KSCE Journal of Civil Engineering (2011) 15(2):327-335 Structural Engineering

DOI 10.1007/s12205-011-0969-3
www.springer.com/12205

Cracking Similarity Simulation of Induced Joints and Its Application in

Model Test of a RCC Arch Dam
Yuan Chen*, Lin Zhang**, Jianye Chen***, Chaoguo Li****, and Chengqiu Hu*****
Received August 26, 2009/Revised March 1, 2010/Accepted May 6, 2010

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Abstract

Similarity simulation of induced joints is a key technical problem arising from failure mechanism study of Roller Compacted
Concrete (RCC) arch dams with induced joints by using physical model test. This paper proposes an original fracture mechanics-
based method for simulating induced joints in physical model test and presents results obtained from model test of Shapai RCC arch
dam in Sichuan Province, China. Test was performed to obtain values of fracture toughness of prototype (RCC) and model (gypsum)
materials. The relation between fracture toughness and stress intensity factor of induced joint was analyzed, and crack propagation
condition and physical model simulation method of induced joint were proposed. The proposed induced-joint simulation method was
applied in the model test of Shapai arch dam; the anticipated effect of induced joints to reduce tensile stress was confirmed and the
cracking process, the failure pattern and mechanism of Shapai RCC arch dam were obtained. These results provided valuable data for
the engineering design and construction of Shapai RCC arch dam, which survived Wenchuan Earthquake of May 12, 2008 without
suffering any damage. Its sound performance resulted directly from the well-thought design, which greatly benefited from these
comprehensive investigations.
Keywords: high RCC arc dam, induced joint, fracture property, similarity simulation, failure mechanism, Wenchuan Earthquake
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1. Introduction the formation of temperature cracks (Zhang, 1996). Thus,

Roller Compacted Concrete (RCC) arch dam is rapidly gaining
popularity worldwide, due to its unique features including simple
construction method, high construction speed, large overload
capacity, high reliability, superior performance, and economical
dam material (Hansen, 1996; Hollingworth et al., 1989).
Examples of recently constructed high RCC arch dams include
Knellpoort Dam (50 m-tall) and Wolwedans Dam (70-m tall) in
South African, Puding Dam (75-m tall), Simenzi Dam and
Linhekou Dam (both 110-m tall), Shapai Dam (132-m tall), and
Wanjiakouzi Dam (under construction, 167.5-m tall, the tallest
RCC arch dam in the world when completed) in China
(Hollingworth and Druyts, 1986; Jia, 2007; Liu et al., 2002).
As RCC arc dam is commonly rolled in an entire section
without construction joints at a fast construction speed, the
hydration heat accumulates in the dam body and cannot be
released adequately in a short period of time. When the dam
temperature field transits to a steady state, large tensile stresses
will occur under constraint of the circumjacent base and lead to
temperature control is one of the key technique problems in RCC
arch dam construction; prevention and control of temperature
cracks is still an important topic for research (Zhu, 2003).
It is a common international practice to set induced joints in
order to reduce the adverse effects of temperature to dam body
and prevent formation of irregular cracks (Chen, 2003; Liu et al.,
2007). When dam body temperature drops, these induced joints
will open due to contraction, and reduce tensile stresses, there-
fore preventing formation of irregular temperature cracks. These
openings in the induced joints need to be filled with repeated
grouting through pre-buried pipes to ensure dam integrity. For
example, induced joints were set at an interval of about 10 m
along the dam axis in Knellpoort Dam and Wolwedans Dam;
two induced joints were used in the middle part of Puding Dam.
Although induced joint is widely applied in RCC arch dams,
there is no consensus on its cracking characteristics, layout
design, and effectiveness of preventing irregular cracks. More-
over, the working mechanism of induced joint as well as failure
mechanism of high RCC arch dams with induced joints has not

