International Symposium on “Appropriate technology to ensure proper Development, Operation and

Maintenance of Dams in Developing Countries”, Johannesburg, South Africa, 18 May 2016

© SANCOLD, ISBN 978-0-620-71042-8

SAFETY ASSESSMENT OF AN ARCH-GRAVITY DAM WITH A

HORIZONTAL CRACK
1 2 1
Armin Hadrović , Maziar Partovi and Mili Selimotić
1. Department of Civil Engineering, University “Džemal Bijedić”, Mostar, Bosnia and Herzegovina
2. TNO DIANA BV, Delft, The Netherlands

ABSTRACT

A horizontal crack, in the crest gallery of the arch-gravity Jablanica dam, was observed 40 years ago.
Since then, the crack has propagated across a substantial part of the gallery towards the downstream
face with a continuous and slow increase in width. The problem has been investigated with the help of
a DIANA 3D finite-element dam-foundation model. Calibration of the thermal and elastic parameters of
the model is conducted after a sensitivity analysis with an almost perfect fit of calculated to measured
pendulum movements. The results of time dependent thermo-stress analyses showed that the
concrete temperature change, at a certain period of the season, causes principal tensile stresses
almost perpendicular to the plane of the observed crack. These stresses are sufficient to cause an
opening of poorly executed construction joints, considering a year by year redistribution of tensile
forces to uncracked parts of the tensile surface as the crack propagates. However it has been proved
that the dam is safe in all dynamic and static summer and winter load combinations. This situation is
not due to the tensile capacity of the uncracked part of tensile surface but because crack faces are in
compression at the time of all critical load combinations.

1. INTRODUCTION

Construction of the concrete arch-gravity dam Jablanica started back in the year of 1947. and
continued until it was finally put into operation in 1955. Total height of the dam is 75 m (central block
foundation joint elevation 191 m.a.s.l). Dam consists of 13 vertical blocks with the following 3 galleries
passing through the blocks: "A" (injection gallery at min. elevation 195 m.a.s.l), "B" (control gallery at
elevation 240.5 m.a.s.l) and "C" (crest gallery at elevation 259.8 m.a.s.l). From the very beginning of
its operations, measurements of certain actions, as well as the effects of these actions on the dam
behaviour, were performed.

A horizontal crack (at elevation 261.2 m.a.s.l) in the crest gallery "C" was first mentioned in 1973 in the
document "Report on the technical observation of the HPP Jablanica". The first serious study (ISRP
Mostar 1985), which has defined its geometrical characteristics by ultrasound, was conducted in 1985.
The study showed that the crack was detected in all blocks of the dam through which the gallery "C" is
passing except in block 2. The study also showed that the crack is deepest in the blocks 10 and 11,
located in the left flank of the dam, where it horizontally cuts the entire downstream face of the crest.

As a part of the "Safety assessment of the HPP Jablanica and reasons for crack occurrence in the "C"
gallery" study, a new survey of the dam geometry was performed (Figure 1), existing technical
documentation analysed, the systematisation and statistical analysis of all relevant measurements
throughout the observation period undertaken, as well as extensive laboratory and field investigations.
Based on these analyses and research, it was found that the dam is supported by a mass of gabbro
rock. Due to various degrees of cracking, the mass is partitioned into the three geological zones with
different geo-mechanical properties (Figure 1) which satisfy all the conditions for application of the
Hoek-Brown's failure criterion.

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 Figure 1. Jablanica dam

For the computation necessary to determine the cause of the crack occurrence in gallery "C" and for
all other computations, linear elastic tetrahedral elements with 4 nodes in powerful software
application DIANA were used. Only nonlinearity considered is due to opening of foundation joints and
joints between dam blocks (discreet cracking). The application enabled the performance of the
sensitivity study, adjustment of model parameters, and finally safety assessment of the dam under all
static and dynamic load combinations. The sensitivity study and the adjustment of model parameters
were conducted due to incompleteness in the research works program based on which the thermal
properties of built-in concrete should have been established, as well as the incompleteness of the
relevant measurements in the entire previous period of exploitation of the dam.

