也不一样。混凝土材料的强度与加载速度、应变速率有关;地震时大坝不同部位的应变速率不相同、同一部位的应变速率也随时间变化;混凝土的动态强度既与应变速率有关。也与应变历史等其它因素有关。大坝河谷地震动的输入机理和模型研究、混凝土的动态强度的变化规律探索、大坝抗震安全性评价准则的完善与创新等将有待深入。通过以上内容针对性分析,提出了大坝抗震评价的一些合理建议、方法以及进一步的研究方向。     

SV波斜入射下混凝土重力坝易损性分析

易损性分析是评估不同强度地震作用下混凝土重力坝各级破坏概率的有效方法。目前重力坝易损性分析通常假定地震波为垂直入射,然而在近断层区域,地震波往往是倾斜入射的,地震波斜入射对重力坝地震响应有显著影响。从太平洋地震工程研究中心数据库选取16条地震动记录,采用黏弹性人工边界结合等效节点荷载实现SV波斜入射波动输入。采用增量动力分析方法对地震动峰值加速度进行调幅,以印度Koyna混凝土重力坝为研究对象,以坝顶相对位移为抗震性能指标,建立SV波斜入射下重力坝不同震损等级的易损性曲线。结果表明,与垂直入射相比,相同震损等级和相同地震动强度下,斜入射时重力坝破坏概率减小;当PGA接近重力坝实际遭受的地震动强度时,入射角为15°和30°时破坏概率与垂直入射相比最大减小率分别为27.3%和68.2%;各地震强度下,15°和30°斜入射相对于垂直入射的破坏概率差异值最大分别达36.6%、83.9%。因此,混凝土重力坝抗震性能分析应考虑地震波斜入射的影响。研究结果也可为近断层区域混凝土重力坝安全风险评估提供参考。     

Seismic stability of concrete gravity dams strengthened by rockfill buttressing

Rockfill buttressing resting on the downstream face of masonry or concrete gravity dam is often considered as a strengthening method to improve the stability of existing dam for hydrostatic and seismic loads. Simplified methods for seismic stability analysis of composite concrete-rockfill dams are discussed. Numerical analyses are performed using a nonlinear rockfill model and nonlinear dam-rockfill interface behavior to investigate the effects of backfill on dynamic response of composite dams. A typical 35 m concrete gravity dam, strengthened by rockfill buttressing is considered. The results of analyses confirm that backfill can improve the seismic stability of gravity dams by exerting pressure on the dam in opposition to hydrostatic loads. According to numerical analyses results, the backfill pressures vary during earthquake base excitations and the inertia forces of the backfill are the main source for those variations. It is also shown that significant passive (or active) pressure cannot develop in composite dams with a finite backfill width. A simplified model is also proposed for dynamic analysis of composite dam by replacing the backfill with by a series of vertical cantilever shear beams connected to each other and to the dam by flexible links.     

Non-linear seismic response of arch dams

An experimental study of non-linear mechanisms that may occur during intense seismic response of arch dams is described in this paper. The presentation deals with three types of non-linearity that were observed during shaking table model studies: monolith joint opening, cantilever cracking, and reservoir cavitation at the dam face. The monolith joint opening phenomenon was represented by a segmental arch ring model that simulated a horizontal slice of a prototype dam. The cantilever cracking and reservoir cavitation mechanisms were studied using a model gravity dam section. The principal conclusion of the investigation was that shaking table experiments provide a practical means of studying the non-linear earthquake response of concrete arch dams, including their actual failure mechanisms.     

The effects of strong motion duration on the dynamic response and accumulated damage of concrete gravity dams

Strong motion duration is one of the challenging characteristics of ground motion, which affects the cumulative damage of structures significantly. Many researchers have conducted investigations related to the effects of strong motion duration on the response of building structures. However, the corresponding studies of concrete gravity dams are limited. In this paper, the effects of strong motion duration on the accumulated damage of concrete gravity dams are investigated. A Concrete Damaged Plasticity (CDP) model including the strain hardening or softening behavior is selected for the concrete material. This model is used to evaluate the nonlinear dynamic response and seismic damage process of Koyna dam during 1976 Koyna earthquake. Subsequently, the damage analyses of Koyna dam subjected to earthquake motions with different strong motion durations are performed. 20 as-recorded accelerograms, which are modified to match a 5% damped target spectrum, are considered in this study. Strong motion durations are obtained based on the definition of significant duration. According to the characteristics of the cracking damage development, both local and global damage indices are established as the response parameters. The results show that strong motion duration is positively correlated to the accumulated damage for events with similar response spectrum, and has significant influence on the cumulative damage of the dam. Longer duration will lead to greater accumulation damage to which aseismic design of the dam should be given attention.     

Seismic performance sensitivity and uncertainty analysis of gravity dams

Uncertainties in structural engineering are often arising from the modeling assumptions and errors, or from variability in input loadings. A practical approach for dealing with them is to perform sensitivity and uncertainty analysis in the framework of stochastic and probabilistic methods. These analyses can be statically and dynamically performed through nonlinear static pushover and IDA techniques, respectively. Of the existing structures, concrete gravity dams are infrastructures which may encounter many uncertainties. In this research, probabilistic analysis of the seismic performance of gravity dams is presented. The main characteristics of the nonlinear tensile behavior of mass concrete, along with the intensity of earthquake excitations are considered as random variables in the probabilistic analysis. Using the tallest non‐overflow monolith of the Pine Flat gravity dam as a case study, its response under static and dynamic situations is reliably examined utilizing different combinations of parameters in the material and the seismic loading. The sensitivity analysis reveals the relative importance of each parameter independently. It will be shown that the undamaged modulus of elasticity and tensile strength of mass concrete have more significant roles on the seismic resistance of the dam than the ultimate inelastic tensile strain. In order to propagate the parametric uncertainty to the actual seismic performance of the dam, probabilistic simulation methods such as Monte Carlo simulation with Latin hypercube sampling, and approximate moment estimation techniques will be used. The final results illustrate the possibility of using a mean‐parameter dam model to estimate the mean seismic performance of the dam. Copyright © 2014 John Wiley & Sons, Ltd.