*Associate Professor, State Key Laboratory of Hydraulics and Mountain River Engineering, College of Water Resources and Hydropower, Sichuan Uni-
versity, Chengdu 610065, China (E-mail: chenyuan8899@163.com)
**Professor, State Key Laboratory of Hydraulics and Mountain River Engineering, College of Water Resources and Hydropower, Sichuan University,
Chengdu 610065, China (Corresponding Author, E-mail: zhanglin_scdx@163.com)
***Lecturer, College of Water Resources and Hydropower, Sichuan University, Chengdu 610065, China (E-mail: jianyechen@163.com)
****Professor, College of Water Resources and Hydropower, Sichuan University, Chengdu 610065, China (E-mail: lichaoguo@163.com)
*****Senior Experimentalist, College of Water Resources and Hydropower, Sichuan University, Chengdu 610065, China (E-mail: yagg_727@163.com)

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 Yuan Chen , Lin Zhang Jianye Chen Chaoguo Li, and Chengqiu Hu

been systematically studied to assure their safety during extreme 2. Description of Shapai RCC Arch Dam
loading conditions including earthquakes.
As most RCC arch dams are constructed or being constructed Shapai RCC arch dam is located on Chaopo River, Aba Tibetan-
in China, research activities on induced joint concentrate mainly Qiang Autonomous Prefecture, Sichuan Province, China. As
in China; relevant reports in other countries are relatively rare shown in Fig. 1, it is a single-curvature arch dam consisting of
and mostly focused on its engineering applications. In China, a three arcs. With a height of 132 m, it is one of the highest RCC
number of studies have been carried out to investigate the arch dam in the world.
working mechanism and effects of the induced joint. Zeng et al. According to the construction schedule, dam body above EL.
(1996) and Zeng and Ma (1998) proposed a model for evaluating 1810 m was to be poured in high temperature months. In this part
the equivalent strength and presented criteria for identifying of dam, the tensile stress distribution due to thermal effects would
cracking of induced joint, and conducted fracture mechanics- extend remarkably if only dealt with by induced joints. It is also
based numerical assessment of cracking in induced joint. Huang necessary to use transverse joints in the upper-middle part of the
et al. (2000) proposed a model for evaluating the equivalent dam to reduce the adverse effects of thermal stress. After
fracture strength of induced joints, and simulated cracking of comparison of various combinations of induced joints and
induced joints during construction and operation periods for a transverse joints, a plan consisting of two induced joints and two
RCC arch dam, and others (Liu et al., 2005; Zhang et al., 2005) transverse joints, as shown in Fig. 2, was chosen for further study.
have presented modifications to this model. Zhao et al. (1995)
proposed a rigidity-load method, and adopted the total stress- 3. Fracture tests
strain relation for concrete and three-segment strain-softening
curve to analyze typical structures of induced joint in RCC arch 3.1 Material and Preparation of Specimens
dams. Gu (2005) investigated the working mechanism and Gypsum is chosen as the model material for simulating roller-
effects of induced joints by a nonlinear method based on linear compacted concrete for two reasons: (1) its Poisson’s ratio is
elastic fracture mechanics and a virtual fracture model. approximately equal to that of concrete and rock, and (2) its
The studies mentioned above mainly focused on numerical Young’s modulus can be easily modified in a large range by
simulation of induced joints. Physical model test is an important adjusting water-gypsum ratio. In order to study the similarity of
alternate to numerical simulation and can be combined with
numerical analysis to conduct comprehensive analyses of major
engineering problems and provide insight for engineering design.
Except many fracture tests on the specimens with induced joints
have been reported (Huang et al., 2010; Bi et al., 2009; Zhang
and Ye 2006; Wei and Liu 2005), there are little literatures
introducing model tests of RCC arch dams with induced joints
(Peng et al., 2008; Wang, 1998; Li et al., 1996). And in these few
model tests, the induced joints were simulated only by the
geometry similarity condition. This test method is not proper. To
study the cracking and failure mechanism of RCC arch dams
with induced joints, the similarity simulation of cracking pro-
perties of induced joints is very important. Therefore, the key
problems involved in this experimental study include theoretical
basis for similarity simulation of induced joints and test methods.
This paper proposes an original fracture mechanics-based Fig. 1. Plan and Section of Shapai RCC Arch Dam: (a) Plan, (b)
similarity simulation method for conducting model testing of Crown Section
structures with induced joints and presents results obtained from
physical modelling of a RCC arch dam. In order to develop a
similarity simulation technique, fracture tests were performed to
obtain the fracture toughness of prototype material (RCC) and
model material (gypsum). The relation between material fracture
toughness and stress intensity factor of induced joint was analyzed
based on fracture mechanics theory, and the cracking similarity
conditions and simulation method of induced joint were proposed.
With the proposed similarity simulation technique, a comprehen-
sive experimental study on failure mechanism of Shapai RCC arch
dam was carried out. In the end, this dam’s performance during
Wenchuan Earthquake of May 12, 2008 is summarized. Fig. 2. Joint Distribution in Shapai RCC Arch Dam