Adjustment of certain thermal properties of concrete were performed on the basis of the radial
(upstream-downstream) displacement measurements in gallery "C" of the inverse plumb V2, located in
the central block of the dam (block no. 7), while the measurements of the radial displacement of the
same plumb in gallery "B" were used to check the obtained results.

2. DETERMINATION OF THE REPRESENTATIVE PERIOD FOR MODEL PARAMETERS

CALIBRATION

The most important deformation properties that affect the behaviour of the dam, and the rock mass
that supports the dam, i.e. the modulus of elasticity of concrete Ecm and the rock mass deformation
modulus Erm, are determined based on extensive field and laboratory research works. On the other
hand, the thermal properties of concrete (coefficient of thermal expansion αc, specific heat coefficient
cv, conductivity coefficient λc and coefficient of heat convection at the boundary air-dam αc-a and water-
dam αc-w), necessary for conducting the time-dependent analysis of concrete temperature, have never
been investigated. The temperature of concrete built-in the HPP Jablanica, based on which the
thermal properties of concrete could set, was also never measured.

The above mentioned parameters must be set on the basis of the available measured displacements,
i.e. on the basis of the available data on displacements of the inverse plumbs. Hence, several thermal
parameters exist, which should be set based on values of one "known" measurement. Therefore,
before undertaking the model adjustment, which implies determination of certain properties in a way
that the best fit between the calculated values of the dam response and the measured ones is
achieved, the sensitivity study of the dam response to the variation of the above mentioned thermal
properties (αc, cv and λc), when their values stay within the range proposed in literature (Duffie &
Beckman 1980), (Guo et al. 2011), etc., needs to be conducted.

The coefficient of heat convection αc-a can be adjusted on the basis of the phase shift of inverse plumb
displacement in the radial direction relative to the air temperature. Specifically, the maximum and the
minimum radially measured displacement of the plumb will occur after certain time in relation to the
occurrence of the maximum and minimum air temperature, i.e. when the air temperature and the
temperature of the water in the reservoir enter the body of the dam and cause its maximum and
minimum displacements.

However, the measurements on all measuring instruments record the displacements resulting from the
joint action of the hydrostatic load and changes in air temperature and temperature of water in the

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reservoir. Displacements due to the hydrostatic load occur almost simultaneously with the water
elevation change in the reservoir. Displacements due to temperature changes in the concrete occur
with a certain delay with respect to the changes in air temperature and temperature of the water in the
reservoir. In addition, changes in temperature at the surface of the dam depend on the water elevation
in the reservoir because the fluctuations of water level alter the degree of exposure of the surface of
the dam to the external temperature changes. This further complicates the separation and the
interpretation of the consequences of these two actions, i.e. the displacements measured by inverse
plumbs.

In order to calibrate the thermal properties of the concrete, the following steps were taken:

x Using the computational model, displacements of the dam for various water elevations in
the reservoir were calculated based on the adopted values of the modulus of elasticity of
the rock mass and built-in concrete;
x Measured displacement values of the plumb V2 (ISRP Mostar 1985) were reduced by
calculated values of displacements due to hydrostatic pressure for the average daily level
of accumulation on the date the plumb displacement measurements were taken. In this
way, the approximate values of displacement components due to temperature changes
only, measured by the plumb V2, were obtained for a longer observation period (2001-
2013);
x In order to account for the effects due to hydrostatic pressure, the displacements caused
by temperature changes, from the previous step only, were modified by adding the
calculated values of displacements of the dam due to hydrostatic pressure for the average
annual water level in the reservoir;
x Analysing the modified time diagrams, from which the effect of the water elevation
fluctuation is excluded, one year with the smallest change in the reservoir elevation, and
the most regular measured displacement of the plumb, V2 was selected. Based on such
considerations, the year of 2006 with the mean annual level of accumulation of 267 m.a.s.l.
was chosen as the calibration period;
x For the selected period, synchronizing the measured and calculated displacement, the
values of thermal parameters, determined by the sensitivity study to most influence the
displacements of the dam, were calibrated.

