Applied Mathematical Modelling: S.M. Seyedpoor, J. Salajegheh, E. Salajegheh

Applied Mathematical Modelling 34 (2010) 11491163
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Applied Mathematical Modelling

journal homepage: www.elsevier.com/locate/apm
Shape optimal design of arch dams including dam-waterfoundation

rock interaction using a grading strategy and approximation concepts
S.M. Seyedpoor, J. Salajegheh, E. Salajegheh *
Department of Civil Engineering, University of Kerman, Kerman, Iran
a r t i c l e i n f o a b s t r a c t
Article history: Optimal design of arch dams including dam-waterfoundation rock interaction is achieved
Received 26 November 2008 using the soft computing techniques. For this, linear dynamic behavior of arch dam-water
Received in revised form 26 July 2009 foundation rock system subjected to earthquake ground motion is simulated using the
Accepted 3 August 2009
nite element method at rst and then, to reduce the computational cost of optimization
Available online 6 August 2009
process, a wavelet back propagation neural network (WBPNN) is designed to predict the
arch dam response instead of directly evaluating it by a time-consuming nite-element
Keywords:
analysis (FEA). In order to enhance the performance generality of the neural network, a
Arch dam
Dam-waterfoundation rock interaction
dam grading technique (DGT) is also introduced. To assess the computational efciency
Earthquake loading of the proposed methodology for arch dam optimization, an actual arch dam is considered.
Optimal design The optimization is implemented via the simultaneous perturbation stochastic approxima-
Wavelet back propagation neural network tion (SPSA) algorithm for the various conditions of the interaction problem. Numerical
Dam grading technique results show the merits of the suggested techniques for arch dam optimization. It is also
found that considering the dam-waterfoundation rock interaction has an important role
for safely designing an arch dam.
2009 Elsevier Inc. All rights reserved.
1. Introduction
The design of a concrete arch dam is a very important problem, especially since failure of the structure can result in a
major loss of life and material. Therefore, a proper design for arch dams is an important concern in dam engineering. This
aim can be reliably achieved using optimization methods. During the last years, various studies related to design optimiza-
tion of arch dams have been reported. It is probability that the rst research paper regarding the optimum design of arch
dams has been published by Sharp [1]. The arch dam geometry has been dened by two polynomial functions, the volume
of concrete has been selected as the objective function. Dam analysis has been carried out using an approximate method
under static loads and the optimization task has been performed by the sequential linear programming (SLP). A similar work
has also been made by Recketts and Zienkiewicz [2] who used the nite-element analysis instead of an approximate analysis.
Another study has been made by Wasserman [3] who used the prescribed shape functions for arch dam modeling and used
an eight-noded isoparametric solid element for discretizing the arch dam and a part of foundation. The work of Wasserman
has been improved by Yao and Choi [4] who utilized a higher-order nite-element approximation instead of eight-noded
isoparametric solid elements and used an efcient continuum-based shape design sensitivity analysis to obtain the gradients
of cost function and constraints. Signicant progress in the optimal design of arch dams has also been made by Zhu et al. [5],
in whose work shape optimization has been applied to actual arch dams subjected to static and dynamic loads. A new study
has also been introduced by the authors [6] so that shape optimal design of arch dams including hydrodynamic effects is
* Corresponding author. Tel.: +98 341 2111342; fax: +98 341 2114049.
E-mail address: eysasala@mail.uk.ac.ir (E. Salajegheh).
0307-904X/$ - see front matter 2009 Elsevier Inc. All rights reserved.
doi:10.1016/j.apm.2009.08.005
1150 S.M. Seyedpoor et al. / Applied Mathematical Modelling 34 (2010) 11491163
achieved using a fuzzy inference system and wavelet radial basis function neural network. The studies on the subject of arch
dam optimization are being developed [7,8].
In this study, shape optimal design of arch dams considering dam-waterfoundation rock interaction for earthquake load-
ing is investigated. For this, some useful techniques such as neural network concepts, a dam grading technique and the
simultaneous perturbation stochastic approximation are integrated to reduce the computational costs of the optimization
problem. The dam grading technique (DGT) is proposed here to predict the overall behavior of an arch dam using an effective
response named here as grade. The neural network is employed to approximate the arch dam grade instead of directly eval-
uating it by a time-consuming nite-element analysis. For this purpose, a wavelet back propagation neural network
(WBPNN) is designed. The simultaneous perturbation stochastic approximation (SPSA) algorithm is also utilized as the opti-
mization solver [9]. In the optimization process, the shape parameters of an arch dam are selected as the design variables and
the concrete volume of the dam body is taken as the objective function. Design constraints are limits on the principal stresses
of the dam body using the failure criterion of William and Warnke [10]. In addition, the stability and geometric constraints
are also considered. In order to assess the computational advantages of the proposed methodology for arch dam optimiza-
tion, a real-world arch dam is considered as the test example. Numerical results demonstrate that the combination of DGT,
WBPNN and SPSA can create a robust tool for effectively optimizing arch dams. It is also found that the uidstructure inter-
action has a signicant effect on the arch dam optimal design and must be properly considered to achieve a reasonable
design.
2. Geometrical model of double-curvature arch dam
In order to dene the geometrical model of arch dams, the shape of central vertical section can be determined at rst, and
then by specifying radii of curvature of dam upstream and downstream faces at different levels, the shape of arch dams can
be dened using two parabolic surfaces. Based on this idea a geometrical model for double curvature arch dams has been
proposed by the authors [6]. According to the model, an arch dam can be created by a vector x ^ that may have 3n + 5 com-
ponents including shape parameters of the arch dam as:
^T fs b tc1 . . . t cn1
x r u1 . . . r un1 rd1 . . . r dn1 g 1
where s and b are two parameters required to dene the upstream curve of central vertical section. Also, t ci , r ui , and r di are the
thickness of the central vertical section at ith level, radius of curvature of dam upstream and downstream faces at ith level,
respectively.
3. Finite-element model of arch dam-waterfoundation rock system
In solving the uidstructure interaction problem using the nite element procedure, the discretized dynamic equations
of the uid and structure need to be considered simultaneously to obtain the coupled uidstructure equation.
3.1. The discretized uid equation
Assuming that water is linearly compressible and neglecting its viscosity, the small amplitude irrotational motion of the
water is governed by the three-dimensional wave equation [11,12]:
1 @2p
r2 p 0 2
c2 @t 2
where c is the speed of pressure wave, p = p(x, y, z, t) is the acoustic pressure, t is time and r2 is the three-dimensional Laplace
operator.
As shown in Fig. 1, some boundary conditions may be imposed on the uid domain as follows:
(i) At the uidstructure interface:
@p
qw u
n 3
@n
n is the normal acceleration on the interface and qw is the mass den-
where n is a unit normal vector to the interface, u
sity of water.
(ii) At the bottom and sides of the uid domain:
@p 1 a @p
qw u
n 4
@n c1 a @t
where a denotes wave reection coefcient that enters absorptive boundary condition along the reservoir bottom and
sides. The wave reection coefcient may theoretically range within the limiting values of 1 and 1. The values a = 1
S.M. Seyedpoor et al. / Applied Mathematical Modelling 34 (2010) 11491163 1151
Boundary condition III

