Computers and Structures 87 (2009) 485–501

Contents lists available at ScienceDirect

Computers and Structures

journal homepage: www.elsevier.com/locate/compstruc

Finite element methods for unsaturated porous solids and their application
to dam engineering problems
C. Callari a,*,1, A. Abati b,1
a
Facoltà di Ingegneria, Università del Molise, via Duca degli Abruzzi, 86039 Termoli, Campobasso, Italy
b
Dipartimento di Ingegneria Civile, Università di Roma ‘‘Tor Vergata”, viale del Politecnico 1, 00133 Roma, Italy

a r t i c l e i n f o a b s t r a c t

Article history: This work presents a finite element formulation of equations proposed in a companion paper to describe
Received 25 August 2008 the hyperelastic response of three-phase porous media. Attention is paid to the development of consis-
Accepted 22 December 2008 tent tangents required by the Newton–Raphson procedure used to solve the highly non-linear finite ele-
Available online 23 February 2009
ment equations. Among several sources of non-linearity, we also model the permeability dependence on
strain as typically observed in intensely jointed rock masses, thus introducing a further reason of hydro-
Keywords: mechanical coupling. Several numerical examples are presented to validate the considered poro-elastic
Multiphase porous media
laws and to assess the performance of the numerical formulation. These tests include comparisons with
Concrete dams
Hydro-mechanical coupling
available experimental data relative to a sand column desaturation and with the Philip’s analytical solu-
Unilateral constraints tion for the propagation of a saturation front in an initially dry porous solid. Finally, the formulation is
Rock mass permeability applied to problems of interest for dam engineering, namely the simulation of reservoir bank response
to rapid drawdown and a three-dimensional study of concrete gravity dam interaction with foundation
and abutment rock masses during reservoir operation.
Ó 2009 Elsevier Ltd. All rights reserved.

1. Introduction and the resulting non-linear coupled equation system is solved

Constitutive modeling of coupled porous continua is often
developed in thermodynamic frameworks based on the volumetric
fraction concept. In these mixture-theory approaches, volumetric
fractions such as saturation degree and porosity are considered
as primary variables, together with solid skeleton displacements.
However, to avoid uncertainties in the setting of initial and bound-
ary conditions, fluid pressures are normally preferred to volumet-
ric fractions among the primary variables used for numerical
formulation of the porous solid problem.
Consistently with these considerations, in [1] we have pre-
sented hyperelastic relations for three-phase porous media assum-
ing solid skeleton displacements and fluid pressures as primary
variables. These laws are developed in a Biot-type thermodynamic
framework considering a unique free energy for the whole porous
continuum [2,3] and investigating their relations with constitutive
models obtained from alternative approaches based on mixture
theories.
In this work, we propose finite element methods for the resolu-
tion of governing equations presented in [1]. The fluid-mass bal-
ance equation is discretized in time by a backward Euler scheme
* Corresponding author. Tel.: +39 0874 404909.
E-mail address: carlo.callari@unimol.it (C. Callari).
1
Supported by MIUR projects coordinated by G. Maier (PRIN 2004) and G. Novati
(PRIN 2007).
by a standard Newton–Raphson iterative procedure. A lineariza-
tion consistent with the aforementioned time integration scheme
is then performed to obtain fluid-term tangent operators. Several
reasons for non-linearity and coupling are considered, including
those due to a permeability model accounting not only for partial
saturation but also for the influence of strain, as typically observed
in rock masses.
To increase the solution accuracy in strongly non-linear prob-
lems, we also consider the time integration of a mixed form of
fluid-content rate equation, improving the mass–conservation
properties of the proposed formulation. A complete characteriza-
tion of tangent operators is presented for the classical assumption
of retention behaviour depending only on capillary pressure.
To assess the accuracy of aforementioned constitutive laws and
the performance of finite element methods presented herein, we
consider several numerical tests. Firstly, we present the two-
dimensional simulation of two well-known one-dimensional prob-
lems: the desaturation of a sand column and the pressure-driven
infiltration of an almost initially dry porous layer. The obtained
numerical results are compared with experimental data presented
by Liakopoulos [4] for the former test and with the semi-analytical
solution of the infiltration problem proposed by Philip [5].
Furthermore, the presented formulation is applied in two prob-
lems of interest for dam engineering, that is, the simulation of
reservoir bank response to rapid drawdown and the three-dimen-
sional analysis of reservoir operation effects on a concrete dam,