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 Cracking Similarity Simulation of Induced Joints and Its Application in Model Test of a RCC Arch Dam

fracture properties between the prototype material and the model

material, it is necessary to measure the fracture toughness of
RCC and gypsum through fracture test.
The concrete designated for Shapai arch dam is R9020.0 (i.e.
retaining a compressive strength of 20 MPa after 90 days’
curing). Gypsum with 180 mesh grain size was used as the
model material. The RCC specimens were formed in steel
mould, rolled by a surface vibrator, and cured under the standard
condition for 90 days. As shown in Fig. 3, an initial v-shaped
notch is set in the middle of every specimen, formed by a steel
wedge with 30o vertex angle. Every specimen to be tested in
three-point bending has a dimension of 100×100×515 mm
(Width×Height×Length); the v-shaped notch has a length s of 50
mm; the span between the two supports L is 400 mm; these
testing parameters were recommended by Refai and Swartz
(1988). A total of eight RCC specimens were prepared and
numbered as I-1 to I-8, respectively. It is known that Young's
modulus E of gypsum decreases with increasing water-gypsum
ratio m, and its fracture toughness KIC is directly proportional to
the value of E1/2 (Shah et al., 1995). Therefore, these three
parameters of gypsum including m, E and KIC are inter-related. Fig. 4. Typical Test Curves of Load P vs Load-point Deflection δ in
Three-point Tending Test: (a) RCC Material, (b) Gypsum
Five gypsum specimens with same dimension as RCC specimen,
Material
numbered as II-1 to II-5, were prepared with varying water-
gypsum ratio in order to obtain the relation between water-
gypsum ratio and fracture toughness. listed in Table 1. The mode I fracture toughness of prototype
material RCC, designated as KICp, varied from 0.442 to 0.579
3.2 Fracture Test Results MN/m3/2; the average value KIC is 0.5105 MN/m3/2. That of
P

Fracture behaviour was obtained by three-point bending test. model material gypsum, designated as KICm, increases from 0.02
Typical load P vs. loading-point deflection ä curves for RCC and to 0.0671 MN/m3/2 as m decreases from 1.90:1 to 1.05:1.
gypsum specimens are shown in Fig. 4.
According to Refai and Swartz (1988), the mode I fracture 3.3 Modified Fracture Toughness of RCC Considering the
toughness values KIC can be calculated by the following formula: Size Effect
Many studies conclude that there is a prominent size effect on
PmaxL ⎛ s ⎞
KIC = -------------- f ----
3⁄2 ⎝ ⎠
(1) the fracture toughness of concrete (Barr et al., 1985). Fracture
WH H
1⁄2
toughness generally increases with specimen size until the
s s s 3⁄2 s 5⁄2
f ⎛ ----⎞ = 2.9 ⎛ ----⎞ – 4.6 ⎛ ----⎞ + 21.8⎛ ----⎞ dimension reaches 2.0×2.0×2.0 m (Width×Height×Length) (Xu
⎝ H⎠ ⎝ H⎠ ⎝ H⎠ ⎝ H⎠
and Zhao, 1991). Therefore, the experimental values obtained
s 7⁄2 s 9⁄2
– 37.6 ⎛ ----⎞ + 38.7 ⎛ ----⎞ (2) from fracture test should be modified to reflect the size effect.
⎝ H⎠ ⎝ H⎠
Based on an experimental study on a large number of specimens
where, Pmax is the final critical load of crack propagation, taken with different sizes, Xu and Zhao (1991) propose that the fracture
as the maximum load measured in the fracture test; L=0.4 m; toughness of a specimen with H = 2.0 m and s = 1.0 m is 1.9 times
W=0.1 m; H=0.1 m; and s=0.05 m. that of a specimen with H =0.1 m and s = 0.05 m. This conclusion
The fracture toughness values of RCC and gypsum specimens was used to modify the values of KICp obtained from testing of
calculated by Eqs. (1) and (2) based on experimental data are smaller samples. The modified values of KICp range from 0.84 to
1.10 MN/m3/2, with an average K'ICp of 0.97 MN/m3/2.

