A Joint Element For The Nonlinear Dynamic Analysis of Arch Dams

A Joint Element for the Nonlinear
Dynamic Analysis of Arch Dams
Jrg-Martin Hohberg
July 1992
Report No. 186
Birkhauser Publishers Basel

Boston
Berlin Institute of Structural Engineering ETH Zrich
Library of Congress Cataloging-in-Publication Data
Hohberg, Jrg-Martin:
A Joint element for the nonlinear dynamic analysis of arch dams /

by Jrg-Martin Hohberg
Report / Institute of Structural Engineering, ETH Zrich; No. 186
Summary in English and German.
Includes bibliographical references.
ISBN 3-7643-2811-8 -
ISBN 0-8176-2811-8 (U.S.)

1. Arch dams. 2. Structural dynamics. I. Title. II. Series:
Bericht (Institut fr Baustatik und Konstruktion ETH Zrich); Nr. 186
TC547. H73 1992
62782 dc20
Deutsche Bibliothek Cataloging-in-Publication Data
Hohberg, Jrg-Martin:
A Joint element for the nonlinear dynamic analysis of arch dams /

by Jrg-Martin Hohberg
Institute of Structural Engineering; Swiss Federal Institute of Technology.
Basel; Boston; Berlin; Birkhauser, 1992
Report / Institute of Structural Engineering. ETH Zrich; No. 186
-
ISBN 3-7643-2811-8
NE: Institut fr Baustatik und Konstruktion i Zrich > : Bericht
Reproduction prohibited.
All rights reserved, in particular those of translation into other languages
and of the reproduction by photoprint, microfilm, or any other means.
1992 Birkhauser Publishers Basel

ISBN 3-7643-2811-8
ISBN 0-8176-2811-8 (U.S.)
A Joint Element for the Nonlinear
Dynamic Analysis of Arch Dams
by
Dr. sc.techn. Jrg-Martin Hohberg
Institute of Structural Engineering

Swiss Federal Institute of Technology
Zrich
1992
u
This report is essentially a reprint of the dissertation ETH No. 9651,

which was submitted on 15th November 1991 and defended on 23rd January 1992.
Preface
As a country with high Alpine region of considerable seismicity, Switzerland

concrete dams in an
has taken much interest in advanced computational methods for dam analysis. Most of our dams,
of which the large majority are arch dams, were built in the forties and nfties, when the State of
art called but for a pseudo-static design to 10% ground acceleration. Since then, the knowledge
and means of computation have increased tremendously, and we at ETH are glad to keep up
fairly well with the world-wide efforts to develop modern analysis tools.
Three previous doctoral dissertations on gravity dams were published in the IBK report
series: Skrikerud (1983), Chappuis (1987) and Wepf (1987), which concerned the discrete Crack
ing low-cycle fatigue,

of concrete, its and the reservoir interaction in time domain. The present
one is the first ofseries dealing with arch dams, for which new modeis are develloped inde-
a
pendently of the foregoing two-dimensional approaches. Again, the nonlinear behaviour of the
structure is tackled first and will be followed by the treatment of reservoir and ground inter
action. The spatial action of the structure between Valley flanks and the presence of joints and
discontinuities suggested a change in the concept of crack modelling as opposed to gravity dams,
which was discussed in an earlier state-of-the-art report (Hohberg 1988). The present treatise
continues with details of the Joint formulation and first experience in actual application.
Our work at ETH met considerable interest, and we are pleased with the growing number
of contacts to scientist in Europe and overseas. To foster this exchange, the present volume is
the first of the series in
English, and more are to follow. Since the modelling concept of weak
planes quite universal with respect to other materials and types of structures,
is this report
addresses a wide readership. I wish it all the success it surely deserves.
Zrich, July 1992 Prof. Dr. H. Bachmann

IV
To my parents and my family
Acknowledgements
The research project on the seismic behaviour of concrete dams is fully financed by the Federal
Office of Water Economy of Switzerland. The persistant interest and equal patience of the
director of itsDepartment of Dam Safety, Dr. Biedermann, and his adjunct, Mr. Pougatsch,
are deeply appreciated.
The project Stands under the guidance of Prof. Dr. Hugo Bachmann of the Institute of
Structural Engineering at ETH Zrich and was partly supervised by Dr. Petter Skrikerud as
former member of the Institute. Their encouragement and sympathy helped tremendously in
launching also investigation and holding the directum in 'rough waters' (surprisingly
the present
similar to Petter's Norwegian towing of off-shore platforms...). Dr. Dieter Pfaffinger, lecturer
in structural dynamics, kindly accompanied the arch dam project during the early phase of
linear modeis, while Dr. Gianni Bazzi and Dr. Hans Maag of the Institute of Engineering
Computations assisted with trial runs on existing gap elements and many livesaving missions
to the Flowers program. Their advice, and the free provision of Computer time and operating
support by the ETH Zrich deserve sincere gratitude.

Former colleagues, notably Dr. Dieter Wepf and Dr. Philippe Chappuis of the concurrent
gravity dam project, are gratefully remembered, and particularly Dr. Sassan Mohasseb (as
former room mate and personal friend) and his wife Kathrin were wonderful in consolating
during occasional frustrations. Present colleagues, Mr. Benedikt Weber and Mr. Konrad Moser,
helped generously with lATgjX jitters, and Mr. Goseli diligently prepared the figures. The final
text owes much of its readabity to Dr. Perry Bartelt, who enjoyed chopping up Germanisms
for some time, and its timely finish for the oral exam to the copying and pasting hands of Mr.
Peter Linde. Many thanks to all of them!
The present work was reviewed by Prof. Dr. Eduardo Anderheggen of the Institute of En
gineering Computations and by Dr. Hans M. Hilber, who contributed his experience with Joint
elements from Berkeley and Stuttgart. Their willingness to serve on the dissertation committee
is very much appreciated.
My very private gratitude, however, belongs to my parents in Berlin for their unfailing and
'borderless' moral support, to my wife Daniela for awaiting patiently the end of the project ever
since we met on the way to the 1985 ICOLD Congress in Lausanne (with a trust dissolving not
even in percolated Kolnbrein inspection galleries), and more lately to my baby-boy in Berne for
still recognizing his daddy on sundays.
"Science is not the quest of reaching ultima Thule, but the perpetual race of Achilles,
who pushes the turtle a little bit further in front of him so that he can race a little bit
longer. It is an enjoyable race to run." H.O.K. Kirchner
With a brave smile they all showed admirable understanding.
Bremgarten b. Bern, June 1992 J.-M. Hohberg

Summary
Arch dams are not monolithic shell structures but dissected by a multitude of discontinuities:
construction related block and lift joints, and possibly a peripheral base Joint. To these one
may add the fissured rock abutments, which represent the natural extension of the dam. Such
local planes of weakness in tension and shear determine the likely failure mechanisms of dams
and need be considered in any numerical study of their ultimate bearing capacity. Only this
kind of approach can reveal what it is that 'holds arch dams together'. Of course, it is primarily
the hydrostatic pressure that ensures the transmission of forces across joints. This prestress,
however, may temporarily be by
overcome the inertia forces excited
during an earthquake.
The finite element method in general presupposes a continuum with a smooth displacement
field. Lines or planes of discontinuity involve constraint matrices, which for small relative-
displacements can be conveniently assembled from isoparametric Joint elements,

-
including
the Option of constraint lumping through evaluating the contact status at the element nodes.
For studying the gradual loss of coherence in a continuum the interface behaviour is treated with
advantage as a pseudo-material problem: Individual local penalty parameters in the tangential

and normal degrees of freedom cast the constraints in the format of a Joint stiffness matrix
which tolerates minor violations of the ideally rigid stick and interpenetration constraints. The
same matrix can be degenerated in the limit from a solid of vanishing aspect ratio.
The work focuses on the formulation of the Joint constitutive model, starting from the
penalty parameters as elastic moduli. Dilatant frictional sliding is treated as an incrementally

plastic process with a nonassociated flow, opening as a stress-free reversible gap displacement.
Particular emphasis is given to the coupled softening in tension and shear ('mixed-mode deco-
hesion'). After the initial cementation has been destroyed, the shear capacity and dilatancy vary
with the engagement of surface asperities. The resulting constitutive model combines features
of Joint elements in rock mechanics with those of crack interlock modeis and thus provides a
unique versatility.
The arbitrary Joint stiffness in the stick mode can evoke large elastic trial stresses in the
plastic algorithm, which need be integrated by a second-order Runge-Kutta method with self-
adaptive substepping. Thus waiving a consistent linearization, the unbalanced loads are iterated
with an approximate gradient matrix which always remains Symmetrie and positive-definite. For
application in dynamics the effects of spurious high-frequency oscillations had to be considered,

investigating added local viscosity in the Joint element.
The feasibility of seismic analysis even without such damping is demonstrated for an ide-
alized arch dam with six block joints in half the structure, exploiting symmetry. The study is
limited to the case of an empty reservoir. For the first time the transient loss of shell action
followed by the independent Vibration of cantilevers can be observed.
Key words: arch dams, finite element method, seismic analysis, cracking, joints, damping,
friction, nonassociated plasticity, penalty parameters, softening.
VI
Zusammenfassung
Bogenstaumauern sind keine monolithischen Schalentragwerke, sondern von einer Vielzahl von
Trennflchen durchzogen: konstruktionsbedingte Blockfugen und Arbeitsfugen, eventuell eine
umlaufende Sohlfuge. Hinzu kommt -
in Verlngerung der Sperre in den Untergrund die
-
Klftigkeit des Felswiderlagers. Derlei rtliche Schwachstellen auf Zug und Schub zeichnen Ver
sagensmechanismen vor und gehren in einer numerischen Untersuchung der Sperrentragfhig
keit bercksichtigt. Nur so kann man hoffen zu erfahren, 'was Bogenstaumauern zusammenhlt'.
Primr ist dies sicher der Kraftschlu aus dem hydrostatischen Wasserdruck, der jedoch im Fall
eines Erdbebens infolge der auftretenden Trgheitskrfte kurzzeitig verloren gehen kann.
Die Methode der finiten Elemente setzt in der Regel ein Kontinuum mit stetigem Verlauf
der Verschiebungen voraus. rtliche Diskontinuitten erfordern Bindungsgleichungen, die sich
-
unter der Einschrnkung kleiner Relativverschiebungen -
bequem durch isoparametrische

Trennflchenelemente aufstellen und bei Bedarf sogar diagonalisieren lassen, indem der Kon
taktzustand an den Elementknoten ausgewertet wird. Zum Studium des bergangs vom Kon
tinuum zum Diskontinuum ist esvorteilhaft, das Kontaktproblem als Pseudo-Materialproblem.
zu formulieren:Richtungsabhngige Strafparameter liefern die Bindungen in Form einer Ele-
mentsteifigkeitsmatrix, die kleine Verletzungen der an sich starren Kontakt- und Haftbedingun
gen duldet. Es wird gezeigt, da diese Steifigkeitsmatrix sich alternativ aus einem Kontinuums-
element verschwindender Dicke degenerieren lt.
Das Schwergewicht der Arbeit liegt in der Ausgestaltung der konstitutiven Trennflchen
beziehungen auf Basis der Strafparameter als elastischen Moduli. Gleiten wird als inkrementeller
plastischer Vorgang mit nichtassoziierter Flieregel formuliert, ffnung als reversibler span
nungsfreier Weg. Besondere Sorgfalt wurde auf die Erfassung der gekoppelten Entfestigung auf
Zug und Scherung ('Mixed-Mode'-Ribildung) verwendet. Nach Zerstrung einer anfanglichen
Zementierung variieren Scherfestigkeit und Aufgleitwinkel noch mit der EingrifFshohe der Ober
flchenverzahnung. Damit ist ein bergang zwischen den Kluftelementen in der Felsmechanik
und Betonriverzahnungsmodellen mit vielfltigen Einsatzmglichkeiten geschaffen.
Wegen des sehr steifen elastischen Trennflchenverhaltens knnen im Element groe un

zulssige Spannungsberschreitungen entstehen, die ein zweistufiges Runge-Kutta-Verfahren
mit genauigkeitsgesteuerter Wahl der Schrittlnge integriert. Unter bewutem Verzicht auf eine
konsistente Linearisierung wird fr die Iteration der Ungleichgewichtskrfte eine approximative
Gradientenmatrix verwendet, die stets symmetrisch und positiv-definit bleibt. Speziell fr die
Anwendung in der Dynamik mute die Auswirkung hochfrequenter Stroszillationen beachtet

werden; als Abhilfe wird eine rtliche viskose Dmpfung der Trennfche untersucht.
Die Durchfhrbarkeit dynamischer Berechnungen auch ohne solche Dmpfung wird am ide
alisierten Beispiel einer seismisch angeregten Bogenstaumauer mit sechs modellierten Blockfu
gen (am symmetrischen Halbsystem) gezeigt. Die Studie beschrnkt sich auf den Fall des leeren
Stausees, bei dem erstmals die vorrbergehende Auflsung des Schalentragwerks in einzeln
schwingende Konsolen beobachtet werden kann.
Schlsselwrter: Bogenstaumauern,Finite-Element-Methode, Erdbebenberechnung, Ribil

dung, Fugen, Dmpfung, Reibung, nichtassoziierte Plastizitt, Strafparameter, Entfestigung.
Contents
Preface / Acknowledgements iii
Snmmary / Zusammenfassung v
1 Introduction 1
1.1 Nonlinear Arch Dam Behaviour 2
1.1.1 The Physical Problem 2
1.1.2 The Analysis Problem 5
1.1.3 Modern Concepts of Nonlinear Analysis 10
1.2 Discrete Joint Models 14
1.2.1 General Restrictions of the Method 14
1.2.2 Classification of Joint Elements 15
1.2.3 Previous Application to Arch Dams 18
1.3 Present Work 21
1.3.1 Objectives 21
1.3.2 Scope and Organization 22
2 The Isoparametric Joint Element 25
2.1 The 'Ideally-Thin Layer' Approach 27
2.1.1 Continuum Element Formulation 27
2.1.2 Curved-Surface Description 31
2.1.3 The Role of Element Thickness 34
2.2 The Penalty Approach 38

2.2.1 Regularizing Unilateral Constraints 38
2.2.2 Particularities of Zero Thickness 41
2.2.3 Large Displacements and Rotations 46
2.3 Discussion of Layer vs. Zero-Thickness Formulation 49
2.3.1 Penalty Size and Numerical Accuracy 49
2.3.2 Aspects of Finite Thickness 53
3 Quadrature and Joint Stresses 57
3.1 Duality of Springs and Quadrature 58
3.1.1 Enforcing Interface Constraints 59

3.1.2 Analysis of Joint Constraint Matrices 63
3.1.3 Parasitic Stresses and Underintegration 67
3.2 Quadrature of Discontinuous Fields 71
3.2.1 Overintegration and 'Floating' Quadrature Points 71
3.2.2 Quadrature on Surface Subdomains 76

3.2.3 Limitations to Macro Modelling 80
viii CONTENTS
83
4 Joint and Crack Philosophies
4.1 Behaviour of Base Material and Single Joint 84
4.1.1 Influence of a Weak Plane 84
4.1.2 Effect of Pore Water Pressure 87

91
4.1.3 Present Concept
94
4.2 Friction Versus Asperity Interlock
94
4.2.1 Empirical Models
4.2.2 The 'Unified' Joint Model 98
4.2.3 Choice of Theory 101
103
5 Proposed Constitutive Model
5.1 Friction in a Plasticity Framework 104
5.1.1 Non-Associated Slip 105

109
5.1.2 Consequences of Non-Normality
5.1.3 Difficulties with Mechanical Asperity Models 112
115
5.2 Implicit Consideration of Roughness
5.2.1 The Slip-Circle and Related Concepts 115
5.2.2 Curved Failure Criterion 119
5.2.3 Frictional Wear 121
5.3 Additional Damage Modes 126
Decohesion 126
5.3.1 Tension Softening and Coupled
5.3.2 Multimechanism Plasticity 129
5.3.3 Finite Asperity Height 132
135
6 Nonlinear Solution Technique
136
6.1 Global Equilibrium
6.1.1 Incrementation and Iteration 136
140
6.1.2 Elastoplastic Iteration
Stress Point Algorithm 144
6.2
144
6.2.1 Elastoplastic Integration
148
6.2.2 Proposed Algorithm
6.3 Performance of the Constitutive Model 153
154
6.3.1 Example of Pure Shear
156
6.3.2 Example of Pure Tension
158
6.3.3 Example of Coupled Damage
161
7 Performance in Dynamics
162
7.1 Time Integration
Implicit Methods 162
7.1.1 Explicit vs.
Problem 167
7.1.2 Equivalent Static
171
7.2 High-Frequency Vibration Components
7.2.1 Influence of the Penalty Stiffness 171
Errors 174
7.2.2 Guarding Against Energy
178
7.3 Algorithmic Damping
178
7.3.1 Colliding-Bar Example
7.3.2 Use of Viscous Damping 182
CONTENTS ix
8 Arch Dam Application 187

8.1 Model Description 189
8.1.1 Geometry and Material Data 189
8.1.2 Earthquake Input and Spectral Properties 193

8.2 Vibrational Performance 197
8.2.1 Unlimited Tensile Strength 199

8.2.2 Joint Opening 201
8.2.3 Joint Slip 207
9 Closure 211
9.1 Retrospective Assessment 211

9.2 Future Needs 213
Appendix 215
A Constraint Formulation 215

A.l Perturbed Lagrangian Solution 215
A.2 Iterative Penalty Procedure 216

B Techniques of Matrix Lumping 219
B.l Lumping from the Consistent Matrix 219

B.2 Nodal Quadrature 221
C Interlock Models 222
C.l Geometrie Stiffness Contribution 222
C.2 Role of Confinement 223

D Orthotropic Slip Criterion 224
D.l Friction Cone 224
D.2 General Hyperboloid 225

E Simultaneous Mechanisms 227
E.l UnrelatedDamage Variables 227
E.2 Shared Damage Variables 229
F Iterative Stress Solution 230
F.l Runge-Kutta Method 230

F.2 Return Directions 232
G Temporal Operator Analysis 233
G.l Stabity 233
G.2 Numerical Dissipation 234
Notation 237
Bibliography 243
Chapter 1
Introduction
Because an arch dam is cnived the difficulty would seem to be
not to make it hold up, but to knock it down.
A. Coyne (1956)
The present treatise discusses the formulation, the potential and the
shortcomings of a
special family of Joint elements in the framework of the finite element method: theisoparametric,
zero-thickness element. It can be applied to a wide rnge of computational mechanics problems,
such as connections between prefabricated elements, bond problems in reinforced concrete, soil-
structure interfaces in foundation engineering, and fissured rock in tunneling and mining science.
However, this investigation was motivated by the problem of the seismic stability of arch
dams.
In this verycomplex problem three principal groups of efFects can be identified, which require
individual development efforts [Webe 89]:
1. the nonlinear structural behaviour of the dam and its foundation in transient vibrations
2. the dynamic interaction of the dam with the (compressible) water in the reservoir and
with the ground

3. the seismic input mechanism with wave scattering in the canyon topography and asyn-
chronous excitation of the model boundaries.
The 'structure' is understood as the entire barrier designed toimpond an artificial reservoir:
the man-made dam plus the natural rock, to an extent determined by the relevant changes in
the stress State compared to the one before dam construction.
The present work is concerned with the first aspect of structural nonlinearity.
thorough A
literature
study revealed the need for a nonlinear
analysis capability but also the difficulties to
be expected with the rather coarse discretization affordable in a large integrated model of dam,
foundation and reservoir. By looking at the methods of design and construction of arch dams
and at records of their in-situ Performance, it became apparent that a discontinuum approach
would be fairly realistic and that it could be founded on a large body of Joint and interface
modeis for opening/closing and frictional sliding.
These considerations were published together with a state-of-the-art review of interface
formulations [Hohb 88a], and the present treatise continues with details on the Joint element.
The following chapter recapitulates salient points of arch dam behaviour and analysis as well
as their history and previous application of Joint elements to dams. The scope of the present
work is outlined at the end of this introduction.

CHAPTER 1. INTRODUCTION
1.1 Nonlinear Arch Dam Behaviour
The finite element method (FEM) is the latest in the analysis methods for arch dams, beginning
with the cylinder formula, extended to arch-cantilever grid methods (the famous 'trial load'
method) and attempted application of shell theory with finite difference Solution. The gap
between computational modeis and the observed prototype behaviour has narrowed. Still one
major step needs to be done: The consideration of material and structural nonlinearity! Not so
much for the design of new arch dams, which would justify neither the development effort in
view of their rare number
nowadays nor the computational expense due to the uncertainty of
material parameters in the design stage; it is rather for the re-analysis of existing dams, with
their detected deficiencies and a large body of data from insitu measurements.
The finite element method (FEM) with its unique capability of modelling complicated ge-
ometries and boundary conditions as well as local variations of material behaviour seems ideally
suited for this purpose. However, the FEM is basically a continuum method and suffers from
certain drawbacks when applied to discrete discontinuities in unreinforced concrete and rock.
How do the two sides -
the prototype behaviour and the computational model -
influence the
need for and the realization of nonlinear analysis?
1.1.1 The Physical Problem
Arch dams are not monolithic but contain a variety of discontinuities. Some of them are
unintentional zones of weakness (horizontal construction joints, the concrete-rock interface, rock
joints in the foundation), others are designed so as to temporarily or permanently accommodate

thermal strain, differential settlement and structural movement favourable to the intended
loadbearing concept (vertical joints, perimetral or base Joint).

block
Most of these discontinuities stay in compression under operating loads, due to a carefully
designed balance of forces: Tensile stresses from the hydrostatic load are overcompensated
by the action of gravity, including regard of the seasonal temperature Variation and elastic de-
formation of the abutments. However, as with all prestressed structures, the resulting stresses
are small differences of large numbers and therefore sensitive to disturbances. Under load com-
binations or abutment deformation not anticipated in the design or developing with age
- -
the discontinuities may begin to open up or to slide (e.g. in the European Alpes [Ambe 82]
[Stau 84] [Baus 85] [Dung 85]).

As long only joints open which are sealed with water stops, they constitute welcome
as
tension relief mechanisms averting free Cracking through the concrete or opening of rock joints,
where the risk of uplift and eroding seepage would be dangerous. Where the upstream face of
the arch dam meets the bottom of the reservoir, it forms a re-entrant corner loaded by the
TnATinrmTn water
pressure of the reservoir. The stress State there depends very much on the
deformability of the foundation given by as the ratio between the elastic moduli of concrete
and rock, cf. [Comn 76]. Known as the 'heel problem' in arch dam literature [Roch 61] the
high tensile stresses developed at this location may endanger the base of the dam and the
grout curtain underneath [Lins 84]; rupture of the grout curtain is extremly expensive in direct
repair costs as well as seized profits due to emptying the reservoir. The problem is even more
complicated by the seepage forces in hydraulic-mechanical interaction [Loui 77] [Gell 84] and
the influence of residual tectonic rock stresses the actual
'working point' on an essentially
on
nonlinear foundation characteristic [Zhan 90]. Irreversible deformability of both concrete and
rock adds further to the complexity of their combined behaviour. Even if special attention is
devoted to mobilizing the fll heel compression due to selfweight (Fig. 1.1), cracking of the heel
is difficult to avoid. To counteract 'wild' cracking, various types of water-sealed heel joints have
1.1. NONLINEAR ARCH DAM BEHAVIOUR
'A'
'
-
>?
N

. ... ,.
: , A %
J9f2L
Fig. 1.1: Zillergrndl arch dam in Austria under construction (1985); the cantilevers
were allowed to settle independently until crest closure, accepting economic
losses by late impounding. Nonetheless, heel cracks are reported in some of the
blocks [Widm 87].
been designed on arch dams -
cf. the overview in [Hohb 88a] -
of which the most prominent is
the complete Separation of the arch dam from a peripheral foundation strip known as concrete
saddle or pulvino [Seme 55] [Gall 74] [Dole 91] [Ober 91].1
The uncertainty of the imprecision of local strength,

stress level is confronted with an
particularly of the resistance to tension and shear: The quality of the many lift joints, where
concreting was resumed, and the degree of grout filling in the block joints cause unforeseen
strength inhomogeneity and anisotropy. The structure may suffer cracking due to shrinlcage,
steep temperature gradients, excess grouting pressure, or uneven settlement.
In addition, the presence of pore water pressure in the dam body or uplift would consume
part of the tensile strength and of the shear resistance. A general aecount for pore water pressure
in the stress criterion for un-cracked sections (Levy's hypothesis) was never fully adopted in
arch dam design, e.g. [Alva 87]; limited tension due to external loads (plus temperature) is
considered acceptable. These limits are allowed to be exceeded

only loading under accidental
and on the proviso that the remaining cross-section be verified against sliding and compression
failure, including fll uplift across the cracked depth of the section (e.g. [usbr 77]). In practice,
The shell structure rests like in a cradle and is supposed to 'breathe' and adapt its position such as to
predominantly act as compressive membrane with a minimum of bending. However, no analysis method has
become known which were able to compute the exaet amount of edge shear and moments.
illiflifi
ililll
Fig. 1.2: Remnants of Malpasset (1989), which failed 2 Dec. 1959 in sliding of the left
abutment on a weak seam under rock water pressure [Jaeg 63] [Jans 83]
cracks and planes of weakness may already become critical under operating loads.
The reexamination of the fracture planes which developed in some arch dams under
static loads revealed that initial flexural cracking along weak construction joints is followed by
inclined shearing through the remaining cross-section [Lomb 88]. Hence, the 'boundary condi-
tions' for dam deformation change as deterioration progresses. The collapse of the Malpasset
dam (Fig. 1.2) is an instructive example:
The hyperstatic shell structure will attempt to bridge preexisting zones of weakness or
local loss of support by 'secondary arches', provided the abutment can sustain the local
overload.
The reduced strength in block and construction joints may substantially bias the progress
of fracture and result in a stepped appearance of the failure line. Little shearing takes
place through sound concrete.
Total loss of the dam is likely to be initiated or completed by failure inside the abutment
rock, which is even more fissured than the man-made structure. The high factor of safety
against collapse of the shell is only valid for the case of stable abutments.
1.1. NONLINEAR ARCH DAM BEHAVIOUR 5
Seismic excitation adds to the complexity of failure modes: If the reservoir happens to be
empty, the motion upstream may dissolve the shell into independent cantilevers, which are free
to topple upstream [Tard 87]. For a fll reservoir,
however, the oscillatory nature of the inertia
driving forces limits rotations to small amplitudes, alternatingly opening construction joints
upstream and downstream [Lotf 92]. Before
hinge could form inside the cantilever section
a
[Herz 80], it would have to be preceeded by severe crushing of concrete deep into the core. As
the necessary large rotations are restrained by shearing forces in the block joints, crushing will
probably remain localized to the dam faces [Koll 87]. Rather a continuous sliding plane may
form, the stability of which would be most critical fter the seismic event, when the hydrostatic
load acts as constant driving force and fll uplift reduces the mobilization of friction.
So far in history, no arch dam was ever hit by a strong earthquake at maximum storage level
[Hall 88], so that no prototype evidence is available. Shaking table tests with realistic modelling
of joints are also scarce: They are limited to isolated sections such as a single arch [Niwa 80] or
a cantilever with two block joints [Task 87], or they study the kinematic interaction on a fll
model but with non-fracturing material [Donl 85]. Only two tests with cementitious material
investigated cantilever cracking due to block Joint opening at empty and fll reservoir [Ober 67]
[Guti 85]. The results depended on the number of hlocks modelled and do not permit conclusions
about the failure planes in the cantilevers. Thus the Obligation to explore the conditions of arch
dam stability remains a challenge to physical and numerical modelling [Zien 86], also because
the possible collapse mechanism need be understood first before nonlinear design criteria in
terms of acceptable displacements can be formulated [nrc 90].
1.1.2 The Analysis Problem
Today's FEM-aided design process typically presumes three-dimensional shell action in a

homogenous, isotropic structure. However, arch dams are raised lift by lift as individual can
tilevers ('monoliths') to dissipate the heat of hydration and allow early thermal contraction
during cooling.2 Large dams, the construction of which takes several mountain Stimmer sea-
sons, are mostly grouted in stages each spring for successive impounding. The stress state due
to selfweight will thus be one of statically determinate cantilevers near the crest, with increas-
ing shell action toward the talweg [Sera 64]; the selfweight of the highest cantilevers may not
reach the Valley fioor at their base. In wide Valleys, where the dead-load precompression in the
base Joint is particularly important, the block joints may be left open until the entire dam is
completed and has reached its lowest operating temperature (Fig. 1.1).
A linear-elastic finite-element model, which does not allow for open block joints, applies
the selfweight instantaneously to the final structure ('gravity turn-on'). The dead load is then
partly carried via tension to the crest abutment, resulting in a potential lack of compressive
heel stresses of the order of the tensile capacity of the concrete-rock interface [Fitz 75] [Tayl 87].
Where the trial-load assumption of independent cantilevers may have been too optimistic, the
FEM produces results which are overconservative.
Another dubious advantage of a finite-element analysis is the resolution of nonlinear stress

distributions across the thickness of the dam: Due to shear deformation and Boussinesq ef-
fects of uneven ground reactions, the real stress distribution in a dam does not comply with
the Bernoulli-Navier hypothesis of plane remaining plane [Toel 38] [Roch 64]. Both
sections
girder-grid and shell methods (including elements) are based on this hypothesis
most FE shell
[Widm 89] and also neglect stresses perpendicular to the centre plane of the dam.
8The new construction method with roller-compacted concrete (RCC, 'rollcrete' etc.) uses very thin layers of
leaner mixes with low-heat cement. The lift joints are 'hot joints' (fresh in fresh), and no block joints intersect the
layers. Such construction would be less amenable to the analysis approach proposed in this work, cf. [Camp 75].
Symmetrie Arch Dam

under selfweight + fll reservoir head (Er/Ec =
oo)
(intrados) ,/ /(extrados)
arch stresses
[MPa]
(intrados) (extrados)
cantilever
stresses [MPa]
Fig. 1.3: Static stress pattern of a 237 m high arch dam (simplified Mauvoisin geometry)
[Hohb 84]; results with Flowers [Ande 85]
8-1
legend: o allowable tension

7-
calculated tension

1 /
6- A tensile strength for fc =35 MPa
7
rc7 upper values include strain-rate effect a/
5"
I
in 4- c8 / ^
t.
u>
o B^ /*/ 1
4)
55
3- E S
1
^ ?' / d~
c
8
/ /

2 -
S. e>< X 00
i i
1 -
_.âs-S2^3>aa^"*^^T^"2.',^~-~. -"-'
<
On 1 1 1 i i i <
IS0 1920 1930 1940 1950 i960 1970 1980 1990
year
Fig. 1.4: Tensile stresses in arch dams (fter [Yeh 87], see references there)
Only solid elements of multi-layer arrangement can detect nonlinear

higher order or in
stress distributions. Their refined resolution of stress gradients has the disadvantage, however,
that local stress concentrations are sampled, such as self-equilibrating temperature stresses
[Bona 75], which established design verification criteria do not take into account. Furthermore,
the stresses found near singularities (in particular at the arch dam heel) strongly depend on
the degree of mesh refinement.
example, a linear-elastic computation of an arch dam with only two 20-node brick
Take, for
elements through the thickness (Fig. 1.3): The principal tensile stress at the heel reaches values
between 4.3 and 6.4 MPa, depending on foundation flexibility. The maTimiim value is attained
for an ideally rigid foundation (Er/Ec oo), confer [Lins 84] [Baus 85], due to absence of an
=
Boussinesq's compression peak upstream under gravity load [Hohb 84] [Cepa 85]. The geometry
is very similar to an existing dam, for which the original arch-cantilever analysis had computed
vertical heel stresses of-2.4 MPa compression [Stuc 53].
The growing discrepancy between improved computational stress resolution and established
verification criteria was appeased by raising the admissible tensile stresses for linear anal
ysis far beyond previous practice (Fig. 1.4), cf. [Thom 77]. This
by development was kindled
the stipulation of more comprehensive upgraded load cases, (maximum probhazard scenarios
able flood, maximum credihle earthquake) and the higher stress resolution by modern analysis
techniques when applied in relicensing existing dams. Moreover, the satisfactory historic Perfor
mance of dams under seismic excitation which exceeded by far their original design earthquake
seemed enough evidence for allowing substantial dynamic strength factors [Swan 79] [Wulf 79].
Another central argument in the Interpretation of linear-elastic analyses became the artifact
of 'apparent tensile strength'. It was intended to mimic the effect of stiffness degradation
an
by accepting elastically computed stresses if the failure strain of the material was not exceeded
[Vogt 30]. Originally applied to cantilever stress assessment fter redistribution of excessive ten
sile stresses across block joints [Dung 80], the 'apparent tensile strength' was later re-interpreted
as modulus of rupture (flexural strength) to be adopted as general critrion in lieu of the direct
Symmetrie Arch Dam: Effect of ground acceleration (0.25g up/downstream, 5% damping)

for fll reservoir
.A
QK33
areas of exceeded precompression
+1 MPa tensile strength
joint opening
I q-HMPa
j.
precompression
extrados
intrados
6.0 7.0
(Point A) time[s]
Fig. 1.5: Expected Joint opening under moderate earthquake excitation (simplified
Mauvoisin geometry) [Hohb 84]; linear-elastic computation with Flowers
[Ande 85]
tensile strength [Raph 84], irrespective of the stress gradient.3 This rationale is to be viewed
with much reservation and has recently been clearly rejeeted by ICOLD, returning to the di-
rect tensile strength [ico 88]. Also, the detrimental influence of coneurrent lateral compression
[Mlak 85] [Kreu 91], low-cycle fatigue [Chap 87] [Brh 88] and badly executed or precracked
joints must not be forgotten [nrc 90].
The seismic opening of joints and cracks in areas which already close to or in
are
tension under static loads (Fig. 1.3) cannot be handled by linear-elastic analysis: The inertial
forces mobilized by high ground acceleration will offset -
from the crest downwards -
the
hydrostatic precompression in the block joints and exceed any small tensile capacity [Clou 82],
such that joint opening would be expected as indicated in Fig. 1.5 for the example arch dam
geometry. Results firom a response spectrum analysis would not even fumish the number of
stress excursions in the nonlinear rnge. Modal analysis with time Integration is slightly more
informative, allowing for instance to estimate the drop in eigenfrequencies due to local softening
of the arch dam [Pris 78] or a pseudo-static postprocessing of the most critical stress patterns
3To give an idea of the consequences: The apparent dynamic tensile strength at 180 days is after [Raph 84]
ft. .*
= 1-5 /. . = 0-65 {fc)2,S.This gives for fc= 35 MPa a
/ ,*,. 6.9 MPa. Similar it was
=
suggested to use
/. ,<tn. = 1.2
1.5 ft,ttat. (with ft,tt*t ~0.1 /) for a 55-MPa-concrete, giving a fantastic
/..<. = MPa [Lotf 92].

Legend: * EMOSSON (180m)

+ SCHLEGEIS (130m)
o M0NTICELL0(93m)
s XIANGH0NGDIAN(88m)
A A KLNBREIN(197m)
t [%critical] o MORROW POINT (142m)
? KAMISHIIBA(IIOm)
6- $ ^ HENRIK VERW0ERD(85m)
low/high reservoir
5
o

4 A) #
D O o
3
////////////$///s////)///////////////////////////
o a A..A USBR 1977
?<*? >
e *
2
a* w /ya,!p'o+0+ aH
t a
0 -i 1 1 1 1 1 1 1 1 1 1 1 1
^~
1 2 3 4 5 6 7 8 9 10 11 12 13 f [Hz]
Fig. 1.6: Damping ratios (with respect to critical damping) asfound in arch dam shaking
tests in situ [Hohb 88a]
in order to assess the capacity of nonlinear load redistribution [usbr 77] [Dung 80]. However,
tracking the temporary system changes from a monolithic structure to independently vibrating
cantilevers requires a Integration.4
nonlinear direct time
Many believe that the error in neglecting joint opening is roughly compensated by using
larger damping values attributed to nonlinear behaviour. With the argument of "extensive"
opening of block joints, damping ratios of up to 10% of critical damping have been chosen
in analysis practice, e.g. [sngt 91]. The data base for this assumption is rather small: In-
situ resonance tests on large arch dams, where the applied shaker forces can only produce
amplitudes in the rnge of IO-3 cm, yield small damping ratios of 0.8-1.8% (Fig. 1.6). These
hardly exceed the recommended damping values for prestressed, uncracked concrete [Stev 80] .6
Higher damping values of 4-7% were reported for smaller dams, but should be regarded with
caution in view of possible excessive modal interference of Symmetrie and asymmetric modes
in the applied half-power method or inadequate firequency control of early shaking equipment
[Hall 88]. The only damping values in the non-linear rnge of joint opening seem to he data
from Hatano's 13-m test arch dam [Hata 67] and Russian model tests report ing an increase
from 1.6-2.9% to 4.8-8.8% for joint opening [Bht 73].
Simulating nonlinear arch dam behaviour aecumulatingby linear analysis runs the risk of
favourable assumptions of tensile
strength and high damping ratio. For example, analyz-
high
ing an almost joint-free, reinforced and horizontally prestressed arch dam with 10% damping
[Sera 65] seems unconservative. A comprehensive rationale has been published for concrete grav
ity dams [Guth 86], linking the damping coefficient to the tensile stresses attained in previous
4Note that the opposite problem arises in the analysis of gravity dams in narrow canyons: The assumption
of independently vibrating cantilevers is only true for the duration of strong ground shaking, whereas in the
starting and decaying phase the dam will behave as a three-dimensional structure [Rea 75] [Wulf 79].
5
Due to insufficient energy input these damping values show little energy radiation into the water and certainly
not into the foundation.
10 CHAPTER 1. INTRODUCTION
computation and to additional stability checks of cracked sections.6 The analysis of arch dams
should follow similar lines.
Unusually large damping ratios have also been used to simulate the energy dissipation by
radiation ofwaves into adjacent media, referred to as radiation damping. The accurate con-
sideration of this effect would require computation in the frequency domain, obtaining the
response of the dam from the superposition of contributions at different frequency. This re-
quires, of course, linearity of the system, and interfaces (e.g. for the frictionless contact between
reservoir fluid and dam) can only [Ahma 88]. Subsequent checks
model linear contact conditions
on nonlinear dam stability based on linear results and energy principles (or pseudo-static loads)
are necessarily rather approximate [Tard 87] [Lotf 92].
The Solution of dam-reservoir interaction is thus in a principal conflict with the need for
nonlinear analysis, which requires direct
Integration in the time domain. Until recently, nonlinear
dam analysis therefore still employed the extended Westergaard concept of an added mass of
incompressible water [Kuo 82a] [Dowl 87] [Ghan 89]. The use of so-caed local transmitting
boundaries at the far end of the reservoir model allows for water compressibility [Ahma 88]
[Cama 89] but introduces severe distortions in the hydrodynamic response [OCon 88]. Only the
successful development of a new and very accurate radiation boundary approach has opened the
possibility of nonlinear analysis without compromising on the reservoir interaction [Webe 90].
1.1.3 Modern Concepts of Nonlinear Analysis

Most of the previous efforts to model nonlinear arch dam behaviour have been devoted to static
load cases. The several techniques tried in the past (Fig. 1.7) can be grouped into two basic
categories:
I Detailed 2-D analysis of a critical dam section:
A coarse three-dimensional analysis of the arch dam is used to derive equivalent forces or
a set of imposed displacements to act upon a cut-free two-dimensional section ('zooming

technique'); this is then amenable to sophisticated nonlinear analysis in sufficently fine
discretization developed
as gravity [Chap 81] [Skri 83] [Saou 87].
for concrete dams One
particular code, Franc, which computes discrete crack propagation according to linear
elastic fracture mechanics criteria (LEFM) based on stress intensity at the crack tip, has
repeatedly been applied to 2-D arch dam cantilever modeis [Wawr 87] pngr 87] [Lins 89].
The fact that the application of classical LEFM requires dam sections of 25 to 50 m
thickness [Saou 89] suggests to regard these studies with much reservation [Hohb 90b].
In particular for short cracks or short ligaments (i.e. the remaining section thickness) the
finite length of the fracture process zone can hardly be neglected [Alva 90].7
Furthermore, all locally refined 2-D modeis are subject to a gradual change of the bound
ary conditions accounting for the three-dimensional behaviour of the fll structure: The
crack driving forces would have to be re-evaluated on a coarser fll 3-D model whenever
9The recommended procedure is as follows: If in linear-dynamic computation (direct time Integration for
MCE) with 5% damping ratio the tensile stresses remain below 0.15-/c, no additional computation is required. If
exceeded, however, the analysis is to be repeated with 7% damping; if the tensile stresses exceeded even 0.20-/c,
the damping may be raised to 10% to account for presumed Joint opening. If in the new computation in spite -
of the higher damping the

-
allowable tensile stress of 0.10 fc is exceeded,

then the extent of Joint opening and
cantilever cracking is to be estimated, and the block stability must be verified under uplift pressure.
7The fracture process sone in mass concrete was found to be between one and two meters long [Brh 88], and
it must be expected to increase cyclic loading [Rein 84]. On principle, the process sone can be modelled
under
by joint elements with a tension-softening constitutive law [Ngo 75] [Ingr 84] [Feit 89]. Such elements (or other
means of formulating crack face constraints) become mandatory if crack closure and shear transmission across
cracks are to be included under non-monotonic loading.

1.1. NONLINEAR ARCH DAM BEHAVIOUR 11
the crack length changes notably the compliance of the cracked section [Ambe 82]. As
this is usually not done, "the prediction of stability of the crack and safety of the dam
...becomes conjectural at best" [Lins 87]. This applies, of course, also to isolated arches
investigated in 2-D modeis of abutment instability [Alon 85]. Very recently, the research
efforts regarding the hydraulic fracturing of rock yielded a three-dimensional LEFM pro
gram Fransys using boundary elements, which has tentatively been applied to an arch
dam geometry [Mart 90]. However, its capability is restricted to driving a Single crack
under constant loads, and it requires alternative evaluation and Interpolation from two
different meshes, a drawback encountered before in gravity dam analysis [Chap 85].
II Sensitivity study of 3-D load redistribution:

General three-dimensional crack propagation with topological changes between finite el
ements would require such a fine mesh that it is intractable even for the present state of
supercomputing. As an alternative strategy the stability of an arch dam could be assessed

by exploring its capability to find subsidiary load paths around cracks or open discon
tinuities, without relying on strength or fracture toughness. Methods to model tension
relief and load redistribution in coarse discretization are the following:
1. The dam can be assumed as a homogenous structure, in which cracking or joint

opening is modelled in an average sense. Such smeared crack modeis meet certain
reservations when used in overcoarse meshes since it is diffkult to keep the release
of fracture energy independent of the mesh size; however, this
shortcoming seems
of minor importance in the application to arch dams.8 Examples are the classical
'no-tension' method [Dung 75] [OCon 80] [Cast 83] [Hmo 83] [Carr 89] or elasto-
(visco)plastic modeis with a tension yield surface [Pedr 85] [Dung 87] [Pina 87]. Care
isrequired as several constitutive modeis have shortcomings, which may not show
up in mono-directional, proportional loading (cf. [Cris 87b] [Will 87] [Rots 89]) but
would prevent their use for arbitrary cyclic paths under seismic loading. The Interpre
tation of multiple cracking can become a problem [Mays 89]. Moreover, it is doubted
that post-peak behaviour under rotated principal stresses can be predicted without
employing some kind of joint elements for stress transfer in the crack [Rots 88], and
smeared-crack modeis are considered unsuitable for modelling kinematic discontinu
ities [nrc 90].
2. Since arch dams exhibit pre-existing strength anisotropy and planes of weakness, a
model of discrete discontinuities seems preferable. They act as potential yield
lines and allow the formation of kinematic mechanisms as 'collapse modes' [Jana 65]
[Bust 66]. For such modeis, differential displacements are introduced between finite
solid elements, which in a first approximation
-
are assumed elastic and free of

-
secondary cracks. A few approaches attempt to modify the displacement degrees

of freedom without nodal Separation [Kuo 82b] [Lomb 87]. However, more promis-
ing are nonlinear joint stiffness matrices, which permit to model individual joint
or crack characteristics. From the few numerical comparisons it appears that such
*Very briefly the problem is the following: The strain localisation in a crack at loading is accompanied by
elasticunloading of the adjacent continuum; large elements in a coarse mesh would require a constitutive relation
which incorporates 'snapback' behaviour, because the elastic energy stored in the tributary area of a sanapling
point is larger than the energy absorbed in tension softening during cracking [Sehr 87]. Alternatively, the tensile
strength can be reduced with increasing element sise to limit the energy storage, preserving mesh-independence
of the fracture energy release rate [Basa 87a]. This artifice has its limit in strength-dominated problems such as
plane-stress gravity dam analysis [Varg 89]. In arch dams, however, even material without any tensile strength
[Zien 68] corresponding to a very coarse mesh in the concept of equivalent tensile strength can give well-posed
- -
Solutions, e.g. [OCon 80].

modeis may well give smaller failure loads than a 'no-tension' continuum approach
[Heuz 71] [Alon 85] [Blan 87], provided the critical mechanism can develop without
excess energy. A discrete joint model is said to be "most intuitively satisfying to the
designer" [OCon 85b], because he can systematically relieve deformational restraints
in his structure andstudy the ensuing load distribution and stress pattern.
The variety of methods indicates that no established analysis practice had evolved over the
decade before 1985, when finally a trend toward joint elements emerged. Some of the techniques
in Fig. 1.7 are very resourceful but contrived to satisfy immediate needs. The heterogeneity
of methods makes it thus difficult to reliably interpret calculated nonlinear results, which are
sometimes "not entirely consistent" with the expected structural behaviour [Dreh 87]. Thorough
familiarity with both the dam behaviour and the limits of the individual methods is essential
for successful routine application. A combination of joint elements and the no-tension method
has proven practical [Carr 89] [Crou 89].
Joint elementscan already be helpful in the linear state if used to specify uplift water pres-
sures or integrate contact stresses, for example in the concrete/rock interface of a dam or inside
the rock [Caro 91]. The stress resultants could then be input to a limit equilibrium analysis of a
foundation wedge mechanism [Lond 75] [Mll 77] [Kova 78]. Such procedures are also followed
in dynamics [Scot 83], but there the purpose of joint elements would rather be to follow directly
the intermittent and reversing sliding and rocking [Chop 91]. If the interface properties degrade
over the loading history, e.g. due to deformation-dependent strength characteristics, the guard
against progressive failure necessitates a complete nonlinear step-by-step analysis [Manf 75]
[Roch 78] [Gene 85].
ICOLD made interface problems a special topic ('Question 48') of their congress in 1979.
They were reported to arise from the dam contact surface with the foundation, the interface
between different parts of a dam or with auxiliary structures, with new work when raising or
backing a dam, and from internal interfaces such as lift and block joints [Spee 79]. In dams
with longitudinal joints [Stre 70] [Xia 79] and multi-phase construction [Orek 89] sections may
vibrate independently after the cementation has been destroyed [Pand 79b]. Similarly, the top
portion of a dam monolith may rock and shde independently of the rest of the structure if
not restrained by lateral block joints [Sain 74] [CheH 82] [lra 86] [Elai 88]. Also a Canadian
Workshop on fracture mechanics research needs for (gravity) dam safety assessment identified
thejoints and the concrete/rock interface as the field where research is most urgently needed
[Char 90], and quite the same view with emphasis on the residual strength of existing cracks
-
was expressed by some practitioners Workshop in Switzerland [Carr 90].

in a recent
If new dams are to be built across potentially active faults in the foundation, permanent
extension joints are provided to accommodate differential displacements in the structure. For
quite some time, the Morris gravity dam (California/USA 1934) [Raph 88] and the Inguri
arch dam (USSR 1980) [Mgal 82] were the only operational prototypes with this feature. Just
finished recently, the Clyde dam (Otago/NZ) has also been equipped with a permanent gap
between two dam sections, sealed with a movable wedge plug [Hatt 91]; yet in the project stage
is the Steno arch dam in Greece with a fairly sophisticated concept of adaptability to ground
motion [Gilg 87]. So far, no working analysis tool appears to exist for a three-dimensional
verification of such designs in other than pseudo-static Simulation [Pedr 88] [Siva 89]. It is
still remembered that lacking means of fault displacement verification were responsible for
the demise of the Auburn dam project (California/USA ) in 1981 [Ferg 81], and with scarcer
Potential construction sites the demand for analysis of dams on weak foundations is likely to
increase in the future.

1.1. NONLLNEAR ARCH DAM BEHAVIOUR 13
Genealogy of Nonlinear Arch Dam Analysis
*=. STUBLE1984
INGRAFFEA+ PRISCU CROUCAMP1975
LINSBAUER WIDMANN 1978
1987/88 1975
AYAR11988
AMBERG n.
1982
PINA -sv'. DUNGAR 1975
1987 C^l 0'C0NN0R1980
CASTELEIR01983
HAMON 1983
nrVMMs
fc KU01982
(no known
application) LOMBARDO
HOLAND1975 1987
LUDESCHER 1991
^txz. ROW 1983
DOWLING
1987
TARDIEU 1974
RICKETTS 1975
O'CONNOR 1985
(BICK0VSKI1986)
\.1& PEDRO 1988
FENVES 1989
AHMADI 1990
Fig. 1.7: Overview of concepts of nonlinear arch dam analysis

1.2 Discrete Joint Models
Displacements in discontinuities can account for the major part of structural deformation and
particularly for shear deformation which cannot be explained by continuum modeis [Sing 73]
[Chap 79] [Cund 85]. However, the poorer the approximation of the true failure mechanism
the more the failure load will be overestimated. The usual formulation of finite elements in
displacements as primary variables precludes the computation of strict lower bound limit loads
anyway, since only the
displacement field is compatible along the element sides but the stress
field exhibits finitejumps at interelement boundaries, resulting in a stress field which is not
statically admissible as required for a lower-bound method [Pian 69].
Sufficiently conservative material assumption neglecting any tensile capacity [Zien 68], for
-
instance may be chosen to compensate the unsafe error in the spatial approximation of the
-
stress field.9 Although this kind of tuning is available for discontinuum modeis too, it should be
emphasized that the choice of kinematic discontinuity lines as failure mechanisms qualifies this
approach as an upper bound method in the sense of the theory of limit analysis [Druc 52]
[Kawa 77].
1.2.1 General Restrictions of the Method
The principal problem with the discrete joint approach is thus that the location of discon
tinuities is determined at the beginning of the
analysis and remains constant throughout the
computation. If during the analysis stress states become critical which are grossly in variance
with those having produced the discontinuities, the existing ones may lock and require addi
tional failure through intact material for constituing a kinematic mechanism [DeRo 72].10
The usual Solution technique is to successivly insert more discontinuities and rerun the
problem as a form of 'secant iteration by hand', hoping that the principal axes of stresses and
strains will not change perceptivly during the spreading of failure. In tensile cracking, finite
elements may simply be debonded at the nodes without employing joint elements at all [Crou 75]
[Ambe 82] [Stau 84]. Alternative debonding and rebonding due to different load cases e.g. -
crack developement due to thermal strain and shrinkage, followed by closure under externa!
hydrostatic load may require tedious trial-and-error exploration of the correct extension of
-
node Separation [Clou 63] [Appe 91]. Once the maximum extension of discontinuities active at
any one time is established, the use of joint elements allows at least to maintain the same finite
element mesh for all load cases and possible rotations of the principal axes.
In rocks the number of natural joints is large enough, and their

strength is so much inferior to
that of the intact material, that
they permit the formation of failure
planes in almost arhitrary
manner without new fracturing. These conditions do not obviously hold for concrete: Pre-
inserted joint elements may serve to investigate stress relief mechanisms, but the results are
limited to the pre-failure state of the competent concrete blocks. In computational practice, rock
and concrete do not differ that much, because the number of joints of which the geometrical
data are known is limited also in rock although this difficulty could be overcome by random
-
'This conesponds to the traditional view in limit load analysis that assuming a tensile strength can only
increase but not decrease the limit load, e.g. [Matt 80], contrasted by the view of fracture mechanics that the
energy suddenly released in tensile cracking may well propagate cracks which would have been stable in a 'no-
tension' material [Basa 90].
10As annotated earlier, a similar problem also exists in the homogenised continuum representation of stress-
induced anisotropy ('smeared cracking'), unless the discontinuity is allowed to rotate with the principal strain
axes
('swinging crack') [Cris 87b] [Will 87]. Lower-bound limit analysis methods for reinforced concrete are often
based on this assumption [Coli 78] [Mart 80], which may seem objectionable from the material science point of
view [Basa 83] but can be interpreted as the limit of multiple cracking at vanishing threshold angle [Rots 89].
1.2. DISCRETE JOINT MODELS 15
joint generation -
and, more so, the number of joints that can be induded in the computational
model is limited by the Computer resources [Star 88].11
Several Solutions are possible:
The 'discrete' and 'distinct' element methods (DEM) come dosest to induding as many
joints as possible between one-element blocks [Hock 78] [Varg 85] [Kafr 87] [DeLe 87]. This
concept could also be applied by using a random block pattern in absence of
to concrete
enough preexisting joints [Lori 87]. An obvious application would be the particular design
of concrete block dams [Marc 91] or masonry and rockfill dams. The DEM is just finding
its way into three dimensions [Hart 88] [Kawa 88].
If blocks are chosen too large and stresses inside exceed the intact material strength, blocks
could be split in two in the spirit of discrete crack propagation [Hock 87]. Automatic failure
plane generation by Insertion of joint elements has also been developed in soil mechanics
[Adje 88]. Their direction could be determined by an analysis of the acoustic tensor of the
homogenous strain state at impending localization [Lars 90].
An alternative to fine discretization would be a technique which varies the location and
orientation of failureplanes to find ('perturbation approach'), e.g.
the lowest failure load
[Heuz 71] [Gust 85]. Work toward automatic optimization is in progress [Savi 87] [Guss 88]
[Sloa 88] [Giam 91].
The simplest technique given joints and to introduce additional 'sleeping'
is to model
ones with initial cementation as potential secondary failure planes. Residual stresses in
the solid elements must be monitored, and if found to be critical, the problem must be
re-run with a better adapted arrangement of joint elements.
technique of perturbing only the secondary failure planes seems acceptable for the
The last
arch dam problem with a large number of apriori known discontinuities. It allows to study the
influence of 'pure' joint modeis, which could subsequently be enriched by smeared-cracking or
isotropic damage constitutive relations in the solid elements between joints.
1.2.2 Classification of Joint Elements
The concept of joint elements seems to have originated at about the same time in concrete
mechanics and geomechanics. The idea was to allow finite
jumps in the displacement field to
take place in
very a narrow interface zone adjacent bodies. The tradition
between two or more
in mechanical engineering is different: There the joint concept forms a subclass of the general
contact problem with deformation-based joint elements as a perturbation of the exact Solution
with Lagrange multipliers, cf. [Hohb 88a].

Search algorithms and contact monitoring between bodies with dissimilar meshes can be
avoided if the character of the displacement discontinuity (Separation, slip along the interface)
allows to define double nodes, one on either side of the interface. This concept does not apriori
preclude large displacements across the Joint, if the juxtaposition of nodes is continuously
updated in node-to-segment contact. For ease of Interpolation, such approaches are restricted
to linear shape functions of displacements along the joint segment, e.g. [Ghab 88]. It should be
noted that the 'small displacement' assumption may allow rather large absolute slip distances
in macro-discretization, i.e. in relation to the spacing of nodes along the segment.
"Depending on the geometric extension of the model incorporating possible far-field response, the discretisa-
tion of the nonlinear near-field will be rather coarse, spealdng of a 'macro scale'. This terminology should not be
confiised with the one in material science, where already the approximation of concrete as homogeneous material
is defined as macro level [Witt 83].
no. type names 2-D (Une) S-D (surface)

la node-to-node linkage element / Anderson 1966 Row 1983
spring box gap element / Ngo 1967 Ahmad 1987

bond link elem. / Nilson 1968
tie link element / Franklin 1970
2-node contact Dupeyrat 1975
element Keuser 1983a
lb normal spring gap-friction elem. / Mondkar 1980
with friction disc nodal tie element Coulthard 1982
lc shape linear, 4-node joint Schricker 1980
1-Gauss element
ld shape linear, bond element / Stauder 1972"
2-Lobatto decoupled joint Hilber 1976
le eccentric spring shell Joint Hall 1985 Dowling 1987
(normal + rotational)
2a shape linear, Joint element / Goodman 1968 Mahtab 1970
2-Gauss bond element / Hoshino 1974 Schfer 1975
(2x2-Gaussin 3-D) contact element / Schfer 1975 Desai 1976
slip element / Becker 1979

1-D interface Toki1981
Nadim 1982
2b shape Unear, expl. rotation Goodman 1974
2-Lob. (s: 1-Gauss) Joint element Rots 1988
3a shape quadratic, bond element / Ngo 1975 Tardieu 1974

2- or 3-Gauss curved joint elem. / Sharma 1976 Buiagohain 1978
(2x2- or 3x3- interface element / Cramer 1979 O'Connor 1985

Gauss in 3-D) nonl. bound. cond. / Gadhinglajkar 1981 Katz 1982
isopar. contact elem. / HUber 1982 Beer 1985

connector element Garol 1983 Carol 1985
Keuser 1985 Pack 1986
3b shape quadratic lumped Hohberg 1988 (Urzua 1977")
3-Lobatto joint element Qiu 1990
4a shape Unear, well-conditioned Ghaboussi 1973 Agbabian 1976
finite thickness, joint element / Wson 1977
rel. displ. d.o.f. slip element
4b shape quadratic, parabolic Mhlhaus 1977
finite thickness, interface element Pande 1979
rel. displ. d.o.f.
5a shape linear, interface element / Petersson 1974 Isenberg 1973

strain formulation, gap element / Llorente 1978
thru-thickness quad. connector element Stadter 1979
5b shape quadratic, thin solid Vermeer 1975
strain formulation, interface element / Desai 1981
thru-thickness quad. thin-layer element
5c shape quadratic, variable thickness Zienkiewicz 1970 Ricketts 1975

strain formulation, joint element Nsangou 1981 Richer 1985
midplane quadrature
"mentioning also possible extension to 3-D

*in Interpretation as spring box assembly, similar to Franklin (1970)
'also quadratic Interpolation
'discussing decoupling for a 9-node (Lagrange) interface element in mixtd formulation
Tab. 1.8: Origin of various types of joint elements

If the one-to-one correspondence of double nodes across the interface is maintained

during
the computation with reasonable accuracy, the
penalty can be implemented as
constraints
particular elements, which is rather convenient for existing codes with a user-defined element
option. In many civil engineering applications the joint will be initially dosed, but this is not
essential as long as the node pairing across the interface is known in advance.
joint concept has been cast into several different types of elements. A fairly recent
The
survey dam analysis practice in the United States [usco 85] distinguished between "gap
on
elements", "joint elements", "boundary slip dements", and "thin (solid) elements" thus
giving an idea of some confusion in the engineering Community (Tab. 1.8).

The main differences lie in:
the thickness of the dement (finite or zero)
the constitutive formulation in strains or displacements
the number of double-nodes
the quadrature scheme
the use of a lumped or consistent stiffness matrix.
Several zero-thickness dements, which are grouped into the classes 1-3 of Tab. 1.8, appear
in many identical versions born out of lack of communication between unrelated disciplines or
of ignorance. They all work with absolute displacements of top and bottom nodes.12
Fear of illconditioning led to the introduction of relative displacements as primary unknowns
(class 4) and derivations from conventional continuum elements (class 5). As the former elements
require additional unknowns in the adjacent continuum elements, they are exempted from the
present study. The elements implemented in the current research project belong to class 3, but
it will become clear in this report that the types in classes 2 and 1 are only special cases of class
3 dements, which themsdves can be derived from thinning elements of class 5 to zero-thickness.
Asalready mentioned, differences between element types if not happened by -
pure chance
were motivated by real or alleged difficulties of concurrent types:
-
ill-conditioning of the global stiffness matrix
arbitrariness of the stihesses, particularly against interpenetration
physically meaningless distribution of contact stresses

lack of convergence in static applications
high-frequency noise in dynamic applications.
Some of these difficulties are not exclusive to the
penalty concept but are found in Lagrange
multiplier formulations as well. They largely depend on the problem at hand, for instance on the
number and Connectivity of joint dements, on the stiffness and hyperstaticity of the structure,
of the displacement gradients and other influences to be discussed in the present work.
Nevertheless, test conditions can he restricted to small sample problems or even 'single-
element' tests (i.e. joint 4- continuum element assembled),
one in which a large number of
parameters can be varied economically.

Whether numerical sensitivity will play a role -
or can be tolerated depends on the

-
particular application and sometimes of the size of the problem. Even then, however, a reduction
in spatial dimensions saves Computer time and bulk Output and is often just as predicative for
the numerical (not the physical) aspect of a problem. In the case of arch dams, the natural
corresponding 2-D problem is an isolated arch and has been used several times for testing joint
modd Performance [Kuo 82b] [Hall 85]. In the present work, a line joint dement (suited for both
2-D and 3-D applications) has therefore been coded along with the 3-D surface joint element.
"Type le uses an additional rotation degree of freedom between thin shell elements but derives its constitutive
laws (i.e. the moment curvature relation, etc.) from detail computations with type la [Hall 85].
1.2.3 Previous Application to Arch Dams
Three-dimensional Joint modeling in arch dams has been done using node-to-node spring boxes
(type la in Tab. 1.8), the shell joint dement (type le) and quadratic isoparametric joint elements
with either zero thickness (type 3a) or finite thickness (type 5c). In fact, the use of higher-order
isoparametric joint elements (then of finite thickness) was proposed for 3-D arch dam abutment
problems as early as in 1968 [Erga 68], i.e. at the same time as the first applications of simpler
2-D joint elements.
Static applications concern the relief of tension at the concrete-rock interface for hydro
static load [Rick 75] [OCon 85a] [Ahma 90] and in block joints for the Simulation of the construc
tion sequence and relaxation of temperature- swelling-induced stresses [Tard 85] [Bogg 86].
or
Another modelled expansion mechanism is the circumferential pulvino joint [Stern 91], for in
stance in comhination with a nonlinear shell model capable of smeared cracking [Pedr 88].13
Stability investigations of arch dam and abutment in an integrated modd were conducted
for the failure of Malpasset dam (Fig. 1.2). Joint elements were employed to define the three
planes of the critical wedge in the rock foundation, while the shell superstructure was kept
linear [Lond 75]. This way the importance of joint water pressure for incipient failure could be
ascertained. A similar analysis was undertaken with Langrange multiplier constraint dements
[Pois 88] [Steg 90]. The rotation of the entire dam could be modelled -
which accounts auto-
matically for changes during sliding

in the abutment forces due to
stretching or shortening of
the arch span [Mgal 87] but not its disintegration in overstrained sections.
-
A larger number of rock joints were modelled for the potentially instable right abutment of
the Canees dam; at a first step, two-dimensional arch rings with horizontal slices through the
jointed rock were considered [Alon 85], while the fll three-dimensional analysis with 1505 (!)
joint elements is as yet studied for linear joint stress evaluation, but permits already some
conclusions on the balance between driving and resisting forces [Caro 91]. The most extensive
nonlinear study to date incorporated three major faults into a large 3-D dam site model with
218 joint elements [Carr 87].
Similar to the experience in other areas of engineering, numerical difficulties were noted as
follows:
slow convergence with initial-stress and visco-plastic algorithms [Lond 75] [Rick 75]
stationary 'flip-flop' oscillations between different State configurations of quadrature points
[OCon 85b]
sensitivity to the order of quadrature and to the penalty size with regard to the surround-
ing continuum dements [Bogg 86]

ahnormally high stresses and loss of continuity under certain boundary constraint condi
tions [Alon 85]
uneven contact stress distribution ('stress garlands'), e.g. in 2-D [Shar 76] [Pand 79b], but
rarely shown in 3-D.
Most of this experience gained

was in iterative changes from the fully bonded to the fully
open or sliding state, involving large stiffness differences. Relatively little is known about the
behaviour in secant- stiffness iteration with more gradually relaxed joint stiffness [Ahma 90].
15
Not all of theses analyses are truly nonlinear, but may iterate the total load response with successivly lower
joint moduli, either in tension (excluding slip) [Ahma 90] [Stern 91] or in shear to avoid treating friction during
opening [Rick 75].
Nonlinear Seismic Simulation of Pocaima Dam
motion sequence opening and arch stress in block joint

A
NON-LINEAR BNHLTSIS. FLL RESERVOIR
Point A V4
t3=8.47s
II rt
afT770 TO. 0
t4=8.50s
# fl
Point A VU
670TV bT 70 10. 0
TIME ISECS)
crown cantilever
Fig. 1.9: Aperture and stressesof joints in the Pacoima dam computation for fll reser
voir and a sealed ground motion of 2/3 of the Pacoima 1971 record [Dowl 87]
previously mentioned reports actually suggest by their title the extension to

Two of the
dynamic applications [OCon 85b] [Bogg 86] but do not go beyond expressing their authors'
belief that an analysis using isoparametric joint dements "is applicable to ... arch dam struc
tural response during an extreme seismic event" [Bogg 86].

only dynamic nonlinear analyses available during the early phases of the present work
The
were one with the three-dimensional spring-box [Row 83] and one with the shell joint
element
[Dowl 87]. Important observations were the following:

Both computations were troubled by high-frequency noise. With only one spring-box on
either face of the dam it was noted that "high frequency oscillations with periods less
than At are present in the finite element model. Although the displacements assodated
with these oscillations are small, they correspond to substantial oscillations in the gap
forces, because of the very stiffnesses of the gap elements" [Row 83]. A similar Ob
large
servation was reported for the shell joint dement in spite of algorithmic damping: "... the
time histories of arch compressive stresses ... are characterized by high frequency
very
oscillations which may be partly numerical and partly due to (Joint) impacts" [Dowl 87].
This accord on phenomena was reached with totally different Integration techniques,
namely event-driven stiffness Updates in the first computation and smoothing of indi
vidual events by large time steps of 10-20 ms in the second.
Neither computation allowed shearing in the

joints, justified with the typical shear keys
in the block joints of Californian arch dams. The computation with the shell joints
(Fig. 1.9), showed that the block Joint aperture of some 5 cm would not exceed the
height of such shear
keys. However, the modd also induded selected horizontal unkeyed
lift joints, and of them opened quite unexpectedly to about the same amount as
some
the block joints and through the fll thickness of the dam. The vertical component of the
Pacoima record was deemed insufficient to explain this 'cantilever lift-off', the source of
which "is not apparent and Warrants further investigations" [Dowl 87].
The possibility of an (arrested) numerical instability was apparently discussed within

the group but later discarded in favour of some physical arguments (severity of ground
motion, vertical wave focusing, rdease of strain energy in crack formation) [Hall 91]. Also
the absence of the sliding degree of freedom -
enforcing a rocking response

-
may have
enhanced the lift-off.
A
subsequent pseudo-static test run i.e. without stabilizing inertia forces revealed that
- -
the shell joint in its present implementation assured stability even of blocks which became
separated both in vertical and horizontal joints. The report thus concluded that "joint slip
appears to be an important ingredient for collapse, and the present analytical technique cannot
be used for collapse simulations" [Dowl 87].
Following studies about the influence of mesh refinement and the number of quadrature
points on the smoothing of joint opening and closure [Kuo 82b] [Hall 85] [Hohb 88b], an en
hanced version of the public-domain arch dam program ADAP [Clou 73] has been released as
ADAP-88, now featuring a substructuring approach with three linear solid brick elements and
assodated joint elements across the dam thickness [Fenv 89]. The basic joint dement is very
simple, corresponding to the type 2a in Tab. 1.8 as described in [Desa 76]; but the combination
of local mesh refinement with fll stiffness Updates for iteration during large (10 ms) time steps
is claimed to yidd a surprisingly smooth joint response without algorithmic damping. Since
only Joint displacements but no stress histories which are always the more critical, cf. Fig. 1.9
-
were documented and the risk of numerical instability was kept low by
-
including only three

vertical block joints in the model, it seems a little euphoric to condude: "The numerical Solu
tion shows excellent convergence characteristics, and the response does not show high frequency
oscillations that often plague contact problems" [Fenv 89].
Nevertheless, this positive experience may bring the break-through for joint mechanism
modds in the seismic analysis of arch dams. The tangential motion, however, is still unknown:
Both the reported analysis of an arch shaking table modd, where some joint slippage was ob-
served [Niwa 80], and of Big Tujunga dam with computed joint opening displacements exceeding
again 5 cm (under 0.60 g) stress the need for overcoming the no-slip assumption. Moreover, a
joint modd without this feature would provide no answer in situations where impending failure
of the abutments determines the over-all factor of safety [nrc 90].14
14
Just before the present report went into
print, two more developments have become known to the author: an
isoparametric sero-thkkness joint element (as the present one) with a simple friction model, applied to the seismic
behaviour of block joints in Ambiesta dam [Bolo 92]; and the implementation of a Lagrange-multiplier contact
element for use in the (static) Simulation of the dam-rock interface [Lei 92]. These efforts clearly demonstrate
the importance attached worldwide to nonlinear arch dam analysis.
1.3. PRESENT WORK 21
1.3 Present Work
The foregoing tour d'horizon revealed several 'ingredients' needed for the development of an
advanced joint element. It is thought that progress is best achieved by simultaneously enhanc-
ing techniques in each of these fidds. Moreover, the rductant acceptance of joint modeis seems
largdy caused by the prevailing regarding the dements' background and Perfor
uneasiness
mance; as more joint modeis appear latdy, a comprehensive treatise of the subject becomes
desirable. Apart from its development work, this report therefore endeavours to reconcile some
diverging opinions on joint modelling and to establish a certified basis of knowledge.
1.3.1 Objectives
When using joint dements, the spatial discretization is always an important factor. Contact
and slide line problems can be well solved by other methods (Lagrange multipliers, exterior
penalty methods, etc.) provided the problem is small enough for sufficiently fine discretization
with linear Interpolation of displacements and tractions on a segment. However, the large three-
dimensional problem of an arch dam with reservoir and foundation in an integrated model
- -
is still a formidable task in nonlinear time history analysis.
Therefore, the present work has the following inherent assumptions:

Very few (one to three) solid elements are to be used through the thickness of the arch dam.
These solids need to have quadratic interpolation (20 node bricks) to better approximate
curved surfaces and block joints as well as pronounced stress gradients.
Equivalent to the assumption of small strains, the relativedisplacements in the joints are
assumed to be small in comparison to the spacing of nodes along the joint surface.
Apart from this restriction, the joint element formulation should be as versatile as possible,
applicable to both concrete and rock joints. It must thus be able to efficiently model
discontinuities extending between one or many pairs of solid elements.
To explore the concepts of discontinuities, it suffices in a first step to assume the solid
monoliths between joints to have sufficient strength to behave as linear elastic solids. The
work can concentrate on the algorithms for the nonlinearity in the joints.
Including the three-dimensional shear response is absolutely mandatory, for unkeyed block
joints and lift joints in dams as well as for rock joints. If shear keys could be modelled as
special case, the better.
While in the stage of development, bounds on Computer time are less stringent, and
the accuracy in the algorithms should not too readily be sacrifized to economy. Once a
reasonable idea of relevant joint behaviour has been gained, faster versions for routine
application could be extracted by controlled simplification.

Although joint stiffness matrices may become asymmetric, only a conventional Sym
the
metrie equation solver is presupposed, thus requiring an approximation to the tangent
Operator. The so-called consistent linearization for Newton-Raphson iteration is not in

vestigated at present.
Before the physical arch dam behaviour can become the

objeet of research, the tool, i.e. the
Joint dement, need be investigated. Several questions concerning the formulation and the use
of joint elements, which the previous state-of-the-art report [Hohb 88a] described as different
approaches, need be answered more conclusively:

How do isoparametric joint elements relate to thin solid dement layers and node-to-node
spring boxes in formulation and Performance?

What is the effect of different quadrature schemes on the stresses and stiffness? If lumping
of the joint constraint matrix is possible at all, is it also desirable?
Can the features selected (including future refinements) be better implemented as variable-
dastic laws or in the frame of incremental plasticity?
To which depth need the constitutive relations be formulated? Are there restrictions
imposed by the element formulation?
How does the algorithm for joint state determination interact with the global equilibrium
iterations?
What causes malconvergence and noiseproblems? Does the use of joint dements require
special iteration schemes and temporal Operators?
are new to the dam research project. The earlier developed code DUCS
All of these questions
for gravity analysis
dam [Skri 83] [Feit 89] pioneered free crack propagation in linear 2-D solids
but uses a crack-interlock model (based on asperity shear-off, not on friction), vector-oriented
explidt time marching without stiffness matrices, Euler forward Integration of plastic strain
[Chap 87] and neither stress point nor equilibrium iterations. The envisaged arch dam program
is a new development based on entirely different algorithms, even though it adheres to the
general philosophy of discrete cracking [Webe 89]. Since the proposed modelling techniques are
also applicable to two-dimensional problems, comparative tests with the Ducs program on
gravity dams will become feasible.
As a flexible tool for devdoping the joint element, the FEM program FLOWERS was chosen
because of its rare capability of user interaction during static and dynamic nonlinear compu
tations [Ande 84]. The developed joint elements NIJS and NIJL15 will reside permanently in
the host program and are planed after some simplification for untrained users
-
to be made -
available for various structural and geomechanical applications others than arch dams.
1.3.2 Scope and Organization

During drafting the present volume it seemed desirable to restate some of the findings from the
state-of-the-art report previously published [Hohb 88a],
in German so that the slim addendum
initially intended grew bigger and bigger. The material has been organized in nine chapters:
Starting after this introduction with Chapter 2 the zero-thickness joint element is ap-
proached from the two complementary angles of vanishing continuum thickness and consis
tent penalty distribution. Apparently for the first time, the controversy between the thin-layer
and the zero-thickness 'schools' is resolved. The brief recapitulation of the FEM continuum
formulation serves also as background against which the subsequent formulation of the three-
dimensional, curved zero-thickness joint element can better he understood. The line-joint Ver
sion is not presented separately but can be visualized as a degenerate surface-joint element,
collapsed along one side. An Appendix A demonstrates the interrelation between the penalty
approach and the perturbed Lagrangian method.
Chapter 3 is devoted to the effects of different traction interpolation and sampling strate-
gies. The idea of a variable quadrature scheme allows to derive all known joint stiffness matrices
from one basic element, including selective Integration of normal and shear stiffness. Consis-
tency, underintegration, overintegration, and decoupling by stiffness lumping are discussed,

15
Nonlinear Isoparametric Joint Surface Element' and 'Nonlinear Isoparametric Joint Line Element'
1.3. PRESENT WORK 23
shedding new light on the differehce in Performance of certain joint dements. An analysis of
the pertinent dement eigenvalues is given in the main text and complemented in Appendix B
by a discussion of lumping schemes. With particular view to the envisaged coarse discretization
the novel idea of 'floating' quadrature points for the remaining contact stress block was devel
oped to a state permitting a comparison of the Performance in problems of partial opening and
closing (path-independent, total stress formulation).
In Chapter 4 the constitutive features will be chosen with view to the modelling demands
of a material with preexisting planes of weakness and the
experience accumulated in rock
mechanics. Assumptions for interlock fully devdoped
in concrete cracks
are compared with
the broader concept of decohesion and frictional failure under compression. With regarde to
including joint water pressure in terms of effective contact stress, also the phenomenon of pore
pressure and the history of its treatment in dam design is briefly reviewed. Because of the earlier
Separation of the constitutive modd from the dement formulation, the further daboration
need only concern the levd of the individual quadrature point in the joint element. If the
behaviour in the directions normal and tangential to the contact surface are to be coupled,
dilatancy or rather its limitation to realistic values is shown to entail nonsymmetric modulus
- -
matrices, independent of the formulation in 'variable elasticity' or plastidty. Appendix C

briefly discusses the different role of confinement in the interlock approache.
Chapter 5, which can be considered the heart of the treatise, derives the joint constitu
tive model on the basis of incremental plasticity. The implications of nonassociated flow and
softening recapitulated.
are Since for a three-dimensional joint surface the option of 'mechani
cal' asperity modeis seems not very promising, the present formulation treats asperity interlock
through appropriate modifications of the 'yield' or failure surfacewith reference to the joint mid-
plane. By virtue of a variable tension cut-off two modeis are implemented in one: the Coulomb
friction cone with apparent cohesion and tension cut-off and its generalization to a hyperboloid
where friction is mobilized in function of the contact pressure. The damage to an initial ce-
mentation in both shear and tension is treated as a multimechanism and believed to be novd.
Questions of anisotropic friction and parametrization of combined damage are discussed in Ap

pendix D. A shear key capability has been added which is more of a tentative nature as it
required several debatable assumptions for fitting into the overall plasticity concept. In spite
of the rather comprehensive devdopments the constitutive modd is the least definitive part of
the present work, holding still a large potential for future refinements.
Chapter 6 addresses algorithmic aspects, both the search for global equilibrium and the
local stress point algorithm with view to path dependency and step length. For reason of
accuracy, a Runge-Kutta Integration with self-adaptive substepping along the failure surface
has been chosen, against which the Performance of fully implicit projection algorithms could
be evaluated in the future. Appendix E contains details of the Runge-Kutta algorithm and
the plastic return directum. The two-step explidt concept turned out particularly convenient
for treating the corner stress states and the coupling with reversible gap opening between shear
keyes, as demonstrated with small element tests under load control. As a major disadvantage
the so-called consistent tangent Operator, although becoming almost state of the art in plasticity
computation, is therefore not considered in the present work.