0045-7949/$ - see front matter Ó 2009 Elsevier Ltd. All rights reserved.
doi:10.1016/j.compstruc.2008.12.012
486 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501

considering the interaction with foundation and abutment rock 2.2. Constitutive equations
mass. In this way, the finite element formulation proposed herein
is employed to extend the results we presented in [6] under the In this section, we briefly summarize the constitutive equations
assumptions of full saturation of the rock mass and plane condi- considered for the porous solid, assuming both the fluids as baro-
tions for strain and flow. In the analysis of these last two problems, tropic. By using proper symmetry and Maxwell conditions, it can
we also use the numerical formulation of unilateral boundary con- be shown that these laws are consistent with a Biot-type thermo-
ditions on fluid flow proposed in [7] to model interfaces between dynamic framework. We refer to [1] for details on this constitutive
unsaturated porous solids and atmosphere. formulation for multiphase porous media, considering also the
An outline of the rest of the paper is as follows. After recalling more general case of a non-linearized kinematics for both the fluid
the weak equations for linear momentum balance of the porous phases.
continuum and for mass conservation of both the fluid phases (Sec- Stress and fluid mass contents are related to solid skeleton
tion 2.1), the considered constitutive equations are summarized in strain e :¼ rs u and to pore pressures by the following hyperelastic
Section 2.2, including the employed permeability model (Section rate equations:
8
2.2.1). The finite element methods and the numerical examples > e sk e_  b P fc p_ c ;
r_ ¼ C
are presented in Sections 3 and 4, respectively. Some concluding
>
< c¼w;g
remarks are reported in Section 5. _ P ð5Þ
>
> M
: q a ¼ fa b : e_ þ C ac p_ c for a ¼ w; g;
a c¼w;g
2. Governing equations
where fa b and C ab (for a; b ¼ w; g) are the coupling tensor and the
storage modulus, respectively, and C e sk is the tangent elastic tensor
In the following, we briefly recall the equations governing the
characterizing the ‘‘drained” unsaturated response, not in general
problem of a porous solid subjected to infinitesimal deformations
coincident with tensor Csk describing the drained behaviour for
characterized by displacements u of the solid skeleton. The porous
the liquid-saturated case. In constitutive system (5), we have also
space is filled by two immiscible fluid phases: a liquid w and a gas
denoted by qa the density of fluid a, assumed as constant in the
g. We assume as positive the compressive fluid pressures pw ; pg and
considered infinitesimal setting.
the tensile normal components of stress tensor r. e sk ; fa and
Possible forms for hyperelastic tangent operators C
C ab appearing in (5) are obtained in [1] using arguments of alterna-
2.1. Linear momentum and fluid mass balances
tive approaches, such as the partial stress and the unjacketed com-
pression concepts as well as a result of averaging techniques, that
In the infinitesimal deformation range, current and reference
is, the Lewis–Schrefler stress decomposition [8,9]:
configurations of the porous solid are assumed as coincident with X
domain X  Rndim , where ndim ¼ 1; 2 or 3 is the problem spatial r ¼ r0  bpf where pf :¼ sa pa ð6Þ
