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INTERNATIONAL SYMPOSIUM ON Bali, Indonesia, June 1 ST – 6 TH , 2014 Investigations of seismic behaviors of ECRD 1 and CFRD 2 using dynamic centrifuge tests and 3D numerical Dong Soo Kim Korea Advanced Institute of Science and Technology, Daejeon, Korea [email protected] Young Kyu Cho Korea Advanced Institute of Science and Technology, Daejeon, Korea Mu Kwang Kim Hyundai Engineering Co., LTD., Seoul, Korea ABSTRACT The objectives of this research are to investigate the seismic behaviors of dams using dynamic centrifuge tests and to assess the important variables on dam safety using three dimensional (3D) numerical simulations calibrated by centrifuge test results. Earth-core rock-fill dam (ECRD) and concrete faced rock-fill dam (CFRD), which are broadly used in dam constructions, are main targets of this study. The dynamic centrifuge tests are carried out on ECRD and CFRD virtual scale models which size is scaled down one-tenth of the prototype. Amplification characteristics of seismic motion in dam body and settlement on the crest of dam were studied by changing seismic intensity of input earthquake motions. 3D numerical simulations are conducted on the model size and the reliability of the simulation was assessed by comparing numerical results with centrifuge results. Then, the numerical simulations are carried out on prototype of ECRD and CFRD and the effects of various parameters on the seismic stability of dams are assessed. As a result, the seismic behavior and the safety of ECRD and CFRD dams under earthquake loading are reliably understood via dynamic centrifuge tests and 3D numerical simulations. Keywords: Seismic behaviors, ECRD, CFRD, settlement, Dynamic centrifuge tests, 3D numerical simulations 1 ECRD : Earth Core Rock-fill Dam 2 CFRD : Concrete Faced Rock-fill Dam Abstract Number : DAMs IN A GLOBAL ENVIRONMENTAL CHALLENGES

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INTERNATIONAL SYMPOSIUM ON

Bali, Indonesia, June 1ST – 6TH , 2014

Investigations of seismic behaviors of ECRD1 and CFRD2

hhdTTjjhkljdjjsgshjhfsdkjhskslsl;s;s;;s;;s;;sjsjkjffffrtttttttfggjfgjgkfkjkjf fffffjfjjfkkfjjjusing dynamic centrifuge tests and 3D numerical simulation

Dong Soo KimKorea Advanced Institute of Science and Technology, Daejeon, Korea

[email protected]

Young Kyu ChoKorea Advanced Institute of Science and Technology, Daejeon, Korea

Mu Kwang KimHyundai Engineering Co., LTD., Seoul, Korea

ABSTRACTThe objectives of this research are to investigate the seismic behaviors of dams using dynamic

centrifuge tests and to assess the important variables on dam safety using three dimensional (3D) numerical simulations calibrated by centrifuge test results. Earth-core rock-fill dam (ECRD) and concrete faced rock-fill dam (CFRD), which are broadly used in dam constructions, are main targets of this study. The dynamic centrifuge tests are carried out on ECRD and CFRD virtual scale models which size is scaled down one-tenth of the prototype. Amplification characteristics of seismic motion in dam body and settlement on the crest of dam were studied by changing seismic intensity of input earthquake motions. 3D numerical simulations are conducted on the model size and the reliability of the simulation was assessed by comparing numerical results with centrifuge results. Then, the numerical simulations are carried out on prototype of ECRD and CFRD and the effects of various parameters on the seismic stability of dams are assessed. As a result, the seismic behavior and the safety of ECRD and CFRD dams under earthquake loading are reliably understood via dynamic centrifuge tests and 3D numerical simulations.

Keywords: Seismic behaviors, ECRD, CFRD, settlement, Dynamic centrifuge tests,3D numerical simulations

1. INTRODUCTION

Recently, earthquake has frequently happened all over the world and the existing dams which had been constructed with insufficient earthquake-resistance design can be exposed to the seismic excitation. Although the evaluation of seismic behavior on dams under this vulnerable situation becomes important, there is deficient information relating to experimental and/or field data. When it comes to the construction of dams, earth-core rock-fill dam (ECRD) and concrete faced rock-fill dam (CFRD) have mainly been exploited all