Boundary condition IV
Boundary condition II
Boundary condition I
Fig. 1. The boundary conditions of the uid domain.
and a = 1 correspond to non-absorptive and very soft reservoir boundary materials, respectively. It is believed that a
values from 1 to 0 would cover the wide range of materials encountered at the boundary of actual reservoirs.
(iii) At the far-end of the uid domain a Sommereld-type radiation boundary condition [11] may be implemented,
namely
@p 1 @p
5
@n c @t
(iv) At the free surface when the surface wave is neglected, the boundary condition is easily dened as:
p0 6
Eqs. (2)(6) can be discretized to get the matrix form of the wave equation as:
e C f p_ e K f pe qw Q T u
Mf p e u
g 0 7
e and u
where Mf, Cf and Kf are the uid mass, damping and stiffness matrices, respectively, and pe ; u g are the nodal
pressure, relative nodal acceleration and nodal ground acceleration vectors, respectively. The term qwQT is also often
referred to as coupling matrix.
3.2. The discretized structural equation
The discretized structural dynamic equation including the arch dam and foundation rock subject to ground motion can be
formulated using the nite-element approach as:
e C s u_ e K s ue M s u
Ms u g Qpe 8
where Ms, Cs and Ks are the structural mass, damping and stiffness matrices, respectively, ue is the nodal displacement vector
with respect to ground and the term Qpe represents the nodal force vector associated with the hydrodynamic pressure pro-
duced by the reservoir.
The structural damping in the system is usually included by using a Rayleigh type of damping matrix given by
C s aM s bK s 9
where a and b are variable factors to obtain a desirable damping in the system. In many practical structural problems the
mass damping may be ignored and then the structural damping can be calculated as [12]:
f
Cs Ks 10
pf
where f is the main frequency of the structure and f is a damping ratio. In the current study f = 0.1 is considered.
3.3. The coupled uidstructure equation
Eqs. (7) and (8) describe the complete nite-element discretized equations for the arch dam-waterfoundation rock inter-
action problem and can be written in an assembled form as:
( )
Ms 0 e
u Cs 0 u_ e Ks K fs ue g
M s u
11
M fs Mf e
p 0 Cf p_ e 0 Kf pe g
M fs u
where Mfs = qw QT and Kfs = -Q.