a¼w;g
dimension. Denoting by f the imposed volumetric body forces
and by t the tractions applied at boundary portion @ t X  @ X, the is the average pore pressure expressed in terms of saturation degree
weak form of quasi-static equilibrium of the porous solid can be sa , defined as the current volume of fluid phase a per unit volume of
expressed as: the deformed fluid mixture, and r_ 0 ¼ Csk e_ .
Z Z Z In particular, denoting by 1 the second-order symmetric iden-
r : rs g dX ¼ f  g dX þ t  g dA 8g 2 Vu ; ð1Þ tity tensor in Rndim and by js the volumetric stiffness modulus of
X X @t X
the solid phase, we have obtained the following expected expres-
where: sion for tensor b:
Vu ¼ fg : X ! Rndim : g ¼ 0 on @ u Xg ð2Þ 1
b¼1 Csk 1 ð7Þ
3js
is the space of admissible variations, with @ u X  @ X the part of
^ ðe; pf Þ for porosity n, defined as the current void
and a model n ¼ n
boundary with imposed displacements u ¼ u  . The usual assump-
volume per unit volume of the deformed porous solid:
tions @ u X [ @ t X ¼ @ X and @ u X \ @ t X ¼ ; are considered for bound-
ary conditions. In Eq. (1), we have also denoted by rs ðÞ the 1
^ ðe; pf Þ ¼ n0 þ b : e þ
n ðb  n0 1Þ : 1ðpf  pf 0 Þ; ð8Þ
symmetric part of gradient operator rðÞ and by ‘‘:”, ‘‘”, dX; dA, 3js
the standard double contraction between symmetric rank two ten- where n0 and pf 0 are the initial values of porosity and average pore
sors, the standard Euclidean inner product between vectors in Rndim , pressure, respectively.
the elemental volume and the elemental area, respectively. If we consider the class of retention models sa ¼ sa ðnpc Þ,
For both the fluid phases (a ¼ w; g), we denote by M a the mass depending not only on capillary pressure
content per unit reference volume of the porous solid and by qa the
relative mass flow with respect to solid skeleton. Thus, if no volu- pc :¼ pg  pw ; ð9Þ
metric fluid sources are present in X, the weak form of mass bal-
but also on porosity, the aforementioned symmetry and Maxwell
ance for fluids a ¼ w; g can be written as:
Z Z Z conditions are proven to be satisfied by the following expressions
_ a pa dX ¼ of tangent operators:
M qa  rpa dX  an pa dA 8pa 2 Vpa ;
q ð3Þ
X X @ qa X 2
9
e sk ¼ Csk  pc s0 @pc b  b;
C
>
>
>
where @ qa X  @ X is the boundary portion with imposed normal x a @pa >
>
>
>
an , for the outward unit >
>
component of fluid flow qa  n ¼: qan ¼ q n  >
>
fa ¼ a and na :¼ sa þ npcs0a ; >
=
normal n to @ X, and x for a; b ¼ w; g
Vpa ¼ fpa : X ! R : pa ¼ 0 on @ pa Xg ð4Þ ha0 n n
a b @p > >
>
C ab ¼ dab þ ðb  n0 1Þ : 1 þ n2s0a c > >
j 3js x @pb > >
is the space of admissible variations of the fluid pressures, with |fflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflffl{zfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflffl} |fflfflfflfflffl{zfflfflfflfflffl} >
a
>
>
>
sd >
cp
@ pa X  @ X the boundary portion with imposed fluid pressure ¼: C ab ¼: C ;ab
pa ¼ p a . The standard conditions @ pa X [ @ qa X ¼ @ X and
@ pa X \ @ qa X ¼ ; are assumed again for these boundaries. ð10Þ
 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501 487

for the initial value ha0 of volumetric fluid content ha :¼ nsa , the nI
Kronecker delta dab and:
dsa ^ 0 @pc
@n
s0a ðnpc Þ :¼ x :¼ 1  p2c s for a ¼ w; g: ð11Þ
dðnpc Þ @pf a @pa