Figure 2 shows the changes in air temperature in 2006 that is approximated by the following
sinusoidal function:

Tz,2006  t  11,1u sin  t  74, 3 u 2S 365  12, 5 (1)

For the water temperature distribution across the reservoir depth, one reference level, located at the
bottom of the upper third of the height of the reservoir, that separates the two regions with a constant
temperature distribution was adopted (Figure 2). The best fit for the interpolated values of the
measured temperature of the water in the reservoir in 2006 exhibited the following sine functions show
in Figure 2:

Tv1,2006  t  
8,9 u sin  t  65,1 u 2S
365   10,5 (2a)

Tv2,2006  t  
5,3 u sin  t  59,6  u 2S
365   8,7 (2b)

Figure 2 shows that the dam, in the central block of the gallery "C", suffers the maximum displacement
of 3,2 mm upstream, 44,4 days after the maximum mean air temperature of 23,6°C and the
corresponding water temperature in the reservoir is reached. At the same location, the dam attains a
maximal downstream displacement of -6,7 mm 34,2 days after the minimum air temperature of 1,3°C
is reached. These maximum and minimum displacements occur for the most unfavourable distribution
of the concrete temperature, based on the temperature of the injection compound for joint grouting
between vertical blocks which is 10°C according to the original project. Similar conclusions can be
drawn for displacements of the plumb V2 in the gallery "B".

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 Figure 2. Idealized "smoothed" distributions of air and water temperature in the reservoir and
displacements of the plumb in the galleries B and C

The above stated functions for temperature distributions and displacement of the plumb V2 in the
gallery "C" distribution were used to calibrate the thermal properties of the model, Figures 2, 3.

Figure 3. Temperature along the contour of the dam for the reservoir elevation of 267 masl

3. VARIATION OF THERMAL PROPERTIES OF CONCRETE - SENSITIVITY STUDY

In the sensitivity study, calculations were divided into 3 groups according to the number of parameters
for which the study is conducted (cv, λc and αc). Each group consists of 3-4 computations in which the
parameter considered is changing within the limits proposed by literature, while the value of other two
parameters is adopted to be the mean value within the same limits. The results of these analyses are
shown in Figure 4.

Figure 4. Sensitivity of the model to the variation of the thermal properties

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Figure 4 shows that the model is the most sensitive to the variation of the coefficient of thermal
expansion αc. For this reason, only this parameter was the subject of calibration, while for the value of
the parameters cv and λc the mean value proposed by literature was used.

4. ADJUSTMENT OF MODEL PARAMETERS

For already adopted values for deformation characteristics of concrete Ecm and rock massif Erm as well
as adopted thermal characteristics of concrete (cv and λc), a time-dependent, thermal stress analysis
for various values of the remaining thermal properties αc and αc-a was conducted according to the
following steps:

In step 1, the value of the coefficient of heat convection at the contact concrete-air αc-a = 2 W / (m2 •
C) is calculated in a way to produce the same phase shift between the average maximum and
minimum air temperature represented by the function (1) and the maximum and minimum
displacements of the plumb V2 in the gallery "C", represented by the function (3a), Figure 2.
Coefficient of convection at the contact concrete-water αc-w is thereby adopted to be 10 times larger
than the coefficient αc-a. Comparison of phase shifts of calculated and measured displacements of the
plumb V2 in the gallery "B", in relation to the maximum average air temperature, confirmed the
correctness of the model and the adopted parameter αc-a.

In step 2, by varying the coefficient of thermal expansion of concrete αc, displacement amplitudes
obtained using Diana were adapted to the corresponding amplitudes given by the equation (3a). As
the result, the value of αc = 8,9 • 10-6 1/°C was obtained. The correctness of the parameter value was
confirmed by the agreement between measured and calculated displacement amplitudes of the plumb
V2 in the gallery "B".

In step 3, the mean values of the "smoothed" functions (3) were additionally corrected in order to
provide the best fit with the displacement functions computed in the finite element model.