Eq. (11) expresses a second order linear differential equation having unsymmetrical matrices and may be solved by
means of direct integration methods.
In the present study, the nite-element idealization of double-curvature arch dam-waterfoundation rock system is
implemented on the mentioned theory and assumptions. The arch dam is treated as a three-dimensional-linear structure.
An eight-noded solid element is utilized to mesh the dam body. The reservoir is assumed to be of uniform shape as consid-
ered by Aftabi Sani and Lot [13]. The eight-noded uid element is used to discretize the uid medium and the interface of
the uidstructure interaction problem. The element has four degrees of freedom per node: translations in the nodal x, y and
z directions and pressure. The translations, however, are applicable only at nodes that are on the interface. In the uidstruc-
ture interaction problem, the damping matrix of the uid domain is produced by applying a boundary condition to the bot-
tom, sides and far-end of the reservoir. In the present work, instead of applying a Sommereld-type radiation boundary
condition at the far-end boundary of the reservoir, the reservoir length is selected as three times the reservoir depth and
zero pressure are imposed on all nodes of the far-end boundary [1416]. Interaction between the uid and foundation rock
is considered through a damping boundary condition applied along the bottom and sides of the reservoir dened by the sec-
ond term of Eq. (4). The damping matrix of the dam is also accomplished using the Rayleigh damping taken into account by
Eq. (10). In this study, foundation rock treating as a linearly elastic structure is represented via an eight-noded solid element
as well. The foundation rock is assumed to be massless in which only the effects of foundation exibility are considered and
the inertia and damping effects of the foundation rock are neglected [17,18]. The foundation rock is extended to three times
dam height in upstream, downstream and downward directions [17]. In the analysis phase, a static analysis of the arch dam-
waterfoundation rock system is initially implemented under a gravity load and a hydrostatic pressure and then, the linear
dynamic analysis of the system is performed using the Newmark time integration method [19]. After that, nodal relative dis-
placement vector of the structure is utilized to evaluate the principal stresses at the center of dam elements via conventional
nite-element procedure.
4. Arch dam optimization
The arch dam optimization problem involved here is stated as follows:
Minimize : qx ^
^ 6 0;
Subject to : g j x j 1; . . . ; m 12
^l 6 x
x ^u
^6x
where x ^l and an upper bound x

^ is design variable vector with nv unknowns that may be limited to a lower bound x ^u . Accord-
ing to the geometrical model of the arch dam described in Section 2, the design variable vector can be adopted from Eq. (1).
In the optimization problem, qx ^ represents the concrete volume of an arch dam body that should be minimized. The
concrete volume can be determined by integrating the arch dam surfaces as:
Z Z
^
qx jyd x; z yu x; zjdx dz 13
Area
where yu and yd are the upstream and downstream surfaces of the arch dam, respectively, and Area is an area produced by
projecting the dam body on a xz plane.
Also, in Eq. (12) gj (j = 1,. . ., m) are inequality constraints that may be categorized into the behavior, geometric and stabil-
ity constraints. In this study, the behavior constraints are dened to locate the principal stress state of each element (e) of the
arch dam into a specied failure surface for all time points of the earthquake interval. For this meaning, the failure criterion
of concrete of William and Warnke [10] due to a multiaxial stress state is employed. Thus, the time (t) dependent behavior
constraints for the dam body are dened as:

fp f
^; t p sur
6 sure;t ) g be x 6 0; e 1; 2; . . . ne ; t 0; . . . ; T 14
fc e;t fc e;t
where fp is a function of the principal stress state (r1 P r2 P r3) and sur is a failure surface expressed in terms of principal
stresses, uniaxial compressive strength of concrete (fc), uniaxial tensile strength of concrete (ft) and biaxial compressive
strength of concrete (fcb). Also, in Eq. (14) ne is the total number of arch dam elements and T is earthquake duration. The
details of the failure criterion can be found in Ref. [10].
In the arch dam optimization, some geometric and stability constraints are also taken. The detailed information about
these constraints has been expressed in Ref. [6]. In the current study, an exterior penalty function method is utilized to trans-
form the constrained dam optimization problem into an unconstrained one as follows:

^; cp qx
wx ^ cp pb x
^ pg x
^ ps x
^ 15
^; cp is a pseudo objective function, pb x
where wx ^, pg x
^ and ps x
^ are exterior penalty functions correspond to the behavior,
geometric and stability constraints, respectively, and cp is a penalty multiplier. A simple method is also employed to treat the
time-dependent constraints. For this aim, the behavior constraints given by Eq. (14) are transformed into a time-indepen-
dent behavior penalty function (BPF) dened bellow:
" #2
X
T X
ne
^
pb x max 0; ^; t; 02
maxg be x 16
t0 e1
^ 0) or not (pb x
The BPF can predict whether the stress state in a dam body is good (pb x ^ > 0), and therefore can be se-
lected as a valuable response for an arch dam [6].
4.1. Grading the arch dam according to its stress state
In the current study, instead of directly predicting the BPF of an arch dam via a neural network model an efcient tech-
nique is suggested. In this technique, an arch dam is graded according to its behavior penalty function value and the grade of
the arch dam is considered as an effective response. By this strategy, it is expected that the prediction process via the neural
network can be enhanced. For this aim, the behavior of an arch dam can be simulated by calculating the grade as:
grade kf u; ua ; ub 1 17
where k is a constant and f (u, ua, ub) is Z-shaped function as shown in Fig. 2. It should be noted that this function belongs to
the class of membership functions in the fuzzy inference system. The parameters ua and ub locate the extremes of the sloped
portion of the Z-curve given by:
8
>
> 1 u 6 ua
>
>
2
>
>
< 1 2 uuu a
ua 6 u 6 ua u
2
b
b ua
f u; ua ; ub
2 18
>
> u ua ub
>
> 2 ub ub ua 6 u 6 ub
>
> 2
:
0 u P ub
For the dam problem, u pb x^, ua = 0.001, ub = 0.03 and k = 9 are considered. These values of ua and ub are chosen to guar-
antee that the BPF is tolerably close to zero or far from zero, respectively. In addition, the selected value for k necessitates
that the grade ranges between 1 and 10. As a result, the grade of an arch dam varies from 1 to 10 values depending on its
design variables. The maximum grade 10 indicates that pb x ^ 6 0:001 and the stress state of dam body is in the best range
and the minimum grade 1 represents that pb x ^m P 0:03 and dam stress state is in the worst range. After grading the arch
dam, instead of numerous behavior constraints expressed in Eq. (14) the following single constraint can be utilized:
0.8
0.6
f
0.4
0.2
0
ua ub
u
Fig. 2. Z-shape function with its parameters.

