A 3D NONLINEAR DYNAMIC ANALYSIS OF A ROCK-FILL DAM BASED ON IZIIS SOFTWARE VIOLETA J. MIRCeVSKfl, VLADIMIR BICKOVSKI and MIHAIL GAREVSKI About the authors Violeta J. Mircevska University "St. Cyril and Methodius", Institute of Earthquake Engineering and Engineering Seismology, Salvador Aljende 73, P.O. Box101, 1000 Skopje, Macedonia E-mail: violeta@pluto.iziis.ukim.edu.mk Vladimir Bickovski University "St. Cyril and Methodius", Institute of Earthquake Engineering and Engineering Seismology, Salvador Aljende 73, P.O. Box101, 1000 Skopje, Macedonia E-mail: bickovski@pluto.iziis.ukim.edu.mk Mihail Garevski University "St. Cyril and Methodius", Institute of Earthquake Engineering and Engineering Seismology, Salvador Aljende 73, P.O. Box101, 1000 Skopje, Macedonia E-mail: garevski@pluto.iziis.ukim.edu.mk Abstract This paper treats the 3D nonlinear dynamic behavior of a rock-fill dam based on the Mohr-Coulomb failure criterion. The dam is situated in a steep, narrow, "V-shaped" rigid canyon. The concept of a massless rock foundation is treated, for which a certain part of the rock is included in the model. The dam-rock interface was modeled by contact elements, which allowed certain relative displacements between the two media of different stiffnesses. The generation of the 3D mathematical model was related to the topology of the terrain, and the nonlinear dynamic response was based on the "step-by-step" linear-acceleration direct-integration method, making use of the Wilson-9 method. The convergence process was in accordance with the Newton-Raphson method. First, the initial static effective stresses existing in the conditions of the established stationary filtration through the clayey core were defined. The analysis was based on an original FE program for the static and dynamic analyses of rock-fill dams, as well as a FE program for the solution of the stationary filtration process through the clayey core. The dynamic response of the 3D model of the dam was defined for the effect of harmonic excitations. Dynamic analyses in the linear and nonlinear domains were performed for the purpose of comparing the results. The time histories of the linear and nonlinear responses were defined for selected sections and nodes of the model, the tension cutoff zones, the plastic deformations, and the stress-shear strain relationships. The coefficient against the sliding of the potential sliding surfaces was also defined. It can be concluded that 3D analyses as well as a nonlinear material treatment of the soils built in the dam are imperative for a proper assessment of the stability of rock-fill dams situated in narrow canyons. Keywords automatic generation of 3D model, rock-fill dam, nonlinear dynamic analysis, elastic perfectly plastic criterion, tension cutoff, cracking zones, plastic deformations, stability 1 introduction This paper treats the 3D nonlinear dynamic response of a rock-fill dam with a central clayey core based on the application of the Mohr-Coulomb linear elasto-plastic criterion [4],[5]. The associated flow rule is accepted for the clay in the core, for which the failure criterion and the yielding surface are identical. In this case the shape of the yielding surface in the High-Westergaard's space is dependent only on the model's plasticity parameters, C and f. The non-associated flow rule is accepted for the filters and the stone detritus, for which in addition to the yield function the plastic potential function is treated. The plastic potential is a function of the third plasticity parameter, the dilatancy angle f, used to control the inelastic volume increase as a result of the compressive stress increase after achieving the failure state. ACTA GeOTeCHNICfi SLOVENICA, 2007/2 17. V. J. MIRCGVSKfl & ET AL.: A 3D NONLINEAR DYNAMIC ANALYSIS OF A ROCK-FILL DAM BASED ON IZZIS SOFTWARE The Mohr-Coulomb parameters can be evaluated by conventional laboratory tests, which makes their application easier. In fact, owing to its extreme simplicity and good accuracy, the Mohr-Coulomb linear elas-tic-perfectly plastic criterion [3],[4],[5] combined with the principle of tension cut-off [6] is used to predict the nonlinear behavior of the soils built in the dam, during the dynamic response. However, this failure criterion has two main shortcomings [5]. First, it