Specifically, it is possible to correctly determine only the amplitude of the measured displacements
while the intensity of the displacements, i.e. their mean value is unknown and lost throughout a long
dam observation period during which repairs and replacement of measuring instruments took place.
The obtained corrections of the mean values of functions (3) were:

displacements of the plumb in the gallery "C": ΔC = – (3,48 – 1,76) = –1,72 mm (4a)

displacements of the plumb in the gallery "B": ΔB = – (3,79 + 2,17) = –5,96 mm (4b)

This means that the above stated correction values should be added to the displacement values
measured by the plumb in the galleries "B" and "C" in order to obtain more reliable values of the dam
displacement. The final, "corrected" form of functions that describe the displacement of the plumb in
the galleries "C" and "B“ is given by the following equations:

v y,V2 C,2006  t  
4,89 u sin  t  44, 22  u 2S
381, 20   3, 48 (5a)

v y,V2  B,2006  t  
2,78 u sin  t  42,13 u 2S
381, 20   3,79 (5b)

It should be noted that the degree of correlation of these functions and those obtained by the
computational application DIANA is very high, at 98% (Figure 5). On the other hand, both functions,
with a very high degree of correlation (97% for the gallery "C" and 98% for the gallery "B"), agree with
the additionally corrected values of displacements measured with the plumb V2 in the galleries "C"
and "B" (Figure 5).

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 Figure 5. The result of model parameters adjustment

5. REASON FOR OCCURRENCE OF THE CRACK IN THE GALLERY "C"

Figure 6 shows the time diagram of the crack “work” at the three measuring locations, for the period
from 2006 to 2011. It is apparent that the width of the crack changes by a periodic law, with the period
of approximately 365 days, which means that periodic changes in the temperature of concrete
represent the main influence that affects its behaviour.

Figure 6. Crack “work” in the gallery "C" at the measuring locations F6, F7 and F8, and the
crack expansion trend at the location F8

Diagram in Figure 6 shows that the crack “work” amplitude slightly increases with time. It can be
concluded that, due to the constant redistribution of internal forces and the increase of tensile stresses
at the root of the existing fracture, the crack slowly expands and gradually enters the uncracked,
downstream part of the dam crest. Of course, this trend of the crack propagation depends on the
climate and temperature conditions, and consequently on the temperature of the concrete in both, the
observed and the coming years.

On the other hand, Figure 7 shows that the crack in the gallery "C" generally follows the level of
construction joint in which the tensile strength is several times lower (and can actually at some places
of joint have zero value) than in concrete without construction joints (static tensile strength of parent
concrete is 2.73 MPa). The reason for the occurrence of the crack was previously investigated and
sought in certain chemical reactions in the concrete. It is likely that this was because the construction
joint in the gallery was difficult to spot. Distinct location of the joint can be noticed only in the corridors
(Figure 7b) in which are placed inverse plumbs. Additionally, due to irregularity of the horizontal
surface of the joint, the crack in the gallery "C" is sometimes located 10 to 15 cm above or below the
joint (Figure 7a). Also, since the construction joint at the gallery "C" was not constructed at the same
level in all blocks of the dam, the crack itself is changing its vertical position.

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 Figure 7. a) Crack in the gallery, and b) Cracked joint in the corridor of the plumb V2

To obtain the stress state in the vicinity of the gallery "C" a time thermal stress analysis of the model
was conducted with the mean annual reservoir elevation of 268.4 m.a.s.l. and the annual changes in
air and water temperature represented by synthetic functions similar to those shown in Figure 2.
Figure 8 shows time diagram for σz stresses that are perpendicular to the plane of the crack in the
central block of the dam and whose direction is approximately coincident with the principal stress
directions. One can also note that σz are tensile stresses during the period from March 1 to September
17. Outside of this period there are no tensile stresses around the gallery. The date when the stresses
reach their extreme values as well as the period of their time distribution generally corresponds to the
measured values and the period of the crack “work” shown in Figure 6.

Figure 8. Time diagram for σz stresses in the gallery "C", in the central block, and the maximum
dam crest displacement based on which times of static load combinations were determined

If the concrete in the considered part of the dam has been cast without a time break, the intensity of σ z
stresses would not be sufficient for the formation of the crack. However, because of the reduced
concrete tensile strength in the horizontal plane of the construction joint, the intensity of the stresses,
which occur due to temperature changes, is sufficient to cause cracking and opening of the joint.