l ^
grade x
^ P grade ) g bm x
grade x ^ 1 60 19
l
grade
where gradel is the minimal grade of the dam required for its safety and in this study is equal to 9.9. Therefore, modied BPF
corresponding to Eq. (16) is also dened as:
pbm x ^2 :
^ max0; g bm x 20
By incorporating this penalty into the optimization process, the safety of the arch dam is assured at any time point during the
earthquake.
4.2. Optimization algorithm
In this study, to search the optimal design of arch dams the simultaneous perturbation stochastic approximation (SPSA)
algorithm is utilized. The promising feature of the SPSA optimization algorithm is that requires only two structural analyses,
regardless of the dimension of problem, in each cycle of the optimization. This characteristic allows for a signicant reduc-
tion in cost of optimization, especially in problems with a large number of variables to be optimized. The following step-by-
step summary shows the process of SPSA algorithm [20] for the arch dam optimization:
Step 1: initialization and coefcient selection. Set counter index k = 0. Pick an initial guess for design variables and non-neg-
ative coefcients a, c, A, alpha, and gamma in the SPSA gain sequences ak = a/(A + k + 1)alpha and ck = c/(k + 1)gamma.
Step 2: generation of the simultaneous perturbation vector. Generate a random perturbation vector Dk containing nv compo-
nents whereas for each component of Dk a Bernoulli 1 distribution with probability of 1/2 for each outcome is
used.
Step 3: pseudo objective function evaluations. Obtain two measurements of the pseudo objective function w() based on the
simultaneous perturbation around the current design variable vector x ^k :wx^k ck Dk and wx
^k ck Dk with the ck
and Dk from Steps 1 and 2.
Step 4: gradient approximation. Generate the simultaneous perturbation approximation to the unknown accurate gradient
Gx^k :
2 3
D1
k1
6 1 7
6 Dk2 7
6 7
^k ck Dk 6
^k ck Dk wx
wx 7
b k x
^k G ^k 6 7
Gk x 6 7 21
2ck 6 7
6 7
6 7
4 5
D1
knv
where Dki is the ith component of Dk vector.

^ estimate. Use the standard stochastic approximation (SA) to update x
Step 5: updating x ^k1 :
^k to a new value x
x b k x
^k ak G
^k1 x ^k 22
Step 6: termination or iteration. Terminate the algorithm if there is little change in several successive iterations or the max-
imum number of structural analyses has been reached otherwise return to Step 2 with k + 1 replacing k.
As the computational burden of the optimization process due to performing the several time-history analyses is very high,
therefore in this paper a neural network is employed to approximate the dynamic analysis of the arch dam-waterfounda-
tion rock system. In the next section, the employed neural network model is described.
5. Wavelet back propagation neural network
In this study, wavelet back propagation (WBP) network is designed to predict the grade of an arch dam as the output and
the design variables as the input vector. By using this approach the time-consuming dynamic analysis of uidstructure sys-
tem is not needed to be performed during the optimization task.
Wavelet neural networks employing wavelets as the activation functions have been researched as an alternative ap-
proach to the neural networks with sigmoidal activation functions. In wavelet networks, both the position and the dilation
of the wavelets may be optimized besides the weights. In the present study, wavelet neural network is referred to a network
using wavelets as the activation function of hidden layer neurons with the xed position and the dilation. The daughter
wavelets are generated from a single mother wavelet h (h) by a dilation and translation given by

1 hj
hi;j h p h 23
i i
where i > 0 and j are the dilation and the translation factors, respectively.
Substituting back propagation (BP) neurons activation function with some wavelet functions may improve its perfor-
mance generality. In order to design the wavelet back propagation (WBP) network the activation function of hidden layer
of BP network is substituted with the Mexican Hat (MexH) wavelet function [21]:

2 2
hMexH h p p0:25 1 h2 eh =2 24
3
As a result, the daughter MexH wavelet is obtained by substituting Eq. (24) into Eq. (23):
2 !
2 1 hj hj 2
e i =2 :
i;j
hMexH h p p0:25 p 1 25
3 i i
In this study, to design WBP network, the position and dilation of the MexH wavelet are xed and only the network
weights are optimized by LevenbergMarquardt (LM) algorithm [22]. The best results are obtained by considering i = 2
and j = 0 in Eq. (23). The details of designing a wavelet neural network can be found in the study of Gholizadeh et al. [23].
According to the topics discussed in the previous sections the architecture of planned methodology for optimization of
arch dams can be shown in Fig. 3. The test example bellow describes in detail the application of the proposed methodology
for the arch dam design optimization.
6. Test example
In order to investigate the computational efciency of the proposed methodology for the design optimization of arch
dams, Morrow Point arch dam located 263 km southwest of Denver, Colorado, is considered as a real-world structure. In
the present study, to create the arch dam geometry, 20 design variables are considered as:

