III European Conference on Computational Mechanics

Solids, Structures and Coupled Problems in Engineering

C.A. Mota Soares et.al. (eds.)
Lisbon, Portugal, 5–8 June 2006

DEVELOPMENT OF DAM FINITE ELEMENT MODELS FOR

DYNAMIC ANALYSIS USING AMBIENT VIBRATION TEST RESULTS
Sérgio Oliveira1, Paulo Mendes2
1
Laboratório Nacional de Engenharia Civil
Av. do Brasil, 101, 1700-066, Lisboa, Portugal
soliveira@lnec.pt
2
Instituto Superior de Engenharia de Lisboa
R. Conselheiro Emídio Navarro, 1, 1950-062, Lisboa, Portugal
pmendes@dec.isel.ipl.pt

Keywords: Dam, Finite Element Model, Ambient Vibration Test, Dynamic Response.

Abstract. This paper discusses the finite element development of a numerical model of 3D elements
for Cabril dam, based on the main fundamental parameters of the dynamic response of the dam,
obtained on several experimental results on ambient vibration tests campaigns. These experimental
results are used to calibrate the numerical model of 3D finite elements considering two hypothesis to
simulate the hydrodynamic water pressure: i) first assuming that the reservoir is properly simulated
through associated water masses, in accordance with Westergaard’s formula, and ii) second
considering water finite elements.

Oct.03
1981 (relia.) Nov. 96
Feb.02 May 03
5,0

4,5

4,0
Frequency (Hz)

3,5

3,0

2,5

2,0

166 180 200 220 240 260 280 297

Water level (m)

Tests Numerical model

Ambient Vibration Tests No joint model
Forced Vibration Tests

Effect of reservoir water level on Cabril dam.

1st mode shape using a preliminary mesh for a no joint
Comparison between experimental results and
model to Cabril dam.
numerical results (using a no joint model).
 Sérgio Oliveira, Paulo Mendes

1 INTRODUCTION
This paper deals with the development of a numerical model for Cabril dam based on “in
situ” tests (namely, ambient vibration tests). The main purpose of this work is to discuss the
strategies for the development of numerical models for large concrete dams based on
experimental results obtained on ambient vibration tests.
The main idea is to describe and discuss the most relevant aspects for the dynamic
behaviour analysis and interpretation of large arch dams. Present some relevant recent
developments in this area, namely for Cabril dam, and propose and discuss some futures
developments in order to improve the numerical model for the Cabril dam.
This paper also describes the essential features to develop a dynamic monitoring system
for Cabril dam and systematizes the most relevant dynamic parameters that must be observed
in order to implement a safety control system to a long term objective; the importance of that
information on dam safety control, namely to identify dynamic parameters variations of the
dam-foundation-reservoir system. These are associated with: i) variations in the reservoir
level (and with annual thermal variations); as well as with ii) structural alterations
accidentally induced, as is the case of intensive earthquakes, or gradually induced as a result
of long term deterioration processes (as is the case of concrete swelling). The information
obtained with this monitoring system will be used to develop and calibrate continuously the
numerical model adopted to the study of the structural behaviour of Cabril dam. This
information will be very useful to guarantee the safety control of this structure of high
potential risk, with a long age (more than 50 years).

2 CARIL DAM DESCRIPTION

The Cabril dam is a double curvature arch dam founded on a granitic rock mass. It
presents an approximately symmetric geometry in plan and has the particularity of having a
higher thickness zone at the crest level between abutments (Figure 1). The central cross-
section has a 20.2m thickness at the foot, close to the pulvino, and a 4.5m minimum thickness
at level 290m, at the transition with the crest zone, from which the width increases linearly
until 8.3m at maximum level (297m), as Figure 1 shows.
The dam was built on the river Zêzere between September 1952 and December 1953. The
first filling began early 1954, and lasted about two years.
(m)
IID ID A B C D E F G H I J K L M N O P Q R S T U V IE IIE 297
290

270

250

230

210

190

170

Fig. 1 Elevation and cross-section by the central cantilever.