assumes that the intermediate principal stress has no influence on the failure, which gives an unrealistic estimation of the shear strength under general loading conditions (except for triaxial compression conditions). This can, however, be overcome by the use of the SMP criterion [9]. The second disadvantage is that the meridians of the yielding surface are straight lines, which implies that the strength parameter f does not change with the confining pressure, just like most of the other nonlinear methods for analyses [11],[12],[13],[14]. However, these two effects have an opposite impact to the shear strength: while with an increase in the confining pressure, the parameter f decreases, and thus the shear strength decreases, the intermediate principal stress tends to increase the shear strength. Very little has been done to reveal the dynamic behavior of rock-fill dams in typical 3D conditions, [16],[17],[18], [19],[20],[21], from the practical point of view. The analyses based on use of the QUAD-4 or FLUSH programs and their later modifications are of the shear-beam type, i.e., they do not define the residual displacements of the dam after the dynamic effect. During the dynamic effects, the developed tensile stresses can be sustained only by the clayey core of the rock-fill dams due to the cohesive properties of the clay. The development of fine cracks and the definition of the tension cut-off zones in the clayey core during the dynamic response of the dam are important for an evaluation of the dam's stability. The contact elements are used to model more realistically the dam-rock interface, in this way preventing an unrealistic increase in the tensile stresses at the dam-rock interface and in the parts of the dam close to the support. The role of the contact elements interposed between the rock and the dam is to permit a smoother transition of the stresses in the zone of contact, allowing some differential movements in compliance with Coulomb's friction law and in accordance with the experimentally defined values of the frictional parameters C and f at the dam-rock interface. In the presented analysis the effect of the dam-foundation dynamic interaction is represented by the use of the most simple, conventional massless-foundation method (Wilson, 2002). Accordingly, only the effect of the foundation's flexibility is considered, while the inertia forces within the foundation's mass are neglected. Due to the absence of any wave propagation the earthquake motion that is applied directly at the fixed boundaries is transmitted to the base of the dam without any changes. The massless concept requires the foundation's mass to be extended at least one dam height in the upstream, downstream and downward directions. The size of the massless foundation need not be very large, so long as it provides a reasonable estimate of the flexibility of the foundation rock and sufficient elimination of the boundary conditions' effect on the deformation, the stresses and the natural frequencies of the dam. The distribution of stresses and strains in the dam body is directly affected by the profile of the canyon where the dam is situated. If a rock-fill dam is built in a narrow, ''V'-shaped" canyon, then only the sections in the central part act in plane-strain conditions. The closer the sections are to the abutments, the greater is the influence of the boundary conditions on the distribution of stresses and strains in these sections. This results in a deviation from plane-strain state conditions, followed by a decreased intensity of the spherical stress and hence a reduced shear resistance of the soil in these parts of the dam. Therefore, the behavior and the assessment of the stability of the central section based on a plain-strain analysis cannot be representative of the stability of the whole of the dam. The application of the 3D mathematical model that should be, from an engineering point of view, an appropriate and correct approximation of the real structure becomes a necessity. It is because of this that an original methodology and computer program for automatic generation was implemented, whereby the 3D model is connected with the contour lines of the terrain. We have elaborated our own computer program, PROC3DN, for 3D static and dynamic analyses of earth-fill dams and geotechnical structures, theoretically based on [1],[2], as well as on the application of the MohrCoulomb failure criterion [3],[4],[5].