1 ECRD : Earth Core Rock-fill Dam2 CFRD : Concrete Faced Rock-fill Dam

DAMs IN A GLOBAL ENVIRONMENTAL CHALLENGES

Abstract Number : 052

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over the world. ECRD is composed of rock-fill zone and core zone which contains clayey soil. CFRD consists of rock-fill zone and has concrete facing slab on upstream which prevents water from flowing into dam body. Some of these dams have been exposed to the risk of the strong seismic excitations (Uddin. 1999, Xu 2008). To reduce the seismic risk on dams, there have been several researches on seismic behavior of dam which are mostly based on theoretical and numerical analyses and a few centrifuge modelings which can simulate in-situ stress condition (Gazetas 1987, Ng et al. 2004). However, the reliability of analysis and modeling process has seldom been evaluated. In this paper, the seismic behaviors of ECRD and CFRD which are the representative

dams in Korea have been evaluated by centrifuge test and numerical modeling. By comparing numerical and centrifuge results, the numerical models of FLAC-3D was calibrated. Parametric tests for the settlement at the crest of dam were performed using FLAC-3D for prototypes of ECRD and CFRD considering material properties of rock-fill and core zones in Korea obtained by field test data base. Finally, the criterion of dam crest settlement during earthquake in Korea was reviewed based on simulation results.

2. CENTRIFUGE TESTING

2.1. KAIST centrifuge facility

The KAIST beam centrifuge of 5m radius has the maximum capacity of 2400kg at 100g centrifugal acceleration. As equipped with an in-flight earthquake simulator operated by an electro-hydraulic system, it can generate the earthquake loading. This earthquake simulator at 40g centrifugal acceleration is able to make maximum ground acceleration of 0.5g in prototype scale. Details of centrifuge equipment and earthquake simulator were discussed in the literature (Kim et al. 2013, Kim et al. 2013).

2.2. Model preparation and testing

The models of ECRD and CFRD which are the representative types of Korean dams were made as illustrated in Fig. 1. The slope of ECRD was 1:1.7 in the up & downstream, whereas CFRD was 1:1.4. It was difficult to directly apply the centrifuge scaling law to the prototype of dams due to the limitation of the container’s size, thus virtual scale models were made by scaling down one tenth of the prototype with proper consideration of material properties. ECRD was composed of rock-fill and core zones. On the other hand, CFRD was only composed of rock-fill zone and had facing slab which was manufactured by HDPE (high-density polyethylene) to simulate the bending stiffness of the actual slab. The flow of the water in upstream into the body of dams was not considered because this study mainly examines the overall seismic response of dams. The properties of materials which were utilized in this study are illustrated by Table 1.Ofunato earthquake record was utilized as an input motion which has the characteristics of short period earthquake and is the most probable earthquake occurring in Korea. This study primarily focused on the characteristics of acceleration amplification and the deformation of dam body. To measure those physical quantities, the accelerometers were installed in various depths of dam body. By using laser displacement sensors, the vertical displacement (settlement) could be measured, whereas the horizontal displacement could be obtained from the images-processing captured by a high-speed camera. In addition, the eight pairs of strain gages were attached to both sides of HDPE in CFRD to evaluate bending moments and axial forces acting on HDPE.

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Table 1. Material properties of centrifuge model materialsProperty ECRD - Rock-fill ECRD - Core CFRD - Rock-fillγd (g/cm3) 2.02 1.92 2.10Water content, w (%) 4.0 9.0 4.0γt (g/cm3) 2.10 2.10 2.10Cohesion, c (kPa) 2 64 8Friction angle, ϕ (deg.) 40 33 43

(a) ECRD

(b) CFRD

Figure 1. Cross-sectional diagram for model set up and instrumentation in model scale:

(a) ECRD and (b) CFRD (Kim et al. 2011)

By sequentially increasing the peak base acceleration starting from the smallest one, the stage test was conducted. This test results will be discussed later on by comparing them with the FLAC-3D results. The information on model preparation and testing program had been described by Kim et al. (2013) in detail.

3. NUMERICAL SIMULATION BY FLAC-3D

3.1. Finite difference model

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In this study, FLAC-3D has been used to numerically verify the response characteristics of dam structures by considering nonlinear behavior of soil during an earthquake. FLAC-3D is based on finite difference analysis program and also adopts explicit time integration method when it runs dynamic analysis. Soil is composed of hexahedral solid element and the maximum size of an element are determined by the Eq. 1 considering the wavelength of an earthquake motion (Kuhlemeyer and Lysmer, 1973).