Immediately in the initial stage of operation, a significant horizontal crack was detected in
the downstream face (mainly close to the construction joints), in a section located between
10m and 20m below the crest [1]. In 1981, after analysis of the structural behaviour, and of

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 Sérgio Oliveira, Paulo Mendes

complementary observation of the foundation, as well as after tests on materials and

simulation by physical and mathematical models to determine the reasons for cracking, a
decision was made to carry out repair works. These works consisted of treatment of the
foundation, grouting of retraction joints and treatment of cracks with resin grouting, after
characterisation of the corresponding openings and depths. With the refilling of the reservoir,
it was observed that the dam cracked again in the same zone.

3 DYNAMIC BEHAVIOUR ANALYSIS OF LARGE CONCRETE DAMS

The dynamic behaviour of large concrete dams is influenced by all the components of the
dam-foundation-reservoir system (Figure 2). These three components have some
particularities, in this section we will discuss the influence of each component on the dynamic
behaviour of the global system, and the options usually adopted on numerical models.

Fig. 2 Dam-foundation-reservoir system.

3.1 Dam
Arch dams as Cabril dam, are typically constructed as cantilever monoliths blocks
separated by vertical contraction joints, the opening or closing of vertical joints affects the
structural response of arch dams in several ways [2]. On a dynamic behaviour perspective, the
opening of the contraction joints causes a reduction of arch stiffness and increases the
vibration periods of the dam (the natural frequencies decrease), on opposition, the joint
closure causes the increase of arch stiffness and reduces the vibration periods of the dam (the
natural frequencies increase).
As we can see in Figure 1, Cabril dam consists on 21 monoliths cantilevers, separated by
vertical contraction joints.

3.2 Foundation
Usually, for the numerical analysis purpose only a finite portion of foundation rock is
considered. The properties of the foundation rock are characterized by it’s Young’s modulus,

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 Sérgio Oliveira, Paulo Mendes

Poisson’s ratio, and unit mass. To avoid system resonances with artificially low frequencies,
foundation mass is omitted.

3.3 Reservoir
The influence of the water reservoir on the dynamic behaviour of a dam-foundation-
reservoir system it is not yet well-known.
Water reservoir has two aspects to discuss, first it influences the total mass of the global
system, second it may interfere in the damping of the global system. One of the main
purposes of this sub section is to discuss the influence of the water reservoir in the dynamic
behaviour of the global system.
The estimation of hydrodynamic pressures on concrete dams was originated first by
Westergaard (1933), many other upgrades and new formulations have been developed after
that as we can see in [3]. For arch dams the Westergaard formulation must be adapted to
curved surfaces. The water effect could be also simulated using 3D finite elements with fluid
domain parameters. This fluid domain is usually idealized as a finite region adjacent to the
dam and compatible with the dam at its upstream face.
Firsts vibration studies about water-structure interaction have been done for reservoir
idealized with simple geometric forms and finite or infinite dimensions. It has been common
to represent the reservoir as a finite domain, limited by appropriate boundary conditions.
Some more recent methods consider the reservoir with an infinite length (boundary element
method).
The water is considered as continuous, homogeneous and isotropic with a perfect liquid
behaviour. In these conditions no tangent liquid stress is developed, only hydrodynamic
pressures.
Compressibility hypothesis for water is important due to the contribution to the global
response of the system. The importance of this effect depends on the flexibility of the dam (it
is more important for flexible dams as arch dams). For gravity dams with low flexibility the
water could be considered as incompressible.
Usually, in numerical models the water is considered as a material without contribution to
the global damping system, only pressure waves contribute with her radiation to the global
damping due to the infinite length of the reservoir and the foundation deformability.

3.4 Global considerations

As we can conclude the dynamic behaviour of large arch concrete dams is non linear due
to the interaction of many factors described in last sub sections. Therefore, in order to
evaluate the safety control of arch dams, it is essential to develop reliable numerical
procedures for computing dynamic response of arch dams including the non linear effects of
the contraction joint opening.
To develop these models it is necessary to obtain experimental results, in order to
characterize adequately and continuously the dynamic response of these structures. Only the
development of a dynamic continuous monitoring system, based on ambient vibration tests,
can help to understand the dynamic behaviour of these structures.