4. Similarity Conditions and Similarity Simulation

of Crack Propagation

4.1 Similarity Conditions

4.1.1 Similarity Condition of Crack Propagation

In Shapai RCC arch dam, the induced joints were formed by
Fig. 3. Sketch of Specimen for Three-point Bending Test concrete joint-forming plates which were designed as a double-

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 Yuan Chen , Lin Zhang Jianye Chen Chaoguo Li, and Chengqiu Hu

Table 1. Fracture Test Results of Prototype and Model Materials where, KIp , KICp are the stress intensity factor and fracture
RCC Gypsum toughness of prototype induced joint, respectively; KIm , KICm are
the stress intensity factor and fracture toughness of model
Pmax KICp Pmax KICm
No. No. m induced joint, respectively; and CKI, CKIC are the ratio of stress
(N) (MN/m3/2) (N) (MN/m3/2)
I-1 1440.0 0.501 II- 1 1.10:1 182.11 0.0610
intensity factor and fracture toughness, respectively.
The stress intensity factor KI of induced joint is related to the
I-2 1289.5 0.456 II- 2 1.05:1 216.06 0.0671
magnitude of load, joint dimension and configuration, etc. It can
I-3 1340.0 0.474 II- 3 1.32:1 131.30 0.0443 be calculated by the following equation (Murakami, 1987):
I-4 1250.0 0.442 II- 4 1.60:1 81.58 0.0275
πa
K1 = σ 2b ⋅ tan ⎛ ------⎞ (7)
I-5 1259.0 0.445 II- 5 1.90:1 59.34 0.0200 ⎝ 2b⎠
I-6 1323.0 0.468
where, 2a and 2b are the length and spacing of induced joint,
I-7 1640.0 0.579 respectively; and σ is the normal stress on the induced joint
I-8 1500.0 0.530 surface. A schematic of the induced joint is shown in Fig. 6.
By using Eq. (7), the stress intensity factors of prototype and
model induced joint can be expressed as:
interrupted plate with equal joint length and joint spacing. The
πa
configuration of the induced joints is shown in Fig. 5. KIP = σp 2bp ⋅ tan ⎛ --------p⎞ = Fp σp π ap (8a)
⎝ 2bp⎠
These discontinuous joints form a group of macro-cracks with
certain orientation in the dam, which can be simplified as 2b πa
Fp = --------p ⋅ tan ⎛ --------p⎞ (8b)
Category I crack. When the load increases, stress concentrates at π ap ⎝ 2bp⎠
the joint tip, causing initial cracking at the joints. According to
πa
fracture mechanics, stress intensity factor is an effective para- KIm = σm 2bm ⋅ tan ⎛ --------m-⎞ = Fm σm π am (9a)
⎝ 2bm⎠
meter to reflect the magnitude of stress field at the joint tip, and
therefore its value is an indicator of crack instability. Once the 2b πa
Fm = --------m- ⋅ tan ⎛ --------m-⎞ (9b)
stress intensity factor KI reaches a critical value, i.e. fracture π am ⎝ 2bm⎠
toughness KIC, the crack enters to an unstable state and may start
where, Fp, Fm are the finite width modification coefficients for
to propagate. The crack propagation condition of Category I
prototype and model induced joint, respectively. Substituting
crack is described as (Xu and Zhao, 1991):
Eqs. (8) and (9) into Eq. (6), the ratio of stress intensity factor can
KI = KIC (3) be calculated as:
To conform to the similarity principle of crack propagation in KIp Fp σp π ap 1⁄2
CKI = -------
- = -------------------------- = CF Cσ Ca (10)
the model test, the ratios of stress intensity factor and fracture KIm Fm σm πam
toughness of prototype and model induced joints must be the
same: where, CF is the ratio of the finite width modified coefficients; Cσ
is the ratio of normal stress; and Ca is the ratio of joint length.
KIp = KICp (4) Thus, the similarity condition of crack propagation of induced
KIm = KICm (5) joint can be described as:
KIp KICp
CKI = -------
- = ---------- = CKIC (6) CKI = CKIC = CF ⋅ Cσ ⋅ Ca
1⁄2
(11)
KIm KICm