[6]. 2 automatic generation of the 3d model of the dam The automatic generation of 3D mathematical models requires a database on the topology of the terrain in the immediate vicinity of the dam's foundation, the projected position of the axis of the dam's crest at the base, Fig. 2, and the shape of the main central cross-section, Fig. 1. 20. ACTA GEOTECHNICfi SLOVENICA, 2007/2 V. J. MIRCGVSKfl & ET AL.: A 3D NONLINEAR DYNAMIC ANALYSIS OF A ROCK-FILL DAM BASED ON IZZIS SOFTWARE The height of the dam is 127 m, which puts it in the category of high dams. The length of the dam along the crest axis is 300 m, the crest width is 10 m, and the maximum width of the base is 496 m. The clayey core has a width of 6 m at the crest and a width of 63 m at the foundation. The clayey core is founded on rock (schist). The inclinations of the upstream and downstream slopes are 1:2.2 and 1:2.0, respectively. At each altitude the coordinates of the characteristic intersection points with the boundary lines of the plain model are defined (see Fig. 1). Drawn through these points are the straight lines parallel to the dam's crest axis. In this way the sections of the dam's body with the terrain at each altitude are obtained. A cumulative presentation of the selected horizontal cross-sections that are used for a definition of the 3D mathematical model is given in Fig. 2. The adopted 3D mathematical model, Fig. 3, has a total of 212 substructures in the dam body and 290 substructures in the rock's mass, Fig.5, 6250 external substructures' nodes, 2122 internal substructures' nodes and 2200 matrix band. The volume of the built-in clayey core is 0.338 ■ 106 m3, while those of the filtration layers and the rock infill are 0.223 ■ 106 m3 and 2.7 ■ 106 m3, respectively. The dead weight of the entire structure is G = 7.2 ■ 107 kN. Figure 2. Plan view of the dam site with contour lines and an indication of the sections considered in the analysis. 20. ACTA GEOTECHNICfi SLOVENICA, 2007/2 V. J. MIRCGVSKfl & ET AL.: A 3D NONLINEAR DYNAMIC ANALYSIS OF A ROCK-FILL DAM BASED ON IZZIS SOFTWARE Figure 3. 3D model of the substructures adopted for the analysis. Figure 4. Perspective view of the dam and the terrain. 20. ACTA GEOTECHNICfi SLOVENICA, 2007/2 V. J. MIRCGVSKfl & ET AL.: A 3D NONLINEAR DYNAMIC ANALYSIS OF A ROCK-FILL DAM BASED ON IZZIS SOFTWARE Figure 5. Rock massless model, section Yl=150 m. 3 dynamic response of the dam The dynamic response of the earth-fill dam is determined by applying the methods of modal analysis as well as by "step-by-step" direct integration, the linear acceleration method, and using linear and nonlinear analyses [7]. Within the frames of each finite element, the Newton-Raphson iterative procedure is applied in order to eliminate the vector of excessive stresses, i.e., the corresponding residual forces defined in accordance with the Mohr-Coulomb failure criterion. The main phases are as follows: solved within the frames of each i-th time step, and each iteration, is the incremental differential equation of dynamic equilibrium [8], with the following form: M**AU, + C**AU, + K**AU, = AP, ** (1) Applying the substructure technique, the differential equation of motion refers only to the external nodes of the model. Defined in this way are the incremental vectors of displacement, the velocity and the acceleration at the external nodes of the system. The matrices and vectors indicated by two stars refer to the external nodes of the substructures. The dynamic response at the end of each time step is defined by summing up the dynamic response from the beginning of the time step and the effect from the iterations performed in it. U„ = U0 AUi U n = U0 +J2 A Ui i=1 i=1 n U = U0 +VAUi n = 1, iter ,=i (2) where iter is the number of iterations within the frames of each time step, U0,U0,U0 are the initial vectors of displacement, velocity and acceleration, and A U0, A U0, A U0 are the corresponding incremental vectors. Using the incremental displacement vector, within each iteration we define the vector of incremental strains and the corresponding vector of incremental stresses for each finite element as follows: " n e = £o n rn Figure 17. Snapshot T=2.58 sec. Extreme cracking zone in the section. 