On the other hand, if classical strain-independent retention laws eI

sa ¼ sa ðpc Þ are considered, the fulfillment of thermodynamic condi-
tions is ensured by the following tangent operators: dI
9
e sk ¼ Csk ;
C >
>
>
>
>
fa ¼ sa ; >
> Fig. 1. Schematic representation of a single family I of planar rock joints with unit
=
ha0 sa sb @pc normal nI , spacing dI and opening eI .
C ab ¼ dab þ ðb  n0 1Þ : 1 þ nsa 0 for a; b ¼ w; g
ja 3js @p > >
ffl{zfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflffl} |fflfflfflffl{zfflfflfflffl}b >
|fflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflffl >
>
>
>
¼: C cpab ¼: C sd ; the single-phase permeability tensor of the equivalent continuum
ab
is typically calculated according to the additive decomposition:
ð12Þ
nf
sat
X sat sat sat
with ka ¼ ka I where kaI ¼ kaI ð1  nI  nI Þ ð19Þ
I¼1
ds
s0a ðpc Þ :¼ a for a ¼ w; g: ð13Þ
dpc is the contribution due to the single discontinuity family I ¼ 1 . . . nf
of unit normal nI . If uniform values of spacing dI and opening eI are
The hyperelastic operators (12) are obtained by assuming the fol-
assumed for the discontinuities of the generic family I (Fig. 1), the
lowing approximated expression for average pore pressure rate:
scalar term appearing in Eq. (19) can be expressed as proposed in
X
_ f :¼
p_ f ’ p sa p_ a : ð14Þ [12]:
a¼w;g  3
sat sat dI ð1  r m Þ
The consideration of (12) in Eq. (5)1 yields the following approxi-
kaI ðenI Þ ¼ kaI0 1 þ enI ð20Þ
eI
mated rate form of stress decomposition (6):
X among other models based on the so-called ‘‘cubic law” of perme-
r_ ¼ Csk e_  b sa p_ a ; ð15Þ ability [13]. In (20), the dependence on solid skeleton strain through
a¼w;g the component enI :¼ e nI  nI normal to joint set I is regulated for the
which is coincident with stress decomposition proposed by Coussy case of isotropic mechanical response by the ratio r m :¼ Esk =Es be-
[3] generalized to the case of anisotropic solid skeleton and com- tween Young modulus Esk of rock mass solid skeleton and Es of solid
sat
pressible solid phase. phase, that is, of rock material. The initial value kaI0 can be calcu-
In both (10)3 and (12)3, we have denoted by C cp sd lated by means of the aforementioned cubic law:
ab and by C ab the
components of storage modulus due to compressibility of the three sat g e3I
phases and to changes in saturation degrees, respectively. kaI0 ¼ ; ð21Þ
12la dI
Finally, considering gravity acceleration g as the external mass
loading, a typical extension of Darcy law is used to express the flow where g and la are the magnitude of gravity acceleration and the
of both the fluid phases: viscosity of fluid a, respectively.

