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2012 International Conference on Modern Hydraulic Engineering

Stability Analysis of Concrete Gravity Dam Foundation

Based on Catastrophe Model of Plastic Strain Energy
Bao Teng-feia,b,c, Xu Miaoa,b,c, Chen Lana, a*
a
College of Water Conservancy and Hydropower, Hohai University, Nanjing 210098, China； E-mail: xumiaohhu@163.com
b
State Key Laboratory of Simulation and Regulation of Water Cycle in River Basin, China Institute of Water Resources and
Hydropower Research, Beijing 100038, China.
c
State Key Laboratory of Hydrology-Water Resources and Hydraulic Eng., Hohai Univ., Nanjing 210098, China.

Abstract

A catastrophe model of plastic strain energy based on strength reduction factor was established. Then the model was
applied to the sliding stability analysis of a concrete gravity dam. The results show that the catastrophe model of
plastic strain energy can solve the issue of the dam stability analysis well. And the result of the catastrophe model is
more accurate than that of the displacement catastrophe criterion based on displacement curves. The strength
reduction is used to analyze the anti-sliding stability safety of a concrete gravity dam with the water depth of 100m
upstream and 0m downstream. By catastrophic model of plastic strain energy, anti-sliding stability safety coefficient
of this dam can be accurately determined to be 1.4.
© 2012 Published by Elsevier Ltd. Selection and/or peer-review under responsibility of Society for Resources,
© 2011 Published by Elsevier Ltd.
Environment and Engineering Open access under CC BY-NC-ND license.
Keywords: gravity dam; anti-sliding stability; plastic strain energy; catastrophe model; horizontal displacement

1. Introduction

The analysis of dam foundation stability against sliding of a gravity dam has been an important
security issue [1]. Among the practical projects, there were few dam sites with excellent geologic
conditions, and most gravity dam sites exist geological defects of different degree. At present, the scales
of planned or under-construction high concrete gravity dam became larger and larger and the geological
conditions of the dam are very complex, so the study of dam foundation stability against sliding has

* Corresponding author: Xu Miao. Tel.: +86-13770683410.

E-mail address: xumiaohhu@163.com

1877-7058 © 2012 Published by Elsevier Ltd. Selection and/or peer-review under responsibility of Society for Resources, Environment and Engineering
Open access under CC BY-NC-ND license. doi:10.1016/j.proeng.2012.01.817
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important significance. The analysis methods of the gravity dam stability against sliding were the rigid
limit equilibrium method [2, 3], the finite element method [4, 5], the geological mechanics model test
method and the reliability analysis method. Because the geological mechanics model method existed a
few problems (such as heavy workload, high cost), and the limit state function was established in
reliability analysis method, while the calculation was difficult and the accuracy was relatively low, the
most commonly used methods were the rigid limit equilibrium method and the finite element analysis
method. But both of them had some shortcomings. The rigid limit equilibrium method with the uniform
stability criterion can obtain stability safety factor of a single sliding surface and a double oblique sliding
surface, but in the derivation of double oblique sliding surface formula, the traditional method involves
many assumptions that had certain effect on the calculation. The finite element method had higher
computational precision, but there was a lack of uniform stability safety criterion, so the stability was
decided with large subjectivity. Therefore, it’s necessary to research the stability criterion of the finite
element method. In this paper, we studied the stability safety criterion for the finite element analysis of a
gravity dam by catastrophe model of plastic strain energy, which was established by the catastrophe
theory and the dissipation theory [6-11]. With this method, the anti-sliding stability of the concrete
gravity dam foundation was analyzed.

2. Cusp catastrophe model

Cusp catastrophe was also known as Riemann-Hugoniot catastrophe. Its potential function is a two-
parameter function (two control variables). The model can be expressed as follow:
V(x)=x4+ux2+v (1)
Where x is state variable and u and v are control variables.Let V’(x) = 0, the equation of critical point
is obtained:
4x3+2ux+v=0 (2)
(The critical point set that get from eq. (2)), is called equilibrium surface M.