4.1.2 Similarity Condition of Shear Strength

Besides similarity condition of crack propagation discussed

Fig. 5. Configuration of the Induced Joints in Shapai RCC Arch

Dam Fig. 6. Schematic of Induced Joint in Shapai RCC Arch Dam

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 Cracking Similarity Simulation of Induced Joints and Its Application in Model Test of a RCC Arch Dam

above, material of induced joint should also conform to the
similarity condition of shear strength. The shear strength on the
joint surface can be described as (Fumagalli, 1973):
τ = fσ + c
where, τ is the shear strength; σ is the normal stress; f is the
coefficient of friction; and c is the cohesion. According to the
similarity theory of model test, the similarity condition of shear
strength is expressed as:
joint length and spacing. Based on the similarity condition of
crack propagation and the length and spacing of prototype joints,
the model joint length 2am and spacing 2bm were found to be
approximately 40 and 120 mm, respectively. With these model
(12)
joint parameters, CKI was found to be 16.7, which is very close to
CKIC, indicating the crack propagation similarity condition is
satisfied. The size and fracture properties determined based on
the geometry and crack propagation similarity conditions are
summarized in Table 2.

Cf = 1 (13) 4.2.2 Material for Simulating Induced Joint Surfaces

Cc = Cσ = CE (14)
C τ = τp ⁄ τm (15a)
τ p = fp σp + c p (15b)
τm = fm σm + cm (15c)
where, Cf , Cc, Cσ , CE ,Cτ , are the ratio of friction, unit cohesion,
normal stress, Young's modulus and shear strength between the
prototype and the model, respectively.
4.2 Similarity Simulation of Crack Propagation
4.2.1 Model Size of Induced Joint
The prototype joint in Shapai arch dam has a length 2ap of 300
mm, a spacing 2bp of 900 mm. Considering the size of Shapai
arch dam and the available testing facility, the geometry
similarity ratio CL was determined to be 150. Based solely on CL,
the model joint should have a length 2am of 2 mm, and a spacing
2bm of 6 mm. Water-gypsum ratio 1.10:1 was used in preparing
model material; its fracture toughness can be determined as KICm
= 0.061 MN/m3/2 according to Table 1. Based on the Eq. (10) and
known test parameters including Cσ = CE = 6.1, K'ICp = 0.97
MN/m3/2, CKIC = K'ICp /KICm = 15.9, the ratio of stress intensity
factors CK I can be calculated, and summarized in the Table 2.
From this table, it is seen that CKI is far greater than CKIC, imply-
ing it doesn’t satisfy the similarity condition of crack propaga-
tion, as defined by Eq. (11). Meanwhile, the joint size, such as
2am ≈ 2 mm, and 2bm ≈ 6 mm, is too small to be simulated in the
model test. Therefore, it is concluded that the size of induced
joint in the model test cannot be determined based on the
geometry similarity condition.
Satisfying the similarity condition of crack propagation is
crucial in a successful simulation of induced joints. From Eqs.
(8), (9) and (10), it is seen that both CF and Ca are related to the
According to the similarity condition of shear strength and the
ratio of Young's modulus CE = 6.1, the shear strength parameters
of model joint can be derived from those of prototype joint. fp
and cp were provided as 0.84 and 0.48 MPa, respectively.
According to Eqs. (13) and (14), fm and cm were found to be 0.84
and 0.08 MPa, respectively.
However, the value of cohesion cm is too small to be simulated
by gypsum. It is necessary to find an alternative material to
simulate the joint surface. In this study, a copper sheet wrapped
with polyester film was used as the joint surface material in
model test, and the values of its shear strength parameters f 'm and
c'm were found to be 0.75 and 0.4 MPa, respectively. Substituting
the derived strength parameters fm and cm into Eq. (12), the shear
strength τm as required by the similarity condition of shear
strength is:
τm = fm σm + cm = 0.84 σ + 0.08 (16)
The actual shear strength τ 'm provided by the model joint
surface material is:
τ'm = f 'm σm + c'm = 0.75 σ + 0.4 (17)
A comparison of the joint surface shear strengths as described
by Eqs. (16) and (17) is shown in Fig. 7. It is seen from Fig. 7
that the shear strength value required by similarity condition and
actual value provided by the model joint surface material are
fairly close. This result indicates that it is appropriate to use the
copper sheet wrapped with polyester film to simulate the induced
joint surface in model test.