Further, the following can be concluded from Figure 8:

x At the time of maximum effects on the dam, namely load combinations SU1, SU2 (static
usual winter/summer combinations = min./max. concrete temperature + the most probable
reservoir level at that time 259.8/269.6 masl + dead load), SUN1 and SUN2 (static unusual
winter/summer combinations = max./min. reservoir level 265.6/248.1 masl + the concrete
temperature at that time + dead load), σz stresses are either compressive (for winter
combinations SU1 and SUN1) or have a very low intensity (for summer combinations SU2
and SUN2). This means that the entire crack surface or its large portion is in a state of
compression at the time when stresses and strains in the dam are the largest;
x At the time of maximum stress occurrence (maxσz = 1,15 MPa << 2.73 MPa, Figure 8),
namely when the crack opening is the largest, stresses and strains at the contour of the
dam are mainly influenced by hydrostatic pressure. The principal cantilever stresses due to
hydrostatic pressure are the largest in the lower third of the blocks while their intensity is
small at the top of the blocks.

One can add that, in neither considered load combination, nor the maximum nor the minimum value of
the stress in concrete relates to the principal stresses in the direction of the cantilevers in the region of

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the crest and the gallery "C". This is natural because the largest arch stresses occur in the crest while
the largest cantilever stresses occur in the lower third of the cantilevers.

Redistribution of internal forces in cantilevers and from the cantilevers to the arches, caused by
concrete cracking around the gallery "C", can be neglected and should be considered significant only if
there has been a cantilever softening in the lower third of cantilevers or at the base of the foundation
(last case exists and is included in the safety check calculations). Therefore, with the appearance of
the crack considered, the largest arch in the dam, extending through the crest, will not suffer additional
stresses. At the time the maximum joint opening occurs, only the opposite face of the gallery "C" (at
which the crack is not observed) and the upstream part of the crest can be additionally stressed with
principal stresses in the direction of the cantilever. However, as stated above, these stresses are
caused mainly by the hydrostatic pressure and are negligible at these locations.

In the event that the crack in the gallery "C" expands throughout the crest, from the gallery to the
downstream face of the crest, i.e. throughout the entire construction joint, for the above stated
reasons, the safety of the dam will not be affected in any static load combination.

Of course, the emergence of the crack will cause occasional redistribution of cantilever internal forces
in this part of the dam, allowing the expansion of the crack, and consequently its deepening. Thus, in
the upcoming winter, in the region of the crack, the largest tensile stresses in concrete will appear at
the root of the last year's crack and so on, year after year, until the final formation of the crack.
Although, because of the internal forces redistribution, the cantilever tensile stresses in the uncracked
part of the crack’s plane are increasing from year to year, therefore reducing the area of the uncracked
concrete, the crack expansion is still slow because the intensity of these stresses is small. This
statement should be confirmed by a long term thermal stress analysis of the model of the dam with a
discrete crack in the gallery "C", facilitated by the software package DIANA.

6. SAFETY CHECK OF THE DAM IN THE CASE OF THE ULTIMATE CRACK OCCURRENCE
AND DE1 LOAD COMBINATION

In the event of a catastrophic earthquake (maximum ground acceleration amax=0,264g), the crack in
the gallery "C" can cause unfavourable effects only when it opens, and it opens only when the
considered part of the dam crest, due to the earthquake, is moving upstream.

The non-linear time history analysis for three scenarios of a catastrophic earthquake occurrence
(distant, somewhat distant and below the dam) was conducted and the full response of the dam was
determined. The analysis implied that vertical joints between the blocks and at the foundation base
cannot transfer normal, tensile stresses. The analysis of the response showed that, in the event of a
th
catastrophic earthquake, the largest tensile stresses, perpendicular to the crack, occur in the 258
time step. Figure 9 shows the deformed shape of the dam (columns and the bridge are not shown for
th
clarity reasons) in the 258 time step as well as the time diagram of the dam crest displacements for
the main part of the catastrophic earthquake’s time history.