qa ¼ qa ka ðrpa  qa gÞ; ð16Þ

3. Finite element formulation
where ‘‘relative” permeability tensors [10,11]:
rel sat In the following, we present finite element methods for the res-
ka :¼ ka ka for a ¼ w; g ð17Þ
olution of governing equations recalled in previous sections. Iso-
rel
are defined in terms of relative permeability coefficients ka , mod- parametric interpolations are employed to approximate
eling interaction between fluid phases in terms of permeability displacements and pore pressures at a point x of a generic finite
sat
reduction with respect to tensor ka characterizing the single-phase element Xe :
seepage of fluid a. A possible characterization of (17) is illustrated ue ðxÞ ¼ Ne ðxÞde and pae ðxÞ ¼ Npe ðxÞpae for a ¼ w; g; ð22Þ
in the section that follows.
where Ne ðxÞ and Npe ðxÞ
are the shape functions used to interpolate
2.2.1. Permeability model nodal displacements de and nodal pore pressures pae , respectively.
A quite general constitutive assumption considers the relative Approximations of strain and pore pressure gradients are based
rel
permeability coefficients ka as functions of the corresponding sat-  e of a mixed B-bar type formulation [14] and
on strain operator B
sat
uration degrees sa and the single-phase permeability tensors ka as on a standard gradient operator Bpe :¼ rNpe , respectively, that is,
dependent on strain. In this case, relation (17) reads:
ee ¼ B e de and rpae ¼ Bpe pae for a ¼ w; g: ð23Þ
rel sat
ka ¼ ka ðsa Þka ðeÞ for a ¼ w; g ð18Þ
In view of (23)2, the finite element approximation of Darcy law (16)
rel
and the dependance of ka on primary variables e; pw and pg is reg- reads:
ulated by the assumed fluid retention model. qa ¼ ka qua with qua :¼ qa ðBpe pae  qa gÞ for a ¼ w; g: ð24Þ
A strong influence of strain on single-phase permeability ten-
sat
sors ka is frequently observed in intensely jointed rock masses An ordinary differential system is obtained by using interpolations
treated as equivalent continua. If a practically vanishing perme- (22–23) in the finite element discretization of weak forms of linear
ability of intact rock material is observed, the fluid flow can be as- momentum (1) and fluid mass balances (3). This system is written
sumed as occurring only in rock mass discontinuities. In these in residual algebraic form for the generic time step ½t n ; t nþ1 , with the
cases, in a rock mass characterized by nf families of planar joints, linear momentum balance equation calculated at time tnþ1 and rate
488 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501

R   9
equations of fluid-mass balances approximated by a backward Euler Ga ¼ Ae¼1
el n
BpT @ka
 qua B e dX; >
=
Xe @e
scheme. Denoting by Dt ¼ t nþ1  t n the time increment and omitting for a; b ¼ w; g; ð34Þ
n R @ka u p >
sub-index n þ 1 to simplify the notation, the coupled residual sys- Gab ¼ Ae¼1
el
Xe BpT
e @p qa Ne dX
;
b
tem reads:
8 ext nel R
respectively, where we have used the notation (24)2 and
T
< rm ¼ f  Ae¼1 Xe Be r dX ¼ 0;
>   ndim 
X  ndim
X @ðka Þij u
  @ka u @ka
ext nel R pT M a  M a;n
R  qa ¼ ðqua Þj ¼ ðqa Þj ð35Þ
>
: ra ¼ f a þ f a;c  Ae¼1 dX  Xe BpT @e @ e @ðeÞk
Xe Ne Dt e qa dX ¼ 0 ik j¼1 ijk j¼1

