'This paper demonstrates the applicability of

the finite element method in

solution of
typical boundary value
in geotech
engineering. "

Finite Element Studies of Ambuklao

and Caliraya Dams
by

Ronaldo 1. Borja, Ph. D.**

ABSTRACT
In the last two decades the finite element method has experienced tremendous growth in both theoretical
and applications. This paper explores the usefulness of this numerical method in the area
of geotechnical
incorporating into the
complex factors that cannot readily
be handled by closedform procedures such as dynamic behavior, material nonhomogeneities, plasticity.
and creep.
Subjects of the studies were two hydroelectric
dams in the Philippines, namely. Am, buklao and
its
studies were performed of Ambuklao Dam to
induced by the earthquake of April, 1985. A creep analysis of Caliraya
the conventional incremental plasticity
and a recently
Dam was also carried out
constitutive model to predict the dam's time-dependent deformation behavior in the next 40 years.

INTRODUCTION
are often faced with a
of complex engineering problems for which no stan
dard sol
are available Particularly in the area of
ical
the:
of dif
number of
ficulty of problems normally encountered can be enormous considering that a
complex factors such as material nonlinearities and non homogeneities may be nvolved.
In the past. solutions of so-called nonstandard engineering problems were done either on a
purely empirical basis or via simplifying assumptions aimed at reducing the problem to one where
a standard solution is available. Oftentimes, the results obtained from any of these approaches were
either highly inaccurate or
unrealistic.
With the advent of high-speed computers and exceptional growth in the development of nume
rical
are now able to incorporate as many details as are necessary into the
solution. Among the existing numerical
the finite element method seems to have gained
the most favorable acceptance,
because of its reliable accuracy as well as its versatility when
to different classes of
problems.
This paper demonstrates the computational
lity of the finite element method in solving
I boundary value problems in the area of geotechnical
neering.
of the studies are
Paper presented at the 1985 Philippine Institute of Civil
National Convention held at the Valle
Verde Country Club, Pasig, Metro Manila. November 2829, and at
sponsored by the Philippine Society of
Geology, in cooperation with the
Society of the
Philippines and the Philippine Institute of Mining, Metal
and Geol
Engineers, MetroManila Chapter,
held at the Silahis International Hotel, Manila, December 17, 1985; paper printed with permission of the Nationlll
Power Corporation of the Phil ippines.
** Assistant Professor of Civil
University of the Philippines, Diliman, Quezon City.

56

the Ambuklao and Caliraya Hydroelectric Dams on a

conditions. The behavior of the
long-term sustained loadings are investigated.

at
to seismic excitation and

HOW AMBUKLAO DAM SWAYS AS THE GROUND

Am
Dam is a
AmHydroelectric Project owned
The dam serves a drainage area of about
of Luzon.
The dam has a crest height
metamorphic rocks and diorite.
Iy
the dam and reveals two
basic material zones represented by the central clay core and outer
shells with layers of filter
materials in between.
On April 24, 1985 a strong earthquake shookthe
a remedial
under, a numerical
taken to ensure its safe
the dam's dynamic
response to ground shaking was
The study was confined to the determination of the dam's fundamental periods of vibration
and mode shapes as no time history of ground
was
to
a complete analysis
possible.
bu

50

SCALE. IN METERS

HIGH WATER EL. 752.0

SLOPE CHANGE

SLOPE CHANGE

GROUT CURTAIN

For dynamic
tion at time station

Through the Am buklao Dam

brium
a body in motion the governing finite element-based matrix equa
can be written as follows:

(1 )