24. ACTA GeOTeCHNICA SLOVENICA, 2007/2 V. J. MIRCGVSKfl & ET AL.: A 3D NONLINEAR DYNAMIC ANALYSIS OF A ROCK-FILL DAM BASED ON IZZIS SOFTWARE size of tensile strains ranges size of tensile strains ranges 0.0050 - 0.0030 size of tensile strains ranges 0.0100 - 0.0050 size of tensile strains ranges size of tensile strains ranges Figure 18. Snapshot T=2.66 sec. Extreme cracking zone in the section. acknowledgement references The authors wish to express their gratitude to the Ministry of Education and Science of the Republic of Macedonia for its partial financial support of the research activities in the course of the creation of the computer program. [1] Bathe K.J. and Wilson, E.L. (1976). Numerical Methods in Finite Element Analysis. Prentice-Hall, Inc. Englewood cliffs, New Jersey. [2] Bathe, K.J.(1982). Finite Element Procedures in Engineering Analysis. Prentice-Hall, Inc. Engle-wood cliffs, New Jersey. [3] Duncan, J.M. and Chang, C.Y. (1970). Nonlinear Analysis of Stress and Strain in Soils. Journal of Soil Mech. and Foundations Div. 96, SM5, 1629-1653. [4] Owen, D.R.J. and Hinton, E. (1980). Finite Elements in Plasticity: Theory and Practice. Pineridge Press, Swansea, U.K. [5] Wai-Fan-Chen and Atef F. Saleeb (1982). Constitutive Equations for Engineering Materials: Vol. 1 Elasticity and Modeling. John Wiley&Sons. 20. ACTA GEOTECHNICfi SLOVENICA, 2007/2 V. J. MIRCGVSKfl & ET AL.: A 3D NONLINEAR DYNAMIC ANALYSIS OF A ROCK-FILL DAM BASED ON IZZIS SOFTWARE [6] Wilson, E.L. and Clough, R.W. (1962). Dynamic Response of Step-by-step Matrix Analysis. Proc. of the Symposium on the use of Computers in Civil Engineering, Portugal. [7] Clough, R.W. (1969). Analysis of Structural Vibrations and Dynamic Response. Japan-U.S. Seminar on Matrix Methods of Structural Analysis and Design, Japan. [8] Paz, M. (1980). Structural Dynamics, Theory and Computation. Van Nostrand Reinhold Company, New York. [9] Gazetas, G. and Dakoulas, P. (1992). Seismic Analysis and Design of Rockfill Dams: State of the Art. Soil Dynamics and Earthquake Engineering 11, 1, 27-61. [10] Khoei, A.R., Azami, A.R., and.Haeri, S.M. (2004). Implementation of Plasticity Based in Dynamic Analysis of Earth and Rockfill Dams: A Comparison of Pastor-Zienkiewicz and Cap Models. Computers and Geotechnics 31, 5, 384-409. [11] Idriss, I.M., Lysmer, J., Hwang, R., and Seed, H.B. (1983). Quad-4 a Computer Program for Evaluating the Seismic Response of Soil-Structure by Variable Damping Finite Element Procedures. Report No. EERC 73-16. Univ. of California, Berkeley. [12] Gazetas, G. (1987). Seismic response of earth dams: some recent developments. Soil Dynamics and Earthquake Engineering, State of Art, 6, 1, 2-47. [13] Prevost, J.H., Abdel - Ghaffar, A.M., and Lacy, S.J. (1985). Nonlinear dynamic analysis of earth dam: comparative study. Journal of Geotech. Eng. 111, 7, 882-897. [14] Finn, W.D.L., Yogendrakumar, M.,Yoshida, N., and Yoshida, H. (1986). TARA - 3: A Program to Compute the Response of 2D Embankments and Soil-Structure Interaction Systems to Seismic : Loading. Univ. of British Columbia, Vancouver, Canada. [15] Finn, W. D. L. (2000). State-of-the-art of geotechni-cal earthquake engineering practice. Soil Dynamics and Earthquake Engineering 20, 1-4, 1-15. [16] Zienkiewicz, O.C., Leung, K.H., and Hintom, E. (1980). Earth Dam Analysis for Earthquakes: Numerical Solutions and Constitutive Relations for Non-linear (Damage) Analysis. Design of Dams to Resist Earthquakes, ICE, London, 141-156. [17] Abdel-Ghaffar, A.M. and Elgamal, A.W.M. (1987). Elasto-plastic Seismic Response of 3-D Earth Dams: Theory and Application. Journal of Geotechnical Engineering 113, 11, 1293-1325. [18] Dokoulas, P. (1990). Nonlinear Response of Dams Founded on Alluvial Deposit in Narrow Canyons. JSDEE, 9, 6, 301-312. [19] Hayashi, M., Komada, H., and Fujiwara, Y. (1973). Three Dimensional Dynamic Response and Earthquake Resistant Design of Rock-fill Dam against Input Earthquake in Direction of Dam Axis. Proceedings of the 5th World Conference on Earthquake Eng., Rome. [20] Mejia, L.H., and Seed, H.B. (1983). Comparison of 2D and 3D Dynamic Analysis of Earth Dams. Journal of Geotechnical Eng. 109, 11, 1383-1398. 20. ACTA GEOTECHNICfi SLOVENICA, 2007/2