Δl ≤ λ10

, f ≤V s

10 × Δl (1)

In the case of ECRD, the maximum size of an element is 90cm so that it could make it possible to propagate the earthquake motion less than 15Hz at the crest of dam body by considering the minimum shear wave velocity of 140m/s. In the case of CFRD, the maximum size of an element is 100cm so that it could make it possible to propagate the earthquake motion less than 15Hz at the crest of dam body by considering the minimum shear wave velocity of 200m/s. Therefore, it is enough to transfer the bandwidth of the energy of Ofunato earthquake utilized in this analysis. The number of the generated elements in this analysis is about 2,500 to 3,500. Fig. 2 represents 3D models of ECRD and CFRD in dynamic numerical analysis.

(a) ECRD (b) CFRD

Figure 2. Finite difference model of ECRD and CFRD

3.2. Numerical modeling and boundary condition

3.2.1. Boundary condition and input earthquake motionIn a numerical dynamic analysis, there are two types of applying input motion which are

within layer motion and outcrop motion. To define these two motions, rigid base condition and compliant base condition should be defined. In other words, rigid base should be required to define within layer motion and compliant base condition corresponds to outcrop motion (Mejia and Dawson, 2006). In the case of the horizontal boundary condition, free field element is used by Lysmer and Kuhlemeyer (1969). This free field element is infinite element and has dashpots of vertical and horizontal direction so that it can represent the energy dissipation of earthquake at the boundary of model. The characteristics of behavior on ESB box which apply to free field element in centrifuge test were described by Lee et al. (2013) in detail.

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Base rock motion was measured at the lower part of ESB box. Assuming that the reflected wave at the upper part of ESB box does not affect base rock motion because ESB box is very stiff and the distance which the reflected wave travel is very short, base rock motion can be regarded as outcrop motion. Therefore, dynamic analysis of this study is carried out by applying compliant base condition to the bottom of dam body and using outcrop motion as an input motion.

3.2.2. Soil propertiesThe shear wave velocities of core and rock-fill zones of ECRD and CFRD are obtained

from the Eq. 2 which relates to the confining pressure (σ c) derived from resonant column test.

V S=109.0 ∙ σC0.24 for ECRD rock-fill zone

V S=0 41.8 ∙ σC0.39 for ECRD core zone (2)

V S=100.4 ∙ σC0.24 for CFRD rock-fill zone

Based on the above equation, the maximum shear modulus which is one of the elastic modulus has been determined by the Eq. 3.

Gmax=ρ ∙V S2 (3)

Fig. 3 shows the nonlinear behavior of soils at two confining pressures. This characteristic is approximated by using Sigmoidal 3 model built in FLAC-3D. To consider the minimum damping ratio at very low strain level, Rayleigh damping has been used. For facing slab, shell element which consists of DKT-CST (discrete Kirchhoff triangle-constant strain triangle) has been used to represent plate behavior (Cook et al. 1989).

0

0.2

0.4

0.6

0.8

1

1.2

0.0001 0.001 0.01 0.1 1

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mal

ized

Shea

r mod

ulus

(G

/Gm

ax)

Shear strain (%)

Rock-fill 25kPaRock-fill 50kPaCore 25kPaCore 50kPa

02468

10121416

0.0001 0.001 0.01 0.1 1

Dam

ping

ratio

, D (%

)

Shear strain (%)

Rock-fill 25kPaRock-fill 50kPaCore 25kPaCore 50kPa

(a) Shear strain – Shear modulus degradation curve (b) Shear strain – damping ratio curve

Figure 3. The degradation curves for shear modulus and damping ratio

4. COMPARISONS BETWEEN CENTRIFUGE AND NUMERICAL RESULTS

4.1. Amplification characteristics of acceleration

In this numerical analysis, four cases earthquake intensities are applied for ECRD and CFRD, respectively. Their peak ground acceleration of the input bed rock motion for ECRD are 0.07g, 0.10g, 0.22g, and 0.35g and those for CFRD are 0.13g, 0.29g, 0.42g, and 0.57g. Comparisons of typical acceleration time histories and Fast Fourier Transformation measured at a given location in centrifuge and FLAC-3D are illustrated in Fig. 4. Most of

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results from FLAC-3D are in quite good agreement with centrifuge test results showing the reliability of numerical simulation. Fig. 5 represents the distributions of PGA with the height of dam where accelerometers are installed in the centrifuge model.