57

where M, C, and K are the consistent global mass, damping, and stiffness matrices, respectively, dn
is the global vector of nodal accelerations, d is the global vector of nodal velocities, d n is the global
n
vector of displacements, and f/1 is the vector of consistent nodal forces for the applied surface
tractions and body forces (including the inertia term - Mil due to seismic excitation) grouped
together. If the forcing functions on the right hand side of (1) afe given explicitly, the displacement,
velocity, and acceleration profiles can be determined by temporal discretization (e.g., Newmark
integration schemel or by modal superposition. For a complete treatment of the subject, the reader
is referred to Owen and Hinton (1980).
Let the displacement, velocity, and acceleration vectors be of the form

aeiwt
d :::: iwa/wt
d == _w 2 wt

(2a)

::::

(2b)

ai

(2c)

where w is the angular frequency associated with mode shape a, i = 1=1, and t is time. The eigen
value problem for an undamped finite element system requires the determination of the non-trivial
solutions to the homogeneous equations
J

(3)

( - w-M + K)a == 0
by setting the determinant of the coefficient matrix

(4)

In general, equation (4) will result in ncq roots or vibration modes corresponding to the total num
ber of free nodal degrees of freedom for a given finite element mesh.
Assuming that 1\1 admits the factorization
(5)

in which L is either upper triangular or diagonal, equation (3) can be reduced.to the standard form
?

(6)

( S - Iw-)b == 0

where S:::: L -1, KL -T is a real symmetri~ matrix, b == L'a, and I is the identity matrix. The same
roots of (4) can be obtained by setting

IS - Iwl[

(7)

= 0,

w/,

solving for the eigenvalues

and evaluating the eigenvectors b i of the matrix S. The back
substitution process 3 == L -1 b leads to the original eigenvectors or mode shapes of equation (3).
i
i
If M is a diagonal, the factorization step indicated in (5) is rendered trivial since L == LTas L
also becomes diagonal. Consequently,

L= 1M
which impiies that Li

(8)

=fiJj where Li and Mi are the ith diagonal

58

elements of Land M, respectively.

Matrix diagonaiization of M can be achieved by lumping masses at the nodes. Consider the
following finite element expression for M written on the element level (consult Owen and Hinton,
1980) :

(9 )

where m~b is a ty
submatrix of me associated with element nodes a and b, Na and Nb are the
nodal
function
m is mass density, and n e is the element domain. It can be seen
that if the numerical integration of (9) is performed at the element nodes, me diagonalizes since
== I,

0,

when a = b
otherwise,

(10)

where I nd 0 are identity and null matrices,

Numerical Solution
The computer program used in the
is a
multipurpose finite element program
called SPIN 20. A module of this program performs the matrix operations outlined in the pre
ced ing secti on for
and eigenvector determ i nati on. The consistent mass and stiffness
matrices are com
and assembled internally for linear elastic or
materials
obeying the associative flow rule. Element
can be any of the standard four-,
or nine
noded
quadrilateral elements.
The finite element mesh used for the dam problem is shown in Figure 2. Ignoring some minor
material and geometric irregularities indicated in Figure 1, the cross section of the dam was
assumed to be symmetric about its centerline.
The mesh consists of 48 nodes and 35
4-noded quadrilateral
nodes were assumed campi
fixed at the
leaving a total number of 2x (48 6) 84 de
grees of freedom or vibration modes.
Numerical
is facilitated by a standard 2x2 Gauss quadrature rule on each element.
The material constants for each element were evaluated at the element centroid.
for the
elements were lumped at the nodes via selective numerical
discussed in the preceding
section.
solver of the iterative-type was used for evaluating the vibration
and
mass matrix factorization/back substitution steps of the preceding section were
mode
em
Material
2 were divided into two material groups
The thirty five elements of the mesh shown in
each
the inner
core and the outer rock fill materials. Material properties
group were estimated from the following:
bility, and
Core.' Estimates of the soil's index
1.
were
test pits dug at the clay core
test resu Its on
based on la
section of the dam.
Table 1 summarizes the average values of compressibil
parameters used in the
These values, obtained from five-one dimensional consolidation tests, exhibit a consistently stiff
middle clay core material.
behavior characteristic of a well-com
59