Subsequently, Chapter 7 investigates the consequences of the drastic stiffness changes in
joints in dynamics. During the structural response, which is inherently a vibrational and not an
impact problem, the stiff phases due to rebonding of joints are shown to necessitate very small
times steps to avoid energy errors with the risk of instability. Reviewing the conditions of efficient
algorithmic damping, an artificial viscosity is advocated as means of controling the notorious

'joint chatter' at element level. The problem is shown to arise from the dynamic dgenmodes of
joint dements, and its Solution is exemplified for nodal rebound occurring in Joint closure. A
basic treatment of damping in temporal Operator analysis is induded as Appendix F.
Theprindpal goal of the present work, the procurement of a workable analysis tool, is
attained in Chapter 8 with a prototype application to the arch dam gometry of Figs. 1.3/1.5.
The reservoir-empty condition is taken as an apt scenario dominated by the Joint behaviour.
For the purpose of demonstrating with a critical eye some of the impprtant features of the
dement and the feasibility of its dynamic usage on a larger scale, it seems legitimate to adopt a
rigid foundation and to exdude at the present stage static loads, although the joint dement is
well equipped for Computing the likely initial damage before the onset of an earthquake. Within
these limitations, some tentative conclusions can be drawn for the influence of opening of block
joints and for the first time also of their frictional sliding on the vibrational behaviour of
- -
an arch dam.
Concluding the present work, Chapter 9 reviews the achieved Standard of the dement and
discusses the potential for future refinements. Certain studies on nonlinear arch dam behaviour
are suggested with final remarks on the concept of pre-inserted joints.
mostly the case in developing engineering tools, a large part of the work is based on
As
computational experiments, not on mathematical rigor. Demonstrative test examples for certain
dement features are described in a manner suffident to allow their duplication by interested
fellow researchers.
Taking the liberty of occasional digressions for the sake of a wider perspective on background
and related alternative approaches unavoidahly affects the readability of the text. An optical
structuring of the main flow of thought has been attempted by using box inserts, footnotes and
annexes. The literature in some of the fields addressed is vast. Although the report does not
attempt to compete with Standard textbooks on finite element techniques, a certain consolida-
tion of the bibliography was attempted for ease of reference in further work. This explains its
somewhat unusual size, which the interested reader may find helpful for further work in this
field.
Chapter 2
The Isoparametric Joint Element
Joint elements discretize the space between two mechanically interacting bodies or adjoining,
inmiscible media. The element family described in the following consists of two lines or surfaces
which in most cases coincide in the unloaded configuration. Hence they are called 'zero-thickness'
joint dements. Despite their zero thickness the elements may well represent physical matter of
finite thickness by means of an appropriate constitutive relation. This can be a filled Joint, a
gap (at ambient pressure, under suction or overpressure), or a fluid.
The compressibity of a impart a certain elastidty to the Joint, which

filier material may
can be visualized as the stiffness of a spring of vanishing length. It is unfortunate practice
to refer to surface elements as '2-D joints', Une elements as '1-D joints', and single Springs
as 'non-dimensional dements', e.g. [Migu 90]; rather, the Virtual thickness or spring length
should be regarded as a derilict dimension [Sch 75]. An existing clearance between joint faces,
for example, could be represented dther by specifying an initial stress-free displacement or
embodied in the constitutive relations as slack distance to be consumed before fll contact is
established. Even zero-thickness joints have thus the character of a 'bidimensional continuum'
[Boul 90a].1
As will be seen in this chapter, two alternative views can be taken concerning the ancestry
of the zero-thickess element (Fig. 2.1): According to the first, a strain-formulated continuum
dement is stretched in its aspect ratio and given certain (orthotropic) material properties of a
boundary layer. With reduced aspect ratio the element strains become more and more uniform
and can be pre-integrated analytically, reducing the numerical quadrature by one dimension to
the central plane of the dement. thinning the layer loses its membrane
During the process of
stiffness and ceases to provide resistance to stretching or in-plane shearing.2
The alternative approach (right branch of the figure) assumes unilateral constraints on the
relative displacements between two suhstructures, resulting in contact and frictional surface
tractions (i.e. forces per unit area). The constraints are placed at discrete points for the bonded
(or 'welded') state and removed upon slip or Separation. Mathematically rigid constraints can
be rdaxed to large but finite penalty stiffnesses between nodes and thought of as the lumped
stiffness of a certain tributary area of the contact segment. If the Integration over the surface
is not performed analytically but numerically, the isoparametric joint element results.
JIf joints were to be modelled between discrete elements approximated rigid, the Joint stiffness would reflect
as
the thickness of the soft matrix between hard inclusions [Zube 87a] or all the
elasticity of the adjacent solid bodies
in this which is not included in the present work the 'joint thickness' relevant for
[Kawa 77] [Ohni 85];
-
case -
the element stiffness would be the finite distance between the centroids of the jointed solid bodies.
2The element is comparable to a set of two 'membrane elements' which possess no stiffness of their own but
serve to compute the contact reactions between them. Single membrane elements are employed for the evaluation
of fluid pressures normal to a curved surface or of solid element surface stresses [Hohb 85] [Scho 85a].
26 CHAPTER 2. THE ISOPARAMETRIC JOINT ELEMENT
Degenerate Continuum: Penalty Regularization:
quadrature point
(here- 2x2 Gauss)
contact tractions
friction tractions
t=10 -1(5 L
mw
$?* e^*

co- stiff interface

orthotropic
continuum element
1.
WMEX middle
t < 10'3-L -^4-fi+--si S*
surface
3 E
T-f "1
spring boxes
thin -layer element (between nodes
or segments)
~ iT.
_t=0
variable-quadrature joint element
Fig. 2.1: Possible derivations of the zero-thickness joint element
As can be gathered bewildering statements in the literature, it takes some time

from some
to get used to the zero or 'negative' volume (in the compressed State) of joint elements based
on the penalty concept. Thin layers seem easier to understand, but this will turn out a luring
fallacy.
The interesting and novel aspect is that the same constraint matrices result either way,
provided the same quadrature rule is used. Such a unifled concept of joint elements is
apparently presented for the first time. For this discussion it seems helpful to treat the con
stitutive relation, which controls the constraint changes via a pseudo-material law, completely
separate from the element formulation in Chapters 4 and 5.

2.1. THE WEALLY-THLN LAYER' APPROACH 27
2.1 The 'Ideally-Thin Layer' Approach

Modelling an interface by a conventional but thin continuum element is attractive: It allows
the use of existing finite dement codes and may avoid
strange-looking overlap in the deformed
configuration. The derivation of interfaces
limiting case of a thin layer will be described
as
first, giving the opportunity to recapitulate the more familir finite dement description of a
continuum before dealing with the degenerate case of zero-thickness.
2.1.1 Continuum Element Formulation
Standard finite dements in structural mechanics displacements

primary field variables,
use as
which they interpolate over subregion the defined

by an dement. The interpolation functions
can be regarded as trial functions in a local form of the classical Ritz
method, approximating
the continuous displacement field in a piecewise manner. If compatible interpolation is used in
adjacent elements, the assumed displacement field is continuous across interdement boundaries,
but strains and stresses derived therefrom are in general not continuous [Stra 73] [Redd 86]. This
is referred to as C continuity, meaning that only the trial functions themsdves but not their
first derivatives are continuous.
A linear-elastic boundary value

problem of prescribed displacements and loads (surface
tractions and body loads) amounts to the variational problem of finding the one displacement
field that minimizes the potential energy for the given set of boundary conditions:
IM) =
\ {}r [K] {} -
{}r {p} - Min. (2.1)
In this notation is
ITfc : the potential energy approximated through a kinematically admissible dis

placement field u, which is discretized into nodal displacements {} and
interpolated over the dement domain
{} : the unknown vector of nodal degrees of freedom, which for continuum ele
ments are displacements in Cartesian components x, y, z
{p} : the given vector of external nodal forces assembled from individual dement
load vectors
[K] : the stiffness matrix of the system assembled from the contribution of individ
ual element stiffness matrices, relating nodal forces to nodal displacements.
Instead of directly searching the energy minimum by mathematical prograrnming, most
finite element programs solve a system of algebraic equations, the so-called Euler equations,
which are the local form of the first Variation of the potential [Hart 85]:
[K]{}-{p} =
{0} (2.2)
d{]
The Solution to the variational minimum problem is thus identical with finding an equilibrium
state between internal and external forces.3 If the problem is nonlinear and path-dependent in
the boundary conditions in material
behaviour, the load will not be applied
or in one step but
in increments {Ap}n, each of which requires a new Solution ( 6.1).
3
The minimum of the potential is only reached in the limit of very fine
spatial discretisation (necessary
property of convergence), unless the continuous strain field is embodied in the discrete field
approximation
[Tong 67], In hyperstatic structures Eq. 2.2 finds one possible state of equilibrium, which happens to correspond
to the energy minimum of the discrete problem, and not necessanly the Solution dosest to the continuous
problem
[Iron 80], (In the sequel, the notation u will always refer to the approximate Solution without writing the hat.)
Dynamic equilibrium can be formulated in the same manner as static equilibrium by in-
corporating into Eq. 2.2 not only elastic but also damping and inertial forces according to the
prindple of D'AIembert [Clou 75] [Pfaf 89]. The finite dement method then solves the partial
differential equation in space and time by semi-discretization, i.e. the initial value problem of
a time-dependent loading history and system response is first discretized into finite differences
in time. The instantaneous boundary value problem is spatially discretized into finite elements
and then solved for each time step as described lateron in Chapter 7.
AU global vectors and matrices are assembled by Boolean Operations from the vectors and
matrices of the individual elements into which the total domain is subdivided.4
The internal forces of an dement, which for equilibrium must equal the external forces, are
equivalent to the dement stresses. The element force vector {f*} is obtained from Integration
of stresses over the dement domain tte by applying the principle of Virtual work,
{tfue}r{r}= / 6eT<rdSl =
{6u'}T f BTadil (2.3)
Jn* yn t
where
{ue} : vector of Virtual nodal displacements on the (unknown) nodal forces {f5} of
the dement
B : the so-called strain-displacement matrix.
The B matrix links the nodal quantities (u, f) to the

point p where the corresponding differential
field variables (e,<r) are sampled, and thus depends on the location of p:
global) =
global) {uey ^
Since the vectors of a field variable has 6 spatial components in 3-D space
namely xx, yy,
zz, xy, xz, yz

but a vector of a nodal quantity 3 X n,^ components, the dimension of the
B matrix is 6 X 3 n,^.
Stress and strain are linked by a constitutive matrix D of dimension 6 x 6 at the sampling
points p, so that D also may vary from point to point:
<rp
=
Dp ep (2.5)
If the local orientation of an elastic material anisotropy does not coincide with the global coordi
nate directions but is the for all
points, the anisotropic constitutive matrix is transformed
same
to global coordinates. However, in nonlinear material computations the strains and stresses in
the sampling points p are transformed instead, evaluating Eq. 2.5 in the directions of local
anisotropy.
The direct relation between nodal forces and nodal displacements of an element is by -
definition -
the element stiffness matrix. It is gained from
expressing the stresses in Eq. 2.3
by strains and these, in turn, through Eq. 2.4 by nodal displacements:
{*} =
/ BrDBrfft{ue} (2.6)
-=
[Ke]
Due to the quadratic form, [Ke] is of the dimension 3 n,^ x 3 nnod and Symmetrie as long as
D is Symmetrie everywhere in the element domain fie. In the case of nonlinear behaviour, both
Eqns. 2.5 and 2.6 apply only in a secant or tangent manner.
4The vector of a nodal quantity at the *,k node will be written in bold, e.g. u;, whereas curly brackets {}
refer to the assembled vector from more than one node, e.g. {u}.
2.1. THE 'LDEALLY-THLN LAYER' APPROACH 29
Quadratic Shape Functions: influence of centre node h =(1-2)(1-t/2)
without centre node: ht* J(K)(1-i?)-|fhA-JhD and bA=^{\-z)(\-T))
with centre node: h,=^(1-e)(1-^)-^hA--|nD-3hMand hA=-|(1-2)(1-r;)-^hM
Fig. 2.2: Interpolation functions of corner, midside and centre node
sampling points p are defined in a system of natural element coordinates , n, (, which

The
are also used for the interpolation of nodal quantities to the sampling points. The interpolation
functions i\ are polynomials in ,/,C and have the value '1' at the node i and the value '0'
at all other nodes. They can be generated by superposition, so that higher-order dements
may be constructed by simply adding quadratic configurations along the edges (hierarchical
Serendipity dement) [Pasi 77] [Citi 83] (Fig. 2.2). The mid-side nodes be equal-spaced in the
parent dement.5 The nodal displacements in the sampling points are then interpolated by
r i hi 0 0
up
=
Hp{ue} =
[hl] "
PO , fc] = 0 hi 0 (2.7)
k Un.
'
0 0 /i,
jp nod
where each nodal displacement vector u, has itself 3 Cartesian components in the global x,y,z
space. Hp interpolation matrix and links 3 spatial degrees of freedom (d.o.f.) in a point
is the
p to the 3 X OJ nodal d.o.f. of one finite element. The numhering sequence of nodal shape
functions is soldy a matter of convenience, starting typically at the corner in the negative (, rj-
quadrant of the plane ( 1 and moving in anti-clockwise directum the -axis upwards. Corner
=
nodes ('vertices') and midside nodes are often treated hierarchically in two separate passes.
In isoparametric elements, the dement geometry Xp is interpolated by the same polynomials
('shape functions') as the field variables Up. The relative location of a point p is thus mapped
from the unit parent dement into the actually streched and curved space (Fig. 2.3).6
8
Attempts have become known tocapture singular stress fidds also in
Joint dements by shifting the mid-side
node to the quarter point near the singularity [Simm 85] [Ball 88] but
exempted from the present study.
are
*Depending on the element distortion substantial Variation of the local angle between the (, t) and ( axes,
-
or large dement curvature the approximation loses accuracy as more and more terms of the polynomial are
-
needed for the mapping and are no longer available for describing the displacement Variation [Cook 82] [Pean 87].
The next step is to relate the strain-displacement matrix

Eq. 2.4 to the interpolation B in
matrix Hp. Since Bp involves a differentiation of the dement displacement fidd, which H
interpolates in the natural , n, ( coordinate system of the parent element, the process is as
follows: The interpolation functions are dferentiated first and the derivatives evaluated for the
sampling point p. The strain (still in the global coordinates of the displacement vector) is thus:
Aglobal) *{"'}
p
_
~
_
(2.8)
dx
The interpolation functions can only be differentiated with respect to the natural coordi
nates, writing h;^ etc. Then the chain rule of differential calculus requires quantitative evalua
tion of (|,
, |) at the point p. They are the terms (J^1,
, J^1) of the inverse Jacobian

matrix:
dx dy dz
~dl ~dl Ti
hu
hnnoi,t *1 V\ z\
dx dy dz
Jp =
dn dn dn hhv ' ''
"nnoi* (2.9)
dz hU '
KioiX X*nod Vnnod ^d

dx dy .
Tc, Tt d~c
Even though the value of the differentiated interpolation matrix d/dt depends on the
sampling point p, the final Jacobian will be constant over the element as long as the element
shape is a parallelepiped.
With the inverse Jacobian, the B matrix in Eq. 2.8 becomes for six strain quantities in 3-D
space
8_ d \ d \
/ 4-
8x
0 0 \ f
0 8_ 0 dx di
By
0 0 _e_ d d
V
dz
Bp =
8_ d_ 0
where
dy
=
dn (2.10)
Sx
0 B_ 8 d d
8z
\
\
d
Tz
0 8~i
'
\
dz ,
\d< /
which means that the shape functions in H are first differentiated with respect to the natural
coordinates , 77, ( and then multiplied by the inverse Jacobian at that sampling point.
The force vector and the stiffness matrix require the 'reverse' process of integration over
the element domain (Eq. 2.6). In a three-dimensional continuum element, the differential
volume dil' is again expressed through the mapping according to
du' = dx dy dz = det J d dndC, (2.11)
where det J is the Jacobian determinant. In so-called numerical quadrature the spatial inte
gration is achieved by adding up the contributions of np sampling points after weighting the
sampled function values with coefficients wp. For instance, the element stiffness matrix (Eq. 2.6)
is evaluated by:
Ke = / / /
J-\ J-i J-\
BTDB det J d dnd( =
J2 BJdp Bp wp det Jp (2.12)
2.1. THE'LDEALLY-THIN LAYER'APPROACH 31
(-1/-1/1) Principle of Mapping
(-1/1/1)
(1/-1/D
(-1/1/-1) 2
(1/-1/-1)
(1/1/-1)
"parent element" mapped element
Fig. 2.3: Mapping from the parent element into the actually distorted element
So far the brief recapitulation of the basic formulation of an isotropic continuum dement;
for details, the reader is referred to textbooks such as [Cook 74], [Zien 77a], [Bath 82] and
[Hugh 87].
2.1.2 Curved-Surface Description

In several applications, such joint dements, the strain Variation in thickness direc-
as shell and
tion can be assumed linear and thus pre-integrated analytically [Ahma 70] [Nsan 81]. Numerical
quadrature is then reduced to the t and n directum on the midplane of the dement, and the
mapping of the dement volume reduces to determining tributary areas for each quadrature
point. If the plane is curved, the constitutive relation (Eq. 2.5) need be evaluated in local
coordinates n, s, t normal and tangential to the midplane.
tangential plane at a point p is spanned by two vectors which are derived by differ-
The
entiating that point's global coordinate vector xp with respect to the natural coordinates ( and
V in the central plane, Figure 2.3. On the basis of Eq. 2.7 the derivatives are:
dx, nnod
_p dH(t,y)
dt dt 1=1
nôd
dxp 9H((.V)
dn dv
* =
X) .*>(6,>)X (2.13)
P =1
Note that each of these vectors constitutes one row of the degenerate Jacobian (Eq. 2.9), with
the thickness directum dropped and evaluated at point p:
nnod nnod nnod

r dx dy dz
i
dt dt dt
X hu\P * E h^\P yi X) *lp *
=i =t t=i
J =
dx dy dz

<hiod **n4 "noi (2.14)

[dv dv dv\ X) hiAp *i XI ^Jp Vi X] hi*\p *
P t=l =1 =1
Because the two vectors of Eq. 2.13 are generally notorthogonal to each other, they can
not readily be used in a tangential coordinate system (3-D orthonormal frame). Their vector
product, however, defines the surface normal at point p:
dydz dzdy
dtdv dtdv
dzdx dxdz
dx dxp
n> =
-dtx-dT
=
l dtdv dtdv (2.15)
dxdy dydx
dtdv dtdv
The length of the surface normal describes the stretching of the central plane during the mapping
process. In differential geometry the vector product Eq. 2.15 gives the area of an infinitesimal
paralldogram:
dxp dxp
dAp =
|rip| dtdv =
(2.16)
Hd(xTf'">
Because the unit vectors t ana V sVan a quadrant of the parent dement, Ap \np\ is an =
approximation of the mapped quadrant area and performs the same function as the determinant
det J in continuum elements (Eq. 2.11).7
The idea to establish an orthonormal frame on the surface by the vector product of Eq. 2.15
goes back to Ahmad's degenerate [Ahma 70] and was quoted several times since
shell element
for joint dements [Tard 74] [Bura 78] [OCon 85b] [Beer 85]. The orientation of the normal is,
of course, biased by the assumed parabolic element shape, for instance the approximation of a
circular surface deteriorates with increasing opening angle (Tab. 2.4). This implies that two
adjacent dements will in general have slightly different surface normals in the shared node.
The length of the normal in the

mapped element is not unity, requiring normalization
before use in a local tripod (indicated by ()"). Once the tangential plane is established, the
local tangential coordinate vectors s and t can be chosen at will by chosing a second plane and
its normal, for instance the x, y-plane:
Op_
< =
s; =
e2 xnj from where
tP =
nPXaP (2.17)
Kl
The global components ()*, (), (-)z of these vectors are the directum cosines of the local
coordinate axes with respect to the global axes. They constitute a transformation matrix T
which converts vector quantities from global to local components and vice versa. The conven-
tional transformation would be one which collapses to the identity T I if the local coordinate =
system coincides with the global system, but this is by no means compulsory. For instance, the
7The length of the normal can be expressed through the fundamental quantities [Hsiu 81]
) I \df,\
'
|n,| =
y/EG -
F3 where
V H H Bi \dr,J 8t,
-(*)' Bx, dx, \8x, (8xv BxA

and F cosZ
8n Bi \Bn \B' Bn )
as can easily be verified by evaluating the component products. If the mapped coordinate lines are orthogonal
to each other, one obtains
F = 0 l*,l =
8xr
Bi Bn
2.1. THE 'LDEALLY-THM LAYER' APPROACH 33
Consider a single quadratic element the nodes

of which lie on a circle with radius r and have
the coordinates
xf =
{-oO}, x*" =
{+aO}, xj =
{0/i}
with a =
rria<p, A =
r(l
cosip).
Then the normal at the right end of the dement
(node 2) is approximated to:
-jx
=
hi,(| xi + h3>(|p xj + h9>(|p xs =
(t, -
$)*i + (tP + )x2 -
2^xs

(7)+i(7)-.(I)-U)
The error to the true angle f increases with the opening angle of the element (cf. also [Hens 76] with
a somewhat different formula):
<p 1) 5 10 22.5 30 45
-Wh
<p = arctan -
9 [] 4.99 9.92 21.7 28.2 39.6
A<p [%) -0.2 -0.8 -3.6 -6.0 -11.9
The normals of adjacent dements in their common node will thus have an angular mismatch ot2A(p.
The curvature is, of course, better approximated by discretizing it with several smallei quadratic
dements or alternativer/ by using elements with cubic interpolation (two intermediate nodes).
- -
In discretiiation,
coarse the dement nodes could be placed off-centre firom the true circular surface
in order to give a least-square best fit to the Variation of the normal along the surface ("doctering
the circumference profile" [Iron 76]).
Tab. 2.4: Example of approximation error in Computing the surface normal
normal can be chosen as first local coordinate, s and t following in cyclic change to constitute
a right-hand system:
A A A X X tx
T = n s t =
ny y ty (2.18)
V V V nz *z tz
Note, that the transformation of strains and stresses from global to local coordinates involves
in general second-order tensors, e.g. for the engineering stress tensor:
MS""0 =
Tj[<r]^Tp
' '
Tnt < nr > <?xx Txy T*z A A A
T,t = < sT > TV* aw TVZ n s t (2.19)

<T" [ < tr > J Tzx rzy Ozz V V V
When written as a stress vector, the transformation involves products of direction cosines in a
matrix Lx which can be used to transform the constitutive matrix according to:
D(lofcaJ) _
LTjy(local) t
(2.20)
For details the reader is referred to [Rick 75], as the present work does not employ Dp '.
2.1.3 The Role of Element Thickness
A general rule of thumb in finite element discretization is not to use element aspect ratios
e t'/L' < IO-1, as otherwise the Performance of the element will quickly deteriorate. Typical
=
thin-layer elements, on the other hand, have aspect ratios of 10-2... IO-3 or less. The principal
consequences are exemplified on the simplest two-dimensional element, the 4-node quadrilateral
with linear shape functions.
From Eq. 2.14, the Jacobian of a rectangular quadrilateral of length Le and thickness
te = eLe becomes
dx dy i
dt dt \L' 0 2_ 1 0
J = J-^2 (2.21)
dx dy 0 \f o L' 0 i
dv dv
and is constant over the dement.8 The 2-D volume of one dement quadrant is given by det J =
\LHe. Because of J\i =

J2i = 0 the B matrix becomes simply (Eq. 2.10):
Ju ni,( + Jl~2 M I
r
feK( o
Bp =
0 J2i U + J22 hi,n I = 2 o Mm (2.22)
JnhU + Jrih^ Jnni + JiihUv I ji-hi,* -fehlt
With the usual shape functions hi =

1(1 ^0(1 TV) ror a bi-linear element, the strain vector
at the sampling points is then:
) =BK} =
o -(1-cV) I (2.23)
F
-(1-tp) -e(l-Vp) | "n.
'
p
With a two-dimensional constitutive matrix the stress vector in the sampling point is:
"ts dn di2 0
1 t
0~nn di\ <*22 0 nn ?

(2.24)
P
0 0 das J i
1'n* .
The following can be observed for e -* 0 [Hohb 90d] [Hohb 91c]:

The sampling points in thickness direction contract, but this will not affect their natural v
coordinates. Because ofe/te Le const., the (1 ~f v) terms will maintain their absolute
= =
size as gradient
will also the strain across the element thickness. Only tn comparison to
the increasing p-(l T 0 terms will they lose importance and appear to converge to a
constant strain and stress distribution with smaller element thickness te.
Since only the ^-interpolated components grow, the strain and stress state at the sampling
point will rotate to alignment with the local coordinates of the interface in the sampling
point (Fig. 2.5).
'The following derivation is also valid for the case where the Jacobian depends on p. For a thin element with
parallel layer faces in Joint direction but bevelled ends such as used e.g. in the downstream corner of a gravity
-
dam foundation Joint the Jacobian will approach a constant value with
-
t'/L* 0. (Note the Symbol e for =
the aspect ratio as opposed to e for a strain component.)

2.1. THE 'LDEALLY-THIN LAYER' APPROACH 35
prescribed normal displacement u^y prescribed shear displacement U4
125 .125
125 250 500
E =
1,000 L=2 E =
1,000 |
i/=0
t=2 \f -
0 Ij
+
125
-*.125 250
1250 |250 \ 125
il25 |125
125 4 ,328.7^ ^
'
J6.671.3
+
^J25 fsQ02
+
-+
125 8,333.7 1 k 16,666.3

125 *125
ks-L kfiL
t =
"0" StZE 3=^-
k.L ksL
kn 50,000
=
ks =25,000
Fig. 2.5: Equivalence of a zero-thickness and a thin solid element [Hohb 88b]
In a very thin element the shear strain contribution from the Variation of
displacement
components along the layer becomes unimportant as does the stretching modulus
u
du. Care is required with the influence of Poisson's ratio, which leads to a parasitic
ss di2 nn growing with 1/e (cf. the example in Tab. 2.14 further bdow).
=
Knowing these effects of thinning, both the stretching strain dut/ds and the shear contri
bution dun/ds can be omitted from the evaluation.9 Eq. 2.23 is then approximated by
ii
0 -(i-cV) I
7n.
=
B,K} =
2te -(i-y o |
=
iH|K} (2.25)
w ^*
where H| interpolates the displacements only in the (-direction along the central plane. The
sampling across the thickness is also reduced to one layer of points on the central plane. Con-
sequently, some people describe joint dements of finite thickness as
{:}.- d22
0 d33
0
.{}.- d22
0 fes
0
Hsd (2.26)
*
Apart from [Wils 77], where these terms are kept explicitely, several authors drop them without proof. For
the physical background confer [FraD 89],
where Sa are displacement differences across the Joint, interpolated by H| [Llor 78] [Chak 85]
[Rodi 89] [Ayda 90] [Char 90]. However, as long as the joint has a finite thickness te > 0, this
is only an approximation. The exact derivation will be shown in 2.2.
The element stiffness matrix of Eq. 2.12 becomes in exact quadrature (using for bi-linear
interpolation 2x2 Gauss points):
Ke =
5^ BjDpBp Wp det J with wp =
1, det J =
\ Lete =
\ e(L'f (2.27)
p=i
2d + 2id33 |di2 + fd33 | -2edn + id33 |d12 -
fdj
2^22 + 2ef33 | -fd2i + fd33 \d-ti -
2ed33
(symmetric | 2edn + 2ld33 fdi2 + fd33 |

if d%\ =
di2)
The following can be noted for e -> 0:
The first row in each submatrix (tangential d.o.f.) becomes dominated by growing \ <f33,
i.e. the shearmodulus, while the
in-plane stretching contribution of du disappears. Cor-
respondingly, the second row (normal d.o.f.) becomes dominated by growing \ d-n, which
is the compression modulus.
The cross-diagonal terms (|di2
f d) remain constant and will exist even for a decou-
pled constitutive matrix (di2 =

fei =
0), they
but become first-order small compared to
the -
terms. They correspond to forces maintaining moment equilibrium of an element of
finite thickness (Fig. 2.5).
In condusion, a thin-layer dement will decouple shear from compression if it is sufficieny

thin, 6 < 1. With d22 = E and d = G the joint element stiffness matrix can he written as10
K -K
K!
e-0

where
k k
" "
2G 0 G 0 2k, 0 k, 0
1 2E 0 E ^L< 2/Cn 0 *n
K =
(2.28)
6c IG 0 6 2k, 0
symm. 2J5 symm. 2n
Note that the stiffness matrix K"_0 depends on the dement size Le, whereas the continuum
stiffness matrix Ke (Eq. 2.28) depends on the element shape e, i.e. the aspect ratio (and the
Vertex angles). The shape remains unaltered if the dement is enlarged or shrunk in scale. The
reason for the size-dependence of K'_,0 is that the 'modulus' in a zero-thickness joint is a
stiffness per unit area [Zien 70]:

E ^ G
* re
KnL'^-E n

and k, L = -G =* k. =
(2.29)
V e te
This relation follows immediately from Eq. 2.26 and is seen to hold well in Fig. 2.5.
When using a continuum constitutive model unmodified in a thin layer, the effective joint
stiffness will thus grow in inverse proportion to the layer thickness. The displacements under
10Similar developments were apparantly used to 'verify' the first sero-thickness joint element by Goodman
[Byrn 74] (see Tab. 1.8) or to derive new joint elements through the
concept of finite thickness [Heus 82].
2.1. THE WEALLY-THLN LAYER' APPROACH 37
certain imposed loads will decrease with e, while the strains and stresses (Eq. 2.23) maintain their
order of magnitude, rbanging only due to the aspect ratio effect. For a given mesh size along an
interface, the thickness of the thin layer has thus the quality of a penalty parameter which
enforces continuity in the displacements across the interface for te eLe 0. Under imposed
= -*
1
displacements, the high stiffness factor will lead to large stresses and forces. Correspondingly,
the strains will increase with c > 0.
To keep the interface behaviour independent of the choice of the thin-layer thickness, the
moduli of the layer must be adjusted according to Eq. 2.29 such that the joint stiffness kL'
remains constant. This is achieved by softening the moduli of the layer in comparison to those
of the surrounding continuum elements:
pi(layer) Ei(conttnuum) sy(layer) sv(continuvm) / n\
It would definitdy be wrong to use continuum material modeis in thin layers without this
adjustment. The consequence of observing it for both components or ignoring it for Elayer will
be studied in 2.3.2.
2.2 The Penalty Approach
Following now the right-hand branch of Fig. 2.1, the zero-thickness dement uses directly the
idea of a displacement difference without the detour via a stress-strain concept. The stiffness
of the joint is not a bi-product of the mesh discretization but chosen such that the constraint
problem is optimally solved. The basic concept is outlined before the zero-thickness joint element
is described as one possible form of implementation.
2.2.1 Regularizing Unilateral Constraints

For local discontinuities in the displacement field u the variational problem (Eq. 2.1) is subject
to unilateral constraints. For instance, the contact between two bodies allows a Variation of the
normal displacements only in the direction of Separation along the contact surface (rc),
gf >
7 for dl nodes i on Tc. (2.31)
where
g : Connectivity vector between constrained d.o.f.
7 : amount of normal relative displacement which represents fll contact.
The vector g, defines which displacement components of the two contact surfaces are con
strained. In the simplest case of a one-to-one correspondance of nodes ('double-nodes') it links
two degrees of freedom by opposite sign so as to calculate the displacement difference [Wils 70].
The Connectivity vectors of all constraints form a matrix G with columns g; and as many rows
as the interface has nodal degrees of freedom.
The procedure is illustrated by an example of two quadrilateral solid dements (Tab. 2.6),
which come into contact after initial gap has been closed and share the remainder of the
an
load. For simplicity, the interface is aligned with the global z-axis.
The inequality constraints (Eq. 2.31) render the minimum problem of Eq. 2.1 strongly
nonlinear. In the case of linear-elastic bodies, a linear contact law and small displacements,
the nonlinearity arises solely boundary condition
from the unknown state of the indeterminate
on Tc. The constrained minimization problem can be solved exactly by introducing Lagrange
multipliers as a set of equations additional to the Euler equations of the contacting bodies. For
the present example this approach is demonstrated in Appendix A.
The penalty approach, which is to be derived now, augments the original functional n& by a
fictitious energy term, growing with the amount of constraint violation [Lion 69] [Pana 85]
[Kiku 86]:
H(u) =
nfc(u) + ^ (gf fi

-
7,)T(gf ,- -
7i) - Min. (2.32)
The quadratic form of the additional term reveals that the constraint will be satisfied in a
least-squares sense. On closer inspection this energy term represents the work done by fictitious
forces,
P.(e)
=
;(gfi-7.) (2.33)
which perform the 'push-back' to enforce the constraint of Eq. 2.31. The violating displacements
(term in brackets) are minimized to an accuracy selected by the size of e. The constraint would
be satisfied exactly with e 0, in which case the contact forces

-* were to converge to the value
of the respective Lagrange multipliers, i.e. môPê) A,-. =

2.2. THE PENALTY APPROACH 39
Consider two Square solid elements with the simple ele

ment stiffness matrix for v = 0 (Eq. 2.28):
4 1 -2 -1 -2 -1 0 1
1 4 1 0 -1 -2 -1 -2
**.
-2 1 4 -1 0 -1 -2 1
Ee -1 0 -1 4 1 -2 1 -2
E =1000
8 -2 -1 0 1 4 1 -2 -1
i/=0
-1 -2 -1 -2 1 4 1 0 10
0 -1 -2 1 -2 1 4 -1
1 -2 1 -2 -1 0 -1 4 q
=
10
The Connectivity matrix in the interface involves 4 nodes ,! j3! t M M 1 1 ': top
with 2 d.o.f. each and applies from the instant when the
8= KT2 7*
|ubottom
initial gap 7 is dosed:
1 0 0 0 E =1000
1/ =0
0 1 0 0
10
0 0 1 0
A A A A
0 0 0 1
G =
g35 gSBy g46 g4y
-1 0 0 n
V V V V
0 -J 0 u //)/* MW
0 0 -1 0 10-
0 0 0 -1
After reordering the nodal d.o.f. and deleting the rows and columns corresponding to fixed supports,
the stiffness matrix K comprises only contributions to the nodes 3 to 6 from the two unconnected
solids with Ec =
1000., coupled by the penalty constraint matrix (slanted entries), e.g. with k = 20*:
(K + kGGt) =
100500. 125. -250. -125. -100000. 0. 0. 0.

125. 100500. 125. 0. 0. -100000. 0. 0.
-250. 125. 100500. -125. 0. 0. -100000. 0.
-125. 0. -125. 100500. 0. 0. 0. -100000.
-100000. 0. 0. 0. 100500. -125. -250. 125.

0. -100000. 0. 0. -125. 100500. -125. 0.
0. 0. -100000. 0. -250. -125. 100500. 125.
0. 0. 0. -100000. 125. 0. 125. 100500.
The interpenetration 6 and the continuum element

stresses become for various penalty sizes:
o ,
bottom
bottom
u utop
K 6 fftop 10- ?contact .
103 1.8000 IO"' 6.400 -3.600 overlap 8

IO4 2.2195 10"8 5.610 -4.390
8-
/v reduced with
penalty size
IO5 2.2444 IO"4 5.511 -4.489
6- /x '
IO6
107
2.2494
2.2499
10~5
10"6
5.501
5.500
-4.499
-4.500
4-
/^
2-
This constraint matrix with exterior penalty corre- 0- ^-"T 1 1 1 II 1 -!'

0 0010 0.055
sponds to nodal Springs with a tributary area of Lj = 5
and a stiffness of k[Lj.
Tab. 2.6: Principal effect of a penalty constraint matrix

Only this case satisfies the so-called Kuhn-Tucker condition [Zang 67]:
Ai (gfi 7i) -
= 0 , Xi < 0
, (gfi 7,-)
-
> 0 (2.34)
It expresses mathematically the indeterminate boundary condition that either the contact forces
(Xi) or the relative

displacements only
are zero. Because one has its maximum when the other
has its minimum, this equation Stands for a saddle point problem [Babu 73a] [Brez 74], which
the penalty method changes into a minimum problem. The introduction of e > 0 amounts to a
perturbation from the exact Lagrangian Solution [Wrig 84].

The inverse k e-1 is called the penalty parameter. The finite size of n < oo regularizes
=
the constraint problem, thus permitting unconstrained optimization into the illegitimate rnge -
of interpenetration of the contacting bodies or the Solution of the Euler equation system with
-
finite interface stiffness. The method originated in fact from formulating the fixed (Dirichlet)
boundary condition as limiting case of the corresponding free problem with natural boundary
conditions [Cour 28]. Intuitively, this amounts to increasing the stiffness of linear Springs -
effective in both compression and tension attached to the free boundary, which was shown to
-
converge to the Lagrange multiplier formulation [Rubi 57] as used for rigid support conditions
[Pfaf 78] or interelement constraints [Utku 82].n
In Tab. 2.6 the penalty is applied globally to the Connectivity matrix as 'exterior' penalty
kGGt, following Eq. 2.32 [Oden 80]. If ,- 1/e",- were induded in the summation, this would
=
be the local form of the penalty method allowing indivually different choices for K{. Then the
penalty parameters can be implemented in special joint elements similar to nonlinear constitu
tive relations, and the constraint matrix is assembled from these joint elements in the ususal
direct stiffness procedure. This is the procedure to be followed in the present work.
Other Solution
techniques are also used in civil engineering. For instance, the direct elimi-
nation of shared degrees of freedom (from double nodes to single nodes in the interface upon
contact) was employed in the early analysis of diaphragm walls [Stau 72], masonry [Arya 82]
and also in the gravity dam program DUCS developed earlier in the present research project
[Skri 83]; Lagrange multipliers, which are mostly found in mechanical engineering, were some
times applied in geomechanics [Kato 81] [Swob 86]. However, the penalty formulation has the
following advantages [Goud 82] [Hitt 85]:

adjustable speed of convergence according to the tolerable violation of the constraint, e.g.
the penetration in function of the size of the adjacent continuum elements
inherent preservation of momentum (impulse transfer between bodies) in dynamics

symmetry without distinction between the penetrating body and the penetrated body
ease of implementation as user-defined elements
no introduction of additional unknowns inflating the equation system (which would create
severe difficulties in codes with Standard freedom sets per node)

retention of a positive-definite system matrix, minimizing the need for changes to matrix
Operations in the program.
When implemented in special joint elements similar to nonlinear constitutive relations,

the constraint matrix is assembled in the usual 'direct stiffness' procedure. Spring boxes between
double nodes of the adjoining bodies or media were the first kind of 'contact dement' (Type la
in Tab. 1.8). They are the direct physical Interpretation of the perturbed constraint reactions
11
In modified form this technique has many other applications [Redd 87], such as weakly enforcing incompress-
ibility in solids and irrotationaUty in fluids, and in most cases the penalty parameter has a physical meaning,
such as the shear stiffness in Mindlin plates and shells [Babu 73b] [Zien 73].
of Eq. 2.33. However, theirposition is not restricted to nodes but can also be between segments
(or one node and one segment); only the constraint reactions need be redistributed to the
nearest nodes defining the contact segment. This approach has been successfully used for linear
interpolation of target nodes on straight contactor segments, and enables also the treatment of
large sliding distances across segment boundaries.
For small sliding distances on quadratic or higher order of shape interpolation,

surfaces with
it is more convenient to formulate the penalty term in Eq. 2.32 in tractions on the contact
surface, which are numerically integrated to equivalent nodal forces.12 The related penalty
parameters take the dimension of (surface) stress per unit relative displacement (in [MPa/m]
or [N/mm3], resp.). This appeals very strongly to the engineering imagination of local surface
moduli, interpreting interpenetration as surface indentation, elastic pre-peak shearing as micro-

grain deformation, etc. The moduli may then differ in normal and tangential directions and from
one sampling point to the next to mimic local damage. The penalty concept is particularly useful
with respect to friction, where the classical, pointwise and ideally rigid-plastic formulation by
Coulomb leads to mathematical problems [Duva 80] [Oden 83].
The Interpretation as interface material law is so suggestive as to sometimes shade the
mathematical concept. If overlap is detected in layers of finite thickness by det J < 0 (Eq. 2.11),
for instance, it is sometimes believed that Young's modulus in that region was chosen too small
and should be raised to prevent any interpenetration at all [Stad 79] [Bai 88]; or it is argued
that high normal stiffness "is not in line with the actual (physical) behaviour'' [Schw 88] and
a
that a positive volume need be reestablished by other means.13 Neither is this required by the
penalty concept, nor is it necessary for the strain evaluation in the layer as long as the initial
Jacobian is retained in geometrically linear analysis [Hohb 91c].
The penalty size at 'ultimate closure' need only be chosen such that the interpenetration
in proportion to epi^ is an order of magnitude smaller than the elastic deformation of

the contacting bodies. The small penetration is then of no effect to the stress state in the
continuum. In Tab. 2.6 this was achieved with k =
k/Lj
|
106 = 20 Ec. Before the fll
penalty becomes effective, the compressibility a joint could,

of filled of course, he modelled by
a progressive penalty function with a small initial stiffness [Hohb 90a].
2.2.2 Particularities of Zero Thickness
The geometry of a three-dimensional interface or zero-thickness joint element is fully described

by the geometry of the dement midplane, as discussed in 2.1.2. For initial coincidence of
double-nodes and small opening displacements, one of the adjoining surfaces usually the -
bottom surface in the numbering sequence of the dement's incidences

-
can be used directly,

but the introduction of a midplane, located half-way between the joint faces, is more general
with regard to pressure in open joints, etc. Its extension is defined by the averaged coordinates
of the corresponding double-nodes (Fig. 2.7).
The direction of opening and closing is always given by the normal to this plane. An ad
ditionala,b,c coordinate system, co-rotating translating and dement, with the is introduced
forlarge-displacement analysis ( 2.2.3). For the moment, the curved-surface coordinate frame
be directly rdated the frame by the direction cosines of
n,s,t can be thought to to z,y,z
laIt has been supposed that 'smearing' the penalty forces out to tractions means mathematically to make the
penalty term inEq. 2.32 distributing function instead of a Dirac delta function [Lei 88]. However, this view
a
overlooks the numerical integration of the penalty terms at discrete sampling points. Chapter 3 will discuss the
interrelation between isoparametric Joint elements and spring assemblies in more detail.
13
Constraint Solution by low penalty and successive iterations or in combination with Lagrange multipliers so-
-
called augmented Lagrangian formulations [Simo 85a] are not pursued in the present work, but a demonstration
-
is given for the example of lab. 2.6 in Appendix A.2.

Definition of Joint Midplane and Corotating Element Frame:
Fig. 2.7: Geometry of curved joint element with 4 to 9 double nodes
Eq. 2.18.14 The highest number of double-nodes in hierarchical formulation is nine, when
- -
an internal node completes the 8-node Serendipity-type element to a 9-node Lagrange-type

element. The reason why this 'internal' node is desirable, will become apparent in 3.
As seen in the Connectivity vectors gj in Tab. 2.6, the penalty isapplied to the relative
displacements between top and bottom face. The zero-thickness dement interpolates them
on the interface surface [Good 68]:
bottom
Aup = =
Hp{AuO (2.35)
,,*op ~
..bottom
ul ul
1
[hi] [hnJ -H +H
{^bottom I

utop
top ..bottom
u _m
nnod ^nod
Again, the natural choice for the element formulation is the isoparametric interpolation of
element geometry and relative displacements, giving a quadratic field in the presence of midside
double-nodes. In contrast to continuum elements, joints not only interpolate the displacements
14
Confer Fig. 2.7: Per default, b points from the origin in node 1 to node 2; for the surface Joint, node 3
estabhshes plane of which a is the normal. (For the 3-D line Joint, the plane of contact (* a) is specified by
a
the user, for the 2-D line joint it is given by c -s.) For orthotropic shear properties in a surface joint, the
=
user can specify a different direction b' to define c; the n,80,t tripod is then rotated around n until s lies
in the a,b plane. On a plane surface or a straight line only the a,b,c frame is used, in place of the coinciding
n,s,t frame.
in one dimension less but also undifferentiated, using the matrix Hp =

H(^^j instead of
Bp =
B(tn,,(,) *& bi Eqs. 2.8 and 2.10. This reduction in dimension can be viewed as an analytic
pre-integration across the vanishing element thickness. The dispense with differentiation implies
that the contact stresses are evaluated from a field which is one order of magnitude more exact
than the evaluation of continuum stresses. This must be expected to cause some compatibility
problems to be discussed lateron ( 3.1.3).15
According to their evaluation on a given surface, the contact 'stresses' are not continuum
stresses but traction vectors (Tab. 2.8). This reduces the tensor transformation of Eq. 2.19 to
simple vector rotations with the direction cosines of Eq. 2.18:
< nr > A A A
<sr> n s t (2.36)
<tT> V V V
Jp
The constitutive matrix D of the joint element actually connects tractions to relative
displacements, not stresses to strains, even though the tractions are commonly called 'contact
stresses',
<rp = B pSp (2.37)
where
dnn dns dnt n 0 0
Dp =
dtn dtt d,t = 0 K, 0 (2.38)
dtn dt, du 0 0 Kt
is a penalty coefficients (.), which are uncoupled in the local coordinate system as
matrix of
long as the
joint remains bonded. They may serve as pseudo-material moduli for the elastic
rnge of elaborate joint constitutive modeis (Chapters 4 and 5). However, the lack of an elastic
interface compliance must not lead to the wrong condusion to neglect the respective degree
of freedom [Hohb 89]; on the contrary, a very stiff penalty will then be indicated as 'dummy
stiffness' [Feen 89a] in place of a Lagrange multiplier, cf. [Herr 78]. An attempt to modd an
ideal rigid contact nomal to an interface without k simply by the transformation of S, sTAu =
-
but neglecting Sn = nTAu in Eq. 2.36 -
only results in a false constraint matrix with the

shear penalty k, also governing the direction normal to the interface [Keus 85].16
Integrating over the surface area according to Eq. 2.16, the evaluation of the equivalent
nodal force vector (Eq. 2.3) becomes:
{} =
j^H* S dT =
J*J^HTT* \n\dtdv= Y,lLTpTp*pWpA (2.39)
The forces do not balance the stress field but equivalent to it in the virtual-work sense
are
(Fig. 2.9): External tractions which produce e.g. compression (an < 0) in the joint result in
positive forces when the traction vector points in the positive n-direction, i.e. for the bottom
16
Only in one instant
uperparametric Joint elements were used in which the relative displacements are evalu
ated with linear interpolation inspite of quadratic shape of their geometry [Caro 91]. This was motivated rather
by a desired reduction of nodal variables than worries about compatibility: The Joint midside nodes were only
considered for the mesh definition but omitted in the equation system.
14
A prominent example are bond modeis for concrete rebars, because "almost nothing is known about these
radial forces, (so) we will not consider them any further" [Shir 81]. Erroneous derivations or Statements in this
direction are found in [Ghab 73], [Sch 75] and their successors until [Keus 83], cf. also [Keus 85] [Mehl 90].
Consider a typical prism by an angle test with a joint inclined

a to the horizontal. The
joint is modelled alternatively by a
thin-layer continuum and a sero-thickness joint.
The direction cosines of the n, -coordinates are:
\ _
/
sin a \
(cosa )

'
sin a
y cos a
y
*y
The continuum element transforms the stress in a second-
order tensor product which is equivalent to two vector multipli-
cations, e.g. [Fung 65]:
Step Calculating the global traction vectors on the
1: sides of a
rotated unit volume, characterised by normal vectors n and s:
S-r^. ( 0 \/-sina\ _
/ 0 \
^
\ 0 -<ry ) \ cosa ) \ -oleosa )
s=Ws= ( Vcosa>\ =( ^
* *
\ 0
<ry ) \ sin a / \

cry sin a J
Step 2: Splitting the global tractions into components of the
local coordinate system:
2r f \ (-sina\ 2
<rnn =
S n =
( II I = -0
*
cos' a
\-<rycasa J \ cosa)
rn#=S = I J I I =-osina cosa

*
cosa sin a
\^ <ry y y

r ( 0 \ /cosa\ .
3
<r
S s =
I I 1
= -ff\tsin
*
a
sina
\a-ysinaJ \ )
The joint element calculates directly S on the inchned joint

from global equibrium
F ( 0 \
S= j = I I cosa (Step 2)
A cos:os_1 a \

<ry )
with the interrelation
<rn =S n =
nr[o-]n
Tab. 2.8: Example of different stress transformation in continua and joints
face. Since the contact stresses on top and bottom face are in equilibrium, the forces at the
top nodes need not be computed separately but are simply ascribed the negative value of the
bottom face forces, i.e.
' "
fbottom
A A A <rn
-Hr
it)
{$} = = n s t r, Wp\np\ (2.40)
+Hr
V V V
with H as in Eq. 2.7.
The element stiffness matrix, which links nodal forces to nodal displacements in global
Locol Contoct Stresses and Equivalent Double -
Node Force:
e.g. for Aux const.

-
2y
t=0
Fig. 2.0: Sign Convention of joint stresses and equivalent nodal forces
coordinates x, y, z, is for the joint dement:
K*= / HrTDTTHdT =11 HrTDTrH |n|dtdv
nt,
=
XiHjTpDpTjHp^KI (2.41)
p=i
Expanded to top and bottom nodes, the computation takes the form:
'
nt, A A A 0 0 <nr >

-Hr
n s t 0 li, 0 <sr> -H +H Wp|np|
+Hr
p=l L V V V 0 0 t
_
p
[<tr> J p Jp
(2.42)
As can be seen, three levels of coupling may occur:
coupling in the local constitutive relations (Eq. 2.38)

coupling in the spatial components due to coordinate rotation
coupling in the nodal contributions due to the interpolation functions.
A Joint dement is fully decoupled in global coordinates only in the case that the dement is
decoupled in the constitutive relation, that it is planar and parallel to a global plane, and that
the quadrature points p are chosen such as to coincide with the nodes (see 3).
quadratic form of the stiffness matrix with, identical interpolation submatrices ^H
The
(Eq. 2.42) gives rise to the group symmetry of the stiffness matrix noticed before in Eq. 2.28:
f
fbottom 1 f K -K 1 f u6ottom )
The submatrix itself consists of interspersed columns and accounting for different spatial
rows
components in x,y,z, which uncoupled in the

are special case of a planar, unrotated joint
dement without constitutive coupling. As long as the element is linear-elastic (bonded) and
spatial components are not integrated sdectively by different schemes [Good 74], the influence
of quadrature formulae may be studied on one exampling spatial component, say the one normal
to the Joint surface Kn (Tab. 2.10). Note, that this stiffness matrix is identical with the one
obtained in the limiting case of a thin-layer element, Eq. 2.28.

Consider a single Unear element in global coor
dinates x, y. The elements of the stiffness ma y.n
trix are those coefficients which give the depen-

dence of each nodal force on the nodal displace x.s
ments:
r+1
fm =
I h1itn[h1Auln + hiAu3n]Ledt
\(l-t)(l+t)Auin]dt
+
=
\L*Kn [\Auin + 1^*2]
with ki =
J(l-0, ka =
J(l + 0-
The analytical Integration is exact and can be duplicated by numerical Integration using, for instance,
2 Gauss quadrature points at tpi, T^v* w ^0.5774 and wPl wPl 1:
= = =
with M-0.5774) =
2(+0.5774) = 0.7787 and j(-0.5774) =
/h(+0.5774) = 0.2113
/T =
51 kl"* Â"lw + h*^^ WP2L'
p=l
=
Kn\Le [(0.78872 + 0.21132) Auln + 2
0.7887
0.2113 m2n) =
n|le [\Auln + |Au2n]
(Using 3 Lobatto points would have given the same iesult.)

Inflating Atti ug Ui etc., the stiffness matrix of the normal components has therefore the
=
following terms when exactly integrated:
2 1-2-1
1 1
3 3
1 2-1-2
Kn
" or K^ =
Kn
-2-1 2 1
1 2
LS 3
-1-2 1 2
Tab. 2.10: Simple example of analytic and numerical integration of stiffness matrix
2.2.3 Large Displacements and Rotations

The proposed joint element is intended for large-displacements/small-strain applications. While
large rigid-body motion is allowed necessitating the update of the orientation of surface and
-
volume loads with respect to the element configuraton the geometry of the element is assumed -
constant in a corotating reference system [Bely 73]. Interpolation and quadrature within the
element use the initial geometry, Jacobian and sampling point weights, only the transformation
matrix T accounts for the rotation.
As the joint element is formulated in relative displacements, large strains are avoided which
may present problem in very thin continuum-degenerated elements [Isen 81], cf. Eq. 2.22.
a
Instead the question of the magnitude of acceptable relative slip arises, which is a purely
geometrical problem: If the slip distance becomes more than a few percent of the joint element
length Le, the concept of fixed pairing of double-nodes [Hill 76] [Liaw 84] can no longer be
upheld but must be replaced by node-to-segment contact interpolation ('partial face contact'),
distributing interface tractions to participating segment nodes [Ghab 88]. Higher-order elements
Large Slip:
Tftt|Ttt|TTi}tff|fHrg
fine
A
yH'UmMjiHiyiyiiiiliii
iCiMiiiium
coarse
Fig. 2.11: Principal considerations to problems of large slip and large rotation
lose some of their attractiveness for this type of problems. The

slip distances, which absolute
a small-slip Joint element tolerates, depends on the mesh size (Fig. 2.11). In coarse ('macro')
discretization, as used in the arch dam modd, they are reasonably large, and the present
restriction is not too severe.17
Fll geometric interface
nonlinearity involving unknown correlation of opposite contact
-
faces ('contactor-target problem') or changes during computation ('slide-line problem') would -
have to be handled on system level, see [Hohb 88a] for an overview. It should be noted that
not the penalty approach as such predudes large relative displacements [Guer 83] [Simo 86]
[Rodi 89] [Kant 90] [Char 90], but the envisaged implementation at the element level.
In zero-thickness joint elements the nodal
displacements do not enter the traction-displace
ment (Eq. 2.36)
relation individually but are subtracted in 'top-minus-bottom' node contri
butions, thus cancelling out the rigid-body components common to both. The evaluation of
the quadrature point data uses the averaged top /bottom displacement on the element's central
plane, but with reference to one selected node which is the only one with Information of the
absolute joint location in space. Large translations
problem. are thus not a
However, the
joint element is very sensitive to
large rotations, because the penalty sizes
may differ grossly between the local joint directions, e.g. combining in slip a zero tangential
shear modulus with a high penalty against interpenetration. Minor changes in the orientation of
the interface normal may lead to parasitic shear stiffness and apparent locking of the dement.
For high penalties the consequent use of double precision arithmetic in evaluating Eq. 2.42 was
found necessary.
For the correct decomposition of interface tractions in the rotated configuration (Eq. 2.36)
a corotated coordinate system a, b, c is introduced. With reference to this frame, all data
descrihing the interface in this coordinate system -
its curvature, extension, quadrature point
1TThe Situation will be different in discretecracking codes, if elements are allowed to fracture or if a very fine
mesh is required apriori for the computation of crack tip stresses, vis. [Ayar 88].
48 CHAPTER 2. THE ISOPAAMETIC JOINT EIEMENT
area
-
remain unaffected by large Only the changing direction cosines of the co-
rotations.
rotating a, fr, c frame with respect to the spatially fixed aj, y, z system need be monitored. Eq. 2.18
thus becomes:
1 *iVi* x,y,z 1 <x,6,c

A A A A A A A A A
Tp = n s t a b c n s t (2.44)
V V V V V V V V V
The a-direction is normal to the 'mean' plane of the dement (Fig. 2.7), which is identical
with the midplane of the interface if the joint is planar (zero curvature and no warping). As
mentioned in the footnote in 2.2.2, the a,b,c frame takes then the role of the n,s,t interface
system:
"
a,b,e ' "
A A A 1 0 0
n s t = 0 10 (2.45)
V V V 0 0 1
P
If the friction properties in the interface plane are anisotropic, the

anisotropy are axes of
also updated by this scheme.
They are reconstructed from the
averaged midplane nodes of the
in the rotated configuration, assuming that stretching and distortion of the joint midplane can
be neglected18. In contrast to continuum or shell elements, in which a new average position of
the co-rotating axes need be established in a distorted element for minimizing the failure in
the displacement decomposition as opposed to truly convected coordinates [Biot 65], in-plane
distortions of the zero-thickness joint dement will not produce stresses (cf. Eq. 2.23). Instead,
grosschanges in the interface geometry might require the update of interface surface curvature,
sampling point tributary areas, etc.
"Also in continuum elements, one leg of the corotating frame is sometimes rigidly attached to a deliberately
chosen element side, all rotations of which are then by definition rigid-body rotations [Slcri 83]. The error in
- -
strain components is expected to be small as long as the strains are small.

2.3. DISCUSSION OF LAYER VS. ZERO-THICKNESS FORMULATION 49
2.3 Discussion of Layer vs. Zero-Thickness Formulation
Joint elements are confronted with fear of

ill-conditioning, of erratic behaviour, and of tedious
trial-and-error procedures for arriving at a suitable penalty size. The strain-formulated thin
layer dement has been claimed to be superior, not only numerically but also physically because
it was thought to avoid 'arbitrariness' of the joint stiffness, particularly that of k normal to
the interface surface [Desa 81] [Desa 88].
Regarding the thin-layer and the zero-thickness joint element formulation as two approaches
converging to the same behaviour seems a novd point of view. The question whether preserving
a finite thickness is advantageous will be discussed at the end of the section.
2.3.1 Penalty Size and Numerical Accuracy

Penalty formulations approach the exact Solution in the limit of _1 = ? oo. However, beyond
a certain size more and more digits of the Solution vector will be invalidated due to the large
difference in magnitude in comparison with the other stiffness terms in the system matrix.
The so-called condition number and related approximate criteria were introduced to
assess the effect whicha slight perturbation in the stiffness matrix has on the Solution vector
of nodal displacements [Stra 73]. Designating this perturbation with S(-) and using norms,
ll^'l - -dfirJW r.drm -

A" ~
l|K|l~

a m\
*
iMf" (K)"K|r
' cond(K)"
7 (2,6)
where
Ai, An : the smallest and the largest eigenvalue of K
UKlIoo : the largest row sum of absolute stiffness terms in K.
The condition number grows with the penalty size, e.g. from Ag/Ax 2750/222.6 12.4 = =
fork = 103 in the example of Tab. 2.6 to Ag/Ai 2-107/250 8-107 for k 107.
= The = =
approximation of the largest dgenvalue is DKH, = 3000 and DKH, =

2-107, respectivdy, and
thus very accurate for higher penalty.
While the constraint condition -

here the difference between displacements of nodes in
contact -
is satisfied to more and more digits accuracy, the absolute displacements of these
nodes are reduced in accuracy according to [Bath 76]
s>t- log10 (cond(K)) (2.47)

where
s : digits predsion of the Solution vector (||u||/||u|| =
10-*)
t: truncation error in the stiffness matrix between contributions to the same
d.o.f. (||wK||/||K|| =
IO"*)
Interpreted physically, the excessivdy stiff joint element loses springing to earth and gains
near-rigid body degrees of freedom within the continuum [Iron 68] [Argy 76a]. The system's
stiffness matrix ceases to be positive definite, and a non-positive pivot will be encountered
during matrix factorization. This instant will come almost without warning if the Solution
breaks down exdusively due to the truncation error t, when a high penalty term overshadows
completdy the small stiffness contributions from the continuum nodes [Frie 72]. Only in larger
equation Systems will the break-down be preceeded by a factorization round-off error, reducing
the precision digdt by digdt as the penalty size increases.
The effect is demonstrated with the example problem of two Square blocks in normal contact
in coarse and fine discretization (Tab. 2.12): The truncation error remains the same if the
The problem run alternatively with a single element and 10 x 10 elements per block.
of Tab. 2.6 is
To obtain the same penalty term ,- for different segment length Lj
nodal 5 in the coarse mesh, -
=
0.5 in the fine mesh the of the joint elements need be adjusted by a factor of 10. The
Lj =
,
-
penalty is increased until the Solution breaks down. The modulus of the continuum is kept constantly
at Ee 1000. Monitored is the average displacement of the bottom nodes in the contact face.
=
Parallel to the results for the sero-thickness Joint dement the same problem is solved with a thin-
layer dement. To retain the same aspect ratio te/Le IO-2 in both meshes, the stiffness of the thin
=
layer does not change with segment length and is only increased through the layer moduli En and
G until break-down occurs.
1 element (8 equations) 10x10 elements (440 equations)

zero thickness layer (E,
thin 0^ = zero thickness thin layer (E, 0^ =
..bottom Bottom ..bottom

Ki 's) **# En,G .
Kn> "# En,G u?nom

IO14 210" -.04500000 31012 -.04500002 2-10l4 -.04499954 310" -.04500051
IO15 21014 -.04500000 310" -.04500006 2-10" -.04499864 310" -.04500192

10" 2-10" -.04500000 31014 -.04499905 2-10" -.0449822 31014 -.0449896
io17 210" -.04500000 310" -.04504422 21017 -.044629 3 10" -.045463
1018 21017 -.045363 3 10" -.046484 210" -.04142 3 10" -.04283
io18 2-10" -.04395 3-1017 -.05592 210" -.1018 31017
"pivot error during triangularisation
Tab. 2.12: Deterioration of displacement Solution with number of d.o.f. and penalty size
penalty kept constant per unit Joint length, but the round-off error in the larger equation
size is
system preceeds pivot failure. Note that the thin layer with thickness correction (Eq. 2.29)
behaves in the same manner as the zero-thickness element. The larger off-diagonal terms in the
joint element of zero thickness are thus not a primary source of ill-conditioning.
The numerical study provides an opportunity for checking an approximate criterion after
Wilkins to avoid the cumbersome computation of global matrix eigenvalues [Wilk 63],
IIHI
(2.48)
.
, ,
< ne-
u Ktnt;
where
smallest stiffness term overlaid by the penalty parameter

unit round-off error in matrix factorization
( 10-17 in 32-bit double precision)

n total number of degrees of freedom in the System.
Evaluated for the fine discretization in Tab. 2.12 with n = 440 and Ki =
IO17, the error in
the displacement Solution is predicted to 440/500 = 88% whereas the largest error actually
found among the contact node displacements was only 16%; in this case of a small number of
equations the formula proves thus quite conservative.
TJsuaHy, thin-layer elements are given a modulus in the same order of magnitude as the mod
uli of the adjacent continua. The constraint effectiveness of the layer is then
entirdy controled
by the layer thickness. This introduces another source of ill-conditioning, namely the trun
cation error in the Jacobian matrix for aspect ratios e - 0: By changing the layer moduli
break-down is seen to occur independently of the constraint magnitude (Tab. 2.IS). Evidently,
double predsion is required also on element level to avoid accuracy losses which are not covered
For the single-element discretiiation of blocks in Tab. 2.6 the constraint stiffness is varied by means
of the layer thickness for three different magnitudes of moduli, En G 10 /108 / 10s. Accordingly
= =
different absolute constraint ranges are spanned in each case, and the numerical break-down is seen
not to be caused by global ill-conditioning, but rather by the truncation error on dement levd.
En--= 10"3
Ee En
Ee En = 10*
Ee
Mgbottofn bottom
Enft */ *f *?
10* io-1 -.0075
io8 IO"2 -.0300
io4 IO"8 -.04286 io-1 -.04286
10* IO"4 -.044776 io-1 -.044776
io6 10"* -.0449777 10"8 -.0449775 IO"1 -.0449775
10r IO"6 -.04499807 IO"4 -.04499775 io- -.04499775
io8 io-7 o
IO"5 -.044999778 IO"8 -.044999775
io9 io-6 -.0449999794 IO"4 -.0449999757
10" io-7 o
IO"8 -.0449999981
10" IO"6 -.0449999981
10" io-7 o
'Jacobian not positive-definite (in Single precision)
Tab. 2.13: Break-down of displacement Solution due to aspect ratio
by the global ill-conditioning criteria.19

Although these results were for a single-precision Jacobian, it can be conduded that a
consequent coding in double precision on a 32-bit processor would satisfy even the most rigorous
constraint demands [Pand 79a] and leave ample room for very large numbers of degrees of
freedom. Consequently there is no need for dements of class 4 in Tab. 1.8, which introduce Au
as primary d.o.f., instead of Computing it from Eq. 2.36. Such dements as the one by Wilson
et al. [Ghab 73] are awkward to use, as they require special continuum elements to attach to
[Agba 76] and increase the number of unknowns.
Table 2.6 demonstrated that acceptable results can be obtained with rather moderate penalty
size. For the error \\6u\\ (with respect to the correct Solution ||u||) caused by an insufficient
penalty size, an upper bound is given by [Wrig 84], based on the assembled stiffness matrix K
of the unconnected bodies and the matrix G of the constraint Connectivity vectors (cf. Tab. 2.6):
JM< clUGTK^G)-1 (2.49)

IUI
As the constant c is close to unity in most cases [Wrig 84] the penalty necessary to keep the
Solution error at 10"* could be computed to
log10K > log10 (||(GTK-1 G)"1!!) + s

(2.50)
19
Yet another source of inaccuracy is the declaration of input data in single precision (nodal coordinates, layer
thickness, etc.). It is thus good practice to specify joint elements with identical coordinates of the double-nodes
and to separately input the thickness or initial gap, which is then converted by the program to double-node
offsets. Similarly, initial stresses in Joint elements should preferably be introduced on the level of the constitutive
equations, not by means of initial deformations.
where
|| ||

: the norm of a matrix [], defined as the maximum sum of absolute terms in
any column, e.g. ||A|| =

max,-^! |ay|
In the example of Tab. 2.6 the norm of the matrix product is 375, giving log10 c < 2.57 + s, e.g.
for 0.01 error (s =

4) a k < 10"6, which is indeed the case. In this way the penalty size could
be kept to the minimum required for a certain accuracy.
For a thin layer some programs prefer a default-setting of the constraint magnitude, for
instance,
the thickness is calculated from the maximum dement size or the maximum coordinate
differences (e.g. to 10"6Xe in 2-D and 10-4 Le in 3-D problems [Rieh 85])
or the program sets directly the Jacobian term in thickness direction -
gjj in Eq. 2.21 -
to
the allowable mitiinmim

(e.g. to 10-6 in double precision on a 32-bit processor [Nsan 81]).
Such criteria could also be applied to zero-thickness joint dements by using the penalty-
equivalent thickness as guidance against ill-conditioning. But usually an approximate check
of Eq. 2.48 -
with the derived recommendation k kmin/y/ne [Nour 86] -
will suffice.
It must be emphasized that aiming at numerical accuracy is, in general, not sufneient for
the satisfactory use of joint elements. Rather, the deliberate relaxation of the constraints is
one of the biggest assets of the penalty technique: Lowering the penalty mollifies the abrupt
stiffness changes in debonding/rebonding or sliding/sticking, smoothes the joint stress output

and accelerates convergence in Newton-Raphson type iterations. Moreover, in dynamic appli
cations a high penalty parameter will aggrevate the noise problem (see 7.2), and if temporal
Operators are only conditionally stable, the penalty stiffness will also govern the time step unless
it is chosen in the order of ,, = 10-1 Ee/L'j [Goud 82].
An experienced user will thus approache the Optimum from the lower end and strive for
the smallest penalty which still satisfies his requirements of
objeetivity with respect to such
criteria as stress distribution in the continuum and eigenfrequencies of the jointed structure. A
rule-of-thumb for a good first trial is to chose the stiffness per unit length XJ of the joint element
to Kn,, 103 Ec/L^; in a second trial the penalty is increased by an order of magnitude while
=
watching the effect on the aforementioned criteria. In the example of Tab. 2.6 this resulted in
a constraint term of L)
Kn = 5
103 1000/10
= 5
IO5, giving 0.1% error.
It is possible to solve constraint problems with penalties smaller than required by Eq. 2.50
by means [Feli 77] [Zama 82] [Hgg 87] [Stan 90]. An

of iterative corrections of the violations
example is given in Appendix A.2. The general idea is to build up the contact forces from smaller
increments instead of solving a stiff enough system in one step and resemhles an underrelaxation
of the constraint forces.
A thin layer progressively during compression if its Jacobian matrix were
would stiften
updated decreasing volume (negative volume indicating overlap [Zolt 83] [Rieh 85]). For
with the
the same effect the constitutive relation in a zero-thickness element could feature a small penalty
within a certain 'catchment zone' and progressively stufen upon further interpenetration, e.g.
exponentially [Hibb 87] or hyperbolically [Hilb 76], cf. 5.2.20 The desire for a soft joint modulus
does therefore not necessitate a finite layer thickness as sometimes inferred [Schw 88].
20Note that the hyperbolic closure law approaches indeed

an infinitely stiff element! Specifying an absolute limit
tointerpenetration 'maximum closure' is in variance with the penalty concept of constraint regularisation.
- -
To avoid ill-conditioning, such high penalties can only be used in initial-strain iterations (see J 6.1.2) without
update of the stiffness matrix.
2.3.2 Aspects of Finite Thickness

The total of
displacement jumps at an interface would require indeed infinite stiff
suppression
ness such as arising from decreasing the layer thickness to zero without thickness correction.
This applies not only to the interpenetration but also to the no-slip constraint, because avoiding
the disturbance of the elastic behaviour of a finite solid volume would also require infinite shear
stiffness in a zero-thickness interface [Nayl 78]. In other words, there is no conceptual difference
between normal and shear penalty stiffness, and the shear stiffness k, is not more 'physical'
than the 'dummy' stiffness Kn. It is only through the modelling of slip by stiffness degradation
as common in soil mechanics that the no-slip constraint is disguised and the no-penetration
constraint appears all the more puzzling.