4 DEVELOPMENT OF NUMERICAL MODELS USING AMBIENT VIBRATION

TESTS
Recently, the numerical models for the study of the dams dynamic behaviour, began to be
developed and upgraded using results obtained from ambient vibration tests. This is an
investigation field that will be certainly in development for next years or decades, and in this

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 Sérgio Oliveira, Paulo Mendes

section some works based on this methodology will be presented and some future
developments will be also proposed.

4.1 Recent works

To evaluate the structural dynamic behaviour under operational conditions and the seismic
performance of designed and existing large concrete dams, it is necessary to calibrate and
develop suitable finite element models. With this purpose some studies were performed to
analyse the effect of the discontinuous behaviour due to vertical contraction joints on the
dynamic response of arch dams [4]. The variation of the resonant frequencies as a function of
the reservoir water level is also investigated [1, 4, 5, 6].
In these works the measured dynamic properties are compared to predictions from finite
element models, for which the non linear behaviour due to the discontinuities of the vertical
contraction joints are both included and neglected. The computed results demonstrate that the
observed variation of the frequencies was attributed to a modification in the arch stiffness due
to the non linear effect of the joints opening.
Figure 3, adapted from [4], show the result of a study performed in order to evaluate the
applicability of a computational model for the earthquake response of arch dams, including
both the effects of dam-foundation-reservoir interaction and the non linear behaviour of the
contraction joints. This work also studies the effect of the contraction joint opening on the
dynamic response of the arch dam.

3,2
No joint model

3,0

2,8
Frequency (Hz)

Joint model

2,6

2,4

0 20 40 60 80 100
Water level (m)

Tests Numerical models

Ambient Vibration Tests No joint model
Earthquakes
Joint model
Forced Vibration Tests

Fig. 3 Effect of reservoir water level: measured and computed results [adapted from 4].

In Figure 3 it can be seen the variation of the dam fundamental frequency, as a function of
the water level. The numerical result obtained by a model with joints reproduces
approximately the observed frequencies. With a no joint model it is not possible to reproduce

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 Sérgio Oliveira, Paulo Mendes

the observed values for the fundamental dam frequency, when the water level is under about
70%H (being H the maximum height of the dam).

In the presented studies [1, 6], only a no joint numerical model was developed. The results
presented in Figure 4 [1] shows the comparison between the three first fundamental
frequencies identified experimentally and the frequencies computed with a 3D finite element
model using isoparametric elements and considering the water masses concept developed by
Westergaard with some adaptations to take into account a reduction of the water mass effect
due to relative flexibility of the structure.

Oct.03
1981 (relia.) Nov. 96
Feb.02 May 03
5,0

4,5

4,0
Frequency (Hz)

3,5

3,0

2,5

2,0

166 180 200 220 240 260 280 297

Water level (m)

Tests Numerical model

Ambient Vibration Tests No joint model
Forced Vibration Tests

Fig. 4 Effect of reservoir water level for Cabril dam [1].

Although a simple numerical model for Cabril dam was used, it was achieved a reasonable
interpretation of the dam dynamic behaviour. As we can see in Figure 4 for high water levels
the numerical model results show a quite acceptable agreement with the experimental
measurements, but for lower water levels this simple model without joint elements it is not
suitable to describe reasonably the true behaviour of the arch dam. This aspect can be verified
also in Figure 3 for a no joint numerical model.

The developed model of dam-foundation-reservoir system, used for the dynamic behaviour
analysis of the Cabril dam was designed considering a 3D finite element mesh of the dam
body and foundation; in what concerns the reservoir it was considered an approximated
solution for the simulation of hydrodynamic pressures using water masses added in
accordance Westergaard formulation (taking in to account a suitable reduction as referenced
above).