~O

1!50
HORI

2
L

1. finite

250
ES

350
J

Mesh for Ambuklao Dam

400

450

Triaxial compression tests were also performed for shear strength determination, with cohe
(/) adopted as strength indicators. The average values of C and (j) are
sion C and friction
tabulated in
2 for various types of
; namely. unconsol
undrained
Ul. con
solidated undrained (CU), and consolidated
(CD), Also shown in Table 2 are the strength
properties obtained from saturated, consolidated-drained, direct shear tests.
The clay's
behavior was modelled using the Cam Clay theory
by
Roscoe and Burland (1
. This model assumes an
stress-s'Lrain
behavior in which the yield surfaces are a family of ellipsoids centered about the hydrostatic axis.
Although the clay core material may have been preconsolidated to a certain degree due to aging,
the inertia loads were assumed
enough to
yielding. An elasto-plastic stress strain
matrix of the form
by Borja and Kavazanjian (1
was used in
stiffness matrix
formation.
2. Rock Fill. Rock-fill materials were assumed to be isotropic and linearly elastic with the
following material constants:
ratio
v
0.30
Young's modulus E "" kp
where p is the mean normal stress and k is a constant (Lambe and Whitman, 1969),

T'a b Ie
Ambuklao Dam: Central
Compressibility
1. Swelli
Cam Clay Index

Index

0.027
0.012

.... ..... .. ,
. . . . . . . ... . ..

2. Virgin Compression Index

Clay Index
3.

on the

Core

0.43Cc

1 ton/sq.m.
Void Ratio at p
consolidation line

0.153 0.018
0.066 0.008

...

... . , . .. ....
~

0.70

Table 2
Am buklao Dam'
Clay
Parameters
Type of Test
A.

8.

Triaxial
1 . UU
2. CU
3. CD

Friction
Angl e (j;, deg

Cohesion,
tons/sq.m.

21
24
29

6.4

3.8

128
103

40

1.2

variable

Initial
modulus

variable

6]

above
for E necessitates an estimate of the stress distribution within the dam due
to gravity loads. A
iminary statical analysis was performed to obtain these self weight-induced
stresses for use as input in the eigenvalue
The constant k was determined from a calibration study based on a recorded horizontal move
ment
4
of a bench mark in the middle of the dam's crest when the reservoir was gradually
740
the wet season of 1
to early 1
(Fucik
filled to spillway crest
Edbrooke, 1958). From this study, the constant k was estimated to be about
Results
Shown in
3 are the mode shapes defining
first five
Mode 1 has a fundamental period of 3
seconds and appears to be a
3a).
mode
not seem to result in significant
change.
y distortional.
are
Mode 2 has a fundamental
of 2.52 seconds (Figure
. Oscillations are
Iy ver
tical, resu
in significant volume
. The
components of displacements are sym
metric about the centerline, causing lateral expansion to develop at the crest during the time instant
At another time instant not shown, the top zone of the dam may also contract
shown in Figure
are reversed.
du
oscillation as the nodal d
3 through 5 appear to be higher
vertical and sidesway modes (Figure
d, e).
M
Mode 4 is a higher level
mode having a period of 1.77 seconds (Figure
two vertical mode shapes
3b and d are worthy of note. The deformed
In
lities
the inner
shown are clearly
clay core and the outer rock-fill materials, the more com
inner material apparently tending
to "pull" the less compressible rock-fill to a state of larger deformation.

MODE

(a )

(b)

'0

."