ð25Þ for i ¼ 1 . . . ndim and k ¼ 1 . . . ne , with ne the number of independent

ext ext
strain components.
with f and f a being the vectors of imposed external forces and
flows, respectively, and a ¼ w; g. In system (25), symbol A denotes 3.1. Time integration consistent tangents
the assembly of contributions of all the nel finite elements and vec-
tor f a;c arises from unilateral conditions on flow of fluid a prescribed Stress-term tangent operators appearing in matrices (29) and
at boundary portion @ c X  @ X. We refer to [7] for details on theo- (31)1 of finite element system (28) can be obtained as follows by
retical formulation and numerical treatment of these unilateral con- linearization of the continuum poro-elastic model:
ditions, including several application examples. In the numerical @r e @r
simulations presented in Sections 4.3 and 4.4, vector f a;c is evalu- ¼ C sk ¼ fa b for a ¼ w; g ð36Þ
@e @pa
ated by a penalty method, that is,
Z that is, from rate form (5)1 of hyperelastic relation for stress. On the
n
f a;c ¼ jAe¼1
el
NpT
e hg a i dA with @ c Xe :¼ @ c X \ @ Xe ; ð26Þ other hand, the fluid-term tangents appearing in matrices (30) and
@ c Xe
(31)2 must be consistent with the time integration scheme used to
where j is a penalty coefficient, g a :¼ pa  pa;max is a fluid pressure numerically solve the fluid-mass balance equation.Therefore, the
gap and we have denoted by hi the Macaulay operator returning computation of such operators requires linearization of the back-
the positive part of ðÞ. ward Euler scheme employed for time discretization of fluid-con-
Non-linear algebraic system (25) can be solved by a Newton– tent rate Eq. (5)2.
Raphson iterative procedure, where the increments As an example, we consider such a time integration for the sim-
DðÞ ¼ ðÞðkþ1Þ ðkÞ
nþ1  ðÞnþ1 of unknown nodal variables at t nþ1 , are evalu-
plified hyperelastic laws (5) and (12) based on strain-independent
ated at iteration ðk þ 1Þ by means of the following linearized form retention models sa ¼ sa ðpc Þ:
of system (25): Ma M a;n X
!ðkÞ ¼ þ sab : ðe  en Þ þ C ac ðpc  pc;n Þ for a ¼ w; g; ð37Þ
 ðkÞ X @ra qa qa
@ra c¼w;g
rðkÞ
a ¼ Dd  Dpc for a ¼ m; w; g: ð27Þ
@d c¼w;g @pc where storage modulus C ab are given by expression (12)3. In view of
scheme (37), the consideration of derivatives of retention law and
By application of the chain rule to differentiation of residuals (25),
porosity model (8) with respect to primary variables leads to the
using relations (22)–(24), it can be shown that linearized system
following consistent expressions for tangents appearing in matrices
(27) reads:
8 (31)2 and (30), respectively:
ðkÞ P ðkÞ 8
>
>
> rm ¼ KðkÞ Dd  Q mc Dpc ; > @M
T
< c¼w;g < @ ea ¼ qa sa þ s0a ðpc  pc;n Þ b ;
 ðkÞ  ðkÞ   for a; b ¼ w; g ð38Þ
> Q am P Sac >
: @M a ¼q  0 @pc @Ma
>
> rðkÞ
: a ¼  Ga Dd þ  Gac þ Ha dac þ Pa dac Dp c @pb a sa @p b : ðe  en Þ þ
b @pb
;
Dt c¼w;g Dt
C

ð28Þ where the tangent components defined as

! " #
@Ma X @C ac
for a ¼ w; g. System (28) is written in terms of global matrices of :¼ qa C ab þ ðpc  pc;n Þ for a; b ¼ w; g
stiffness K, storage Sab , fluid–mechanical coupling Q ma ; Q am and @pb c¼w;g @pb
C
permeability Ha , defined as: ð39Þ
Z
K¼A
nel  T @r B
B  e dX; ð29Þ are given in terms of the following derivatives of storage modulus
e¼1 e
Xe @e (12)3:
Z cp sd
nel @Ma p @C ac @C ac @C ac
Sab ¼ Ae¼1 NpT
e N dX for a; b ¼ w; g; ð30Þ ¼ þ ð40Þ
Xe @pb e @pb @pb @pb
nel R
9 8 cp
Q ma ¼ Ae¼1  T @r p =
Xe Be @pa Ne dX; >
> @C ac 1 0 @p
for a ¼ w; g ð31Þ >
> ¼ ðb  n0 1Þ : ðs sc þ sas0c Þ c ;
nel R > 3js a
Q am ¼ Ae¼1 Xe Ne @ e Be dX; ;
pT @Ma  < @pb @pb
Z with ð41Þ
>
> sd
nel > @C ac 1 0 @pc 00 @pc @pc
Ha ¼ Ae¼1 qa BpT p
e ka Be dX for a ¼ w; g; ð32Þ >
>
: @p ¼ ðb  n0 1Þ : 3j sa sb @p þ nsa @p @p :
Xe b s c b c
respectively. Matrices Pa are due to linearization of vectors f a;c
accounting for unilateral boundary conditions on fluid-flow To obtain (38)–(41), we have also used definitions (9),(13) and
problem: s00a :¼ d2sa =dp2c .
Z Consistent tangent operators (38)–(41) can be seen as an exten-
n
Pa ¼ jAe¼1
el
qa Hðg a ÞNpT p
e Ne dA for a ¼ w; g ð33Þ sion to the hydro-mechanically coupled case of the numerical
@ c Xe
treatment for unsaturated seepage in rigid porous media presented
with HðÞ denoting the standard Heaviside function. The remaining in [15], among others. As expected, the difference between the
operators appearing in (28) are obtained from permeability linear- consistent operators (38)–(41) and the following ‘‘continuum”
ization with respect to strain and fluid pressures, that is, tangents
 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501 489