This misconception seems typical for analysts favouring strain-formulated joint ele
ments as something entirdy different and notably superior compared to zero-thickness
- -
dements, e.g. [Kulh 88]. The following investigates features of thin solids and layers of moder
ate aspect ratio e IO-1... 10~2 as traditionally recommended [Desa 81] [Zama 82].
=
An earlier devised test for the behaviour of thin solid elements [Grif 85] was therefore
changed entirely
to linear-elastic problem to concentrate on the effect of the different terms in
thedegenerate stiffness matrix (Eq. 2.41) (Tab. 2.14). The test example postulates as target
Solution the failure in given
a weak
plane along which the upper block slides in a rigid-body
motion. Modelling the weak plane altematively by a thin solid and a thin layer of decreasing
aspect ratio, the following behaviour is observed in terms of the horizontal slip and the stresses
in th local n, -direction of the weak plane (Tab. 2.15):
If a continuum constitutive matrix is used in a thin solid dement -
case (la) -, a constant
stretching stress a, =
vo~n will be
approached for e >
0; the other joint stresses are
computed correctly, but the principal stresses and their directions will be affected.
For v = 0 a very thin solid dement

-
case (lb) -
will give the correct principal stresses, but
for ahigh stretching modulus E, the principal stress direction will rotate tremendously
during thinning (cf. also [Schw 88]), in thisexample from -85.1 for ty = 10"1 to -33.7
for ty IO-5.
=
A prism with inclined Joint is subjected to an imposed uni

axialcompression, controlled through the displacement Ay. _
p. j_
For a given Joint shear stiffness k, the horisontal slip com imposed displacement |
ponent 6a only depends on the normal Joint stiffness Kn

only. Taking the compliance of the blocks into account, the
compression force is
Fy =
H_ /sinJo cos2o\
+ | cos a
Ee \ K, n /
from where the exact values are calculated (cf. Tab. 2.8):
(;:)
*-.(:)
6 = ( **/"' Y ( _sina>)
Tab. 2.14: Grifths' test modified for linear-elastic joint behaviour

Varying in the test problem of Tab. 2.14 the verticd thickness ty of the weak plan, the layer thickness
is te ty cosa and it aspect ratio e te/Le
=
ty cos2 a. = =
Three joint modeis are tested:
1) a thin solid with orthotropic material oriented in the joint axes: E, =

En =
k <e, G =
k, te
(a) with a cross-coupling term )/, v 0.15, (b) with v

0 =
2) a thin layer [Desa 81] with E, =

0, G =
k, f
(a) En =Knte, (b) En =

Kn 10"1 cosa = const.
3) a zero-thickness joint with direct use of k and k,.
no. ty n = IO4 Kn = 108

*. T, Cn <r$ 6. r, n o-,
la IO"1 -.0514418 -819.05 -687.67 -108.88 -.142266 -1078.98 -906.00 -13316.56

io-J -.0518471 -807.48 -677.56 -102.24 -.133172 -1034.50 -868.00 -7528.94
io-8 -.0518833 -807.26 -677.37 -101.67 -.132646 -1031.90 -866.00 -902.00
io-4 -.0518855 -807.35 -677.45 -101.62 -.132637 -1031.98 -865.50 -206.38
10"5 -.0518792 -807.88 -677.89 -101.68 -.132615 -1032.62 -866.50 -136.94
lb io-1 -.0513160 -809.10 -678.92 -6.75 -.142261 -1079.00 -905.00 -13341.53

io-* -.0518332 -807.43 -677.52 -0.62 -.133162 -1034.47 -868.50 -7566.80
IO"8 -.0518819 -807.26 -677.37 -0.06 -.132643 -1031.89 -866.00 -789.94
IO"4 -.0518853 -807.35 -677.45 -0.01 -.132637 -1031.98 -866.00 -78.32
IO"5 -.0518792 -807.88 -677.89 -0.00 -.132615 -1032.62 -865.50 -7.06
2a IO"1 -.0513123 -809.09 -678.90 0.00 -.132185 -1034.87 -868.50 0.00
IO"2 -.0518331 -807.43 -677.52 0.00 -.132599 -1032.16 -865.50 0.00
IO"8 -.0518819 -807.26 -677.37 0.00 -.132638 -1031.87 -865.50 0.00
IO"4 -.0518853 -807.35 -677.45 0.00 -.132637 -1031.98 -866.00 0.00
2b IO"1 -.0513123 -809.09 -678.90 0.00

10~2 -.122563 -1004.24 -842.65 0.00
IO"8 -.131618 -1029.04 -863.46 0.00
io-4 -.132544 -1031.72 -865.75 0.00
10~5 -.132615 -1032.62 -866.00 0.00
3 0 -.0518875 -807.23 -677.34
-.132643 -1031.83 -865.81
exact" -.0518875 -807.23 -677.34
-.132642 -1031.82 -865.80
analytic Solution for H =

2, A, =
-0.2, a = 50
Tab. 2.15: Influence of joint element formulation and thickness in solving the test problem
Deleting the stretching influence (here simply by E, 0 in the solid) yields the behaviour =
of Desai's thin layer element case (2a) which proves much more stable with respect to
- -
aspect ratio. However, proper application must not overlook the adjustment of En to te,
as otherwise the dement will automatically stiften in normal direction, in case (2b) from
Kn = 104 tO Kn = 108.
The zero-thickness joint element -
case (3) -
yields the exact result as expected. Since it

does not allow for a strain gradient across the Joint, it is the
only one for which the stress
distribution in the two blocks sliding above each other is completely uniaxial and free of
secondary stresses.
Both the thin solid (with v =

0) and the layer converge to the zero-thickness element with
e >
eliminating
0. But the
stretching component in anticipation of zero thickness renders the
thin layer superior to the conventional thin solid, particularly for high joint stiffnesses. It is
absolutely mandatory to adjust all layer moduli to the layer thickness, and there is no reason
whatsoever -
apart from predsion problems in the Jacobian, Tab. 2.13 -

not to use very small
aspect ratios. Problems reported with large [Isen 81]
strains should then
longer occur. no
Also the reported premature failure in elastoplastic layer material modeis [Grif 85] can
be attributed to the retention of the stretching modulus E, and the ensuing rotation of the
principal stress state with aspect ratio (Tab. 2.15). Although this rotation is much less in thin-
layer dements, they still tend to premature failure if a conventional Mohr-Coulomb criterion is
used. For a sharp onset of slip it would suffice to ignore principal stresses and strictly evaluate
the stress component <rnn, rn, in the Joint direction (Tab. 2.8). This can be achieved through
a special constitutive model such as the 'multi-laminate' material [Pand
82] [Hilb 86], in which
internal failure planes can be specified apriori [Schw 89].21
The mayor advantage of finite thickness is claimed to be the use of cr-e material laws
similar to continuum dements, provided that
laboratory experiments with material undergoing
localized deformation be
performed in a well-defined manner [Plyt 85] and that a finite
can
element back-analysis of the experiment furnishes a certain optimum layer thickness [Zama 82].
In this spirit, cyclic shear [Drum 86] and compression behaviour [Desa 88] were curve-fitted.
This view is severdy challanged: If the response in the principal joint directions depends on the
aspect ratio of thin solid or layer elements because they influence the axes of prindpal strain
-
and stress -, it seems that any experimental calibration would be limited to the one modd
configuration used in the back-analysis.

The fact that traditionally only the shear modulus was specified in function of the layer
thickness nurture the suspicion that the need for adjustment of En too had been overlooked
until recently [Hohb 90d]. In the light of th present results also the previous thickness recom-
mendation was altered to c < 10~4 for high joint stiffness [Desa 89a]. Only at such a small aspect
ratio, the stresses sampled across the thickness of the layer will become virtually identical. It
is known from smeared-crack modeis in concrete mechanics that a parasitic stiffness results
from slight differences in stresses at failure [Haug 83]: If load steps are small, the peak strength
will be reached in only one row of quadrature points while the others unload dastically. Their
stiffness contribution is assembled into the nodes also on the opposite side of the failure plane,
which after all is supposed to separate the continuum, and the stretching (compression) stiffness
parallel to the failure plane will cause parasitic shear stiffness [Elai 88] (Fig. 2.16). While the
influence of E, vanishes with decreasing layer thickness, Eq. 2.28, some of the parasitic contri
butions depend on the element length and will not disappear. Owing to the strain-formulation
the spurious coupling cannot be eliminated by aocating the quadrature points in the element
nodes, as is sometimes thought [Grav 87].22

The avoidance of through-thickness quadrature is thus another strong argument in favour of
the zero-thickness joint element; for instance, partial opening the 'rocking mode'in [Zama 82] -
[Desa 88] has never been demonstrated as feasible for thin layers. Some concrete dements
-
use single-point quadrature for this reason [NiOl 85], and also thin layers should better be
preintegrated across the thickness (type 5c in Tab. 1.8) [Rieh 85].
conclusion, the physical thickness of a joint should only be modelled, if strain gradients
In
across the layer are expected and need be resolved. In comparison to,
say, 20 x 20 m dements as
in coarse discretization of dams or geomechanical problems, any joint thinner than 20 cm can
21
From the foregoing linear-elastic test it
appeared that conventional solid elements are particularly sensitive
to the aspect ratio and not to be recommended.
However, at the time of printing, additional tests were run for
Griffiths' problem with different elastoplastic constitutive modeis [Hohb 92b]. Contrary to expeetation, a multi-
laminate material with non-sero Poisson's ratio gave better results in a thin solid (E, ^ 0) than in a thin-layer
element. This needs to be looked at moreclosely.
33
Only a mass matrix -
with undifferentiated interpolation functions -
could be decoupled this way to avoid
in structural dynamics inertia contributions across interface [Isen 81].
Contribution of Quadrature Points to Joint Forces:
"t
2x2 n.L. 0.0531? t
?~~
0.197- |_V +
0.053-L-*,
+0.053- I-t* + 1
te i'
f
l/.+ ?
0.197-l?-T
0.197-tV
__
0.053l?r-
?0.197-!*-<r,
4
'* l
L'- 4
2x2
Lobatto I 0.250-l!r 0.250-lfo I
0.250C.T 0.250l?o>
?0.250-1%-/ 0.250-t*T
?0250-t'oi dfT) 0.250- t*<r,
O
-*-<?
a
u Le-
L-
Tiy
Fig. 2.16: Effect of spurious coupling in through-thickness quadrature if only one layer
of quadrature points indicates debonding or sliding
certainly be modelled as zero thickness(and would be more realistic than using 1 m thick joint
dements in fear of numerical l-behaviour [Rick 75]). Only the global effect of a displacement
discontinuity need be captured, and the compliance of the layer material may be modelled
through a discrirninating choice of k and k, and appropriate initial stress conditions. For
instance, a zero width plus inital pressure is equivalent to an initial interpenetration; similarly,
an open expansion joint can be given an initial pressure and an elastic stiffness to account for
subsequent grouting.
Chapter 3
Quadrature and Joint Stresses
Steep displacement gradients may occur not only in the direction normal to a discontinuity -
where the joint element represents in itself a jump in the displacement fidd across a crack or
a shear band but also along the discontinuity. Examples are the tip of a crack (in transition
-
from bonding to debonding) or a slip front (in transition from stick to slip). The question arises,
how well these status changes are captured by Joint dements and which factors affect their
Performance. And further: Is resolution of such gradients desirable at all, or does smoothing
give a better numerical behaviour?
In the previous discussion of the sirnilarity between a degenerate solid and the zero-thickness
joint dement, the importance of the quadrature rule for the evaluation of the internal nodal
forces (Eqs. 2.40 and 2.42) has been mentioned. When
comparing the constraint matrices from
dther approach, it was tacitly assumed that the stress field was integrated exactly (Tab. 2.10).
The question of whether such quadrature was desirable, or what alternatives were available,
was not addressed.
There is another point involved in this question. As mentioned before, joint elements can
be considered a means for the derivation of constraint matrices. The introductory example
(Tab. 2.6) used simple nodal constraints, which
correspond to arranging one spring box be
tween each double node. The subsequent discussion on quadrature rules and constraint matrices
will show not only the relation between the spring box (type la of Tab. 1.8) and the isopara
metric joint dement, but all zero-thickness joint elements of will be seen to be embodied in the
general isoparametric joint element formulation.

The question of various constraint matrices and related quadrature rules is addressed in the
first section. The joint dement is assumed to be in a uniform status with a constant penalty
value everywhere. Linear, bilateral constraints -
as used for bonded connections [Carp 73] or
mesh grading [Gabb 83] -

also bdong to this category.
The second section then extends the consideration to nonlinear behaviour with local changes
of joint status as for
instance, during gradual opening. The emphasis is thereby on
occurring,
the quadrature of discontinuous fields. The joint constitutive matrix is assumed to be uncou-
pled (Eq. 2.38) and path-independent, still allowing the inspection of individual displacement
components. Effects of more complex Joint constitutive relations are deferred to the Chapters
4 and 5.
58 CHAPTER 3. QUADRATURE AND JOINT STRESSES
3.1 Duality of Springs and Quadrature

The key to understanding different constraint matrices is to visualize every quadrature point
of the isoparametric Joint element as location of a spring box with a certain tributary area
Ap =
tp|iip| (Eq. 2.16). It is only at these discrete points with natural coordinates tp,Vp tbat
the rdative displacements between two opposite joint faces are controlled by penalty terms
('sampling points'). Although this correspondence is known from other constraint problems, it
is not readily recognized for joint elements.1
Because the value at the sampling point is taken as representative over its tributary area,
sampling in a highly 'stretched' point can result in an over stiff, in a moderately 'stretched' one
in an oveTflexible behaviour; this becomes apparent from the elastic deformation energy
(Tab. 3.1). The role of spring box location along a contact segment in approximating steep
gradients was first realized for the problem of bond shear stresses [Stau 72]. The generalization
from spring boxes to quadrature points allows also for selective quadrature, in which normal
and shear constraints are along the segment [Good 74].
invoked at different locations
The derivation of various constraint matrices from quadrature points located between nodes
makes it evident that Joint element stiffness matrices generally cross-coupled the displacement
77- =
-^/A-crdr -| =
AT-Ke- A, A =
:k-A2-1
displacement
field A| |A *r^ *r^ .
exact 0.500 A 0.167 A 0.167 A 0.100A
1 Gauss 0.500 A 0.125 A 0
D
TD
O
2 Gauss 0.500 A 0.167 A 0.167 A
CJ
2 Lobatto 0.500 A 0.250A 0.500 A
2 Gauss 0.500 A 0.167 A 0.167 A 0.097A
3 Gauss 0.500 A 0.167 A 0.167 A 0.100A
o
c
3 Lobatto 0.500 A 0.167 A 0.167 A 0.104A
ro 1:4:1
3 Springs 0.500 A 0.208A 0.333 A 0.177A

f:1:1
Tab. 3.1: Elastic deformation energy (extended after [Keus 85])

'E.g. incompressible continua "the total number of constraints in the structure is the number of elements
for
times the number of penalty Integration points per element" [Cook 88]. The choice of quadrature points for the
penalty terms to achieve Optimum contimrity and constraint relaxation belongs to the category of 'variational
crimes', as studied successfully "crime pays" for hybrid and nonconforming elements [Stra 73] [Zien 74a].
- -
3.1. DUALITY OF SPRINGS AND QUADRATURE 59
degrees of freedom.2 However, it is misleading speak of

isoparametric joint elements as
to
'continuous' dements [Rots 88], since infact the constraint is only enforced at the quadrature
points. For instance, 1-point quadrature 'lumps' the constraint into a spring box in the middle
of the Joint segment, which will thus be the pivot of uninhibited free rotation of the joint faces.
Regardless of the penalty the whole joint segment has lost its stiffness at a time when this
spring debonds. Nevertheless the dement stiffness matrix is not a 'lumped' matrix but couples
the nodes at both ends of the joint segment. The questions arise where in an dement and how
rigorously the constraints should be enforced.
3.1.1 Enforcing Interface Constraints
The 2-point Gauss scheme evaluates linear gradients exactly with the lowest number of sam
pling points (Tab. 3.1). This quadrature scheme was used in the classical Goodman dement
[Good 68]. Since the constraint is invoked at interior sampling points, the dement exhibits
nodal Separation under certain nonlinear displacement gradients. The partial opening was feit
to manifest spurious joint behaviour, when judged from a refined discretization which indi-
cated compression everywhere in the joint. To achieve the same with one linear joint dement,
the dement behaviour was changed into pivoting around the corner node [Good 74]. It was be-
lieved that a rocking degree of freedom had been added [Heuz 82], but essentially the alteration
amounted to placing the quadrature points in the nodes and reinvented the nodal spring box
instead of creating a new dement [Hohb 88a].
The one-element discretization is not a very good example, because the linear shape function
invokes a plane-section condition; since the resultant force falls outside Rankine's middle third
(the 'kern') of the base, one would expect nodal Separation in exact quadrature [Sehr 80]. In
refined discretization the problem changes to that of gradient approximation under a local
point load (Fig. 3.2). And here the collocation of the shape functions with the displacement
gradient inside the joint segment tends to produce an overshoot in relative displacements at
the segment ends, leading to an oscillatory Output of contact stresses which are propotional
with k. Similar phenomena can be observed in the normal d.o.f. ('crack tip problem') as false
Separation [Sehe 90] and in the tangential d.o.f. ('slip front problem') as false sliding direc
tion [Hilb 76] [Gens 89a]. It is typical for Gaussian quadrature [Shar 76] [Herr 78] [Hung 80]
[Oden 80] [Desa 82] [Simm 85] [Bhm 87], independent of the constraint technique used. How
ever, by chosing a rather small penalty, the collocation can be made weak enough for the shape
functions to approximate an average displacement fidd (Fig. 3.2 a). In applications with small
interface stiffness at low stress levels, such as in soil mechanics, one is therefore usually satisfied
with Gaussian quadrature.3
Refining the interface discretization does not necessarily aeviate the oscillations (Fig. 3.2
b). If the gradient is a moving step function (closed/open, stick/slip front), they will disappear
only temporarily whenever the front reaches an interelement boundary [Hohb 88a]. This is due
to the mere Co-continuity of the solid dements which allows sudden changes of the displacement
gradient from one element to the next. Of course, the whole joint becomes more flexible with
finer discretization.
Underintegration, on the one hand -

here with one Gauss point instead of two -
samples
the stresses where they are least affected by the false motion of nodes (Fig. 3.2 c). This gives an
average stress Output independent of the penalty size but the nodal overshooting is aggrevated
3
Altematively, coupled constraints were derived from fictitious beam and truss elements [Stev 85],
3
When these Idnd of elements are used to model a bedding, for instance, it is misleading to state that "the
soft
Winkler assumption is not valid for very stiff foundations" [Kats 82]; not the constitutive theory is "abused",
but the problem is an inappropriate quadrature rule and as such entirely numerical.
Interplay of Penalty, Zonation and Quadrature
joint with concentrated load
"rrn
10
1 i
I
? M
. i
*
I
i
TT
I i
1 El.
1 i
EMO! 2 Gauss
5 El
r,i
i
__i.
f{-+-jri-i~t"
"
10
10 El
i i!'
100 l ! i i i (b) influence of zonation
tz
/csIOS, nio...io
4 10-
'
I
5 Elements
2 Gaussv i
5 Elements
i
*n=10*
2 Gauss
1 Gauss -^
i
(a) influence of penalty (c) influence of quadrature
Fig. 3.2: The Goodman example [Good 74] in fine discretization
since it is longer penalized. As the rigidity of the solid quadrilaterals becomes small in
no
comparison to the joint stiffness, each segment is almost free to rotate, giving rise to a 'chicken
wire' mode of mesh instability. This aspect will be dealt with in 3.1.3.
If, on the other hand, the collocation is performed at the nodes, resulting in nodal con
straints, any overshoot is completely inhibited. The sampling at the boundary between adjacent
joint elements results also in an automatic averaging of the interface stresses from two segments
and achieves thus the same result as 'postprocessing' a stress distribution from Gauss points
[Oden 71]. Most striking is the total absence of false motion of nodes and stress oscillations,
Figure 3.2c, and this independent of the penalty size.4 This beneficial behaviour was sometimes
misinterpreted as a general superiority of nodal spring boxes over isoparametric joint elements,
which have traditionally been associated with Gaussian quadrature. For the small price of a
slightly overstiff behaviour (Tab. 3.1) nodal spring boxes became therefore very populr.
4It should be observed, however, that such stress averaging makes ody sense if the contributing segments use
the same penalty stiffness [Qiu 90], This is not surprising as the relative displacement at the common node is the
primary veriable, and the stresses will vary with the penalty stiffness. Nodal quadrature would approximate the
stress discontinuity by its average value over an area determined by the rigidity of the adjacent solid element.
Variation of Stiffness Distribution: from 1:1:1 to 1:4:1
1
/houur glassing
for 1:1:1
. n (2x2Gauss) torces+displ. 1:1:1 (2x2 Gauss)
a> 4 -
?
<- t X forces 1:4:1 \
10 o
\ E=103 E
\ i/ =
0
t=u ? o
displ. 1:4:1
<vT* x
^ x
'^- >

"1:1:1" 10 10* 10" 10 IO7 K

"-^^ (3x3Gauss),
<^.
10
Fig. 3.3: Influence of two-dimensional penalty distribution
However, the assembly of suitable constraint matrices from individual nodal spring boxes
is only straight forward in regulr meshes with linear interpolation [Fran 70] [Stau 72]. In non
uniform meshes and for inclined joints, the Operation is more cumbersome, involving the for-
ward/backward transformation with direction cosines; and in the general case of distorted 3-D
surface joints the effort for data preparation and Output Interpretation becomes prohibitive.
Moreover, for quadratic interpolation the tributary areas are not readily identified: In a
2-D line Joint they are known to be in the ratio 1:4:1 in the parent element, but nonuniform
mapping introduces different scaling. Since the choice of the penalty size is within a certain -
rnge
-
largely to the discretion of the user (Tab. 2.12), the question arises whether or not an
error in stiffness distribution matters.
For high enough a penalty the joint forces under uniform load indeed approach the ratio
1:4:1 independent of the stiffness distribution in the joint (Fig. 3.3). This happens because the
deviation of the joint displacement pattern from a uniform compression becomes simply too
small to have an appreciable effect on the stress fidd in the comparativdy much softer solid; the
equivalent nodal forces of the solid stress fidd (Eq. 2.3) will therefore exhibit the 'conforming'
distribution of quadratic interpolation and re-impose it on the constraints similar to Lagrange
multipliers (k -*
co) [Geis 88].
However, for a small penalty, the comparativdy stiff solid enforces
a uniform joint defor
mation with the effect that the constraint forces acting on the solid have the same distribution
pattern as the constraint stiffness. Since not conforming with a constant stress fidd in the solid,
the constraints will induce there an additional parasitic and self-equilibrating stress field. Unless
the solid has a very high modulus of elasticity, it will deform appredably.
The same applies in the three-dimensional case of a joint between higher-order brick de
ments with 20 nodes (Fig. 3.4). The distorted shapes of some trials demonstrate that tensile
forces (lower right case) are needed to resist lift-off of corner nodes under a constant external
pressure (cf. [Zien 77a]). If underintegrated, the solid will deform again much more violantly
and in amplitudes which are very sensitive to the surrounding stiffness. Only the conforming
Variation of Stiffness Distribution (3-D):
solid brick element;

E =
10s; wO
only restrained in vert
ical axes of symmetry
reduced and fll quadrature
vertical Springs:
midside corner
m
'n
m
=
i/i, k
=
103 (Ix) m =
1/1, < =
10s (lOx) (faclor of magnification
of deformations)
reduced quadrature (2x2x2 Gauss) inbrick
m =
1/1, k
=
\0 (lOOOx) m
=
1/0, /c
=
108 (lOOOx) m=1/-4-, k =
109{I000x)
4
fll quadrature (3x3x3 Gauss) in brick
Fig. 3.4: Influence of three-dimensional penalty distribution
distribution of nodal joint stiffnesses assures that a joint deforms in affinity with the external
stress field. This corresponds to the requirement of completeness for solid dements, which must
also be able to represent constant strain states and remain free of parasitic strain under rigid
body displacements.
Thedependence of the joint force distribution on the joint stiffness magnitude is clearly un-
acceptable in nonlinear computation. But even the conforming stiffness distribution encounters
the problem that a failure criterion formulated in forces would have to respect the fourfold spring
reaction at the midside nodes of solids. If connected to a 20-node brick dement the reactions
induced in the Springs
corner from smooth
compression field will not only change magni
a
tude but also reverse their sign during partial opening! Ad-hoc remedies, based on negative
spring stiffnesses and consequent reversed-sign implementation of the failure criterion cannot
be trusted apart from thoroughly tested cases [Coul 82]; otherwise nonsensical results will be
obtained [Gens 89a] [Sehe 90]. To work at all, they require a rather small penalty k 10B in -
=
the example of Fig. 3.4 as otherwise

-
the resulting negative coefficients on the main diagonal
of the joint element stiffness matrix will outweigh the positive contributions by the adjoining
continuum elements and destroy the positive-definiteness of the system matrix.
3.1.2 Analysis of Joint Constraint Matrices
The allocation of conforming stiffness terms to nodal constraint matrices is automatized if a

suitable nodal quadrature scheme can be found. For linear interpolation over two nodes per
segment, such a scheme exists in the well-known trapezoidal rule, for quadratic interpolation
over three nodes per segment in Simpson's rule [Gray 78]. Both schemes can be considered
special cases of dther the closed Newton-Cotes or the Lobatto family [Dano 84]; the designation
as Lobatto scheme has been adopted in accordance with [Kuo 82b].5
The
properties of the resulting constraint matrices are lustrated best by an eigenvalue
analysis. This can be done by any mathematical program, e.g. [sct 86], solving:
(K -
AI) 4> = 0 (3.1)
The eigenvectors <p are the displacement vectors of the individual dgenmodes, the dgenvalues
A indicate the multiplicity of eigenvalues and are in their absolute size a measure for the
deformation energy assodated with the respective mode. Apart from the usual rigid-body modes
of solid dements, additional zero-energy modes appear for plane joints due to the vanishing
stretching stiffness along the joint segment (cf. Eq. 2.24), their number being equal to the
number of double-nodes times the spatial dimension of the dement: They correspond to rigid-
body motion of the double-nodes in the joint dement, since only the relative displacement
between them is penalized by the constraint matrix.
Owing to the diagonality of the elastic constitutive matrix (Eq. 2.38) it suffices for plane
joint elements to analyse only one degree of freedom; the others are completdy analogous. With
a suitable node numbering the constraint matrix is grouped into four identical submatrices
K (Eq. 2.43), which characterize the dgenbehaviour of one joint face. When analysing these
submatrices in lieu of the fll matrix, the 'stretching' zero-energy modes disappear and the
eigenvalues are halved, because the other joint faces deformes by the same amount in the
opposite direction; but otherwise the results obtained are the same at reduced expense.
As two-dimensional line-joint elements have been published elsewhere [Rots 88] [Gens 89a]
[Hohb 90c], only the three-dimensional, plane surface-joint element is analysed in the following.
Fully bonded elastic behaviour is assumed. Each matrix is shown with its dgenmodes and
eigenvalues (of the fll matrix K for a unit joint area and stiffness (La =
Lb =
1,k =
1).
In contrast to [Sehe 90], the eigenvectors of multiple dgenvalues are recombined such as to
highlight the similarities between different constraint matrices; for graphical convenience they
are depicted in a shearing mode.
Studying the dgenmodes of the fully Gauss-integrated elements with matrices K.sg3 or
Kl03 reveals that in some of the lower energy modes midside nodes move in the direction
opposite to the motion of corner nodes (Tab. 3.5). This is the spurious motion which had
been suggested to he disregarded in the evaluation of results from higher-order Joint dements
[Herr 78] and which
gives these elements already in 2-D
- -
a bad reputation,
e.g. [Lege 89].
Obviously the nodes cannot move independently. This is due to the fact that in general every
quadrature point contributes to the stiffness associated with every node (Fig. 2.16), with the
consequences that discontinuities in the relative displacement fidd along the joint are smeared
over the length of the element. If a discontinuity passes across such an dement and is ac-
centuated by a high penalty stiffness, the convergence to the best combination of eigenmodes
approximating the discontinuity is slow and alternating [Hilb 76] [Hohb 88a].
6For higher interpolation order with equal spacing of nodes it clearly becomes the Newton-Cotes family
[vLan 91].
Serendipity joint (8 double nodes) with 3x3 Gauss rule
30 10 15 10 -30 -40 -40 -30

10 30 10 15 -30 -30 -40 -40
15 10 30 10 -40 -30 -30 -40
k -K L.Lh 10 15 10 30 -40 -40 -30 -30
KSrfj = where K = k
-K K 900 -30 -30 -40 -40 160 100 80 100
-40 -30 -30 -40 100 160 100 80
-40 -40 -30 -30 80 100 160 100
L -30 -40 -40 -30 100 80 100 160
(J^C^)
(LY=^q o
< T -j( > (i--< > < ? o s* <> <>* 4'
s^g^ô <? O^Ô <)-
At=.0268 Aa = .0268 Aj = .0411 A=.0S56 At = .0889 A< = .1843 Ar =.1843 A =1.0811
Lagrange joint (9 double nodes) with 3x3 Gauss rule
16 -4 1 -4 8 -2 -2 8 4
-4 16 -4 1 8 8 -2 -2 4
1 -4 16 -4 -2 8 8 -2 4
-4 1 -4 16 -2 -2 8 8 4
K -K L.Lt
Ki,fj = where K = k 8 8 -2 -2 64 4 -16 4 32
-K K 900
-2 8 8-2 4 64 4 -16 32
-2 -2 8 8 -16 4 64 4 32
8 -2 -2 4 -16 4 64 32
4 4 4 32 32 32 32 256
(L^^q o <? <ô<!>

f^r
<hd> < ?~-> <trd> $ o/'oXo <i o J)
os^ô 0*^0^6 (âô Ô^ ^HO^

Ai=.0129 A3 = .0268 As = .0268 A4=.0556 A=.0889 As = .0889 Ar = .1843 A = .1843 Ag = .6115
Serendipity joint (8 double nodes) with 2x2 Gauss rule
20 0 10 0 -20 -40 -40 -20

0 20 0 10 -20 -20 -40 -40
10 0 20 0 -40 -20 -20 -40
ir-
Ks"
f K -K-K
k where K = k
L*Lb 0 10 0 20 -40 -40 -20 -20
-[-K K 1080 -20 -20 -40 -40 160 120 80 120

-40 -20 -20 -30 120 160 120 80
-40 -40 -20 -20 80 120 160 120
-20 -40 -40 -20 120 80 120 160
<-y=&*>q oj&^k-) (i^cô

< ? %> < >~_( > (>*- i >
a^Qz^ <.vp&^<> o^S^ô
Ai=0. Aj=0. Aj = 0. A4 = 0. A6 = .0556 A = .1667 AT=.1667 A = .9444
Tab. 3.5: Eigenvalues and eigenmodes of elements with Gaussian quadrature

Serendipity joint (8 double nodes) with 3x3 Lobatto rule
r 50 25 25 25 -50 -50 -50 -50

25 50 25 25 -50 -50 -50 -50
25 25 50 25 -50 -50 -50 -50
k -k 25 25 25 50 -50 -50 -50 -50
k
*
Ken = where = c
-k k 900 -50 -50 -50 -50 200 100 100 100
-50 -50 -50 -50 100 200 100 100
-50 -50 -50 -50 100 100 200 100
.
-50 -50 -50 -50 100 100 100 200 .
o (i^^)
< j*^ > *
6^=S^6 (iZL_^~s* l^Z93^, ^ZSZ^
Ai=.0556 A3 =.0556 As =.0556 A4 = .0852 Ag = .2222 A6=.2222 Ar = .2222 As = 1.3037
Lagrange joint (9 double nodes) with 3x3 Lobatto rule
25 0 0 0 0 0 0 0 0
0 25 0 0 0 0 0 0 0
0 0 25 0 0 0 0 0 0
0 0 0 25 0 0 0 0 0
K -K
Kr. = where K = k 0 0 0 0 100 0 0 0 0
-k k 900
0 0 0 0 0 100 0 0 0
0 0 0 0 0 0 100 0 0
0 0 0 0 0 0 0 100 0
0 0 0 0 0 0 0 0 400
Serendipity joint (8 double nodes) with 'row sum' method
-75 0 0 0 0 0 0 0
0 -75 0 0 0 0 0 0
0 0 -75 0 0 0 0 0
k -k L.L. 0 0 0 -75 0 0 0 0
Kc.. = where K = k
-k k 900 0 0 0 0 300 0 0 0
0 0 0 0 0 300 0 0
0 0 0 0 0 0 300 0
0 0 0 0 0 0 0 300
A =-.1667A2 =
-.1667As = -.1667A4 = -.1667 A = .6667 A = .6667 AT=.6667 A = .6667
Tab. 3.6: Eigenvalues and eigenmodes of elements with (partial) diagonalization

The 2x2 Gauss underintegration of the 8-node Serendipity element gives essentially the
modes 1, 2, 3 and 5 of the corresponding fully integrated matrix, but as zero-energy modes.
The lack of constraint in these modes improves the convergence in nonlinear application. With
the exception of As 0.0556 the eigenvalues of the remaining modes are also lower and the
=
amplitudes of the spuriously moving nodes larger than for the exactly integrated matrix Ksg3.
Consequently, the underintegrated element responds more flexibly to the same energy input, as
was seen for 1-pt. Gauss quadrature in Tab. 3.1.
To investigate possibility of lumped constraint matrices, the fully integrated, con

the
sistent matrices are modified by nodal quadrature (Tab. 3.6). This scheme computes the force
vector exactly (Eq. 2.39) and yields a conforming joint dement. The stiffness matrix (Eq. 2.41)
is not exactly evaluated, but the total number of constraints preserves suffident rank. Each
double-node can move independently of others, resulting in a tri-diagonal Ke with dgenvalues
of twice the coefticients on the diagonal of K. Again, the eigenvalues of the lumped matrices
are generally higher than the corresponding eigenvalues of the consistent matrices in Tab. 3.5.
The independence of double-nodes arises from multiple eigenmodes: The modes A1..A4 could
combine such as to allow independent motion of each corner node. The same applies to the
modes A5..A8 and the motion of midside nodes. The 9th Lagrange mode is an independent
'bubble mode'. Where the joint stiffness submatrix is not diagonal, the mode shapes differ only
slightly but are not fourfold multiple and cannot be combined to independent motion of nodes.
As shown in Appendix B, lumping schemes violate the condition of 'completeness' es
other
tablished in 3.1.1. In order to reproduce a field of constant relative displacement under constant
tractions, the lumped constraints must comply with the row sums of the respective consistent
matrix, because these are the nodal force components produced by a unit displacement fidd.
Only the so-called nodal Jacobian technique, which is identical with nodal quadrature, is seen
to meet this condition.6
It thus becomes clear that not alljoint elements are amenable to constraint lumping. If the
nodes do not coincide with the location of quadrature points according to a 2- or 3-pt. product
rule, constraints will he applied at points where more than one interpolation function has a
non-zero ordinate (Fig. 2.2). This is the case for the Lobatto quadrature point in the centre of
the Serendipity element, which disturhes the modes 4 and 9 of the Serendipity K5J3 compared
to the modes 1 and 6 of the Lagrange Kl13- If this constraint is released in an early stage of a
nonlinear computation [Gens 89a], or if the deformation gradient is parallel to the element sides
such that the lack of the internal d.o.f. does not become apparent [Sehe 90], the element with
the matrix K$iz may still show improved behaviour over the Gauss-integrated version.
some
A double-node in the centre of joint elements requires midface nodes on the connected brick
dements. Although superior to the respective Serendipity element because of the complete
polynomial [Cook 82], the 27-node Lagrange solid element is missing in many finite element
codes, which are limited in array length to 60 d.o.f. If the available program allows for global
constraint equations, an auxiliary node could be tied to the brick surface where necessary.7
Unfortunately this artifice, which will be used in 3.2.2, is neither very robust nor does it
improve the deformational behaviour of the brick element itself.
cCare b advised for triangulr surfaces generated by collapsing quadrilaterals, because the Jacobian disappears
at the collapsed nodes [Iron 73],
7If the brick face is assumed to be characterised by the natural coordinate ( =
1 with vertices numbered
1 to 4 and midside nodes on the edges numbered 5 to 8 (Fig. 2.3), the displacements of the face centre node 9
are expressed by the shape functions (Eq. 2.7): u9 =

B-^^^-i) {u*} =
\ $2,_b Ui \ 52*=1 Uj. These are

the coefficients defming the midface node as 'slave' of the eight Serendipity 'master' nodes. However, if the slave
definition is implemented with the aid of Lagrange multipliers (see Appendix A.l), the global system matrix is in
risk of becoming singular in nonlinear computation as more and more master nodes debond in the Joint element.
3.1.3 Parasitic Stresses and Underintegration

As mentioned before in 3.1.1, the use of first-order displacement polynomials results in a
poor approximations of steep gradients with the consequence of stress oscillations and overstiff
behaviour. Similar phenomena in beam, quadrilateral solid and shell dements were shown to be
caused by the inconsistency of strain fidds in a multifield problem (e.g. shear and bending, or
membrane stretching and bending): The poor approximation of one of the fidds may introduce
spurious constraints in the other, which responds with a non-physical stress fidd [Cook 77]
[Prat 87]. Because these kinds of field approximation errors exhibit a considerably slower rate of
convergence with mesh refinement than typical for the finite dement method, they were named
errors of the second kind [Prat 85]. They were found to depend on structural parameters
such as dement aspect ratio or differences in magnitude between material moduli ('locking'
phenomena).
quadratic interpolation optimal stress sampling points exist the so-
In solid elements with -
called 'Barlow points' [Bari 76] where the parasitic strain fidd crosses the consistent field and is
-
hence not sampled; the stress fidd constructed from the Output of these points constitutes a kind
ofleast-square fit to the true, consistent stress fidd [Hint 74] [Iron 76] [Zlam 78]. These optimal
points are identical with the 2-pt. Gauss rule and its products in two and three dimension.
Since joint elements can be derived from thin solid dements, the question arises, whether the
2-pt. Gauss rule is also the optimal scheme for the evalution of interface stresses in quadratic
joint dements [Cram 79] [Oden 80] [Boul 89].
As seen previous example of the Goodman problem (Tab. 3.2), adverse effects such as
in the
parasitic stresses and low-energy modes appearing in their remedy manifest themsdves particu
larly when the joint stiffness is large in relation to the stiffness of the surrounding continuum el
ements. Consequently, a test problem for 'self-stressing' phenomena has recently been proposed
with a very stiff joint between deformable material [Desa 89a]. In simulating a geotechnical di
rect shear test, a top and a bottom block were each modelled with a single 8-node quadrilateral
dement in 2 X 2 Gauss underintegration (Fig. 3.7). The proponents presumed that 2 Gauss
points in the joint dement would reproduce correctly the applied shear traction and give a
constant relative-displacement fidd along the joint, while a 3-pt. Gauss rule was alleged to give
"erratic" patterns of relative displacements and joint stresses, the average of which would not
even equal the applied tractions [Desa 89a].
This comparison between a 2 x 2-Gauss integrated thin layer (of varying aspect ratio) and
a 3-pt. Gauss integrated zero-thickness joint element overlooked that for high relative penalty
stiffness the quadrature rule takes a dominant role (Fig. 3.2). In a revised version of the same
test only the case of a comparativdy soft joint was presented, in which stress concentrations
hardly showed up anymore.8 Rerunning the stiff test, the following can be noted:
The physical stress distribution along the joint is not constant at all, because the midside
node of the lower block adheres to the upper block while the end nodes of the lower block
are restrained from following. Severe stress concentrations build up toward both ends of
the joint.
The shear stress distribution is not Symmetrie as inferred, but the small 'spreading' dis
placements of the upper block due to Poisson's ratio v ^ 0 induces an asymmetric shear
stress in proportion to the joint stiffness.
'The first version had concluded that "the improved computational consistency and robustness of the thin-
layer element (t ^ 0) can be attributed to the stability provided by the nonsero thickness" [Desa 89a]. This
verdict was lateron moderated to the statement that "with 2-point Integration the results of the sero-thickness
element are close to the converged results of the thin-layer element" at an aspect ratio e t'/L* IO-5, which= =
would not have been even considered prior to this dispute.

Simulation of Direct Shear Test: high penalty effects
50
o) influence of quadrature, b) influence of zonation,
III1WUHI
, coarse zonation , rquadrature constant ,
(solids 3x3G, joints2G)!
i

i
solid2x2G solid 3x3G

E *
1,000 joint 26 joint 3L
i> 0.15
\J~L
=
+ i
40
il
*<H ..... ;|
4n=10V,-^r + + I
2.2
-EB<>i
fel
E *
IjOOO
i> =
0.15
+ f
UZT r
distribution of shear stress
2 Gauss external traction
3 Gauss
3 Lobatto
c) 1 element d) 4 elements
Fig. 3.7: Desai's example for selfstressing of joint elements
The 2-pt. Gauss rule samples an average stress which is neither representative for the
joint center nor for the joint ends. The sampled values only seem Symmetrie because
the underintegrated upper block aecommodates Poisson's effect by zero-energy hour-glass
deformation and so avoids the restraining shear in the joint.
It can be conduded that Gaussian underintegration can have the dubious feature of smoothing
parasitic and physical stress concentrations indiscriminately. As to be expected from 3.1.1, fll
Gaussian quadrature "does not yield consistent results for other ranges of material properties"
(Desai in [Hohb 90d]), but this applies to zero-thickness and thin layer elements alike.
The convergence with mesh refinement is studied next. While the single-dement results
could be interpreted as a poor approximation of the theoretical stress concentrations near the
joint ends, in the mesh with four joint dements the 'stress concentrations' also appear in the
Joint interior and do not readily converge with further refinement to four dements.9 It seems
that errors of the second kind
involved, which exceed the usual stress jumps at interelement
are
boundaries, cf. [Kell 83] [Sss 85]. Interestingly, the stresses sampled by the 2-pt. Gauss rule -
which had been advocated as representative average stress in the joint also oscillate in refined -
discretization, and even the stresses at the quadrature points are unsatisfactory (cf. [Zien 82]).
Smoothing them by extrapolation from the Gauss points and averaging at the interdement
boundaries may not give a representative stress state in any one point of the joint [Oden 71]. A
smoothing procedure would be required which improves also the stress distribution within the
dements.10
Proposed as a global stress recovery procedure [Kiku 80] a lumped matrix of- the shape
functions product (similar to Eq. 2.42) was shown to be successful. This is exactly what nodal
quadrature does. The constraint condition will not be satisfied between the nodes (referred
to as 'aliasing' [Broc 82]), but the sampled stresses along the joint converge fast with mesh
refinement to a smooth distribution. The reason is that the interface problem is inherently
a mixed multi-field problem of relative displacements and interface tractions
[Kiku 80]. Al
though apparent in the perturbed Lagrangian formulation, this insight is lost in the Condensed
penalty format (Appendix A.l). According to the so-called 'equivalence theorem' for mixed and
penalty methods [Malk 78] the convergence of the penalty method with mesh refinement is thus
governed by the Ladyszhenskaya-Babuska-Brezzi (LBB) condition derived for mixed problems.
Nodal constraints were shown to meet the LBB condition [Kiku 82], and this explains their suc-
cess in mixed and Lagrange multiplier formulations of the contact problem [Urzu 77] [Tors 83]
[Klar 85]. In conclusion the nodes are the optimum sampling points in zero-thickness elements.
It was noted before that underintegrated solid elements have no stiffness in the so-called
'hour-glass' mode, which normally is considered not communicable within a patch of several
interconnected dements, but may propagate through the mesh (with decaying amplitude) if the
solid dements are too soft to provide adequate restraint [fron 80] [Grif 83] [Tayl 86]. Warnings
against underintegration in nonlinear analysis were voiced before in mearaf-crack modds of

concrete [Cris 86] [DeBo 86a] [Rots 87] [Gonz 88] [Cris 89] [May 90]. There the softening of
constitutive relations in 'cracking' quadrature points was observed to provoke mesh instabilities.
In the present work something of a 'discrete-crack' equivalent was observed.
Because joint dements react with large forces to minor constraint violations, they are par
ticular apt to exdte such near-mechanisms in a mesh of solids with reduced quadrature; if the
mesh is fairly regulr the risk that they become communicable increases [Schz 91]. The present
case occurred in a full-scale seismic dam computation, in which underintegrated 20-node brick
dements were interconnected by Serendipity joint elements with 3 x 3-Lobatto quadrature

(Fig. 3.8). The mechanism appeared when joints opened and disappeared again when the
constraints became more numerous with joint closure: The joint status was severely disturbed,
resulting in spurious opening of the arch compression zone due to strong dement curvature in
hour-glassing, and the overflexible behaviour of the structure resulted in a progressive, unstable
*In a example of a nonlinear pull-out test, the general tendency of violant oscillations disappearing
different
for Lobatto quadrature was the same [Gens 89a] [Schw 90] [Sehe 90], although an efficient reduction of the
oscillation amplitudes with mesh refinement was reported. It would be interesting to compare this test case with
the foregoing one, including the role of normal stress oscillations on friction.
10
A global smoothing procedure had been proposed through the assumption of a shape function spanning more
than one dement [Hint 74]. As this is akward to implement, a local smoothing retaining stress jumps at the
-
interelement boundaries can be eftected by re-solving the stresses with certain shape functions from the nodal
-
force vector. The simplest variant is the averaging of Gauss point values to a constant stress representative for
the whole element [Nayl 74]. This has been done in [Kwok 87] in order to minimise the effect of stress oscillations
on path-dependent constitutive laws.
Symmetrie Arch Dam
Block joint opening (empty reservoir, 0.25g)
displacement point A
Fig. 3.8: Hour-glassing of underintegrated bricks in a nonlinear arch dam computation,

depending on the degree of joint opening [Webe 89]
cantilever sway upstream already under small seismic excitation. Henceforth, only fll quadra
ture was used in Computing the stifihess matrix of the brick elements [Smit 91]. Of course, it
would not be harmfull to continue to sample the stresses at the Barlow points (2x2x2 Gauss)
for trilinear extrapolation to the element vertices [Berg 84], which was found to give substan-
tially better stress results -
particularly for distorted element shapes -

than extrapolation from
the 3 x 3 X 3 Gauss [Hohb 84].
3.2. QUADRATURE OF DISCONTINUOUS FLELDS 71
3.2 Quadrature of Discontinuous Fields
As appealing as joint dements with diagonalized constraint matrices are in fine discretization,
the resolution of joint stress fidds may be too inaccurate in coarse meshes as used in arch dam
analysis (Fig. 3.8), for instance, with regard to finding the depth of joint opening. From the
numerical point of view the change in stiffness assodated with the change of constraint at one
node may be rather violent and contribute to the noise in dynamic applications [Row 83].
A more gradual nonlinear behaviour may require a finer resolution of state discontinuities
passing across the element and a larger number of quadrature points. The following section is
thus concerned with the joint stiffness and the stress resolution in nonlinear computation.
During opening of a joint, sharp discontinuities arise in the integrand of Eq. 2.41. Altough the
abscissae and weights of numerical quadrature points are optimized for continuous integrands,
it is common FEM practice to overlook this condition and integrate across e.g. plastidty fronts
by just using a doser spacing of quadrature points to moderate the error committed. As the
order of quadrature exceeds that necessary for exact evaluation of a continuous integrand, this
concept will be referred to as overintegration. If the integrand is continuous over a subdomain

of the dement, one could, of course, attempt to integrate exactly over the subdomain.
3.2.1 Overintegration and 'Floating' Quadrature Points

The typical example of high overintegration is the evaluation of the plastic or cracked section
properties of beam elements. In uniaxial flexure several investigations compared the Performance
of Gauss, Lobatto, Newton-Cotes rules of various order, as well as of the centroidal rule ('layers'),
Compound trapezoidal and Simpson rules [Kama 76] [Berg 78] [Berg 84] [Cris 85] [Gana 87].
They concluded that 6-8 Gaussian or 7-9 Lobatto points are required for the best tradeoff
between efficiency and accuracy due to the duster of points toward the outer fibres of the cross-
section. The Lobatto scheme needs one point more than the Gauss scheme to exactly integrate
a polynomial of the same degree, but it has the advantage of sampling the extreme fibre of the
cross-section, i.e. it is a 'closed' rule over the interval [-^,+|].

The centroidal rule, which became populr through layering of dements where it samples
each layer, is much inferior and always underestimates the integral. In the three-dimensional case
of biaxialbending -
comparable to the 3-D surface of a joint it is very convenient,

which is -
though, to have a dense grid of pixel-like suhareas if individual material properties need be
assigned pointwise [Klin 76] [Aids 78]; however, the number of subareas need be large, at least
10 X 10.
The Performance of quadrature is compared for a triangulr stress block (Fig. 3.9).
The order of the qadrature rule determines the smallest
tributary (i.e. area the weight) of the
outermost point. Infixed-point schemes, independent of the contact state and gives
this area is
the minimum width of the stress block when but the last point is active. As the stress resultant
approaches the edge of the section, the stress sampled will not go to infinity because the calcu-
latory compression zone cannot become smaller than the finite tributary area associated with
the outermost quadrature point. Neither the neutral axis nor the stress in the extreme fibre can
be estimated from only one stress value across the depth, even if sampled in the extreme fibre;
auxiliary assumptions such as plane sections remaining plane and Hookian material behaviour
would be required11.
nTaldng the sampled stress for the true stress of the extreme fibre amounts to the assumption of a triangulr
stressblock, extending to a depth of double the tributary depth of the sampling point, i.e. for equal spacing of
quadrature points the neutral axis would be assumed to rest in the last but second sampling point [Dowl 87].
Resultant i
Fc Vs5 Lobatto
\
-1.200-
\6-6 \ 2.2 'f loatinq'Gauss (exact) l
\_Lobdtto

v- v
I
-1.000 ? ." ^
-$
-
O
JA-lZZ.'
(giv*n)
.-*
-800 ^*-
55 Gauss
4*4 Gauss
.600
;' 4 10 10 rectanoular
i\ Newton-Cotes
.400
/
I
-200-| |
I
I
o<s'
0 5.7 12.7 218 32 45 Angle yn

01 02 03 04 0.5 063 Edge distance cn
Fig. 3.9: Stress resultant of a moving compression zone [Hohb 88b]
The error in the stress resultant and in its position is seen to alternate between positive and
negative as the crack front crosses tributary areas. Note that -
under load control -
open rules
will indicate complete loss of resistance upon crossing the last sampling point, whereas closed
rules overestimate the resultant when the remaining stress zone is smaller than the tributary
area. In all cases, pivoting about the last active row of quadrature points is bound to oeeur as
the cross-section has lost its numerical moment of resistance.
Suggested refinements to avoid excessive overintegration were the following:

Tampering with the quadrature weights near a moving stress discontinuity (i.e. the neutral
axis in bending) in order to reduce the error amplitudes occurring as the discontinuity
crosses quadrature points [Berg 84]; this was not found successful [Gana 87].
Contraction of quadrature points into the remaining stress block in which the inte
grand will be rdativdy smooth for mildly nonlinear stress-dependent material properties
[Berg 78] [Gana 87]. This is looked at in the following.

In two-dimensional problems the latter strategy allows the position of the discontinuity to
be determined with good

quadrature accuracy, and almost exact of the stress block if Gauss
quadrature points Optimum locations (Tab. 3.10). Also in the three-

are positioned at their
dimensional example of a predefined stress block with a straight discontinuity line (Fig. 3.9)
this idea gives very good results. In [Hohb 88b] it was termed 'floating Gauss points' and will
be further discussed in 3.2.2.
Consider a 2-D parabolic stress block, as occurring in
the compression sone of a beam cross-section, with
(3-2(5)')
d
*(*)
"
=
r, O-(x)
Stress resultant P and its eccentricity e with respect

to the neutral axis n
computed by two Gauss

n are
points, which can either be defined from the edge (In

tegration of moments, GIM) or from the centre of the
stress block (regulr Integration, Gl) [Dano 84]:
scheme GIM Gl stress

regulr
tP v tr v>p <r(xi)/<rr Goussion
point 1 .21132 .5 -.57735 1. .5447
point 2 .78868 .5 .57735 1. 1.1220
The sampled stresses are the same. Magnitude and eccentricity of the stress resultant are:
GIM: P= (0.5447 + 1.1220) 0.5 <rT d = 0.8333 <rTd

I
e= [(0.5447 -0.21132 + 1.1220 0.78868) o> cP]/P =0.6d
Gl: P= (0.5447 + 1.1220)-1.0<rr* =

1.6667<rt\
e=
|+[0.57735-(-0.5447+ 1.1220) <r,(f)J]/P =
(1 + 0.2) f
The resdt is exact and obviously the same for both quadrature schemes.
Tab. 3.10: Gaussian quadrature of a stress block
The effect of quadrature joint flexibility is demonstrated on a tension version of

on the
the two-dimensional Goodman example (Fig. 3.2). The precompression transmitted through a
one-dement block to the base joint is reduced by a Single, eccentric tensile force acting on the
left bottom corner of the block with the effect of shifting gradually the position of the resultant
force from the centre to the right edge of the section and tearing the joint open (Fig. 3.11).
More clearly than in the previous example of a predefined stress block the following features
become apparent:
With a decoupled constraint matrix due to 3-point Lobatto quadrature, the joint opens as
soon as the local joint compression force at 'A' (= 16.7) is exceeded, although the resultant
of external forces falls still inside Rankine's middle third of the section. The equivalent
force at the open node drops to zero for the decoupled constraint matrix, whereas it
becomes negative for the consistent force vector from other constraint matrices.
With any fixed-point quadrature rule the joint falls numerically as the resultant passes
the outermost sampling point. Thus open schemes here the 3-point Gauss rule indicate
- -
primature overturning of the block.

The spacing of quadrature points determines the joint flexibility because two quadrature
points must remain in contact to ensure stability, and the distance between them, multi-
plied with penalty and quadrature wdght, gives the resisting moment against rigid-body
rotation.
A major part of the joint flexibility in coarse quadrature results from 'aliasing' penetration
between the points of constraint. To produce the curved surface on which the block 'rolls
off the single dement deformes elastically in its hour-glass shape.
66.6
16.7 16.7
E=105
*= 0
3M.G/
Z= 0...50
l^sItA.iO8 3L
i--
?5
0.008
Z:16.7
Ripping force Z
Fig. 3.11: Tearing-open of a single-element joint [Hohb 88b]
With increasing number of quadrature points, fixed-point schemes approach the smooth
opening obtained by 'floating' Gauss points piecewise linear in an asymptotic manner.
Unlimited contraction of quadrature points in the remaining contact zone results in high
stress concentrations vanishing tributary
on areas; the contact stress resultant and its
eccentricity are evaluated excactly. Due to the small 'base length' between quadrature
points, the size of penalty against interpenetration in the extreme compression fibre 'B'
becomes crucial in preventing the block from tilting.
Newton-Raphson iteration is not monotonic, but the neutral axis

The convergence in fll
has to find its equilibrium position in forward and backward trials; even initial divergence has
been observed. If the penalty is high, overintegration by e.g. 5 Gauss points may fail because
the large unbalanced forces mobilized in stepwise reduction of active tributary areas shoot the
process beyond the radius of convergence and result in stationary oscillation between two or
three states of active sampling point combinations [OCon 85b]. In this Situation the continuous
update of quadrature point locations with the stress block size reduces not only the Integration
error but is vital to overcome the stalemate and obtain convergence.12
13
Another smoothing procedure -
not tried in the present work -
is to determine, over an element, the weighted
average of excess stress at some points and strength reserve at others and to use this as a 'mollifier' for the stiffness
matrix of the partly debonded element [Katz 82].
Data Flow for Variable Quadrature
Initial
Joint status
/ Store
U^w.H.T.Inl.l stress block
!,y,w float points
H,T, Inl
r"x;
i
memory i
[interpolation]
State detBrffl.
quadrature
~,K,~ Legend: quad = quadrature scheme
,17 =
abscissoe
w =
weight
H =
shape functions
Solve
T =
coord transformation
Inl =
tributary area
Fig. 3.12: Programming for variable quadrature schemes
Interactive Variation of the quadrature scheme during joint opening became feasible in
Computer programs such as Flowers [Ande 84], which allow to declare both quadrature scheme
and number of points as so-called 'external element parameters', open to change by the user at
the end of each converged step. For instance, a joint discretized with several dements in a row
would best be integrated with a nodal quadrature scheme for quick traversal of the discontinuity
line, shoveling the excess stress through the sequence of failing quadrature points; as soon as
the stress block dimensions shrink to the order of joint dement size the analyst may then switch
to overintegration.
To this end the usual flow of computation in dement routines need be modified (Fig. 3.12):
Shape functions, etc., can no longer be loaded from precomputed storage but need be re-
evaluated for each new location of a sampling point. The algorithm for trial implementation of
this feature and its limitations are discussed in the sequel.
3.2.2 Quadrature on Surface Subdomains
The Integration on two-dimensional subsurfaces arose earlier in mesh grading problems, where
certain shape functions are defined only over part of the parent element [Gupt 78] [Alte 87]
[Subb 88]. For the present joint dement, the concept has been extended to 'floating' the quadra
ture points continuously on the contact surfaces.
While the neutral fibre on a Une can be clearly reproduced by the edge of the calcula-
tory contact zone, an irregularly bounded contact zone on a surface will generally require a
shape approximation; only special cases, such as the triangulr contact zone in Fig. 3.9, will be
reproduced exactly.
The algorithm consists of two steps: identification of the contact zone and allocation of the
quadrature points in this zone (subroutine A>B in Fig. 3.12). Because of the separate detection
process the quadrature can be performed by a low order rule such as2x2or3x3 Gauss. The
degree of refinement of the detection algorithm should, of course, conform with the accuracy of
the subsequent quadrature. The general idea is to have a sufficient fine resolution of the stress
block while avoiding the brden of high overintegration in uncritical joint stress states.
Several zone detection schemes are conceivable:
A simple extension of the corresponding line-joint algorithm is to search along the element
edges for intersections with neutral axes and to establish the corners d of the contact
zone (Fig. 3.13 top). To this end, the interpolation function of relative displacements
along each edge is solved for the point of zero displacement (or another chosen threshold
value) [Hohb 88b]. The contact zone is assumed to he delimited by straight lines between
the corner points.13 However, a contact zone in the centre of a Serendipity joint element,
which may exist under strong displacement gradients even though all double nodes are
separated, would remain undetected.

In a second variant search lines could also be drawn between opposite nodes through the
interior of the dement. If an internal Lagange double-node existed, the element could be
subdivided into quadrants in each of which the relative displacements would be interpo
lated assuming a linear Variation over the subdomain.
Finally, the element could be covered by a dense

grid of displacement sampling points; in
order to evaluateonly the relevant ones,
algorithms could be used which were developed
for contouring stress surfaces in plot routines searching subdomains, e.g. for the zero
normal stress contour [Meek 76], or searching along strips [Stei 87].
In the second step, the allocation of quadrature points, two problems arise: their Opti
mum irregulr zones, and the handling of multiple zones, for instance two contact
location in
areas separated by a debonded zone within the same element. Currently any curved bound
ary to a zone between edge points is ignored, and multiple contact zones are not permitted; if
they occur, the dement resorts to a fixed-point quadrature scheme. The concept is to contract
existing quadrature points with regression of the contact zone, not to detect secondary zones
requiring additional quadrature points.
As a example for the Performance of this simple stress block approximation, a cube
test
in single-element discretization was prdoaded in constant compression and subsequently lifted
by a single force (as in Fig. 3.11) in order to effect tilting in the direction of the base diag
onal [Webe 89] (Fig. 3.13 bottom). As for the line joint version shown before, the floating
"During implementation the idea was found to have been applied before to phase-change problems on a 2-D
sur&ce [Str 87], notably with a mapping process to allow for curved boundaries of subdomains. Also the work
by [Stev 82] explored similar ideas.

OF DISCONTINUOUS FLELDS 77
3.2. QUADRATURE
Concept:
Test:
"i 1 i 1 r
0.2 0.3 0.4
k-10-E
tensile force Z / precompression p
I2
motion phases (200-times)
'Floating quadrature points' for surface joint element

Fig. 3.13: a
of a joint with extensive

quadrature points give a smooth approximation of the behaviour
overintegration.However, convergence in intermediate states of opening became difficult despite
contraction if only 2 x 2 or 3 x 3 Gauss points were used, partly because the algorithm is not
contraction were
Symmetrie about the diagonal. So, the desired savings by quadrature point
seen not to materialize.
Other reasons were following test, reverting to displacement control and a con
studied in the
sistent loading in order to avoid the exdtation of near-mechanisms by single forces (Fig. 3.14):
This time, the block, which modeis one half ofa Symmetrie problem with a second block under-
is loaded with the constant pressure its top, thereby mamtaining the stress resultant
neath, on
in the constant value for all states of opening. While the top face of the block
Joint at a
is hinged about the cross-diagonal, the bottom face is then diagonal direction by
pulled in
adherence to the displaced rigid plane of symmetry. The most critical joint state oecurs at
10~3 and is sketched for 3 different quadrature rules and two penalty sizes.
e =
Ax/L 0.552
Gradual Opening of 8 Double Node Joint Element
H=10
_JM AxAy i 1.5
\
plane of symmetry displacement Ax/L
with imposed displacement
Influence of Quadrature and Penalty:
5x5 Gauss
e/L 0.298 e/L

0.304
25-10"3
=
05 to 1.5 20
( =
position of stress resultant) displacement Ax/L
5x5 Lobatto
e/L =
0.302 e/L
0.313 0.5 t.0 1.5 20 25 IO-3
displacement Ax/L
1000 1
4x4 floating Gauss
K=10S
e/L *
0.291 e/L 0.302 as 10 1.5 20 2.5-10"
displacement Ax/L
Fig. 3.14: Tting of cubic block under an imposed displacement

3.2. QUADRATURE OF DISCONTLNUOUS FIELDS 79
By means of this test, the real problem was identified to be the strong curvature of the
neutral line, which temporarily disables several floating quadrature points:
The bi-quadratic shape functions of the 20-node Serendipity dement do not render a
straight neutral line as assumed in the quadrature point contraction scheme. The higher
the penalty, the stronger is the curvature.
The potential of the floating quadrature points to sample extremdy small remaining
compression zones aggrevates the problem: The corner nodes on the cross-diagonal (no.
3 and 3') separate most rductantly, such that for k IO8 the stress resultant lies almost
=
outside the stress block shaped like a boomerang. If the nodes seperate at last, the assumed
neutral line leapes a large distance forward; this poses a severe convergence problem in
spite of only minor redistribution of the nodal forces.

It is possible to skip this difficult intermediate state by imposing large enough displace
a
ment increment to e > 0.6

10-3, at which the stress block has contracted to a nearly
triangulr zone in the neighbourhood of node 1. However, regaining equilibrium after such
a skip could be very difficult unless the penalty were rather small (k < IO5).
Fixed quadrature points inherently bear the same behaviour, if supplied in suffident
density. With 5x5 points, however, the status change on rdeasing a quadrature point is
pronounced enough for the corner nodes to separate readily.
Node 1, over which the final tilting is going to occur, may separate temporarily, as the
stress block contracts with higher penalty around the location of the stress resultant. This
happens even for the 5x5 Lobatto rule. The floating point scheme detects and considers
for this case a second neutral line.
spurious Separation of nodes which should stay in compression, and the adherence of
The
nodes which should have separated earlier becomes a serious problem for medium and high
penalties. The room to manoeuvre between creating a 'strong Separation tendency' [Mark 83]
-
and following the opening sequence in small steps in order to stay well within the radius of
convergence
-
can become very Convergence would be assured in such a case only

narrow.
for a diagonal joint stiffness matrix, i.e. for nodal

quadrature. However, the consequence in
coarse discretization is a poor approximation of load eccentricity, confer the top-right diagram
in Fig. 3.14.
The poor approximation of the stress block with increasing penalty size is a strong deterrent
to developing better contact zone detection schemes [Hohb 88b]:
The stress resultant and its eccentricity would be calculated with increased accuracy,
buton the expense of stress objectivity. Thus all constitutive rdations would have to be
formulated in element stress resultants, excluding curved contact surfaces.
In the presence of shear keyes, joint water pressure, or other forms of loading on open
joint faces the contraction of existing quadrature points would have to be complemented
by a second, expanding set of points for quadrature in the open part of the joint.

Path-dependent constitutive relations would require a scheme of memory interpolation
during the relocation of quadrature points, rendering the frequent update even more
expensive and and delicate.
Therefore, the concept of macro joint elements, i.e. compensating for a coarse dement zonation
by overintegration, cannot he expected to be generally applicable.
3.2.3 Limitations to Macro Modelling

The stress concentration with increasing penalty finds a simple explanation: Because the par-
tially open state is approximated by smooth, low-order shape functions, steep gradients are
approximated by increasing curvature of the contact face of the solid dement. A small penalty
parameter allows a larger segment of the curved face to penetrate into the opposite body, while
a high penalty restores the constraint between curved surfaces to aliasing penetration between
two (rows of) quadrature points. The contraction of quadrature points with the stress block
supports this unfortunate tendency.
To overcome the limitation of low-order shape funtions one might attempt to enrich the
polynomial basis of displacement-formulated joint elements. Discontinuous interpolation func

tions have been advocated for shock capturing [Well 75], node-to-segment contact [Zimm 80],
discretecracking [Droz 87], or recently for strain localization into shear bands, e.g. [Orti 87]
[Wan 88], but the proposals are limited to one- and two-dimensional formulations. In the present
problem they would have to be introduced in the 3-D solid elements rather than into the zero-
thickness joint dements. This could be achieved

by adding nodal degrees of freedom only on
that face of the solid which is connected to the joint. Generally known as blending function
technique [Cave 77] [Scho 85b], it is well-established in mesh refinement procedures, also in
conjunction with membrane elements for surface stress evaluation [Alte 87].
Some improvement in the joint stress Output could possibly also be gained if the joints would
employ a mixed element formulation with an independent set of interpolation functions for
the joint stresses. If discontinuous interpolation functions were used for the joint stress field
[Groo 79], these could be chosen such as to yield a linear Variation of the stress block despite
the parabolic distribution of the relative displacements. However, if the local joint stresses were
no longer computed from the local constraint violation, additional force degrees of freedom
would have to be introduced at the nodes [Bath 84]. This enlarges the system of equations.
As an alternativemight think of tying a larger number of small, linear joint subele-

one
ments to a coarse modelling the cross-section of an arch dam [Bick 86]. To investigate
dement
this idea, the previous example is re-run for a certain displacement state and penalty at different
spatial discretization: In one case the cube is modelled with a larger number of linear, 8-node
solid dements, in the others only the neighbourhood of the joint is refined in a transition layer
of solids and attached joint elements having both linear interpolation functions. The linear joint
dements have 2x2 Lobatto points ('trapezoidal rule'), the linear solids 2x2 Gauss points. The
transition layer is tied to the surface of the 20-node solid representing the rest of the cube by
using linear constraint equations, which serve to interpolate the displacements of the transition
nodes on that face (cf. the last footnote in 3.1.2).
Such a transition layer acts as a 'cushion' to the
parabolic displacements which cause the
stress localization (Fig. 3.15). That these are due to the parabolic interpolation of the solid
and not to that of the joint element becomes apparent as the thickness of the transition layer
is decreased: This enforces the parabolic shape of the contact surface, and the contact stress
approximation deteriorates again even though the length of the joint subdements provides an
upper limit to localization. Accordingly, the transition elements must retain a certain thickness
to be effective.
When joint dements were recently implemented in the ADAP-88 program [Fenv 89], they
were meant to connect with the thick shell dement degenerated from a 20-node solid by omitting
the intermediate node in thickness direction [Ahma 70]; this produces a linear gap opening
across the dam thickness. The local mesh refinement to three or four linear bricks near the
block joints has therefore not the objective to delimit localization but to enable a gradual joint
opening at all (Fig. 3.16). To date, no studies are available on the effect of the thickness of
Influence of Discretization on Contact Stress:

e/L0.374
same problem as before
imposed displacement
a) discretization of block Ax/L 1.06-IO"3
64 linear bricks(8 nodes) penalty <c =100E*107
1 quadrotic brk*(20 nodes)
above 16 linear brlcks all displacements 300 x
(case of lower left fkjure)
b) thickness of linear-brick transition layer
e/L=0.390
t - 0.010 L t=0.0001 L
\
369
Fig. 3.15: Contact stress localization for the test problem of Figure 3.14
the transition layer on the joint stress distribution.
Obviously an arch dam could directly be modelled with more than one through the
solid
thickness. If local stress concentrations become important due to bending or squeezing of blocks
as in the above example (Figs. 3.14/3.15), it is likely that a macro discretization of the solids
would be no longer satisfactory. As long as linear-elastic behaviour of the solids is postulated,

each cantilever monolith can be defined as a substructure. In the simplest case some of the
internal nodes are retained as master d.o.f.'s with inertia, while the others are considered mass-
less and can be Condensed as in static computations [Iron 65], or the dynamic properties of the
substructure be include in 'dynamic [Guya 65] [Clou 79] [Bath 81] [Noor 81].14
condensation'
analysis it may be worthwile to explore the possibility of mesh adaptivity,

At least for static
abandoning the purely Lagrangian description of element geometries deforming with the ma
terial points. Occasional remeshing has become a part of several modern large-strain analysis
codes, in the Simulation of drawing, flow and impact processes, and is referred to as arbitrary
Lagrangian-Eulerian description, e.g. [Bens 87]. Similarly, the mesh nodes may be allowed to
move with the contact discontinuity line by including the nodal coordinates as variables which
partidpate in the minimization of the discretization error. This could involve an update of
intermediate (subelement) nodes [MacK 87] or the direct Newton-Raphson iteration of contact
14Substructuring is used in ADAP-88 and codd be complemented by some assumed displacement patterns of
the cantilevers (due to inertia forces) as Bits vectors [Idel 85] [Wils 86]. This has been tried in [Row 83] but it was
conduded that cantilever substructures (without local mesh refinement) were too small for economic appUcation
of condensation techniques.
Strategy of Local Mesh Refinement
detail of Joint discretization

with linear element interpolation
thick shell element
example of mesh tor

Big Tujunga dam
contraction joint with three block joints
elements
3-0 solid element
Fig. 3.16: Local mesh refinement near joints in ADAP-88 [Fenv 89]
node positions in friction, based on the premise that the contact stress state should be constant
over each joint dement [Habe 85]. Drawing nodes is also referred to as r-refinement [Etse 91],
in contrast to the aforementioned ^-refinement (transition dements) and p-refinement (poly

nomial enrichement). No further applications have been reported to dams as yet except for
-
thermal analysis [Ange 85] but the prospects for this modelling philosophy seem promising
-
[Bica 91].
Chapter 4
Joint and Crack Philosophies
It has been shown in the previous chapters that severe structural nonlinearities arise from
the introduction of an indeterminate boundary condition between substructures. Although the
present formulation restricts the relative motion along this boundary to remain small in com
parison with the spacing of nodes along the joint segment ( 2.2.3). This limitation is of little
concern in problems where dther the tightness of the structure or the structural/geomechanical
stability depends on small-displacement kinematics.

Due to the fixed correspondence of contact nodes the local constraints can be handled
as a pseudo-material problem In the basic dement formulation, which has been treated
.
independent of the constitutive format (Eq. 2.38), the constraint matrices were derived as
joint stiffness matrices, which regularize the perfectly rigid bond in interfaces to a finite-sized
dasticity. Nevertheless, the seemingly deliberate 'dummy stiffnesses' are mathematically well-
defined penalty terms. The present chapter discusses their tailoring to suit particular modelling
needs in the rnge between rdease and complete satisfaction of constraints.
The terms on the diagonal are going to become coupled by failure criteria, and additional
off-diagonal terms may be introduced. Together with the other sources of coupling (element
interpolation and quadrature, coordinate transformation, cf. Eq. 2.42) a nonlinear constraint
matrix in 3-D space will even when lumped
-
he composed of 3 X 3 blocks, which may be

-
fully populated. Note that simple Springs input by the program user as individual, orthogonal
elements cannot be given constitutive coupling, e.g. the sliding of a tangential spring would not
depend on the joint compression or aperture in normal direction.

The present constitutive formulation is completdy different from the crack dement previ-
ously developed in the same research project (DUCS [Skri 83]): The penalty method applies to
all spatial components of relative displacements and not only to the one in shear. This allows to
chose the Joint constitutive modd independent of algorithmic considerations. The emphasis is
laid on frictional sliding in the closed state, whereas DUCS concentrated on the residual shear
transfer in open cracks. Therefore the chapter contains a discussion of friction versus interlock
concepts, before the adopted mathematical formulation will be described in Chapter 5.

Since the pioneering work by Kelen[Kele 33b] many more test results on concrete and rock
discontinuities have been published, cf. [Hohb 88a]. In the following they are quoted only as
evidence of certain material features to be considered in the constitutive modd. Priority being
given to a mathematically sound and consistent model, curve-fitting is not attempted at the
present stage. The described implementations have thus a certain preliminary character and
are to be revised later, when their relevance to the arch dam behaviour has been ascertained.
84 CHAPTER 4. JOINT AND CRACK PHILO SOPHIES
4.1 Behaviour of Base Material and Single Joint

Consider a massive 'structure' (man-made or geological) whose deformational behaviour is
dominated by discrete discontinuities or failure planes. This can be given interfaces between
dissimilar material, pre-cracks and joints, or anticipated failure planes trough homogenous ma
terial. The choice of the model becomes a matter of scale, e.g. whether to describe a rock as
fractured blocky mass or as an elastically deforming continuum [Sing 73] [Cund 85] [Blan 87].
The criterium for selection is the spacing of discontinuites in relation to sample size and charac-
teristic structural dimensions [Pois 86] [Star 88]. The present work assumes a small number of
so-called key joints in an otherwise coherent continuum. The question arises how the behaviour
of the fractured continuum is related to the constitutive rdations of the individual joint or
crack.
4.1.1 Influence of a Weak Plane
The pre-existence of one or more joints is expected to influence

deformability, strength and
failure mode. While concrete research deals mostly Joint with
a uniaxial compression effects in
field [Basl 66] [Jens 75] [Dasc 82] [Clar 85], rock mechanics has attempted to obtain a more
comprehensive picture for different degrees of joint ing, intersecting joint families, and varying
triaxial confinement pressure [Jaeg 71] [Witt 84] [Brad 85].
Concrete and rock are both heteroresistant materials in that their compressive
strength
exceeds their tensilestrength by a materials,
fll order of magnitude. In such
fracturing of tensile
the intact (competent) base material occurs in a brittle manner and more or less perpendicular
to the direction of maximum principal stress (Rankine criterion) [Feen 92]. However, if a triaxial
stress state can develop, a high confinement pressure changes the behaviour of concrete and rock
into that of a ductile material with the
shearing (Tresca or Huber-
stress as critical parameter
Mises criterion) [Chen 82a] [Wang 87]. At the change-over from brittle to ductile behaviour the
failure in a single fracture plane is superseded by the devdopment of multiple fracture planes
[vKar 11] [Bran 27] [Ros 28], and a peak strength can no longer be distinguished from residual
strength. This instant is known in rock mechanics as the transition point [Mogi 66] [Byer 68]
[Eins 73] and also noticed in concrete [Pala 74] [vMie 84]. On raising the hydrostatic pressure
further, the shear strength still increases up to a 'critical state' of effective confining pressure,
where the ultimate shear strength is reached [Bart 76]. The confined strength of the material
has thus a maximum (at about o~\
3<r3) and is not unbounded.
As it is difficult to formulate and calibrate a model over the fll rnge of hydrostatic pressure
(including tension), constitutive relations and

are usually restricted in their rnge
experiments
of applicability. geomechanics,
In slope stability analysis is concerned with very
for instance,
low hydrostatic pressure, whereas mining engineering and seismotectonic simulations require
relations under very high pressure. In the intermediate rnge, which is of primary interest here,
failure can he described by a curved envelope for all states of stress for which the largest
Mohr's cirde is just tangent to the envdope ('intrinsic curve' after Caquot).
As envdope to a family of circles the curve is Symmetrie to the c-axis, convex and tends
asymptotically to a parallel of the cr-axis for high compressive stress [Mohr 00] [Hert 33]. In
the tension zone (a > 0) the curve is closed with a cusp and zero radius of curvature.1 Leon
'According toa review in [Mart 80] Coulomb did distinguish sliding and cleavage failure modes, delimiting
tensile stresses by the cohesion, but did not consider hydrostatic tensile failure. The terms 'ductile1 and 'brittle'
were also used to distinguish these two failure modes in plane stress [Bay 43]. According to [Brae 81] [Niel 84] the
dual criterion of Coulomb and Ranldne is attributed to Cowan [Cowa 53] as the first to introduce the separate
tension cut-off plane in place of a smoothly curved cusp.
4.1. BEHAVIOUR OF BASE MATERIAL AND SINGLE JOINT 85
71
K. 0(
<t /i
"SS tension cut-off
I
I
plane
I
stress I
V
I
/-
plane strain
Fig. 4.1: Stre** tte on a fracture plane in deviatoric and principal stress space
seems the first to have induded the family of circles tangent to the Vertex for describing tensile
fracture and to propose a parabola as envdope curve [Leon 34]. His criterion has become populr
in concrete mechanics latdy, e.g. [Will 85b]. It also indudes as special case Griffith's theory
of brittle fracture initiation at the boundary of existing microfissures, which are uniformly
distrihuted inside an elastic and isotropic continuum [Roma 69]. Modified to include friction in
the microfissures under multiaxial compression [McCl 62], Griffith's theory is classical in rock
mechanics [Jaeg 71], and the parabolic envdope has become a Standard failure criterion for
fresh fracturing in competent rock [Hoek 83].
Over a limited rnge of hydrostatic stress the curved envdope can be approximated by
Coulomb's straight line [Lang 76]:
Tmax = c -
<rn tanflS (<rn < 0) (4.1)

with the friction angle <f> and a cohesion c on the surface; the case c 0 describes the friction =
cone on a slip plane. Following Coulomb, this plane may be inclined by an angle a with respect
to the direction of the maximum prindpal stress o~\ (Fig. 4.1 left), which in geomechanics is
often identical with the dip angle from the horizontal.2 From Mohr's circle construction one
obtains the stresses acting in the joint,

V\ + &$ <r\ 03

an = ~ ~
cos 2a t, = --
sin 2a (cos 2a < 0) (4.2)
2 2
for which slip will occur if:3
2c cos ^ + 0i [sin 2a cos <f>

cos 2a sin <f> + sin <j>]
<r3 =
sin2acos <
cos 2a sin< -
sin^
-ccosA tana
(4.3)
cosasin(a-^) tan(a-^)
2
Since compression is assumed negative, the maximum principle stress is the smallest compressive stress, i.e.
the confining pressure in a triaxial test. Some authors use instead ffj as confining stress and the angle from the
vertical as introduced by Prony, e.g. [Tao 90].
'The special case for uniaxial load (v\ 0) could also be directly obtained from o~nn and rB. in Tab. 2.8.
=
86 CHAPTER 4. JOINT AND CRACK PHLLOSOPHLES
This expression gives an upper bound of the maximum bearable az for a given <t1? or a lower
bound on the minimum confinement pressure to prevent slip for a given az. The orientation of
the critical planes of lowest shear resistance is derived by differentiation of Eq. 4.1,
d(w-H)l0 ^ |tan2acrit| =
cot^ or er* =
^| (4.4)
which are the characteristics of the first-order partial differential equilibrium equation of stresses
when Coulomb's criterium is satisfied everywhere in the material.4 Note that the straight-
line assumption renders aâ independent of both the cohesion c and the hydrostatic stress
$a\ + 03); for a envdope, a.it would increase with the hydrostatic pressure.5
curved failure
Taking ait with positive sign (sin2aerjt cos<f>, cos2aCTjt sin^), the minimum con
= =
dition of Eq. 4.4 for the critical plane renders the triaxial failure criterion (Fig. 4.1 right)
2c cos 6 1 + sin 6 .
/A .
*3 =
-z r-7 + . . . i =
fc + kax 4.5
1
sin <f> 1
sm q>
where /T ^\ 1 /T <k\
* tan^ =
** =
tanU+2j **\j-$
= =
l
"Â (4"6)

-2cCOS</> n
rr 2cCOS^ 2c
1-sinf 1 + sm <(> y/k

While fc is the true unconfined (i.e. uniaxial) compressive strength, Coulomb originally identi-
fied the cohesion c with the tensile strength, using fc = 4 for tan^ = 0.75 [Heym 72]. Under this
assumption, which is a good value for most concretes [Jens 75], the indicated tensile strength be
comes ft at c. Since the true tensile strength is known to be rather of the order ft
= =
^|/c|, ~
the Coulomb criterion requires a separate tension cut-off line for arbitrary angles of friction. A
polygonal failure criterion such as Fig. 4.1 (right) was adopted for plane stress conditions in
the gravity dam program DUCS [Skri 83].
For the present model of pre-existing joints or cracks the immediate question is under
which condition the failure will existingoeeur plane
in an weak of inferior strength c, <j>w.
It is answered by Eq. strength parameters of this plane are inserted:
4.3 when the reduced
According to the numerator, the bearable stress az approaches infinity for a -> 90 as well
as a <f>w. The critical sector of joint failure is thus centered about an angle of minimum
-*
resistance amjn -\t %<f>w (Fig. 4.2 left). Outside this sector failure will have to oeeur
=
through the base material, creating a new fracture plane, which crosses and may partly follow
-
existing weak plane [Dasc 82] [FraD 89] [LiC 90]. Not induded in this plot is the failure of
the
the existing weak plane in tension; around a 90 this mode becomes dominant if the lateral
=
extension due to Poisson's effect is taken into account [Siri 64].