Table 2. Size and Fracture Properties of Induced Joint in Proto-

type and Model Dams
Prototype
Model joint
Similarity joint size ∆=
size (mm) CKIC CKI
condition (mm) CKI-CKIC
2ap 2bp 2am 2bm
Geometry 2 6 74.7 58.8
Crack 300 900 15.9
40 12 16.7 0.8 Fig. 7. Required vs. Actual Shear Strength of Induced Joint Sur-
propagation face in Model Test

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 Yuan Chen , Lin Zhang Jianye Chen Chaoguo Li, and Chengqiu Hu

5. Failure Test Results of Shapai RCC Arch Dam

In this study, the model dam was prepared by pouring gypsum

with a water-gypsum ratio m of 1.10:1, a geometry similarity
ratio CL of 150, and a Young's modulus ratio CE of 6.1. The
induced joints were prepared according to the parameters deter-
mined by using the similarity condition of crack propagation as
discussed in Sec. 4.2.1 and its surface was simulated by material
discussed in Sec. 4.2.2; the transverse joints were prepared and
bonded together by certain adhesive and an inert material so that
they conform to the similarity condition of shear strength. The
completed model dam is shown in Fig. 8.
During the test, loads due to water pressure, sediment pressure
and temperature were applied to the model dam, and strain and
deformation were measured as indicated in Fig. 9. Optical fiber
crack transducers were attached to the dam downstream face to
monitor irregular cracks, as shown in Fig. 10(a).
The load was applied in the following steps: 0.5 P, 0.8 P and
1.0 P was applied sequentially with a certain amount of time
interval in between to allow for taking measurement; P is the
total normal load due to water pressure, sediment pressure and
temperature. After the normal load was applied, overload was
applied by an increment of 0.2 P0 while P was retained until the
model failed or became unstable; P0 is the load due to water
pressure. Through the failure test, the following observations Fig. 10. Final Failure Pattern of the Model Dam: (a) View from
were made: Downstream to Upstream, (b) Sketch of the Major Cracks
1. The dam deformed as anticipated under the normal load. The Observed in the Model Test
deformation in the upper part of dam was greater than that in