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 Sérgio Oliveira, Paulo Mendes

Figure 5 illustrates the first four mode shapes obtained with this “preliminary model”. A
top view of the dam FE model, of 3D solid elements (isoparametric of 20 nodes), is given for
each mode.

1st mode shape 2nd mode shape

3th mode shape 4th mode shape

Fig. 5 First four mode shapes computed for Cabril dam.

As it was referenced in section 2, this dam presents a significant horizontal cracking that is
visible in the downstream face below the crest, which was simulated in the numerical model
in a simple way, by considering that the elasticity modulus in vertical direction is about 10%
of the elasticity modulus in the other two (horizontal) directions. Figure 6 shows the damaged
solid elements (a) and the 4th mode shape (b) obtained from a numerical simulation, which is
compatible with the correspondent mode shape identified from the ambient vibration test data
using a suitable modal identification technique [1, 7, 8, 9]. With a better numerical model
(increased with some developments proposed in next sub-section) will be possible to obtain
more closed frequencies between identified and computed mode shapes.

a) b)
Fig. 6 Example of a simple simulation of cracks in Cabril dam and a mode shape obtained after this simulation.

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 Sérgio Oliveira, Paulo Mendes

This vibration mode can not be computed without considering the damaged zone, which
means that the cracking is directly related with this identified mode shape of the dam. With
some improvements at the numerical FE model it would be possible to obtain a much better
connection between the numerical and experimental results in terms of frequency, mode
shapes and modal damping.

4.2 Future developments

Regarding the work developed until now in Cabril dam, and looking the most recent
developments on the computational models field and ambient vibration tests, an important
research project in this area is now under development in LNEC, with the support of the
Portuguese Foundation for Science and Technology (FCT) [10].
The main objective of this project is to develop and install a dynamic continuous
monitoring system for Cabril dam, based on the ambient vibration tests technology. The
information that will be collected will allow the continuous study of the evolution of the main
modal parameters identified for the dam (namely, natural frequencies, mode shapes and
modal damping). With these experimental results it will be possible to develop and upgrade
the present numerical models.
Future numerical models will be designed with refined meshes (as Figure 7 shows), with
joint elements to simulate the vertical contraction joints and, the reservoir will be simulated
using water solid elements. With these models it will be possible to study the non linear
dynamic behaviour of the dam under seismic actions taking in to account the possible opening
of the vertical joints in accordance wit the water level variations.

Fig. 7 Example of a new more refined mesh developed for Cabril dam.

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 Sérgio Oliveira, Paulo Mendes

5 CONTINUOUS MONITORING APPROACH FOR DAMS

As it was referenced in last sub section it is now under development a complete system for
dynamic continuous monitoring of Cabril dam, based on the ambient vibration tests
technology. This project involves: i) Dynamic in-situ measurements; ii) Numerical analysis of
dams dynamic behaviour, and; iii) Engineering assessment; which leads to an extensive
structural identification and a tailored maintenance concept [11].
The continuous measurement of ambient vibration in large concrete dams implies the
embedment of sensors and data acquisition system in the structure. This new concept reduces
both, the risk of a serious incident (or accident) and the overall maintenance costs by
excluding unnecessary inspection activities.
However, it is required a detailed initial assessment to evaluate the experimental (measured)
dynamic properties of the structure.
A first finite element model must be created, which could be updated to the measurements
manually or automatically using a minimization algorithm considering as input the measured
modal parameters. By employing this approach, a calibrated model of the structure will be
available, presenting the stiffness distribution of the dam body (damage detection and damage
localization) dependent from the so-called correction parameters. Even with high
sophisticated engineering insight in the model behaviour, the tuning of a structural simulation
still remains a demanding task. But with the existing routines a computer aided optimisation
can be accomplished well [12].

Fig. 8 Monitoring and assessment approach, adapted from [11].

