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.     

A RATE-DEPENDENT ISOTROPIC DAMAGE MODEL FOR THE SEISMIC ANALYSIS OF CONCRETE DAMS

In this paper a rate-dependent isotropic damage model developed for the numerical analysis of concrete dams subjected to seismic excitation is presented. The model is shown to incorporate two features essential for seismic analysis: stiffness degradation and stiffness recovery upon load reversals and strain-rate sensitivity. The issue of mesh objectivity is addressed using the concept of the ‘characteristic length’ of the fracture zone, to show that both the softening modulus and the fluidity parameter must depend on it to provide consistent results as the computational mesh is refined. Some aspects of the numerical implementation of the model are also treated, to show that the model can be easily incorporated in any standard non-linear finite element code. The application of the proposed model to the seismic analysis of a large gravity concrete dam shows that the structural response may vary significantly in terms of the development of damage. The inclusion of rate sensitivity is able to reproduce the experimental observation that the tensile peak strength of concrete can be increased up to 50 percent for the range of strain rates that appear in a structural safety analysis of a dam subjected to severe seismic actions.     

基于Marc二次开发实现粘弹性人工边界和振型分解反应谱法

新版《水电工程水工建筑物抗震设计规范》（NB35047-2015）中规定:"抗震设防类别为甲类的混凝土坝应考虑远域地基的辐射阻尼效应"。针对通用商业有限元软件Marc在振型分解反应谱法中的不足,且缺少时程分析法中模拟地基辐射阻尼效应的粘弹性人工边界,采用Fortran语言编制相应的独立程序及二次开发程序,以便在Mrac软件中精确实现新规范要求下的混凝土坝抗震安全评价。数值算例和工程实例分析结果验证了基于Marc二次开发实施思路和自编程序的正确性;重力坝抗震薄弱部位主要为坝体断面突变处,考虑无限地基的辐射阻尼效应后,坝体地震动力响应明显下降。     

考虑坝体材料非线性的混凝土拱坝地震反应分析

本文基于可信概率水准的破坏性强震作用,针对小湾高拱坝进行了考虑坝体材料非线性的拱坝地震反应分析。在分析模型中,同时考虑了无约束域地震能量辐射效应和近域地基材料非均匀性的影响。为了实现非线性条件下的静、动力组合分析,利用显式有限元结合修正的黏弹性人工边界的开放系统时域静、动力统一分析方法进行了求解,对在自重作用下的初始静力解计算采用了动力松弛技术。     

Seismic assessment of concrete gravity dams using capacity estimation and damage indexes

A new concept to determine state of the damage in concrete gravity dams is introduced. The Pine Flat concrete gravity dam has been selected for the purpose of the analysis and its structural capacity, assuming no sliding plane and rigid foundation, has been estimated using the two well‐known methods: nonlinear static pushover (SPO) and incremental dynamic analysis (IDA). With the use of these two methods, performance and various limit states of the dam have been determined, and three damage indexes have been proposed on the basis of the comparison of seismic demands and the dam's capacity. It is concluded that the SPO and IDA can be effectively used to develop indexes for seismic performance evaluation and damage assessment of concrete gravity dams. Copyright © 2012 John Wiley & Sons, Ltd.     

基于IDA的金安桥混凝土重力坝潜在失效模式研究

为了研究混凝土重力坝在地震动荷载作用下的潜在失效模式,以金安桥碾压混凝土重力坝5号非溢流坝段为例,运用粘弹性边界法和流固耦合法建立了反映重力坝在地震动作用下动力响应特征的坝体-地基-库水抗震分析模型。基于增量动力分析（IDA）法:绘制了以相对位移转角为x轴（损伤指标,DM）和峰值地面加速度为y轴（强度指标,IM）的IDA曲线簇;分析了金安桥大坝在极端荷载作用下的潜在失效模式和其在不同峰值地面加速度下重力坝的损伤破坏过程。结果表明:金安桥大坝在地震动荷载作用下,可能发生功能失效的地方多出现在坝体折坡处、碾压分区交界处、坝踵与坝基交界处、廊道顶等应力集中处。因此,加强对这些区域的抗震防护有利于提高大坝整体的抗震水平。     

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.     

A continuum damage concrete model for earthquake analysis of concrete gravity dam–reservoir systems

In this study, the earthquake damage response of the concrete gravity dams is investigated with considering the effects of dam–reservoir interaction. A continuum damage model which is a second-order tensor and includes the strain softening behavior is selected for the concrete material. The mesh-dependent hardening technique is adopted such that the fracture energy dissipated is not affected by the finite element mesh size. The dynamic equilibrium equations of motion are solved by using the improved form of the HHT-α time integration algorithm. Two dimensional seismic analysis of Koyna gravity dam is performed by using the 1967 Koyna earthquake records. The effects of damage on the earthquake response of concrete gravity dams are discussed. Comparison of the Westergaard and Lagrangian dam–reservoir interaction solutions is made. The effects of viscous damping ratio on the damage response of the dam are also studied.     