^Tm
x s b t c1 t c2 t c3 t c4 t c5 t c6 r u1 r u2 r u3 r u4 r u5 r u6 r d1 r d2 r d3 r d4 r d5 r d6 : 26
The lower and upper bounds of the design variables required to optimization process can be determined using some preli-
minary design methods [24]:
0:0 6 s 6 0:3 3 m 6 tc1 6 10 m 100 m 6 r u1 6 135 m 100 m 6 r d1 6 135 m

0:5 6 b 6 1:0 5 m 6 tc2 6 15 m 85 m 6 r u2 6 115 m 85 m 6 r d2 6 115 m
10 m 6 tc3 6 20 m 70 m 6 r u3 6 100 m 70 m 6 rd3 6 100 m
27
15 m 6 tc4 6 25 m 60 m 6 r u4 6 80 m 60 m 6 r d4 6 80 m
20 m 6 tc5 6 30 m 45 m 6 ru5 6 60 m 45 m 6 rd5 6 60 m
25 m 6 tc6 6 35 m 30 m 6 r u6 6 45 m 30 m 6 r d6 6 45 m
The El-Centro NS record of Imperial Valley earthquake (1940) is chosen as the ground motion [25]. The record shown in
Fig. 4 is applied to the arch dam-waterfoundation rock system in the upstreamdownstream direction. It is also important
to mention that by selecting any design earthquake the proposed methodology for the arch dam optimization will not be
affected.
For design optimization of the selected dam four cases related to various conditions of dam-waterfoundation rock inter-
action problem are considered as follows:
Case 1: Dam with empty reservoir and rigid foundation.

Case 2: Dam with empty reservoir and exible foundation.
Case 3: Dam with full reservoir and rigid foundation.
Case 4: Dam with full reservoir and exible foundation.
The specications of all the design cases are listed in Table 1. In the optimization process, the SPSA parameters are set as
follows: a = 1, c = 0.15, A = 100.0, alpha = 1 and gamma = 0.50 for coefcients in the SPSA gain sequences and the maximum
number of analyses is limited to 5000 (it is equivalent to 2500 optimization iterations). The optimization is performed by a
core 2 Duo 2 GHz CPU and all computing times are evaluated by clock time.
TM
6.1. Finite-element model of Morrow Point arch dam
An idealized model of Morrow Point arch dam-waterfoundation rock system is simulated using the nite-element meth-
od as shown in Fig. 5. The material properties of the dam, water and foundation rock are given in Table 2. The geometric
properties of the dam can be found in Hall and Chopra study [26]. In order to validate the nite-element model with the
employed assumptions, the rst natural frequency of the symmetric mode of the arch dam for Cases 14 are determined
from the frequency response function for the crest displacement. The results are compared with those reported by Tan
Start
Set initial parameters of the arch dam
Generating some arch dam samples

randomly based on the design variable vector
Evaluating the BPF of all generated dams by FEA
Grading all the dam samples according to their BPF
Training WBP to predict the grade as the output

and the design variables as the inputs
Optimizing the arch dam using the SPSA

and approximate analysis through WBP
No
Checking the convergence?
Yes
Stop
Fig. 3. The architecture of the planned methodology for optimization of arch dams.
0.4
0.3
Acceleration (g)
0.2
0.1
0
-0.1
-0.2
-0.3
-0.4
0 5 10 15 20 25 30
Time (sec.)
Fig. 4. The El-Centro NS record of Imperial Valley earthquake (1940).

Table 1
The specications of four design cases for the Morrow Point arch dam.
Case Foundation rock Reservoir Wave reection coefcient Loading

1 Rigid Empty Gravity
Earthquake
2 Flexible Empty Gravity
Earthquake
3 Rigid Full a = 0.90 Gravity
Hydrostatic
Hydrodynamic
Earthquake
4 Flexible Full a = 0.90 Gravity
Hydrostatic
Hydrodynamic
Earthquake
Fig. 5. Finite-element model of Morrow Point arch dam-waterfoundation rock system.
and Chopra [27] as given in Table 3. It can be observed that a good conformity has been achieved between the results of the
present work with those reported in the literature. It can also be observed that when the reservoir is empty and the foun-
dation is rigid (Case 1) main frequency of the dam is maximal. Furthermore, a minimum value for the main frequency is ob-
tained when the dam-waterfoundation rock interaction (Case 4) is considered.
6.2. Data selection for training the WBP neural network
In order to select data for training WBP, design variable vector of the dam dened in Eq. (27) is considered as the input
vector and the corresponding grade given by Eq. (17) is taken as the output. For each design case a total number of 200 arch
Table 2
The material properties of the dam, water and foundation rock.
Dam body Elasticity modulus of concrete 27,580 MPa