The next plot (Fig. 4.2 right) gives the combined strength of the jointed material in
polar coordinates as customary in rock mechanics. The dashed line indicates the effect of a
second weak plane (with the same properties), intersecting the first one at right angle. Their
overlapping regimes can be seen to govern the strength criterion, unless the joints are almost
4In modern terms, the optimisation of the plane of failure for the smalkst collapse load is equivalent to the
speeification of a velocity field with maximum rate of dissipation [Heym 72]. However, as will be discussed in
5.1, frictional materials do not obey the associated flow rule, and lower-bound collapse loads thus obtained
-
although correct for this uniaxial case would be unconservative for certain initial stress states capable of
-
extracting energy from this velocity field [DeJo 64].

*If dilatancy (i.e. volume expansion) during shearing is induded in the consideration, experience from soil
mechanics indicates that the rupture surface may develop instead along a line of sero extension [Rose 70] so that
acrtt 4* j V"- The effective orientation between these two extremes seems to depend on grain sise [Verm 90].
=
iJ
l
5/>
'SBS
-20'
iWjl 4* t
-15-
Fig. 4.2: Regimes separating slip in a weak plane (c^ =

0.5, <j>w =
30P) from fresh
fracturing and influence of a second joint plane
perpendicular loading. In practise, the transition from joint failure to base

to the direction of
material failure is gradual due to local spalling of Joint edges [Dasc 82]. The effect of differing
joint properties or anisotropy of the base material could also be induded, e.g. for masonry
[Ganz 85]. Similar plots can be drawn in the tensile regime of o*i > 0 [Witt 84].
The influence of joints diminishes with increasing confinement pressure, i.e. the strength
reduction regimes due to joint dominance gradually 'fi up'. Where a curved envelop of base
material strength intersects the Coulomb line, the shear strength in the weak plane equals that
of the base material. This 'equality point' is usually taken to coincide with the transition point
from brittle to ductile behaviour [Lada 70] [Gerr 87]. Some empirical joint constitutive formulae
with transition to crushing of the joint walls will be given later (Tab. 4.6).
4.1.2 Effect of Pore Water Pressure
Cracking and
debonding of joints jeopardize the tightness of a dam and its foundation, so that
water may enter at progressing rate and influence the opening and sliding of a discontinuity. In
the following it will be assumed that chemical and dissolution effects are negligible, in particular
that the tensile strength and the angle of friction are the same for immersed and dry conditions
[FLU 15] [Terz 34]. The phenomena of reduced cohesion, lubrication of sliding surfaces, etc.,
can then be described exclusively in terms of additional internal stresses. The classical
controversy about the occurrence and magnitude of such extra stresses is not entirdy historic
as it finds its analogue in finite dement modelling to date: Except for a few analysts with a
soil mechanics background [Erga 68], the hydrostatic reservoir load is traditionally applied on
the face of the discretized concrete dam as surface pressure. A crack or open construction joint
would create an additional surface to be loaded by the fll hydrostatic pressure head, and the
same would happen in upstream rock joints, which are put into tension by the base shear of
the dam, e.g. [Leue 76] .6
'inconsistencies arise in particular in combined arch-dam/foundation modeis, where sometimes the fll hy
drostatic pressure is applied to the reservoir bottom, sometimes to the grout curtain, sometimes
even ignored at
all in the foundation, cf. [Lins 84] [Gell 84] [Stern 91].
88 CHAPTER 4. JOINT AND CRACK PHILOSOPHIES
From a sequence of failures of gravity dams (Habra 1881, Bouzey 1895, Austin/PA 1911, St.
Francis 1928, cf. [Zieg 27]), upliftrecognized was first
'underpressure' joints
as in masonry bed
and foundation seams, in the hydrostatic (over-)pressure acting upwards from below
sense of a
the dam. At a time when most design engineers relied on a watertight upstream surface and a
sufficiently competent foundation rock [Matt 12], Maurice Levy's Suggestion that the vertical
stresses at the upstream face of a dam should at least equal the hydrostatic pressure at the
same devation [Levy 95], was quite revolutionary and largely rejected.
Today it is known that the pressures needed to close mismatched joints completdy as he -
meant to assure exceeds by far the working stresses in and under dams [Band 83] [Elsw 86]
-
[Lomb 89]. However, the 'condition M.L.' can simply be regarded as extending the classical
middle-third design rule that for an assumingly linear stress distribution the force resultant
-
should reside within the kern width of any cross-section over the height of the dam [Mohr 08]
-
to include a linear uplift pressure distribution from 100% at the upstream face to 0% at
the downstream face [Bien 84]. For a dam material with a specific weight 7<j 2.407, this =
gives a minimum thickness L > 0.845 IT. Since, however, many satisfactory dams were built
with a downstream slope of L/H 0.70, their back-calculation supported only a partial uplift
=
coefficient of m 0.36. This fostered the misconception that the pore water pressure in an
=
uncracked dam would be at most the hydrostatic head times an area coefficent derived from
the volume porosity, with about 12% for concrete, this would give a comfortahle safety factor
of three.7 Levy's argument of beneficial prestress was therefore twisted to further decrease m
to 0.25 in the presence of high heel compression [Henn 34]. Also curving gravity dams in plan
was believed to substantially reduce the risk of decompression at the dam heel [Fill 13].8
In an attempt to unite the controversial views ofbuoyancy of the Archimedes'
uplift as
type and altematively as (Tab. 4.3), Fillunger conceived uplift as a

internal tensile stress
quasi- body force arising from the water pressure acting in the internal pores on the dry material
(volume porosity n) minus the water pressure on the 'open' part of the surface (surface porosity
n') [Fill 13], using 7, for the weight of the solid phase in the porous material. He further
generalized the problem to one of hydraulic gradients in arbitrary direction by complementing
the interstitial (or pore) pressure with friction forces due to caplary flow (drag). Writing the
field of gravity as ez gradz =: g/|g| and the pore pressure gradient as Vp, the total force
=
vector per unit volume becomes
(1 -
n)7,ez + (n -
n') Vp + n(7,ez-Vp) =
((1 -
n)7. -f 7,,) e,
-
n' Vp (4.7)
dry weight uplift drag wet weight int. tension
where the left format is Fillunger's Interpretation, the right one that of extra stresses as advo-
cated by Hoffmann [Hoff 28].
TIf m is the percentage of compensated uplift, the pertinent formula for a vertical upstream face is the left
one (A) [Kele 33a]:
(A) !*(-)"*
mH*-s)H
Since, however, both Habra and Bousey had in their critical section not even complied with it for m = 0 [Zieg 27],
even in France m = 0.80 was adopted upper limit to prevented the uplift assumption from outweighting all
as
other design criteria [Bour 48]. A proposed Solution was to determine the base width from a cracked-section
analysis and an admissible toe compression equal to 74 H, the maximum heel compression for reservoir-empty
conditions [Link 19], resulting in formula (B) and a minimum slope L/H > 0.710, which was in better accord
with established design practise.
'However, drawing upon the arching action for a more slender design may well produce zones of heel tension
over similarly large portions of the base width as under gravity dams, and generally at a higher overall stress
level [Vogt 30] [Stuc 50] [Swam 64] and [FisY 90].
Presume an nnderwater
pier of height H standing on an impervious foundation in still water of depth
H + H'. The objective is to compute the
hydrostatic pressure in the pier at the cross-section a-a.
Three different porosities are defined: n as gross volume porosity, n' as surface porosity, and n as
effective porosity. The stress assumptions are as follows:
FILLUNGER HOFFMANN TERZAGHI

(body load) ("primary tension" (effective surface)
rfTtWd-n") H'Yw H'Yw
H Yw(n'-n) HYwn Hywn

tt^VT
'

i
^TTTTTFl ^WZ7
(H+H-) Ywn' (H+H') Ywn
Since for a Statistical (Delesseian) cut through solids and pores one has n' =
n, both Fillunger
[Fill 13] and Hoifmann [Hoff 28] obtained:
<T" =
7 l(s + H')n'-Hn- H'] =
7, [H(n' -n)-H'(l- n')] -+
7, ff'(n -
1)
Only if n' is interpreted as volume porosity of a second dam material component (e.g. the mortar
in masonry) is n' j n. In a subsequent discussion with Hoifmann, who discriminated the porosity
n, of solid blocks with vdume fraction v, from the porosity nm of the mortar matrix with volume
fraction vm, Fillunger reinterpreted n' as n, [Hoff 28], obtaining for the above uplift term:
y*H(nm-n) =
ywH(nm-vmnm-v,n,) =
fvH(nm-n,)vt with vTO = 1 -
v,
For n, tu 0 the uphft thus becomes approximately equd to the externd water pressure times the
volume fraction of the solid times the porosity of the

matrix, a classicd statement in older textbooks
[Tod 31] [Kde 33a]. Since, however, in this notation the
uplift appears as the difference of two volume
porosities, it can seemingly made disappear for uniformly chosen porosity. (This led to an abstruse
debate on the best granulometry to use in base courses under river piers [Scha 12].) But dso in his
earlier notation Fillunger arrived at the conclusion that the uplift would vanish if the porosity of the
wetted surface (e.g. a mortar joint) equalled the mean volume porosity of the masonry dam.
If, however, n' is substituted by the effective porosity nw, Terzaghi obtained [Terz 34]:
V =
7 [(B + H') m, -
H n -
S'] =
7 [H (n. -
n) + H' (n, -
1)]
The impUcations were substantid, as the former uphft coefficient (n' n) interpreting - -
n' as volume
porosity of the cement matrix of e.g. (0.40 0.14)
-
26% was raised to (0.97
-
0.14)
= -
= 83%.
Tab. 4.3: Competing pore-pressure and uplift concepts around 1930

The drag term in Eq. 4.7 is equal to the porosity times the hydraulic gradient i 7wez Vp. =
For i = 0 no flow takes place, and the pore pressure gradient becomes equal to the specific weight
of the water.
It was Terzaghi who noted the
misconception of a body force depending on a statistically
cut control volume [Terz 34]. He substituted n' by the 'superficial' or effective porosity nw as
the projection of the prospective rupture surface, following its rugosity around aggregates in a
'grain-to-grain cut'. From comparing triaxial compression tests of sealed and unsealed specimens
he determined nw 0.95 0.998, i.e. virtuay equal to unity as in uncemented granulr media,
=
where the porosity between several grain layers adds up to 100% effective uplift area [Kele 33a];
Fillunger could not concede the same for concrete since then "the cement would have been
wasted" (in [Terz 34]).
With nw instead of n', the internal forces due to water percolation can now be written per
unit volume as
p =: (1 -
n)7,ez -
(n, -
n)Vp + n-ywi
=
nwfwi + ((1 -
n)7, -
(ny, -
n)yw)ez (4.8)
lim
where 7im
(1
n)(7,
fw) represents the buoyant unit weight of the immersed porous

material. Resolving this equation into
^wlwl'X
Py (4.9)
Pz n107u>*z T "fin
identifies capillary flow and vertical uphft as components of the same phenomenon. Introducing
the hydraulic potential $ as V$, this equation is used with nw
i =
1 for seepage analysis in
soil and concrete alike [Irma 65] [Loui 77] [Zien 81], using only different figures for permeability,
volume porosity and bulk modulus of the solid skeletton [Zien 86].9
In this controversy on nw the term effective stress appeared, which had been introduced
in soil mechanics [Terz 25] as the true force between grains divided by the gross area of the
cross-section; it was therefore also called the 'mean contact stress' [Brah 36] Since the rupture
strength // /t/(l =
nw) of the cement gel ensuing from this concept was hard to believe
[Terz 34] [McHe 48] -
giving e.g. 500 MPa for nw = 0.998 -, the exact size of nw remained of
considerable interest.
After less conclusive experiments by Fppl and Woodard, Leliavsky performed better con-
trolled hydraulic fracturing specimens, finding nw

tests on [Leli 42]. He
tension
0.85
0.98
admitted that theoretically a unit value would be possible, if rupture occurred along shear
failure planes aligned with the axis of testing. Using as mean value nw 0.91 and defining the =
Volumetrie porosity as the freely movable water content (~ 7% in concrete), he evaluated the
uplift coefficient to (0.91 0.07) 85%, a value promoted for relicencing percolated old ma
-
=
sonry dams [Riss 88]. But if water pressure has time to build up in the failing material hridges,
the coefficient is likely to rise to unity [Butl 81].
'According to Biot's theory a pore pressure Variation contributes to the total stress state not with nw but a
constant 6 K0/Km,
= 1
where K0 is the bulk modulus of the drained porous solid and fm that of the matrix
skeletton alone [Biot 65] [Cous 91]. However, attempts to measure n, from the elastic deformation of immersed
specimens [Carl 55] rather than their failure load remained futile. Two-phase mixture theories, which assume
- -
incompressibility (Km oo) lead to 6 nw 1 [Raat 86] [DBoe 88]. Interpreting n

Vf as the volume fraction
= =
of the fluid phase, the uplift coefficient in Tab. 4.3 simply becomes (nw n) (1 /) u,, i.e. the volume

?
=
fraction of the solid phase. An early reasoning with the same conclusion was so provocative as not to be published
by ASCE for eleven years [Hars 47].
Afterall it was not uncommon to assume for stability verification an effective uplift area of
100% [Henn 34], including the extension of the fll crack water pressure right to the tip.
This constant-pressure ordinate in cracks similar tp designing the base joint of an underwater
-
pier today [Czer 55] was first postulated by Lieckfeldt [Liec 98] when considering masonry bed
-
joints blocked at the downstream face. It was rejected as unrealistic in favour of a triangulr
pressure profile according to a constant dissipation rate of the water pressure along the path of
percolation.10
On the otherhand, it was also common to draw for the verification against sliding upon
secondary resisting mechanisms such as passive rock pressure at the dam toe and cross-canyon
arching effects due to auxiliary curvature [Vogt 30], e.g. for the first Swiss arch-gravity design
with L/H 0.50 (Spitallamm/Grimsd 1927-31) [Juil 21].11 Consequently, uplift tended to
=
be completdy neglected in arch dam analysis. While understandable for dams dimensioned
apriori with the cylinder formula as reflected in the constructions by Boeuf [Boeu 36] or in the
-
double articulation of Moulin Ribou dam [Coyn 56] -, the routine counting on arch action alone
as redundant mechanism in case of cantilever cracking [Grn 25] seems dubious. In traditional
girder-grid analysis the influence of pore pressure was only vaguely indicated for cantilever
selfweight analysis, but completdy disregarded in both the discussion of upstream tension near
the arch abutments and cantilever shear [Stuc 22].

dams, the cracking of cantilevers is nowadays taken more
At least for modern slender arch
serious [Lomb 88], and arch action is hardly found sufficient to surrender the cantilever action,
cf. the rehabilitation of Kolnbrein dam [Resc 90] [Lomb 91] [Lude 91] [Obeh 91]. However, the
question of whether to assume linear or constant water pressure in a crack arises to date
whenever cracked cross-sections are to be analysed, be it with [Widm 75],
girder-grid methods
joint elements[OCon 85b] or linear-elastic fracture mechanics [Lins 85] [Droz 87] [Saou 87]. Fll
crack water pressure right to the crack tip (plus triangulr pore pressure in the ligament) is
customary [usbr 77] and backed by uplift measurements under dams with advancing cracks in
their base, e.g. [Baus 85]. Even if interior cracks have formed due to oblique principal tension
-
under high cantilever shear stresses -
water may leak in from untight block joints, as observed

at El Atazar dam [Sera 87].
4.1.3 Present Concept

It is conduded that joints -
even if cemented -
constitute seams of weakness and may lead
to shear failure under sustained compression. This view is alien to the traditional philosophy
in concrete mechanics: Not only is concrete mostly seen as a coherent medium, in which a
macro-crack must form first before a discontinuity exists; also the crack is assumed to occur in
pure tension ('mode I' in fracture mechanics terminology) so that shear transfer is supposed
to he insignificant in the stage of crack initiation [Hohb 90e]. Only during further crack prop-
agation, with subsequent rotation of the principal stress direction, the transfer of shear forces
across interlocking cracks is considered. The role of shear stress during cracking, cast into the
provocative question "Does mode II fracture exist?", is still a controversial issue in fracture
10
The main argument was that seepage water released
on wet spots does in general not show signs of pressur-
isation [Scha 13], but this cannot be evidenced for small

quantities of water, which loses its pressure immediately
through inspection openings [Fill 13] [Ters 33]. Although the concept of capillary friction was already applied
in the construction of hydraulic potential nets in both the dam and the foundation [Ten 33] [Brah 36], the
consequences of inhibited flow e.g. due to stress-induced reduction in permeability were not universally rec-
- -
ognised prior to the failure of Malpasset dam in 1959, Fig. 1.2 [Mll 60]; notably Casagrande's Rankine lecture
on drainage and grouting was given after this event [Casa 61].
11
Even in straight gravity dams a certain wedge and beam action seems to have been assumed, for instance in
the design of the 280 m high Grande Dixance dam (m 0.85) [Resc 58] [Hohb 91a].
=
mechanics, see e.g. [Ingr 85] [Rots 87] [Bocc 88] and 5.3.
A conceptual problem arises, if such a crack is dosed and compressed by external forces.
According to Fig. 4.2 one would expect a reduction of the shear strength in a dosed joint in
proportion to the concurrent compressive stress [Akta 80] [CheE 81]. However, some modeis
restore the virgin strength so that
shearing in concrete is
impossible without the previous
decompression and opening of the crack, termed here the 'opening before sliding' (OBS)
hypothesis. In an implementation which eliminates the double-node degrees of freedom in a
dosed crack [Stau 72] [Skri 83], shear failure can only occur by the formation of new cracks in
a rotated direction of prindpal tension. An over-diffusive crack pattern or if crack branching -
is prohibited an excess stiffness is to be suspected, similar to some phenomena observed

-
in 'smeared' crack modeis [Rots 85] [Cris 87b]. Under the present modelling restrictions of a
discontinuum with elastic blocks the OBS hypothesis might result in severe kinematic locking.
This is why the existing weak planes must be given the ability to slide under compression, before
the cracking criterion in the 'competent' material would be reached [Souz 82]. Frictional sliding
seems the more important in dynamic analysis: While the amount of cracking and rocking is
govemed by the maximum acceleration, the slip distance depends very much on the duration of
the strong shaking [Newm 65] [Toki 81]. The inertia forces and thus the whole response history
will be different. Rocking is expected to shift the spectrum to lower frequencies (similar to a
base isolation mechanism) but hardly to dissipate energy [Beck 79] [Sehr 80] [Chop 91].
The constitutive model should allow for an initial cementation such that the joint dement
could also be used for crack propagation studies in suitably designed mesh. Evaluating the
a
failure criterion for a known pore pressure p presents no problem with the effective-stress
concept: For instance, a reduction of compression on slip planes amounts to a shift of Mohr's
drde to the direction of reduced normal compression and widens in the critical sector for joint
failure (Fig. 4.1 left), so that weak planes may fail which would have been uncritical in the dry
state [Inne 84].12 In the notation with joint tractions (an < 0) this is written as (Fig. 4.4 left):
TVno* = -
V- <Tn =
~V- i?n + w P) (4-10)
For the friction cone, the reduction ATraaa =

fin^p can be viewed as a negative cohesion
[Kova 78]; underpressure or suetion would result in a positive apparent cohesion
vice versa, an
[Rudn 75] [Kwok 87]. However, as soon as the friction criterion is a non-linear function of an
or the tensile failure condition becomes critical, the joint pressurization need be formulated as
Aan =
nu,p (Fig. 4.4 right). In the following, all contact stresses in joint constitutive modeis
are to be interpreted in terms of an effective an, although the dash will be omitted.13
A constant fluid pressure inside the elastic domain can be treated as initial stress. But if
the rise in fluid pressure triggers nonlinear joint behaviour, it need be applied as a separate
load case, to be incremented from a analysis
foregoing seepage strength is until the cohesive
exceeded. The pressure distribution should then be recomputed for the altered conduetivity
until a stable crack length at steady- state uplift pressure is established, cf. the experiments
by [Brh 90]. Such hydraulic-mechanical coupling has been pursued elsewhere, for continuum
modeis with homogenized voids [Loui 77] [Erba 88] [Fauc 91] and also for joints and discontinua
[Brek 72] [DeLe 87] [Kafr 87]. The current implementation does not attempt to model such a
transient ingress of water.
13
On the tacitassumption of /i being unaffected by the presence of moisture, a\ <n+nwp in Eq. 4.4 formed
=
the basis for the experimental determination of n by Tersaghi's and McHenry's triaxial shear tests.
"Eq. 4.10 seems a very good approximation for relatively low fluid pressure corresponding to the assumption
-
of a 'perfect solid' with <f> 0 for r

=
oo, but a more accurate formula may be needed if p > ^|<r*| [Skem 61].

It is presently not clear, how well Eq. 4.10 holds in the regime of tension softening.
Joint Pressurization
^"wP
*? o -? n
reduction of x increase of o'.
Fig. 4.4: Joint water pressure as apparent cohesion or normal-stress effect
On prindple, Eq. 4.9 would also be valid for dynamic fluid motion (with an additional fluid
inertia term), but the
permeability of concrete and rock will typically be too low for the water
to be mobile under high rates of loading. However, the pressure of the immobile water would he
temporarily reduced by a volume expansion (due to dilatation or crack opening) and increased
by a volume compaction (due to Joint closure) [Baza 75] [Rice 75] [Stam 77]. This could be
accounted for by varying a given pre-seismic fluid pressure p0 with the total volume change.
The other extreme of fully drained conditions is simply implemented as constant po, 'frozen'
during seismic loading. On the one hand, this assumption is more conservative for cracking and
shear failure as it implies a continuous water supply to the expanding volume (as presumed in
hydraulic fracturing [Boon 90]); on the other hand it will overestimate the instantaneous crack
closure and disregard the temporary drop of shear strength due to closure-induced overpressure.
It seems presently adequate to assume undrained conditions and to compute the inertia
forces in a dam for a single-phase material with wet density, i.e. no mass change from water flow.
This conclusion only holds for the duration of the seismic event. Thereafter a 'consolidation'
analysis must follow, assessing the stability under a new steady-state pressure distribution and
fll uplift in 'dosed' discontinuities in which water had time to seep in [Deho 75]. This practise
would he in accord with the current design philosophy to separate the earthquake scenario
(dynamic loads + partial uplift) from the one of drainage failure (static loads + fll uplift)
[Arth 75] [Grob 75] [Koll 87]. Without such post-event investigation of the dam stability con-
servatism would dictate the assumption of instantaneous fll hydrostatic uplift during cracking
as common in pseudo-static seismic dam analysis [Resc 58].
4.2 Friction Versus Asperity Interlock
The constitutive modd to be devdoped should be applicable to both concrete cracks and rock
joints. Traditionally the shear behaviour is formulated in different
by the disdplines of
a manner
concrete and rock mechanics. The reality of frictional and interlock

phenomena is very complex,
involving the geometry and strength of surface asperities.
In the branch of engineering mechan
ics known as tribology [Suh 86], friction has been recognized to comprise adhesion, elastic and
plastic asperity deformation as well as ploughing of micro asperities in varying proportions,

depending on time, stress history and shearing velocity [Diet 78] [Rice 83] [Oden 85] [Olss 87]
[Hobb 90]. It is thus anything eise but a simple physical phenomenon, cf. [Dund 81], but shows
features of chaotic behaviour [FeeM 91].14 The present treatise simplifies the matter by neglect-
ing all rate-dependent effects (i.e. vdocity), anticipating that in the envisaged application to
dams the kinematics are sufficiently confined not to bring out these subtleties, cf. [Craw 82].
4.2.1 Empirical Models
Obviously friction exists on polished surfaces without noticeable dilatation. It is this 'basic'
friction which is commonly characterized
by a friction angle </>^ or a coefficient /j tan^. In =
the presence of macro-asperities, basic friction can be expected to occur on the asperity flanks.
Riding up the asperities involves joint dilatancy, i.e. the opening of a joint under compressive
stresses, at a variable rate v tan^ with its maximum at peak shear strength. Referring to
=
the midplane of the Joint, the angle of inclination ifi of the flanks adds to the friction angle
[Jaeg 71] [Gerr 86]:15
H^ =
tan(^ + Vw>) =
z

(4.11)
1-fiVmob
On reversing the sliding direction ifr would have to be subtracted from ^, resulting in possible
contractancy from an initial state of asperity mismatch [Good 72] [Robe 78]. Generally, the
joint faces are assumed to be perfectly mated at shear begin.
At
higher normal compression, the joint failure mode of 'overriding' will be superseded by
a mode of shearing through the asperities [Rohe 78] [Gerr 86]. Ductile asperities primarily in -
metals may
-
also deform plastically and be laterally displaced ('ploughing') instead of broken
off [Avit 86] [ZuGa 88]. This is the original definition of ploughing, but the term is also applied
to the forming of grooves with particle detachment what would be referred to as 'cutting' in
-
metal tribology -, for instance as erosion of a cement matrix on one face of a concrete crack
by gravel aggregate protruding from the opposite face [Walr 80]. The occurrence of one mode
or the other is determined by the pairing of surfaces of different hardness and the attack
angle
between ahrasive particles. For a given normal stress the joint will follow that combination of
the modes which gives the path of minimum energy [Rowe 64]. Thus, the shear strength in
a joint or crack consists of two components: basic friction (with a geometrical
contribution)
and material yield or failure. This is referred to as the dual-mode behaviour of interfaces in
shearing.
The simplest approximation to the dual modes is the 'saw-tooth modd' by Patton and
Goldstein [Patt 66] (Fig. 4.5 left). This mechanical model Substitutes the scatter of asperity
14
This finding can probably be generalised to other material with 'positive feed-back', in that minor pertur-
bations of the initial conditions may cause an entirely different response. All kinds of softening belong to this
category. An adequate strategy in this Situation must be based on sensitivity studies yielding a spectrum of
expected behaviour [Cund 90].
16Note that adding tangents instead of angles gives the impression of three resisting components [Leon 91]:
Tmam =
tMTn + CmokOn + iUfmormu, instead of just Tm =
PmoKTn-
4.2. FRICTION VERSUS ASPERITY INTERLOCK 95
Friction Model: Interlock Model:
-ittiitX<-'-''""' >
dr J
Fig. 4.5: Mechanical interpretations of the geometrical strength contribution
angles heights by a regulr joint profile with the Option of distinguishing right (Vv) from
and
left asperity angles (V>/) [Good 72]. If the joint compression exceeds a certain value, the saw-
teeth are assumed to become sheared off. Patton's shearing law is hence hi-linear according to -
presence or absence of the geometrical contribution x/> and exhibits a sudden

-
drop of the rate

of dilatancy to zero as overriding is superseded by material failure. The saw-tooth model can
be verified in experiments with regularly shaped surfaces such as moulded in model material
[Dasc 82] or saw-cut from rock [Hass 85]; it finds a practical application in serrated or keyed
joints between precast concrete elements [Laco 74].
roughness as in fresh tensile cracks shows a more complex behaviour, in-
Natural surface
volving waviness of the crack profile (l8t order asperities or 'global roughness') as well as locally
protruding particles of various size (2nd order asperities or 'local roughness') [Laib 74] (Fig. 4.5
right). The distinction between both scales is somewhat arbitrary but various mathematical
descriptions have been atempted.16 This scatter in flank geometries and resistance to shear-
off diffuses the dual-mode behaviour [Band 81] so that the effective asperity angle becomes a
fictitious average quantity, determined backwards form the measured dilatancy under a given
normal stress:
Vv = arctan
(Snil(<rn)) (4.12)
No such mathematical description is attempted in the following. The empirical approach ignores
the local contact pressures between asperity peaks and suhsumes the varying engagement of
asperities in the dependence of the shear strength on normal stress per unit gross area.
14
A Statistical distribution of heights of asperities and angles of their flanks has been proposed by [Wu 78]
[Swan 83] [Reev 85] [LiBa 87] [Roko 88] [Robe 90]. In concrete cracks the known grading of aggregate (Fller
curve) has been used [Wahr 80] [Niss 87] [Duda 89]. Another approach formulates the asperity distribution as
Fourier series, where the effective asperity height becomes an integral over the Fourier coefficients divided by the
reference baselength, which itself is a measure of the periodicity of the surface undulation [Qiu 91]. Also fractal
theory has been tentatively employed [Mill 90].
96 CHAPTER 4. JOINT AND CRACK PHILOSOPHLES
Patton [Patt 66]:

_
/ -<rn tan () <rT < <rn < 0
m"'p
\ Cj-<rn tan <pr <rn < <tt
where
<ft : basic friction angle on a smooth (saw cut) joint surface (ss 25
35 for rocks)
<pT : residud friction angle after shearing through asperities (assumes <j>r ></>,,)
o-n -. nomind contact stress (< 0) with reference to the gross joint area in midplane
o~T : transition pressure at which the joint ceases to be weaker than the base material
composing the asperities

Cj : apparent cohesion intercept for a straight-line fit of data
=
vt (tan4>r
tan (<pp + V1))
Ladanyi and Archambault [Lada 70]:
_
a, tj
-
<rn(l -
a,)(6? + tan^,)
l-(l-a.)#'tan^
*' + tan^ .
,_, ,
.
,
=
-0- =
-*n tan(^ + iM for a, < 1
. rA-, ,
1 -
6*' tan 4>n
where
Tj : shear strength of the (weathered) base material composing the asperities as parabolic
envdope to Mohr's circles: With the base materials's uniaxial tensile strength ft and
uniaxid (unconfined) compressive strength fe [Fair 64]
=
(vA+^-l) y/f?-<rnft*2y/f?-<rnft
a, : proportion of the joint area sheared through the asperities
= 1 -
(l ^)1'" -
,
0 < O, < 1 (with <TT
fe)
6l : dilatation rate at peak shear stress with the instantaneous asperity angle Y><,
=
(l
fj) tan ô
tan ^
Barton [Bart 73]:
Tmamj,
=
-*n tan UM + JRC log10 ( ^^ ) J < -<Tn tan 70'
.(=))s-^--
where
JRC : joint roughness coefficient as genuine joint property (= 0
20), from perfectly smooth

to very rough; tensile fracture planes would be close to JRC 20)
=
JCS : joint compressive strength including weathering ( 0.25

wall 1.0 fe) and increasing
to the confined compressive strength a\ o-% under very large normal joint stress

i>da,p : instantaneous peak dilatation angle, which because of its susceptibiUty to damage
may be smaller than the strength-effective roughness component Vv
(0.5
1.0) t>, , 1>a = JRC log10 (^)

4>T : residud friction angle equd to the basic friction angle after weathering
Tab. 4.6: Formulae for the influence of normal stress on peak shear strength
All empirical formulae combine the basic friction with

some geometric component, which
is mobilized to larger or smaller extent as a function of the normal stress (Tab. 4.6). In
a
the simplest case of a straight Coulomb failure line, the geometric component is reduced to an
apparent cohesion Cj as intercept on the r-axis, independent of an initial joint cementa-

tion. Patton's bi-linear approximation uses the dilatancy concept for friction on asperity flanks
(Eq. 4.11) for low normal pressure and employs an apparent cohesion near the transition stress
ax, which according to Goodman [Good 74] can be approximated by the unconfined compressive
strength fe of the wall material. The same transition stress is used by Ladanyi and Archambault
to molify the dual mode behaviour by the concept of a stress-dependent geometric component
according to Eq. 4.12.

Similarly, Barton defines a 'joint wall compressive strength' to describe the loss of roughness
with higher normal stress, smaller surface hardness or longer weathering.17 Retaining the basic
friction angle in the plane created by asperity shear-off under high normal stress gives an
unbounded shear strength, for both the Patton and the Barton law. Ladanyi and Archambault,
who use the percentage a, of sheared asperities to interpolated linearly between the two distinct
modes, allow for a bounded strength envdope for the shear-off resistance tj. Only if a Mohr-
Coulomb criterion is used for the asperity strength [Saeb 90], the ensuing shear relation will
again be unbounded.
The difference to concrete mechanics modds of interlock seems to concern primarily the
regime vanishing gross normal stress in the joint. They postulate an apparent cohesion
of low or
also for this regime as though a short vertical asperity flank physically existed, which perfectly
interlocks the crack in shear before opening (Fig. 4.5 right). Tests of concrete cracks at
different,
attemptedly constant crack width [Fenw 68] led to the assumption that the shear force is a
reciprocal function of the crack width [Houd 74]:
t, =
f, ls
J and an =
an \S
J (4.13)
Because of thepresumed confinement the dilatancy is not considered as an additional deforma

tion but through its indirect effect of an increasing normal joint compression during shearing
[Gamb 81], sometimes simply as a function of the shear stress instead of the slip distance
[Skri 83].
The 'no-friction' hypothesis mentioned in 4.1.3 originated when the results from tests with
slightly open cracks were extrapolated to zero crack width:
d^ = 0 ,
i.e. v -r oo for 8n - 0 (4-l4)
dSn n=0
This corresponds to a singularity which is also known in geomechanics [Gerr 86]. Indeed, thor-
ough exploration of the low-pressure section of the friction curve reveals a very high instanta
neous friction angle, which is defined as 4>pO arctan(Tmaxj>/|o-n|) for an
= 0. Angles <f>po > 80 -
have been measured in shear tests on Hornfels under a normal stress of only -0.2 N/mm2
[Sehn 70], and the corresponding fipo 6 has also been reported for concrete cracks [Walr 80]
~
[Dasc 82].
Despite these similar findings, the conclusions drawn in concrete and rock mechanics yield
antagonistic models: While in concrete one mostly assumes shear-free cracking in principal
tension ('mode I'), after which the presence of reinforcement crossing the crack plane provides a
17The effect is similar to that in granulr material, in which the shearing behaviour depends on the density
due to current normal stress and -
analogous to the freshness and mating state of Joint surfaces due to prior -
consolidation [Rose 70] [Plyt 85].

self-stressing confinement ('shear-friction hypothesis' [asce 82]), one acknowledges in rock the
pre-existance of discontinuities under arbitrary stress states with insuffident confinement to
inhibit dilatant behaviour. Without measures to increase the apparent cohesion, rather Cj ? 0
is assumed in linear approximation of the curved envdope (Table 4.6) and a friction angle for
moderate normal stress adopted [Alva 79]; this is certainly much lower than the /z 1.4 1.7 =
recommended for concrete cracks [Baza 80b].18
4.2.2 The 'Unifled' Joint Model
As introduction to the different mathematical formulations, a two-dimensional line jointis re-

garded, to which the bulk of experimental and
modelling literature refers. Eq. 2.38 reduces from
six to four state variables: the tractions an, t and the relative displacements Sn, 6,. Their in-
terdependence is described by four physical parameters, which have been addressed earlier, as
partial derivatives of the nonlinear stress-displacement relationships (Fig. 4.7). The asterix is
used to indicate that these parameters are generally functions of the amount of displacement
or the load history.
The four partial derivatives can be combined in two ways: in a constitutive matrix D or
a compliance matrix C,
dnn dn,
^ {Wn)
=
S.
D = where (4.15)
d,n d
*-() i.
*(.
Cnn Cn* Cnn \dSnJ, Cn, \dSnJc

C = where (4.16)
Cm C
\d6,)i
= (!a\
C,n
with the interrelation from Inversion:
-Cn,
-Cr, Cnn CnnC,,

-l
D (4.17)
_
= CT1 =
-c. -cm 1
\C*m C
CnnC,i
The second, approximate form assumes a sufficient difference in magnitude between the compli-
ances, cn,,c,n < c, to neglect cn,c,n against Cnnc [Good 72]. The existance of the term c,n
is debated, as it describes the 'coupled shear displacement' due to varying normal displacement,
also called 'frictional contact slip' [Yosh 87].19
With respect to their experimental determination in a direct shear test, the coefficients
of the constitutive matrix require displacement control and thus a very stiff testing machine
to assure the constancy of the control parameters. As mentioned earlier, concrete mechanics
"In concrete dams, where very small compression or even tension may exist across a Joint of reduced tensile
strength [Chav 79] [Holl 79] it seems prudent to respect the rode mechanics philosophy as common -
e.g. in
slope stability analysis [Hoek 83] [Nils 85] that "to rely on shear strength at sero normal stress is optimism
-
taken to a dangerous extreme" [Bart 73]. One would at least assure a certain apparent cohesion by means of
(sufEciently high) shear keys [Sund 79] or dowel bars [Mane 79] [Uchi 79], which however represent a far too low
steel percentage to effectively constrain the Joint against opening.
"The usual Statement is that d,n "indicated sliding under normal stress, which is unlikely" [Gerg 81] [asce 82].
However, this effect is represented by c,n, not d.n.
The 'Unified Model'
Definition of parameters: Ti
da
closing stiffness k*
dtn
shear stiffness k*
dt.
friction coefficient u* =
dan
dtn
dilatancy factor u* =
ds. 8n
Fig. 4.7: Schematic joint behaviour and associated nonlinear parameters
has traditionally relied on shear tests at attempted constant crack width or constant constraint
stiffness (due to reinforcing bars); only recently the value of tests at constant confinement stress
has been realized [Dasc 82].
Since joint properties are stress-path dependent [Boul 88], those measured in compliance
tests, where stress components are altematively held constant, can be expected to be more
representative [Sun 85]. The dilatancy, for instance, can be measured directly as the rate of
joint opening in normal displacement at increasing shear load but constant normal load (-* cn,).
Measuring instead the rise in the normal stress due to imposed shear displacement (-* dn,)
-
while suppressing any change in the normal displacement is more difficult to control and only
-
gives the indirect effect of constrained dilatancy.
practise the choice of the independent variables often combines a force and a dis
In
placement quantity as mixed control conditions. In direct shear tests in rock mechanics, 6, and
an are combined to be able to measure the post-peak shear softening at constant normal load
[Ldc 81]; this has meanwhile found some acceptance also in concrete mechanics [Diva 87]:
T, =
f,(San) and 6n =
6n(San) (4.18)
With the total differentials (Fig. 4.8)
dr, =
-~dS,-\- -^- dan = K*d6,- u* dan
oo, oan
(4.19)
dSn =
Ir^' + l^^n = V*d. + \d*n
de, dan k*
the second equation is solved for dan,
dan =
K*n(d8n-u*dS,) (4.20)
and inserted into Eqs. 4.19i to yield the typical 'frictional' constitutive matrix:
-"X
V}rict =
(4.21)
-fl* K* fi* U*K\
K* + n
100 CHAPTER 4. JOINT AND CRACK PHJLOSOPHIES
^.-T.+t.
-*-5
-V don
n(<<>) n(<0)
Fig. 4.8: Geometrical interpretation of the total differentials (after [Leic 81])
Quite a different matrix results from the concrete mechanics philosophy of shear tests under
controlled normal displacement, i.e. crack width. Since the shear behaviour hardly undergoes
softening at fully constrained dilatancy, the test can be run by Controlling the mean shear
traction as second variable,
S, =
6,(TSn) and an =
an(T6n) (4.22)
taking as total differentials [Yosh 87]:
dS, =
-T-1 dr, + -jj-i dSn =

dr, +
dSn
dr, don J v*
(4.23)
dan = -rr11 dr, + -^ dSn = dr, + < d#n
Ot, dn M
Therein v* represents a different notion of dilatancy and the

geometric component, which is
discussed in Appendix C for the limiting cases of free override and fll restraint. The joint
stiffness matrix following from assumption (4.22) is demonstrated to be quite different from
Eq. 4.21.
In simplified variant
a the shear displacement during crack
opening has been assumed
equally proportional to the crack width and the shear stress, divided by a suitable slip modulus
[Dahl 90],
6, = -%-6n =* d6, = -%dT, + -dSn (4.24)
Lr, Or, Or,
which gives a total differential of the same format as Eq. 4.23i. Although it is combined with
Sn =
6(an) during tension softening -
which is a variant of Eq. 4.192 with *tn < 0 as softening
modulus and v* = 0 -
it can also be regarded an interlock approach.
Despite the appearance of parameters /x* and v* suggesting frictional mechanisms in inter
lock models, interlock models essentially have a 'cohesive' character. This means that the
explidt influence of the normal joint displacement or contact stress has been removed in favour
of a pure r,-S, relationship, as arising from near-vertical asperity flanks (cf. rebar bond slip
models for example [Keus 85]).
Such a Situation can, however, likewise be modelled in friction by introducing a confinement
stiffness k'J* which describes the reaction of the surrounding continuum to joint dilatation
,
[Heuz 79] [Leic 81]. Placing k'J* in series with the intrinsic joint stiffness k* enables to eliminate
dSn from Eq. 4.192,
dan =
-Kn"dSn => dSn = "*K\lf d, (4.25)
Kn + "n
and results in the 'cohesive' format, using t* =

/x*"*Kn/K* ror *ne geometric component:
.// ^ f - -"
-k* "<&*'
(4.26)
< +
"v<<S*'
.
(1 *5^)-5*
+
Free override results for k*H = 0 and fll confinement from Kn?f > k*. Contrary to some
earlier beliefs [Mill 84] the frictional approach is thus very versatile and suited for the fll rnge
of confinement; the interlock concept, in contrast, runs into difficulties for v* ?
Only larger
0.
opening widths may require refinement of frictional models for the effect of partial loading
of tooth flanks. This should alleviate recently reported problems in matching Walraven's test
results with a friction model [Diva 90].
4.2.3 Choice of Theory

The micromechanical approaches have more in common than the macroscopic interface
constitutive relations: More precise monitoring of the behaviour of concrete specimens in the
direction normal to the crack plane showed that the rate of development of the confinement
stress with shear stress is not going to zero for crack widhts +8n 0, falsifying the mechan
ical modd of vertical asperity flanks. Notably, Walraven's 'two-phase model', wich is usually
regarded as typical for the interlock philosophy, integrated frictional tractions over the circular
surface of idealized aggregate flanks [Walr 80].
Certain differences in the shear behaviour are due to the different
mating and seating con
ditions between compressed rock joints and pre-opened concrete cracks, i.e. they reflect the
different degree of participation of small asperities [Gamb 81]. Shearing in the partially open or
'half-seated' state puts the larger asperities under high local pressure so that depending on the
confinement they may be sheared off at midheight rather than at the base [Robe 79] [Xu 90].
Possible micro failure modes comprise tensile cracks perpendicular to the leading asperity flank
[Byer 67] [Hand 90], like 'wing' cracks observed around ribs of reinforcing bars [Goto 71] or at
formed shear keys [Laco 74] [Ayda 90]. A second influence is exerted by the pairing of surfaces,
if hard asperities can plough into the softer cement matrix ('two-phase material'). When they
eventually meet protruding aggregates of the opposite face, the particles may not be sheared off
but pushed out under secondary matrix cracking. This may result in a slight stiffening behaviour
of the joint during shearing, owing to the angularity of the nibble [Tass 87].
All the above interface failure modes develop micro scale which
can hardly be resolved
on a
in usual arch dam analysis. In a coarse finite element mesh it would be fruitless to model
oblique secondary cracking. Rather, various asperity failure modes which may change as -
shearing progresses [FisY 79] [FisY 87] [Peti 88] -

need be blended into a single macroscopic
102 CHAPTER 4. JOINT AND CRACK PHLLOSOPB1ES
shear criterion. Moreover, some details of the behaviour will have to be sacrificed. A typical
simplification is the
stiffening observed in cyclic shearing of slightly open cracks, which is due to
a certain run over the previously eroded distance, apparent as pinching in the shear hysteresis
[Laib 74] [Prui 87]. After comparing the results of cyclic tests of different kind of joints rock -
[Cde 79] [Kutt 80], masonry [Atki 89] and concrete [Hans 79] -
it seems reasonable to base the
modd for preexisting discontinuities on the stable friction part of the hysteresis and to neglect
particularities of two-phase material behaviour.
The empirical state surfaces (Fig. 4.8) allow to interpolate the joint response under vari
able confinement from the results of shear tests under constant normal stress. This idea has
been manifested in practical procedures graphical [Good 86] [Amad 90] or analytical
-
dther
[Fort 88] -
which Substitute difficult tests under
prescribed confinement history. Such exper-
imentally gained state surfaces are intended for total stress-displacement relations a f(S). =
Such modds are suited best for direct iteration (cf. 6.1), whereas their use in load incremen-
tation with tangent moduli may result in grossly inconsistent behaviour [Prag 48] [Baro 73]
[Mroz 80]. Even in strictly monotonic loading they may not be suited for ultimate load studies,
when local unloading may occur during formation of the failure mechanism [Druc 50] [DeDo 76]
[Argy 81].20
Their piecewise reproduction in a variable-elastic model (hypo-elasticity), with tangent
moduli gained by [Bart 85] [Feen 89a],
differentiation general implementations
would allow more
including unloading. Such models, although presuming collinearity between the increments of
stress and strain, provide a great flexibility for fitting experimental data also in cyclic load
ing and can be used for joint stiffnesses which depend on the shear displacements [Clou 71]
[Boul 90a]. They are reliable as long as the computational load paths adhere to the one fol
lowed in the laboratory tests, but the switching between loading and unloading branches in
o*n-dependent shear capacity can be difficult [Cram 79] [Sehr 80] [Andr 89], and oversimple
switching criteria may result in energy generation in incomplete cycles [Ridd 79]. A prindpal
disadvantage is their need for identification of the coupled tangent moduli to produce the de
sired nonlinear deformation. Many debates in concrete mechanics on the 'correct' crack stiffness
coefficients and their possible symmetrization [Baza 81] are caused by the lack of a strength
criterion and a 'flow rule', cf. [Hohb 90a].
30The total formulations bear similarity with Hencky's deformation theory of plasticity [Henc 24] [Chen 82b].
This theory was shown to yield the same results as incremental plasticity, provided the yield function is linear
and integrable to the respective holonomic criterion [Budi 59] [Mros 64].
Chapter 5
Proposed Constitutive Model
In the following, the variahle-elastic formulation of the 'unified modd' will be superseded by one
of incremental plasticity. Interestingly, this derivation will result in a structure of the constitutive
matrix similar to DJrict in the previous chapter. However, the introduction of a separate strength
criterion permits arbitrary load paths, and the direction of sliding friction is assumed to depend
on the total shear stress state at incipient slip rather than on the stress increment triggering
the sliding [Mich 78] [Cum 84]. This distinction which is irrelevant in line joints
-
becomes -
a major criterion for a sufficiently general formulation of friction on a two-dimensional contact
plane.
The analogy between friction and the incremental or flow theory of plasticity is used: The
normal traction an on a friction plane corresponds to the hydrostatic or mean pressure (first
stress invariant 7i), the shear traction resultant y/rf+rj to the deviatoric or octahedral shear
stress (y/J~2 of the second stress invariant) [Desa 87]. Apart from the notation using relative
displacement increments instead of strain increments the formulation will follow entirely that
of continuum plastidty. The Coulomb friction cone as slip criterion is the same surface as the
Drucker-Prager yield surface, only that it deals with the three-dimensional space of interface
tractions rather than the usual six-dimensional hyperspace of tensorial stresses. To indicate that
friction is assumed with rate-independent properties in the sense that they are not affected by
the rate of deformation, the notation will be based on infinitesimal increments d6 instead of
velocities 6 =
(dS/dt) dt. It is nevertheless commonly referred to as rate-type formulation.
The analogy will be a complete one, making no distinction between the normal direction
(opening/closing) and the tangential direction (slip)

interpreting the penalty parameters
when
as elastic pseudo-material moduli . The populr combination of
a total, hyperelastic law for
opening/closing with incremental plasticity restricted to the slip criterion ('slip circle' formula
tion [Mond 80]) will appear as special case of decoupling the normal and tangential directions.
The usual rnge of this analogy covers only medium to high joint contact pressures and
does not include the apex of the friction cone. Typical interlock situations of interest in con
crete mechanics, however, concern precisely the low-pressure rnge near or even on the apex.
There the frictional mechanisms is coupled with joint opening, which is in general a reversible
displacement component and does not readily fit into the plasticity format unless, of course,
even local unloading can be ruled out with certainty. The formulation of
coupling these very
different components for arbitrary load paths ( 5.3) thus constitutes a major extension to the
bulk of the joint element literature.
104 CHAPTER 5. PROPOSED CONSTITUTIVE MODEL
5.1 Friction in a Plasticity Framework
Coulomb's original notion of friction [Heym 72] presumed rigid adherence before the onset of
slip, which would lead to a rtgtd/perfectly-plastic shear behaviour, corresponding to

the ide-
ally rigid no-penetration condition for contact. The weak formulation with penalties represents
therefore a regularization in normal and tangential degrees of freedom, which can be attributed
to elastic asperity deformation [Oden 83]. The additional plastic deformations account for ir
reversible slip dS,t and for dther shear dilatancy due to override (do* > 0) or contractancy
due to wear or crushing (dS* < 0). This concept lends itself to the classical kinematic split of
plasticity theory,
Sn Sn
d6 d6' + d6p =d< s, r s, =
(5.1) +d\
St st
provided the stick point will be memorized as origin of plastic slip to reference the slid -
ing distance and the contact normal does not change appreciably its orientation during the
-
displacement increment.
According to the analogy, elastic and plastic joint 'stress' (traction) increments are discrim
inated by the 'yield' or failure criterion -T7^), which indudes a hardening/softening parameter
X.1 If the current stress state lies inside the criterion (T < 0), the joint is in stick mode; if it is
on the surface (T 0), frictional slip or Separation occurs.

The accumulation of plastic displacements dp is controlled by a 'flow' or slip rule as

evolution law prescribing the direction of the plastic displacement increment by the outward
normal of a plastic potential surface G(<,<x), which is called the plastic gradient Q^j, using a
comma to denote the partial derivative. The magnitude is given by a plastic scalar dX (the 'flow
parameter'), which depends on the normalization of Q^:
dS" =
Q,* (dX) =
{Gn , Q,T, , G,rt f (dX) (5.2)
The angular brackets designate the Macauley or Fppl function
, ,
1
, ,
fo if T < 0 or if <LF < 0 (unloading)*' , v
{dX =i dA + |dA|)={.. .._

.
..,_
.
.
,. (5.3)
2 ldAif^ = 0orifoF = 0 (loading)
which 'switches' the states depending on whether the stress path is inelastic or not, i.e. dX must
be positive for plastic displacements to occur [Hill 64] [Mart 75]. Note that the plastic condition
can be formulated as a unilateral constraint problem,2
F{.<x) < 0 .
dX > => F{*,x)dX = Q 'MG = T (5.4)
'Here % * prefered to the more common k to avoid confusion with the penalty stiffnesses.
3As this complies again with the Kuhn-Tucker theorem noted earlier for contact constraints ( 2.2.1), the plas
ticity problem is amenable to mathematical programming or alternative techniques of convex analysis [John 77]
[Samu 79] [Maie 83], which maximise the dissipation density (von-Mises* postulate) in a feasible domain T < 0
with A as Lagrange multiplier:
max
{ (i'fff | Ti{,) <0, i = 1 } =
V(.r)
However, the above yield inequalities and the flow rule (5.2) are only equivalent to an optimisation problem
in the stresses if normality and convexity are preserved, i.e. if Drucker's stability postulate is adhered to. An
extensive bibliography is given in [Maie 82] and an example with the combination of plasticity and contact in
[Maie 78].
5.1. FRICTION IN A PLASTICITY FRAMEWORK 105
Nonassociated Plasticity: Oif<
failure criterion deformation
Fig. 5.1: Drucker's analogy between friction and plasticity [Druc 54]
where the two inequalities form a complementary relation, in each of which at least one of the
sign-constrained variables is required to vanish, prescribing orthogonality between T and dX.
This means that the plastic strain and the elastic stress domain preclude each other, except for
a neutral stress path at dA 0, T 0 which assures continuity between loading and unloading
= =
[Prag 49].
One speaks of an associated (associative) or Von-Mises' flow rule if the
plastic potential
is identical with the yidd function, Q T\ this satisfies the normality rule as derived from
=
Drucker's postulate of 'stability in the small' [Blan 57] [Druc 59]. However, Drucker had ob
served that the slip direction is not normal to the surface of the slip criterion, i.e. the plastic
potential is not associated (Fig. 5.1). If it was, a smooth frictional plane would open up with
an angle of dilatancy equal to the angle of friction, which is impossible. Non-assodatedness is
found for many geomaterials including concrete, where the angle of dilatancy is significantly
smaller than the internal angle of friction [Verm 84]. This seems to be the case whenever internal
friction, microcracking or void formation is involved [Baza 80a].3
5.1.1 Non-Associated Slip

The plasticity formulation of friction need therefore be derived for an independent plastic po
tential. Starting from the rate-form consistency condition,
^ = 0and^ + d^'=0 = cLF = 0 (5.5)

and taking the total differential <LT =
T^r da + F,x d\ results in:
* da =
-T,x (dX) (5.6)
The consistency equation can be interpreted as a condition on the length of projections from
illegal stress space onto the failure surface (Tab. 5.2), giving the elastoplastic stress increment:
da = De (dS -
dp) =
dae- D'dSp (5.7)
The assumingly elastic da' is also referred to as the 'trial' stress increment, exploring whether
or not T(a + da') > 0.
]
Damage to the material microstructure might even abandon convexity of the yield surface as postulated by
Drucker for 'stability in the large' [Maie 66]. The following allows for non-normality but presumes convexity.
Suppose, an elastic stress increment d<re violates the failure criterion with T(<tb) > 0. The consis
tency condition Eq. 5.5 requires the projection of the stress increment on the surface normd to be
zero:
0
dLT=T,L dv' = 0 ,
where Tr =1
As ody components tangential to the failure surface in C are allowed, De dS need be corrected by
De dSp, which devdops normd to the plastic potentid surface Q:
do-co = De (dS -
dS*) with dt" =

0,r (dA)
projection ICBI =
projection IDBI
4 D*d8p= De-,o-dX
The magnitude of dA resdts from the postdate that the plastic correction which in the non
-
have the projection the unit normd as the elastic

associated case is not parallel to T,<r -
same on
stress increment:
xlD'dsl&wg^dx
Note that the elastoplastic state D satisfies the failure condition T = 0 ody for infinitesimd incre
ments. The correction for finite increments will be treated in \ 6.2.
Tab. 5.2: Geometric Interpretation of the plastic scalar (after [Prev 87])
Hardening or softening would shift the surface: If T,x < 0, then T expands and shortens
the plastic correction (hardening); conversely, F,% > 0 lengthens the correction as the surface
shrinks (softening). By expressing the internal variable % M a function of the plastic scalar A
such that dx C dX, a plastic hardening modulus can be defined:4
=
?.x <<fr> =
-f* W =' np (dX) (5.8)
Solving with this definition Eq. 5.5 for dA and inserting it into Eq. 5.2, gives the instantaneous
compliance Cep of the direct elastoplastic rate law [Mela 38]:

De0,<r
dS = dS' + dSp =
C'[l + vJr,'a] da=:C'pda ,
v =:
Up
(5.9)
If the flow rule were associated, inserting VP from the definition in Eq. 5.7 into Eq. 5.5
would yidd [Nguy 74]
T?gda dadSp
Up s
_
>0 (5.10)
dX2
~
dX
1
Interpreting in Eq. 5.5 d& =: LF}<r der as a generalised stress and dA as generahsed strain, the hardening
modulus represents the local slope between the two, i.e. d& = Ti'dX as in the one-dimensional case of the curve
between total stress and plastic strain [Owen 80].

i.e. postulate the second-order plastic work density cPWp dadfP not to become negative,
=
which is a weak form of Drucker's notion of 'stabihty in the small' [Druc 59]. Since, however, the
rate vector of plastic displacements is not normal to the failure surface (Fig. 5.1), energy is gained
when the block slides under a constant shear force but reduced normal load. This phenomenon
is referred to as 'apparent' ot spurious softening of the shear behaviour as consequence of non-
normality.5
If, on the other hand, Eq. 5.2 is inserted into Eqs. 5.6 with Eqs. 5.5/5.7,
F*. (da' -
De &r (dA)) = Hp (dX) (5.11)
and the 'elastic' and dastoplastic hardening moduli are defined as
He =
F !>'Gr and Hep = ne + Hp (5.12)
then results:
dX =
^~-d6^.JrdS (5.13)
In this form plastic flow occurs as long as H'p > 0, reflecting a stability criterion in Il'iushin's
sense, which permits softening in the rnge H' < Hp < 0. Unfortunatdy, non-normality of

plastic deformation violates also the alternative postulate of 'path-independence in the small'
[Doug 76a] with the inability to perform a closed strain cycle at non-negative work t ade
[iu 61]. Stress- and strain-rate potentials do no longer exist, as the integrals fdi and fid
become path-dependent.This will be further discussed in 5.1.2.
The numerator in Eq. 5.12 is called the loading function, because the elastic trial stress
increment must have a positive projection on the normal to the failure surface to increase the
plastic displacements for a convex yield surface. Since hardening is not considered during the
elastic trial stress increment, the increment of the 'yield' function, which is assumed first-order
homogenous, can be written
dP =: T$r da' =
T^D'dS (5.14)
and both Eq. 5.2 and Eq. 5.7 obtain the same format:
d6p=^(dP) , dX =
z~r-(dP) (5.15)
Plastic loading presumes dLT' > 0, and only then plastic flow occurs.
Inserting plastic scalar dA into the plastic relative displacement vector, the
the stress incre
ment is obtained from Eq. 5.6/5.2 as the inverse elastoplastic rate law [Nema 83]:
da = De
[i -
G,* u>T] dS =: D'pdS (5.16)
&According stability postulate, an 'external agent' as an equilibrium set of forces, which is

to Drucker's
slowly applied already loaded body, must not extract work firom the material on the
to and removed from the
displacements which result [Druc 59]. But since such a cycle does, in general, not return the material to its
previous state, this postulate of mechanical stability is much more severe than the laws of thermodynamics
[Maie 66], postulate is thus a sufficient but not necessary condition of stabihty, indicating potenally
Drucker's
unstable behaviour. It is widely accepted just because of its restrictive nature which assures well-posed Solutions
[Mros 64], It was shown that for a sliding process, which is fed by the release of blocked energy from a -
precompressed spring as shear driving force global stability

-
will still be assured [Mand 64] [Basa 80a].
Note that do- in Eq. 5.3 cannot be used as loading/unloading criterion, since in the displacement-based FEM
the constitutive model is 'strain-driven' and der is the unknown quantity.
The matrix Dep is called the instantaneous elastoplastic modulus and represents the rate
form or 'continuous' tangent matrix, which will be explicitely derived further below. As can be
verified by direct computation, the relation to Eq. 5.8 is given by:
Note that in contrast to v inEq. 5.8 positive hardening is not required to prevent u> from
singularity. From Eq. 5.15 the elastoplastic modulus matrix is
and therefore exists even if Eq. 5.8 could not be inverted.7

Unless the flow rule is associated (G =
F), the
resulting elastoplastic modulus and the
matrix of the algebraic equation system for the discrete Solution will be
longer Symmetrie. no
Owing to friction the differential equation of a boundary value problem ceases to be self-adjoint.
Theelastoplastic modulus matrices does no longer exhibit the consistency constraint (5.4),
at least not in an explidt manner. This disappearance of dA can be interpreted as a static
condensation with dA as an internal degree of freedom [Bigg 90a]: Before condensation, the
fll problem of elastoplastic response could be written in a partitioned format (as would be
used in convex analysis):
-TL
ia
T\e
De
-De,r
i/ep
W* \{"}-{1} '-'
The first equation system states the constitutive equation, comprising the kinematic split (5.1)
and the flow rule (5.2), while the additional constraint equation defines internal equilibrium
between generalized stress and strain (5.10):
-r tu
dF =
T,o- De dS = Hep dX (5.20)
In the external subproblem the total deformations are applied to the system with fixed internal
degree of freedom, resulting in the purely elastic predictor state a'\ in the internal subproblem
the total deformation state 6 is fixed, and the internal actions applied as dT* to compute the
plastic relaxation. H'p of Eq. 5.11 is the sum of the plastic modulus H' and the elastic modulus
De, transformed by T,a and G,a to the direction of the plastic system. The static condensation
of Eq. 5.18 results in the previously derived equations (5.5) and (5.17),
d=
[U* -
? D,(De)"1D,ft<r ] dX =HP dX
and da =
[e -
D'G*r (Wep)_1^,2r De] dS =Bepd (5.21)
TC from Eq. 5.8 is transformed to D'p of Eq. 5.17 with the Sherman-Morrison formula [Dahl 74]:
(A + uvT) =A l+- =A '- tt = u

v ' T.
. ;
1vTA-lu
& + vTA-1
where A =: C (D')"1, v =: F,<t, u =: Q, /H* and h =: -Hr.

=
As expected from rmi-! plasticity, Dv becomes singular for %r = 0. This can be demonstrated by assuming
a purely plastic displacement increment dS* 5,<r dA*: =
da = H'dS* -
^ (D ^r T D') ft<r dX' = B'dS' -
D' ft<r dX* =
0
7t* v
^
/
To achieve symmetry of D<p it would suffice that T,tr = const
[Hep] G,a- However, for the

above case Single
of a internal
degree freedom, of scalar, in which H'v is
gradients a the two
would have to be parallel, recovering once more Drucker's normality postulate. Note that the
plastic modification of De is performed by a rank-one update, so that all eigenvalues remain
real-valued despite possible loss of symmetry [Will 90].
5.1.2 Consequences of Non-Normality

For individual load paths one could modify Dep such that the nonassociated behaviour is
accounted for by modification terms on the main diagonal [Kolm 85]. Any rotation of the trial
displacement during an iteration thus results in a different gradient matrix.
vector
An elegant way of doing this is the appropriate modification of Hep. To this end, a Substi
tute associate material is introduced, similar to early suggestions of mending the limit load
theorems of plasticity by constructing a reduced failure surface normal to the observed flow
direction [DeJo 64] [Palm 66] [Live 78]. With the approximation
an equivalent hardening modulus fdtg\ can be found by equating the plastic scalar dA of the
nonassociated model (Eq. 5.12) with an equivalent plastic scalar dX^g) for the Substitute mate
rial. If based on Eqs. 5.5/5.7,
^F~k^T~ where
*w =
(ftx+*x)* <5-23)
the derivative of the correction functiondepends on the unknown true stress increment, which
would have to be guessed (e.g. from the previous converged load step) and iterativdy improved
[Dvor 89]. It seems more expediant to equate from Eq. 5.12 [Pand 86]
so that with a load direction parameter evaluated from the elastic trial stress increment,
~
Glr da' dG'
C =
5 7 = ^r- V(5.25);
?&da' dF'
the sought equivalent hardening modulus becomes8
H\q) =
CK'" -
H\0) =
{&* -&r f De ftcr -fa.X (5-26)
without explicitely evaluating ,^. Materid hardening and softening remains defined with re
spect to T. Note that certain paths, for which dQ' 1%'igs < a\F'/H', may render HPg^. negative,
even for ideal plasticity.
Considering first the limits to W for associated material, it is obvious that the restriction
Tiep > 0 defines a critical softening modulus -%', which separates normal softening with
Hp > %' (stable disintegration) from so-called subcritical softening Tip < -H'\ the latter rep
resents constitutive snap-back behaviour (self-sustained fracture),9 while the critical softening
*The original formula [Pand 86] erroneously used
1<fg) ( (H'p W('0)). = -
*This phenomenon, for whose existance some evidence has been gained in well-controlled tests avoiding
machine-induced snap-back due to an oversoft unloading characteristic [Carp 84], was attributed to a decrease
of local fracture intensity which subsists crack propagation by surplus energy [Hard 73].
corresponds to a vertical stress drop during the transition from the elastic to the plastic state
(perfectly brittle behaviour) [Baza 76a]. Ndther state allows the existance of an infinitesimal
stress response to a set of infinitesimal strain/displacement increments, but the stress
response
is finite and cannot be represented by a rate-type flow rule.
A well-posed initial value problem [Vala 85] [Will 90] may only be obtained, if the rate of
softening is further restricted to unique Solutions as expressed in Hill's sufficient work condition
[Hill 64] (for finite increment size):
A2W i a\aT&6
= > 0 (5.27)
This can be interpreted as limiting inequality between the work of the elastic trial stress incre
ment and that of the plastic correction. The following restriction on the elastoplastic hardening
modulus is derived for nonassociated material [Will 85b],
(ASTD'G^)(Î)'AS)
' v '-
H*" > -* (5.28)
A
which, as a 'worst case' condition, leads to a minimum hardening modulus as condition of
general stability [Maie 79] [Lubl 87]:
Hp > 7t* =
\ (|^| |Ar| -
fi') with | |

=
v/(-)rD(.) (5.29)
Only if the 'strain' increment were G*r, the above critical softening
orthogonal to either T,a or
modulus W*, ri' would be recovered. With increasing angle between the two normals,
=
however, ri' 0 so that uniqueness again requires positive hardening. For the discussion of
?
missing uniqueness in friction and its dependence on the friction angle confer [Dund 81] and
[Klar 90].
In general, geomaterials have been found to exhibit 'deviatoric normality', i.e. the nonas
sociated behaviour only concerns the Volumetrie plastic deformation [Desa 80] [Bake 82]
[Nema 83] -
which is here the plastic dilatant behaviour normd to the joint (n-direction)
surface
-
whereas the shear stress components r in a, t-direction have an associated slip rule:
G,t =
F,t and G,an =
<f,an (C < 1) (5.30)
This describes wedge-shaped domain below the line 0

a conical =
0, which is particularly
suspect of potential instability as evident from HPg\ < 0 (5.25); this is referred to as 'apparent
softening' (Fig. 5.3). Loading 'into the wedge' can result when the joint compression is reduced
simultaneously with a slight decrease in shear, giving a subhorizontal stress increment into illegal
stress space.10
Evaluating the directional stiffness modulus S defined as the projection of the stress
increment on the total displacement increment [Mroz 63],
10Following this path in laboratory tests on nonassociated materials such as soil and concrete [Lade 87]
[Smit 89] confirmed the decrease in second-order plastic work density to negative values, but no instability
was encountered, not even under load control. ff inertia can be exeluded as stabilising effect (cf. [Blei 72]), it has
to be viscosity, i.e. a sensitivity of the material to the rate of straining, which increases during softening.
Critical Loading Directions
o
Ki<Q ii
o
.
i>
1 /;', :;/ '>-!;;h ,^

/'::,
/
'
/' ;">^v
'
Qts "'
'^;--;5 ;,.j>j
-
\
da6 ^ 1
/'&>,',
"
'/">,i"
1<- #~.' -;?-- ---"^-Tv><, c,i
I ^'o/ >v
\(D8)T ^
\ Z,^^^'^!^-^^ " \
j3;;f'jr (De)f 7
, r; = 0 ^^
vT"*'--^
<n
= 10 Ks r**j
\ v
\ *.
7-0 ^S^ \ #
-^"Ss^ ,
\
'
jti
\ /
~4,
stress space transformed space U
s
on<0
Fig. 5.3: Zones of spurious behaviour due to nonassociated plastic potential
for the elastic trid stress da' = D'dS and the elastoplastic stress da =
D'pdS, the directiond
stiffness ratio between elastoplastic and purely elastic response can be formed similar to Eq. 5.27:
The skew-Symmetrie part of Dep drops out in the quadratic form, and Tt can be shown to be
bounded by the smallest and the largest eigenvdues of ~D'P, which are the same as for the
asymmetric matrix [Rune 89a]. From
(D?fxfe =
Afc(De)rxfe (5.33)
they are computed to
J- fi J\
A 1 --
(5.34)
-
_
V <p)
Amin,max-l
2H'P COS
Therein 
The load path direction is described by an angle 7 subtended by (De) 3 dS and the tangent
to the transformed yield surface in the contact stress state,
dT' d' I
sinT =
iîidTf ' sia^+ ^ =
wZkTi >^m =
yJ(d<re)Td* (5-36)
\M\d8\
"Observe that |x| denotes the quadratic form of (Eq. 5.28), so that the angle is measured be
a vector x
tween transformed vectors (D*) x rather than the vectors themselves (Fig. 5.3). This becomes important for
anisotropic elastic behaviour such as the choice of different pendty sizes in normd and tangential directions.
where plastic loading is represented by 0 < 7 < x. Then the directiond stiffness ratio is
evduated to:
rc = 1_sin7sin(7+ ?)?*: v '

cosy> Wf
For associated plasticity (<p 0), the stiffness ratio would be

= bounded by H = 0 for
loading
normd to the yidd surface and by H 1 for neutral loading in
= either direction [Baza 78b]; this
is modified by the nonassociated flow rule:
On the hand, H
one 0 is obtained dong the two normds (De) T^ and (De) Gya-

Spurious softening with negative second-order plastic work will occur for any rip < ri9^,
reaching U Amin (< 0) along the bisecting line at 7
=
^(x (p). The width of the
= -
softening sector is ip for Hp 0 and grows larger for additiond materid degradation
=
(Hp < 0).

The 'wedge' domain, on the other hand, is bounded by two 'neutral' loading states of
df' = 0 (for 7 =
0, x) and d' 0 (for 7 = x = -
<p), to both of which the elastic
stiffness (H =
1) applies. In between, the response will be overstiff with TZ > 1, this
means stiffer than for a parallel path inside the elastic domain. As a consequence, energy
will be generated in a closed deformation cycle of loading and unloading!
This inability to perform cycles carries over to dynamics, because the wave
deformation
speed on the overstiff loading

path larger than in an equivdent elastic medium [Sand 87].
is dso
Since the andyst has apriori little control on the deformation path in nonlinear dynamics, both
<jPWp and TL need be monitored in each stress sampling point in order to assess aposteriori
the effects of nonassociated behaviour. The necessity of rate-dependent constitutive models to
preserve red characteristics of the dynamic equations and ellipticity of the initid vdue problem
with a positive wave speed has been pointed out by severd researchers [Wu 84] [Sand 87]
[Slui 91]. ofe-dependent friction as suggested for e.g. modelling seismic faults [Ruin 83]
-
[Lori 90] may permit an assodated plastic potentid and thus also remedy the wedge problem
-
Situation, but it is not considered in the present work.
5.1.3 Difficulties with Mechanical Asperity Models
On prindple, the geometric shear contribution due to roughness could be considered explicitely
by formulating the basic friction in the asperity surface reference (ASR) system, inclined to
the joint midplane by the average dilatancy angle ^ as in the saw-tooth modd (Fig. 4.5 left).
Although proposed quite some time ago [Ghab 73], this approach has not been explored until
recently. The basic idea is to reduce the friction law on the asperity flank to ided Coulomb
friction [Olof 85] [Ples 85]. It allows to model reverse sliding from a mismatched position with
joint contraction and to distinguish right from left shearing. For instance, the current state of
sliding can be monitored by shifting the apex of the friction cone with respect to the mated
position [Snym 90]. Adding the asperity angle to the basic friction angle can be viewed either
as rotating the friction cone such that its axis is perpendicular to the asperity surface
-
or as -
appropriatdy modifying the plastic return direction in relative-displacement space.