Effects of near-fault and far-fault ground motions on nonlinear dynamic response and seismic damage of concrete gravity dams

As the forward directivity and fling effect characteristics of the near-fault ground motions, seismic response of structures in the near field of a rupturing fault can be significantly different from those observed in the far field. The unique characteristics of the near-fault ground motions can cause considerable damage during an earthquake. This paper presents results of a study aimed at evaluating the near-fault and far-fault ground motion effects on nonlinear dynamic response and seismic damage of concrete gravity dams including dam-reservoir-foundation interaction. For this purpose, 10 as-recorded earthquake records which display ground motions with an apparent velocity pulse are selected to represent the near-fault ground motion characteristics. The earthquake ground motions recorded at the same site from other events that the epicenter far away from the site are employed as the far-fault ground motions. The Koyna gravity dam, which is selected as a numerical application, is subjected to a set of as-recorded near-fault and far-fault strong ground motion records. The Concrete Damaged Plasticity (CDP) model including the strain hardening or softening behavior is employed in nonlinear analysis. Nonlinear dynamic response and seismic damage analyses of the selected concrete dam subjected to both near-fault and far-fault ground motions are performed. Both local and global damage indices are established as the response parameters. The results obtained from the analyses of the dam subjected to each fault effect are compared with each other. It is seen from the analysis results that the near-fault ground motions, which have significant influence on the dynamic response of dam–reservoir–foundation systems, have the potential to cause more severe damage to the dam body than far-fault ground motions.     

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.     

A unified approach for long-term behavior and seismic response of AAR-affected concrete dams

Concrete dams suffering from alkali-aggregate reaction (AAR) exhibit swelling and deterioration of concrete or even cracking over a long period. The deterioration of concrete may significantly affect the dynamic behavior of the structures, and it is necessary to estimate seismic safety of the deteriorated dams subjected to strong earthquakes. A unified approach is presented in this paper for long-term behavior and seismic response analysis of AAR-affected concrete dams by combining AAR kinetics, effects of creep and plastic-damage model in the finite element method. The proposed method is applied to a gravity dam and an arch dam. The long-term behavior of the AAR-affected dams is first predicted in terms of anisotropic swelling, spatially non-uniform deterioration of concrete, and cracking initiation and propagation with the development of AAR. The seismic response of the deteriorated dams is subsequently analyzed based on the state of the structures at the end of the long-term analysis. The AAR-induced expansion displacements obtained from the proposed method are in good agreement with the measured ones in the long-term operation. The simulated cracking patterns in the dams caused by the continuing AAR are also similar to the field observation. The results from the seismic analysis show that AAR-induced deterioration of concrete and cracking may lead to more severe damage cracking in the dams during earthquake. The dynamic displacements are also increased compared with the dams that are not suffering from AAR. The seismic safety of the AAR-affected concrete dams is significantly reduced because of the AAR-induced deterioration of concrete and cracking.     

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。     

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.     

拱坝非线性地震反应分析

以乌东德拱坝为对象,进行了拱坝非线性地震反应分析。结果表明:坝体损伤区域明显大于坝体混凝土按线弹性材料计算时最大主应力超过抗拉强度的区域,说明传统方法低估了拱坝的开裂范围,偏于危险;考虑基岩的非线性后,坝体损伤总体上要有所减小;坝基岩体剪胀角对坝基岩体的屈服和坝体混凝土的损伤都有影响,但是规律不明确,因此应该进行基岩剪胀角的敏感性分析。     

An application of damage mechanics for seismic analysis of concrete gravity dams

This paper discusses the local approach of fracture using damage mechanics concepts to evaluate the seismic response of concrete gravity dams. A constitutive model for plain concrete, subjected to tensile stresses, is presented. The mesh-dependent hardening technique is adopted such that the fracture energy dissipated is not affected by the finite element mesh size. The model is implemented in conjunction with the Hilber, Hughes Taylor alpha algorithm for time marching. Koyna dam is utilized to validate the proposed formulation. The importance of initial damage prior to the advent of an earthquake is also investigated. A 60 m concrete gravity dam is therefore selected and subjected to ground motion typical of eastern North America. Five scenarios of initial damage are presented and the results confirm the importance of accounting for the initial state for the seismic safety evaluation of an existing dam.     

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.     

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.     

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 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.     

考虑拦污栅-坝体相互作用的混凝土重力坝抗震安全性分析

对考虑拦污栅-坝体的动力相互作用的弹性连接和刚性连接的拦污栅-坝体以及不作耦联分析的拦污栅-坝体这三种不同模型结构形式的动力特性和动力响应进行了比较分析。研究发现,拦污栅的不同模型结构形式对大坝的抗震安全性分析有重要影响,考虑拦污栅-坝体的动力相互作用后,坝体损伤开裂的程度明显加大,坝顶的水平位移响应也明显提高。按《规范》规定的对拦污栅和坝体不作耦联分析的抗震计算方法,所得结果对坝体是偏于不安全的,而如考虑拦污栅-坝体之间的弹性连接,所得结果则是偏于安全的。