the lower part of dam; that at the arch crown was greater than
that in the ends of the arch. The radial deformation was greater
than the tangential; the max radial deformation, i.e. 34.2 mm,
was found on the arch crown of the crest.
2. With regard to the distribution of principal stresses on the
upstream dam face under normal load, the principal com-
pressive stress mainly occurred in the arch crown, and the
principal tensile stress mainly occurred at the abutment. The
max principal compressive and tensile stresses were 3.34 MPa
(EL. 1810 m, arch crown) and -1.74 MPa (EL. 1790 m, the
left abutment), respectively.
3. As for the distribution of principal stress on the downstream
Fig. 8. A Perspective View of the Model Dam
dam face under normal load, the principal compressive stress
mainly occurred in the abutment, and the principal tensile
stress mainly occurred at the arch crown. The max principal
compressive stress and tensile stress were 6.04 MPa (EL. 1770
m, the right abutment) and -1.73 MPa (EL. 1770 m, arch
crown), respectively.
4. In the failure test of Shapai arch dam, the max load reached at
3.2P0. The overloading safety factor of Shapai dam is assessed
as 3.2.
5. The cracking process and the failure pattern were obtained.
Cracks initiated in the lower-middle part of downstream dam
Fig. 9. Layout of Strain and Deformation Measurement in the face, and propagated upwards. No. 2 and 3 induced joints
Model Test initially fractured at El. 1790 m. Three main cracks were ob-

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 Cracking Similarity Simulation of Induced Joints and Its Application in Model Test of a RCC Arch Dam

indicates that cracking of induced joints played direct role in

releasing the tensile stresses.

6. Performance of Shapai Arch Dam during May

12, 2008 Wenchuan Earthquake

During the construction of Shapai RCC arch dam, these two

induced joints and two transverse joints had been successfully
grouted twice by repeated joint-grouting in April 2001 and April
2003, respectively. By June 2003, Shapai RCC arch dam was
completed, and the project has performed well since.
Shapai high arch dam is one of the highest RCC arch dam in
the world. During its construction period, there are many diffi-
cult technical problems never before encountered. Accordingly,
Shapai Project has been taken as the national key scientific and
technological project of China, and comprehensive scientific
investigations have been carried out to ensure its safety.
On May 12, 2008, a great earthquake occurred in Wenchuan,
China. The magnitude of this event (Ms=8.0) was unprecedented
in this area; the damages in the areas around the epicenter were
catastrophic (Xu, 2008; Yuan, 2008). Shapai arch dam is located
merely 36 km from the epicenter. According to the observed
shaking intensity map, it was IX at Shapai arch dam site, far
greater than the design intensity VII on Chinese Intensity Scale

Fig. 11. Overloading Factor Kp vs Strain ε : (a) Strain of Induced

Joints at EL.1790 m, (b) Strain in the Arch Crown at
EL.1750-1790 m

served: one gradually extended rightwards (looking downstream

unless otherwise indicated in this paper), eventually crossing
No. 1 transverse joint at EL. 1820 m; one extended upwards to
EL. 1850 m along No. 3 induced joint; the third extended
leftwards to the lower end of No. 4 transverse joint at EL.
1810 m. Besides, two other cracks occurred between No. 2
and 3 joints at the lower part of the dam. Overall, the high
tensile stress area below EL. 1810 m suffered extensive
damages. The final failure pattern under the max load of 3.2P0
observed in the model dam, as shown in Fig. 10, was obtained
to provide data for the design of repeated joint-grouting
system.
6. The cracking process indicates that the two induced joints
played an important role in controlling the initiation and
propagation of cracks due to thermal effects. This observation
can be further verified from the variation of strains at the
induced joints. When No. 2 and 3 induced joints fractured
initially, the tensile strains reversed from tension to compres-
sion at the cracking area, as shown in Fig. 11(a). Meanwhile, Fig. 12. Views of Shapai Arch Dam After May 12, 2008 Wenchuan
the tensile strains also reversed in the arch crown at EL. 1790 Earthquake: (a) View from Downstream, (b) View from Up-
m, as shown in Fig. 11(b). The strain reversal phenomenon stream