As illustration, the forward and backward transformation from the joint midplane to the
asperity surface are exemplified, showing that the same elastoplastic modulus matrix is ob
tained, irrespective of whether it is built from the ided, nondilatant friction criterion on the
asperity flank or from equivalent dilatant criteria applied directly to the relative displacements
in the joint midplane (Tab. 5.4). A factor A is induded to account for the decrease in effective
contact area between asperities as they ride up on one another.
An ided friction law is formulated in incrementd plasticity on the asperity slope with inclination V"
with respect to the joint midplane, cf. Figure 4.5. (All ASR quantities are denoted by (:).) Tractions
and displacements are transformed by the matrix of direction cosines:
cos V1 sin V> *T6

* =: [*. *.] = 6 = & = A9T<r
-
sin V* cos V>
Thereby A(> 1) accounts for the amplification of locd contact stresses in comparison to the average
stresses in the Joint midplane; for the mated position in the sawtooth modd (Fig. 4.5) it is the area of
the leading tooth flank divided by the area of the tooth base [Ples 85]. The elastic stress-displacement
relationship is given by the transformed pendty matrix:
Kn cos2 $ + k, sin' V (n
")sin^cos^
Df A9TD'* dnn <t
= = A
(/c
*c,)sin V'cosV' k sin2 x/f + cos' ^ iVn *..
The theory of incrementd plasticity is applied, defining kinematic split, consistency condition and
plastic mdtiplier dl on the asperity slope. The ASR constitutive relation is supposed to be non-
hardening (74? 0), non-dilatant (Sn 0) and cohesiodess (c 0), with the constant basic friction
= = =
angle ft:
**={?}
*={i}
Ht =
r>*ee,<r =
i*dn, + d<,.
This is fully eqdvdent to using the following derivatives with respect to the joint midplane:
i^l
f sin tfr + ft
* cos f sin V> 1 i i ,\

Y, \
_ _
,. .
, .,
T,v=\1 Y. .
, '"
Qtir={ i
> , W =
Kn(sin2y, + Msm^cosV')
^ cos^-/ism^ J' IcosV
v
J
* 7 t ii
i i\
ft

+k, (cos*ip smy cosyj
The resdting elastoplastic moddus matrix (Eq. 5.17) with reference to the midplane of a non-
softedng joint can thus be evduated dternatively as:
Dv =: * De-
D<g,&9r,lD lT
r =
detD
z*
m
1 0
or
H' W -M 0
^,<r 9^><r AKnKt cos2 V> ft sin V> cos i> ft sin V>sin V> cos rj>
AW T p
H' w ft cos21/>sin i/> cos i/> sin2 ifr+ft sin tj> cos ^
The reader may check later on for the specid case of V" = 0 that apart from the ,4-factor - -
the
same matrix is obtained by degenerating Eq. 5.50 for a 2-D line joint with u = 0.
Tab. 5.4: Outline of the two-dimensional ASR plasticity formulation
However, introducing degradation of the asperity slope due to wear is not strdght
forward. The obvious step-by-step update of the direction cosines was seen to result in a spurious
dilatancy ('algorithmic bulking') as it misrepresents the evolution of the centre of rotation
between degrading asperity flanks [Zube 87b]. It was rather found necessary to employ a total
formulation, in which the differentid quantities amount to partid derivatives with respect to
a load/time parameter and are supplemented by derivatives with respect to the asperity slope
angle,
dS' + 6P dt (5.38)
da = adt +
a,1j)dtl> and dS =
+
tffyd^
The latter follow from differentiating the transformation matrix T in Tab. 5.4, and A,j,
accounts for the change during flattening of the asperities. The evolution of
in contact area
the centre of rotation is controlled by the somewhat arbitrary parameter f- The vdue 1 =
recovers the dassicd additivity of incrementd displacements (Eq. 5.1) and leads to a dilatant
shift of the centre of rotation; the latter is fixed in space through setting t 0, thus keeping =
the two joint faces in intimate contact during asperity degradation; < 0 would allow to modd
contractancy of the joint as permanent seating.

The elastoplastic stress-displacement rdation with Dep of Tab. 5.4 must therefore be ex
tended:
da = U'p (dS fy <ty)
-
+
a,^ dx/, (5.39)
Since this means a substantid and unfamiliar modification to conventiond incrementd plas
ticity, it was either ignored in subsequent applications [Ball 88] [Jing 90], or the term
6^ was
interpreted as an ad-hoc modification to the incrementd flow rule and the corresponding deriva
tive for the stresses neglected [Ples 88]. Because of the difficult experimentd conditions (loss of
gouge, etc.), t = 0 is used anyhow for practicd purposes [Ples 91].
All known models are two-dimensiond only and restricted to

continuously active asperity a
flank. Generd problems of the ASR concept

are the
sliding distance and the monitoring of the
current absolute juxtaposition of the joint faces to trace disengagement and re-engagement of
the asperities for arbitrary Separation and sliding paths, as dso discussed in [Snym 90]. It was
solved to a certdn extent in the 2-D interlock model in Ducs [Skri 83].
For larger sliding distances, the observed bouncing of asperities into adjacent troughs of the
undulated surface under low normd stress [Robe 79] [Xu 90] could possibly be incorporated.
The slope angle would be no longer constant but, for instance, a sine function [Ples 85]
*-nHi(1+)] (5'40)
where Dn, D, are the asperity height and base length, respectivdy. A similar approach proposed
parabolic shape functions for the surface roughness [Fard 79], and recently the idea has been
extended to a Fourier series definition of the surface profile [Qiu 91].
The extension to three dimensions would involve the definition of 'first gradient zero
loops' [Roko 88] as the crest line of each surface depression in which the
opposing peak is
seated. Furthermore, an artificially created surface map [Gerr 85a] would become mandatory
for intermittent loss of contact and free slip, if the active contact points at reclosing are to be
identified. At the present state, in which the effective modelling demands of dam joints are only
vaguely anticipated and no Performance data are yet avdlahle to calibrate refined models, this
approach appears far too complicated.12
"Recently, an increasing number of microplane models have appeared, which also employ
very basic consti
tutive assumptions (ideal friction or pure tension) on a number of sampling planes in space [Seam 84] [Basa 88]
[Caro 90]; but the expenditure involved in the subintegration over these sampling planes and in the for general -
application necessary extensive book-keeping would have to be studied on trial implementations before the
-
feasibility and superiority of such a micro-mechanical approach for the present task could be assessed.
5.2. IMPLICIT CONSLDERATION OF ROUGHNESS 115
5.2 Implicit Consideration of Roughness

The conventiond plasticity formulation in the joint midplane undertakes a more phenomeno-
logicd description but seems much simpler to implement. It was therefore adopted for the
remainder of the work.
5.2.1 The Slip-Circle and Related Concepts

Of possible shapes of the failure surface for a gap/friction constitutive modd the simplest is
the S-D friction cone (Fig. 5.5 left). Formulated in contact tractions with an elastic domain
inside the cone, it corresponds to the well-established Drucker-Prager yidd surface:
LTjjp =
y/j~l + ftli -
c with J2 ttt , Ii ~
a (5.41)
Because the 'yield' criterion separates stick from slip, T is called the slip criterion; the surface
of the plastic potentid Q is referred to as the slip potential.
Using the elastic pendty parameters ac, k Kt to define the fully bonded state in a diagond
De (Eq. 2.38), the elastoplastic modulus matrix can thus be written in generd form as:
'
n 0 0 K-nGtOnfiOn l^n^sGianîT, *n*>tG,oJF,Tt

1
n'p 0 K, 0 ~
KnK,G,T,ân K-iGiTtFiT, K,KtG,T,^Tt (5.42)
7t"
0 0 Kt KnlitGiTtFran K,K-tG,TtF,T, K%G>TtFiTt
Kn (H'P
KnGiOnFiOn )
Knli,G,an^T, ~KnKtG,anF,Tt
1
-
*n*;G,T,T,<Jn K, (H'P -
K,Q,T,T,T, ) -K,KtG,T,F,Tt
H"
-
KnKtG,Ttân K,KtG,TtFiT, Kj (7i'P ~
HtGtTt^tTt )
Depending on the magnitude of the pendties, this approximates a rigid-plastic behaviour or
may be rdaxed to a small elastic asperity deformation prior to the onset of slip.
*-n
asymptotic \\ \
cone -Â
TS
\ /
friction cone cone with tension cut-off hyperboloid
Fig. 5.5: Friction criteria and slip potentials (after [Cum 84])
Suppose for the time being that the slip criterion is a linear function of an with an apparent
cohesion c, which subsumes the strength contribution of asperities. Introducing a parameter
as function of the shear stress ratio,
tan/3 =
(5.43)
an effective friction coefficient [i can be formulated for shear anisotropy; the coordinates s, t
are supposed to coincide with the principd axes of orthotropy. The three-dimensiond failure
criterion then becomes that of an ellipsoidd friction cone (an < 0)
*(**) =
M "
T,max(<r,x) =
M +H<rn- c0M = 0 (5.44)
where
\r\ : Euklidian norm of the shear traction vector with the components
t, =
cos/3 |t| =
, \t\ and rt =
sin/3 |r| =
t \r\
The similarity with Eq. 5.41 is obvious [Druc 52],

In rewriting the condition of incipient slip as an elliptical norm of the shear stress vector,
formulated in the principd axes of the ellipse r,iTnax and Tt>mox, one obtdns:
JH. (jL.y+fjLy.u jl+^l (5.45)

T,max \ \T,,max) \Tt,max J y Tt,max Tt,max
With Eq. 4.11 the axes can be directly derived from measurements of anisotropic roughness for
i =
s,t as Thmax -on tan(<^, + V't) [Jhig 91]. Introducing
= mobilized friction angles for the
two axes, one finds that the truncated friction cone has the property
T,,max li,
(5 46)
_
Tt,max fH
which could be directly used in a friction criterion such as:13
T =
y/r^/i* + rjrf + n,m an = 0 (5.47)
However, invoking deviatoric normality, the direction of the slip vector dpt =
f(r) is related
wherefrom one can obtain the effective friction coefficient [Mich 78] (see Appendix D.l):
2
a2,H*, + ct\i4
,, _
I P, _|_
Pt \ _
H,Ht
t-,i~t _
i~~,r-, i
tr-t iw (\\
ylAft + ft V W + tV?
With this relation between a and the slip moduli and the shear stress increment can be
derived from the rotation of shear stresses which occur tangent to the slip criterion (Tab. 5.6).
Note that the slip direction is not collinear with the trid shear stress increment but determined
by the total shear stress.
lsThis can be seen to slip directions and displacements as Eq. 5.44, if the latter were multiplied
yield the same
such that T yj\\t\ + i* F,

=: price of an unfavourable split of S't (Eq. 5.2) into ftT and dA,
'
but for the
where both terms contain the rate of dilatancy.
Consider an eUipticd shp criterion in

the , i plane (Eq. 5.45) with an associ
ated shp potentid. Any shear displace
ment increment inside the slip criterion
be isotropically dastic,
f dr. \ _ f k. 0 1 / d6. \
\ / \
~
drt [ 0 k. \ dSt }
but an starting from a criti-
increment
cd stress state re on the shp function
finds ody resistance dong 6P tangentid

to the slip criterion, while the normd
component db\ =
Q,T dX shdes. Thus
t =
0, while T|| is computed from:
/ dr 1 _
"
f 0 0
] f dSx
\
l *l J l 0 k. J l d6n j
If the slip direction is prescribed by the
direction cosines a of the potentid nor
md with respect to ,f coordinates, one
obtains with a, = cos a and at = sin a:
/ M \ \ a. at ] ( d6, \
\
~
\ d6n j [ -at a, J d6t j
/ dr \ _
[ 0 0 1 ] dS, \
* /
"
L J l
'
1*1 J -
The inverse transformation of dr into s, t coordinates gives the tangentid elastoplastic shear moddus:
/ dr, X _ [ <*. -<* 1 / drx 1 [ a? -a,at 1 J d, \

J\
-
\ drt / [ at a, \\ dn j-K'[ -a,at a2 dSt /

d:?
Note that this conversion ody involves the incrementd shp direction under the angle a, which,
however, can be
expressed through the total shear stress ratio rt/T, tan/9 (ftt/fi,)7 tana of the = =
stress point on the shp curve, Eq. 5.48.

In the specid case oi ft, ftt the slip circle is recovered [Rick 75] [Mond 80] [Cod 82]:
=
j.ev ~
*, (./t)*? [ -(./ftt)2.t
*
/*.=M l -.t
(n,/lH)*0i [ -(fi,/lh)2,t l
"*
* + l -.t
The slip direction is now radid, i.e. Q,r =

T/\T\ and dA =
(T/\T\)TdS,t. The elastoplastic stress
increment in Eq. 5.16 becomes simply
dr = dr' -
k,
kl2
dSit
-4-{
=
}{}>
with the same resdt for Htpt as from the other derivation.
Tab. 5.6: Illustration of the slip components in the elastoplastic constitutive matrix
The derivation assumes ajoint with G k| + const., such that the 'volumetric'
non-dilatant =
opening/closing behaviour is completdy decoupled from the 'deviatoric' stick/slip behaviour.

The orthotropic potentid G is thus equd to Hill's surface and degenerates in the isotropic case
of ft, Ut to the Huber-Von-Mises cylinder [Hill 48]. For the latter also the elastic behaviour
=
will be assumed isotropic, i.e. k, Kt. In the isotropic case, where tana

tan/3, Eq. 5.16 =
degenerates to:
{) [? }{%:} -*'-r-{a;}
0r
=
<5-5>
K,(l-T)
This is known as the slip circle concept [Mond 80], which is used to combine nonlinear
elasticity opening/closing (through

for ) k* with a 2-D elastoplastic formulation of frictiond slip,
e.g. [Hilb 82]. Because of dSp 0, the shp = circle diameter will only change with dan KndSn. =
The fully coupled matrix of Eq. 5.42 involves dso the derivatives of (i and is evduated
for orthotropic friction in Appendix D.I. The isotropic case is obtained by letting k, Kt, =
(i
=
ft, =
(it and has been derived by others [Coul 82] [Caro 85] [Fan 88] [Selv 89]:
*n | ~v,Kn -vtKn
D^ =
(5.51)
xo
(IVKn + K, -fl,Kn | (lVKn+2K, ~,tK,
-(itKn | -,t, [lVKn + 2,K,
Kn | ~v,Kn -vtKn
(IVKn
, =
1 + * ~(i,Kn | H,(t+0 -.t",

-(itKn | -.tK. K,(2,+t)
This degenerates further to two dimensions for a line joint [GeXi 79] through , =
1, t = 0
and confirms -
apart from a scaling factor -

the 'frictiond' constitutive matrix derived from
variable elastidty (Eq. 4.21): Since in 2-D the onset of sliding entails (%k, 0 (corresponding
=
to drx in Tab. 5.6), only t*>, =

pvitn due to restrained dilatancy is left as shear resistance, just
as for k* > 0 in the variable-moduli formulation.
For the symmetrization of Dep the equivdent-(? approach of Eq. 5.26 can be used to
advantage:14
$II-v)vk\I K, + CK* | -v.Kn -vtKn

TfP - 21
"(>
C(M^tt + K.) -v.Kn | ZflVKn + (t-l)K, -.tK.
-VtKn | -.tK. (ftUKn + (<-?)K. J
(5.52)
This reduces for an ideally smooth joint (v =
0) to:
(Kn | 0 0
|dr'|
Dep -
-
with < =
(5.53)
0 I (C-/3.2)k. ~,tK, (idan + \dr'
0 | -,\K, (l-l)K,
14D*' of Eq. split into a fll Symmetrie matrix plus a correction for the nonassociated
5.42 codd thus also be
volumetric component [Desa 87] [Fand 90], as long as the symmetrised gradient matrix remains positive definite.
In order to avoid an excessive reduction of the main diagonal terms in comparison to the relatively large associated
off-diagonal terms, D* need be reduced by W'/WfjL.

5.2. IMPLICIT CONSWERATION OF ROUGHNESS 119
The slip circle of Eq. 5.50 turns out as the specid case of pure radid loading, for which C = 1-
A somewhat cruder approach shifts the unwanted off-diagond contributions due to (t > v
directly into the main diagond dement of the respective matrix row, i.e.
Kn | -V.Kn -vtKn
D!p
+
(5.54)
io(V-n) MI/Kn + Kt -V.Kn | fiVKn + 2K. + %, -.tK.
-VtKn | ~.tK. (IVKn + 2.K. + %
where the modifcation term %t =
(v
(i)tKn dSn/dS,, is weighted by the ratio of the pertinent

displacement increments. This artifice may give good results for shear-dominant bond investi-
gations [Kolm 85] but loses attractiveness as soon as the increment in normd displacement may
become as large or even much larger than that in shear. The equivdent hardening modulus in
Eq. 5.53 seems to be a much more elegant means of implanting asymmetric behaviour into the
main diagond.
Unfortunatdy, the consistency condition of Eq. 5.6 does not embody pressure sensitivity
of theplastic potentid. Severd ways for the artificid introduction of a dilatancy derivative have
been proposed, e.g. substituting T,on by F,v v,an [Ghab 73], or a modification of the normd
stiffness Kn [Agha 81]:
-1
dan= Kn(dSn-dSp) =Kn(dSn-vdX) where Kn=: (J- + j)

\Kn OanJ
Quite in the same manner, a nonlinear, hypoelastic closing law -

as derived from tests on
mismatched rock joints [Good 74] [Band 83] -

could be induded as * [Hb 76] [Caro 85]
[Amad 90].
However, such an ad-hoc modification of incrementd plasticity through variable elastic
moduli, referred to as elastic-plastic coupling, dso meets some fundamentd ohjections from
the points of stability and thermodynamic consistency [Dafa 77]: The incrementd change in
dastic moduli produces additiond inelastic deformations, which have to be introduced as a third
kinematic term in Eq. 5.1 [Mde 66]. Only if v 0, i.e. for the decoupled constitutive matrix of
=
Eq. 5.50, a variable k* might savely be used as a nonlinear function rmax f(an)-li Severd =
applications of elastic-plastic coupling have appeared in the literature latdy, viz. [Houl 85]
[Bala 87] [Fran 87] [Quia 89] [Yazd 90]; so far, only one is concerned with a variable closing and
shearing stiffness in line joints under monotonic loading [Cuis 90], but the generd applicability
to plasticity-based joint constitutive models is a promising field for further refinements.
5.2.2 Curved Failure Criterion
For the purpose of the present investigation, the rate of dilatancy is firmly linked to the pressure-
dependent friction coefficient by Eq. 4.11, generalizing the Coulomb cone to a curved failure
surface (Fig. right) with increased mobilized friction under low pressure and constant
5.5
shear resistance under high pressure (Frydman criterion [Reyn 82]). A suitable three-parameter
model, originally suggested for principle stress space [Karr 89], extends Eq. 5.41 to:
2Jr3-Par = Ji+ ah + 6I2 -

c = 0 (5.56)
>5For instance, below the plastic failure surface the elastic behaviour could be modined through a Duncan-
Chang [Hilb 84] [Yosh 86] or Ramberg-Osgood [Hgg 87] type of law. This has for prerequisit that the loading
is more or less proportional without rotation of principal stresses [Boss 80]. A mathematically more consistent
formulation should rather be based on bounding-surface plasticity, cf. the note on anisotropy in $ 5.2.3.
The generd formda of the hyperboloid opening

to the <r~ axis is [Zien 77c]:
(2v*)'-(2r)'-
b c
With
=
= tan <f> and d
a
f resdts:
a d
'rem
-<rB(<rn-2d) + o2-d2 = 0
tan2^
'mam _
-K-/)[(o-n-/)-2a] = 0
tanV"
As a frictiond failure surface, a controls the apparent cohesion as
rma2|(ff|>=o) and <j> the 'basic'
friction angle. With o > 0 the approximation to the classicd Codomb cone can be made as close as
desired. With c = d tan <ft the sur&ce can dso be written as:
-(d-<rn), + (d-f)i = 0 or
rm
-
(c- <rn tan^)2 + (c- /tan^)2 = 0

tan2^
If a separate tension cut-off ft is to be specified, the apex distance

f is best expressed in a = d
function of x = d
ft, giving o (1)x, so that an offset / ft

=
Cx is maintained through
=
without explicitely knowing /. A truncated friction cone with given parameters c and ft is represented
through C 1. *
Tab. 5.7: Hyperboloid as generalization to the Coulomb friction cone
Itcomprises the ellipsoid, the paraboloid and the hyperboloid. A parabola would approach a
zero gradient (fi 0) similar to the 'criticd

? state' of intact rock or concrete ( 4.1.1), and
could be generalized as [Zhan 87]
^)=ki-c(i-^y (5.57)
where / is the apex distance on the ern-axis. Another possible expression, including softening,
would be _
1
-j; {fix) *)
c
^,x) =
klm - -
with m=- (5.58)
M<r=0 JO
i.e. in terms of the tangent coefficient of friction for zero normd stress [Stau 90]. Note that
for bounded shear criteria even an associated flow rule gives virtually zero dilatancy for large
compression, so that the power m might be kept constant.
The
hyperbola disadvantage predict an ever increasing shear strength with in
has the to
creasing compression; for the low-pressure regime, however, the shape of the surface is easier
changed to model decohesion processes (Table 5.7). It has earlier been adopted for joints
[Caro 83], a microplane constitutive model [Caro 90], and the description of damage in compos-
ite materials [Neme 91]. The failure criterion can be written either in quadratic or in square-root
fashion in terms of a shifted normd stress n <rn f' =
TTT-T, T2 + T2
T(o*)= ,max(o'1)
= -
(l\ n(n -
2a) =0
(5.59)
or
^{o) = T -
',max(<r)
=
y/Ts + Tt + P*nJl -^ -
=o
Both formats give identicd results, but the latter version is easier to handle in numericd plastic
Integration. After normalization both give the same gradient vector to the surface, which is
based on an increasing slope ft towards the apex as function of n:
dT,max -(6%i -
a)
(5-60)
sr-'Vwk-i.)
With (i instead of (i the tangent constitutive matrix has the same structure as for the friction
cone, confer Appendix D.I. Since (i becomes infinite for n * 0 (i.e. an ? /), the apex
is usually exempted from the Solution domain, by delimiting the volumetric stress by a
e.g.
minimum offset of IO-4 times the atmospheric pressure [Herr 82]. Altematively to Eq. 5.56 an
exponentid criterion could be adopted [DiMa 71] [Karr 89], which avoids a verticd tangent
at the apex (<f>mob < 70) and would be closer to Barton's joint rougness model of Tab. 4.6
[Pand 82].
The present modd introduces a
separate tension cut-off in addition to the hyperboloid -
for reasons to become apparent in 5.3 -

and can thus degenerate to a truncated friction cone
(Fig. 5.5 centre). An interesting idea is to allow for an acute angle between the cut-off plane
and the <r-axis [Vonk 91]. In this manner the curved failure criterion would be approximated
by a bilinear one, which resembles Patton's dud-mode criterion in Tab. 4.6, extended into the
regime of combined shear and tension.
5.2.3 Frictional Wear
Since the shear strength can be viewed as composed of a basic friction angle <f>^ <f>r (e.g.
corresponding to the asymptotic slope of the hyperbola) plus a geometricd component due to
dilatancy (Eq. 4.11), the peak shear strength subject to damage is a function of the mobilization
of roughness and can be concdved as a 'bump' of peak shear resistance overlain on a perfectly
plastic frictiond response [Main 78] [Robe 78]. The pressure-dependence of the joint roughness
affects both the height of the peak shear strength with respect to the residud shear strength
and also the shear stiffness [Kulh 75] [Good 76] [Cram 79]. In highly confined situations the
dilatancy gives rise to important stabilizing forces [Manf 75] [Pend 83] [Bely 84b].
As previously emphasized, a sufficiently generd constitutive modd need he based on a
mathematicd theory such as that of plasticity. Strength degradation and reduction are then to
be modelled as plastic hardening and softening [Sand 83] [Read 84]. This is loosly denoted as
damage, alluding to the transition between an intact state and a residud state.16
For the formulation ofhardening or softening one or more internal plastic state vari
ables x need be introduced in Eq. 5.44 as 'intrinsic time clock' which controls the evolution of
the failure criterion during loading and Stands still during unloading [Wata 86]. In hardening
plasticity FutX) moves as a 'loading surface' from an initid configuration (as bound to the
fully elastic behaviour) to the rigid ultimate surface of peak strength [Phil 65]. This technique
would allow to introduce pre-failure nonlinearity in the shear behaviour of joints by starting
from a very small elastic domain [GeXi 79] [Caro 85] [Wem 88] in accord with the experimentd
findings that damage and dilation are already in fll progress when peak stress is reached. If,
''in joints the 'intact' state is presumed as the virgin state, which can have differentmeanings: unpresheared
in friction, but also fully effective cohesion due to cementation, cf. [Desa 91]. In terms of cracking, however, the
intact state could also be the base material properties, i.e. before the localisation of strains into a discontinuity,
which gradually changed into joint properties [Lim 87]. The term 'damage' does here not refer to damage
are
mechanics theory [Doug 76b] [Masa 81] [Simo 87] [Chab 88] [Lubl 89], although it is slowly finding its way into
nonlinear dam andysis [Onat 85] [Zhou 87] and could like the no-tension method ($ 1.1.3)
-
well be combined -
with discrete joint models.

Defining \r as that
magnitude of the state vari
able which indicatescomplete damage to a degrad
ing component, the following Unear evolution from
peak (p) to residud (,) vdues can be chosen:
E.g. friction coefficient:
(x)
=
Mr + ((lp ~
(lr) U -
^-) , X<Xr
E.g. dilatancy rate and dilatancy:
"(x)
=
vv
y-
~
^J - X < Xr
6'= Iv(x)dX . dx = dA
Note that v uses the same formula as ft but with a
residud vT =
0, and that \
corresponds to peak
0
vdues if no hardening is provided and controlled by
the same parameter.
Tab. 5.8: Example of softening relations for wear of joints [Agba 81]
however, the constitutive model strives at the behaviour

longer sliding distances, it seems
over
fairly acceptable displacements at the peak strength.

to locate the onset of irreversible
Pure softening plasticity, in which the initid loading surface corresponds to peak strength
and is subsequently contracted to a lower bound surface defining the residud strength, repre
sents thus a substantid simplification by waiving most of the microstructurd considerations.
The hyperbolic friction criterion will constitute the initid loading surface including the ge- -
ometricd contribution implicitely in the curvature and degrade to the friction cone as the
-
corresponding ultimate or residud surface. The internd state variable x takes the role of a
measure of damage accumulation up to the totd loss of the respective strength component
(Table 5.8). Such simple multi-linear damage laws could be smoothed with an exponentid
decay function [Fred 76] [Huts 87] [Ohta 89].17
damage function C
Possible expressions for the dx/dX could be based on severd avail
=
able hypotheses damage (Tab. 5.9).

of materid Plastic work hypotheses have the advantage
that a large shear traction on a small slip distance (shear-off) is capable of producing the
same amount of damage as small shear traction on a large slip distance (wear during override);
this appears particularly attractive for joints. From the discussion of shear band softening
[Will 85b] one may dso adopt the concept that only the plastic work under the 'bump' causes
damage, which results in hypothesis lc of Tab. 5.9 [Caro 90]. The normal work component
dWp anV\dS,t\ seems not very helpful, since in absence of a criticd state definition it is

17By using as damage law Barton's nondimensional empirical curve for the mobilized roughness (JRCm/JRCp)
[Bart 85], one may also derive from Tab. 4.6 the following nonlinear expressions for the friction and the dilatancy
coefficient [Cuis 90]:
IH*.x)
= t*
(** + JRCmM log (*jf)) and
ul<rn,x)
= tan
(z) JRCn{x) log (^))
Jo
These functions need then be differentiated for the hardening modulus, Eq. 5.8.
5.2. IMPLICIT CONSWERATION OF ROUGHNESS 123
Expressions for C =-
dx/dX
1 -
Hypotheses of plastic work: dx =: dW
a -
total plastic work: vTQ,<r =
k| + VOn = c + (v -
ft)an
b -
deviatoric plastic work: TTe,T =
kl z=C-fltTn
c -
deviatoric non-frictional plastic work: (r -TTfg,T =
|r| + (lytTn = C + (/lr- (t)o-n
2 -
Hypotheses of equivalent plastic displacement: dX=:\d6p\
a -
total equivalent plastic displacement: Vl + v*
b -
accumulated dilatancy: <r = V
c -
accumulated slip: lftr| = 1
Hypotheses no. Ib and 2c are the most common, no. la and 2a+b have been suggested in [Fan 88].
Hypothesis no. lc, suggested in [Caro 90], assumes that the residud friction causes no damage and
deducts from either shear stress component \rr\ =
ftfCn-
Tab. 5.9: Various hypotheses of material damage
dways associated with volume expansion (dSp > 0), whereas accellerated wear is concerned
with a compaction due to
net asperity crushing [Good 76] [Good 86] [Xu 90].18
Usually only the deviatoric plastic work is retained. The pressure sensitivity would then
have to be introduced artificially through modifying the damage function by a o~n-dependent
factor andogous to a Suggestion for continuum models [Ohta 89]:
^ =
o()k * dx =
{oK)W\ =
^dWp (5.61)
larger freedom in defining the damage characteristics could be obtained by introducing

A
additiond damage parameters. These could be used to modd the directional dependence of
asperity damage without recourse to an ASR formulation. With four separate internd variables
for the orthogond shp directions (s+,t+,s~,t~), the softening of the axes of the slip criterion
could be controled independently [Caro 85]: Sliding in one direction, say A+, would no longer
reduce the roughness in the perpendicular sliding direction, Af, and the geometric strength
component would be preserved for reversed sliding [Mich 78] [Cum 84] (Fig. 5.10 left). The
resulting locd damage to the slip circle as shear-induced anisotropy resemhles somewhat the
early 'shp theory' for crystds [Arme 79]. Simplification to two parameters (s,ti:) gives the
well-known Hill-criterion [Bdt 65] [Bake 84] [DeBo 90], for which the frictiond elastoplastic
modulus matrix has been derived in Appendix D.I. It addresses the problem of affinity of
the resulting slip ellipses, which hinders an anisotropic reduction of the apparent cohesion as
proposed in [Caro 85]. This problem does not arise, of course, if an initial anisotropy of the
surface roughness follows an isotropic degradation law [Jing 91].
11
Note that the mating of joint asperities is analogous to the stress-dependent porosity in soil mechanics.
Accordingly a (cf. [Verm 78] [Gens 87])
critical state could be defined for interface in soils but also Cor rock
joints, where a function wodd relate the current normal stress to the critical stress for the respective mating and
damage state [Aubr 89] [Boul 90a].
onisofropic mixed isofropic / kinematic
Fig. 5.10: Concepts for directional softening of the slip criterion
Altematively to slip roughly the same effect of dependence on the slip

surface distortion,
direction could be introduced via a mixed softening law [Mroz 67] [Axel 79]. In this case two
damage variables would be required, of which A governs the size of the loading surface, i.e.
Tmax of the slip circle, while A*"1 controls the deviatoric translation of its centre through
the
so-called back stress vector (Fig. 5.10 right). Ultimately, the theory of multi- or bounding-
surface plasticity -
which has been successfully used in cyclic soil and concrete mechanics
[Dafa 80] [Hash 88] could be adapted to anisotropic wear [Dobr 91].
-
Since, however, the formulation of frictiond anisotropy was not the primary god of the
present work, only one frictiond state variable for isotropic wear has been implemented; in the
following, Tmax is therefore independent of the shear stress ratio .
With this restriction asimple model could be formulated to account for the reduction
very
in shear capadty due to asperity crushing and disengagement (Fig. 5.11): As suggested
in the early 1970's for 2-D joints in panelized shear walls [Stau 72], a an-rmax interaction
is taken as 'back-bone' curve, from which the current shear capacity is determined as the
radius of a slip circle (Eq. 5.50). This would introduce a pressure sensitivity similar to early
suggestions of dilatancy control for associated flow rules [Druc 57] [DeJo 64]. The cap normd to
the negative pressure axis could be made to expand for volumetric 'strain' decrease (d < 0) due
to compaction and volumetric 'strain' increase (dS* > 0) due to dilatancy [Merk 70] [DiMa 71]
[Gupt 79]. Eventually, even shear reversds with change from dilatancy (in upward sliding) to
compaction (in downward sliding) could possibly be modelled by a sudden cap contraction
to the current stress point and subsequent hardening for sliding up the asperity slope in the
opposite direction [Fish 87].

Unfortunatdy, this simple type of model was found to be numerically fragile when applied
to problems with a large number of joint elements because of the sudden energy release in
discontinuous stress drops [Hohb 90fj. They entail negative first-order work of the peak stress
State [Mde 66], which was seen to result in large overshoots from tension to compression failure.
Some constitutive models therefore delimit the locd rate of softening to non-negative first-
failure
of base -
)
-
of joint
material
elastic predictor /
plastic corrector
sliding i slip circle
Fig. 5.11: Control of a slip circle via a a-

n 'max interaction curve [Hohb 90f]
order plastic work [Ohta 89]. With hypothesis la of Table 5.9 and dA from Eq. 5.13/5.20 this
results in the postulate:
dT'
dWp =
aTGrdX = aT G,a-^r>0 (5.62)
ri p
Since loading dways implies cLF' > 0, this leads with the choice of x = Wp to the plastic
softening modulus %p -T,yyp aT G,a = and the constraint:
<rTG,w W
> 0 =? 0 > T,Wp < -jr (5.63)
H'p
This guarantees the local dissipation of the elastically recovered strain energy by the plastic
work in continued softening, cf. [Mand 90]. However, the second law of thermodynamics would
also be met if the set of forces acting on the elastic or plastic-hardening domdns elsewhere
in a structure would perform sufficient work to dissipate the energy rdeased in the unstable
domains [Prev 75].18
"The immediate consequence for the andysis is to include large enough a portion of the elastic domain remote
from the nonlinear mechanism. This would not assist the numerical stability (| 6.1); on the contrary, a very stiff
unloading characteristic of the surrounding medium wodd be needed for stable softening, which may atypical
for the insitu response and hence deceptive, cf. [Rice 83].
5.3 Additional Damage Modes
As mentioned for anisotropic wear, it may be expediant to introduce more than one internd
variable x t enhance the freedom in the evolution of the loading surface. Of course, these
additiond variables should have physicd a basis different
damage modes to enable their
as
determination in laboratory tests. The variables may act together on the same surface or control
their own sector. If the latter are formulated as independent surface segments, they are jointed
by corners which give rise to a fan of possible flow directions. Such corner singularities facilitate
plastic flow and increase the compliance of a structure in the nonlinear rnge. Because they
complicate the coding of constitutive models, corners were either ignored (e.g. [Ghab 73]),
rounded off [Sloa 86], or sometimes treated in an inconsistent fashion [Rese 84].
Quite the same development can be observed in
formulating the tension cut-off as additiond
mechanism. Since the joint element is to be used not only for fully developed discontinuities but
also for potentid cracks with cementitious bond, this part of the constitutive model becomes a
very important feature.
5.3.1 Tension Softening and Coupled Decohesion

If a stable plastic behaviour existed after the stress
drop to absorb the energy rdeased due -
to existance of a lower plateau with non-vanishing yield stress, for instance in residud friction
[Andr 89] the materid might still be 'stable in the large', and the stress increment could
-
have been cut down by reducing the load step size. Gradual softening seems thus a necessary
ingredience to avoid the premature loss of numericd convergence. Since the largest temporary
strength component liable to severe stress drops arises from a cementitious cohesion, particular
attention is given to this component in the following.
Of course, in dynamic computations inertia provides a genuine stabilization; the softening ca
pability is primarily intended for static andysis. Even then it may turn out that in spite of locd
energy dissipation arch dams may behave like soft 'testing machines' producing unstable failure
propagation (cf. [Hill 89]), because the amount of elastic strdn energy stored may exceed by far
the energy dissipated in creating a new fracture surfaces [Lomb 90].2 The little crack opening
displacement for complete decohesion which is only of the order of wmax

-
0.2 0.4 mm for =
120 mm aggregate size [Brh 88] and further reduced in lift joints [Tsch 91] may be exceeded -
immediately upon crack initiation. This effect would be in contrast to the common view that
the high degree of redundancy present in arch dams will impose some kind of 'strain controlled'
locd failure, in which softening would be noticeable [Dung 91].
Although the relevance of the softening branch to the overall stability of arch dams is
presently unclear, is is expected to be helpful in establishing the correct sequence of joint
failure and load redistribution. It is thus adopted primarily as a computational device to assist
numericd convergence, when an inherently dynamic problem is solved in static computations,
cf. [Bld 72] [Sehr 87].
In the present state of the art, softening modelsimplemented in nonlinear fracture mechanics
as 'fictitious cracks' are limited to 'mode I' cracking in direct tension [Owen 83] [Ingr 84]
20The 'brittleness' of a structure may be characterised e.g. in tension by the ratio [DiTo 89]
elastic energy
_
Ls fi/E _
lj\
fracture energy L2 Gf E Gf
which depends quadratically on the transient strength. It may thus be not conservative at all to neglect these
strength components as in -
'no-tension' or limit analysis if destabilising 'sip-effects' could
-
oeeur in reality
[Basa 90].
5.3. ADDITIONAL DAMAGE MODES 127
[Puch 88]. The crack opening is then mostly described as uniaxid process with certain rules
for stress-free dosure. However, if cracking is induded in a plastic formulation [MoU 89], the
reversibility becomes a problem.21 It may not be apparent in monodirectiond loading, but cyclic
loading would cause the cracks to 'bulk' in a spurious volume expansion [Pina 87]. Joint dosure
would require to introduce reversible plastic displacements, memorizing the mM-imum previous
gap displacement, which must be traversed before the materid point can go into compression
[Cama 89]. A similar problem arises, by the way, in the tangentid degree of freedom, in which
free slip of the disengaged joint faces is distinct from frictiond sliding [Coul 82].
If concurrent shear displacement was considered at all, the opening angle had been pre
sumed to be large enough, i.e. arctan(d^/|dor,|) > |, for asperity flanks to disengage completdy
[Walr 87]. This denied the possibility of re-increasing compression due to dilatancy [Noor 89]
[Hass 91], which would result dther in unloading from the softening brauch or in changing the
softening mechanism. If the interaction of different stresses in joint failure had been considered
[Ali 86], it was limited to the peak stress and assumed the immediate brittle return to the origin
with all stress components set to zero, cf. [Bath 80b]. Some textbooks (e.g. [Chen 90]) still treat
the tension cut-off even as a fixed surface segment, not prone to damage at all.
There are basically two approaches to coupled decohesion: the use of a combined smooth
failure criterion such as the suggested hyperbolic one (Tab. 5.7) with an associated flow rule
near the apex [Caro 90] [Stan 90], or a truncated friction cone with a distinct tension criterion
(Fig. 5.12).
In the first case, different internd variables could still be introduced as multiparameter
softening. For ê consistency condition becomes with Eq. 5.6:
F(a,x)
F*Tda + F*cdX = 0 (5.64)
This dters Eq. 5.11 to a hardening modulus which becomes a linear combination of m con-
tributing mechanisms:
Hp =:
-J$ X,X
= -
%m m (5.65)
m
Supposing that a hypothesis of equivalent plastic displacement is used, \dSp\ can he decomposed
by path parameters wm, which rdate the totd damage to each hardening mode [Murr 79]:
Cm =
&mC ,
where 0 < wro < 1 , J^wm = l (5.66)
m
The wm are switched according to the direction of the failure surface gradient
on and off
Tut. The formulation thusemploys the same damage function for all modes but assigns a
characteristic strength parameter fm to each of them, so that T,Xm
^/ "/Xm [Ohta 88]. ~
For convenience of evduation the fm are chosen as the failure stresses dong the paths of certain
Standard laboratory tests (uniaxid tension, pure shear, etc.). If only damage in compression is
to be distinguished from damage in tension, Eq. 5.66 reduces to the exchange of the damage
31
Already during softening, treating unloading as plastic (initial elastic modulus) is known to underestimate the
recovereddisplacement: At least in uniaTial tension the elastic pre-peak deformation should be totally reversible
because the appearing microcracks do not occupy any of the elastically strained continuum; the unloading
moddus degrades to recover the elastic deformation from the decreasing stress level [Rein 84] [Gopa 85]. The
hysteresis in cyclic tension/compression could be formulated by empirical rules ('focal point' model) [Gyll 83]
[Yank 89]; cruder approximations unload either to half the accumulated totd displacement [Chap 87] as a form -
of 'plastic fracturing' [Basa 80a] or directly to the origin as 'elastic fracturing' common in damage mechanics
-
theory [Doug 76b] [Masa 81]; the latter is typical for smeared crack models, vis. [Owen 83] [Rots 87] [Dvor 89].
Strength Degradation: 1 -
in Separation 2-in shearing
JS "
-r-f 4-a=d-fl
COULOMB criterion hyperbolic criterion
Fig. 5.12: Principal collapse mechanisms of the joint failure surface
function C according to the sign of an [Caro 90]:
{ J! V3\ 1 0
=
tS72 =
C =
âTG^+ru2(T-rr)TG,r ,
< 0
,
1
(5.67)
W\ =
, 72 =
A Variante of this, where the damage in shear is assumed dways active and complemented by
damage due to an only if the latter is tensile, is [Stan 90]
qI
=
(<rn)Grn+-h(T-Tr)TG,T (5.68)
suggesting the ratio of the respective energy release rates in mode I and II as relation between
both softening contributions in mixed-mode decohesion.
Theprincipd deficiency of all scalar potentid laws is their single degree of freedom for
the plastic response: Even with nonassociated flow shearing and volumetric behaviour are not
independent, cf. [Lade 89]. A rigorous improvements may require to introduce yield functions
in vector form ('rank-2 plasticty') [Ichi 85],
UM*-?}" (5.69)
which resemhles in its volumetric/deviatoric split earlier attempts within incrementd

hypoe-
lasticity [Link 76] [Scav 83]. This so-called multiresponse theory was applied to a thin-layer
joint element decoupling the normd response from the shear response in the compliance matrix
C^ = C + C [Ayda 90], where:
1 V
]
-HZ WS i
G,an ân G,an ?iT, 1
(IV V
Cp =
l
w
~
(5.70)
G,T. ?-*Tn G,T. ?,T. W M 1
np np.
One would expect that this should reduce to Eq. 5.9 for the usud 'scdar plasticity theory'
(right), but a discrepancy is to be noted in cn. After more detailed studies this approach
may become perticularly fruitful for the combination of a plastic mechanism with a fracturing
mechanism. The common blending of shear and tension failure into a single surface
largely
ignores not only the different character of slip and cracking but also of the strength components
due to roughness and cementation: The retraction of a tension cap entails the automatic loss
of cohesion in shear and does not provide a finite 'interlocking' shear strength at zero tensile
capadty.22
Previously, some hybrid criteria have been suggested where a truncated friction cone is com
bined with a single smooth potentid surface [Rick 75] [Gerr
85b] [Shar 88]. For the distinction
of shear dilatancy and gap opening it might be better to accept a smooth failure criterion but
insist on a non-associated slip potentid right to the apex, allowing for a fan of possible flow
directions similar to the corner of a segmented criterion (Fig. 5.12). The present work embodies
both variants by placing a cut-off plane at arbitrary distance from the apex (Tab. 5.7), which
may function purely numericd offset (
as 0) or fumish a truncated friction cone ( -1).
-?
As a major advantage of the segmented criterion different damage parameters can be as

cribed to the two surface segments. Of the severd micromechanicd models appearing recently
for mixed-mode decohesion, the modd of [Vonk 91] comes dosest to the one proposed here. It
also introduces a bilinear failure surface with two different displacement criteria for the com-
pletion of softening in tension and shear, but the apparent cohesion is dways reduced in direct
proportion to the tensile strength and thus not independent. A more rigorous Solution is given
in the following.
5.3.2 Multimechanism Plasticity
According to Koiter [Koit 53] the plastic flow vector for a corner stress state becomes a linear
combination of the flow contributions from the active segments (from Eq. 5.2):
dÊÊ^Â;) (5.7i)
3 3
Irrespective of the chosen damage hypothesis (Tab. 5.9) the contribution of the plastic scdars
dXj can be written in the generd form:
dx, =
Y,3kd\k =*
K^-^XX'X^-E^xmtrnk (5.72)
k "
Here Cjj is sometimes termed e//-hardening/softening and the Cjk (j -^ k) latent harden-
ing/softening [Lore 90]. In generalization of Eq. 5.65 a non-diagond hardening/softening matrix
is thus obtained [Rigg 90h], which describes the damage to mechanism j due to activation of
mechanism Jb.
The plastic multipliers need be computed from the coupled system of consistency equations,
the size of which is determined by the number of admitted simultaneous mechanisms,23
\HZ ...
s
:
(5.73)
ni -
n%
MFrom a theoretical
point of view it is also objectionable that a pure shear stress increment starting from the
apex would be perpendicular to the normd in the apex and thus constitute a neutral path, producing neither slip
nor damage. However, this effect may not be too important in large-scale computations with finite displacement
increments in all directions.
M
Otherwise, e.g. if the simultaneous activiation of two mechanisms without the explkit formulation of surface
segments were to be supposed [DeJo 88], some auxiliary condition such as deviatoric normality would have to be
postulated [Teun 88].
where
WS=:^fc+^D*&^r and df]=:^B'dS

The active subsurfaces are discriminated by dXj > 0 according to the elastic trid stress state.
Note in Eq. 5.72 that the control of all mechanisms by the same damage parameter x would
eliminate the summation over m, i.e. Cmk =
^ m. But H?k
0 for Jb ^1, Cf, still remains =
fully populated unless Tj,Xf. =

^ j [Nguy 74] [Aubr 79] [DeBo 87]. A common simplifi-
0 for k
cation is therefore to assume unrelated internd plastic variables [Lade 84] [Piet 87] [Prev 90]
WJ =:
-Fi*i Li (5.74)
which uncouple the consistency equations. The elastoplastic compliance C'p according to Eq. 5.9
is then simply constructed from Eq. 5.71:
8fj
ds= [c+y: Gj,a *i da (5.75)
The present work uses two independent mechanisms for the 'collapse' [Argy 76b] of the
failure surface (Fig. 5.12): (dA2 0)
'mode 1' in pure tension = and 'mode 2' in pure shear
(dX\ =
0). They are combined according to Eq. 5.71 despite the dissimilarities in their phys
icd characteristics (cf. [Yama 78]). Since, however, the cementation fumishes both the tensile
strength and a cohesion in shear, its destruction relates the two mechanisms to so-called coupled
damage modes [Dubo 79] of the generd form of Eq. 5.72.
For a double mechanism in tension and shear the Solution of Eq. 5.73 is simply carried out
by Cramer's rule:
T.T
dAj HZ -HZ dT{ lj)
~
dS (5.76)
dX2 I Aet[H">] HZ HZ dP2 i
Care is required with impending singularity of the

elastoplastic softening matrix, as other
wise the inverse may not exist [Mand 65] [Nguy 74]. The plastic displacement vector and the
tangentid modulus matrix are derived from Eq. 5.71 as generalization of Eqs. 5.16/5.42:
^^Y.âfldS Dep = De I- YlGk><r9(ak (5.77)

k=i *=i
The position of the contact stress state in the corner gives the number j of admissible mecha
nisms, but the direction of the trid stress increment da' decides whether all of them are also
active, i.e. dXj > 0. Rewriting the single mechanisms (Eq. 5.13) as dF? =
Hlu>Jd6 allows to
express the multiple mechanism as their linear combination:
H% -HZ
22 12
aytp (5.78)
det [H
p
HZ
Admissible but inactive mechanisms would not contribute to Eq. 5.77. The resulting elasto
plastic matrix will then be that of the single mechanisms for non-corner stress states plus a
correction term to eliminate from Dep the components not tangent to the inactive plastic po
tentid. For instance, if dX2 / 0 mechanism 2 is inactive (symbolized by ->2, read "not 2"), one
obtains from the first row of (5.78) the correction to DJ1*:

HZ
D2) DiP + 'Gna S (2>2 2>i)a (5.79)
t^p]
= -
Coupled Damage Paths
Ahl
100% decohesion c1r-c

0% wear
hl
c1r +
c2r
100% decohesion
50% wear
y
d1r+d2r
ihi
100% decohesion
100% wear
no decohesion
100% wear
Fig. 5.13: Various damage paths in tension and shear
This concept is demonstrated for the friction cone with tension cut-off (Fig. 5.12 left). The
simple retraction of a cut-off plane in 'mode 1' would cause a corner stress state to unload
in shear due to rmaz = c ? c [Hilb 86]. The simultaneous decohesion must therefore proceed
at a rate |c'| > \(if't\, cf. Appendix E and [Hohb 92a]. Note that the
single-surface hyperbolic
criterion avoids this effect in lieu of an increase in slope . This Performance is in accord
with experimentd results for some materials that cohesion softening is accompanied by friction
hardening [Verm 84]. The amount of the increase can be controlled by a partid retraction of
the asymptotic cone during its translation toward the origin [Mroz 82] [Caro 90], i.e. a d in ?
Tab. 5.7.
The present formulation introduces two different residud states, one for the cohesion ('lr')
and one for the roughness ('2r'). The relative amount of decohesion and wear of roughness are
determined by the user's choice of x\r and X2r (Fig. 5.13). For instance, X2r > Xir models the
loss of cementation at fll interlock due to shearkeys, X2r =
Xir the
strdght contraction of the
apex to the origin. Constant rates of damage are adopted as measure for the brittleness of the
respective strength component [Manf 75]. For tbe damage hypothesis of plastic displacements,
the present approach reduces to Xir wlmax and X2r =
w2max [Vonk 91]. As a novd feature
=
the assumption of proportionality that, say, a 50%

-
reduction in tensile strength results in a
50% reduction in cohesion -

is restricted to the cementitious cohesion component, whereas a
second damage variable is used to monitorindependent roughness component.

an
Theplastic modulus matrix for coupled damage is derived next (Tab. 5.14). As obvious
from Eq. 5.78, the change in cohesion becomes part of Dep. It is thus incorrect to say that only
the friction angle but not the cohesion enters the tangent stiffness matrix [Souz 82]. Equations
such as (5.51) are based on the simplistic assumption of a non-degrading cohesive strength
component.
The distance X2r over which asperities are assumed to be sheared off should really be pressure
dependent. Under completdy confined conditions asperity

or for steep
such as used forflanks -
formed shear keys -
length
the distance would be of the order of the base of the keys, whereas
for naturd rough surfaces this distance would not be a physically inspectable length but rather
a statisticd quantity (cf. 4.2.1). For a finite asperity height Dn the criticd distance should
decrease with override to reflect the reduction in the shear resisting cross-section at half-seated
mating states [Lada 70], reaching zero as the asperities disengage. Also the angle of dilatancy
must vanish corresponding to the 'first zero gradient' in mechanicd models. Otherwise dilatancy
under confinement conditions would not return the stress state to the apex of the slip criterion,
so that dilatant plastic slip would proceed indefinitely [Rigg 86] [Piet 87].
5.3.3 Finite Asperity Height

As a particularity of the present model the internd variable X2 not only accounts for
further
the irreversible damage to the roughness by wear or shear off but also monitors the reversible
loss of the geometricd strength component due to asperity disengagement.
First, some ad-hoc modifications to the damage law were tried, such as the reduction of \2r
with reduced remaining asperity width during override, or an acceleration factor to the damage
increment dxt in function of remaining asperity height to initid asperity height. However, these
manipulations were seen either to affect the convergence unfavourably or to introduce a step
size dependence. It was asperity height into the damage hypothesis a
necessary to include the
priori so that it became part of the hardening modulus, and the damage functions Cij remained
constant (Tab. 5.14). The plastic dilatancy at which the roughness is destroyed (x2 X2r) is =
memorized as new closure surface for all subsequent joint states.
Since the disengagement of asperities in pure tension also reduces the

geometric strength
component (apparent cohesion), assumption of
anperfect mismatch would increase Xi dso
in pure opening through 21 dX\. This concept inherently postulates sufficient laterd movement
during opening to ever prevent closing in a mated position. It seems quite appropriate for small
asperities with low shear strength, easily overcome in situations of mixed opening and shearing.
However, if their shear strength is large enough to effectively prevent shearing, the possibility of
dosing between asperity flanks (and guided by them) can no longer be overlooked. Particularly
if the engagement depth is large as for formed shear keys the assumption of perfect mismatch
- -
may produce unrealistic results.

The reversibility was therefore extended to the rnge u>mo* < 6n < Dn. The gap displace
ment still contributes to the roughness damage variable X2, but this internd 'clock' is allowed
Two internd damage variables are introduced, xi for the cementation and \2 for the roughness,
which affect the tensile strength and the cohesion:
/.(.)= ''('-jj;) _
<w>
=
m/.(i-^) + (-/.)(i-i
XirJ
=
ft + flxi = c + c'xi + c"XJ
where
Xir X2r Xir
Pure tension (ody dAi > 0) is supposed not to affect the roughness (i.e. dxi n)> so that X2 shodd =
be a function of dX2 ody, while any other loading direction increases both damage variables:
dxi =
Ai dXi + Ci2 dX2 , dxi =
Cn dXi + C22 dX2
Consequently, C2\ shodd vanish. However, if the gradud disengagement of asperities of height Dn
is induded by reducing the available resistance to shear damage, this term need be retdned. With
the plastic gradients Qu<r {1, 0, 0}T and Q2,tr {v, ,, t}T, the damage functions in Eq. 5.72
=
become for the hypothesis of equivdent plastic displacements:
Ai =
0i,r =1 il=gu<TnX2L =
2
Md
v, v,
A =
|fc,| =\-rv Ci2 =
|a2,r| + &,<rn ^ = l + i>%-
Dn lsn
The derivatives ?j,\m and the softening moduli are computed according to Eq. 5.72. By expressing
the hyperbolic parameters through d c/p and / ft + ((d ft) (Tab. 5.7) and using Eq. 5.60 one
= =
obtains:
and
Vfef> -
2o) o--a
where d" =
c"/i" for the (rn-inteicept of the asymptotic cone. The hyperboloid with ody nomind
tension cut-off corresponds to * 0, while the truncated friction cone is degenerated through
? 1, p, ? (i. For the latter case the plastic softening matrix reduces with Eq. 5.72 to the following
expression:
// /t'(l + ")
m
(l v^j
=
rft+d"&j- pfi + dd" +
Tab. 5.14: Coupled damage mechanisms in tension and shear
to run backwards if the gap is closing. The current engagement depth, which may dso increase,
defines an interlock shear strength which approaches dong dilatancy zero with the
rmox($m),
-
angle -
as the disengagement is completed. The present tentative implementation assumes a

simple linear degradation of the interlock strength with disengagement.24
24
Also the rate must be expected to depend on the asperity shape and strength. For instance, the interlock
behaviour of formed shear keyes is likely to remain fairly constant until close to complete disengagement, when
edges start failing under minor shear forces, cf. [Laco 74]. Neither the tangential slack arising from the bevelled
shape of keys, nor the resistance against pull-out or push-in by friction on the key flanks are taken into account.
Definition of Closure Surface: irreversible opening

U. i
.Vi -^-A" -']

'ma'immi' isU'li'UJUJllJtf
i.mm.m.mmA.Im^J \l
^ 6-w
i?tf*1Hg \
matched position shear damage displaced position
Fig. 5.15: Idealized shear key model
If
plastic shearing occurs at an intermediate position during dis- or re-engagement, this
position is memorized as new closure surface (Fig. 5.15); no attempt is made to determine
an inclined fracture surface [Niss 87]. It amounts to the premise that the trough below this
position is gradually filled with nibble from shear key damage (whereas the approach in DUCS
allows complete closure if the previously mated position is regained, irrespective of rubblization
[Skri 83]). When the faces are laterally displaced in the open position for a distance larger
than the previously eroded rnge (as given by the plastic shear displacements), their closing is
only permitted to the undamaged asperity height, unless the laterd displacement is reversed
to where the damage-free disengagement started.
The result of the

foregoing considerations is an isotropic degradation model, i.e. without
discrimination of the sliding direction. Certain other phenomena cannot be modelled either,
for instance the residud 'bump' upon first slip reversd (when the original mating position is
passed [Cde 79] [Atki 89]), or the run to regain fll contact of asperities in reloading [Ldb 74]
[Prui 87] [Bart 85].
Still, the model is rather involved, combining apparently for the first time and on three-
-
dimensiond joint surfaces -

mixed-mode softening, an asperity limit to dilatancy, and an inter
lock capability. These intricacies may not be needed in micro-mechanicd models for aggregate-
[Stan 90] [Vonk 91]. The increased complexity is a consequence of

mortar Interfaces in concrete
modelling cracking [Baza 86] [Peti 88] [Davi 89] [Noor 89] [Arsl 91]
shear fracture and 'mode II'
-
including micro-mechanicd fdlure in mode I [Swar 88] through a mixed-mode macro con -
stitutive relation. Particular for coarse finite element models it is an dternative to advanced
continuum models in blunt shear bands [Baza 84] or concept where joint elements are introduced
only after a developing discontinuity has been detected [Lim 87] [Rots 89] [Lars 90].
Chapter 6
Nonlinear Solution Technique
Under conservative loads the find configuration of open and dosed contact states does not
depend on the sequence of loading, even if non-proportiond [Saye 86]. Hence one can solve the
contact problem either by mathematicdprogramming, e.g. [Hung 80], or by repeated Solution
of the updated system of equations (2.2). In this so-called direct iteration method the
Euler
stress relaxation is eftected by reducing the elastic moduli in those dements which have yielded
in the current trid run and performing a new pseudo-linear andysis with the updated stiffness
matrix. The procedure is applied to joint opening and cracking of arch dams (e.g. under gravity
and hydrostatic load) and generally believed to give a safe lower bound to the load-bearing
capacity of the structure [Grob 75] [Ambe 82] [Ahma 90].

This assumption hinges on the applicahility of history-independent limit andysis for the
chosen constitutive law [Koit 60].
premise is Von-Mises' hypothesis of maximum dissipation
Its
[vMis 28], equivdent

which is to normality postulate [Druc 61]. Softening strength
Drucker's
contributions need be averaged for a given limiting deformation [Exne 79], tensile strength or
brittle failure phenomena be totally disregarded; all yield surfaces must be Unear and integrable
to the corresponding deformation theory of plasticity [Budi 59]. Under these conditions the di
rect iteration has been successfully applied to Mohr-Coulomb yidd criteria [Dune 91]. As stated
in 5.1, however, the combination with a non-associated flow rule for frictiond phenomena de-
stroys the uniqueness of Solution and introduces path dependency.1 Specid iteration techniques
have been proposed in mathematicd programming [Stav 86], some coping even with multivd-
ued response and locally unstable equilibrium Solutions [Bani 88]; these algorithms, which are
very much in the experimentd stage, are exempted from the present work.
The conventiond strategy attempts to follow the nonlinear behaviour step by step from a
Computing the response to load increments with the current tangential stiff
known initid state,
ness matrix. For Lagrange multipliers the constraint matrix would have to be updated at the
discrete events of joint statuschanges [Gaer 75] [Kato 81], and the same 'event-to-event' strat
egy could, of course, dso be applied to pendty joint elements with distinct 'switching points' in
their constitutive behaviour [Sehr 80] [Andr 89]. The regularization of the unilaterd constraints
to a pseudo-material nonlinearity, however, permits to employ usud incrementd/iterative
equation solvers without paying attention to the individud events of nodd Separation or sliding,
provided the elastoplastic Integration routine is sufficiently stable to accommodate severe State
changes. The chapter describes the implementation of Joint nonlinearity on element level.
'Therefore,as soon as friction occurs in displacement discontinuity lines [Jens 75], the lower-bound limit load
theorem of statically admissible stress fields does no longer apply [Druc 54] [Chen 69], although this effect is
seldom reased in the application to cracked concrete, e.g. [Hsu 82],
136 CHAPTER 6. NONLINEAR SOLUTION TECHNIQUE
6.1 Global Equilibrium

As typicd for finite dement methods, the nonlinear constraint or materid problem is split in
a sequence of successive boundary vdue problems, embedded in an initid vdue problem of
loads incremented with time [Berg 78] [Gada 84]. In absence of inertia effects, 'time' is to be
understood as a parameter ordering the loading sequence (notiond or pseudo-time).
Suppose the equilibrium between externd nodd loads {p} and internd equivdent forces
{f} has been established at a generic instant t of the loading history, except for an accepted
residuum {r} which were zero if the structure had behaved Unear up to this stage:
%tat =
{<P} {'f} {'r}
-
=
(6.1)
Taking t as path parameter, the path-derivatives {*p} and {'} could be used together with
the current stiffness matrix [*K] for an incremental continuation to the next stage:
|t+AtfJ |tfj + At [tK] |tJ + 0() {<P} + At {'p}

s =
(6.2)
The nonlinear response of the structure is thus linearized over the step At. The increment of
externd forces consists of an incrementd load vector {p} times a load multipUer, which is here
taken simply as At, so that loading is necessarily proportiond over the step length. With the
Euler forward differences2
At 1 At
i-(''-)
. .
., p p (6.3)
At V / At
,'
At V
î(n-'p)4 *7 At
the displacement increment is solved from:
{Atu} =
[Kj^l'+^p-'f}
{<+*<} =
{'uj jû}+ (6.4)
Devdoped from linear Solutiontechniques, such expUdt 'time marching' became very populr
for incrementd materid models and explains the emphasis on deriving accurate tangentid
constitutive matrices. In the 'event-to-event' strategy the length of the Euler step is adjusted
to the next corner point in the piecewise linear structurd response characteristic [Sehr 80]
[Andr 89], but only for exact step length and stiffness update the residuum would be zero.
6.1.1 Incrementation and Iteration
For larger number of joints the globd nonlinear behaviour may be rather smooth despite
a
piecewise linearity in the individud dement and would necessitate very small load increments.
For a slack switching of stiffnesses, however, the displacement increment will follow a path
driftedhom the true Solution by the amount {t+Atf} (Fig. 6.1 left):
{f} + [*K] {Atu} {t+Atf} + {t+Atr r}

= -
(6.5)
If the unbalanced forces were ignored, the next stiffness update [t+AtK] from an inexaet {t+At}
would also be in error [Argy 74]. Therefore the load increment in Eq. 6.4 should dways comprise
JThe notation {*'()} for quantities developing during the increment At leaves {A()} =
{At()i -
A'(0<-i}
for changes to them in subsequent iteration cycle.
6.1. GLOBAL EQUILIBRIUM 137
Ar,
P
Ar0 Ar, t+AtK2\ _
T+Atr
,+AtKijp^ rr__-
'-Af2
t+2Alr o-<*- -m
Af,
Atr l
'K
Alf
'o *\ Af2
t-tp .' '. .'
Euler
r
/ if [+A% t+Atf^ <+Atf2
'
U
> '
tn 1+IU I+Atu
t+Atu
X Au,
AIm
Au,
A,u,
Fig. 6.1: Incremental and iterative strategies
the previous end-of-step residuum [Stri 73] [Mond 77]:
|+Atp}_|tf} =
{'r+Atp} (6.6)
|Atrj =
jt+Atpj |t+Atf| |tr AtpJ |AtfJ
_
= + _
This strategy of performing predictor step with load correction represents a first-order
an Euler
'sdf-correcting' procedure [Till 73] and successfully limits the drift, but it will not result in a
sequence of equilibrium states.3
In order to improve the Solution vector, the residuum -

which represents the gradient of the
potentid to be minimized -
serves for an iterative equilibrium search of the kind
{AVi} {Atui} + C[A]{Ari}

=
(6.7)
starting from {Ar<>} =

{Atro} after the Euler forward step (6.4). Here [A]{Ar^} constitutes
the current search direction with a vector length adjusted by a relaxation parameter Ci- This
is essentially the sametechnique as used for the indirect Solution of linear equations, where a
trid vector is iteratively improved to attain the minimum of the potentid, Eq. 2.1 [Cris 81].
Convergence leads to {A'r} {0}, but the previous residuum must be included in this iteration
-*
to achieve also {t+A*r} {0} and to control the accumulation of termination errors from
*
different steps.
'It sometimes recommended for joint elements to avoid iterating to their exact status, arguing that the
very small remaining displacement discrepancies do not influence the stress state in the adjacent solid elements
(cf. Figs. 3.3 and 3.4). However, it may be difficult if not
impossible to regain equilibrium at a later stage of
the computation due to the very high unbdanced forces arising from the pendty stiffnesses. This questions the
practise to assume convergence after an iteration in which no joint condition changes occurred [Dowl 87].
If the residuum is expanded into a Taylor series about the Solution {A<r,+i} =
{0}, the
current Optimum search direction is identified by postulating
{'>} {*} +-
[] |w {A} + 0
({A}!) i 0 (6.8)
where {u*} =
{} + {Au} denotes the exact displacement vector for which the residuum must
vanish. If the control parameters p(t) can be separated from state parameters U(t) as tadtly
assumed in Eq. 6.1, i.e. {r*} = {p} {f*}, the iteration takes the form:
-
flf-i-i
{ui+i} -
{i} =
{Aui+i} =
{n} (6.9)
du
{il
The gradient is the tangentid [Ki], updated in each iteration; it is dternatively

stiffness matrix
referred to as the Jacobian or Hessian matrix of the equation system.4 This yields the (fll)
Newton-Raphson method [Bath 80a] (Fig. 6.1 right):
{Anw} =
[-"^{Ar.}
{i+AVij =
{<} + {Atui+i}={t+Atui} + {Aui+1} (6.10)
{Ari+1} =
{**p} {"fUi} {Ar,} {a$+1}
-
= -
Note that in its present form the iteration dgorithm works on corrections {Au;}, from
where the {A'u,+i} are computed to evduate the nonlinear response as increment {A'fJ+i}
with respect to the last converged state {*f} [Maag 85].
The method requires a suitable first estimate within its domain of attraction to converge.
It is known that sudden stiffness changes may pose difficulties to tangentid stiffness methods
due to the discontinuity in the Newton-Raphson iteration will arrive
gradient, and the modified
at a stdemate in such [Stri 73] [Sehr 80] [OCon 85b] (Fig. 6.2 left). In particular for
cases
the high pendty stiffness provided in joints very large unbdanced forces may arise, shooting
the iteration process beyond its radius of convergence. In this case an adaptive incremen-
tal/iterative strategy, which simply cuts the load step if the iteration falls to converge in
a specified number of cydes, remedies most situations, at least for the fll Newton-Raphson
method (Fig. 6.2 right). Although more efficient strategies could he devised e.g. based on
-
the current and previous rate of convergence, triggering step refinements by nonlinear events in
individud elements, etc. [Cris 88] [Hgg 89] the basic method will sueeeed if the convergence
-
problem originates from clustered nonlinear events which can be separated.