-0.5

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-0.1

0.1

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lera

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PGA : 0.22g

Rock-fill Rock-fillCore

0

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0.1 1 10

Four

ier A

mpl

itude

(g-s

ec)

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PGA : 0.22g

(a) Typical acceleration time history for ECRD (b) Typical FFT for ECRD

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0.25

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1.25

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PGA : 0.42g

Facing slab

Rock-fill

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ier A

mpl

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(g-s

ec)

Frequency (Hz)

Centrifuge FLAC 3D

PGA : 0.42g

Facing slab

Rock-fill

(c) Typical acceleration time history for CFRD (d) Typical FFT for CFRD

Figure 4. Acceleration time history and FFT for ECRD and CFRD

0

1

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)

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0.07g Centrifuge 0.10g Centrifuge 0.22g Centrifuge 0.35g Centrifuge0.07g FLAC 3D 0.10g FLAC 3D 0.22g FLAC 3D 0.35g FLAC 3D

Rock-fill Rock-fillCore

0

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ht (m

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0.07g Centrifuge 0.10g Centrifuge 0.22g Centrifuge 0.35g Centrifuge0.07g FLAC 3D 0.10g FLAC 3D 0.22g FLAC 3D 0.35g FLAC 3D

(a) PGA profile for ECRD (b) Normalized PGA for ECRD

0

1

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ht (m

)

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0.13g Centrifuge 0.29g Centrifuge 0.42g Centrifuge0.57g Centrifuge 0.13g FLAC 3D 0.29g FLAC 3D0.42g FLAC 3D 0.57g FLAC 3D 0.57g FLAC 3D after damaged

Facing slab

Rock-fill

0

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Heig

ht (m

)

Normalized Acceleration

0.13g Centrifuge 0.29g Centrifuge 0.42g Centrifuge0.57g Centrifuge 0.13g FLAC 3D 0.29g FLAC 3D0.42g FLAC 3D 0.57g FLAC 3D 0.57g FLAC 3D after damaged

(c) PGA profile for CFRD (d) Normalized PGA for CFRD

Figure 5. PGA profile for ECRD and CFRD

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together with those by FLAC-3D. The earthquake motion is amplified through the dam body and the comparisons between centrifuge and FLAC-3D are in good agreement at base loading intensities below about 0.3g. The amplification ratio for ECRD was a little higher than that for CFRD because of the different zoning of materials. At high intensity loadings, the degree of agreement is sometimes not good because stage tests were carried out for centrifuge model contrary to FLAC-3D where each loading step is independently applied. The cases for those strong bed rock motions in centrifuge model, the rock-fill zone as well as the core zone became softer due to the accumulated effects of loadings. The comparisons with original and damaged material properties were also shown at loading intensity of 0.57g for CFRD.

4.2. Settlement at the crest of dam body

The settlement was measured at the center on the crest of dam body. The residual settlement was defined as a specific converging value at the last part of earthquake loading. Due to stage test in centrifuge model, the cumulative settlement was calculated as accumulating the residual settlement starting from the initial settlement. Figure. 6 shows the cumulative settlement at the crest of dam body depending on PGA of input bed rock motion.

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-5

0

5

100 0.1 0.2 0.3 0.4 0.5 0.6

Cum

ulati

ve se

ttle

men

t (m

m)

Maximum bedrock acceleration (g)

-5

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ttle

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m)

Maximum bedrock acceleration (g)

Initial crest level

ECRD

First yield

Second yield

Initial crest level

CFRDLoosening

Sliding

(a) Centrifuge test (b) FLAC 3D

Figure 6. The cumulative settlement at the crest of dam body

For ECRD, there are relatively small settlement before PGA of 0.22g, but large settlements happen at PGA of 0.22g and 0.35g. This phenomena is caused by yielding of core material due to the relatively strong motion. The pattern of the cumulative settlement in FLAC-3D is similar to that in centrifuge tests. To identify the effect of damaged zone due to consecutive earthquake loading after initial yielding happens at PGA of 0.22g, large

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cumulative settlements are depicted by Fig. 6 (b) for the case of 0.22g and 0.35g in FLAC-3D by modifying material property softer.For CFRD, there were small cumulative settlement until PGA of 0.3g but the unexpected

dilation on the surface at PGAs of 0.37g and 0.45g. Because dam body consisting of rock-fill material had been very densely compacted during model preparation, this phenomenon occurs. This is the same phenomenon which occurred in Zipingpu CFRD when earthquake happened at Sichuan area in China (Xu 2008). After loosening, the crest of dam body abruptly settled down at final earthquake loading of 0.57g. The FLAC-3D cannot simulate the dilation of dam body but the pattern of the cumulative settlement with damaged property is similar to that in centrifuge modeling.