Poisons ratio of concrete 0.20
Mass density of concrete 2483 kg m3
Uniaxial compressive strength of concrete 30 MPa
Uniaxial tensile strength of concrete 1.5 MPa
Biaxial compressive strength of concrete 36 MPa
Water Mass density of water 1000 kg m3
Speed of pressure wave 1440 m s1
Wave reection coefcient 0.90
Foundation rock Elasticity modulus of foundation rock 27,580 MPa
Poisons ratio of foundation rock 0.20
Mass density of foundation rock 0.00
Table 3
A comparison of the natural frequencies from the literature with the FE model.
Case Foundation rock condition Water Wave reection coefcient a Natural frequency (Hz)
Tan and Chopra [27] The present work Error (%)
1 Rigid Empty 4.2735 4.29 0.39
2 Flexible Empty 3.9216 3.99 1.74
3 Rigid Full 0.9 2.8169 2.80 0.60
4 Flexible Full 0.9 2.5974 2.55 1.82
dam samples are randomly generated so that all dams satisfy the geometric and stability constraints. Afterward, the grades
of all generated arch dams are evaluated using the FEA. It should be noted that a full linear dynamic FEA for the design Cases
14 takes about 3.15, 30.0, 10.00 and 35.00 min, respectively. Thereafter, arch dam samples are randomly split into two sets
with 160 samples for training and 40 samples for testing, respectively.
6.3. Training and testing the WBP
A separate neural network model is trained for each design case. For each network, the maximum number of epochs is set
to 1000 so that the training mode takes about 65 s. To validate the trained networks, relative root mean squared error
(RRMSE), mean absolute percentage error (MAPE) and the absolute fraction of variance (R2) arose during testing the net-
works are calculated using the following equations:
v
u 1 Pn 2
u ii1 aii pii
RRMSE tn1 1 P n 2
28
n ii1 aii
X
1 n aii pii
MAPE 100 29
n ii1 a
ii
Pn !
2
ii1 aii pii
R2 1 Pn 2 30
ii1 pii
where a and p are stood for accurate and approximate grades evaluated via the nite-element analysis and neural network,
respectively and n is the number of testing samples. The smaller RRMSE and MAPE and larger R2 mean better performance
generality.
The statistical values for predicting the grades of dam samples found from testing modes are obtained and the results are
compared in Table 4 when in a second attempt the BPF of arch dam samples are also considered as the output of the neural
network. All of the statistical values in the table demonstrate that the WBP in predicting the grades of arch dam samples
achieves a good performance generality. Furthermore, numerical results show that the grading technique can improve
the prediction process.
The percentage errors due to predicting the grade and BPF through wavelet neural network in testing mode compared to
those computed by the nite-element method for different cases are shown in Fig. 6ad. All of the gures provide evidence
that the prediction errors of grades are less than those of the BPF. Therefore, in the current study the grade of an arch dam is
considered as an efcient response that should be greater than a minimal value during the optimization process instead of
selecting the BPF for this meaning.
6.4. Optimization results
In order to consider the stochastic nature of the SPSA algorithm six different sample optimization runs are performed for
each design case. The optimum designs of the arch dam for Cases 14 using the approximate analysis are given in Tables 5a
5d, respectively. The low percentage values of maximum violated constraints provided in the tables (less than 3%) reveal that
all the optimal solutions are acceptable.
Table 4
The statistical values of dam grade and BPF found from testing the networks.
Statistical values Case 1 Case 2 Case 3 Case 4

Grade BPF Grade BPF Grade BPF Grade BPF
RRMSE 0.0248 0.1217 0.0496 0.0865 0.0835 0.1119 0.0337 0.0585
MAPE 1.1191 5.3133 3.7216 6.9307 5.6927 9.3793 1.4987 4.4512
R2 0.9994 0.9847 0.9976 0.9927 0.9931 0.9874 0.9989 0.9966
40
35 BPF
Grade
30
Error (%) 25
20
15
10
5
0
1 4 7 10 13 16 19 22 25 28 31 34 37 40
Testing samples
Fig. 6a. The percentage errors due to predicting the grade and BPF for Case 1.
35
30 BPF
Grade
25
Error (%)
20
15
10
0
1 4 7 10 13 16 19 22 25 28 31 34 37 40
Testing samples
Fig. 6b. The percentage errors due to predicting the grade and BPF for Case 2.
80
70 BPF
60 Grade
Error (%)
50
40
30
20
10
0
1 4 7 10 13 16 19 22 25 28 31 34 37 40
Testing samples
Fig. 6c. The percentage errors due to predicting the grade and BPF for Case 3.
The total computing times of the arch dam optimization are given in the last rows of the tables. it is impressive to men-
tion that the overall computing time of each design case including data generation, network building and optimization task
is reduced to about 200/5000 = 0.04 times that of nite-element analysis-based optimization.
By comparing the optimal solutions of various cases some interesting points are attained. It is observed that the concrete
volume obtained for Case 1 is less than those of other cases. Moreover, the maximum volume of concrete is obtained for Case
4 in which the effects of water and foundation exibility are considered. Finally, by comparing between the concrete
16
14 BPF
12 Grade
Error (%)
10
8
6
4
2
0
1 4 7 10 13 16 19 22 25 28 31 34 37 40
Testing samples
Fig. 6d. The percentage errors due to predicting the grade and BPF for Case 4.
Table 5a
Optimum designs of the arch dam obtained for Case 1 for six sample runs.
Variables Optimum designs