(c )

(d)

MODE
2
3
4
5

//

PERIOD. SEC.
3.23
2.52
1.83
I. 77
1.45

(e)

Figure 3. Ambuklao

. The

62

Five Modes

Vibration

DAM: PREDICTION OF CREEP AND CYCLIC MOVEMENTS

Background

Hydroelectric Dam of Lumban, Laguna is part of the Kalayaan Power Plant Sys

the National Power Corporation of the Phi

tem
The 45 meter-high dam sits on a volcanic bedrock
primarily of agglomerate and
basalt with its main dike spanning about 300 meters across the Caliraya River. Constructed of rolled
earth fill
clay to silty
composition, the dam was
about forty years ago and has
since served as a water impounder until the
of the
in 1982.
As part of an on-going project study to assess the dam's present
a finite element
deformation anal ysis was conducted. The results presented in this paper cover the prediction of dam
movements due to the reservoir drawdown!filling as well as creep deformations expected to develop
in the next forty years.
The Cal

is based on an
e numerical algorithm
oyed in the
rate constitutive
of the form (summation implied on repeated subscripts)
-

creep-inclusive

I ..
O
If

(11)

where 0ij is the Cauchy stress tensor, Ekl is the small strain tensor, Cijkl is the material
n tensor, and the overdots denote a material time differentiation. The quantity o. t ". .IS
IJ
the stress relaxation rate due to creep which is converted into element
pseudo-forces via
(1

where B is the strain-displacement matrix and

is the element
" For a
of the development of (11), the
is referred to Borja and Kavazanjian (1985).

discussion

300

~
~

280

<!

>
w
...J

\(

260

"

240

20

40

60

80

100

120

140

HORIZONTAL COORDINATES, M.

4. Finite

Mesh for Caliraya Dam

63

at Sta. 0+380

160

Numerical Solution
The finite element program used in the analysis is a module of SPIN 20 which performs the
time integration of (11) by the conventional incremental theory of plasticity.
The finite element mesh for the dam is shown in Figure 4 for cross section at Sta. 0+380. The
mesh consists of 87 nodes of which 20 are fixed and 73 isoparametric 4-noded quadrilateral ele
ments, resulting in a total number of 2x (87-20) = 134 unknown degrees of freedom. The numerical
integration rules employed are as discussed in Section 2. Material properties used are as summarized
in Tables 3 and 4.
Initial stresses are required as input data to enable complete definition of initial states of stress
and their positions relative to the corresponding yield surfaces. Initial stresses are due to both the
dam's self weight and hydrostatic pressure. acting normal to the upstream face of the dam , as the
reservoir was filled to design capacity.

Table 3

Caliraya Earth Fill Dam

Compressibility & Creep Parameters

1.

Swelling/Recompression Index
Cam Clay Index
X
0.43 Cr

Cr

0.0250
0.0109

'2.

Virgin Compression Index

?-
Cam Clay Index

Cc

0.2500
0.1090

Ca

0.0067
0.0029

0.43 Cc

3.

Secondary Compression Index

lj;
0.43 Ca
Natural Log Index

4.

Average Void Ratio at p = 1 ton/sq.m.

on the isotropic consolidation line

. . . . . . . . . . . . . . . . . .. 1.55

Tab Ie 4

Caliraya Earth Fill Dam

Strength Parameters

Type of Test

Friction
Angle dJ, deg.

Cohesion
C , tons/sq.m.

1.

UU

25

4 .9

2.

CU

15

10 .6

3.

CD

18

6.2

To obtain the self weight-induced stresses an elastostatic analysis was performed using an
average soil unit weight of 1 .76 tons/sq.m. (standard deviation:: 0.16 ton/sq.m. from lab test re
SUlts). Superimposing the additional stresses due to hydrostatic pressure as the reservoir was filled
to Elev . 288, the total principal stresses and their directions are as depicted in Figure 5.
64

Discussion of Results

1.

movement due to creep. Under sustained initial stresses resulting from gravity and
loads
finite element was a Ilowed to creep according to the secondary compression
equation. A com
definition of all the com
of creep strain was
by employing
normality rule on the same elli
yield surfaces as in the ti
plasticity model.
Figure 6 illustrates the d
ent
due to creep
to develop over the next
forty year:.. A maximum crest settlement of about 10 centimeters can be seen from this
e.
A time history of movement due to creep of a
at the center of the dam's crest is
also plotted in Figure 6. As a
on the correctness of the above
the soil was
assumed to have aged
tv 40 years from the time that the dam was completed. Over the next
40 years, the settlement due secondary compression of a dam 45 meters high is estimated
to

6t y
Cex
10 910 ( 1 + - ) x 45.0 meter
1+e
tv

Oy

0.0067
1 + 1.0
0.050

(1 +

10

40.0
) x 45.0
40.0

meter.