A counter-example has been presented in [Hohb 88b] in which a no-tension joint opened
up to a certain depth irrespective of the load increment: Convergence was only achieved in
fll Newton-Raphson iteration. Even then the convergence was slow and oscillatory with suc
cessive iterates 'bouncing around' with almost equd and opposite residuals.6 This could be
4Since the Solution of the Euler equations corresponds to minimization of the potential energy (J 2.1), the
internal forces represent the first derivative of a state function F,(u) i the tangential stiffness matrix is thus the
matrix of second derivatives of the state function:
M.] \JUL\
f(u) =
VF(U) => [Kij] = =
duj\ [duiduj]
In the terminology of variational calculus the Jacobian of f(u) is thus the Hessian of F(u), see e.g. [Litt 77],
*
J 3.2.1, the oscillatory response was largely brought about by the cross-influence of sampling
As discussed in
points and avoided for nodal quadrature, for which convergence in fll Newton-Raphson iteration was fast and
monotonic.
P P
u fll N.-R.
divergent
t+Atn-i'
fll N.-R.
convergent
-modified N.-R.
\*o.V, stalemate
modified N.-R.
stalemate
Fig. 6.2: Effect of load step reduction in Newton-Raphson iteration
avoided by applying the large unbdanced forces

gradually in underrelaxation with ( < 0 in
Eq. ('damped N.-R.') [Mond 77] [Cris 79] [Niwa 81]. A similarly moderation can be achieved
6.7
through iterative pendty procedures, Appendix A.2. If necessary, slack line searches could be
implemented to find a near-optimum length of the search step to the equilibrium path [Feli 88],
which were reported to be very beneficid in Newton-Raphson iterations [Hint 81] [Cris 84].
A remark is in order
concerning the variables to be included in the search direction. Solving
the incrementd boundary vdue problem requires not only to satisfy t+At 0 by a suitable =
diplacement vector {t+Atu} (the externd variables), but dso the compance of the internd
variables f+Atv} {t+AV, t+At^>,...} with the yield or failure condition t+At.F < 0. The lat
=
ter represents the (unilaterd) constrdnts under which the displacement field is to be optimized
for the miniTTimn potentid energy. To quadratic convergence
assure corresponding to the
-
truncation error 0({Au}2) in Eq. 6.8 -

the
gradient must be consistent in that the derivative
of internd forces in the direction {Au} involves all displacement-dependent effects [Hugh 78b],
[^(m+eAn) d(u + cAu) Ôi)

dl [W*o] e=0
_
=
[ du de e=0
A
(6.11)
i.e. the gradients T,y employed in the search for {Au} [Brau 86]. The residud forces
must be
come from both the unsatisfied

globd equilibrium and the unsatisfied locd failure conditions,
achieving convergence in and T simultaneously. Such simultaneous Solution is indeed achieved
in mathematicd programming by augmenting the usud equations for the nodd displacements
by the respective Lagrange multpUer equations for the internd plastic variables, e.g. [Mart 87].
Since, however, working on the Atv; at all Integration points at the same time requires
very large memory space, the two sets are usually solved in a staggered procedure: The
displacement estimates t+Atu,- are accepted by the constitutive routine as though they had
converged, and t+A'.F < 0 is solved exactly element by element (internal subproblem); if this is
done impUdtely, an inner Newton iteration results for Atv;. Each dement retums the internd
force vector t+Atf; and the dement gradient matrix t+AtK;. The globd residuum {t+Atr;} then
purdy t+A* ^ 0, if the internd forces do not bdance the externd loads (external
results from
subproblem). For every improved estimate t+Atu;+i the locd failure condition is solved anew.
Omitting these Updates in the internd variables, i.e. iterating the globd displacements for
a 'frozen' elastoplastic stress distribution and updating the constitutive Solution only for con
verged globd displacements [Bush 77], stabizes the iteration particularly in mixed materid -
and geometricd nonlinearity and enables larger increments, but it may change the red path of
-
the Solution [Cris 79]. Much the same reservation should apply to omitted Updates of joint states
(stick/sUp distribution), dthough on one occasion good results have been reported [Hehe 83].
To avoid the frequent update and refactorization of [A] [t+AtK?]-1, an already factorized =
matrix of a previous gradient could be used. Of these chord methods [FeU 88] the most
common is the retention of the stifihess matrix ['Kn]_1 formed at the start of the increment,
i.e. at the last equUibrium point (modt/ied Newton-Raphson). Other choices are equally possible,
such as the stifihess matrix evduated after the Euler forward step (delayed modified N.-R.), or
in some iteration cyde according to the rate of convergence (hybrid N.-R.) [Sheu 90], or even
the one of a previous stage [rKn]-1 (t < t). Of course, only the update of the gradient matrix
is avoided, whereas the internd forces *+At are regularly updated in the constitutive routine.
All variants can be coded together, deciding upon the stiffness update automatically ac
cording to the current rate of convergence or by interactive input from the andyst [Maag 85].
If [A] =
[T=0Kn]-1 is kept throughout the load incrementation, the modified Newton-Raphson
method degenerates to the 'initid stiffness method' (Jacobi iteration). The search direction is
then changed soldy by the updated internd forces.
There is an argument that the initid stiffness method is much more robust in such cir-
cumstances, since the corrective forces simply removed upon unloading, so that the elastic
are
behaviour is immediately recovered. Also, unfavourable Updates leading to singular or negative-

definite gradient matrices cannot occur, giving the method an edge in solving problems of soft
ening [Naya 72] [Owen 80] and non-associated behaviour [Verm 89]. However, in the case of
bifurcation, i.e. when of two or more simultaneously yidding elements one should soften and
the other unload elastically. The found state may belong to an alternative equiUbrium path,
which would not have been travelled with tighter controldong the origind path [DeBo 86b].6
6.1.2 Elastoplastic Iteration
In the specid case of elastoplasticity the vector of internd forces takes with the modulus
decomposition D"1* = D'

Dp (cf. Eq. 5.16) the following form:
{Atf-} {Att? Atff}

= - =
[Ke +AtKf] {Atm}

-
(6.12)
This means that the initid dastic stiffness matrix is reduced by a plastic correction matrix
containing entries for those elements in which yidd has occurred. If the entire plastic correction
is transferred to the right-hand side as residuum t+Atr,-, one obtains
{AW} =
{A*u,} + [r]"1{'r + A*p-A'ti}
=
[K<]_1 ({r + Atp} + [t+AtK?] {Atu,}) (6.13)
'it may be necessary to updated gradient [Prev 87] [Cris 88] in conjunction with path-following
use the true
methods: In addition to the Jacobian matrix [K] [dn/duj] they employ a control matrix [Q]
=
[dri/dpj] =
for mixed iteration on the residuum in displacement and load space no longer retaining a fixed <+A,p during
-
iteration and direct the Solution to the geodesically nearest equiUbrium point, cf. [Rhei 86] [Seht 86] [Bell 87]
-
[Ford 87]. This has been found helpful in establishing the correct sequence of irrecoverable material failure such
as concrete cracking [Cris 86] [Fran 89].
6.1. GLOBAL EQUILD3RIUM 141
where {Atuo} =
[K']~1{*r-r-Atp} gives the elastically predicted trid stress t+AV a s explained
later in 6.2.1. The procedure is referred to as 'method of successive approximations' (or

substitutions).
It is the plastic correction term that accounts for the departure from the linear behaviour.
Because of its appearance additiond
forcing term to an otherwise linear-elastic equation it is
as
referred to as 'initid loads'

'pseudo-forces'. It can be evduated without actually Computing
or
[t+AtKf] by dd of Eq. 2.39, implying that elastoplastic stress point dgorithms need not compute
a tangent modulus matrix:
{t+Atff}= [t+AtK?]{Atui} X;/iHrTAtofdr =

(6.14)
The pseudo-force vector contains contributions only from those elements being or becoming
plastic during the increment. The correct elastoplastic stress state Ato~; can be computed in
dther of two ways [Yode 84] [Stol 91]:
In the 'initid stress method' the totd deformation increment is spUt into an elastic and
a plastic part, and the corrective force is integrated as indicated above
-
from -
the
overshooting stress corresponding to the stress-free plastic deformation [Zien 69]:
At<r< =
(De -
Df) A% (6.15)
In the 'initid strain method', which originates from the task of finding the creep strdn for
a given stress [Argy 65], the elasticaUy predicted stress is accepted and the deformation
needed in the non-elastic materid for that stress to occur is computed:
MSi =
(DT1 At-i + "% (6-16)
While in the 'initid stress method' displacements will increase subsequently to the redistribution
of excess stresses (as in the 'no-tension method' [Zien 68]), the 'initid strain method' computes
directly the increase due to pseudo-forces Atff. This accelerates the convergence, provided the
materid finds a deformation state to sustain the predicted and accepted stress.7
Only in
one-degree-of-freedom problem the load level to which the Solution is iterated
a
appears fixed; for the individud element, the 'externd forces' are determined by the reaction
stiffness of the surrounding system to the unbdanced loads seeking redistribution, cf. [Wann 80].
An interesting illustrative example was presented for the case of an infinite joint stiffness in
compression [Caro 83] (Tab. 6.3): The block stiffriess infiuencing the rate of convergence ap
pears as slope of the reaction force. Note that for the redistribution of excess penetration the
iteration strategy need be changed from initid stress in the tensile domain to initid strdn in
the compression domain.
This switching seems not only cumbersome, it is dso unnecessary since the stipulation of
an ideally rigid dosure point is dien to the pendty concept. As soon as the maximum closure
point is regularized to a finite pendty stifihess [Hohb 88b], an excess stress can be found for
any amount of interpenetration, achieving rapid convergence with a stiffness update.
Since nonassociated plasticity gives rise to a nonsymmetric gradient matrix, one usually
has to resign to an approximate symmetrized gradient, as equation solvers for the fuU system
TIf this is impossible

as in ideal plasticity
-
a fictitious viscosity may be added to the nonlinear materid, cor
-
responding dashpot placed in series with the plasticising spring. Overshooting stresses can thus temporarily
to a
be endured and gradually relaxed to the steady state [Zien 74b] [Pand 75] [Klee 81] [Zien 85]. This technique
was employed in a thin-layer element as part of the used orthotropic materid model
[Schw 88].
Consider a system of a single block with an attached
joint series,
in restrained in their totd
length. The
block is supposed to be Unear elastic with stiffness
Stiffnesses:
kb, whereas the Joint has a nodinear behaviour with S
soft closure and progressive stiffening to a maximum
block kb= const. ^ o0b ^ 0J
closure 63me. At the idtid stress state the joint stiff ki
joint - f (o) ^
ness is %J.
If an unbdance in the stresses of the block and the
joint is generated due to a stress difference A*p and
suddedy released, it will be redistributed by a*8
At-fr
At*'6 =
Li.
kb
The new equiUbrium state is thus the intersection of

the 0--<5-curves of both elements. The iteration uses >V?5 i/b Solution of
^1K case 1
their idtid stiffness. Two cases are looked at:
1. Induced tension in the block reduces the joint's

precompression, joint the (top). softens The Solu
tion is found by usud initid-stress iteration, ac
cepting At6* and Computing the corrective stress:
A^+i =
[^ + *i]"1(AV-AW)
2. Induced compression in the block increases the
Joint compression, the joint stiffens (bottom).
Since there exists no joint stress for , < 6me, the
stress A*of is accepted instead and the displace
ment correction computed:
At
:,+i=[*+o*tiap-a'4
Note that the idtid elastic estimate uses the same
formda in both cases. The switch from initid-stress

to initid-stiain correction is decided from 6% < So-
Since the Joint stress-dependent working point,
has a
the 'elastic' stiffness of the joint and thus the rate

-
of convergence depends very

-
much on the initid
stress state.
Tab. 6.3: Goodman's example [Good 74] with a mixed iteration strategy [Caro 83]
are notreadily avdlahle [Desa 89b]. This was dso the case with the host program Flowers,
which appUes a Skyline solver to the upper triangulr matrix only. Although this restriction is
deplorable from the research point of view, it renders the conclusions from the following study
fairly representative for the use of joint elements in generd-purpose programs.
As the approximate gradient utiUzes a Symmetrie component of [t+AtK?], only the disre-
garded portion and not the fll plastic correction as in Eq. 6.13
-
enters the residuum as -
pseudo-force. The Symmetrie gradient might be constructed in two ways:
The off-diagond terms of the nonasssociated matrix could be averaged [CheE 81] [Hu 89].
To avoid loss of positive-definiteness, the contribution of the plastic matrix can be reduced
by a variable factor [Cram 80], which allows deUberate proximity to Eq. 6.13.
The gradient matrix of a corresponding assodated formulation could be adopted, dther

on the basis of T as plastic potentid [Fami 90] or of G as failure criterion according to
Eq. 5.26.
Contrary to experience reported dsewhere [Desa 89b], the approximation of the gradient should
only affect the rate of convergence but not the accuracy of the converged Solution, because -
if properly implemented the internd forces At use the exact constitutive behaviour. Cer-
-
tainly, with increasing deviation from the true nonsymmetric gradient the convergence Starts
to become exceedingly difficult [Verm 84] [Simo 85a] and may find the wrong Solution in case of
bifurcation [Prev 81] [DeBo 88]. In a recent comparison of iteration methods for a 2-D nonas
sociated smeared crack modd the convergence of fll Newton-Raphson iteration deteriorated
rapidly with a change from the nonsymmetric gradient to the pseudo-assodated gradient based
on G [Dvor 89]. Interestingly, with this approximation the modified Newton-Raphson method
fared by far better, not only in terms of CPU time but also in the number of iterations required.
Even better results were obtained with the (symmetric) quasi-Newton Updates of the gradient,
using the BFGS [Matt 79] [Gera 80] [Hint 81] [Rune 86] and the DFP formula [Humb 88]. The
unsymmetric Broyden update [Denn 77] should be the most efficient Solution technique of aU
for nonassociated plasticity, but Uttle experience is available as yet [DeBo 84]. A generd review
and discussion of efficiency can be found in [Marq 86] [Papa 91].
6.2 Stress Point Algorithm

Because the path during iteration is not an equiUbrium path, the intermediate non-converged
states must obviously not be recorded in the material memory and should not influence path-
dependent properties: For example, ifa particular sampling point has suffered an overestimated
displacement increment from Eq. 6.4, which as a result of redistribution of the residuals
- -
subsequently 'unloads' from plastic yidd, this yidd should not have been aUowed to occur in
the first place [Powe 81]. The same appUes, of course, to spurious cracking [Nam 74].
Such effects can be avoided in two possible ways: Either mathematicd reversibility oi plastic
deformation during iterations need be introduced [Holt 78] [Nyss 81], or the elastoplastic state
determination must be made 'path-independent' [Bath 80b] [Meye 82] [Dodd 87]. For improving
the stress state from *+Atu,-_i to *+AtUi, the arguments for the stress point dgorithm are
dternatively:8
path- dependent: path-independent:
(6'1?)
t+AV.i + Aui u + A'ui
In a one-dimensiond plot such as Fig. 6.1 the consideration of the intermediate states t+A*Uj
seems to promise a doser adherence to the path and smaller corrections in the
elastoplastic
constitutive routine than the increment Atu; the fll step
length. Since, however, the con
over
vergence of the Newton-Raphson iteration need not be at aU monotonic but may well approach
the find state from dternating sides [Cris 81], the plastic flow directions corresponding to Au,-
may vary sharply from one iteration to the next; their integrated effect may not adequately
represent the average plastic flow direction [Dodd 87]. This endorses the path-independent
strategy, which repeats the Integration from step begin in each iteration, but the longer Inte
gration paths pose higher demands on the accuracy and the stabihty of the elastoplastic stress
point dgorithm.
6.2.1 Elastoplastic Integration

The elastoplastic integration routine has the objective to determine the legd stress state for
a given displacement increment, which is not infinitesimd as assumed in Eq. 5.7 but of finite
size and may start from a previous equiUbrium stress state not lying yet on the failure surface.
The input displacement increment At6 during the step At is usually interpreted as proportiond
development in dl components at constant rate between t6 and t+At6.9

Finite displacement increments trespassing the failure surface are spUt into the elastic subin-
tervd p, which just reaches the surface without passing through a plastic state [Prag 49], and
the remainder (1 p) violating the failure criterion:

*t6 =
p*t6 + (l-p)At6 (6.18)
Two stress states are distinguished,
1. the 'trial' stress state: *+Ata' = *<r + Ma' . .
^
2. the 'contacV stress state: la =*a + pAta' '
'Note that for the Euler forward step (' =

0) the constitutive routine may be called with either 'u + 0 or
*-Alu + AtU(eo>Tt|d), depending on the instant of the displacement update in the main program.
*This assumption is arbitrary, giving the trial integration a locally holonomic (path-independent) character.
For dynamically baded sampling points, for instance, one might just as well assume a cubic displacement Variation
to fit the linear acceleration assumption of the main program [Bhat 81]. Of course, all results of the constitutive
routine are based on estimates of *+A'u\, which may not have converged yet (Eq. 6.17).
6.2. STRESS POINT ALGORITHM 145
Following Eq. 6.20],, the path of the stress

t+Ato"
point is integrated from ta with the tangent
moddus D*?. Altematively, AtA can be used
for an explidt return from the elasticdly pre / rate-form
dicted <+A,<r', as given by Eq. 6.202. Either consistent // P'f10

'
i return
way the found *+A'- lies in illegd stress space
for a convex plasticity criterion, because A'A
is based on the rate-form consistency condi
tion (5.5). The drifted stress state is 'scded'
back to the surface dong the approximate flow
direction at t+At.
In contrast, the implicit return mapping from plastic
the dastic trid stress over the totd AtSp re correctbn
quires the Solution of the 'incrementd'consis
tency condition F(t+At<r ,+Ax) = 0.
Tab. 6.4: Incremental consistency of elastoplastic integration
where De At = A'o*e has been inserted for the elastic trid increment. The common terminus
'contact stress' refers to the contact with the yidd surface and does not allude to the appUcation
of plasticity to frictiond contact problems.
computation of the elastoplastic

The stress state uses then one of the following equivalent
decompositions:
1. 'elastic prediction': t+M, = '* + f Dx)<*

J(i-e/(i-p)a<*
(6.20)
2. 'tangent prediction': t+At<r = '+At<re-B'J
Ja
\a^x)dX
Note that only the second method requires evduation of the contact stress state.10 When
hardening or softening occurs, not only the stress point but also the surface will experience
changes during the plastic process (Eq. 5.8):
t+"x =
tx+ I '(*')
dA (6.21)
Jo
During integration the stress point wiU tend to move dong the yield surface from the
the
contact stress a position t+Ato* which comes dosest to collinearity of stress vector and flow
*& to
direction. The integration in Eq. 6.20 can either be viewed as tracing the stress tangentid to the
curved surface, so that a non-constant plastic deformation rate may result from the constant
total deformation rate (Tab. 6.4); or, dternativdy, a predictor deformation is enforced on a
hypothetically elastic materid (externd subproblem), and in a second phase a suitable

- -
"Because it extends the split of the displacement increment to the constitutive matrix,
A4<r =
pAV + (1 -
p) [D* Df,iX)] A'* [pD*

- =
+ (1 -
p)Dx)] A'
the second method became also known 'partial stiffness approach' [Marc 65]. Recalling Eq. 5.16, it is simply a
as
matter of the sequence of computation whether to actually evaluate the matrix D* 0,<r wT as vector product

or rather the plastic scalar dA = uTd for a vectorial correction of the displacement vector (Eq. 5.7).
t+Ato HAto8
generalized trapezoidal rule generalizod mid-point rule
Fig. 6.5: Geometrical interpretation of return mapping algorithms
return mapping is sought to relax the iUegd stress state from the elastic trid stress State
onto the appropriate surface segment (internd subproblem) [Orti 83] [Simo 85b] [DeBo 86b].
This 'product decomposition' allows to include other nonUnearities in the predictor phase, for
instance damage or hyperelastic behaviour [Hugh 86].
For a continuous integrand the integration is performed numericaUy with weighted sam
pling vdues of the function. Modern treatments of the subject distinguish two basic famiUes of
algorithms [Orti 85b] [Rune 87]:

I Generalized trapezoidal rule:
Sp=
J G,adX ^{(l-Oygtr+O^G*}*** (6.22)
*x =
J cdx =
{(l-eyc + e t+Atc) At
a
The elastic trid stress is mapped by foUowing partly the initid flow direction of the
last converged state *6, partly the 'find' flow direction at the current estimate of the
end-of-step state t+AtSi (Fig. 6.5 left).
II Generalized mid-point rule:
Sp= [ G,adX =
t+'At&r AtA (6.23)
Jo
lX = f CdX = '+*AtAtA
Jo
Here, the mapping is performed on a suitably updated failure surface dong a flow direction
evduated for an intermediate state 0At (Fig. 6.5 right).
Severd famiUar methods result from particular choices of 0, where 0=0 corresponds to an
explicit forward Euler step, whereas the state t + 0M > t involves the unknown flow direction
the end of the step, which need be found in an implicit, generally iterative Solution procedure.
Spedd methods are the following:
0 = 0 : The tangential stiffness method [Marc 65] [Yama 68] [Argy 72] [Naya 72] mappes the
elastic trid stress perpendicularly onto the tangentid plane estabUshed in the contact
stress point l, because an attempted direct return with the initid flow direction might
fdl to meet the convex surface anywhere for large steps. The drifted stress state is
subsequently projected to the surface (tangent stiflhess-plastic corrector [Sehr 79]).
0 =
| : The secant or mean normal method [Rice 73] takes the average flow direction at half
the trid stress and lands exactly on the failure surface
as long as the rate of hard-
ening/softening is constant during the step. In more generd cases the flow direction
and the hardening parameter may be evduated at midstep, but without enforcing
t+$Atp q [pram 89]. This avoids an impUcit equation Solution in favour of an end-
_
of-step correction.
0 = 1 : In the Euler backward difference only the elastic trid stress is

computed and returned
to the failure surface by solving the nonlinear consistency equation for the find stress
state [Nguy 77]. Equivdent to the 'steepest descent' in Unear programming the mapping
thereby foUows the closest-point projection [Simo 85b], of which a consistent iterative
Unearization was devdoped as 'cutting-plane dgorithm' [Orti 85b].
The contact stress state is easily computed from the scalar equation (6.18), dther iteratively
by the Newton method or the Regula Fdsi, for simple surfaces also andyticay from a quadratic
equation [Hilb 82] [Siri 83] [Bica 89] [Gens 89h]. The satisfaction of the incrementd consistency
conditions during plastic flow is more complex, involving in generd nonlinear developments of
the flow direction and the hardening/softening parameter in function of an unknown A'A.
A sedar Solution of the consistency condition is only feasible if the plastic gradient remains
constant during the mapping, as is the case for the ided friction cone (Drucker-Prager surface)
with a strdght generatrix and radid projection in the deviatoric plane. With the Euler backward
difference
*-3 ("**-'*)-' ("*>

the end-of-step consistency then reduces to the incrementd consistency (Eq. 5.11). The gradi
ents are evduated for the trid stress state [Lore 86],
t+AtF=r. A
(da'-B'G,a Atx)=0 => AtA = ^ (6.25)
from where the Solution simply becomes
At
t+MT =
t+Mre_Atxt+MeKt ^ t+M^ =
*+
Atê _
Ay^ ( 2)
with t+At' =
*+Atr7|t+Atre|. For non-dilatant friction (von-Mises sUp potentid) *+A'A be
comes independent of t+A*o-n, and its evduation reduces to pure scaling of the trid shear
stress to t+AtT
rmax^^ t+At/3e. Note that this procedure is restricted to the Unear equation
=
of the friction cone

T^ (Eq. 5.592) and not suited for the dternative quadratic formulation
T7^) (Eq. 5.59i) [Hugh 86]; as soon as the plastic potentid is a nonlinear function of an, the
flow direction of the trid stress state is but an approximation plastic normd at the
to the
find stress state [Sand 79]. The Jacobian matrix for a proper Newton-Raphson iteration would
contain second derivatives of T and Q with respect to a and x [Simo 85b] [Stan 90] and re
quire an apriori estimate of the plastic multipUer AtA to compute, for instance, the amount of
hardening/softening during the step.
t+At<t
<>' /J. D8i(&,8?+4'o)

01, 4 /
i
i
/
s^*&% /
/
i
i
^' / /D^S?
t+% / two-stage Runge-Kutta
%*, with 0=\
9^2
Fig. 6.6: Geometrical interpretation of the 2?d order Runge-Kutta algorithm
6.2.2 Proposed Algorithm

A quasi-impUcit Solution in an expUcit manner can be achieved through Runge-Kutta formu
lae, which compute intermediate stress states t+9^ta- with phoney gradients before they 'jump'
to the find state with wdghted flow direction. A two-stage version labded sometimes (in-
a
-
correctly) as Heun's method performes two successive Euler forward steps over the fll length
-
of the increment [Hilb 82] (Fig. 6.6): the first with the flow direction of the contact stress state
ta, the second with the flow direction according to the stress state t+At"i obtained from the
first trid. Theplastic displacement increments from both trials are then averaged for a resul
tantplastic mapping. Depending on the acceptable drift, the second pass could occasionally be
omitted and a plastic end-of-step correction performed instead (Appendix F).
The accuracy of the different methods can be assessed from the comparison with andyticd
formulations [Krie 77] [Sehr 79] [Lore 86]. The three 0-variants of the trapezoidd method show
their Optimum for specific combinations of step length and step direction. For the sUp circle
with zero dilatancy the Euler backward scheme reduces to the radial return method developed
for von-Mises (J2) plasticity [Wilk 64], the Performance of which is given in terms of iso-error
contours (Tab. 6.7). The increasing deterioration with step length for the radid return in -
tangentid direction -
substepping schemes, which break the overshooting

motivated severd
trid stress into a [Marq 84], employing criteria such as the length of
number of subincrements
the plastic path or the rotation of the flow direction during the increment. Substepping is needed,
of course, for all incrementally nonlinear models not disposing of a yield surface [Boul 90b], but
it appears dso useful for the elastoplastic tangentid stifihess method [Sehr 79].n
Runge-Kutta methods are advocated for more integration in problems of large

accurate
strain, such as in metd forming [Wiss 83] [Sloa 87]. However, as evident from the error maps
11
The mapping firom the elastic trial stress is ody first-order accurate and converges to the exact path inte
gration for an increasing number n of subincrements J At [Chor 78]. For simple plasticity models, the additional
computational eftort compared with a single-step radial return seems not warranted by the modest gain in ac
curacy, but for complex hardening/softening rules [Chap 87] or advancing/receeding corner stress states it may
become vital [Herr 82].
6.2. STRESS POLNT ALGORITHM 149
In the adjacent error map for the radid return

method the shear stress components on a sUp
circle correspond to as introduced
tj| and tj.
-
in Table 5.6 -
for a udt shp circle radius.
Compare the integration of a long displacement

step At6: During sliding of the stress point to
ward alignment of the find stress vector *+A'r
with the incrementd displacement vector, the
largest angle described is 90. An angdar er

ror of 10, for example, means that the stress
point traced out only 80 instead of 90. For a

purely radid step the radid return gives the ex
act 0, since the displacement vector is collinear
with the contact stress vector.
The two maps below give the results for Sin
r
gle steps with two Runge-Kutta schemes: for 12 3 4
'Heun's method' (2nd order) on the left and the
tangential stress At m
/xmax
4th-order method on the right.
12 3 4 12 3 4
tangential stress At tangential stress Ax..rtmax

||/Tmax
Note the substantid negative angdar for radid step lengths Ar > 2 rmax: E.g. for
errors
arctan(ATi/ATji) = arctan 5 79", the stress point is computed to move to 99, failing on the
wrong side of the purely radid step. The reference vdues were derived by the 4th-order scheme with
20 substeps per AT/Tmo, giving 100 steps over the fll width of the plot.
Tab. 6.7: Comparison of the angular error of elastoplastic integration algorithms
(Tab. 6.7), they cannot be used without substepping. Based on a sequence of Euler forward
steps they areonly conditionaUy single-stage stiffness method [Argy 78]
stable similar to the
[Nagt 81]. Alarge negative angular error for Atj| < rmaa. occurs if due to step length the first
mapping in Fig. 6.6 gives a surface normd at an grossly overestimated angle, so that the second
return stress t+At2 falls on the opposite side of the contact stress state, cf. [Vos 73]. The same
phenomenon was recently observed for the 'cutting-plane' dgorithm which dso employs the -
surface normd of the trid stress state [Feen 89b] -

if the radid trid stress exceeded twice the
radius of the yidd surface [Orti 85b].
The locd truncation error is approximated by

the difference between the intermediate stress
states[Gear 71]. The aposteriori error used for
accepting the kth substep is given by:
\("<r2
-Hl
-
"n)
Rh+i <TOL
lll+A**ll.
The step size is then adjusted according to:
JTOL
q = 0.8
0.1 < q < 2
*+i
Repeating the problem of Tab. 6.7 with the

second-order Runge-Kutta method, the contour
lines give the number of substeps for TOL =
10~2. Without 12 3 4
any further drift correction the
angdar error remdns less than 0.2 with a max tangential stress Axftmax
imum drift distance of about 0.3%rmae.
Tab. 6.8: Adaptive substepping for the Runge-Kutta method (after [Sloa 87])
The locd truncation error can be used for

adaptive substepping to comply with a speci
an
fied error [Wiss 83] [Sloa 87] (Tab.6.8). The substepping renders the mapping from
tolerance
the elastic trid stress similar in effect to a piecewise linear integration foUowing the yield sur
face. Depending on the acceptable drift accumulation over the increment, a slack substepping
constraint may be combined with an end-of-step correction.
As theplastic redistribution of stresses spreads over a larger region of the structure, however,
the inherent assumptions of a Unear displacement increment may be grossly violated [Krie 77]
[Argy 78]: No matter how closely the failure criterion is foUowed and how accurately the flow
rulesintegrated, the System is only in equiUbrium at the beginning of the increment; the dis
placement state t+A'u< used to compute the end of the constitutive step is yet a non-converged
interim result.12 Nevertheless, the substepping is supposed to be important because in the path-
independent strategy of Eq. 6.17 relatively large Integration paths may result even from modest
displacement increments, since the elastic displacements until sUp are rather small due to the
pendty character of the elastic stifihess k.j.

Another reason for chosing a substepping scheme in the present work is the strong curvature
of the failure surface, particularly in the rnge of small joint compression. Altematively, the
double mechanism with coupled softening in shear and tension ( 5.3) need be handled, in
which during single step a stress point may change the active surface segment or a segment
- -
may even overtake a stress point and where spUtting the totd step into phases of different active
mechanisms is dso rather convenient.
Runge-Kutta integration is called whenever a contact stress point has been found
The
on dther surface segment and plastic loading is indicated; as a particularity of the coupled
damage formulation the onset of joint opening is part of the plastic integration routine. This
results in a double loop over the stress evduation within each subincrement (Fig. 6.9). The
"ideally, the information of excessive plastic deformation should be fed back to the calling load/time stepping
routine in order to reduce the global step sise for a tight path adherence [Trac 81]. Higher-order plastic integration,
which complicates the stress point algorithm, is usually avoided for this reason [Samu 80].
Plastic Integration Routine
/ set \
Wjbmcremeny
trial stress
(or
subincrement
y^ tensile >v y^ sh<

n
S-
failure>^y >^ fall jny' n
''
? 1
pl. multiplier pl. multiplier pl. multiplier

in shear corner State in tension
i, i
^^botfN.
n
^ surlacos ^S
n
return
mapping
accumulate
tensile
results
softening
modulus
pseudo -
addto
associated elastic
slip modulus modulus
double -
mechanism reduce
modulus
plastic
part
Fig. 6.9: Flow chart of the Runge-Kutta integration routine
active surfaces are determined from the subincrementd trid stress and the plastic multipUers
computed according to Eq. 5.76. The subincrement size is computed (Tab. 6.8) and checked for
discontinuity points ('damage events') in the softening law and premature termination of the
plastic path due to disengagement. The change of surface activation results automaticaUy in a
cut of the subincrement due to discrepancies in results from the first and the second pass. After
the plastic integration is completed for the given displacement increment, an approximate joint
element stiffness matrix is constructed dong criteria explained further bdow.
Although severd apriori checks of active surfaces have meanwhile been published for im
plicit return methods [Cris 87a] [Rune 87] [Simo 88] [Pank 89], the predictor-corrector concept
was chosen for its flexibity in implementing and testing such different constitutive models.
The 'master materid routine' screens the stress states for the need of plastic integration and
Master Material Routine
'
call from
sampling
point
@ checkfor
elastic transit
secondary opening
encountered during
plastic integration
trial stress
plastic
)*-
contact r
definitive,
zero stress,
el. stiffness
stress [integration zero stiffness
screen &
print Output return
>
Fig. 6.10: Flow chart of the master material routine
computes the contact stress state if necessary (Fig. 6.10),

passed on to the which is then
Runge-Kutta subroutine. Note that the early Separation of coding into elastic, tensile, sUp and
corner behaviour is avoided in favour of a main plastic integration subroutine for all illegd stress
states. The master routine handles only completely elastic or separated states; even there it is
checked whether the displacement increments are large enough after unloading as to reach yield
on a different surface segment (elastic transit) [Hb 82], in which case the plastic integration is
resumed for the remaining plastic subintervd.

As another particularity, the state of 'secondary' opening is activated at the end of tension
softening or loss of engagement of surface asperities in sliding, in which instance the plastic
integration is hdted, the accumulated plastic displacements are frozen, and the remainder of
the displacement elapse freely at zero stress. Upon closure, the plastic
increment aUowed to
as weU as the free relative displacements are checked to find the appropriate closure point
(Fig. 5.15). It is important that the elastic displacements are zero when Separation occurs, if
errors after dosure are to be avoided [Coul 82] .13
"Presently the tolerance for the stress return to the failure surface is taken as 1 percent of the current slip
circle diameter or tensile strength to either side of the surface. The question of tolerances is somewhat delicate,
because the tolerance band is used for the return whereas the onset of plastic loading is defined exactly on the
surface (contact stress point), cf. [Hugh 86]. Endless Newton iterations, false unloading, or other surprises may
be encountered. Also the combination of the adaptive substepping tolerance with the return tolerance and their
interaction with the apex offset parameter C (>f < 1) b the constitutive model (Tab. 5.7) need be observed.
6.3. PERFORMANCE OF THE CONSTITUTIVE MODEL 153
6.3 Performance of the Constitutive Model
The constitutive modd can be tested in

displacement control by prescribing various displace
ment histories to the nodes of single joint dement to study the stress point dgorithm done
a
(e.g. Tab. 6.8). Since the integration uses a mapping procedure, the elastoplastic modulus ma
trix was not rdevant at this stage at a. For tests under load control, however, it determines the
success and speed of convergence. A versate test geometry is needed, which permits adjustable
displacement constraints to foow locay unstable softening paths.

For ease of interpretation, a soUd block was placed between a top and a bottom joint as
-
3-D version of the geometry in [Good 72] and loaded such as to achieve equd response at
-
a quadrature points, free of rocking components. Additiond joints on the verticd sides were
provided to stabiUze softening under load control by acting as dastic supports with the Option
of providing 'springed loads' through a specified initid joint pressure. This makes the example
resemble a triaxid laboratory test, necessitating fourfold nodes in the cube corners (Fig. 6.11).
The Joint dements are dso integrated to nodd Springs through use of the 2x2 Lobatto rule.
Depending on the softness of the Springs in relation to the other stiffnesses envolved, this
configuration may provide a very lucent and discriminative numericd test set-up for constitutive
modds of the soUd element [Hb 86]; only here it is used to test the joint element behaviour.
Consequently, the shear forces are appUed evenly on a corners of the cube so that its modulus
of dasticity becomes only relevant for the degree of restrdnt it provides to the dilatant top and
bottom joint.
At the present stage, the correctness of implementation of the model is to be checked,

regarding its convergence for arbitrary dilatancy, sensitivity to the increment size, convergence
in softening, distinction of softening from unloading (bifurcation), reUabity in changes of the
active surface, and the correct transition from plastic states to joint Separation and back agdn.
In accord with the gradud developments of the model Chapter 5, the foowing three ranges
Constitutive Test Example:

solid cube (2x2x2 Gauss)
E = 103
v =0

horizontal joints (2x2 Lobatto)
Kn Kg variable
=
<t> -
35, v and ft variable
Xlr.X2rvariable

vertical joints (2x2 Lobatto)
Kn=103
Fig. 6.11: Setup of the Joint constitutive test example

are considered separately:

1. the frictiond segment with nonassociated sUp rule
2. the tension cut-off with purely normd increments
3. the coupled damage mechanism in tension and shear.
Only the generd capabity of reproducing important features of Joint behaviour wi be studied,
looking for plausibity rather than caUbration. Detaed curve-fitting of experimentd data may
we require more developed softening laws than those in Tab. 5.14, but it would not invaUdate
the suggested plasticity concept.
6.3.1 Example of Pure Shear
The deviatoric Performance is demonstrated first for the hyperboUc friction criterion. As-
suming <j> 35 and ifi
= 0 for the basic (residud) friction cone, the mobized friction is
=
computed from Eq. 4.11 in function of the normd stress in the joint. A purdy radid loading
phase (II) is foowed by a purely tangentid loading phase (I) for three different sUp circle
radii (Fig. 6.12).
The sUding distance in each increment is govemed by the dastic stiffness of the laterd
stabilization; they are length

of constant increments, except for the purely
for constant load
tangentid increment at the beginning of phase UI, which exhibits an overstiff behaviour due
to the elastic character of neutrd loading in smooth-surface plasticity. The discrete Symbols
indicate the stress points resulting from loading in one step per phase, whereas the continuous
lines were computed with five steps per phase. Although automatic substepping was used in
either case, the single-step computations show a sUght angular slack the origin of which is not
immediately apparent.
Although the dilatancy is not zero, the normd stress remains constant due to uninhibited
override under constant externd stress. Only in a fourth loading case, the top face of the upper
joint is locked upon reaching the initid normd stress an 1 MPa, so that the dilatancy
=
in an increasing normd stress.

developing from the subsequent shear loading results
Each of the four loading cases is run in three variants: (a) without damage (x2r ?<); (b)
damage based on accumulated sUp distance (x2r = 200 mm); and (c) limitation of override by a
given asperity height (Dn 5 mm). Observe that the

= latter criterion does not act as a sudden
terminator of dilatancy but rather appears as an accelerated loss of the geometric component.
It is computed as product of (X2r/Dn) times the effective datancy factor (Tab. 5.14), which
itself is reduced during the retraction of the hyperboloid to the residud friction cone. This
results in a large initid acceleration of damage occurring mostly during the radid loading
-
phase II -
which levels off, dthough no decay function has been used.14
Because of the displacement- driven character of the direct stiffness finite dement formulation
-
passing to the constitutive routine trid displacement states which are fixed during the stress
point integration
-
the Situation of 'free override' involves false confinement stresses, which
are subsequently globd iteration cycles; this drives the stress point up the friction
relaxed in
surface unless zero dilatancy is specified. The temporary change in an is particularly costly (in
terms of substepping) for strong curvature of the generatrix, i.e. in the rnge of small |crn|. The
Option to degenerate the hyperboloid to a friction cone with constant slope (i is economicaUy
rather attractive because it allows to dispense with substepping for radid steps, irrespective of
the degree of confinement.
"If the opposite characteristic were preferred, i.e. an increasing rate of damage as the asperity height is
approached, the algorithm would have to be modified by Computing the remaining 'way to go', Dn This
could be accomphshed in a bounding-surface type formulation as mentioned in 5.2.3.

Tests on the Friction Hyperboloid
load cases: phases of loading:
phase I : compression
phase n: radial
phase ni: tangential

_
No 2 -5 MPa
an=
-
No.3 -1MPa variants:

O on=
a -
no damage

No. 4 A_ = const b -
roughness lost
after 200mm slip
c -
asperity height 5mm
run description (* - screen Output below)
"ti 1i 1i r -iiii- p
0 20 40 60 80 100 120 140mm |S| 2 4 6 S 10 MPa

t, 0 20 40 60 80 100 120 140mm |8.tl
shear resistance vs. displacement rotation of shear stress override with slip distance
No. 1a No. 2b No.3c
example of small dilatation example of shear damage example of override iimitation
case 2b: screen Output of final State

DIRECT ELEMENT OUTPUT STEP 11 TIME 30000 CPU 400
(EL NO 1) <CONT > 1TER 3 S -LEFT 0 KEYPd NO

61 % damage to cohesion and dilatation
Ouadrafcn Point Data In Locd n t | Ofbnftiton
- Pohl * 1 at xiMa - 10000 1000
tot dfepl ee platt tot atasa tangent moduki (0 96 pfaatfc)

corresponding reduction in mob. friction
-n- 000t 357 0 006357 50000 99946 412 -23 33
t- 0069978 0069952 00255 412 99997 53t
0065194 0 0603*7 4 8066 -23 33 -5.31 0 57

1
end-of-step continuum tangent modulus,
Tensfl akanglh 0000 CanartWtoo 0M..Q. 1000%
Apparant cohaalcn 154 Rou^KMM dMnag. 61 3% (symmetrized, non-negative diagonal terms)

ErtwHM Metten 0735 Or MHnM.r.<4 4014
Effect dlataion 0 023 2ml-o plMllewaifc 4SME-03

negative direct stiffness ratio (softening)
SELECT 1 -
CONTINUE OUTPUT OF CURRENT ELEMENT
2 INPUT NEW ELEMENT NUMBER
6.36mm exceeds
.
3 - INSTANTANEOUS PRINT OF CURRENT ELEMENT OUTPUT

5n =
asperity height
O-OUIT
Fig. 6.12: First test, examining the slip behaviour on the hyperboloid
156 CHAPTER 6. NONLLNEAR SOLUTION TECHNIQUE
Convergence of Iteration in Softening: reaction by surrounding material
"
5
initial elastic stiffness secant stiffness zero stiffness
Fig. 6.13: On the question of stiffness matrix update in softening
Theprint-out of the element Information which is available on screen during an interac-

-
tive computation [Ande 84] gives the total and accumulated plastic displacements, certain
-
characteristic Information on the softening behaviour, and also the modulus matrix to be
retumed to the main program. It is computed for the retumed trial stress state at the end of
substepping, using the concept of a Substitute yield surface based on the plastic potential and
an equivalent hardening ( 5.1.2). It gives smaller off-diagonal terms and is thus less prone to
loss of positive definiteness than alternative symmetrization by simple averaging. Note for the
depicted case 2b at end of phase I that the plastic correction to the joint modulus matrix was
reduced to roughly 98% in order to avoid a negative term d\p due to ongoing slip softening.
6.3.2 Example of Pure Tension
Obtaining equilibrium on a softening brauch requires a compatible locus for post-peak Solutions
as given by the reaction of the surrounding material. It must be stiffer than the softening modu
lus of the failing element, or the weak element fails in a brittle, unstable manner [Bica 84]. This
behaviour is usually referred to as 'snap-back', arising despite local constitutive softening from
the energy stored in the unloading parts of the structure [Sehr 84] [Cris 84] [Cris 86] [Otto 86]
[Baza 87b]. Lowering the elastic modulus of the solid or adding more unloading material both
provoke snap-back. In the test configuration the reaction stiffness is the inverse of the added
compliances of the solid and the unloading joint element.
Several possible modulus matrices to be retumed to the main program for fll Newton-
Raphson iteration were tried: the initial elastic (penalty) stiffness, a secant stiffness which -
would depend on the previous end-of-step stress point before softening commences and quasi- -
zero stiffness in tension (Fig. 6.13). The first Option may not sueeeed in an acceptable number
of iterations if the elastic penalty stiffness were chosen very high; the second Option, although
reliable in uniaxial softening and hence frequently adopted (e.g. [Ingr 84]), is not straight for
ward if softening in one direction is accompanied by another nonlinearity at the same stress
point. Simply employing a quasi-zero stifihess turned out to be the best Solution.15
"Depending on the stiffness contribution of the adjacent solid a slightly negative Joint modulus would be
feasible, but the devised check fot nonnegative diagonal terms (Fig. 6.9) retums routinely a minimum positive
value.
Tests on the Tension Cut -

Off
load cases: load historv:
p"
r
-~~$|p-4- pi? 5
200-
3
100"
jp_5 |1
pt I *
p ^HP
1*777777777**
V77777777** 0 1r
r
i
2
i I
4
I I
6
I
No1 No.2
run description
"n
MPa
State 1':
recovered nonlocalized,
roughness both joints
soften in tension
bottom joint
4 18 loaded in tension
top joint loaded in compression

response case 1 response case 2
OinECT ELEMENT OUTPUT STEP 3 TIME 30000 cm 17 case 1: screen Output of state 3
(EL NO 3) CONT (TER 3 S LEFT 03 Ewn NO
Ouaoratira Point Data in Local n tOrianMon

100 % damage to cementation
-* Point 1 at xtM*. '10000 1000
tot pl aoc ptacL totakaaa tangantifioduluK (lOOpkaaSe)

-n- 0072000 0080000 00000 010 000 000

72 % loss of rougness
-* 0000000 0000000 00000 000 000000 000
4- 0000000 0060387 00000 000 000 100000 (impending disengament at Dn = 10cm
Tanata akangtfi 0000 Camontaton darnaoa 1000%
App arant oonaalot 072 Rouojnnaaa vanapv 720 % *

corresponding reduction in both the
Fffacava Mcaon 0700 Os Miaaarafo rato 40213
apparent cohesion and effective dilatation

ElfecsVadlaMon 0028 2nd-o platte wortt OOOOOE.OO
SELECT 1 . CONTINUE OUTPUT OF CURRENT ELEMENT
2 - INPUT NEW ELEMENT NUMBER

*
preserved shear stiffness until
3 -
INSTANTANEOUS PRINT OF CURRENT ELEMCNT OUTPUT
o-ourr
disengagement is complete
Fig. 6.14: Second test, examining the purely axial opening/closing behaviour
purely axial opening and closing is investigated next, high-

With this strategy, the
lighting the difference between softening, plastic unloading, and reversible crack opening. The
block/joint assembly (Fig. 6.11) is restrained at bottom and top so that the sum of vertical
displacements of the block and the two horizontal joints remains constant. (Since the joint
elements at the four sides have no shear stiffness, they are inactive in this example.) The two
loading cases axe asymmetric/symmetric force histories evenly applied to the nodes of the solid,
the former lifting the block and putting the bottom joint in tension, the latter squeezing the
158 CHAPTER 6. NONLLNEAR SOLUTION TECHNIQUE
block in compression and causing tension in both joints (Fig. 6.14). To demonstrate stable
softening for the low reaction stiffness as given by the arbitrary material data (Fig. 6.11), the
length of the softening branch was chosen to a fictitious wmax x\r 6 cm. =
=
The unloading from opening works as described in 5.3.1: From the softening branch it is
allowed to occur in a fully plastic manner (elastic penalty stiffness, path 1-2), while after the
end of softening the joint must close first to the end-of-softening displacement wmax, standing
for a supposed mismatch of the rugosity created during rupture (paths 3-4 and 5-6). As shown
in the screen output, the loss of roughness due to disengagement which during softening is
-
controlled by the plastic normal displacement Sp is for Wmax < Sn < Dn given by the total
-
opening displacement and assumed reversible. This means that upon closing the engagement is
restored and the roughness recovered to the percentage corresponding to vjmax- This and can
be visualized as 'hardening' of the friction cone (lower insert to 'case 1'), while the stress point
stays on the tension cut-off plane. The elastic shear stiffness is retained as long as the tension
softening mechanism is the only active one and the asperities are supposed to remain engaged.
The behaviour for Symmetrie loading in 'case 2' is generally similar to that in 'case 1',
provided the softening has localized in one of the two joints. If both joints are defined equal,
however, the Solution will first be sought along the non-localized path where both joints soften
simultaneously (state 1'). This path is unstable, because it does not represent the energy min
imum [Rune 89b].16 Depending on the specified iteration tolerance, the round-off error will
introduce a perturbation with a sudden bifurcation of the path and convergence to the sta
ble localized state (1) with unequal stresses in the two joints inspite of Symmetrie loading.
The present algorithm is not only capable of identifying the weaker joint with a slightly dif
ference in strength or softening rate, it also gives the correct elastic unloading if localization
is detected later during iteration. This is only possibly through a strict implementation of the
'path-independent' strategy, which integrates the plastic deformation always with respect to
the last equilibrium state (Eq. 6.17). One major reward for implementing post-peak softening
is this capability of finding a localized Solution simply through iteration, i.e. without the need
to distinguish between individual peaks of different failing elements in event-to-event stepping
[Bica 88].
6.3.3 Example of Coupled Damage

The last example puts the coupled-damage implementation to a severe test (Fig. 6.15):
From a stress point located on the frictional failure surface with a coneurrent tensile stress, six
different paths of
equal length explored, reaching
in stress space are shear/compression from
increments (path 1)
to loading 'into the wedge' as discussed in 5.1.2 (path 6). Since the upper
and lower 'platens' of the test assembly are again assumed rigid, shear slip will be accompanied
by restrained dilatancy tending to drive the stress point into the compression rnge; it then
depends on the coneurrent tensile load component, whether or not the retracting surface corner
due to loss of cohesion -
catches up with the stress point and inacts simultaneous shear and
tension flow. The path length is sufficient for the stress point to move on path no. 6 around the
apex, changing the sign of the shear stress.

Thedamage parameters have been chosen as xir 10 mm and xir = 50 mm with an
asperity height Dn 20 mm. To ensure a Symmetrie behaviour of the top and bottom joint,
=
localization of softening is prevented through a stabilizing shear stiffness in the lateral joints.
The behaviour of the nonlinear horizontal joints is monitored in terms of stress vs. total dis
placement, both in the opening and shear direction. Starting from the same contact stress state
"The same Observation can be made in smeared cracking, for which also a diffuse crack pattern gives a stiffer
response than it would be the case for the localised final mechanism.
failure surface:
Tests on the Coupled Damage Mechanism
I : hyperboloid, i/o = 0
II : hyperboloid, u/0 = 35
applied loads: load paths:

IU : hyperboloid, v0 = 0
î/" ||A<j"|| =
10MPa
lateral
30 angles
stabilization:
N \! [.-.-io
Bi^v^S |... i
i'M?.*^ I
VVVZVS
run description, starting from common stress point o
tension and shear response for paths 1 to 6
r
case 111 -
6: screen Output of first step (1/10
PI
DIRECT ELEMENT OUTPUT STEP- 3 TIME . 30000 CPU 344
(EL NO 1) <CONT > rrcn 25 S-LEFT 9 KEYPR . NO
Quadratur Point Data In Local n * tOrtontaHon

zero dilatancy ("slip circle")
-+ Point # 1 at iriMa . -10000 -1 000
tot <*?( plaal tat ini tangantmoMua (1 OOplarfc)

loading into the
ee
n 0001868 ooooooo 18660 100000 ooo 0 00

wedge
0 0016940 0 000319 1 3757 000 1934 93 000
-t 0 000000 OOOOOOO 00000 000 000 1000 00

modulus matrix seemingly diagonal
Tanaw rtanojn 1936 Camantatcn damaga 32%
due to symmetrization with v 0 =
Apparant cohiticfi 0729 Roughnaw damag 06%

E*tfv* Meson 0700 Ok affin* rafeo rako 1 1253
Efleethwditaiotfon 0000 2no*-o pfaaUcwork -

0 21OOE-03 ep
overstiff behaviour, 1
.93ks

Ds =
SELECT 1 - CONTINUE OUTPUT OF CURRENT ELEMENT

2 -
INPUT NEW ELEMENT NUMBER
3 -
INSTANTANEOUS PRINT OF CURRENT ELEMENT OUTPUT

negative 2nd-o. plastic work
O-OUfT
due to softening
Fig. 6.15: Third test, examining the coupled damage behaviour
on surface, three different cases are tested: (I) the hyperbolic failure surface with
the failure
zero dilatancy for an < 0, (II) the same hyperbolic failure surface with associated flow rule,
and (LTI) the truncated friction cone of zero dilatancy, with its cohesion adjusted to match the
contact stress state.
The above choice of damage parameters is seen to lead to three, more or less distinct phases
in the response: fast coupled softening of the cementitious cohesion until the tensile strength is
lost, followed by a markedly slower softening due to frictional wear, and its final accelleration
due to impending asperity override. This is particularly pronounced for the associated case II-3,
where the tensile stress increment is over-compensated by the compression arising from the large
restrained dilatancy (t^ 35). As in the first test (Fig. 6.12) the compression would steadily
=
increase with further slip, if it were not for the override limitation, which enforces a sharp return
to the apex of the residual friction cone. Even the sign

case TJ.-4 shows some reversal of the
normal stress interesting to note that such sign reversals have indeed been
during softening. It is
observed in mixed-mode experiments [Noor 89] [Hass 91] and falsify the common assumption
of no interaction between dilatancy and opening displacements ( 5.3.1).
Loading into the wedge in nonassociated slip (cases 1-6 and III-6) encounters indeed the
overstiff behaviour discussed in 5.1.2: The elastoplastic modulus becomes larger than the
elastic penalty value, inspite of the overall softening! That means, the updated gradient will
result in aslower convergence than the initial stiffness, suggesting again the use of a reduced
plastic modulus.
Also during the subsequent sign change in shear, the hyperboloid with associated flow rule
near the apex [Caro 90] behaves very similar to the truncated friction cone: The transition
exhibits a reversed slope resembling snap-back [Bocc 88], which in fact is a short phase of
unloading in shear, when the shear path becomes neutral to the plastic potential.17 It is a
major advantage of the double-surface formulation to permit non-associated behaviour right to
a singularity at the apex [Hohb 92a]. This is demonstrated in case 11-6, where no such unloading
occurs.
1TThe choice of the {-parameter (Tab. 5.7) determines the length of the cut-off segment to be traversed, which
shrinks toa point fox C ? 0.
Chapter 7
Performance in Dynamics
The debonding of an increasing number of joint elements may result in an accelerated motion,
indicating loss of stability. Since, however, the eigenfrequency spectrum of the structure is
shifted to lower frequencies, the computation of the dynamic response is not particularly critical
from the numerical point of view. It is assumed that the relative velocities of substructures
along the joints are small compared to the compressive and shear wave velocities of the base
material. This seemingly excludes problems of impact and wave propagation. But the rather
severe stiffening of the structural response in rebonding due to joints changing their status
-
from open to closed and sliding to sticking entails a rise in the eigenfrequency spectrum, which
-
introduces shock waves into the computational model: In joint closure local impact occurs, but
a similar effect also arises from interrupted frictional sliding.1 This problem of noise is not
exclusive in joints but pertains to all drastic stiffness changes, e.g. also to collapse of cavitation
in fluids [Zien 83] [Elai 88] [Fenv 88].
The local impact is somewhat mitigated by micro-scale dissipation mechanisms. Similar
to strain softening in
cracking as a delay measure' [Marc 79] the expected
numerical 'time
crushing of asperities in compression and gradual stiffness reduction during shear can be used
as argument for chosing 'the smallest acceptable' penalty size for utmost regularization. In
absence of detaed investigations it is usually assumed that these local effects should not alter
the low-frequency response, i.e. that the acceptable lower limit of the penalty size is given by the
need to match the monolithic behaviour of the structure in terms of stresses or eigenfrequencies
[Webe 89].2
Lagrange multipliers were used for the interface constraints, the ensuing mixed set of
If
differential and algebraic equations would anyway demand a specialized Solution techniques
[Nikr 84] [Card 89]. The weak formulation as pseudo-material is attractive also because it per
mits to employ Standard time integration procedures. As usual, the differential equations of the
problem are discretized in finite differences of subsequent states. The finite different
initial value
schemes are referred to as temporal Operators. The split into spatial discretization (finite el
ements) and temporal discretization (finite differences) is artificial, and the semi-discretizations
will be seen to interact [Bely 83]. The main emphasis of this chapter is the regard of high-
frequency components and their appropriate treatment.

1
are very intriguing physical aspects to the so-called stick-slip phenomenon, such as in the fault mech
There
anism of earthquakes etc. [Good 78] [Diet 78] [Craw 82] [Rice 83] [Lori 90]; in the present context only the
numerical treatment (for rate-independent constitutive models) is of interest.
'Care is advised with so-called soft-closure laws, which combine a small initial stifihess (during asperity
crushing) with a high penalty value at the defined point of fll closure; depending on the momentum of the
colliding masses the deceUerating contact forces are computed with the full-closure stiffness, and the noise was
found to be even worse than with a 'hard' closure of moderate penalty [Hohb 88b].
162 CHAPTER 7. PERFORMANCE IN DYNAMICS
7.1 Time Integration

After D'AIembert the Solution of the differential equations of motion for a certain time t can be
expressed as dynamic equilibrium, which augments the static equilibrium of external loads
and internal resisting forces from material straining (Eq. 6.1) by inertia and damping forces:
%yn =
{*p} {*!*} {'!*} {'&}
- - -
=
{0} (7.1)
As in the static case, linearization will introduce a residuum {*r}. The following gradient ma
trices can be defined,
dVn Qfda M*
[ii]. dn [c] =
O w- du
(7.2)
which implies a consistent linearization of the initial-value problem [Hugh 78b]. The body mass
is usually preserved in structural dynamics; if also the damping matrix is assumed constant,
dynamic equilibrium results in the well-known equation of motion of the spatially discretized
structure *
MW+MM+W-W <7-3>
For sufficiently small time increments the problem is regarded as piecewise linear so that in a
small neighbourhood of the current state the tangent stiffness matrix from (7.2) can be intro
duced. The problem is then described by a system of second-order, linear ordinary differential
equations of the general form
{}= [m]_1{p-Ku-C} (7.4)
and solved by the class of linear multi-step (LMS) methods [Gera 75]:
(a3i {'-K1-')^} + At a2i {M^C *+<i-0Atu} (7-5)

=o
+At2alf{M-1(Kt+(1-i)Atu + t+(1-f)Atp)}) = 0
7.1.1 Explicit vs. Implicit Methods
An LMS method is called an explicit method if 020 =

aio =
0, which results in only one
term for t+Atu as function of the state variables at time (t
iAt) and thus allows the direct
computation of the state at time (t+At) in uncoupled equations if M is a diagonal matrix.
For two-step methods (k 2) the coefficients 03,- (accelerations difference), a2i (velocity dif
=
ference) and au (displacement difference) are functions of two parameters and 7 (Tab. 7.1).
For the central difference method only 030.-32,020^22 &nd 031 are nonzero; the displacement
difference is reduced to an identity so that K'u is substituted for nonlinear appUcation by *f**.
Inserting the coefficients from Tab. 7.1 into Eq. 7.5 gives:
[M] {t+Atu -
2 eu + *"
Atu} + \ At [c] {t+Atu -
*~
Atu} + At2 {'p *f*} -
= 0 (7.6)
Note that 020 is non-zero so that damping need be restricted to a massproportional or otherwise
diagonal matrix to enable the direct Solution; this is done by sweeping over all degrees of freedom
j with inertia coefficients tuj and damping coefficients cy.
t+Atu1- =
mi+ 2Atci
-
[At2 ( '//') + JA* Cj <-AtUj + m, (2 X- '-AS)]

- -
(7-7)
7.1. TME INTEGRATION 163
Central Difference Method
Quadratic time interpolation over two intervalls of equal length gives the following general three-point
recursive LMS scheme [Zien 77b]:a
'= -[ *-Atu+ (-2) *n+ *+Atu]

*=
^[ -(1-7) '-A'u+ (1-27) eu+ 7 t+A'u]
'-
u
-
=
(\+-7) '-"*+ (i-2^+7) *+ t+Atn
The choice of 7 is restricted to 7 > J for positive numerical dissipation; the algorithm preserves
the input energy for 7 =
J as long as the time step remains constant [Bely 77]. The acceleration is
assumed constant over J, as a linear function for = or a step function for
the intervall for =
=
\\ the choice of 0 is
equivalent to lumping the acceleration into a double pulse centred about
=
the discrete time stations [Newm 59]. Convergence, stability and accuracy of the resulting methods
are discussed in [Rieh 67]. Introducing the two displacement differences
~Atu = Ju -
*-A'u and Atu = t+A'u -
'u
the central difference method (7 =

*, /3 =
0) takes the form:
Atu_-Atu AU + -A1U
'
At* 2At
Whenever the past time Station is not available -

either at begin of a computation or after changing
the time step size -
its value need be reconstrueted from the acceleration and velocity difference
Operator by eliminating *+A'u:
t-Atu = 'u-Att + |At2t or -Atu = Ai'-Ai2t
Altematively the same method can be written as staggered differences over half the intervall [Bely 78]:
t+A'u = 'u+Att+At ,
t+iAt = t->A'u + At'
sCare should be taken with notations, since some authors use 6 for 7 and 7 for , e.g. [Bath 82].
Tab. 7.1: Central difference Operator in LMS formal
Avoiding the formulation of a stiffness matrix is the chief advantage of explicit methods and
greatly facUitates the implementation of nonlinear constitutive models, which only need to
compute the internal forces, e.g. along contact slide-lines [Halq 84]. However, the nonexistence
of the stiffness matrix becomes a disadvantage if the initial static stress State is required. This
can only be computed through dynamic relaxation [Marc 79] [Skri 83], which is rather straight
forward in linear Systems but necessitates certain thoughts as to path-dependency if the initial
static state is already nonlinear [Key 80].3
Of course, the explicit algorithm can also be implemented as an equation system, if the
JIf solved hyperbolic, i.e. strongly damped oscillatory problem, the LMS Operator is set to the implicit
as a
backward e.g. through 7

difference, ,/) 1, and the mass and damping matrices are optimised for convergence
= =
[Brew 71] [Cund 82] [Lucy 87]. Altematively, an explicit parabolic formulation can be recovered as purely viscous
problem with sero mass [Oden 73] [Zien 85],
gradient matrices (7.2) are assembled anyway as in most general-purpose FE programs. Con
tracting the finite difference Operator into the generalized mass matrix, it takes the units of a
stiffness matrix [Maag 85],
{A*u}=[M/Ata]-1{tr+Atp} (7.8)
where r
i i l
[M/il>] =
dUg^M* CJ (7.9)
and the starting vector _Atu is

computed as shown in Tab. 7.1. Note that the generalized mass
matrix need be rebuilt for a change in step size and that the damping matrix cannot be included
if it couples different degrees of freedom.4

Since
multi-step algorithms require a separate starting procedure, they are awkward to
use problems if frequent changes in system stiffness require a step adjustment for
in nonlinear
stability or accuracy. Better suited are single-step algorithms, which instead of Eq. 7.5 use a
recursive multivalue scheme of the general format:
'u
{t+AV} =
[a] {V} + [i] {t+Atp} , {ty} { = Ai' (7-10)
At2t
Therein [A] is the so-called amplification matrix governing the behaviour of different tempo
ral Operators, see Appendix G.l for an introduction. The finite difference expressions for the
kinematic variables are derived from a second- or third-order Taylor series development of t+T
about the time Station t (Tab. 7.2). While mostsingle-step methods may be cast into an LMS
format [Zien 77b], the converse is notalways possible [Hulb 91].
Comprised as aspecial case is with 0 a single-step variant of the explicit method. With
=
t+Atj
/(*Uj,tUj), Eq. 7.7 can be rewritten in terms of unknown accelerations [Bely 76a]
[Skri 83]:
,+4'fi' -
sttW N -
'* -" ('*+'At'fi')l (7-n)
Also a version in velocities t+Atj has been advocated [Park 77].

The explicit only possible as long as the left-hand side does not contain unknown
Solution is
stiffness terms in function of t+Atu due to > 0. The coupling through the stiffness matrix char-
acterizes implicit methods. A direct Solution is still possible in a predictor/multicorrector
implementation, in which one simply ignores the yet unknown contribution from (t+At) and
uses predictor values (denoted by a tilde) as first approximation [Hugh 79],
{***,} [m]"1 {''p r'|,+4,_

= - -
r*|,t4l- -
f|ltA -
} (7.12)
where
t+Ato = *u + Att + (l-2/3)lAt2tu (7.13)
t+A*uo =
t-r-(l-7)At' (t+Ato o)=
*To retain the explicit time marching without need to iterate the end-of-step velocity for rJi.s. damping
forces, the latter could be evaluated for approximate velocities such as the backward displacement difference
*5 = -A4u/A* or the velocity predictor ,+A' * [Marc 79] [Wolf 79] [Warb 85].
=
7.1. TIME INTEGRATION 165
General Single-Step Algorithm
The nonlinear development of velocities and displacements can be described by a polynomial of
degree p over a 'finite element in time' [Argy 73] [Bazs 82] or as Taylor series [Zien 84],
t+r
U
_
=
t.
*U + * T + 'fi -T2 + h 'l0*) -
0 < r < At
Pi
where the eztrapolated predictor (r At) is supplemented with an unknown residuum *v^p\ Taking
=
the first- and second-order time derivatives, 'W is computed from satisfying the dynamic equilib
rium equation (7.1) as weighted residuum [Zien 84] [Hoff 86]:
At
L
o
(M '+Ti + C *+ru + K t+ru -
*+Tp) Tw dr = 0
For unitweighting functions J*0 rw At, coefficients 8q are defined as -j^

=
f0 rw t* dr =
8q At*.
The residuum *v^ is seen to be a weighted average of the p derivative. For p = 2 one obtains
with the coefficients 0X =
y,02 =
2 the well-known Newmark-/3 family [Goud 72] [Ghab 87]:
*+A* = 'u + Af [ (I-7) ' + T 1+A1]

'+A'u = 'u + At 'u + |At2 [(1-2/3) 'fi +2/3 '+A']
where 'vO =
[] acceleration; the special case of 7
is the mean
|,/3 -\ is known as the = =
average acceleration method, while 7 |, 1 gives a backward difference Operator [Hugh 83]
= =
which because of its strong damping can be used for pseudo-dynamic computation of creep and
consolidation problems [Lacy 87].
For p =3 the residuum becomes the average derivative of the acceleration, i.e. t/3) A'/At. Ascrib- =
ing free weighting factors n,f, to the different powers of t>(3) r9 [Hoff 86], one obtains the following
general difference expressions for the mean kinematic variables used in the weighted residuum :
+At = fi + elV At
+A1 = tii+ 0i At 'fi + 027At Atfi

t+Atu _
tn + 6l A< lu+ X$2 At2 t + ff3 At2 A
They consist of the mean predictors <+0A<(.) from the current time Station t plus the contribution
of the acceleration increment to be evaluated firom the integral equilibrium. The end-of-step values
are then computed by the same formula for 9\ =
62 =
3 1. Further letting n
= 1 recovers the =
Newmark family of p 2. =
Tab. 7.2: The Newmark family of Operators in 0-format
The influence of the end-of-step acceleration is accounted for in a subsequent corrector pass.
Nonlinear iterations to equilibrium necessitate further Updates of the effective load vector and
perhaps also of the effective mass matrix, which could be avoided by a quasi-Newton method in
product form [Lacy 87]. Other implementations take the acceleration increment as the primary
unknown [Hoff 88] [Mira 89],
{At,+1} =
f+^M,]"1 {"*?.} (7.14)
where
Spectral Identity of Temporal Operators
Various integration methods can be derived as special cases of the general 0-format of a single-
step algorithm. The identifications satisfy spectral identity, i.e. they have the same roots of the
amplification matrix [A] in Eq. 7.10, but their actual numerical behaviour may vary due to different
implementation.
free parameters
method 0i *2 0s 7 V
1 1
0i-method [Hoff 88] 0i 1 1 |-*i
40? 0i
l
mod. Hilber-o [Hugh 87]a (!+<**) (!+<**) (1+air) Kl-"*)2 \-OlH l + 0!ff
Bossak-a [Wood 80] 1 1 1 }(1-b)2 \-<*B l-aB
Newmark-/3 [Newm 59] 1 1 1 0 7 1
1 1
Zienkiewicz-SS32 [Wood 84] 0i 02 08 6 2
1
u 1 1
Houbolt [Week 72] 2
3
6
6 2
1
02 0 1 1
Wilson-0 [Wils 73] 8
6 2
1
0* 03 1
optimal collocation [Hilb 77] 0 2
1
"The original method only weighted the strain contribution while &i =
0 = 1 [Hilb 77],
The quality of the resulting algorithms can be judged by their parameters' compliance or noncom-
pliance with the following three groups of conditions [Hoff 86]:
(1) 7 =
1+0^-1) ; (2) M=l , >\r? ; (3) 0, =
08 , 9i =
\02l
Condition (1) assures second-order accuracy in the presence of physical damping. Condition (2) can-
cels the spurious root of [A] in the low-frequency rnge. Subcondition (22) also assures indirectly the
unconditional stability through the weaker bound >
\n
\. Condition (3) Stands for the theoret

ical absence of severe overshoot in the early undissipated high-frequency components.
response to
Subcondition (32) only becomes important for large physical damping; an enhanced version of the
0!-method therefore uses 02 =
08 =
[0^3 -
20t)]-1.
Tab. 7.3: Parameters of linear time Operators
[t+eAtMi] =
[^M + ÂtC + fcjSAt2 *+**%] (7.15)
{t+^} =
{t+eAtp}-{^nUtli+^ -
+AU.
+f*
+At5 *}
The right-hand side vectors and the tangent stiffness matrix in nonlinear application are here
evaluated with the mean predictors, assuming Ato (Tab. 7.2). They = 0 are updated with the
contributions of the computed A*i for subsequent corrector passes.
If a suitable value had been guessed for the predictor values, a correction would be super-
fluous for small enough time steps. This idea stood at the beginning of the original Newmark
method [Newm 59]. The dispense with equilibrium iterations presumes that the drift from the
equilibrium path is negligible for the small time steps needed anyway for stability of the meth
ods. This may not hold true if small changes could result in a grossly different behaviour of the
system.5
Several well-known time integration schemes can be recovered through the appropriate
choice of the 0 parameters (Tab. 7.3). Depending on the method, the implementation may
not actually need to compute time stations in the interior of the interval but average the mean
values of forces and stiffness from the results at the interval bounds (trapezoidal rule). E.g. for
the Hilber-a method [Hoff 88] [Mira 89]:
t+(i+a)Atf =.
(1+aff) t+Atf _
as f = t+*t{ + QH M{ (_0 3 <aB<i) (7.i6)

Such attempts to increase the interpolation order of the Newmark family from two to three roots
strive for an enhanced high-frequency dissipation without compromising low-mode accuracy and
a second-order rate of convergence in the presence of viscous
damping. As seen in Tab. 7.3, this
is only achieved for the a-methods and the new ^-method, provided the starting vector uses the
exact initial accelleration [Hulb 87]. Ii1...3 n 1, the Eqs. 7.14/7.15 reduce to the Newmark-
= =
method in the alternative implementation with acceleration increments. Assessments of the

Houbolt and the Wilson-0 method can be found in [Glad 80] [Doka 89].
7.1.2 Equivalent Static Problem

If a nonlinear
dynamic problem is run at relatively large time steps for reasons to be discussed
later, expedient to solve it as an equivalent static problem and iterate on displacement
it is
increments with the Newton-Raphson method.
For the basic Newmark-/3 Variante a simple scheme may still use the predictors with unknown
end-of-step accellerations as before,
Au; =
t+A'ui -
<+A' =
At2 <+*% (7.17)
andthecorrector:
^^ =
^ + ^
At2 \
t+AtA.._ '+A'
-i+i
_
=
+ 7At1+Ati+l
This version has been implemented in the 2-D code SlCRAP for the fracture mechanics based
analysis of gravity dams, including penalty contact forces for crack-closure [Ayar 88].
For the iteration as equivalent static problems the generalized mass matrix
(7.15) is simply
transformed to an effective stiffness matrix by dividing it with $z At2:
[t+$AtKt] =
[a4M + aiC + t+9MKt] (7.19)
As apparently first proposed in [Ande 72], the equivalent static problem can be directly derived
from inserting the temporal Operator /(', ', Atu) with coefficients ai... (Tab. 7.4) into
Eq. 7.3.
8
A
typical example is concrete cracking, where spurious results might even trigger chain reactions ('sip effect')
to complete structural failure [Marc 79]. A single pass over all nonlinear elements might detect more than one
crack appearing within the same time step but would not check whether one of them would sufficiently
change
the stress field for the other not to occur. The events would have to be separated by further subdividing the time
step needed for stabihty.
Equivalent Static Algorithm
For computations with time-dependent stiffness matrix the general single-step algorithm (Tab. 7.2)
is reformulated indisplacement increments ru '+Tu -'nu primary unknown. The weighted
=
residuum formulation of the integral equilibrium over the time step is complemented with a term of
developing unbalanced forces:
f&t At
/ (M *+r + C *+T + '+rK ru) rw dr = / (*+rp -

*r* + t+Tr) rw dr
Jo Jo
Both the load and the unbalanced-force vector are weighted averages,
l-At 1 fAt
i-/At'+TprwdT
At
=
'p + 0oA'p ,
-J-/A''+rrrwdr = 04'+A'r
At J0 Af Jq
The other coefficients 0i...s are the same as in the linear case. Solving in Tab. 7.2 the difference
expression of *+'A'u for A'fi gives:
A'
WT* (t+'A<u
= "<u "
9l A< * "
*6*A<2 *)
This inserted, the difference expressions for the mean kinematic variables appear recast into the
following form:
t+#Al
d_?lhll] -=^- *u T -JlIL- *Atu
= + +
\ 20/3) 08/3At 8sAi*

a*. ag o4
+#"* = L-lt.) At 'U+ (l-**Z) 'U+ -*3L <A'u
az a2 a\
Together with the update *+'A'u *u+'A'u these two formulae constitute the predictoi/corrector in
=
terms of the displacement increment. After convergence of the nonlinear iteration the displacement
increment is backsubstituted into the acceleration increment, which is then used to compute the
kinematic state at the end of step (i.e. 0, = 1) as in Tab. 7.2. The result is equivalent to the
following expressions:
fi =
(l^-) 'fi+ -=^- '+^
*A'u
V 208/3/ 08/3 At 03/9 A<2
M
V 203/3; V W hAt
+Au-'u= fl-M lAt2 '+ fl-^) At 'fi+ - A'u

\ 03/ 2 \ 08/ 03
For the Newmark family, which does not distinguish mean from end-of-step values, the two sets
of finite difference
expressions for velocity and acceleration become identical. The abbreviation of
the resulting terms by oi...6 corresponds with Dl D6 in [Maag 85] but may differ from those in

other publications [Bath 82] [Doka 89]. Moreover, *+A'u may be expressed in terms of the previously
computed ,+A'fi.
Tab. 7.4: Temporal Operators in displacement increments

Grouping all terms alien to {A'u} in the effective load vector results in
{'?} {*p} {*T*} [C] {a3 * + <} [m] {o* ' + *}

= - -
a2
-
a5 (7.20)
from which the Euler forward step is computed just as in Eqs. 6.4 with {'? + Atp}. Pseudo-
static equilibrium is then computed in terms of differences between the values of two successive
iterations as in Eq. 6.10. For the inertia and damping forces, this difference results from At;+i =
a4 Atu<+i and At<+i =

a\ Atu,-+i, so that the new residuum is computed as:
{Ari+1} =
{*r + AtP}-{Atf;t1}-[a4M + a1c]{A'ui+i}
=
{AB,} {AI&} [a4M + mC] {Aui+1}
- -
(7.21)
The end-of-step velocities and accelerations need only be evaluated after convergence has been
reached, in order to obtain the starting values for the next time increment. Altematively, the
displacement state t-Atu could be saved for an LMS version of Eq. 7.20 [Warb 85], but the
single-step version is generally prefered. implemented It is in the program Flowers used

as
host of the present work [Maag 85] and was also adopted for the Bossak-a method in nonlinear
arch dam analysis [Dowl 87]. The fll update of the generalized stiffness matrix (7.19) is usually
waived, because for large structural problems the savings from faster convergence is deemed to
be less than the expenditure for reassembling and factorizing the updated matrix. Convergence
in nonlinear problems then relies on the quadratic growth of the inertial gradient a4M over
'K with At 0, but the presence of strong nonlinearity may necessitate time increment sizes,
i-
which are not much larger than the critical time step of explicit versions of the method [Bely 76a]
[Low 92].6
A method which also formulates theintegral equilibrium over the time step, but accounts
for the nonlinear development through weighting of the effective loads,
of internal forces
is the Bazzi/Anderheggen-p method [Bazz 82] (Tab. 7.5). They are interpolated by a function
Tb, which for a stiffness matrix update at step begin meets the conditions '6
-
0, *+A'6
-
1 = =
and '6 0. With these Operators the equation system to be solved becomes for the Euler step
=
{Atu0}=[(t)K]"1{'r + aAtp} (7.22)
with
[Wft] =
[tM + SxC + aWK] (7.23)
{?} =
{*p}-{*'*}-[M] {e * + *} 5
Multiplikation with | At2 gives the format in [Bazz 82], and with 1/a = 1 + p the format
in [Maag 85]. The subsequent iteration uses a modified residuum with respect to the linear
increment predicted by the stiffness matrix [Maag 85],
{Ari+1} = *&
([<>k] {Aui+1} {a#i}) -
(7.24)
where i [** _j\ (linear) for not updated K

)
At Jo \
~ ~
'
\
3 (parabolic) for updated K
*Note that the growth of linear terms also remedies situations where the tangent stiffness matrix ceases to be
positive definite (non-associated flow and softening). This corresponds with the physical fact that inertia and/or
viscosity may prevent the loss of stability and uniqueness due to unstable material behaviour ( 5.1.2).
170 CHAPTER 7. PERFORMANCE LN DYNAMICS
Bazzi/Anderheggen-p Method
Using a Galerkin approach on the integral equilibrium condition and some 'educated guessing',
the following temporal Operator was obtained in terms of the spectral radius p of the pertinent
amplification matrix [Bazz 82]:
'+a' =
(i-pv) <fi+ -d+ff+J1) <u+ fi^ta -u
+A1U= lZAt + (-1) 'fi + 1- A*U

1+p At
Despite its different derivation, this Operator can be brought into an extended Newmark format by
setting
1 1 2
a n_
^"(l+pja+p2)
' '
i+p p-2P(i+p>)
so that (in correction of [Hugh 87]):
+A'u = 'i + At [ (I-7) 'fi + 7 t+At]

+A'u = 'u + At 'u + (l-o) Ats [(1-2/3) 'fi +2/3 '+A'fi]
For a =
| due to p = 1 the coefficients become the Of-ax of the non-dissipative Newmark
Operator (p =
2) (Tab. 7.2). The additional term could be interpreted as 02=
0s 2(1 a), but
=
theconsistency with the 0-format for p = 3 remains yet to be shown.

The method uses the velocity difference Operator '+A' = /('i, *, A'u) to derive the following
expression for the mean acceleration increment:
<+0Ati_A*u = Iz+ * + A'u od '+*A'i A'u

At 1+p At At2 At
6 5 4 x
The low-order interpolation of the mean velocity difference substantially degrades the Performance
of the algorithm in the presence of physical damping.
Tab. 7.5: Alternative introduction of numerical dissipation
To avoid the storage of the stiffness matrix K besides the effective stiffness matrix K, the former
is reconstructed from
[WK] {Au,+1} {a?<} [4 M + x C] {Aui+1}

= -
(7.26)
giving the recursive formula for the weighted unbalanced loads:
{Afi+i} = *b ({Ar; AtvjJ [4 M + x c] {Au,+1})

- -
(7.27)
Note that the choice of p = 1 recovers Eq. 7.21 of the Newmark method, provided theweight
for the external load vector in Eq. 7.22 also approaches unity. In the presence of physical
damping, however, the behaviour is different since the p-method Operator does not dispose
of the coefficents 03 and a2 for the damping term in the load vector (7.20). This results in
unmotivated equilibrium iterations for linear system behaviour.
7.2. HIGH-FREQUENCY VD3RATI0N COMPONENTS 171
7.2 High-Frequency Vibration Components

Different classes of dynamic problems can be distinguished in relation to the load rising time
and the duration which a compression or shear wave needs to traverse the structural system
[Feli 79] [Warb 84] [Doka 89]:
A wave propagation problem by the occurrence of the peak response

is characterized
during the first wave reflection. This is typical for impact or shock loading, which excite
a very large rnge of frequencies. Both the spatial and the temporal discretization need
be fine enough to resolve the stress wave, but fortunately only the short-term response
is of interest. The small time step required for accuracy suggests the use of an explicit
Operator.
An inertial problem by the gradual build-up of vibrations from several

is characterized
reflections of waves in the structure, during which high modes vanish by interference. The
spatial discretization can be oriented at the dominant eigenmodes of the structure, and
an economic time step is sought for Computing the low frequency response over a longer
period of time. This necessitates an unconditionally stable implicit Operator.
problems exist, in which the effect of high-frequency components on the

Inbetween mixed
vibrational behaviour cannot apriori be neglected. They may arise from gross differences in
element dimensions or stiffriess, e.g. thin shells (membrane action), local mesh refinements or
incompressibility constraints, which are termed stiff contributions. Clearly, joint elements
belong to this category. By introducing an elastic potential for constraint violation (Eq. 2.32)
they regularized the jump discontinuity in the velocity to a gradient of finite size, i.e. smeared
The stiff contributions 'stiff defined relative
finite time interval [Bely 80] [Oste 88]. as
-
over a
to the attached mass

-
therefore take the place of the explicit jump conditions for the exchange
of momentum, which would be required Lagrange multipliers.7
for
7.2.1 Influence of the Penalty Stiffness
How stiff contributions are taken into account depends on the stability of the chosen time
integration method.
Conditionally stable Operators require the knowledge of the highest eigenvalue of the
spatial semi-discretization, either computed from the fll system matrices by the power method
[Ples 87] or assessed from the ratio of the stiffness row-sum to the (lumped) mass term [Goud 72]:
^x<suplm^^|^|l (Êiî) (7.28)
Altematively, an upper bound to the maximum eigenvalue of the system can be obtained in
the maximum eigenvalue found for any single element [Hugh 79]:
W^max^JL,) (7-29)
Most likely, the critical ones will be the stiff joint elements. Since their eigenfrequency spectrum
is given by the arbitrary penalty stiffness acting on the mass terms of the adjacent solids [Ples 87]
7For penalty interface, explicit contact/release conditions are only introduced to avoid an excessive inter
a
penetration due to particularly high impact velocities [Kant 90]. But this necessitates lumped mass matrices in
the adjacent solid elements, if the Solution of a second set of equations for momentum transfer is to be avoided
(purely local transfer of momentum).