5. PARAMETRIC STUDY FOR PROTOTYPE DAM

5.1. Material property of ECRD in Korea

Once the numerical modeling was calibrated by comparing with centrifuge test results, parametric study on the settlement at the crest of ECRD were performed for prototype of 52m high. The stiffness of dam materials was selected as a key variable and shear wave velocities of typical rock-fill and core materials were evaluated from the data base measured in the real dams in Korea. Fig. 7 represents shear wave distributions obtained from field test which are classified as upper bound, average, and lower bound. The stiffness of upper bound is about 1.4 times that of average in core and 1.7 times in rock-fill. The stiffness of lower bound is about 0.6 times that of average in core and rock-fill. The parametric study was performed with the stiffness of lower bound, average, and upper bound using Ofunato earthquake record which has peak base accelerations of 0.154g, 0.22g, and 0.35g.

0

5

10

15

20

25

30

35

40

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h (m

)

Shear wave velocity, Vs (m/s)

Upper bound

Average

Lower bound

0

5

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20

25

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35

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0 100 200 300 400 500 600 700 800 900

Dept

h (m

)

Shear wave velocity, Vs (m/s)

Upper bound

Average

Lower bound

(a) Core zone (b) Rock-fill zone

Figure 7. The distributions of shear wave velocity of real dam in Korea

5.2. Settlement criterion of earthquake-resistant design of dam in Korea

The settlement at the dam crest obtained by dynamic numerical analysis should be less than one percent of the dam height to satisfy the safety criteria according to the current earthquake-resistant dam design in Korea. However, there was little examination about whether this criterion is reliable or not, and it is required to assess the reliability of current

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criteria by performing parametric study as changing the dam stiffness as well as earthquake intensities. The right of Fig. 8 represents the typical trend of the crest settlements caused by earthquake on three stiffness conditions. Swaisgood (2003) has gathered the data base between peak bedrock acceleration and settlement ratio and correlated with damage level due to the earthquakes. As depicted in the left of Fig. 8, it is interesting to note that the results obtained by centrifuge modeling as well as by parametric study match well with the trend line. The database above one percent are the cases by the liquefaction of dams during earthquake but most of the other database are below one percent settlement which can provide moderate damage. Therefore, it can be concluded that the current criterion of the crest settlement for safety during earthquake in Korea might be unsafe and it is required to establish more reliable and strict design criterion on settlement.

0.001

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0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9

Cres

t sett

lem

ent R

atio,

Δ

/H (%

)

Peak ground acceleration (g)

CFRD D/BECRD D/BERTH D/BECRD Test ResultsCFRD Test ResultsSwaisgood (2003) : Ms = 6.5

Swaisgood (2003) :settle.ratio (%) =

Rela

tive

degr

ee o

f dam

age

SERI

OUS

MO

DERA

TE

MIN

OR

NONE

Criterion of settlement ratio in Korea 1.0%

Numerical study

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6.50 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Sett

lem

ent (

mm

)

Time (sec)

Upper boundStandardLower bound

Ofunato 0.154g

Figure 8. Relationship between peak bedrock acceleration and settlement ratio with Swaisgood (2003) trend line (left) and typical settlement trend of parametric test (right)

6. CONCLUSION

This paper evaluates the seismic behaviors of ECRD and CFRD via dynamic centrifuge test and the important variables on safety of dam using FLAC-3D based on finite difference numerical models which are calibrated by centrifuge test results. A comparison between centrifuge tests and numerical models is made on the characteristics of acceleration at the center of dam body and the pattern of settlement on the crest of dam body. By conducting parametric study on prototype of dam, it is pointed out that more reliable and rigorous criterion should be established with respect to the earthquake-resistant dam design in Korea.

ACKNOWLEDGEMENTThis research was supported by the Basic Science Research Program through the National

Research Foundation of Korea (NRF) funded by the Ministry of Education, Science and Technology (Grant no. 2009-0080575).

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