With movements due to shearing distortion still to be included, the above check verifies the pre
dicted settlement of 0.10 meter obtained from the computer analysis.
, 2. Cyclic movements due to
drawdown and filling. High and low water elevation of
289 m. and 286 m.,
vely, were recorded for
Lake during the period
ry 1983 to
1984.

Choosing Elev. 288 m. as a reference elevation, predicted displacement profiles due to reservoir
drawdown and fil
are as plotted in Fig. 7.
results of
7 were obtained from elastic
As permanent strains are
with elastic constants derived from the Cam Clay
to become reasonably small after several
a stable hysteresis loop was
assumed.
It can be seen from Fig. 7 that a maximum displacement of about 1 cm is likely to occur in the
neighborhood of nodes 19 and 21 as the water elevation fluctuates from Elev. 286 to Elev. 289.
This movement is considered small to cause serious cracking in the dam's u
concrete
provided that the drawdown/filling rates are slow
I

I
1

.,

+ +

DAM
SCALE

STRESS SCALE
TONS/M2.

METERS

Figure 5.

Dam: Total

and Directions
65

,n
l-

DAM
SCALE

w
'::I

III

0.5

....l

I
5

DISPLACEMENTS
SCALE

10 15 METERS

t-'-I---i
0

0.1 0.2 METER

Il.
It)

i5
Il.

w
w

a:

....l

1965

1.0

10.0

100.0

TIME AFTER DAM'S COMPLETION, YRS.

Figure 6. Caliraya Dam:

I";'_U'-'LI";.U

Creep Displacement ProfIle

FILLING TO

EL.289\.--=_'1
REFERENCE

PROFILE "\

..

~:::.-

DISPLACEMENTS
SCALE

,'-'-+--1
o 0.01 0.02 METER

DAM

SCALE

5 10 15 METERS

Figure 7. Caliraya Dam: Cyclic Movement Due to Reservoir Drawdown

Filling

CONCLUDING REMARKS
This paper demonstrates the
lity of the finite element method in the solution of
typical boundary value problems in geotechnical engineering.
Although the results
in this paper were establ ished a priori and remain subject to
verification by actual field instrumentation, it was demonstrated that the above numerical method
can be
useful in accounting for complex factors such as material nonlinearities and non
ies into the solution.

ACKNOWLEDGMENT

The author wishes to thank

Salvador F. Reyes of the Department of Civil Engineering,
Un
of the Phil
for his helpful comments and suggestions. Funding for these studies
of the Phil
on a joint Ambuklao/Caliraya
was provided by the National Power
remedial project research.

REFERENCES
1. BORJA, R.1. and KAVAZANJIAN, E. JR. (1

time behavior of 'wet'

A constitutive model for the stress-strain

No.3,

2. FUCIK, E.M and EDBROOK

R.F. (1958), Ambuklao rock-fill dam,

and
Journal of the Soil Mechanics and Foundation Division,
vol. 84, No.
to 1864-22.

3.

pp. 1864-1

LAMBE, TW. and WH ITMAN, R.V. (19691. Soil Mechanics, Wiley, New York.

4. OWEN, D R .J. and HINTON, E. (19801. Finite Elements in Plasticity: Theory and
Pi
Press Limited,
U,K.
5. ROSCOE, K.H. and BURLAND, J.B. (1
On the generalized stress-strain behavior of 'wet'
clays, Engineering Plasticity, Cambridge, pp.

67