Dynamic Eigenmodes of a Joint-Solid Assembly
V
solid: 78 31 -34 -43 -77 Joint: consistent lumped
78 -34 -77 -43 '
E-P 'i,
128 0 0 "4-1 2" "1 L lt> 4:
^
90
KL
4
KL $g.' (v-0) >ff
Kr 2 1
'
184 56 J
30' 6
.(symm.) 184 is.) 16. 4.
955555555555Z3P
SWS?
3 1-3-4 -3
3-3-3-4
iVk
PLf 16 10 10
90
16 8
.(symm.) 16.
O O
consistent joint flf-IOE/pL2 <|-16E/PL2 3-3 K/pL <04=8-K/pL 58-K/pL
lumped Joint ..
f=7.5-K/pL
lumoed Joint:
Ms.
dagl3,3,16,16.16) 1 =
12 67 E/pL2 a,2 =
6 67E/pL2 a>2-4 22-K/pL2 to| =
3l7K/pL to| =
4.22-K/pL
76
PL2
=-diagtt,U1,1] 2 =
2t33E/pL2 f 1138E/pL2 =
o|-133K/pL =
5 33 K/pL (02l33K/pL
8
Fig. 7.6: Influence of Joint quadrature for consistent mass distribution (top) and ofmass
lumping technique for a diagonal joint stiffness matrix (bottom) [Hohb 90c]
[Hohb 90c], it is -
for unaltered penalty -
lowered by a coarse discretization and raised by local
mesh refinement.8
The interaction is exemplified for the two-dimensional case under the assumption that
the far side of the solid element be firmly restrained by the adjoining stiffness and inertia
[Hohb 90c] (Fig. 7.6). The eigenfrequencies were computed from the generalized eigenvalue
problem [Clou 75]:
(K-u>2m)x = 0 (7.30)
Similar to the multiple eigenvalues of the joint stiffness matrix alone ( 3.1.2)
occurrence of
certain combinations of stiffness and mass discretization lead again to multiple eigenvalues
allowing any linear combination of the respective Vibration modes at the same frequency. The
*
by Newmark: "It appears that the greater the number of masses into which a system is broken down,
As stated
the shorter will be thepermissible time intervall for numerical calculation" [Newm 59]. Moreover, a consistent
mass gives higher element eigenfrequencies than a lumped mass. For small solid elements at the contact face, in
which an error in the mass would have little influence on the overall structural behaviour, an artificial density
scaling has been suggested to increase the critical time step [DeLe 87].
7.2. HIGH-FREQUENCY VD3RATI0N COMPONENTS 173
notable decoupling of the 'solid modes' from the 'joint modes' necessitates a large enough ratio
e_1 =
kL/E, as the solid modes appear for k > oo and the joint modes for E 0. If the two
-
groups of frequencies sufficiently spread, the eigenmodes will appear somewhat obscured
are not
with reduced 'solid' eigenvalues and increased 'joint' eigenvalues. Further complications are
introduced for unequal masses on either side of the interface.9
Exploiting the equivalence to thin-layer elements ( 2.1.3), a 'mechanical' aspect ratio con-
taining the element density can be introduced. This allows to apply the well-known Courant
limit (CFL condition [Cour 28]) of wave propagation to joint elements [Hohb 90c]:
E t'

"=*** <7-31>
Therein p is the density and E Young's modulus of the equivalent thin-layer element (Eq. 2.29),
n < \/l5 being a coefficient for interpolation order and mass discretization [Bely 76a].
using an unconditionally stable Operator the idea is that the time increment can be
In
chosen independently of the highest discrete eigenfrequency, at least in linear dynamics. The
cardinal question is how much attention deserve the stiff nonlinear contributions. In the related
discipline of mechanical system dynamics, where machine mechanisms often experience an inter-
mittent motion with sudden velocity changes, the following Classification has been established
for the rnge of 'mixed' problems [Gear 83]:
In astiff system in the proper sense the desired Solution contains only low-frequency
components, provided the forcing function is sufficiently smooth not to excite nearby stiff
Solutions. This is the domain of'stiffly-stable' higher-order methods, which were developed
for the large-step integration of the low-frequency response, cf. [Jens 74] [Park 75].
In quasi-stiff system the stiff components are present, but one wishes to ignore them.
a
If they have not a feedback on the 'slow' response, the latter can be recovered from an
encountered stiff Solution by using filtering techniques [Holm 75]. Otherwise they are to
be damped out as fast as possible without deteriorating the desired Solution.
In a fast system high-frequency components cannot be ignored because they have a

the
substantial effect on the low-frequency response. The computational problem is not really
the presence of stiff components but the small size of the required time step [Low 92].
On first sight, the earthquake response of dams appears to belong to the class of quasi-stiff
problems, major part of the seismic energy is concentrated in the rnge of low to
because the
medium frequencies according to the relevant site response spectra [Tarb 79] and the dominant
participation of massive structures like dams in the low frequency rnge.10 This permits a very
coarse spatial discretization, as seen for an isolated arch ring at midheight with about the
same fundamental frequency as the complete dam (Fig. 7.7). A comparison with a refined
*For lumped contact Springs a weighted average of lumped masses can be computed [Schs 91], from which the
interfaceeigenfrequency is approximated as m (niroj)/(mi +mj) =>
=
y/k/m. u =
A recentstudy with a contact element based on Lagrange multipliers conduded that "the diagonal mass
matrix, which results in a lot of advamtages for the central difference method, is not suitable to conduct contact
problems", because the Performance was inferior to that of nodal penalty Springs [LiN 91]. This conclusion,
however, might be based on a poor constraint matrix, misrepresenting the quadratic shape functions in the solid
elements it connects.
10
Note that with the transducers used in conventional analogue accelerographs classical strong motion records
are reasonably accurate only to about 20 Hs [Huds 79], and their discretised values are consequently given at
0.02 s intervall. For smaller analysis time steps the forcing function is simply interpolated with a frequency limit
of 25 Hs (Nyquist theorem).
Symmetrie Eigenmodes of an Arch
fine mesh: (natural frequencies, all elements 8nodes)
Y_ Y Y
coarse mesh: (first four modes unaltered at slightly higher frequencies)
y y y
Fig. 7.7: Influence of spatial discretization on mode representation
mesh demonstrates that the useful spectrum of the discrete eigenfrequencies is limited here -
to Tmin 10... 15 Hz by the misrepresentation of higher bending modes as shear modes

-
with locking phenomena ( 3.1.3) and by gaps appearing in the discrete modal spectrum. The
poorly approximated modes impair the overall response and should therefore be disregarded
rather than computed with numerical accuracy, which would only highlight the distortions in
the discrete spectrum.11
7.2.2 Guarding Against Energy Errors
In direct time integration, high-frequency noise could be filtered out aposteriori as long as the
substructures remain elastic and the joints act merely as time-dependent boundary conditions.
However, as soon as cracking occurs in the solids or the constitutive model of the joints depends
11
Consequently there are attempts to apply reduced-basis techniques such as Rits vectors with assumed re
sponse shapes of individual cantilevers [Row 83] to seismic dam analysis. Even though more applications with
joint opening and closure became known recently, e.g. [Ibra 90], the consequences with view to the transfer of
momentum on contact boundaries and the most appropriate vector basis [Wils 86] are far from dear, cf. the
related application to pipe-whip type of problems [Moln 76] [Bath 81] [Fric 84].
7.2. HIGH-FREQUENCY VIBRATION COMPONENTS 175
on the load path, the high frequencies must be annihilated 6e/ore they affect the stress history.
The following strategies have been suggested:
1. magnify the temporal resolution by adaptive ('pipe-whip approach')
time step reduction
[Ma 76] [Hibb 79] [Sauv 83] [Dyka 86], event-control of the time step size [Sehr 80] [Gola 91]
or event interpolation [Osmo 85];
2. iteration with gradient Updates at large time step, possibly in connection with nonlinear
dynamic substrueturing [Clou 79] [Bath 81] to avoid refactorization of linear elements;
3. explicit/implicit mesh partitioning at equal time step in predictor/corrector implemen
tation, in which the stiff elements are treated implicitly [Bely 76b] [Hugh 79], e.g. with
Quasi-Newton Updates;
4. explicit/explicit or other forms of partitioning as 'multirate' method with reduced time
step in the stiff domain [Bely 80] [Gear 83] [Bely 84a];
5. constitutive Operator split, in which the stiff (fully bonded) state is computed implicitely
while the tmbalanced loads due to debonding use explicit kinematic variables and a neg-
ative-semidefinite portion of the constitutive matrix [Ples 86].12
In general, the unconditional
stability of implicit methods carries over to nonlinear problems
only if time steps sufficiently small [Week 72]. Stiff nonlinearities can only be brought to
are
convergence with iterating at a large time step (strategies 2 and 3), if energy errors in the
computed strain energy do not become too large: If sudden stiffening in the system is ignored
until the end of the time step (as in explicit methods), the system will gain energy; if the
switching to the higher stiffness were predated to the step begin (backward Euler), the system
would lose energy, viz. [Dist 68]. Usual implicit methods 'straddle' the time step with a mixed
evaluation at beginning and end of the step, leading to an average stiffness and some positive or
negative damping [Brow 88]. Still, though, the errors have the surprising tendency to accumulate
in a net energy gain and lead to instability [Hugh 76] [Sehr 80] [Hoff 88], which may find some
explanation in the fact that convergence was observed to be easier in softening situations using
an overstiff gradient matrix than vice versa.
The energy conservation inherent in the Standard Newmark method does therefore not
guarantee stability and would have to be specified as explicit constraint [Hugh 78a]. Otherwise,
particular attention must be given to sufficient iteration with a tight tolerance on
energy or
unbalanced loads [Bely 75] [Ma 76]. In

particular, temptation the should be resisted to
regard
the iteration as converged when no further changes in the joint status occur [Dowl 87] or even -
worse: if a specified maximum number of iterations is exceeded [Fenv 89] just because joint -
displacements seem stationary; they may still be associated with large unbalanced loads. Only
energy balance checks could detect arrested forms of instability [Bely 78].13
On the other hand, strategy 1 will result in frequent cutting and reexpansion of the time step
size, which may also excite noise due to overshoot. This term was coined for the early growth
of energy for small number of time steps before damping takes effect. Overshoot is govemed by
the norm of the amplification matrix rather than by its spectral properties which control the
numerical dissipation [Hilb 77], cf. Appendix G.2. The Wilson-0 method, but to a minor extent
also the Bazzi/Anderheggen-/) method, exhibit overshoot [Hugh 87].
13Operator-split methods are directed toward a 'linearly implicit / nonlinearly explidt' strategy, which is partic
ularly updated gradient matrix would become nonsymmetric, e.g. due to friction. They were first
attractive if the
coneeived for incompressible viscous flow where a high penalty stiffness is used for the (linear) incompressibility
constraint [Hugh 79]. No further experience has been reported on the adaptation to Joint elements.
"Also the surprisingly large cantilever lift-off noted in a seismic Simulation of Pacoima Dam may be partly
due to the very large time step At 10 ms in presence of a rather stiff Joint constitutive model (Fig.
=
1.9).
is
Example of freely vibrating arch; note that the initial displacement
more
Fig. 7.8:
severe and applied at slower rate than in [Hohb 88b]
7.2. HIGH-FREQUENCY VLBRATION COMPONENTS 177
expanded too much before the noise is damped out, its high frequency is
If the time step is
no longer adequately represented but tends to a limit frequency known as 'Newmark ringing'
[Goud 72]:
i/-ii* (7-32)
joint elements these phenomena were first observed in the study of a clamped arch
In
segment, which was precompressed and given an initial configuration with partially open joints
as at-rest position, from where it was allowed to swing freely in order to avoid the masking of
noise by high-frequency input [Hohb 88b] (Fig. 7.8). Typical results are as follows:
The high-frequency eigenvibrations are locked in the stiff elements by the softer solids,
which due to their coarse discretization act as low-pass Alters [Khl 73] and prevent
radiation of the noise from the joints into the solid continuum; the 'chattering' or 'rattling'
of a joint arises from multiple shock reflection.14
Because of the consistent mass of the solids, vibrations between closed nodes are to some
extent also noticeable at adjacent open nodes [Baza 76b].

If the time step was expanded before joint chattering had sufficiently decayed, 'Newmark
ringing' occurred and disabled further noise dissipation due to the drop in frequency
(Eq. 7.32).
If energy errors were integration tolerances solid elements between
committed due to slack
joints started 'hourglassing' near-zero energy modes despite fll quadrature (cf. 3.1)
in
to an amplitude that joint compression was occasionally lost and some solid elements
became completely detached from the structure.
If the latter instability were arrested by strong energy dissipation, it might not be detected and
the oscillations together with the noise arising from the other effects be mistaken as part of
-
-
the seismic response.
Unfortunately, the question of integration accuracy is not limited to isolated stiffness changes
but involves spurious local Joint behaviour with high-frequency impulses. Similar to fast Fourier
components of external forcing functions, cf. [Zien 80a] [Warb 84], the total energy content need
be integrated correctly to avoid instability. Higher penalty values increase the energy content
and result in faster joint eigenvibrations, which in turn require smaller time steps for exact
integration. impact and release of nodes within the same time interval amounts to an
The
apparent coefficient of restitutionlarger than one, i.e. the computed rebound velocity will be
larger than the impact velocity so that the system has gained energy. One way of approaching
the problem is therefore to determine the maximum penalty parameter for which the duration
of the individual node contact is still larger than a given time step size [Bely 91].
Since the optimization of a global strategy is not the objective of the present work, the
following investigation is based on the conventional 'pipe whip' approach of automatic time
step reduction to achieve convergence with the gradient matrix of step begin; the question is
then, under what conditions the high-frequency vibrations can be damped so that the time step
might be re-expanded without loss of accuracy in the energy integration.
14
Interdement boundaries thus behave as impedance discontinuites with partial wave reflection,
numerical
if the element sise, interpolation or mass change [Basa 76b] [Basa 78a] [Cele 87] [Medi 87]. Note
discretisation
that the reflection is not complete; above the cut-off frequency enter but are attenuated and not propagated
[Bril 53]. Although the influence of spatial semi-discretisation is well-known in wave propagation analysis [Ship 67]
[Mull 82] [Sehr 83], the consequences on automatic mesh adaptation as used in discrete cracking codes or
- -
nonlinear failure criteria are rarely discussed for seemingly 'vibrational' problems.
7.3 Algorithmic Damping

The problem of high-frequency noise is particularly severe for fast Joint closure, when the
stiffness changes from zero to fll penalty and the contact forces have to transfer the momentum
inherent in the mass and velocity of a colliding body. The restriction to the joint-closure degree
of freedom allows to study the origin and dispersion of high-frequency noise in quasi uniaxial
behaviour without material damping.
7.3.1 Colliding-Bar Example

As sample problem a collider bar is studied which impinges with an initial velocity onto a recep
tor bar at rest (Fig. 7.9). The shock waves are assumed to travel with the (one-dimensional)
celerity typical for concrete, cp y/30 109/2.4 3535 m/s. For a built-in receptor [Asan 82],
=
the compression wave will double up due to reflection to 2n as shown, where
fn =
\ pcp(v02 -
vox) =
\/E~p\(vo2 -
vqx) (7.33)
is the stress wave amplitude before reflection computed as the accustic impedance times the
mean velocity [Gold 60]. m/s
With v01 = 0.5 and v02 = 0 for the collider and the receptor
respectively, the theoretical stress magnitude becomes n 30 103 \ 0.5/3535 2.15 MPa. =
For a free-free receptor studied in [Hugh 74] [Doi 81] [Papa 90] [Bely 91] [Carp 91] [LiN 91], the
receptor collider
1 i 1 i Colliding Bar:
-
% j ..i
*
i i
-!
One -
dimensional wave Solution
| reflection ""! extinction
Fig. 7.9: Theoretical Solution for colliding bars

7.3. ALGORITHMIC DAMPING 179
Colliding Bar: Influence of mass lumping

(undamped rebound)

v0 = 0.5 m/s
\L/lXi V
-*
\
IE = 30 GPa
Iwmped joint; ^ jw<*\*
(v=0)' o
Kn =3000 GPa/m (2)$ JAj >, ^ CM
w^ Tkr< w?n
-N
(Ks =
0) N
+X> '
ft
'
ft ^' ""]| 2
100 m
-#
MPa
(a) consistent mass;
4
Newmark 7 = 0.5 theoretical
At = 0.05 ms
mm 0 "b solid stress (3") T'*^."-?
ftiCD '
f;v
100-
TI iiiniliillinib
T" r-
10 20 30 40 50 60 ms
MPa
(b) lumped mass; *) 4
central difference
theoretical
At - 0.05 ms
') [Hinton et al 1976] mm
100
IH 'IM <l]\ Mi' j W
i i ! : i i i
i i I : '.
\ I r-
10 20 30 40 50 60 ms
time
Fig. 7.10: FE model of the example with joint 'chattering' [Hohb 90c]
compression wave is reflected as tension on both ends, and n would be the ttiaTirnnm stress;
the occurrance and duration of the overpressure 2n length of the two bars. depends on the
For a perfectly rigid receptor ('reaction wall') the stress wave will double-up immediately and
preserve this amplitude until rebound; it thus behaves as a symmetry plane with v02 t>oi- =
The finite element model eight-node quadrilaterals with fll quadrature and
uses two differ
ent mass discretizations in combination with a line joint having three double-nodes and nodal
quadrature (Fig. 7.10). To model uniaxial wave propagation as accurately as possible, all lat
are constrained, and Poisson's ratio is set to zero to avoid its influence on
eral d.o.f. cp [Ta 85].
No discrete contact/release conditions are employed, relying entirely on the contact forces from
constraint violation for the transfer of momentum [Halq 84].
For a minimum of three 20-m elements length, the highest reliable
representing a wave
natural frequency is fmax 3535/(3 20) Hz,
frequency according to
60 whereas the cut-off
Eq. 7.31 is for a consistent mass matrix /, 3535VT5/(t 20) 220 Hz. The eigenfrequency
=
of the Joint element is yet an order of magnitude higher, from Fig. 7.6 about fj û>4 = =
v/8-3-10B/(2.420) 3560 Hz.16 With view to a stable and accurate integration the time
step was chosen to 0.05 ms for explicit and implicit methods alike. The following is observed:
The average stress in the solids is indeed 4.3MPa, but the wave front is not sharp.
~
Residual eigenvibrations remain in the collider after Separation due to the inevitable
dispersiveness of a discrete system [Bely 77], which can also be observed in a simple chain
model of lumped masses and Springs [Oste 88].16
The elastic rebound can be fully effected with the

penalty formulation, but the impact is
not 'locally plastic' (sticking nodes); rather, the double-nodes
undergo individual elastic
rebound.17 Note the filtering of the discontinuous impact in the solids. However, frequen
cies higher than the cut-off frequency still excite the solid eigenmodes [Bely 76a].
Although the nodal eigenvibrations interrupted by the next collision, the bouncing
are
Intervalls for vertices and midside nodes reflect clearly the different eigenvalues of the
joint-solid discretization. Note also that toward the end of the contact time the round-
off error disturbs the symmetry and excites the skewsymmetric mode 5 with the same
eigenvalue as the Symmetrie mode 4 (Fig. 7.6).

The rebound amplitudes are generally smaller for the consistent mass matrix because of
the smaller total mass attached to the three nodes at the front of the bar.18 A further
reduction would result from thinning the first solid element.
Next, the Bazzi/Anderheggen-p method is tried as example of a three-root method with

selective dissipation owing to 0, a or p in 5.2.1 (Fig. 7.11). These methods feature a steep
drop in the amplification radius within a rather narrow band At[T 0.1 1 from p
= = 1 to a
constant p < 1, independent of the time step once At > T. This implies, however, that the time
step be chosen inbetween the wanted slow periods spurious periods. and the fast While this
strategy works well for pseudo-stiff problems, the local rebound of nodes in the present problem
requires time steps at the verge of efficient dissipation, both for accuracy and convergence in
modifiedNewton-Raphson iteration.
The numerical dissipation is seen to suppress the joint chattering after some oscillations,
although on the expense of even faster, smaller rebound until the nodes eventually stay in
contact. Because of AtjT 0.05 ms
4000 Hz = 0.2 < 1, the dissipation is not fully efficient.
Note that increasing At to 0.1 ms begins to dissipate the eigenvibrations of the solids as well.
lsIn applying Eq. 7.31 the discretisation factor should be taken as j V3 for linear interpolation across the
=
joint thickness [Bely 76a], giving // 0/(15) /.

= ss 4400 Hs.
15
Zero dispersion is only achieved if the spatial and temporal semi-discretisation are exactly matched for the
Solution to advance along the characteristic of the wave equation [Ta 85], also known as 'superconvergence'.
17Approximating the stress pulse in the joint to be triangulr, the ratio of the Joint peak stress to the average
stress is given by ratio of nodal contact duration to the bouncing interval, i.e. for the consistent mass to ~
4
2.1 MPa
(1.9 ms)/(0.17ms) 94 MPa.
"The explicit computation used lumped masses in the ratio 3:16 as suggested by [Hint 76]; for the usual
FLOWERS assumption of an even distribution the eigen-oscillations of the solid elements were much worse.
Colliding Bar: Performance of selective damping

(lumped joint, consistent solid)
MPa
(a)o_-AS; 4
At - 0.05 ms
(constant)
0
solid stress
: A.AJ
\
-4
M ;.^/Ai'S^'-..^----:..^"<..<
.
>. -/- A,- / (T)(2)
contact displacement
MPa .
OO
lllllllll"1""-" T
-100'
@
joint stress
10 20 30 40 50 60 ms
time
MPa
(b)&-& 4-
At - 0.05... 0.1 ms
(gradually
reexpanded) 0 \ / "O..^..*-
//
-4J
MPa -
.0"
0<f
JTT-
-100
10 20 30 40 50 60 ms
time
MPa
(c) 0-J2; 4
At-0.01 /0.5 ms
(split time t ?.
step, large 0
"\
between
impulses) -4
'J S'l '>'

MPa
0$
-100'
TT
im
'
I I
I
10 20 30 40 50 60 ms
time
Fig. 7.11: Study of selective dissipation (Bazzi/Anderheggen-p method)

Reducing At to 0.01 ms for more exact impulse integration disables any dissipation, despite
step reexpansion to 0.5 ms inbetween nodal contacts; instead, the sudden reexpansion results
in a weak instability. For more efficient dissipation a step reexpansion during the short contact
phase would be required, integration of the nodal collision and enlarges

but this leads to a poor
the duration of contact, soon followed
by gross instability. The only successfull strategy is
therefore to chose a time step barely small enough for accurate impulse integration, but for
which at least some numerical dissipation is effective, and not to reexpand the time step until
the nodal bouncing has come to a rest. If overshoot is to be guarded against, the reexpansion
must proceed rather carefully [Hibb 79].
The efficiency of
algorithmic damping is seen more clearly from plotting the velocities
(Fig. 7.12). Here the bar of 100 m length bounces in alternating direction between two rigid
surfaces of 100.02 m clear spacing, and for ideal elastic impact it should retain its initial veloc
ity of 0.5 m/s with alternating sign. Accepting a slight decay, a computation with the largest
possible selective dissipation (p 0) at At 0.1 ms is taken as reference Solution (a), against
= =
which the following attempts of noise reduction are to be compared.

An ideal integration method should provide asymptotic annihilation of the high-frequency
response, i.e. the spurious oscillations should be almost eliminated after one time step, resulting
in zero velocity for the duration of contact with either rigid surface. Thus the individual node
would experience 'plastic' contact, while the elasticity of the bar effects a completely elastic
rebound of the bar (coefficient of restitution equal to unity). Obviously, the p-method cannot
achieve this behaviour.
Asymptotic annihilation is only found in the Houbolt method (a 3-step LMS), which is not
self-starting and overly dissipative in the low frequency rnge [Hulb 91]. A stronger dissipation
in single-step methods can be effected by chosing 7 > | in the two-root Newmark method,
known as 7-damping. This crude form of numerical damping is usually avoided because the
resulting algorithmic dissipation (Appendix G)
= + fil_ll ,
ft =: u At =
2t^ (7.34)
has a non-zero slope at il = 0 and undesirably affects the low-frequency response. This can be
seen in Fig. 7.12 (b), where the chattering is worse than in the reference Solution (a) -
albeit at a
more economic adaptive time step -
while the solid damped more, resulting

eigenvibrations are
in a noticeable decay of
velocity period elongation.19
and This
guarded against by using
can be
a smaller time step Atmaz in combination with a larger 7 [Latu 89] [Papa 90]. Some 7-damping
has even been used in combination with discrete impact and release conditions [Lei 88].
7.3.2 Use of Viscous Damping

Another technique worth investigating is the use of viscous damping. This could be either incor-
porated in a viscous constitutive model for joint closure [Hunt 75] [Ohni 85] or by the damping
coefficient in Eq. 7.34. The latter constitutes a special case of the well-known Rayleigh
damping,20
C =
cmM + ckK (7.35)
19In all these examples the time step is reduced to about 0.05
during nodal impact ms automaticaUy by -
specifying a Newton-Raphson technique and reexpanded lateron to

maximum number of iterations in modified -
Ataw Since reexpansion introduces further noise, it is only feasible if the dissipation is still some what effective
in the larger time step; this is not the case for the p-method, which becomes unstable.
20Originally it stated that, if the dissipation function was assumed to be of the same form as the lrinetic or
potential energy or a linear function of both, ".. .the equations of motion are of the same form as for a system
of one degree of freedom," [Stru 45].
which itself can be derived from general orthogonal damping schemes [Caug 60] [Wils 72].
Equating the damping term in the modal dynamic equation, where k = w2m [Clou 75],
m
ti(t) + (cm + Cfcw2) m
(t) + 2m tt(t) =
pw (7.36)
2u>
the modal damping coefficient is identified as:
f=K^+ciu) (7-37)
With two parameters Cm and c* available, the damping ratios can be chosen for two distinct
frequencies:
The damping for other frequencies is given by Eq. 7.37 and seen to decrease with u> in the mass
proportional component (low-frequency damping) and to increase in the stiffhess-proportional
component (high-frequency damping).21
Substituting theRayleigh assumption into Eqs. 7.19-7.21 gives the following augmented
acceleration and displacement terms in the equivalent-static form of the Standard Newmark
algorithm:
[*+*,] =
[(a4+emo1)M + cfca1K + *+A'K,] (7.39)
{*?} =
{tp}-{tf''}-[M]{(o<J+cma3)t+(a5+cmaO*}-c*[Ke]{a3t-r-a2}
{Ari+1} =
{Afi} {Affix} [(fl4+mOi)M + chaiK'] {Au<+1}
- -
Typically implicit methods, the damping is thus introduced via the already assembled
for
system matrices, although Eq. 7.35 could also be invoked for each element individually, resulting
in a spatial Variation of the degree of damping [Idri 74]. If the tangent stiffness matrix is updated,
degrading constitutive models such as yield or cracking would result in a decreasing viscous
- -
damping unqualified to model enhanced energy dissipation due to nonlinearity. Therefore some
codes restrict the stiffhess-proportional damping to the linear domain [Maag 85]. However, it
makes sense to use stiffness proportional damping for fluid elements subject to cavitation, where
it serves to curb the compression spikes after collapsing of cavities [Elai 88] [Fenv 88].
If the stiffening or impact does not occur in the solids themselves but on their boundaries as
in discrete discontinuities, damping the solids is rather ineffective (Fig. 7.12 c): Because c* is
applied to the smaller stiffness of the solids, the local rebound in the much stiffer joint elements
is damped out very slowly. Note also that in spite of Vn 0 the global rebound velocity is quite
=
strongly affected, resulting in a drastic period elongation. In Lagrange-multiplier formulation,

damping the solids would be the only Option available [Lei 89], but the existance of a joint
(penalty) stiffness suggests to try local damping in the joint element itself.
21A third diagonal damping matrix term my be added to Eq. 7.35 [Maag 85], which can be shown to enable
complex eigenmodes [Lian 91]. On principle, such a damping matrix could be assembled from damping constants
specified for the individual degrees of freedom. Note that stiftness-proportional damping to ihe elastic Joint
penalty matrix produces diagonal damping terms equivalent to discrete dashpots
-
only in conjunction with

-
nodal quadrature (| 3.1.2).

Colliding Bar: Damping in alternating impact (lumped joint, consistent solid)
bar velocity: left end right end
(a) reference Solution: m/s
p-0
Atni * -1 mS
0.5
(b) y-<>amping;
7-0.7
0.36
.
At 0.5 ms
(c) yiscog; o|jd;

7-0.5
0.25
-
ck-410J'
At 0.5 ms
(d) viscous, joint;

7-0.55
0.2756
-
At_. - 0.5 ms
Effect of damping the velocity of opposite bar ends

Fig. 7.12: on
explicit methods, element damping forces can be computed from nodal velocities
Similar to
or the rate of change of the elastic straining forces. For instance, the nodal damping force in a
bi-linear stretching element becomes from Eq. 7.36 [Bely 76a]:
tfda =
2tme>t =
(L'y/f7Et (7.40)
where m =
\p(L')2 and u> =
2/L'y/E/p according to 7.31 for
equivalent to
Eq. n = 1. This is
a quadrature point.22
viscous stress in function of the strain rate at the individual
According to Eq. 7.37 both local mass- or stiffhess-proportional damping are feasible. If
a near-critical damping were strive at, as for dynamic relaxation, either one could be chosen
[Cund 79] [Bard 91]. But since mass-proportional damping amounts to a dashpot connecting
each node to the ground, this would not allow to just reduce the relative velocity of bouncing
nodes without affecting the movement of the Joint element as an entity; only the stiffhess-
proportional part can be used for this purpose [Stru 45].
In the present implementation the element damping forces are computed from the non-
linear joint stiffness [Hohb 88b], denoting the contact damping coefficient as q in distinction
from an additional Rayleigh damping in the solids,
t+AtfJa =
_?(t)Kt+At. (741)
which already contains the differencing of top-minus-bottom d.o.f. (Eq. 2.43). The current
velocity is computed in the element from the kinematic variables at step begin and the iterative
displacement increment according to Table 7.4. The sign Convention in conformity with Fig. 2.9
is such as to decellerate nodal rebound: For the bottom nodes of the joint, compression due to
u < 0 (overlap) gives via Eq. 2.40 positive equivalent elastic forces; the nodal damping forces
need therefore be positive for < 0 (collision) and negative for > 0 (rebound).
Such damping forces could, of course, also be physical, for instance in the support elements
of piping Systems; where they are less numerous, the damping as well as the elastic contact
forces may be exclusively handled on the right-hand side as temporal nonlinearity acting on a
entirely linear structure, e.g. [Moln 76] [Tzou 87]. Their integration into the effective stiffness
formulation is very similar to Eq. 7.39, except that the element damping is disguised in the
retumed 'visco-elastic' stiffness (*)]** and nodal forces *+A*f? of the joint elements,
[t+MKi] =
[a<M + WKvi]
{?}. =
j'p} {<f} [M] {o, < + }
- -
a5 (7.42)
{Ari+1} =
{Ari}-{AfJ?1}-a4[M]{Aui+1}
where for the joint elements:
OK* =
(1 + qaxpK (7.43)
AJ& =
Af^-ga^KAu*!
Note that the damping forces change in each nonlinear iteration only with the displacement
correction but not due to update of the stiffness matrix. Of course, both the stifihess matrix
and the damping forces could be locally updated in each iteration, but because the global
"Eq. 7.40 corresponds to Landshoff's linear part of the artificial viscosity for finite difference models of shock
propagation [Wilk 80] [Herr 83]. There the objective was to give to the advandng shock front
in invisdd fluids
a finite thickness comparable to (but preferably somewhat larger than) the spacing of the grid points [vNeu 50].
186 CHAPTER 7. PERFORMANCE LN DYNAMICS
method uses modified Newton-Raphson strategy with [^K"'], an interim change of qK

the on
the right-hand side alone would substantially impair the convergence for large q.23
The Performance of the
foregoing algorithm in the colliding-bar example is seen to be
excellent (Fig. d):
7.12 With
only q 1-10-4 the nodes keep 'sticking' at the contact face with
=
zero velocity until the energy exchange is complete; meanwhile the lower-frequency Vibration of
the solids is undamped, and the free bouncing of the bar is not affected to a noticeable degree
since the penalty-proportional joint damping drops to zero for debonded states. A displacement
plot as in Fig. 7.11 would exhibit a single spike of interpenetration, the depth of which depends
on the time elapsing until the 'visco-elastic' joint stiffness is updated to indude the damping. Of
course, one might consider to activate the damping prior to rebonding within a certain 'catching
zone' [Bely 80], but presently the initial impact penetration fulfils that purpose.24
The comparison with the other means of damping in Fig. 7.12 clearly evidences the supe-
riority of the local contact enabling asymptotic annihilation of the 'chattering'. On first sight
the success of viscous damping in implicit integration may seem strnge, because it is routinely
rejected as an efficient means of noise dissipation [Hilb 77] [Bely 83]. This rejection is based on
the recovering of the spectral radius to /> 1 for At/T
?
oo, meaning that oscillations with a
?
period several Orders smaller than the time step will indeed not be damped out (Appendix G.2).
In the present case it is the need for accuracy and concergence in modified Newton-Raphson
iteration which places the time step always in the rnge where viscous damping is effective
as soon as 'chattering' arises. Noise arising from the step changes can be controled either by
additional viscous damping in the solids, or by a slight numerical dissipation, e.g. 7 0.55, =
which remains active for noise periods much smaller than the reexpanded time step.
Admittedly, the choice of q in Eq. 7.43 is a matter of experience. Theoretically, the damping
depends on the time step At. To avoid this dependance, it has been suggested to replace or
enlarge Eq. 7.37 by a frequency-dependent c. jc^;, which is derived from the 'structural'
=
damping of a harmonic motion [Clou 75]. Substituting q =: c. At/v, the effectiveness of damp
ing would dep end on the current time step [vSch 86]. However, the tendency would just be
opposite to the desired effect in that the damping diminishes when the time step drops be
low the eigenperiod of the noise. Therefore, the constant q appears the best Solution and can
be sized from the estimated joint eigenfrequency, which also determines the time step length
necessary for accurate integration.
31
emphasised that this implementation, which entirely proceeds as user-defined element, becomes
It should be
feasible by vir tue of the equilibrium iterations. If the Solution were to be advanced in a purely incremental
manner, the introduction of viscosity may require encroachment on the global Solution algorithm, cf. [Ande 76].
24Earlier studies [Hohb 88b] with permanent damping of joints (proportional to the elastic penalty) were
abandoned when it was seen to delay the Joint dosure too much. Similar tests with damping of smeared cracking
elements let in [Elai 88] to the precaution to remove the stiftness-proportional damping after cracking and not to
reactivate it upon crack closure, because of "additional difficulties (...) following the large impuls which results
due to the high crack closing velocity". Of course, the activated damping gives rise to additional unbalanced
forces (Eq. 7.43), which may enforce cutting of the time step. But this is desirable as it ensures an adequately
small time step for impuls integration; as soon as the relative velodties have decreased, the time step will recover
again.
Chapter 8
Arch Dam Application
During their development in the previous chapters both the element formulation and the con
stitutive model were subjected to extensive testing to ensure correct coding. Simple structural
examples such as the shear block ( 6.3) and the impacting bar ( 7.3) illustrated various
- -
implemented features and tested the nonlinear element Performance.

It is understood that such demonstrations of element capabilities and shortcomings do not
provide a verification in the strict sense: neither are analytical or numerical results from
the literature duplicated, nor is the dement modd calibrated against laboratory tests. On
the one hand, physical tests e.g. in cyclic shear
-
are mainly conducted along distinguished

-
load paths, which may not be the most critical with view to the internal logic of the dement
(abrupt path changes in incomplete cycles, etc.). As seen, for instance, in the 'shear box test'
(Fig. 3.7), some expected joint stress distribution may not be reasonable at all for the given
boundary conditions, whereas apparent malperformance finds some justification in the inherent
assumptions of the discretized modd. When checked against physical models without ability to
measure joint stresses [Fish 91], applications may seem successfu in the global response even
though the joint element itself is implemented in a faulty manner.

Comparisons with well-documented analytical or numerical Solutions,1 on the other hand,
are always limited to duplicating certain parameter constellations which may not be general
enough and occasionally even miss the critical aspects of joint Performance. On prindple, every
nonlinear application demands new parameter studies with varying meshes, boundary condi
tions, penalty parameters, load step size, convergence tolerance, and so forth, to fully assess the
element behaviour. Showing a good fit with an 'independently' derived Solution does therefore
little to build trust in a nonlinear modelling technique.
Highly interesting and dosely related to the present application are problems of rocking
columns [Ishi 82] [Psyc 83] [Andr 89], of cracked dammonoliths [Sain 74] [CheH 82], and of the
failure modes of jointed (masonry) arches under static loading [Cris 85] [Royl 91] or in shaking
table tests [Niwa 80]. Although these examples are but two-dimensional, their physics can be
rather involved and would have to be induded in discussing the rdevance of numerical Solutions.
Therefore they are planned to be investigated at a later time and documented separately.
The remaining part of this treatise attempts rather an immediate exploration of the potential
of joint dements in seismic arch dam analysis. Admittedly, the complex behaviour can be
anticipated to somewhat disguise the individual dement Performance; but it was found that
the seismic triggering of all kinds of local joint displacement histories in different parts of the
'The largest body of data concern the HertiSignorini problem cf. [Chan 71] [Hugh 74] [Pran 75] [Fred 76]
or -
[Nguy 80] [Oden 80] [Tsen 81] [Bath 84] [Keer 84] [Barb 85] [Chan 87] or other type of indentations. Structural
-
applications are limited by and large to the buried culvert [Kato 81] or geotextile pull-out [Gens 89a] [Schw 90],
in dynamics to the impacting vibrations of a longitudinally split beam [Osmo 85].
188 CHAPTER 8. ARCH DAM APPLICATION
structure provides -
sufficiently tight convergence tolerance on equilibrium

in presence of a
iterations -
a rather severe coding errors.2 Moreover, the general feasibility of the

check on
discontinuity modelling technique in large-scale dynamic problems was to be demonstrated,

as it is known from the distinct element method [Choi 90] that an increasing number of joints
tends to destabilize a modd by 'rattling' at the same time. The additional stiffhess-proportional
damping of the joints was not applied, just in order to see how obstinate the noise would become
in a full-scale structural modd without employing special provisions.
Since the arch dam geometry of this example has been much tested over the last years,
the effects of joint nonlinearity can be readily appreciated. Still, though, the emphasis is not
on gaining definite conclusions on the seismic arch dam behaviour, but these tentative compu
tations lay the foundation for sensitivity studies, of which many more need be undertaken
induding the geometric modd, mesh zonation, earthquake characteristics, and material param
eters. Based on the derived condusions about the role of certain Joint features, some well-aimed
laboratory tests to establish concrete Joint properties may be needed at a later stage of
- -
the project. Furthermore, the prototype dam has been sdected as prime candidate for seismic
instrumentation, so that dynamic structural data although from small excitation can be
- -
expected in the near future for comparison.
2
Particularly the introduction of a more involved shear key behaviour, surmounting the dear-cut plastidty
formulation, required many case diatinctions. Flaws in foreseeing proper branching showed off as lack of overall
convergence, even when caused by a discontinuous stiffness change of one single joint element!
8.1. MODEL DESCRIPTION 189
8.1 Model Description

The problem is essentially the same as introduced in Fig. 1.5 with the exception that the opening
and shearing of block joints is investigated for an empty reservoir. Although added-mass modds
of incompressible fluid interaction are still common in large-scale nonlinear application [Dowl 87]
[Fenv 89], the results of the coneurrent devdopment of an accurate compressible formulation in
the time domain [Webe 89] will be awaited before including the dam-reservoir coupling.
The collapse of a dam without discharge of impounded water is certainly not the most
critical scenario for the downstream population; still, its stability at empty reservoir need at
least be verified for operating basis earthquakes. Arch dams seem particularly vulnerable by
ground motion if their arches are not precompressed by the hydrostatic pressure of the reservoir:
Due to the radial orientation of the block joints, the slender cantilever monoliths are in danger
of toppling upstream. This is sometimes guarded against by a crest reinforcing bdt, which may
be pretensioned (Cachi [enr. 67]) or provide only passive resistance against joint opening. The
means for dimensioning such bdts have been rather approximate, using quasi-linear dynamic
computation [Pris 78], energy considerations [Tard 87], or pseudo-static evaluation of the base
shear [Lotf 92].
As stated in the discussion of some preliminary results [Hohb 91b],it is not implied that
this scenario calls invariably for a nonlinear direct time integration. Rather, the reservoir-empty
condition is chosen because large joint areas will openalready during moderate earthquakes,
posing severe demands on the coupled decohesion and shear-key constitutive model. It seems
therefore well suited as a test case for the large-scale seismic application of the joint element.
8.1.1 Geometry and Material Data
This primarily numerical purpose allows to adopt further simplifying assumptions: The
arch dam is supposed to be fixed in a rigid foundation, neglecting both the rock compliance
and the propagation through the ground. The geometry of the 237 m high Mauvoisin dam
wave
[Stuc 54] (before the recent hdghtening by 13.5 m) was symmetrized (cf. Fig. 1.3), and only
upstream/downstream exdtation is considered.
To avoid an analysis of the construction sequence, gravity is completdy neglected
involved
in the following computations. It is supposed that the block joints do not reeeive tension from
construction and that any joint compression from grouting has been relaxed by creep. For an
empty reservoir thus only cantilever stresses exist which are immaterial as long a horizontal
-
joints do not become critical so that the present investigation of sdsmic opening of block joints
-
may start from a 'stress-free' dam at rest. Joint dements are provided along the valley profile,
but are presently kept fully bonded and serve only for the evaluation of local stress rises. Of
course, the exact evaluation of the pre-event stress levd in the dam-foundation interface would
be of prime importance in a complete evaluation of the sdsmic dam safety.
The prototype features helically curved block joints at 18 m spacing, giving

along 29 blocks
the crest length. Even for the Symmetrie half this would have necessitated too many elements,
so that only every second Joint is aecounted for in the present modd, corresponding to 12 joints
for the fll dam (Fig. 8.1).3 The geometry of a three-centered arch with fillets is amenable
to the ADAP mesh generator [Clou 73]. Only the vertical division had to be adjusted so as
to give the proper intersection of the block joints (vertically aligned on the reference cylinder)
with the abutment line. The use of quadratic shape functions then resulted in the realistically
'Only one previous analysis modelled every Joint (11 in Pacoima dam) [Dowl 87], whereas the kinematic
resolution in other models was much inferior, namdy 5 joints (of 22 in Xiang Hong Dian dam) [Row 83] or 3
joints (of 14 in Morrow Point dam) [Fenv 89].
Finite Element Mesh: 1545 equations
K 1 3
~j
\XlS 17
19
23
31
-^ fe
\V 43
L45;
m
51 162
I |Z 362 (ll 163,1 a
JX W
34 solids 42 joints
Fig. 8.1: Example dam geometry with numbering of solid and joint elements
curved joints, whereas the foundation generated piecewise linear (for compatibility
boundary is
with low-order ADAP solids in the rock domain). Double noding resp. triple noding at the
-
junction of block joints with the foundation interface had to be introduced by hand, but an -
automatic generation would be advisable for routine application [Pott 91].

The plane of symmetry was first allowed to open like the other block joints [Webe 89].4
In order to achieve cantilevers of about the same width and rigidity, the Joint in the plane of
symmetry has now been assumed fully bonded in the normal direction, and frictionless sliding
is permitted in both tangential directions.
While ADAP originally promotes for the solid dam dther thick shell dements (plane-section
assumption) or stacked low-order solids (cf. Fig. 3.16), midside nodes were interpolated for the
use of 20-node Serendipity wedges; the latter avoid the contraction of brick
bricks and 15-node
nodes which would give an inferior dement Performance [Iron 73] [Pean 87]. After the unsettling
experience of hour-glassing (Fig. 3.8), all solid dements are fully integrated using 3x3x3 Gaus
points for the bricks and 3x3 points for the wedges.
Inspite of their linear-elastic constitutive assumption the continuum stresses are Output
directly at the quadrature points.5 From a previous comparison with the original girder-grid
analysis of Mauvoisin [Stuc 53] each solid is given a local a, b, c-coordinate system such that the
Output stress orientation is aligned with the dam's mid-plane in the dement centre, determined
by averaging the surface normals at the dement nodes; this approximates a circumferential
4
Note that the normal rdative displacements are measured only to the plane of symmetry instead of the
opposite joint face and are therefore only half as large for the same contact streu, i.e. the joint penalty stiffness
need be doubled. This was overlooked in that early computation.
5In the final version they should best be extrapolated to the element faces, along lines of constant natural
coordinates [Hohb 84]; see [Prom 92] for an extensive discussion of Optimum stress recovery in arch dam analysis.
Joint Penalty:
"plateau of insensitivity"
,
'e (Hz!
/
/
7 KQQ-
monolithic 1 element / thickness J
7 617-
JL
monolithic 2 elements / thickness
/1
/ Symmetrie
/
eigenmode no. 8
;
i
log Kn/E
i illl i
-1 1 3 5 7 9 11 13
Fig. 8.2: Choice of the joint penalty stiffness
('hoop stress'), a near-vertical ('cantilever stress') and a horizontal through-thickness stress
component. The nodal displacements are defined in individually rotated frames of reference
to readily identify radial and tangential components. The Variation of direction cosines of the
surface normal over the shall surface has been used during the mesh design as additional check
of sufficient discretization in regimes of strong local curvature (intrados fillets and base arch).
The joint elements have 8 double-nodes with 3x3 Lobatto quadrature, i.e. the joint dement
nodes are uncoupled except for the contribution from the quadrature point in the elements
centre (matrix type K5/3 in Table 3.6). Output quantities are not in an average a, 6, c-system
as in ADAP-88 [Fenv 89] but in local n, s, t-directions, computed once and stored for each
- -
quadrature point as defined by Eqs. 2.15/2.17.

The penalty parameter for the elastic bonded state was chosen to the lowest acceptable value
from a rnge of almost 12 Orders of feasible magnitude (Fig. 8.2). To establish this rnge, the
dynamic eigenvalues of the dam were inspected for the highest, reasonably represented mode;
based on the preliminary study with arch ribs (Fig. 7.7), this was judged to be the 7th-order
'crest' mode involving 4 solid elements per wave length. Because of the massive geometry of
Mauvoisin dam t** 0.065, t1"'
-
0.22 H, with a crest length of X

= = 2.2 H the crest = -
modes are very closely spaced, whereas the higher cantilever modes, for which the size of the
penalty parameter was considered less relevant, rnge as mode 9 and following.
Compared with a refined discretization of two solids through the thickness as employed -
in Fig. 1.3 for static analysis the natural frequency of the sdected mode was found 1% too
-
stiff without joint elements. The choice of a low penalty parameter just adds a little flexibility,
reducing the natural frequency of the coarse model to /g 7.685 Hz; the prime motivation was, =
of course, a good rate of convergence and moderate development of noise. The adopted value
of Kn 2 k.
= 2 2Jv*'M0 complies with the rule of thumb in 2.3.1, if the average joint segment
=
length of L' 30 m is inserted in the formula k Le 10 100 îid* =
The pertinent material data of the computations are summarized in Tab. 8.3. The concrete
modulus of 20 GPa may seem surprisingly small and represents indeed the long-term modulus
Solida: Young's modulus E 20 GPa

Poisson's ratio V 0.16
density 7 2.5 t/m8
Joints: contact stiffness Kn 40 GPa/m

shear stiffness * 20 GPa/m
tensile strength ft 1 MPa
cohesion c 4 MPa
frictionangle 4> 35
o
dilatancy angle
o
i> 0
tension softening fn 0.5 mm
shear softening %i 200 mm
asperity height Dn 5 ... 100 mm
Tab. 8.3: Assumed material properties for the dam analysis
from a foregoing analysis; a value twice as high would appear more realistic, but the
static
lower value may be accepted as an artifice to account for some frequency reduction due to the
unmodelled foundation compliance. As can be inferred from the definition of the circular eigen
frequency as u>2 Jb/m, a factor of two in Young's modulus alters the natural dam frequencies
=
by y/2. The effect on the response will depend on the earthquake frequency spectrum and be
addressed lateron.
The tensilestrength, cohesion and friction angle are conservative estimates for block joints,
which are supposed to be considerably weaker than the competent concrete. A recent recommen-
dation [nrc 90] permits for nonlinear analyses c 10%/c (fc being the unconfined compressive
=
strength) and tan^ 1.0 (i.e. <f> 45), which would be substantially higher. Likewise on the
= =
conservative side is the complete neglect of Joint dilatancy (ip 0), which was chosen for the
=
sake of clarity: Since the constitutive modd assumes perfect mismatch after asperity shearing,
the question of its influence on permanent joint bulking was not to be blurred by additional
dilatancy; all permanent joint gaps will soldy result from asperity mismatch (Fig. 5.15). Conse
quently, the geometrical strength component of intact asperities is represented by an apparent
cohesion as part of c 4 MPa; to this end the generalized Coulomb criterion was degenerated
=
to the truncated cone by makingX 0.999 (Fig. 5.7).

=
Tensile strength and cohesion are supposed to be lost in proportion to the displacements
Wmax =
Xir and dmax Xir, as explained in Table 5.14. Since wmax is chosen much smaller than
=
dmax (virtually zero, in fact),6 a decohesion in pure tension will result in an almost horizontal
shift of the truncated depicted in Fig. 5.13 for '0% wear'. The only varied parameter
cone as
in the following will be the asperity hdght Dn: from 5 mm for a rough but planar joint, via
shear keys of 50 mm height, to ideal shear interlock (represented by Dn 100 mm, exceeding =
the maximum expected joint opening).
*When an ideaUy brittle stress-drop is asked for, the programm automaticaUy calculates a minimum tension
softening displacement tomas in function of the tensile strength and the penalty nn to prevent a non-positive
elastoplastic modulus H" (Eq. 5.13).
8.1.2 Earthquake Input and Spectral Properties

The earthquake loading is simplest possible manner, that is as uniform base
applied in the
accderation in the upstream/downstream direction. This corresponds to applying the rigid-
body inertia forces from base accderation as forcing function to a supposingly fixed system
with relative degrees of freedom as independent variables (Tab. 8.4). Other effects such as
coneurrent vertical or cross-valley accderation, non-synchronous input, or wave transmission
through the foundation, are disregarded.

The time history applied throughout in the current research project (e.g. [Skri 83]) is based
on the Golden Gate Park record of the 1957 San Francisco earthquake (S80E component)
[Huds 71]. Besides the Port Hueneme, Hdena or Parkfidd records it is one of the few North
American events with a short
strong-motion phase of 2-4 seconds. A similar duration is ex
pected in regions of moderate seismidty in Europe, where

the geophysically maximum credible
earthquake is estimated to M 7.1 [Sge 78]. While the regional parameter used in correlating
magnitudes to peak ground accderation appears similar to Californian conditions,7 accelera-
tions large enough to endanger dams seem only plausible for small focal distances [sng 91],
featuring a short duration of high acederations at predominantly high frequencies, particularly

on hard rock as given at dam sites [Bach 79] [Stud 83] [Kid 84] [Hoss 87]. Of course, this is
rather wellcome from the analysis point of view, as it allows manageable Computer run times in
direct time integration without resorting to Substitute ('combi-sweep') accelerograms [Zien 80b].
An impinging ground shock exdtes a structure through a

sudden rigid-body displacement x,, to which it responds
by vibrations u about the displaced configuration:
X U X-
*8
=
X =
ig +
While the inertia forces depend on the total accderation x,

the material straining and damping are independent of the
rigid-body motion [Newm 71]:
Mx + C + Ku = 0
M + C + Ku =
-Mi, =:
p(t)
This means that the forcing function acting on a spatially

discretised modd structure is to be computed for a syn-
chronous ground motion Crom the rigid-body acceleration
[Clou 75]: U4
{p(i)} = -
[M] {1} it(t)

where {1} is a vector with unit ordinates on all nodes in
the spatial direction of excitation.
Tab. 8.4: Definition of the seismic excitation force
TA caUbration on the 1976 Friuli earthquake yielded the correlation [Sge 78]:
log ak = 0.26 7msk + 0.19 [gal]
which for a maximum credible Jmsk = X would result in 617 gal or 0.6 g. However, at about 40 km distance,
this would drop to less than 0.2 g [Sehn 73] if not to 0.1 g [Camp 81].
The 'Golden Gate' time history in use is not the original S80E accelerogram, however, but
was modified for earlier nuclear design applications to match the NRC spectrum [nrc 73].
- -
Unlike arch dams, nudear power plants are often built on alluvial material, so that design
spectra borrowed from this branch of engineering contain considerable low-frequency, soft-
site response. This is seen from a comparison of the NRC spectrum with two design spectra
recommended by the U.S. Bureau of Reclamation, one for an M 6.5 event at 1 km distance, the
other for an M 7.5 event at 40 km distance [Tarb 79] (Fig. 8.5). Apparently, the NRC spectrum
can be viewed as an envdope to the USBR spectra, merging near- and far-fidd features into
one accelerogram. This questions the practise of scaling up a time history satisfying the NRC-
spectrum or any other broad spectrum found in codes, such as the Swiss SIA 160 to
- -
accderations which could possibly arise only from a near-field event.
Plotting the spectra of the original and the modified Golden Gate record into the same
diagram reveals that this manipulation generally tripled the spectral amplitude for periods
above 0.2 s (< 5 Hz). This is due to a low-frequency modulation off-setting the points of
regulr zero-crossings such that the main acceleration spikes are gathering in groups with a
much larger energy content, spaced about 0.5 s apart. It fumishes the new quality that near-
resonance states can build up which are missing in the original record, as demonstrated in
Fig. 8.5 by means of the rdative accderations of SDOF oscillators with 1.91 Hz and 2.70 Hz.
Such a pronounced shaking is fairly atypical for a small earthquake of 0.25 g.8
frequencies correspond to the first mode for the monolithic shell behaviour with a
These two
Young's GPa, respectively. The joint opening and shearing is anticipated

modulus of 20 and 40
to cause a temporary drop in the frequeny spectrum of the dam oscillations. This drop can be
estimated by a linear eigenvalue analysis, when the additional flexibility in radial direction (out-
of-plane motion) due to temporary joint sliding is mimicked by setting the joint shear stifihess
to zero (Fig. 8.6). The drop is seen to be tremendous but will in nonlinear computation only
occur during the short phases of joint debonding.
Provided the frictional resistance in the closed state is sufficient to reestablish monolithic
shell behaviour during the downstream sway -
which is ensured by the radial orientation of
joints -
fully
the vibrational behaviour appears 'healed'. This should
distinguish the block joint
nonlinearity from cantilever cracking, the effect of which was described as that of a base isolation
mechanism permanently reducing the overall stress levd [Donl 91].
The viscous damping in the modal study was assumed to 5% of the critical damping,
defined as cit = 2mw [Clou 75]. The restriction to proportional damping in MDOF Systems
leaves only the choice of the two free Rayleigh coefficients (Eq. 7.38): The adopted values are
cm = 0.833 and ck =
0.00167, such as to give 5% at u>i,2 =
10, 50 rad/s, i.e. at 1.59 and 7.94 Hz.
It should be observed that lower frequencies are damped almost in proportion to cm/u>,
so that the damping will somewhat increase with the aforementioned temporary drop in the
frequency content during joint opening; anchoring Cm at 1.59 Hz -
instead of 1.91 Hz of the
coherent shell -
accounts a little for this effect.9
'Scepticism
about the large dam response for an empty reservoir at this level of excitation [Hohb 91b] was
firstexpressed by Dr. M. Ahmadi (Tehran), whom the author would like to thank for his attentiveness. Similar
observations were made in a recent study of the nonlinear response of the Pine Fiat gravity dam to various
accelerograms [GaU 90]: When sealed to the same peak ground acceleration (0.18 g), the modified Golden Gate
record produced about twice the Vibration amplitudes observed for the Taft Lincoln school tunnel S69E record
of the 1952 Kern County earthquake, which was an M 7.7 event at 40 km distance and considered for the USBR
far-field spectrum.
*
Just for comparison the values hitherto in use in the coneurrent gravity dam project are annotated: Cm 1.8 =
and c = 4
IO-4, giving 5% at 20 and 230 rad/s (3.18 and 36.6 Hs), when the fundamental frequency of the
uncracked state was 2.86 Hs [Skri 83].
Comparison of Response Spectra (5% crit. damping):
amax USBR near-field *"***" NRC design spectrum

(M6.5, 1km)
g 8
USBR far-field (M7.5,40km)
O D NRC-mod. Golden Gate
0.1 Tis]
0.8 f [Hz] 10 f{Hz]
Effect of Modification on Time History:
[m/s*]
f/Â#HV OyV
-1 1
6 7
t[s] t[s]
original Golden Gate S 80 E NRC-compatible version
-NRC-mod.
-original
SDOF response 1.91 Hz SDOF response 2.70 Hz
Fig. 8.5: Characteristics of the chosen time history

Frequency Shift due to System Change:
coherent shell slipping cantilevers
mode 1 mode 5 mode 10 mode 1 mode 5 mode 10

1.91 Hz 5.19 Hz 8.55 Hz 0.46 Hz 1.94 Hz 3.79 Hz
Fig. 8.6: Comparison of selected eigenmodes of shell and cantilever system
As mentioned in 5.2.3, the Rayleigh damping is only applied to the linear finite elements
-
the uncracked cantilevers -
so that the structural damping is not influenced by the eigen
frequencies of the joint elements. Their optional stiffhess-proportional damping is not used
either. Thus, only the numerical dissipation by the time integration algorithm will take care of
high-frequency noise, and the appropriate choice of its parameters is discussed in the sequel.
8.2. VD3RATI0NAL PERFORMANCE 197
8.2 Vibrational Performance
To readily connect with earlier work based on a no-slip assumption [Row 83] [Dowl 87] [Fenv 89]
[Webe 89], different degrees of

nonlinearity will be investigated: linear monolithic behaviour,
pure joint opening with ideal interlock, limited shear key height, and frictional sliding in unkeyed
joints. The comparison encompasses the radial crest displacements, stresses in the crest arch
near the crown, and stress amplitudes at heel and toe of the crown cantilever. In order to register
high-frequency noise, a set of Output quantities is stored every 0.002 s. For seven seconds of
time history this resulted in data files of some 22 MB, with another 1.5 MB for each breakpoint
and 3.5 MB for basic analysis data.
The tnnTiimiTri time step only 0.5 ms (i.e. 5-10-4 s), which may seem wastefully
was chosen to
small when compared to 10 adopted elsewhere. However, those computations employed either
ms
fll Newton-Raphson iteration [Dowl 87] [Fenv 89] or event-to-event control, during which the
time step was allowed to drop to 1.25 ms [Row 83]. As discussed in 5.2.2, this strategy of
maintaining a large time step at the expense of stiffness Updates in each iteration was motivated
by noise filtering and entailed additional compromises in the definition of equilibrium in order
to limit the number of iterations. At least in one instant, this time step was admitted to be too
large for an accurate determination of the contact forces [Row 83].
The present strategy, in contrast, is to iterate without stiffness Updates until a maximum
force norm is satisfied for the out-of-balance loads [Maag 85]:
t+At, <re where

|+*r.| = max
t+Ai.
(8.1)
For the given size of Joint elements and quadrature weights, a tolerance of rt = 100 kN results
in an accuracy of joint stresses of 1 kPa or better. If convergence is not achieved within 12
iterations, the time step is cut down by factor of five and
reexpanded upon completion of
a
the interval; a stiffness update is only

performed for the next step if more than two iterations
were needed in the previous one. The adopted small default time step is fairly Optimum in that
most iterations succeed at that step size, resulting in an average of some 15,500 steps for 7 s
(17
7 =0.7 0.5
-ir
ncSUIlS ouiiipuiGu 7
- -
wiiu.
<J-f
=
7
At = 2 ms At= 10 ms At = 10 ms
or io
i
[MPa] 8
4 il IIA i
example: 2'
\ A /\ Ay
hoop stress
crown crest extr.
<
xA/V^/V
.2
-4*
-6"
-8-
-10 '
1 2 3 4 5 6 7
t[s]
Fig. 8.7: Effect of different time step sizes on a stress amplitude

The following Convention is adopted for the history

plots:
Displacements: in radial direction, upstream posi
tive, for the crest of the three innermost cantilevers,
taken from the upstream nodes half way between block
joints. The superimposed graphs give the values for
cantilever I (soUd), II (dashed) and III (dotted).
Arch stresses: for the innermost block joint at the
crest, taken from the nodal quadrature points extrados

(1) and intrados(2). The sign is positive according to
the top-minus-bottom definition of the causative rela
tive displacements (Fig. 8.1), in particular tension pos
itive. For each stress points the components are given
as normal/opening (solid), transvers shear (dashed)
and vertical shear (dotted).
Cantilever stresses: for the crown cantilever in the
Une of symmetry, taken from the nodal quadrature
points (3) and
of the deactivated base joint at the heel
the toe (4). The sign is tension positive in the vertical
direction (solid line), the shear components are not of
interest.
Tab. 8.8: Monitored quantities and their graphical representation
time history, i.e. in Atmea 4.5 ms. The few difficult ones -
owing to a larger number of
joints changing their status

together converge at the first reduction level within one or two
-
iterations, thereby deferring a stifihess update to the instant of step reexpansion.

Curbing high-feqency noise is achieved by simple Newmark damping through 7 0.7 =
and =0.36 (Tab. 7.2). To make sure that the physical, low-frequency response of the dam will
not be affected by numerical dissipation, a step length of 2 ms would be sufficient (Fig. 8.7).
This time step, however, required more deeply nested reduction levels for convergence of joint
nonlinearity and provoked fruitless stifihess triangularizations, so that the basic step size of
0.5 ms was preferred for its fewer number of iterations and stiffriess Updates.10
investigation, each stiffness update took 50 CPU-s and each iteration

At the start of the
6-8 CPU-s on a VAX 8800, in spite of the relatively small problem size of 1545 equations. For
the stated convergence tolerance this resulted in about 10 CPU-h for every second of response
history, almost prohibitive to parameter studies. It was only through the installation of a VAX
9000, speeding up the computations by a factor of almost five, that seven seconds of nonlinear
response could becomputed within 17 CPU-h, giving an average of 4 CPU-s per step. Without
high-performance optimization further saving are expected to materialize in the future.
The records of response histories from the present computations were intended to represent
the global behaviour and not to provide fll Information of the structure (Tab. 8.8). However,
the Performance of all joint elements was checked on screen during particularly critical phases
of debonding or disengagement. Mesh plots have been saved together with the foregoing single
parameters at 2 ms interval; this high sampling rate was intended to enable a close-up of joint
"Note that only in static computations the saved gradient from step begin may be reused regardless of the
step reduction, whereas the effective stifmess matrix in dynamics (Eq. 7.19) need be refotmed upon every trial
change in At.
8.2. VIBRATIONAL PERFORMANCE 199
chattering, whereas the global behaviour would be well enough represented by samples at every
10... 20 ms.
following each run has for documentation a table with response history plots and
In the
a sequence of ten snapshots from the first time the joints open up (apart from some local
debonding, which occurs earlier at 0.54 s). The chosen magnification of 200:1 may give the
wrong impression of cantilevers leaving the formation with their neighbours to an extent that
their contact areas fail to meet each other; this is not true at the real scale, where gaps and
sliding distances measure less than 10 cm everywhere. Compared to 14 m crest thickness and
element size, these are certainly small relative displacements in the sense of 2.2.3. In contrast
to previous releases of preliminary results [Webe 89] [Hohb 91b] a perspective from slightly
downstream has been chosen such as to give a better impression of the higher modes of the crown
cantilever. Moreover, joints which seemed to stay bonded when looked upon from upstream were
found to exhibit considerable gapping downstream due to inclined tension toward the intrados
abutment line.
8.2.1 Unlimited Tensile Strength

By employing the penalty stiffnesses but presuming unlimited joint strength, a linear
same
reference Solution is computed first. For computational economy this is done through a tying
option which allows to bypass the failure criterion. As high frequencies need not be considered,
this computation was performed within 1 CPU-h by using a time step of 2 ms.
The results near the crown (line of symmetry) of the monolithic shell resemble -
not sur-
prisingly -
those of the fundamental SDOF Substitute oscillator (Fig. 8.5), both in the crest
displacement and the upstream

hoop stress in the crest joint element next to the crown (stress
point 1) (Fig. 8.9). Corresponding with the duration of strong motion the almost resonating
oscillations occur between the first and the fifth second and decay rapidly afterwards, when
the pulsating strong-motion phase ends. The stress amplitude of about 9 MPa which was -
incriminated as unrealistically large for 25% g peak ground acceleration is due to the energy- -
enrichment ensuing from the manipulation of the accelerogram ( 6.1.2).
In comparing a snap-shots (Fig. 8.10), higher-order modes are visible in par

sequence of
ticular for the crown cantilever, for instance at 1.75 s and 2.25 s. The higher flexural arch modes
are not prominent because of their small amplitude. Their presence, however, becomes manifest
in the substantial difference between upstream and downstream hoop stress: The normal joint
stress downstream (stress point 2) is less dominated by the membrane 'breathing' of the shell
but oscillates more irregularly in a superposition of thrust and bending stresses in the arch.11
Note that the shear stresses are recorded at the dam surface (in the quadrature points of the
joint nodes) and should be zero for the elastic continuum; the effectively computed values are
below 0.2 MPa and represent a discretization error.
Of interest is also the lack of symmetry at the cantilever base (stress points 3 and 4): The toe
stresses -
at the tip of the fillet -
is not only smaller than the stress at the reentrant heel corner
but also out of phase. Obviously, most of the vibrations occur in the top middle portion of the
dam and involves the arch action (cf. Fig. 1.5). It is common knowledge that the fundamental
'breathing' mode of an arch dam is not geometrically similar to the deflection pattern under
hydrostatic load [usbr 77].
11
An earlier modal time
integration revealed a phase Opposition between crown and quarter point of the crest:
The hoop history at the crown intrados corresponds with that extrados at the quarter point and vice versa
stress
[Hohb 84]; more points would have to be sampled for such a comparison.
Linear Analysis: response history
"r
[cm]
20
cantilevers
(radial)
i lI I
crest
extrados
"l 1 i r
2
4-
[MPa]
crest
intrados
0
-,^^ûC^JXp^^^
-4M
"l r 1 r
3
[MPa]
crown
heel
4
[MPa]
crown
toe 0
-4H
i r
t[s]
Fig. 8.0: Displacement and stress response for unlimited strength

Linear Analysis: snapshots
1.55 s 1.65 s 1.75 s 1.85 s 1.95 s
2.05 s 2.15 s 2.25 s 2.35 s 2.45 s
Fig. 8.10: First major upstream excursions for unlimited strength
8.2.2 Joint Opening

The prevalent arch action is disrupted by limiting the tension capacity to 1 MPa, curbing
now
the flexural resistance during the upstream sway while

maintaining fll shear rigidity. This is the
'no-slip* assumption inherent in the precurrent developments of shell models ( 1.2.3). With
an early version of the present model, in which the Coulomb criterion was not yet operational,
similar results of perfect shear interlock were computed [Webe 89].
Although shear keys are not very common in European arch dams [Hohb 88a], it was thought
to be desirable to extend the provisions for override limitation and disangagement in the fric
tional model such that it could be degenerated to perfect interlock. The following run attempted
to duplicate the earlier results with the fully nonlinear shear model, simply by specifying a large
enough asperity height representing continuous engagement of 'shear keys', e.g. Dn 10 cm. =
As intended, the result is almost identical to the one in [Webe 89], but only after upgrading the
plastic decohesion model by the feature of free closure between undamaged shear keys while
preserving their finite shear capacity and limited height.
No Slip Analysis: response history

-
cantilevers
(radial)
1
[MPa]8
crest .< irl'tfaw

-\r
extrados
Y^f^yY-
-8-
2
[MPa]
crest
intrados
0
"ty^Y^^^
-4H
3
4-
[MPa]
crown
heel
4
[MPa]
crown
toe
n i
6 7
t[s]
Fig. 8.11: Displacement and stress response for the no-slip assumption
8.2. VLBRATIONAL PERFORMANCE 203
No -
Slip Analysis: snapshots
1.55 s 1.65 s 1.75 s 1.85 s 1.95 s
2.05 s 2.15 s 2.25 s 2.35 s 2.45 s
Fig. 8.12: First major upstream excursionfor the no-slip assumption
The opening has a very marked effect on the response: The loss of membrane action results
already in a substantiallengthening of the apparent Vibration period in terms of zero-crossings,

with a long excursion upstream as incoherent cantilevers, followed by a short excursion down
stream as recombined shell. The response, which was previously Symmetrie about the at-rest
position, becomes therefore grossly unsymmetric in both amplitudes and duration of the excur-
sions and lasts considerably longer than in the linear-elastic case (Fig. 8.11).
The upheld shear constraint to the out-of-plane motion of the individual cantilevers prohibits
any phase difference between them. The lag in response from the crown to the abutments
results only in a travelling 'hinge'-line, cf. the sequential time stations between 1.75 s and 1.95 s
(Fig. 8.12). The same snapshots are also available from the earlier computation [Webe 89],
but the different handling of symmetry condition results in the concentrated opening of the first
block joint rather than of the joints 'zero' (in the line of symmetry) and two. As a by-effect the
large impact spikes of -5 MPa occurring then at the crest intrados (stress point 2) are replaced
by a more frequent but less violent closure to -2 MPa.
Shear-Key Analysis: response history
r
[cm].
20-
,'\ A /\ /-v^^ s~\ >.
/' *1 A i "\ /'>\ /-\ / \ /.-\ /X /
% \ l"\ r ,.
\ S' i\ /< V\ /' W' ,\ / \\. /
10- ('OU1 \ f.
\-'/ \.../ N--/ 's-'' ../ '-S
cantilevers ysvjs^p "m

o-
(radial) c
10-
i 1 1 1 1 1 1
1
8
[MPa]
crest
extrados
o2
4-
[MPa]
crest
intrados
o-<^-4- ""frt/fl v*~1^- -''C^"''''1- -'''''"'<v~v-*'<

"-*'"
-4-
03
[MPa]'
crown
heel
-4-
4
[MPa]
crown
toe 0^
t[s]
Fig. 8.13: Displacement and stress response for shear keys of finite height
Shear -
Key Analysis: snapshots
1.55 s 1.65 s 1.75 s 1.85 s 1.95 s
2.05 s 2.15 s 2.25 s 2.35 s 2.45 s
Fig. 8.14: First major upstream excursion for shear keys of finite height
A slight irreversible shift of the crown cantilever upstream should be noted, which leads to
permanent compression at the heel and (smaller) tension at the toe and is brought about by
the irrecoverable softening of only wmax = 0.05 mm
(cf. Fig. 6.14). This
sensitivity is somewhat
surprising but explained by the fact that the most responsive block Joint opens extrados right
down to the heel, where this restrained volume expansion against rigid abutments produces a
jacking force of about 40

0.05 = -2 MPa.
The effect becomes even more pronounced in the next with finite shear
key height,
run
reduced to Dn = 5 cm (Fig. 8.13). Now the innermost block

joint disengages at the crest
extrados, as evident at about 1.9 s from the drop of the shear stresses at point 1 with immediate
increase of shear at point 2. Since mismatched asperities or keys can only carry shear by
friction on their tips, interlocking keys further down in the joint are overloaded and shear
off 6e/ore disengaged, resulting in additional mismatch and permanent stresses in the base.
Moreover, because the dear distance is reduced, the closure phases last longer, the apparent
Vibration frequency reincreases, and the displacements oscillate about new at-rest positions,
shifted individually for each cantilever, almost 5 cm for the crown (Fig. 8.14).
Plane-Joint Analysis: response history
cantilevers
(radial)
1
8'
[MPa]
crest
extrados
npr "^v"
-8-
2
4H
[MPa]
crest
-?vpr
fF~*
-j
0
-r^vT-
f^r-
intrados
-4H
[MPa]
crown
heel
4
4-
[MPa]
crown
u "!-
toe
-4-
2 6 7
t[s]
Fig. 8.15: Displacement and stress response for plane Joint

8.2. VD3RATI0NAL PERFORMANCE 207
Plane -
Joint Analysis: snapshots
1.55 s 1.65 s 1.75 s 1.85 s 1.95 s
2.05 s 2.15 s 2.25 s 2.35 s 2.45 s
Fig. 8.16: First major upstream excursion for plane joint
8.2.3 Joint Slip

The last computation adopts an asperity height of only D = 5 mm, which thus corresponds to
a rough but unkeyed block joint. This has for consequence that the block Joint next to the
crown progressively disengages almost immediately after breaking the cementation (Fig. 8.15).
Already in the first snap shot the crown cantilever 'comes to life', having left the formation in
the previous small upstream excursion at about 1.2 s (Fig. 8.16). This early start gives it an
advantage over the adjacent cantilevers, which adhere much closer to the original shell geometry.
The time span during which they are allowed to swing independently is much shorter, also
because the cantilevers further up the Valley flank tend to close the joints between them by skew
bending toward the talweg. However, the prolonged ground shaking disrupts their formation
later on, which is evidenced from comparing the extreme upstream and downstream positions
during the course of time (Fig. 8.18), and also from their less synchxonized displacement
response (Fig. 8.15).
Due to the 'breathing' of the shell upstream, the shear capacity of the block joints is lost
DeceUerating Cantilever II:
stress at crest (intrados):
2
[MPa] 2
0 +
multiple plot:
-2 t 2.076 0.002
- +
... 2.090 s
-4
1.9 2.1 2.3 2.5 2.7 2.9
t[s]
Fig. 8.17: Detail of Joint closure at stress point 2
depending on the vertical location in the joint in axial disengagement without much addi
-
-
tional shearing. The largest shear stresses arise when the friction grip decellerates the relative
motion between cantilevers. Because this back-to-stick is accompanied by contraction of the
membrane geometry, the locking of the cantilevers into the shell formation occurs rather sud-
denly, observe in Fig. 8.15 the history of stress point 2 at 2.1 s. This instant is shown in detail
(Fig. 8.17), where an abrupt change in motion is made visible by superimposing five snapshots
at 2 ms interval. the motion difference may appear quite irrelevant as concerns the
Although
global vibrational behaviour, its magnification through the large penalty joint moduli intro-
duces considerable integrated and iterated exactly may lead to
joint stresses, which -
if not -
large residual forces with the hazard of energy generation ( 7.2.2).

One factor contributing to the severity of joint chatter is certainly the lateral, in-plane
bending stifihess of the cantilevers. If all block joints (at 18 m spacing) were induded in the
model instead of every other as done at present, the unrest in the discontinuous system is likely
to increase.12
In many other respects the response in frictional slip appears to be intermediate between
those of the no-slip and the shear-key case: In correspondance with the graduation of asperity
height (0.05 < 5 < 50 mm) also the apparent Vibration frequency ranges between those of the
two other cases, and the induced stresses in the base of the crown cantilever are not much
different. However, the source of this cantilever straining is not a volume increase in the arch
direction, but an inhibited reentry of the cantilever into the shell formation once it had dropped
out.
principle, the wandering of a monolith in frictional slip must be feared to accumulate

On
during subsequent cydes similar to other frictional mechanisms [Newm 65], although the driving
agent is not a follower-force (such as gravity on an inclined plane) but the progressive closing-
up of the neighbouring monoliths behind the fugitive one. Depending on the duration of the
''This qualifies to some extent the positive experience reported in [Fenv 89] ({ 1.2.3), because it was gained
in a Simulation modelling only three block joints between shell substructures of great rigidity (Fig. 3.16).
8.2. VLBRATIONAL PERFORMANCE 209
Plane- Joint Analysis: maxima and minima
2.00 s 2.80 s 3.60 s 4.50 s 5.30 s
2.50 s 3.25 s 4.00 s 4.80 s 5.90 s
Fig. 8.18: Sequence of extreme positions for plane-joint case
next upstream phase and the differences in cantilever eigenfrequencies, the 'misfit' may get a
chance to be hauled back by the strain energy from cantilever bending (Fig. 8.18), provided
the cantilever remains uncracked at the toe. Whether this is the case depends on the initial
stresses in the base, e.g. on the preseismic tension from gravity due to overhang or induced by
grouting.
Whether or not the hysteretic damping due to the elasto-plastic slip model has a no-
ticeable effect onthe response cannot yet be answered with certainty. In a comparison of the
foregoing Computer runs the role of frictional damping appears to be much inferior to that of
joint opening. Inspecting the arch stress in the centre of the solid element at the crest nearest
to the piain of symmetry (element no. 13 in Fig. 8.1) for the linear, the no-slip and the slip
analysis (Fig. 8.10), any frictional damping is completdy overshadowed by the large drop in
spectral amplitude for the given earthquake (cf. Fig. 8.5).13
"Note in passing that the hoop tension in this element is effectively limited by opening of the adjacent Joint,
which verifies the model assumption that the chance of cracking in the monoliths is drastically reduced by the
presence of weaker planes ($ 1.2.1).
linear
no slip
-
shear key
plane joint
'1
i 1
5 6 7
t[s]
Fig. 8.10: Comparison of arch stress history from three modelling assumptions
opening can indeed be described as similar to base isolation,

In this respect, the effect of joint
despite the lack of horizontal decoupling of the cantilevers; the preserved opening of block joints
is thus a valid 'defensive design' option [Bht 73] if the associated problems such as cantilever
toppling and water tightness could be mastered. However, this strategy of 'low-tuning' is only
applicable for large arch dams with long dgenperiods; the response of smaller and stiffer dams
could possibly be just driven into the spectral peak rnge and become highly dangerous, if
strong far-field ground motion of low-frequency dominance is to be feared at the particular site.
Chapter 9
Closure
The present work was study several aspects of joint dements, from their basic
undertaken to
formulation to their trial application in sdsmic arch dam analysis. This modelling dedsion
was itself the result of an extensive search in the literature on dam behaviour and available
numerical methods [Hohb 88a], encompassing mechanical engineering (contact formulations),
concrete mechanics (cracking models) and rock mechanics (discontinuum models). It was initi-
ated because the available two-dimensional gravity dam analysis program Ducs is based on a
topological cracking algorithm which could not be extended to arch dams. The essential
findings
of that state-of-the-art review presented in the introduction of the present volume.
were
During the development new insights as well as input from published results of competing
research projects (notably in California and Spain) provoked shifts in emphasis which need be
seen in this historical context. Suppose the work had to be started anew, several steps deserve
some critical comments in hindsight.
9.1 Retrospective Assessment
The confusion prevailing among engineers on the mathematical basis and the numerical Perfor
mance of competing interface formulations was a first obstade. It appeared necessary to check
diverse opinions of alleged malperformance and to establish a firm base to build on. This was
established in a unified concept of interface penalty formulation, which represents in math
ematical terms a regularization of unilateral constraints to the variational problem of finding
an equilibrium stress field under imposed loads or deformations. It binds the alternative models
of spring boxes between double-nodes and thin solid layer elements into one concept. Certain
realizations about the locking tendency in such 'thin-layer' dements and their remedy are not
entirely new but have apparently been overlooked for considerable time.
A second aspect question of the optimum quadrature of discontinuous
concerns the
stress field.Although arising slip-front problems where it has recently come back into
also in -
focus in the analysis of geotextile-reinforced earth it was not considered an issue because
-
slip was mostly modelled through a reduced shear modulus. This avoided the sharp stick-
slip transition inherent to Coulomb's theory of perfectly rigid-plastic friction. In the gradual
opening of interfaces a mode occasionally described as 'rocking' but apparently seldom put
-
to test -
the large difference between impenetrability constraint and zero tensile stiffness could
no longer be overlooked and let to coneurrent 'discoveries' in the Delft school of concrete
fracture mechanics. Again, these are re-discoveries of work of the seventies, some performed in
geotechnics, mostly related to numerical formulations of Hertzian contact mechanics. This
but
pereeption rendered a unified view of nodal Springs and optimum quadrature point location
with some insight into the origin of spatial oscillations of contact stresses at high penalty. This
212 CHAPTER 9. CLOSURE
small contribution, which together with explanations of the penalty background has meanwhile
won some acclaim, still justifi.es the effort spent.
Admittedly, these findings resulted as spin-off from more ambitious plans of 'floating'
quadrature points, which promised a more accurate description of the opening and closing
process, when contracted into the remaining stress block. This path was, however, only pur
sued to the stage of total-deformation constitutive models, not requiring a memory for domain
state variables. Encountered contact localization, imposed by the low-order interpolation of the
connected solids, clearly showed the limitations of such 'macro-joint' concepts. The scheme was
abandonned at a state when much more additional investment for search algorithms, doubled
-
quadrature sets and memory interpolation -

would have been needed. It is not implied that
this alley would be totally impassable, but alternative concepts of adaptivity and local mesh
refinement in a substructuring approach seem nowadays more appealing.
Having found that in terms of element formulation almost 'anything goes' (within certain
bounds, skillfull application required), the real challenge became the interface constitutive
formulation, tayloring the penalty parameters to pseudo-material moduli. Contrasting notions
of interface behaviour from concrete and rock mechanics and the usual ways of implementation
were sufficiently studied to reject the widespread hypodastic modelling technique, which is tied
to two-dimensional formulations and a restrictive set of load paths. The need to introduce a slip
potential for bi-directional shearing favoured an incremental plasticity Solution, which, however,
was difficult to reconcile with reversible opening and interlock. A comprehensive Solution would
probably require a geometrical asperity modd with some stochastic ingrediences, if possible
-
-
which would become very involved for damage along arbitrary paths and almost intractable,
if complete 3-D surface roughness maps had to be stored and updated.
Instead, a more modest phenomenological modd was developed, which after all carried the
project to the forefronts of nonassociated flow, multimechanism plasticity and coupled softening.
The answer to some gnawing thermodynamical ohjections regarding energy generation in closed
elastoplastic strain cydes may lie in velocity-dependent friction, but the present implementation
confined itself to rate-independent behaviour. Tempting simplifications such as the decoupling
of opening/dosing from frictional slip by means of a backbone curve with assodated slip circle
were learned to be too fragile, at least for solving static problems. Whether they would have
been acceptable in dynamic computations with sufficiently small time steps and stabilization
through inertia is an open question; but the likdyhood of having to compute a nonlinear initial
stress state in an arch dam before onset of an sdsmic event dipped the balance in favour of a
more robust though laborious implementation.