Fig.1. Equilibrium surface of cusp catastrophe model

Suppose that the system state was expressed by a point in three-dimensional space with (x, u, v)
coordinates, as shown in Fig.1.Then the upper and lower lobe of equilibrium surface was stable, only the
folding middle lobe is unstable. When phase point was in the upper or lower lobe, no matter what
changed along the way was in a state of balance. When the phase point reached the upper or lower lobe
edge, the catastrophe of x was caused. So singular set (i.e. catastrophe point set) consist of points that had
vertical tangents in the equilibrium surface that satisfy the equation:
V”(x)=12x2+2u (3)
Bifurcation point set was collection of all points that make state variables produce catastrophe, namely
the folds of equilibrium surface ((i.e. singularities set) project onto the (u, v) plane. By eq. (2) and eq. (3),
x can be eliminated. Then
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Δ =8u3+27v2 (4)
can be obtained, where Δ is the catastrophe characteristic value, which is the distant between system
evolution state and critical state.
As known from the algebra, eq. (2) may had one or three real roots. If Δ >0, eq. (2) only had one real
root, and the potential function had the only extreme value, so the system was stable. If Δ <0, eq. (2) had
three real roots, and potential function had multiple extreme values, so the system was unstable. If Δ =0,
the system was in critical condition between stable and unstable.

3. Constitutive model and Yield criterion

Druker-Prager yield criterion was used in numerical calculation as yield criterion of the friction-type
material, as shown in eq. (5) :
F   I1  J 21/2  k 0
(5)
 3 sin  sin  ) , k ( ) C 3 cos  / ( 3 cos  sin  sin  ) .
 ( ) sin  / (3cos   
Where r and  are polar coordinates and Rhodes angle on the  plane, tensile stress is positive and
compression stress is negative, C and  are medium cohesion and internal friction angle.
According to the definition of strength reduction method, only cohesion of material and tangent of
internal friction angle were obtained through strength reduction, such as shown in eq. (6) :
tan  '  tan  / KC ; C '  C / KC (6)
In this paper, only bedrock and soft intercalated layer in bedrock, but not dam body, are obtained
through strength reduction.

4. The catastrophe model of plastic strain energy

The process that gravity dam and dam foundation system developed from stable equilibrium state to
instability critical state was both energy storage and energy dissipation. This process can be regarded as a
reversible process.
In the process of the finite element reduction calculation, along with the strength of dam foundation
material continuously lowering, the number of elements of plastic zone was more and more, the total
plastic strain energy had also been changed. Therefore, according to the change of the system total plastic
strain energy to examine the stability of the dam, when the total plastic strain energy was catastrophic, the
dam may be instability.
Establishment of catastrophic model based on the total plastic strain energy of gravity dam and dam
foundation system of the strength reduction is as follow:
(1) Through the finite element calculation, after obtained every strength reduction, entering into the
plastic strain energy Ei  m  of each element of the plastic deformation, and then plastic strain energy of
p

plastic zone element was added to get the plastic strain energy of gravity dam foundation energy under
this strength reduction factor:
n
E p  m    Eip  m  (7)
i 1
Where n is the element number of plastic deformation.
(2) The function of plastic strain energy and reduction coefficient was established. Because the
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reduction time was less, stepwise regression method was directly used to conduct four-order fitting:
E p  f  k  a0  a1k  a2 k 2  a3k 3  a4 k 4 (8)
(3) Cusp point catastrophe model was established. Through Tschirnhaus transform, if k=x-a3/4a4, the
polynomial fitting function of total plastic strain energy was translated into the standard form of the cusp
point catastrophe model, as eq. (2) shows. Then, according to the positive or negative value of catastrophe
characteristic valueΔ =8u3+27v2, anti-sliding stability of the system of gravity dam and dam foundation
was judged.

5. Calculation and Analysis

5.1. Engineering situation

A concrete gravity dam was employed. The dam with top width of 10m, bottom width of 70m, heights
of 100m, degrees of the downstream slope of 1:0.7 was employed. There were two weak intercalations
AB and BC in the dam foundation rock, whose thickness t was 0.5m.The horizontal angle α, β of two
intercalations were 45° and 30°.The Schematic of the dam section was given in Fig. 2. Material
mechanics parameters of the dam and foundation were shown in table 1.Now the above conditions were
applied to calculate and analyze the stability against sliding of the dam block when upstream water depth
was 100m and downstream was anhydrous.