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 Yuan Chen , Lin Zhang Jianye Chen Chaoguo Li, and Chengqiu Hu
(similar to Modified Mercalli Intensity scale). Yet, there were no
comprehensive seismic studies conducted on this project due to
its presumed low design intensity. Reservoir was around normal
operation level during the earthquake. This dam was a major
safety concern immediately after the earthquake.
Aerial photo and site inspection conducted at the post-
earthquake reconnaissance revealed that one of the ruptured
subfaults was only 10 km away from the dam site. Fortunately,
no apparent damages were found on the dam and foundation;
abutment reaction body was stable; only local shallow rock
loosening or sliding was observed. Fig. 12 shows views from
downstream and upstream of Shapai arch dam after the
earthquake. No cracking was found at the locations of induced
and transverse joints after careful inspection; there was almost no
noticeable damage found on other part of the dam. It can be
concluded that Shapai arch dam survived Wenchuan Earthquake
without suffering any damage.
Without any special anti-seismic research and design, the
superb overload capacity and seismic resistance of Shapai arch
dam performed in Wenchuan Earthquake resulted directly from
the well-thought engineering design and high-quality construc-
tion, which greatly benefited from those comprehensive investi-
gations, as discussed by Chen (2009) and Wang (2009). This
shows that extensive and intensive scientific researches are very
important and necessary to the engineering safety, even without
any specific research on one subject.
7. Conclusions
This paper summarizes results of a comprehensive study on
the failure mechanism of a high RCC arch dam with theoretical
analysis, material fracture test, and model dam failure test. The
actual performance of Shapai arch dam during May 12, 2008
Wenchuan Earthquake was also described. The following con-
clusions can be made:
1. Through fracture test of RCC specimens, the mode I fracture
toughness was found in the range of 0.442-0.579 kN/cm3/2
with an average value of 0.5105 MN/m3/2; considering the size
effect the facture toughness was modified to be 0.84-1.10 kN/
cm3/2 with an average of 0.97 kN/cm3/2.
2. Through fracture test of gypsum specimens, the relation
between water-gypsum ratio and fracture toughness was ob-
tained. It confirms that the fracture toughness decreases with
increasing water-gypsum ratio. This relation can be used to
interpolate the fracture toughness of gypsum material used in
model test.
3. Based on the theory of fracture mechanics, the relation
between fracture toughness and stress intensity factor was
analyzed, and the similarity condition of crack propagation of
induced joint was proposed.
4. In the model test, the simulation of induced joint should con-
form to two similarity conditions: similarity of crack propaga-
tion and similarity of shear strength.
5. The induced joint size of model dam cannot be determined
− 334 −
simply by the geometry similarity condition. Instead, it should
be determined according to the similarity condition of crack
propagation.
6. Considering combined effects of friction and cohesion on the
shear strength, the joint surface can be simulated by copper
sheet wrapped with polyester film to satisfy the similarity con-
dition of shear strength.
7. In the failure test of Shapai RCC arch dam, the similarity
simulation of induced joint was realized in the model, the
effects of induced joints on tensile stress reduction and irre-
gular thermal crack control were confirmed. In addition, the
structure property, overloading safety factor, failure process
and pattern of the high RCC arch dam were obtained. The
failure mechanism of the high RCC arch dam with induced
joints was revealed. These results provide a scientific basis for
design and construction of this project.
8. Shapai arch dam survived Wenchuan Earthquake without
suffering any damage; no cracks were found at the locations of
induced and transverse joints. Its sound performance resulted
directly from the well-thought engineering design and high-
quality construction, which greatly benefited from those com-
prehensive investigations. The superb performance of Shapai
dam during Wenchuan Earthquake is surprising and it is
worthwhile to conduct further research on the potential seismic
resistance of RCC arch dams.
Acknowledgements
This study was sponsored by the National Natural Science
Foundation of China (Grant No. 50879050), and the National
Basic Research Development Program of China (973 Program)
(Grant No. 2010CB226802). The authors would like to express
their thanks to Prof. Jiankang Chen, and Prof. Liyong Zhang, all
of Sichuan University, for their valuable suggestions and com-
ments.
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