This caused a considerable delay but need to be seen as an advance tribute to the dam
analysis project as a whole; the fll benefit of the now implemented coupled softening in tension
and shear will only be reaped in future static computations. As a concession, the details of the
features implemented were kept conceptually (not numerically!) simple, limiting the formulation
to one plastic variable for isotropic wear and a second for decohesion damage and preferring
linear evolution laws of

softening, strenght reduction with asperity disengagement, etc.
- -
wherever possible. Contractancy and damage in compression are currently not induded. This
may necessitate future refinements if it comes to curve-fitting concrete test results of cyclic joint
behaviour. The stress-point algorithm is based on a two-stage Runge-Kutta method inspired
-
by a publication of one of the Supervisors and was enhanced by a self-adaptive substepping,

-
which makes it rather accurate, robust and sufficiently flexible to accommodate later upgrading
of the constitutive modd. To keep this option open, neither mathematical optimization nor
implidt return algorithms were considered for the elastoplastic stress computation. Particularly
the latter has been heavily endorsed latdy because of the possibility of truly consistent tangent
Operators for Newton-Raphson iteration; however, contemporary studies of its application to

9.2. FUTURE NEEDS 213
joint dements are convincing [Sehe 90] [Stan 90], and the nonlinear strategy for
not all that
the new analysis code

arch dam whether Newton or quasi-Newton methods
-
has not yet -
been dedded. For the implementation in the present host program, some reliable methods have
been found to avoid singularity of the symmetrized system matrix due to non-associatedness
or softening.
The origin of joint chatter previously observed could be traced back to nodal rebound
oscillations, from which certain recommendations for the choice of time

integration parameters
could be deduced. A novd implementation on element levd of the old concept of artificial
viscosity was successfully applied to an impact example. Since the arch dam test problem
appeared suffidently good-natured to obviate the need for such measures, the final application
employed the Standard Newmark-7 damping in combination with a rather small time step,
which was required anyway for convergence in modified Newton-Raphson iteration. This positive
experience should encourage dam analysts to the use of joint dements without undue respect
of the noise problem.
Not much importance should be attached to the quantitive results of this arch dam exam
ple, which was extremdy idealized. Late changes were made to the model in order to incorporate
some realistic shear key behaviour, which proved more delicate than initially antidpated, owing
to some incompatibilities with the plasticity concept. Still, though, several unconsidered phe
nomena such as spalling of the edges of reengaging shear keys when only slightly displaced
- -
have a realistic chance of oecurrance and may spoil any premature conclusion of the nonlinear
dam behaviour. Moreover, the test accelerogram inherited from the gravity dam project was
found to be manipulated to a degree which questions the representativity of the results thus
obtained.
9.2 Future Needs
The dement as described is fully operational. Its hierarchical formulation with variable quadra
ture rules and the fairly general constitutive modd are so flexible as to allow a multitude of
studies, which can be partly numerical, partly physical:
Numerical studies would ahn at learning more about spatial and temporal stress oscilla
tions by, for instance,
duplicating pull-out examples with different quadrature and penalty
size. In dynamics, the need for and applicability of artificial viscosity in path-dependent
friction should be investigated.
Physical studies could be condueted for a variety of structural problems such

rocking as
columns or cracked dam monoliths (with uplift pressure), etc., simply varying
and without
the coefficient of Coulomb friction. Welcome experience with combined shp and lift-off
could be acquired, while not embarking on the more cloudy questions of dilatancy and
damage.
Their influence would have to evaluated for the actual Situation and load histories of
interest, full-size arch dam problems. Such studies must indude variations of the
i.e. in
number of joints modelled (including cantilever lift-joints), the duration and frequency
content in acederograrns, etc. To establish the initial stress state, it is mandatory to run
static computations involving staged construction and reservoir Alling.
From this experience one may want to change the presently implemented damage law from
effective displacements to a plastic work criterion; this will not be difficult. More involved
would be the introduction of anisotropic friction and wear through some kind of kinematic or
214 CHAPTER 9. CLOSURE
mixed softening. If necessary, the present plasticity formulation could be extended to elasto
plastic coupling, to allow for changes in elastic
stiffriess, or to hardening to indude prepeak
nonlinearity. Laboratory tests on Joint samples would definitdy be required
concrete and rock
to calibrate such refined modds. The start and scope of this 'quantitative phase' of the current
project will largely depend on the established sensitivity 'of the arch dam problem to certain
joint constitutive parameters. A change to vdodty-dependent friction would be desirable from
a theoretical point of view, but a meaningful caUbration of the viscosity parameters is feared
to become quite difficult.
For the final arch dam program tests should be made of the convergence properties with
alternative iteration schemes, including the use of asymmetric equation solvers. The comparison
were to be directed toward algorithmic bias on Solution paths and localization of softening
an
response. At this time, also the

effidency of the present stress-point algorithm should be rein-
vestigated and tentatively changed to a fully implicit integration. If the foregoing parameter
studies were to condude that a simpler damage model would suffice, a serious study and trial
implementation of consistent tangent Operators becomes almost compulsory and may pay off
with significant time savings in nonlinear computations.
The little data available from seismic dam simulations also of physical models on shaking
-
tables, cf. [Hohb 88a] seems

-
to indicate that even under fll reservoir arch dams will have
to fail upstream, unless weak seams in the abutments become critical, which could also be
modelled with the existing joint element. If during analyses with the combined dam-reservoir
interaction program large compressive stress states were encountered, however, the present
constitutive routine would have to be augmented by a second cap for compression failure
as unsuccessfully attempted with a simplistic backbone-curve modd. Instead, one might con
sider to Substitute the generalized Coulomb hyperboloid by a different formulation, for which
critical-state and bounding-surface plastidty models are prime candidates. This would allow
to extend the applicability of the joint concept to highly confined situations and to explore,
for instance, also the static failure modes of arch dams due to overload or moving abutment.
A close Cooperation with the newly started rock mechanics part of the federal dam research
project is highly recommended.
While key joints always require modelling as discrete discontinuities, a full-blown dy

will
namic analysis with both dam and rock nonlinearity will impose certain restrictions on joint
spacing. Also trial-and-error procedures for identifying the most critical failure planes (and sav-
ing on uncritical ones) may become impracticable. At this stage of the project one might wish
to consider adding subsidiary distributed failure capabilities. The natural extension of the
weak-plane approach would be a multilaminate model, which could be kept relatively simple,
as the major kinematics are already accounted for by discrete planes. Still, though, a certain
expense in devdopment would have to be afforded with view to the use under arbitrary cyclic
load paths; simple no-tension concepts would not suffice.
A major challenge, which may lie outside the project scope, would be the expansion of the
arch dam program to seepage analysis. In this case the capability of the present joint element
to modd fluid pressure as initial stress or separately developing load case would just have to
be enriched by a definition of the conductivity in function of aperture. The largest part of the
expenditure would be spent in implementing the coupled field problem in the main program,
which has to provide the joint element with informations on the transient fluid pressure; the
element itself would require but little modification.
Appendix
A Constraint Formulation
The formulation of constraint equations, of which an example has been given in Table 2.6, is
derived in more detail [Hohb 88b].
A.l Perturbed Lagrangian Solution
The degrees of freedom (d.o.f.) partidpating in the contact between two separate bodies are
coupled by the constraint Eq. 2.34. Each of the bodies is hdd in equilibrium by unknown
constraint forces in the common interface as Lagrange multipliers, for which the system is
solved at the same time as for the displacements of the interface nodes. This gives rise to the
mixed system of equations [Wrig 84]
K | G u
> = < (AI)

GT I 0
or -
partitioned to the individual d.o.f. of the two bodies, marked as 'top' and 'bottom' -, with
G =
[I, -I] and 7 defining the instant of contact:
top
Kt? ftop
0 | I u
j
bot
0 K6*' -I u
fbot
(A.2)
1 -110
Note that the bottom row adds the exact contact condition GTu = u***
u60* =
7 to the
equilibrium equations of the two bodies. Usually is 7 =
0, but initial gaps (7,- > 0) could also
be specified [Wils 70].
The Solution of Eq. A.2 with an indefinite, but not singular mixed system matrix1 is for
bonded contact ('sticking' interface), cf. also [Mech 91]:
top
u
U
bot
= \Ktop + K^l (ftop + f**
Ktop7l (A.3)
ftop _
jrtopntop _fbot 1 ttbot.Jtot
Inpractise the Connectivity matrix G need be altered whenever a single d.o.f. changes it
constraint status. If all possible contact points are included from the beginning, at least the size
1If the force equations are assembled at the end of the matrix, its banded structure will be destroyed. The
sers on the main diagonal will be Med in during a Gaussian elimination process, but care is required in selecting
the pivots, and submatrices may become singular [Rusi 76].
216 APPENDIX A
of the equation system will remain constant. For the implementation see [Chan 71] [Fran 75]
[Gaer 75] [Okam 79] [Kato 81] [Chen 86] application and as to rock mechanics [Swob 86]. On
element level, the Lagrange multipliers amount to equivalent nodal forces of an independently
interpolated contact stress field; this gives rise to mixed interface elements [Urzu 77].
Lagrangian Solution can

The now perturbed by an exterior penalty parameter e-1
be
[Oden 80], permitting constraint violation of the size GTu 7^0. Eq. A.l becomes
K | G
(A.4)
GT I -el
and Eq. A.2
K*0" top ftop

0 | I
K*0' bot fbot
0 | -I
(A.5)
1 -I I -el
with the perturbed Solution:
utoP =
[(l-MKfcot)Ktop + Kbot]~1 {(l + eKbot)ftop + fbot + Kbot'y}
-1
ubot _
JRtop + ^j + fKtop j Kbotj ^ftop + ^ + eKtop^ fbot Ktop7 j _
(A.6)
pe = ftop -
Ktoputop = -f6"' + K^'u6"' =
-
(utop -
U**"}
This Solution converges with e ? 0 to Eq. A.4 with pe ? A. In the example (Tab. 2.6) the
constraint forces are for instance
K IO3 10* 10b 10 10( 00
Pe -18.000 -21.951 -22.444 -22.494 -22.499 ...

-22.500
1 times the Hence the idea of nodal orientated in the respective

which is k =
overlap. Springs
direction of each degree of freedom.
Owing to the proportionality between constraint force and amount of violation the system
of Eq. A.4 can now be Condensed to the conventional system of displacements as the primal
unknowns ('irreducible form'):
Ku + Gpe = f
GGTu -
Gp =
G7
[k + ^GG3 u = f + -G7
6
(A.7)
This is thepenalty-augmented system matrix, in which the constraint equations are no longer
added separately, but integrated as 'nodal spring elements'. Note the presence of an additional
forcing term unless 7 0 as adopted in the example (Tab. 2.6).

=
A.2 Iterative Penalty Procedure
In thespirit of the 'initial strain' iteration method [Argy 72] the inexact constraint forces from
Eq. A.7 can be applied as unbalanced loads to the weakly constrained displacement Solution to
obtain an improved Solution. The following procedure was suggested by [Salo 76].
CONSTRAINT FORMULATION 217
The contact forces A' assodated with a certain constraint violating displacement state u'
are calculated from the first equation set of (A.l) by:
GA' = f-Ku'
or A* =
(GrG) 1Gr(f-Ku<) (A.8)
An improved displacement vector u,+1 can now be obtained in three different ways:
Subtracting the contact forces in the interface from the total force vector, only
I. the re
maining unbalanced forces r* are distributed by Eq. A.7, e.g. [Ayar 88]:2
K + -GG

r]ui+1 =
f+-G7-GA*
e
= r*
-l
ui+1 K +-GGr (A.9)

[:
=
The iteration is started with A =

0, i.e. r
f, = but because of Eq. A.8 the constraint variable
need not be evaluated during iteration, giving:
*
*+i
u =
|K + jGrGl (Ku* jG7) + (A.10)
Since only the displacement vector as primal variable is required for constructing the right-hand
side of this equation, the procedure is sometimes referred to as displacement iteration [Feli 78].
Applied to the example of Table 2.6 (with 7 0) the following sequence of results is =
obtained for a moderate penalty k = 1 = IO3:
i 0 1 2 3 4 5 6
A 0.00 -18.00 -21.600 -22.320 -22.464 -22.4928 -22.4986

ftop -45.00 -27.00 -23.400 -22.680 -22.536 -22.5072 -22.5014
fbot 0.00 -18.00 -21.600 -22.320 -22.464 -22.4928 -22.4928
uWp -0.054 -0.047 -0.0454 -0.0451 -0.04501 -0.045003 * * '
nbot -0.036 -0.043 -0.0446 -0.0449 -0.04499 -0.044997
If the constraint variables are desired, they could -
altematively to Eq. A.8 -
be computed
from the constraint violation vector
r{ = GV -
(A.11)
from where as in Eq. A.7:
V = -v{ (A.12)

JThe equation was derived in [Salo 76] from demanding stationarity for an augmented functional with both
Lagrangian multipliers and a penalty parameter (cf. Eq. 2.32):
n. =
n + Mif*T -v) + j- X>T**"*)T(g7.? -70 - Mi.
218 APPENDIX A
II. The rdation to the initial-strain

procedure becomes apparent from the fact that the v'
is the overlap of the two contacting bodies as zero-thickness equivalent ofa parasitic strain. For
its elimination a corrective force vector GA is used to obtain a decrement in overlap:
i-i
Au* = -
K + -GGJ -Gv*
c
+i
u
_
= u* + Au* (AIS)
Since v' involves only the contact d.o.f.'s, it is a vector of usually much smaller dimension than
the fll displacement vector u\ This very simple implementation variant is sometimes called
the constraint verification iteration [Feli 78].
III. In the more general context of iterative Solution of mixed problems [Zien 85] the
residuum in Eq. A.11 could also be used to obtain an improved Solution for the constraint
variable
A,+1 = A* + piv*' (A.14)
where p has -
in this application -
the dimension of a spring stifihess but fulfis the function

of a rdaxation coefficient. The iterative Solution envolves now two equations: the force update
Eq. A.14 and the displacement update similar to Eq. A.13:
-l
u*+1 = u' + pjJB* where z* =

K + -GGJ Gv* (A.15)
e
This is therefore called the hybrid iteration [Feli 78]. Instead of the previous choice ofa constant
p =
1/e in AP, the rdaxation coefficient could be optimized to accderate convergence [Fort 83];
for instance, by the method of steepest descent,
t|2
hf|
Pi =
(A.16)
(^Gy*
which for a linear constraint problem i.e. stationary extension of the contact
-
surface -
gives
the accurate Solution in a single iteration step. For the present example:
K 0 101 IO2 IO3 IO4 00
Po,opt 250 260 350 1250 10250 ...

+ u>J
The rate of convergence with p= k =

1/e will thus be near-optimal only for small perturbations
e, i.e. high penalty parameters k. The additive term u\ = 250 in p is the smallest eigenvalue of
the matrix [K + |GGr] for c - 0. Convergence will be assured for 0 <
p0,opt < 2 (k + wj),
but will be alternating for values larger than the optimal one.
Of the three algorithms presented, only the hybrid iteration has the nice property of iterative
refinement [Mart 66]; that means that the numerical error caused by too large a penalty 1/e in
the augmented stifihess matrix is reduced along with the constraint violation during iteration.
The displacement iteration increases the error slightly, while the constraint verification iteration
behaves in a neutral manner [Feli 78]. The main attraction of all iterative penalty procedures
is the feasibility of low penalties in constraint problems.
TECHNIQUES OF MATRIX LUMPING 219
B Techniques of Matrix Lumping

The structure of Eq. 2.41 suggests to compare the problem of stiffriess lumping with techniques
originally developed for mass or pressure matrices, which also employ the undifferentiated in
terpolation functions.
B.l Lumping from the Consistent Matrix
The row sum technique [Lee 79] degenerates a previously computed consistent matrix by:
*" =
XX =
Y,] ^KhjdT = I KhidT (B.l)
Applied to the Serendipity joint element with 8 double-nodes the exactly integrated quadrant
matrix is Ks</3 of Table 3.5, and this rule yidds for nLaLb = 1
30+2-10+1S-2-30-2-40 -76
_
-t a
900
(B.2)
,=1
I -2-30-2-40+160+2-100+80 300
5,--.,8
_
1 ~
t =
900 900
for the corner and midside nodes, giving Ksr. in Tab. 3.6. For the Lagrange joint element with
9 double-nodes the row sums of Kifl3 are (Tab. 3.5)
16-2-4+1+2-8-2-2+4 _25_
l,.-.,4
_
~
t =
900 900
*? =
** = 2-8-2-2+64+2-4-16+32
900
_

100
900
t =
5,-..,8 (B.3)
i=i
4-4+4-32+256 400
t = 9
900 900
for the corner nodes, midside nodes and centre node, giving Kus in Tab. 3.6. The row-sum
technique thus produces the conforming nodal constraint coefficients discussed in 3.1.2.
In order to obtain positive nodal lumped for

Serendipity elements, Hinton et al.
terms
[Hint 76] suggested the technique of 'diagonal proportioning'. The total dement stiffriess k' is
lumped in proportion to the size of the diagonal terms k'{ of the consistent matrix:
*? = *"t^TT with *= / hiKhidT ,

k'= [ ndT (B.4)
2J * fr Jr*
This gives for the Serendipity joint dement with 8 double-nodes, stiffness matrix Ks3, and
k" = k LaLb = 1 the diagonal coefficients
30 _
_30_ i -
1 4
...
*
'*
~
760 x
4-30+4-160
Ki
K.v =
< (B.5)
E*S 160 _
160
I
_
r

ij
O, O

4-30+4-160 760 ,
i.e. the quadrant stiffness matrix becomes:
30 0 35.53
LaLb 30 0 LM 35.53
K Sg3,dp = K- = K-
(B.6)
760 160 900 189.5
160 189.5
220 APPENDIX B
The diagonal dements are equal to the tributary areas ^ and ^f of corner and midside nodes
for an dement with La =
Li, =
2, as advocated by [Hint 76]. Any change of these areas due
to non-constant mapping in a distorted joint will automaticaUy be taken care of in derivation
from the corresponding consistent matrix.
The rationale of this lumping proposal is that the best lumped matrix QL would be the
one with the least spectral deviation from the consistent matrix QE [Rge 88], i.e. the one for
which (with n d.o.f.):
(EIUiU "
Pk)2
(oE pQL)
-
u = 0 such that r =
n
Min. (B.7)
The tninimiiTTi forall-positive lumped coefficients of the Serendipity dement is indeed obtained
for diagonal proportioning with r 1.141, although the deviation of the row-sum form KsP,
=
with r 0.985 is still smaller. For the Lagrange dement with 9 double-nodes the row-sum
=
form coinddes with the one from diagonal proportioning, giving both Kli3 and an excellent
r = 0.488.
When applying these techniques -
which proved successfull for mass and pressure lumping
-
to joint dement stiffness matrices, the disappointing discovery is that only the row-sum
technique conforming in the sense
is that the nodal forces computed from multiplying the
stifihess matrix with a displacement vector of even components (e.g. u\x u^ c) = = ...
=
belong to a constant joint stress fidd ( 3.1.1): Obviously for c 1 the nodal forces are exactly =
the row sums, fi k' (Eq. B.l). Unfortunatdy it is only for the Lagrange joint that the row-
=
sum lumped matrix is positive-definite, which may not be essential in mass matrix lumping
[Frie 75] but seems a necessary condition for lumped stiffness matrices.
Moreover, lumping from the corresponding consistent matrix fails in nonlinear appUcation,
because it will not result in a zero stiffness term and hence not decouple the joint behaviour.
If, for instance, the first quadrature point of a Lagrange joint element is released, giving
0.50 -2.03 0.75 -2.03 -1.02 -0.86 -0.86 -1.02 -1.25
-2.03 15.75 -3.97 0.75 9.15 7.86 -2.15 -0.86 4.67

0.75 -3.97 16.00 -3.97 -2.15 8.02 8.02 -2.15 3.92
-2.03 0.75 -3.97 15.75 -0.86 -2.15 7.86 9.15 4.67

fr<p=a.. LaLh
~
" -1.02 9.15 -2.15 -0.86 58.75 4.67 -15.33 -1.25 28.95
nnn
900
-0.86 7.87 8.09 -2.17 4.67 63.92 3.92 15.33 32.39
-0.86 -2.15 8.09 7.86 -15.33 3.92 63.92 4.67 32.39

-1.02 -0.86 -2.15 9.15 -1.25 15.33 4.67 58.75 28.95
-1.25 4.67 3.92 4.67 28.95 32.39 32.39 28.95 254.22
(B-8)
then diagonal proportioning will not result in decoupled constraint rdease, because
"
0.76 0 0 0 0 0 0 0 0
0 23.89 0 0 0 0 0 0 0
0 0 24.26 0 0 0 0 0 0
0 0 0 23.89 0 0 0 0 0
LaLh
*-Lg*,dp
- K 0 0 0 0 89.12 0 0 0 0 (B.9)
900
0 0 0 0 0 96.95 0 0 0
0 0 0 0 0 0 96.95 0 0
0 0 0 0 0 0 0 89.12 0
0 0 0 0 0 0 0 0 385.62
and the row-sum technique renders even a negative stiffness term of <,& 7.80/900 for
the open node, as can easily be verified for Eq. B.8. Hence, if a 'lumped' constraint is to be
TECHNIQUES OF MATRIX LUMPING 221
rdeased, the appropriate diagonal stifihess term must be directly set to zero to obtain decoupled
behaviour, i.e. to avoid any change in the constraint coeffidents at the other nodes staying in
bonded contact.
B.2 Nodal Quadrature

Satisfying this need mandates status evaluation at the nodes. This produces automaticaUy a
lumped matrix in nonlinear appUcation according to the nodal Jacobian technique [Frie 75]
[Lee 79]:
*='=/,^={ !*=> (B.10)
Because of symmetry of the parent dement, only two different quadrature wdgths are ad-
missable for theSerendipity double-nodes, and three for the Lagrange element with
dement 8
9 double-nodes, one each for the corner nodes, the midside nodes, and the centre node, re-
spectivdy. They must integrate the foUowing polynomials arising from the quadratatic shape
functions [Urzu 77] [Tors 83] [Rge 88] over the dement area A':
A' f1 f1 ?-%
T / / ff.")^ =
X^p*4* (B.H)
* ,
'-w-i ,
-=i
Note that g = 1 corresponds to the

previous requirement of representation of a constant dis
placement fidd. Since the integrals of odd polynomials are zero, the quadrature wdgths wp are
determined from the foUowing equations for Y, Ap Ae: =
1 tx f1
-
I I ldfdn = 1 =
4wx + 4u/5 + (w9)
\f_ j_ t2dtd"= i =4i + 2;5 (B.12)
The resulting quadrature wdghts are {-^,3} for the Serendipity element, and {55,5,5} for
the Lagrange dement. These are exactly the diagonal coeffidents as obtained from the row-sum
method, cf. KSr. and Km (Tab. 3.6).
Because {A, , |} can be obtained as product of the 3-pt. Lobatto (Simpson's) rule |{|, |, |}
in - and Tj-direction, the nodal Jacobain technique is applicable to aU joint elements whose
node configurations obey the product of 2- and 3-pt. rules; these are the elements with four,
six (opposite midsides) and 9 double-nodes. The Serendipity element with 8 double-nodes is
coupled only by the Lobatto point in the dement centre,
Ksjs =
KjP=i.,8 + K<p=9 (B.13)
/r 25 25 25 -50 -50
LgLh 25 25 25 -50 -50

= K-
900 100 -50 -50 100 100
\L 100 -50 -50 100 100
and wl behave as a decoupled joint dement as soon as this quadrature point has failed.
222 APPENDIX C
C Interlock Models
So-caUed 'crack-dilatancy' models, which are derived from experimentaUy gained curves similar
to Fig. 4.7, are usuaUy total formulations of the kind
On =
<Tn(6n,S,) , T =
T,(6n,6.) (C.l)
and involve compUcated rational and exponential functions [Baza 80b] [Gamb 81] or integrals
[Walr 80] [Lim 87]. Differentiating these functions to gain the coeffidents of the crack constitu
tive matrix,
A
^n
-
~
0*2. A
*"
-
"
^ a
d,n
-
~
Hit a
*"
-
~
df* (ro\
' ' ' ^-Z)
dtn es. dsn ds,
wiU lead to very lengthy expression which are best compared in numerical experiments [Feen 89a].
It is usally not possible to identify the parameters of the 'unified modd' ( 4.2.2), except where
they are introduced apriori as in [Yosh 87]. Only for this case the difference to the frictional
constitutive matrix (Eq. 4.21) is discussed in the foUowing [Hohb 90e].
C.l Geometrie Stiffness Contribution
In the concept of friction the direct shear stiffriess k* is augmented by the geometric contribution
p*u*Kn, which can be expressed by a factor
C (C.3)
Kl
describing the relative influence of dilatancy and confinement during shearing at constant S
The usual constitutive matrix D^r{et (4.21) thus looks like
-"X
D/Hct =
(C.4)
-/i*< (1+rK
which is in general unsymmetric for v* < fi*, where even v* is likely to approach zero during
wear or override.
If, however, the parameters of the 'unified model' are introduced as (Eqs. 4.23)
dS. = dT. +
dSn, dan = -
dr. + <<# (C.5)

k* v* fl*
then solving the first equation for dr
dr. =
kJ (d6. -
-];dSn^ (C.6)
and inserting it into the equation for dan yields quite a different constitutive matrix:
L
< +
fl** fl*
DSocfc -
(C.l)
V*
INTERLOCK MODELS 223
nu tau U ICWI ltl>CU tu

" -,
-l-(
r 1 1
1 -!/*<
p*v* /** 1
îlock
~
Kt i-r
=
(C.8)
1 c -/ixa-n r:
V*
Note that both dn and dm become iU-defined for v* - 0.
C.2 Role of Confinement
The mechanical models (Fig. 4.5) allow to discuss the

physical plausibity of D*,rict and DJ^.
Interpreting the total differentials as superposition of an elastic displacement component due
to appUed stress with a geometric component (-)dil due to dilatancy [Mh 77],
friction (Eq. 4.20): dn = ^ + VmdS. V* =
n dS.
(C.9)
interlock (Eq. C.6): dS. = ^ + ^dSn V* =
dSn
K* V* dSf
it is seen that the two approaches obviously involve different definitions of the geometric com
ponent. They become clearer if the stress increment da = T>*d8 is evaluated for the limiting
cases of free override (dan =
0) and fuU confinement (dSn =
0):
The friction modd complements the direct shear resistance at constant normal stress
with a term accounting for the change in normal stress due to confinement (dan < 0),
and Eq. 4.21 gives:
free override:
j _^< +< ^^< J dS.
fuU confinement
f o -*< \
\o +:+/iVX J \ (1 + CKdS. j
(CIO)
The interlock modd presumes frl confinement, for which k* and /** are measured under
varying normal stress, and reduces the shear resistance for lack of confinement (dn > 0);
Eq. C.7 gives:
free override:
{ V<d. )
i -K/e)d6? \ (Cli)
fll confinement:
\ K*tdS. }
In condusion, interlock modds are based on the prerequisit of continuous engagement of crack
flanks, where loss of contact is typicaUy prevented by a steel reinforcement crossing the dis
continuity. Such modds are not suited for smooth joints or loss of engagement by complete
opening.
224 APPENDIX D
D Orthotropic Slip Criterion
The incremental elasto-plastic modulus matrix Dep has been derived for the sUp function (in
t-plane) from simple geometric considerations (Tab. 5.6). Including the tangent
the deviatoric s,
devdopment in joint normal direction due to varying an involves more algebra.
D.l Friction Cone
In the simplest modd of a friction cone both the failure surface T and the potential surface Q
are supposed to have cross-sections of constant shape:
-
= =
const. for aU an (D.l)
Tt,max Ct p*Pn

The values of apparent cohesion must therefore obey
C(-) =
/*() d ,
so that
T(.))rmUB
=
|i(.) (d -
an) (D.2)
where d is the distance of the apex of the friction cone on the positive crn-axis. Introducing
a tension cut-off truncates this cone. If Eq. D.2 holds, the effective friction coeffident
p is a
function of the shear stress ratio constant for any ppt const. and can be expressed as in =
Eq. 5.49:
w.i?=.
"""
s"^^7? (D.S)
The derivatives of fi =
f(r) with respect to the stress state are found,
dU P .t(p\ p\) -

. dp0 P.t(p\-p\)Q
~
Pt
aad "
' mA)
dr. |r| p\\ + p\* drt |r| p\\ p\\
(D'4)
whe dfi/don = 0.
With these derivatives the components of the gradient vector F,a normal to the failure
surface become with consideration of the failure condition \r\ =

fian of Eq. 5.44:
?,an =
H
^(o =
^^^^ff ' (l) =

M (D'5)
To render the gradient more comprehensible, it is normalized such that unit length is given to
its projection on the deviatoric s, t-plane:
\T I -
/# % _ P
*StT
1*1
=
\jp-Ws + p-Wt (D.6)
.
Ptlp\
Therein the foUowing direction cosines of the deviatoric plastic increment are being used with
Eq. 5.48:
a. =: cos a

1

p\.
Vl + tarfa
Jp.i* + p*?
ORTHOTROPIC SLD? CRITERION 225
tana Pit
at =: sina =
(D.7)
Vi + tan2 a
y/pt+pt
and pa =
y/pW.+pWt
Note that pa is a sealed p with unchanged orientation of T,an and that the total length of
the gradient is not unity but y/\ + /i2.
Theplastic potential Q is taken to be similar to T except for an reduced slope V, which
can be chosen independently of p. This simple concept is common place in non-assodated
plastidty, e.g. [Rick 75] [Pand 82] [Coul 82] [Caro 85]. The derivatives of the potential are thus
those of the failure surface (Eq. D.5), except for V instead of P. With respect to deviatoric
normality, the plastic gradient is normalized the same way as the normal to the failure surface:
< a. with va = ">2a2 + i/2a2 (D.8)

y
-
Iftrl
at
For a non-hardening constitutive relation (Hp =

0) the normaUzation cancels out in the plastic
modulus matrix, so that Dep becomes from Eq. 5.42
"
Kn | 0 0 PaVaK\ | Vaa,KnK, I/a<*K*t

+ 1
D** =
(D.9)
0 | K, 0 paOt,KnK, I W. a,atK,Kt
0 | 0 Kt paatKnKt I a,atK,Kt
Kn(a*Kt + 0$Kt) -"a<X,KnK, -VaatKnKt
_1_
-Pa*.KnK, PaVaKnK, + af K,Kt a,CLtK,Kt
-PaatKnKt a,atK,Kt PaVaKnKt + 0*K,Kt
where
Ue =
pavaKn + ci\k. + a2tKt (D.10)
Note that for va = 0 and k, =
Kt, the s, t-submatrix of the sUp function in Table 5.6 is recovered.
In the case isotropic failure criterion with p
of an =
p. =
ut, the angles and a become equal
and their trigonometric functions interchangeable.
D.2 General Hyperboloid

The foregoing derivation can easily be extended to orthotropic hyperboloid, in which the
an
local slope of the curved failure surface is ji =

f(an, r), i.e. the local gradient becomes a
function of an.
To again similarity of the deviatoric cross-sections of the failure surface, Eq. D.2 is
ensure
appUed to the asymptotic cone as envdope of the hyperboloid independent of the shear stress
angle . This means that for any angle the same parameters a,d apply, aUowing only a
Variation in p. Then is
''"(),fnoar
=
P(.)\ln(n -
2a) =
-pânJl -
y (D.ll)
where n =
an

f <0 and () =
s,t,. The asymptotic slope p is a function of the shear
stress state (i.e. the angle ) alone and not of <rn, if and only if d, dt, that is if the failure
=
226 APPENDIX D
surface is not composed of hyperboloids with different apex lod. From Eq. D.ll the dependence
of the maximum shear stress on an is evaluated to:
1-
^r(-),moae ~
(n
<*)
=
(D-12)
*> -fe-=*> a(u -
f r *!-
If the failure criterion is used in the square-root format (Eq. 5.59i), the 'volumetric' gradient
component in
Eq. simply requires /i(.) to be substituted by #(.), and the other
D.5 equations
remain valid with this modification; it cancels out in the deviatoric components. If the quadratic
format of 2T =:
*y) (Eq. 5.592) is used, this leads to:
**aB =
2r,max^^- 'n
=
2 p\(n -
a)
2*r(.)= T(.)-2pn(on-2a)%%- s^, (-) =

s,t (D.13)
OT{-) **()
Dividing by 2T<max (Eq. D.ll), one obtains as before:
?,an =
P and f,T = ?^1 , (.) =
s,t (D.14)
**()
As the normal stress approaches the apex, i.e. as n * 0, the effective friction coeffident /i(.)
obviously tends to infinity (rule of l'Hospital.) This is equivalent to a rotation of the surface
gradient to collinearity with the <rn-axis but requires a further normalization to retain a finite
length of the gradient vector.
Remark: The assumption d. dt is a prerequisit of Eq. D.3. The foUowing
= failure criterion
was suggested for an orthotropic, no-tension hyperboloid [Caro 85],
?(**) =
r2 + an (\an\ -
2 a0) (D.15)
where
It was motivated by the desire for two independent parameters in either direction, /i(.) for 'basic
friction' and for a 'geometrical strength component'. However, to extract n from
av.)
T2 _2 it d.
T. Tt J_ \Hi ~h Jri
+
+
(D-17)
,
=
=
=
=

+ 2
^ 2 -
\rlmax -rlmax *n V p\ OnP
n must be the same for = 0 as for =

v/2. This is obviously not the case if
a(/?=o)
=
a* and
a(=*/2)
=
t are not equal.
SIMLTAJVEOITS MECHANISMS 227
Simultaneous Mechanisms
The general formulation of a double mechanism is exemplified with a truncated friction cone,
but itappUes with minor modifications in the gradient and the representation of the apparent
cohesion also to a hyperbolic friction criterion in combination with a separate opening criterion.
The two displacement components are
dSp =
Qxr d\\ + Qi,cr d\2 (E.1)
of which the first describes the (reversible) joint opening and is not a plastic deformation in the
strict sense. The order is chosen in analogy to 'mode I' and 'mode II' in fracture mechanics.
With the simple definition of the two segments
î = Q\ =
<rn
-
ft , T2 =
\r\ + pan-c , Q2 =
\r\ + van (E.2)
the gradients become (with t =

rt/|r| as before):
1 p V
*>= l>tT= < 0 ^2>CT =

s '
, G2*T= <
s (E.3)
0 i U
Note that the gradient vectors of the two plastic potentials need not be normaUzed to the same
scale. The parameters ft (but not

c and p) are assumed to degrade with accumulated 'plastic'
joint displacements according to two alternative cases
E.l Unrelated Damage Variables
Introducing
dxi=d6nap =
y\,and\i , dX2 =
\d6pt\ =
\G2,r\d\2 (E.4)
both 12 and 2i become zero. Denoting the rate of softening in tension with a prime and in
shear with a double prime,
*'Xi
~
-fi > *>X2 =

~ft
'
FiiXx
~
~c> ' f*iX2

~
-c" (E.5)
one obtains:
n n
fa]
Kn VKn
=
ptin pVKn + K.
KJ =
c c
(E.6)
The coeffidents from Cramer's rule are hence computed to
y"" + f" pVKn + K, +c" pKn + C1

(E.7)
.
-
-,
Vn ~
' mi ' T22 =

*?21 =
det[WP] det[H'p] det[W] det[WP]

where
det [HT] =
K.(Kn + f[) + Kn(c"-pf? -
Vc'+pvfl) + c"f't -
c'ft (E.8)
One obtains through Eq. 5.78
Kn(K, + c"-pfl') "n(pfhc')

U"2 =
.K.(Kn + fl) (E.9)
^^YMZVm
228 APPENDIX E
the plastic scalars to dA* =

%d6, i.e.
..
Kn(K. + c"-pf't')dSn -
*.( + /*) IJl|

1 =
deTiî
Kn(pf't-c')dSn + ,(*n + //) \dS\
dX2 =
(E.10)
det[H'p]
where \d6\ =
{.dS.+tdSt} is the displacement component normal to the sUp drde (deviatoric
plane) derived in Table 5.6.
as
If both mechanisms softened simultaneously, their combined effect would give according to
Eq. 5.77
Kn(K.+c"-VC>)-rflKn(t>fl-f't') .K.(uf't-f't') tK,(vft-f)

d& = .Kn(pf't-<S) }K.(Kn + f't) /?./Wn + //) dS (E.ll)
det[ttJ>]
tKnWt-J) .tK.(Kn + ft) #.(" + fi)
and
Knf't(K. + c")-Knf't'c! -,KnK,(Vf't-f?) -t^K^f',-ff)

D** =
~
.KnK.Wl-C1) 1 + J(. + /f) -.tK*(Kn + fl) (E.12)

det[7ii>] -
tKnK.Wt-C1) -A3( + ft) 1 + W.(Kn + fl)
where f =
.(/nz/J+c") -
.(/*#-rW) + K.(c"f't -
dft>).
This derivation as the most general wiU be referred to in the sequel.
Postulating now the special case of an uncoupled mechanisms results in d =
f" =
0,
and Eq. E.10 degenerates to
Kn(K. + c")dSn VKnK. \dS\

-
pKnfldSn + K.(Kn + fl)\dS\

dAi =
d\2 =
(E.13)
det[WP] detp***]
where det[We"] =
pvKnfl + (. + c")( + fl).
A reasonable example is a joint without tensile capacity (fl =
ft =
0) but an apparent
cohesion due to joint roughness [Hb 86]. This results in:
k.
d\2 =
i-=\dS\ and dAx =
dSn -
vd\2 (c" < 0) (E.14)

K.+C'
and represents correct sUp softening, including the reduction in rOTOX by dTmax = c" \dbpt\
c"\d6p.t\
\d6P.t\ =
\dS\ -
d\2 =
\dSpt\
Observe that the joint opening dAx is reduced by the sUp dilatancy and that consequently v -* 0
must be prescribed during disengagement of surface asperities to achieve true opening [Rigg 86]
[Shar 88]. Moreover, if W9 is derived from Eq. E.12 for this special case, it becomes:
0 0 0
*
Dep 0 ?K.+c" -.tK. (E.15)
-
0 -.tK. 2K.+C"
Obviously, joint opening demands forcing k. 0 to achieve the loss of shear resistance also
perpendicular to the current sUp direction.
SLMULTANEOUS MECHANISMS 229
Consider now an unaffected cohesion (c" =

0) during loss of an initial tensile strength ft. If
for clarity also v =
0, the plastic scalars become:
Pfl
dAx = T7,dSn and d\2 =
\d6j.\ + ^d\x (// < o) (E.16)
Kn + fl K.
While d\x describes the tensile strain softening, the other equation gives the constraint dA2 > 0
on TfihnTTmm shear displacement increments to avoid unloading in shear. If this happened, the
stress point would leave the corner, and jF2 would become inactive (Figure 5.12).
This
phenomenon could be avoided if the cohesion were reduced such that the stress point
at the corner would experience no change in Tmax during ft ? 0. Indeed, by aUowing for a
latent cohesion softening of c' pfl, while maintaining c"
=
f" 0, the scalar dA2 becomes = =
independent of /t':
Kn
dA2 =
\dS\ and dAi = -t(dSn-vd\2)
(E.17)
n + /i
E.2 Shared Damage Variables

The cohesion is now supposed to describe an initial cementation, govemed by a shared damage
variable x- Since it can be destroyed dther in shear or in tension, the two mechanisms are
related as foUows:
dX =
d6nap + \dSpt\ =
Q\yan d\i + |ft,r | dA2 (E.18)
Independent of the surface segment considered, this results in C\ C2 1 and thus in c' = = = c"
and ft ft- To relate the decrement in cohesion, c", to the tension softening, it is spUt

into
the decrement c" at constant ft plus the decrement due to //:
c" = c!' + pfl, i.e.c" =

c"-pfl (E.19)
One obtains
det [H'P] =
K.(Kn + fl) + Kn(l-U)c" (E.20)
so that from Eqs. E.10
'_ Kn(K. + c") dSn K.(vKn
-
+ fj') \dSS5x1 ,,
-KnCd6n + K.(Kn + fl)\d6\
aAl" (E.21)
_
=
d\2
det[H'P] det[ft**]
and from Eqs. E.11/E.12:
KnK,
-
Kn(l-V)c" -.K,(l-V)fl -tK,(\-v)ft

dSp = -.KnC jK,(Kn+fl) .tK.(Kn+fl) dS (E.22)
det[7i**]
-tKn?' .tK.(Kn + fl) 3K,(Kn + fl)
and
KnK,fl .KnK,(\-v)f't tKnK,(\-V)f't

D** = .KnK.S" KnK.(l-v)S" + #?( + //) -.tK2(Kn + fl)
det[*]
tKnK,c" -.tK2(Kn + fl) KnK,(l-u)c" + J^Kn + fl)
(E.23)
Inspect, for instance, the case of no tension (ft =
// =
0), for which c" = c":
-c"d6n + K.\dS\
d\2 = and dAi =
dSn -
vd\2 (c" < 0) (E.24)

K. + (l-v)d>
in which compared to Eq. E.14 a term for loss of cohesion due to dSn can be noticed. If,
- -
as second example, a pure friction cone (c c*' 0) is considered, one obtains c"
=
pfl and
= =
consequently the same result as in Eq. E.17, where c const. had been assumed. =
230 APPENDIX F
F Iterative Stress Solution
If a given function y =: f(x)

Solution of a = 0 is sought for the unknown argument x*, the
function can be expanded into a Taylor series about sc*, provided it is smooth and differentiable
&t 35
iE*
y< =
/(*) + (** -
x) f(x)\m= + 0 ((** -
x
)2) = 0 (F.l)
Truncating after the linear term, the Solution x* can be approximated to arbitrary predsion by
iterating [Henr 82]:
ii+l =
ii~ (F-2)
7Wi
Extended to n-dimensional space it becomes the Newton-Raphson method [Bica 79].
F.l Runge-Kutta Method
If this functional is to be integrated, one may construct an approximation of the unknown
y =
f(x) from their local gradient in expUdt Euler forward steps:
yi+i =
yi + aAxy'i (F.3)
Therein is yi the (converged) functional value for x =

X{ and Ax a finite increment (z*+1 -
,)
as the linear term in Eq. F.l [Carn 69] [Gear 71]. To land exactly at y;+i, the 'increment
function' y[ would have to be a kind of secant slope [Henr 82], which is not known beforehand.
The increment function therefore employs a 0-weighted combination of intermediate tangent

gradients v'j, which are successivdy gained from 'phoney' forward steps.
This leads to the class of Runge-Kutta methods, which are distinct from usual predictor-
corrector procedures in that not the phoney steps but only the 'final jump' (with the average
slope) needs to span the fll interval Ax [Iron 80]. For example, the scheme of fourth order can
be written as:
vi =
f(xu yi) , 0i =
|
"2= /(*H4>3K+-vi) *2 =

Ifi+i =
Vi + As Yl Qi vj with *
(F.4)
3
t*3= f{*i+L,Vi+*?V2) 03 =
f
i
k V4 =
/(*i+i> W+Aa-t-g) , 0A =
For the family of second order a single parameter 0 suffices, formulating:
yi+x =
yi + Ax [(l-0)v'x + 0v'2] with { <=_ fte'ri
(F.5)
lv2- /(**+!? +"27t,i)
Several populr algorithms result from different choices of 0:
0 = 0 (simple forward projection, Euler's method), as in Eq. F.3:
Vi+i =
Vi + Aas v[ =
yt + A* /(*;, yt) (F.6)
0 =
| (Simplified Runge-Kutta, 'Heun's method'), which uses a predictor step with the
v[ over the total interval to obtain jji+x'
*+, =
* + A. ^ =
+ A.
fl"' >+
{("+" *> (F.7)
ITERATIVE STRESS SOLUTION 231
0 = 1 (forward gradient, improved Euler method, midpoint formula), which uses a pre
dictor step with v\ over half the interval to obtain yi+i*
!K+i =
yi + Ax v'2 =
yi + Aas f(xi+i, yi+x) (F.8)
In the latter two specific tangent predictor step is foUowed by a secant corrector step
cases a
over intervaU,
the fuU implicit Solution for the exact but unknown y+i in- Eq. F. 7 is
i.e. the
substituted by a two-step expUdt Euler scheme. The former one with (0=1) has the advantage
that the phoney step is already a trial step over the fuU intervaU, aUowing to drop the repeated
evaluation for y;+i by switching aposteriori to 0 0 [Hilb 82]. = It is to be noted that aU methods
based on Taylor's expansion are only conditionay stable.
In the appUcation elastoplastic integration the different gradients v correspond
to the
to different dasto-plastic matrices D?\3 If the plastic displacement increment **6P which is -
needed also as argument for the hardening/softening parameter t+Atx m non-ideal plasticity -
is used instead for a vectorial return, care must be taken in updating the right variables. For
instance, the second-order Runge-Kutta family takes the foUowing form:

*+"& ='<r + M ,
"& =
[(1 -
0) I>? + 0D\f] At*
=
A
V -
De
{(1 -
0) At6P + 0 M6P2} (F.9)

where Atj? =
A%- Q \.
Note that it would be wrong to compute directly Atc from a 0-averaged plastic gradient G,a \j-
The important difference to the generalized trapezoidal rule of Eq. 6.22 is that Q,a-\2is obtained
from a predicted, iUegitimate stress state, whereas t+At/,<r is the true end-of-step tangent to
the failure surface.
The computational steps are thus (Fig. 6.6):

1. 'Predictor step' with values at state t:
<Uli =
fM
AtA1= fAt* t+M/Wz = ta + jl De

^tg msp}_
*r6Px= ^kÂi
AtXi= *iA%
2. 'Corrector step' with values at State t + M.

-y
Qr U
2
=
/(+*/(")*)
l )
"1*= (1-0)^ + 0^
"\2 = UT*tg
At^2= 0,<r|2A%
t+Atx =
'x + (i -
*)At*i + 0AtX2
AtX2= ^2A%
Note that At6^ is evaluated for the fuU increment Ato", whereas the intermediate stress state
required for the second flow direction is gained from 1/(20) fraction of it. Only for 0 | the
a =
predictor step yields directly a first estimate for the end-of-step value t+Ato".
'In { 6.2.1 the pseudo-time stations '() and ,+A,(-) take the role of the functional values (),- and (-)t+i- The
subscript j still denotes the phoney steps.
232 APPENDIX F
F.2 Return Directions
Depending on the step size used in the

elastoplastic integration, the drifted stress state t+At
may require a separate end-of-step correction by solving the consistency condition:
.f('+AV,t+Ay) =
:F('+Atflr+A<r,t+Atx + AX) = 0 (F.12)
To avoid a multi-variable implicit return, one may assume for higher-order methods or substep
ping that the change Ax of the internal plastic variable can be neglected in the correction.
The stress corrector could be constructed either from a dimensionless fraction of a stress
vector Aa =
pMa or -
in a generalized manner
-
from some other gradient vector m, which
is then factored with a dimensional scalar as Ao* =

p" m. With T*r in place of f'(x) in the
Newton iteration (F.l), one obtains:
-rYt+At_. t+Ai-,.\
*+At _ _ t+At
x =. ,
nO __
<*' X\ " Xa) ff, , \
e-i+i
-
* + Pi+i nu Pi+i
-
Pi (F*13)
t+<\tj:T l
,
Tn.
Several different return directions m; have been proposed [Chri 77] [Verm 78] [Owen 80] [Pott 84]:
stress proportioning ('radial' return): vl\ =

'+Atffi
orthogonal projection: m; =
t+At.7r,<r | (F-14)
energy projection: vl\ = D' t+At,<r |;
Note that in the last case equal to H' (Eq. 5.12), and the scalar becomes a
the numerator is
correction to the plastic displacement, i.e. Api AA;. If appUed directly to the dastic trial step
=
C+^'" t+At<re) it coincides

= for ideal plasticity with the dosest point projection [Rune 87].
With a slight modification the formula (F.12) can be used for Computing the contact
stress, in which case it is exact as x does not change when approaching the yield surface from
the elastic side,
t+Ati..
*-
-L .
At_e
n. _
ft.
?\ <r< X) rT7m\
<r c
<ri+i- + pi+1 , pi+i-Pi T
,
At l*-15)
a
*xr \i
where T and T*r are evaluated iteratively for t+At&i -o* -f pi Atffe; note that the numerator =
is the finite-step equivalent to the loading function Te, Eq. 5.14. The iteration is started with
po = 1 [Hilb 82]. The start with po = 0 would lead to
P~ (F*16)
^V
which gives a simple linear interpolation between the elastic and the trial stress state [Naya 72]
[Owen 80], being exact only if the trial step cuts across the yidd surface at right angle. Moreover,
it falls for stress increments orthogonal with the last stress vector, whereas Eq. F. 15 does not.
Near surface corners the trial step length may just have to be reduced to search on the right
segment. Because of the fast convergence (two to three steps at most), no analytical Solution
has been programmed.
TEMPORAL OPERATOR ANALYSIS 233
G Temporal Operator Analysis

The equation of motion (7.3) is solved by single-step difference methods with simultaneous
values in displacements, velodties and accderations. For the purpose of analysis, the recursive
Solution from the initial values to the current time Station in n equal time steps is written in
the Standard form [Nick 71] [Bath 73] [Hb 77]
t+Aty = A *y + Lt+Atq with *y = < At't,

| ,
t+Atq=|t+A^| (G.l)
where *d, *t>, *a converge to *u, *, * for At - 0 through n =

t/At -+ oo. A is caUed the
amplification matrix and L the load Operator. It is further assumed that the equation of
motion can uncouple to a set of 1-DOF Systems.
If A has distinct eigenvalues, the characteristic equation for A is (e.g. [Golu 86])
-
det (A -
AI) = A3 -
2AXA2 + A2\-A3 = 0 (G.2)
where .
Ax = trace A .4 2 = sum of prindple minors of A A3 = det A

j , ,
The largest eigenvalue

p(A)
=
max{|Ai|,|Aa|,|A,|} (G.3)
is caUed the spectral radius of A.
G.l Stability
A time integration method is said to be stable (for a given At) if a change due to a perturbation
**y only a bounded change in aU subsequent state vectors of the discrete Solution *ny as
causes
k < n -* 00 [Hilb 77].4 The region of stabihty is the set of values ft u At for which < 1. =
p/^)
Therein u* denotes the frequencies in the discrete spectrum of the 1-DOF osciUator:
+ 2u* + u2 u =
,
u> = 4/ , =
1.
(G.4)
m y m y/km
with w asundamped dgenfrequency and as damping ratio [Clou 75]. A method is said to be
conditionally stable if its region of stability is given byO<ft<ft, (<oo) and unconditionaUy
stable if it indudes aU positive ft. It should be noted that stabihty only implies boundedness
in the limit tn 00 and does not predude growth for small values of n ('overshoot').
*
However, the Solution td does not have the same form for all ft < ft,. As a consequence of
convergence there exists a frequency ft& > 0 at which the two 'prindpal' roots Ai(2 bifurcate
from conjugate complex to real numbers, changing the displacement Solution of Eq. G.4 to
*wtn
conjugate complex: ld= e (Cx cos wr}tn + C2 sin>>tn) + C3A31
real and distinct: *d CiAJ C2AJ C3A31
{
=
+ +
^
real and equal: *d =
(Cx + nC2) AJ + C3A31
for t = n At, where Ci is to be determined from the initial conditions.
4This is the conventional definition which may not be strong enough for stiff problems. Confer [Jens 74]
[Park 75] for the notion of A-stability.
234 APPENDIX G
sufficiently smaU relative

For time steps At/T =
^ ft the Solution (G.5)i appUes with
complex conjugate prindpal roots due to A\ < A2, giving
Ai,2 =
Ax iy/A2 -
A\ =:AiB = e-în" (G.6)
where
B
ftjj = >uAt = arctan
A
and
f hi(A2+B2)
*
D 2ft
ft =
At =
JT=T2
Therein algorithmic damping ratio with |Aj,2|2 in the numerator, and
is the 2x/f =
gives through the ratio (f T)/T the relative period error; both these quantities are used as

Standard measures to characterize individual integration methods, e.g. [Goud 72]. Convergence
implies that
as ft 0.
G.2 Numerical Dissipation

The so-called spurious root A3 < |Alj2|
responsible for controUed numerical dissipation.
< 1 is
Stable and accurate Solutions are obtained only for complex conjugate roots, i.e. 0 < ft < ft&. For
large relative time steps, i.e. for the high-frequency components of the response, ft 2t At/T =
faUs outside this region and accuracy cannot be achieved, while stability and dissipation depend
heavUy on the spectral radius p. A method is thus stable for p < 1, non-dissipative for p 1 =
and instable (with exponential growth) fotp> 1.
For the Standard Newmark algorithm with parameters and 7 (Tab. 7.2) the various quan
tities are exemplified as

l+A31 l + A32 (A33--1)
+ 0
A31
A =
7A31 1 + 7-^32 1+7 (^33 -1) "
L = -
0 7 (G.7)
A31 A32 A33 0 1
where
ft2
A
An =
-T
.
2ft + ft2
132
D
D =
l-|-2^7ft-|-)9ft2
l + 2(ft + ift2
A33 = 1 -
From this foUow the coefficients of the characteristic equation:
eft + ^(7 + l)n2

Ax = 1-
D
and A3 = 0 (G.8)
2jft + (7 \)ft2
-
A2 = l
^-2
From bounds on Ax,2 by conditions of the truncation error, which are not reviewed here, it can
be shown that the scheme is unconditionaUy stable for 7 > |, >

^7 [Krie 73]. The absence
of A3 due to A3 = 0 qualifies the Standard Newmark algorithm as a 'two-root' method without
1 is
a dissipation parameter (cf. Tab. 7.3). Because p
free 1 for aU ft if 7 = =
1, =
chosen,
the mostly used 'average acceleration method' is non-dissipative.
TEMPORAL OPERATOR ANALYSIS 235
For larger 7, Eq. G.8 is solved for A\ -
A2 = 0 to obtain the bifurcation frequency, above

which the two roots become real:
l(T-i)( + ^(7 + *)'-|8 + (*(/--i7)

" (G.9)
i(7 + j)'-/.
In order to place ft0 -* 00 for optimal dissipation, the denominater must vanish:
opt =
\{l+2:)2 (G.10)
For example, the foUowing bifurcation frequencies are calculated for 7 = 0.8:
ftj, for
7 = 0.8 0.25 0.4 0.42 0.4225 0.6
e 0 2.4077 6.6667 20.000 00 (complex)

0.1 2.4842 7.3333 26.785 00 (complex)
For real ftj, < 00 the spectral radius p attains its minimum at ft;, and re-increases for larger
fi =
2xAt/T:
p for At/T
* = o 10-2 10-1 1 2 5 101 102 103
0.25 1.0000 0.9985 0.8718 0.6325 2.4966 3.0504 3.2591 3.2613
0.4 1.0000 0.9985 0.8864 0.7338 0.5641 0.8581 0.9987 1.0000
0.42 1.0000 0.9985 0.8881 0.7431 0.5898 0.5498 0.6639 0.6666

0.4225 1.0000 0.9985 0.8883 0.7443 0.5928 0.5535 0.5386 0.5385
0.6 1.0000 0.9985 0.9014 0.8044 0.7287 0.7099 0.7072 0.7071
Note the unstable growth after bifurcation for < 57 0.4 = and the sudden drop in p for
< opt = 0.4225. Using exactly this value gives the smaUest p at At/T -*
00, whereas larger
values of result in a smaUer spectral radius.
'Physical' viscous damping becomes ineffective for high frequencies because of ft2 > ft
in Eq. G.8. Only in the rnge of moderate At/T the physical damping reduces the spectral
radius by an amount less than . Computing the total algorithmic damping for various 7 shows
that the low-frequency dissipation is controUed by and the high-frequencies dissipation by p\
e.g. for i 0.1 and of Eq. G.10:

=
At/T
"
( for
=
opt io-a 10-1 1 2 5 101 102 103
0.5 0.1000 0.0998 0.0862 0.0636 0.0288 0.0139 0.0013 0.0001
7 0.6 0.1005 0.1048 0.1291 0.1272 0.1017 0.0843 0.0660 0.0640

0.7 0.1010 0.1097 0.1717 0.1915 0.1769 0.1572 0.1326 0.1293
0.8 0.1015 0.1146 0.2143 0.2569 0.2562 0.2348 0.2028 0.1977
Viscous damping algorithmic dissipation are thus not additive except in the rnge about
and
At = 1
10 T. For the integration of fast components ( 5.2.3) the autostep reduction will effect
At < T, which explains why viscous damping is in this rnge more efficient than algorithmic
dissipation; the purpose of the latter is mainly to curb the noise arising from step re-expansion.
Leere Seite\nBlank
Notation
Latin Upper Case
A, An gradient matrix; amplification matrix of Operator / individual term

A area
Ax coefficent of characteristic
equation
B strain-displacement matrix
B width of specimen
C damping matric; compUance matrix (e -
a)
Cx constant in DGL Solution
D modulus matrix (a -
e)
D asperity dimension
E Young's modulus
E, F, G fundamental quantities of differential geometry
F, Fm force vector / cartesian component

G constraint matrix
G shear modulus
Gf specific fracture energy

H matrix of shape functions
H height
I identity matrix
Imsk intensity of ground motion (after Medvedev et al.)

Ii, J2 first / second stress invariant
J, Jn Jacobian matrix of coordinate derivatives / individual term
JRC, JCS Barton's coefficients of joint roughness and joint waU compressive strength
K stifihess matrix
K bulk modulus
L global-local transformation matrix / temporal load Operator
L length (also used for width of dam)
M mass matrix
M magnitude of earthquake (after Richter)
P compression force
Q arbitrary matrix
R residuum; radius of arch dam
S projection of a stress tensor for a given surface orientation
T matrix of direction cosines
T period of Vibration
TOL tolerance parameter
W work
Z tensile force
238 NOTATION
Latin Lower Case
a, b, c base vectors of corotated reference plane

a portion of area
a, d shape parameters of friction hyperboloid

a-i-6) i...g coeffidents of time discretization
6 Biot's constant
*b loading function interpolation in time interval
c cohesion
<**> <*mj <*, coefficients of stifihess / mass proportional /

damping structural
Cn, term of compliance matrix C
Cp celerity of compression wave
d depth of compressive stress block
d, v, a displacement / velodty / acceleration of 1-DOF oscillator
dmax, Wmax slip distance / gap opening at loss of cohesion
dn, term of modulus matrix D
e unit vector (also s in z direction)

e eccentricity of stress
resultant; basis to natural logarithms
f, fx vector of stress-equivalent nodal forces / component thereof
fe, ft unconfined compressive / tensUe strength
fx natural eigenfrequency
g, g, Connectivity vector / constrained degree of freedom

g acceleration of gravity
h intervall size
hi shape function
i hydraulic gradient
Jb slope of Mohr-Coulomb criterion in principal stress space (= jt^|%)
Jbii term of stiffness matrix
m .
vector of plastic return direction
m stiffness ratio of nodal penalties; partial uplift coeffident; nodal mass term
n, s, t base vectors for local frame of reference

n porosity; number of points (e.g. nnod, **?)
p, Px vector of external nodal forces / cartesian component
p surface pressure; pore pressure
q, qm load vector / cartesian component
q contact damping coeffident

r residual force vector
s digits precision of the Solution vector
t thickness of dam or of element; truncation error
ti time Station
ui> ui* vector of nodal displacements / cartesian component

v constraint violation vector; vector of internal variables
w, Wp wdghting function vector / quadrature weight at a point

w gap size
xi, yi vector of nodal coordinates / cartesian component
x, d length measures
xg ground acceleration
y, y vector / scalar function of variables
% vector of search direction in equilibrium iteration
FULL-SIZE LETTERS 239
Kaligraphic Upper Case
A amplification factor in direct asperity contact
V dissipation density
equiUbrium state functional
T yidd or failure surface
Q plastic potential surface
H hardening/softening modulus
C material damage function
TZ ratio of directional stifihess moduli
S directional stiffness modulus
Greek Upper Case

r surface domain
Av prescribed displacement
A dgenvalue of modulus matrix
II potential energy
s? correction function for nonassociated plastic potential
$ hydraulic potential
x? matrix of direction cosines of asperity slope
ft volume domain; discrete dimensionless eigenfrequency (= u* At)
Greek Lower Case
ot, a, angle, in particular of flow direction / corresponding direction cosine
a> , 7 parameters of Newmark time integration

, , . angle / vector / component of direction cosine of total shear traction vector
7, 71 vector of nodal gaps / individual gap
7 specific weight of material; angle of load path direction

6, Sn vector of top-bottom relative displacements / cartesian component
, Ins vector of engineering strains / component in local coordinates
e perturbation quantity; aspect ratio of element

apex offset parameter for tension cut-off; rdaxation parameter
load direction parameter from elastic trial stress

n coeffident of spatial mass discretization; additional time integration parameter
rfxx coeffident of Cramer's rule
0 weighting factor in trapezoidal rule; or in Runge-Kutta formulae
k, Kn global / local penalty parameter

X vector of Lagrange multipUers
A plastic scalar
Ai dgenvalue of stiffness or amplification matrix
p coeffident of friction
v Poisson's ratio; rate of
dilatancy
geometric strength contribution; damping ratio
, n, C natural element coordinates

x trigonometric constant 'pi'
wx plastic path parameter
p body force due to water percolation
p material density; elastic subinterval length; spectral radius
240 NOTATION
a vector of surface tractions
0*1 principal stress
r, t, vector of shear tractions / cartesion component

r time variable
v, u* vectors in the direct / inverse elastoplastic rate law
v[ intermediate gradient in Runge-Kutta method

v volume fraction
 angle of friction
ip angle, in particular of shear characteristics; or of deviation from normality
X, X set f / dngle internal softening/damage variable(s)
i/> angle of dilatancy

yjn direction cosine of asperity slope
(v circular eigenfrequency
Superscripts
0-0
in a cross-sectional cut
b, * related to soUd block / joint
**, eaP dilatant / gap component of joint opening
E, L consistent / lumped matrix
'
dement property or variable
', p, 'p elastic / plastic / elastoplastic contribution

'M effective quantity (e.g. *,'**)
m,do, *
due to inertia / damping / dastic straining
n
nonlinear portion
(p) order of residuum
visco-elasticquantity
r
transposition
bot
top, rdated to top / bottom face of joint
*,t+At values at successive time stations (e.g. 'u)

At
incremental quantity developing during the time intervaU At
0
normalized vector
2
with quadratic argument (e.g. 2T)
-1
inversion
u
1', in mode I / mode II
+ rdated to positive / negative shear direction
-
Subscripts
a, j, rdated to a certain dement side
a, in direction of the deviatoric / complete total shear traction vector
app apparent property

B, h acc. Hilber-Hughes' / Bossak's
to method
b,, bifurcation / stability threshold
c, r concrete / rock property
c
related to contact problem
c j continuum / joint property
criu cu
critical / critical-ultimate value
LNDICES AND SYMBOLS 241
D damped condition (e.g. U>)

dt v>, im property in the dry / wet / immersed state
dynt .tat dynamic / static property

e perturbed quantity
r, q formulated with respect to the yidd / plastic potential surface
/riet 5 Hock according to frictional / interlock philosophy
i, j+i belonging to a specific node; successive iterates
i.0 isotropic
t, a dummy index, can be s or t component
j related to cohesive shear strength
*,, kinematicaUy / staticaUy admissible
I, r belonging to left / right shearing direction
Lg2, 5/3 form of stiffness matrix (L / S element type, gl /
= 13 =
quadrature rule)
m,, property of mortar layer / solid brick (in masonry)
max-, min maximum / minimum
mc value at maximum joint dosure
mob, o mobilized / pressure-dependent friction property
M, r basic / residual friction property
n, ,, t components in local surface frame of reference

nod, %p f nodes / of quadature points
noi.e assodated with spurious high frequencies
i/=o> v-n nondilatant / pseudo-associated version
opt optimum
p
at a certain
point inside the dement; peak value (e.g. rp)
n in circumferential direction (e.g. aji hoop stress)
r dp kind of diagonalization used (rs row sum, dp diagonal proportioning)
= =
,, Iym Symmetrie component / symmetrized version

,t component in the deviatoric plane
T instant of brittle-ductile transition
w property of weak plane (e.g. c,);
effective property ('wirksam', e.g. nv)
x, y, 2 components in global frame of reference
{, , ( components in natural element coordinates

o property at zero compression
3-por three-parameter formulation

i, || component normal / tangential to the yidd surface
-,2 excluding mechanism 2 ('not 2')
Symbols
d,d2 first / second order total differentiation; htfimtesimal increment
d,d2 first / second order partial differentiation
s Virtual quantity
A finite-size increment
V spatial derivatives ('nabla') Operator of second order
0 order of neglected power or derivative
cond condition number of a matrix
det determinant of a matrix
diag diagonal matrix
lo8io decadic logarithmus
242 NOTATION
oo infinity
x, s product / vector product
J2e summation over contributing elements
/n> /r> volume / surface / contour integral
{ } assembled vector from more than one node or quadrature point
[ ] assembled matrix from more than one element
( ) Macauley brackets (e.g. (dA))

< > row vector (e.g. < nr >)
y
column vector
| | length of vector
| | other vector norm
x,y derivative of x w.r.t. y (e.g. T^r giving a vector)

x\ x evaluated for y
x, x first / second temporal derivative of x

/
>
derivatives w.r.t. damage variable 1 and 2, resp. (e.g. c")
effective quantity in direct contact of grains (e.g. a'n)
variable-elastic parameter (e.g. *); (e.g. x*)
unknown exact value
submatrix (e.g. K); contact stress state (e.g. <r); total function (e.g. Sn)
trial stress value (e.g. T); effective matrix in time integration (e.g. M)
quantity in asperity-surface reference system (e.g. D)

parameter of curvilinear friction criterion (e.g. p)
predictor value (e.g. , &)
modified quantity (e.g. k)
generalized quantity (e.g. <rn); algorithmicaUy biased value (e.g. )
Bibliography
Acronyms of Institutions and Events
ACI = American Concrete Institute

AIAA = American Institute of Aeionautics and Astronautics
ASCE = American Society of Civil Engineers
ASME = American Society of Mechanical Engineers
ASTM = American Society of Testing of Materials
CISM = Centre Internationale de Science Mecanique

COMPLAS =
Computational Plasticity (confeience)
CSIRO = Commonwealth Scientific and Industrial Research Organisation
DAfStb = Deutscher Ausschu fr Stahlbeton
ECEE =
European Confeience on Earthquake Engineering
ECONMIG =
European Confeience on Numerical Methods in Geomechanics
EERI =
Eaithquake Engineering Research Institute
EERL =
Eaithquake Engineering Research Laboratory
EPRI = Electric Power Research Institute
ERCAD =
Eaithquake' Resistant Analysis and Design (confeience)
EUROMECH =
European Mechanics (colloquy)
FENOMECH = Finite Elements in Nonlinear Mechanics (confeience)
IABSE = International Association for Bridge and Structural Engineering
IBK = Institut fr Baustatik und Konstruktion, ETH Zrich
ICE = Institution of Civil Engineers

ICOLD = International Committee on Large Dams
ICONMIG = International Confeience on Numerical Methods in Geomechanics
ISMES = Istituto Sperimentale Modelli e Stiuttute
ISRM = International Society foi Rock Mechanics
ITBTP = Institut Technique des Btiments et Traveaux Publics
IUTAM = International Union of Theoretical and Applied Mechanics

JSME =
Japanese Society of Mechanical Engineers
LNEC = Laboiatrio Nacional de Engenharia Civil
MAFELAP = Mathematics of Finite Elements and Applications (confeience)

NUMETA = Numerical Methods in Theory and Applications (confeience)
NUMOG = Numerical Models in Geomechanics (confeience)
PCA = Portland Cement Association
RILEM = Reunion Int. des Labs, d'Essais et de Rech, sur les Materiaux et les Constr.
SCI-C =
Computer Aided Analysis and Design of Conciete Structures (confeience)
SESM = Structural Engineering & Sttuctuial Mechanics Dept., UC Berkeley
SIAM =
Society foi Industrial and Applied Mechanics
SMIRT = Structural Mechanics in Reactoi Technology (confeience)
TRRL =
Transport and Road Research Laboratory
USBR = United States Bureau of Reclamation
VDI = Verein Deutscher Ingenieure
WCEE = World Confeience on Eaithquake Engineering
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A Joint Element For The Nonlinear Dynamic Analysis of Arch Dams

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A Joint Element for the Nonlinear

Dynamic Analysis of Arch Dams

Birkhauser Publishers Basel

A Joint element for the nonlinear dynamic analysis of arch dams /

Report / Institute of Structural Engineering, ETH Zrich; No. 186

Summary in English and German.

Includes bibliographical references.

ISBN 0-8176-2811-8 (U.S.)

Bericht (Institut fr Baustatik und Konstruktion ETH Zrich); Nr. 186

TC547. H73 1992

Deutsche Bibliothek Cataloging-in-Publication Data

A Joint element for the nonlinear dynamic analysis of arch dams /

1992 Birkhauser Publishers Basel

Dynamic Analysis of Arch Dams

Dr. sc.techn. Jrg-Martin Hohberg

Institute of Structural Engineering

This report is essentially a reprint of the dissertation ETH No. 9651,

As a country with high Alpine region of considerable seismicity, Switzerland

ing low-cycle fatigue,

Zrich, July 1992 Prof. Dr. H. Bachmann

To my parents and my family

support by the ETH Zrich deserve sincere gratitude.

still recognizing his daddy on sundays.

longer. It is an enjoyable race to run." H.O.K. Kirchner

With a brave smile they all showed admirable understanding.

Bremgarten b. Bern, June 1992 J.-M. Hohberg

displacements can be conveniently assembled from isoparametric Joint elements,

advantage as a pseudo-material problem: Individual local penalty parameters in the tangential

penalty parameters as elastic moduli. Dilatant frictional sliding is treated as an incrementally

application in dynamics the effects of spurious high-frequency oscillations had to be considered,

unter der Einschrnkung kleiner Relativverschiebungen -

bequem durch isoparametrische

Wegen des sehr steifen elastischen Trennflchenverhaltens knnen im Element groe un

Anwendung in der Dynamik mute die Auswirkung hochfrequenter Stroszillationen beachtet

Schlsselwrter: Bogenstaumauern,Finite-Element-Methode, Erdbebenberechnung, Ribil

Preface / Acknowledgements iii

1.1 Nonlinear Arch Dam Behaviour 2

1.1.1 The Physical Problem 2

1.1.2 The Analysis Problem 5

1.1.3 Modern Concepts of Nonlinear Analysis 10

1.2 Discrete Joint Models 14

1.2.1 General Restrictions of the Method 14

1.2.2 Classification of Joint Elements 15

1.2.3 Previous Application to Arch Dams 18

1.3 Present Work 21

1.3.2 Scope and Organization 22

2 The Isoparametric Joint Element 25

2.1 The 'Ideally-Thin Layer' Approach 27

2.1.1 Continuum Element Formulation 27

2.1.2 Curved-Surface Description 31

2.1.3 The Role of Element Thickness 34

2.2 The Penalty Approach 38

2.2.2 Particularities of Zero Thickness 41

2.2.3 Large Displacements and Rotations 46

2.3 Discussion of Layer vs. Zero-Thickness Formulation 49

2.3.1 Penalty Size and Numerical Accuracy 49

2.3.2 Aspects of Finite Thickness 53

3 Quadrature and Joint Stresses 57

3.1 Duality of Springs and Quadrature 58

3.1.1 Enforcing Interface Constraints 59

3.1.3 Parasitic Stresses and Underintegration 67

3.2 Quadrature of Discontinuous Fields 71

3.2.1 Overintegration and 'Floating' Quadrature Points 71