Fig.2. Section schematic of the concrete gravity dam

Tab.1. Material mechanics parameters of dam body and foundation

f Cohesion c Density
Zoning
Friction coefficient Modulus of elasticity E（Pa） Poisson Ratio   （kg/m3）
（MPa）
Dam body 1.0 5 2.0 E+10 0.17 2400
Intercalation 0.3 0.1 1. 0E+10 0.20 2700
Bed rock 0.8 1.0 1.0E+10 0.2 2700

5.2. Result Analysis

A two-dimensional finite element model of the dam had been built by using MSC. Marc.software.
Upstream from the dam hell 1.5 times dam height, downstream 2.0 times dam height and depth of
foundation 1.5 times dam height have been fixed as calculation range of dam foundation. 860 elements
and 838 nodes had been established by using quadrilateral element and triangular element dividing
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method. Material parameters of gravity dam foundation had been equal proportion calculated through
strength reduction method, including bed rock and interlayer.
K was Strength reduction factor . In the course of calculation, K increases from 1.0 to 1.6 in
progressively increase step of 0.05. The curve relationship between horizontal displacement and reduction
factor is shown in Fig.3 in process of strength reduction. It can be seen from Fig.3 that the displacement
curve had inflexion at K=1.4~1.5. According to displacement catastrophe criterion [12], the anti-slide
safety coefficient of this dam was 1.4~1.5.
The calculation results of plastic strain energy of the system were given in Tab.2. The plastic strain
energy--reduction factor curve was shown in Fig. 3.

Fig.3. The curve between dam crest deformation, plastic strain energy and reduction factor

Tab.2. Calculation results of plastic strain energy

reduction factor 1 1.05 1.1 1.15 1.2 1.25 1.3 1.35 1.4 1.45 1.5 1.55 1.6
plastic strain energy (kJ) 58.2 96.2 189 316 541 1410 2380 4920 9866 18200 26200 34800 94000

It could be seen from Fig.3 that the plastic strain energy curve had inflexion at K=1.4~1.5. When
K=1.5, by using analytical method of plastic strain energy catastrophe model, catastrophe characteristic
value was -21.55, less than 0, so the gravity dam and foundation system was unstable. When K=1.4,
catastrophe characteristic value was 1×10-4, close to 0. When K=1.3, catastrophe characteristic value was
0.01, greater than 0. When K=1.2, catastrophe characteristic value was 9.2×105, greater than 0. Tab.3
showed the plastic strain energy catastrophe characteristic value and the corresponding control variables
when K=1.2~1.5. It could be seen from the above analysis that the anti-slide safety coefficient of the dam
could be taken as 1.4.

Tab.3. Catastrophe characteristic values and control variables

strength reduction factor k control variable u control variable v catastrophe characteristic value
1.2 -0.58 -185 9.20E+05
1.3 -0.19 0.05 0.01
1.4 -0.001 -0.002 1.00E-04
1.5 -6.54 9.05 -21.55

From the above analysis, anti-slide safety coefficient of the dam was judged between 1.4 and 1.5,
according to displacement catastrophe criteria of inflexion in the displacement--reduction factor curve
and the region of inflexion in the plastic strain energy--reduction factor curve, but can’t be further truly
judged. On the basis of the analysis of the plastic strain energy--reduction factor curve, using the plastic
strain energy catastrophe model for further analysis, the anti-sliding stability safety coefficient was finally
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1.4 when the upstream water depth was 100m and downstream is anhydrous.

6. Conclusion

The basic knowledge of catastrophe theory and the cusp point catastrophic model were studied in this
paper. Then energy dissipation process of gravity dam and dam foundation system was analyzed.
Catastrophe models of plastic strain energy of gravity dam and dam foundation system were built.
In this paper the catastrophe model of plastic strain energy based on the strength reduction coefficient
was used to analyze anti-sliding stability security of the concrete gravity dam. It should be pointed out
that strength reduction coefficient and horizontal displacement could be used to set up horizontal
displacement catastrophic model to analyze anti-sliding stability of gravity dam foundation. At the same
time, the method which used catastrophic model to determine anti-sliding stability safety coefficient of
dam foundation, could be applied to the similar analysis of anti-sliding stability and safety.

Acknowledgements

This work was supported by the National Natural Science Foundation of China (Grant Nos. 51079046,
50909041, 51139001), the Open Research Fund of State Key Laboratory of Simulation and Regulation of
Water Cycle in River Basin (Grant No. IWHR-SKL-201108), the Special Fund of State Key Laboratory
of China (Grant Nos. 2009586912, 2010585212)

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