Figure 9. The 258th time step deformed shape and the crest response to a catastrophic
earthquake

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 th
In 258 time step, the crack will open and redistribution of cantilever stresses on the upstream part of
the crest next to the gallery, "C" will occur, Figure 10.

Simplified proof of the crest’s capacity is based on the following conservative assumptions:

x The only resistance to the stress in the crest is provided by the concrete between the
upstream face of the gallery and the upstream face of the dam, not taking into account any
contribution of the reinforcement embedded in the spillway and in the pillars that support
the bridge. This reinforcement intersects the plane of the crack and will eventually control
crack propagation;
x Distribution of cantilever normal stresses that are perpendicular to the plane of the crack, in
the arch direction, is constant and equal to the stresses that occur in the most stressed
portion of the arch, at the 258th time step of the nonlinear analysis involving a catastrophic
earthquake. This assumption is conservative, because in any time step, the plane of the
crack, in the downstream part of the crest, is not subjected solely to tensile stresses.

Distribution of tensile stresses and the corresponding internal forces in the plane of the crack before
and after the redistribution of internal forces are shown in Figure 10. The figure shows that tensile
stresses in the concrete (0.31 MPa), after opening of the crack and redistribution of forces, for the load
combination DE1 (catastrophic earthquake + the reservoir at level of the overflow, 270.5 masl + usual
winter concrete temperature + dead load), are still much lower than the limiting dynamic value (3.54
MPa), which proves that the dam containing the crack is safe.

Figure 10. Normal stresses and internal forces in the plane of the crack at the 258th time step
of the nonlinear analysis involving a catastrophic earthquake, a) model without the crack and
b) model containing the crack

7. CONCLUSION

After a detailed analysis of the available technical documentation, statistical processing of the results,
extensive field and laboratory tests and the conducted sensitivity study and the model adjustment, the
values of all parameters necessary for safety check of the Jablanica dam containing the crack in the
gallery "C" were determined. The plain of the crack mostly coincides with the surface of the
construction joint where the concrete tensile strength is very low. For this reason, tensile stresses
caused by seasonal changes in the temperature of concrete, although of low intensity, were sufficient
to cause the opening of the joint. Safety of the dam for all static load combinations was confirmed by
the thermal stress time computation, on models with and without the crack, while the safety under a
dynamic load combination was proven by using a simplified method on the model without the crack.

The crack in the galley "C" has arisen in the weakened plane of the construction joint due to low
values of tensile stresses around the dam crest, that depend on seasonal fluctuations in air
temperature. This was proved by time thermal stress analyses for the one year period, in an indirect

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way, using the model with no cracks and in a direct way, using the model containing the crack.
However, constant seasonal redistribution of tensile stresses and the consequent gradual propagation
of the crack should be analysed on a model containing the crack and using a multi-year thermal stress
analysis, with certain previously examined and determined mechanical properties of the construction
joint.

8. ACKNOWLEDGEMENTS

The support of the JP Elektroprivreda Bosne i Hercegovine under contract 131-HEJ/11 with the
University “Džemal Bijedić” Mostar, Civil Engineering Department, is gratefully acknowledged.

9. REFERENCES

Duffie JA, & Beckman WA (1980). Solar Engineering of Thermal Processes. John Wiley & Sons, Inc.

Guo L, GUO L, Zhong L, & Zhu Y (2011). Thermal Conductivity and Heat Transfer Coefficient of
Concrete. Journal of Wuhan University of Technology-Mater. Sci. Ed. Aug. 2011.

Malla S, & Wieland M (1999). Analysis of an arch-gravity dam with a horizontal crack. Computers and
Structures, Volume 72, pp 267-278.

RO „Hidroelektrane na Neretvi“ Jablanica OOUR Institut za studijsko-razvojne poslove Mostar (ISRP

Mostar) (1985). Izvještaj o rezultatima ultrazvučnih ispitivanja pukotine u galeriji C brane HE Jablanica.
Mostar.

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