After initial measurements and successful model updating, it is obligatory to observe the
structural condition over time by a continuous monitoring program (or at least periodic). In
terms of periodic monitoring a time interval for re-assessment must be previously specified.
Sensor location is selected in accordance with the set-up of the basic investigation. Changes
of the modal parameters between the reference measurement and the following ones, as well
as to the updated finite element model are evaluated and assessed. For sensitive or important
civil engineering structures as large concrete dams the concept of continuous monitoring is

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widely proposed. Several sensors must be permanently installed to the dam site in a specific
array, continuously recording and transmitting data to a monitoring centre. Use of advanced
software tools for data reduction and data evaluation must be made. The measurements
usually are stored in a local monitoring centre (dam authority, dam management department).
An internet broadband access is required at the dam site enabling sufficient data transfer.

6 CONCLUSIONS
• The interaction linear and non linear phenomena that occur on a dam-foundation-
reservoir system under dynamic excitation (ambient, operational or seismic excitation)
were summarized and discussed in order to establish some of the main hypothesis to be
used in the FE models development.
• The main results obtained with a simple numerical model for the study of the dynamic
behaviour of Cabril dam were presented. Some future improvements, on this numerical
model were also proposed and discussed.
• A continuous monitoring approach for dam safety control based on ambient vibration
measurements was described as a fundamental tool to assess the reliability and to
calibrate numerical FE models for the analysis of the dynamic behaviour of dams. This
reference models can play a fundamental role as prediction models for the lifetime dam
response under operational conditions and/or under extreme events, as earthquakes.

REFERENCES
[1] P. Mendes, Observação e Análise do Comportamento Dinâmico de Barragens de Betão
sob Excitação Ambiente (in Portuguese). Master Thesis, Instituto Superior Técnico,
Universidade Técnica de Lisboa, Lisbon, Portugal, 2005.
[2] M. Dowling, Nonlinear Seismic Analysis of Arch Dams. PhD Thesis, California Institute
of Technology, California, USA, 1988.
[3] S. Küçükarslan, Dam-Reservoir Interaction Including the Reservoir Bottom Effects in
Time Domain. 16th ASCE Engineering Mechanics Conference, July 16-18, University
of Washington, Seattle, 2003.
[4] Y. Toyoda, M. Ueda, H. Shiojiri, Study of Joint Opening Effects on the Dynamic
Response o fan Existing Arch Dam. 15th ASCE Engineering Mechanics Conference,
New York, USA, 2002.
[5] J. Proulx, P. Paultre, J. Rheault, Y. Robert An Experimental investigation of water level
effects on the dynamic behaviour of a large dam. Earthquake Engineering and Structural
Dynamics, pp 1147-1166, 2001.
[6] S. Oliveira, J. Rodrigues, P. Mendes, A. Campos Costa. Damage Characterization in
Concrete Dams Using Output Only Modal Analysis. Proceedings of XXII IMAC, 2004.
[7] A. Cunha, E. Caetano, R. Delgado Dynamic Tests on a Large Cable-Stayed Bridge. An
Efficient Approach, Journal of Bridge Engineering, ASCE, 6(1), 54-62, 2001.
[8] J. Rodrigues Identificação Modal Estocástica. Métodos de Análise e Aplicações em
Estruturas de Engenharia Civil. PhD Thesis, Engineering Faculty of Porto University,
Porto, Portugal, 2004.

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[9] F. Magalhães Identificação Modal Estocástica Para Validação Experimental de Mode-

los Numéricos Master Thesis, Engineering Faculty of Porto University, Porto, Portugal,
2004.
[10] PNRC (LNEC-FEUP) Estudo de processos de deterioração evolutiva em barragens de
betão. Controlo da segurança ao longo do tempo. Program of Candidacy to the
National Program of Scientific Re-equipment of FCT, 2002.
[11] R. Geier, S. Deix, R. Prethaler On-line Monitoring and Reliability Assessment of
Bridges. 1st IOMAC, 2005.
[12] M. Link Updating of Analytical Models – Basic Procedures and Extensions, Modal
Analysis and Testing (J.M.M. Silva and N.M.M. Maia, eds), NATO Sciences Series,
Kluwer Academic Publications, 1999.

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