Sample 1 Sample 2 Sample 3 Sample 4 Sample 5 Sample 6
s (m/m) 0.19 0.21 0.24 0.22 0.19 0.22
b (m/m) 0.98 0.98 0.59 0.79 1.00 0.82
tc1 (m) 3.14 3.73 4.68 3.13 4.82 4.87
tc2 (m) 4.95 5.59 4.95 4.97 4.96 4.99
tc3 (m) 10.52 11.19 10.87 10.75 10.46 10.70
tc4 (m) 15.47 15.99 15.85 15.65 15.39 15.64
tc5 (m) 20.10 20.27 19.91 19.91 19.90 19.91
tc6 (m) 31.19 30.25 30.53 32.28 32.12 33.88
ru1 (m) 108.59 127.99 123.25 121.85 111.58 117.84
ru2 (m) 94.97 112.51 104.09 104.50 98.81 102.45
ru3 (m) 83.16 94.70 89.49 90.32 86.29 89.33
ru4 (m) 72.94 77.50 76.07 76.83 75.01 77.27
ru5 (m) 59.57 57.74 59.71 58.40 59.34 59.51
ru6 (m) 38.27 33.44 37.83 33.37 36.18 34.74
rd1 (m) 104.97 108.18 114.46 103.59 102.99 99.92
rd2 (m) 93.66 105.73 94.20 97.12 95.36 95.79
rd3 (m) 81.77 90.16 79.20 85.01 84.57 83.15
rd4 (m) 68.28 73.46 66.52 71.33 71.13 70.30
rd5 (m) 54.41 54.04 55.08 57.24 54.81 56.79
rd6 (m) 36.36 32.82 34.15 30.86 31.88 34.69
Concrete volume (m3) 2.15 105 2.25 105 2.33 105 2.19 105 2.17 105 2.26 105
Average volume (m3) 2.225 105
Maximum violated constraint (%) 2.31 1.32 2.14 1.43 1.89 1.27
Required iterations 2500 2500 2500 2500 2500 2500
Data generation time (min) 630 630 630 630 630 630
Network building time (min) 1.0833 1.0833 1.0833 1.0833 1.0833 1.0833
Optimization time (min) 0.350 0.350 0.350 0.350 0.350 0.350
Overall computing time (min) 631.4333 631.4333 631.4333 631.4333 631.4333 631.4333
volumes of various design cases can be concluded that the dam-waterfoundation rock interaction has an important role for
arch dam design and it must be properly considered.
7. Conclusions
A computationally efcient methodology is proposed to optimize the arch dam shape considering arch dam-waterfoun-
dation rock interaction. The methodology is a combination of a dam grading technique (DGT), a wavelet back propagation
neural network (WBPNN) and the simultaneous perturbation stochastic approximation (SPSA). Using the dam grading tech-
nique the behavior of an arch dam can be accurately predicted via an effective response named here the grade. The DGT can
also enhance the performance generality of the neural network. The WBPNN is designed to approximate the grade of the arch
dam instead of directly evaluating it by a time-consuming nite-element analysis (FEA). The SPSA is utilized as an efcient
Table 5b

s (m/m) 0.26 0.30 0.24 0.30 0.30 0.30
b (m/m) 0.65 0.75 0.70 0.77 0.93 0.94
tc1 (m) 4.18 3.16 3.10 4.18 3.13 4.79
tc2 (m) 4.95 4.95 4.95 4.95 4.95 4.97
tc3 (m) 11.27 11.97 11.19 10.70 11.27 10.88
tc4 (m) 16.21 17.33 16.04 15.69 16.43 15.89
tc5 (m) 19.89 21.26 19.90 19.93 20.36 19.92
tc6 (m) 31.06 33.87 29.98 27.37 30.03 32.58
ru1 (m) 115.26 123.25 115.68 113.28 106.38 119.94
ru2 (m) 97.07 105.52 108.59 104.66 99.58 102.92
ru3 (m) 84.49 88.57 93.96 90.64 88.10 87.50
ru4 (m) 74.21 73.21 73.19 73.55 73.58 72.18
ru5 (m) 59.16 48.04 53.91 55.70 57.40 56.25
ru6 (m) 35.17 41.38 37.55 39.40 38.51 38.32
rd1 (m) 99.51 100.72 99.56 99.75 99.64 100.98
rd2 (m) 87.33 93.30 91.88 93.80 94.28 93.38
rd3 (m) 77.71 79.87 80.01 79.78 82.16 80.81
rd4 (m) 68.69 64.29 66.83 66.92 69.88 68.75
rd5 (m) 59.15 47.35 53.90 55.34 56.88 56.23
rd6 (m) 31.20 34.44 33.92 31.05 32.31 35.23
Table 5c

s (m/m) 0.30 0.30 0.29 0.30 0.30 0.30
b (m/m) 0.75 0.77 0.95 0.71 0.80 0.87
tc1 (m) 5.57 7.92 4.53 6.86 5.92 5.17
tc2 (m) 6.54 7.97 6.84 6.93 6.0 6.05
tc3 (m) 12.50 13.03 12.43 12.68 11.97 11.95
tc4 (m) 16.87 16.89 16.73 17.19 16.52 16.54
tc5 (m) 20.10 19.92 19.92 19.90 19.99 20.11
tc6 (m) 33.23 29.32 28.79 26.96 33.72 34.20
ru1 (m) 107.91 101.36 108.83 108.28 113.91 108.56
ru2 (m) 107.62 101.30 107.35 107.34 112.99 107.76
ru3 (m) 95.32 90.80 94.20 94.88 94.73 95.25
ru4 (m) 77.34 72.43 76.28 75.67 76.96 74.82
ru5 (m) 56.61 53.30 58.82 57.27 57.70 54.30
ru6 (m) 33.32 39.40 36.31 38.12 32.89 32.63
rd1 (m) 99.64 100.36 99.81 101.55 100.42 100.41
rd2 (m) 91.61 95.36 90.72 101.43 93.56 95.72
rd3 (m) 82.59 81.04 81.17 87.73 83.58 83.11
rd4 (m) 71.36 66.81 70.53 73.40 71.98 69.41
rd5 (m) 55.82 52.45 58.12 56.76 57.36 54.21
rd6 (m) 32.58 39.15 36.13 31.84 31.08 31.54
Table 5d

s (m/m) 0.21 0.17 0.17 0.08 0.25 0.15
b (m/m) 0.69 0.71 0.86 0.60 0.95 0.81
tc1 (m) 7.79 8.48 6.07 6.74 5.33 5.67
tc2 (m) 7.80 8.66 7.05 8.79 8.92 8.18
tc3 (m) 13.87 13.98 11.96 13.16 14.49 13.68
tc4 (m) 18.81 18.49 16.19 17.15 18.89 18.49
tc5 (m) 22.84 22.26 19.91 21.18 22.54 22.76
tc6 (m) 31.02 32.58 29.95 31.58 32.98 30.22
ru1 (m) 111.31 119.83 106.16 102.54 109.82 112.23
ru2 (m) 95.37 101.98 102.27 95.80 103.53 97.60
ru3 (m) 81.26 86.98 92.11 84.16 89.36 83.93
ru4 (m) 68.57 73.83 77.53 69.39 71.71 71.77
ru5 (m) 55.46 58.38 59.59 53.01 53.39 57.58
ru6 (m) 40.35 38.43 38.81 32.94 35.54 36.73
rd1 (m) 103.87 103.63 101.04 100.67 109.01 110.30
rd2 (m) 95.36 101.92 99.28 94.81 102.97 97.11
rd3 (m) 80.58 85.72 84.16 82.38 87.84 83.07
rd4 (m) 64.75 66.85 67.54 65.78 70.86 64.44
rd5 (m) 49.93 48.15 49.79 48.42 51.92 46.32
rd6 (m) 38.37 34.90 35.03 31.25 31.61 36.09
optimization solver. In order to assess the high capability of the proposed methodology for arch dam optimization, an actual
arch dam is selected and the optimization is implemented for four design cases involved the various conditions of the inter-
action problem. It is observed that both the arch dam-water and arch damfoundation rock interactions have an important
role in the design of arch dams and neglecting these effects can lead to an improper design. Numerical results also indicate
that the approximate analysis-based optimization can signicantly reduce the total computing time of FEA-based optimiza-
tion while the errors are very small.
References
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Contents lists available at ScienceDirect

Applied Mathematical Modelling

Shape optimal design of arch dams including dam-waterfoundation

2. Geometrical model of double-curvature arch dam

3. Finite-element model of arch dam-waterfoundation rock system

3.1. The discretized uid equation

(i) At the uidstructure interface:

Boundary condition III

Fig. 1. The boundary conditions of the uid domain.

3.2. The discretized structural equation

3.3. The coupled uidstructure equation

where Mfs = qw QT and Kfs = -Q.

4. Arch dam optimization

The arch dam optimization problem involved here is stated as follows:

where x ^l and an upper bound x

4.1. Grading the arch dam according to its stress state

Fig. 2. Z-shape function with its parameters.

4.2. Optimization algorithm

where Dki is the ith component of Dk vector.

5. Wavelet back propagation neural network

0:0 6 s 6 0:3 3 m 6 tc1 6 10 m 100 m 6 r u1 6 135 m 100 m 6 r d1 6 135 m

Case 1: Dam with empty reservoir and rigid foundation.

6.1. Finite-element model of Morrow Point arch dam

Set initial parameters of the arch dam

Generating some arch dam samples

Evaluating the BPF of all generated dams by FEA

Grading all the dam samples according to their BPF

Training WBP to predict the grade as the output

Optimizing the arch dam using the SPSA

Fig. 4. The El-Centro NS record of Imperial Valley earthquake (1940).

Case Foundation rock Reservoir Wave reection coefcient Loading

Fig. 5. Finite-element model of Morrow Point arch dam-waterfoundation rock system.

6.2. Data selection for training the WBP neural network

Dam body Elasticity modulus of concrete 27,580 MPa

6.3. Training and testing the WBP

6.4. Optimization results

Statistical values Case 1 Case 2 Case 3 Case 4

Variables Optimum designs

Variables Optimum designs

Variables Optimum designs

Variables Optimum designs

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