@M a T @M a porosity model (8), the tangent coefficient expression (41)2 has to

¼ qa sa b ¼ qa C ab for a; b ¼ w; g ð42Þ
@e @pb be modified into the form:

obtained from rate form (5)2 of fluid-content hyperelastic relation, @C sd

ac @pc @pc 1 0 @pc
¼ ns00a þ ðb  n0 1Þ : s ½sb þ s0b ðpc  pc;n Þ: ð49Þ
vanishes as time step increment Dt approaches zero. @pb @pb @pc 3js a @pc
Furthermore, consistent (38)–(41) and continuum (42) tangents For the same reason, if we consider the aforementioned mass con-
are coincident for assumed constant saturation degrees, as it is the servative treatment of fluid mass content equation, we have:
case of porous media saturated by a single phase. On the other !
hand, differences between the two tangent operator sets are nor- @Ma
:
mally significant in the case of large variations of saturation de- @pb
h
grees, typically involving large absolute values of s0a . ( )
@pc 1
¼ qa 0
nsa þ ðb  n0 1Þ : 0
ðsa  sa;n Þ½sb þ sb ðpc  pc;n Þ
3.2. Mass-conservative scheme @pb 3js
ð50Þ
For numerical time integration of saturation degree rate by
means of a backward Euler scheme, expression s_ a is to be preferred instead of tangent coefficient (46).
to s0a p_ c considered in (37) for the case of classical retention models
sa ¼ sa ðpc Þ. In fact, time discretization of latter expression can lead 3.3. Permeability model linearization
to unacceptable errors in fluid mass balance, especially in the case
of strongly non-linear response, typically characterizing infiltra- If constitutive assumption (18) is considered for relative perme-
tion problems. ability ka , derivatives appearing in (34) read:
Therefore, following the same arguments presented in [16] for rel sat 9
the uncoupled case, we consider also the time integration of a @ka dka rel @ka >
¼ H a þ ka ;>
>
mixed form of fluid-content rate equation, obtained by substitut- @e dsa @e =
rel
for a; b ¼ w; g ð51Þ
ing the following relation in (5)2: @ka dka @sa sat >
>
X X ¼ k ; >
;
C ac p_ c ¼ C cp _ c þ ns_ a
ac p for a ¼ w; g; ð43Þ @pb dsa @pb a
c¼w;g c¼w;g
where the following notation has been used:
where we have used the notation introduced in (12)3 for the com-  
ponent C cp
ac of storage modulus. Therefore, backward-Euler time dis- sat @sa
ðHa Þijk :¼ ðka Þij for i; j ¼ 1 . . . ndim and k ¼ 1 . . . ne :
cretization of (43), that is, @e k
X   X  
C cp ð52Þ
C ac pc  pc;n ¼ ac pc  pc;n þ nðsa  sa;n Þ for a ¼ w; g
c¼w;g c¼w;g
For example, if classical strain-independent models sa ¼ sa ðpc Þ are
ð44Þ employed, derivatives (51) reduce to:
is substituted in (37) and the so-obtained integration scheme with sat
9
improved mass conservation properties can be considered to calcu-
@ka rel @ka >
>
¼ ka >
=
late the fluid-content term of residual (25)2. @e @e
rel for a; b ¼ w; g ð53Þ
The consistent linearization of such a time-discretized equation @ka dka 0 @pc sat > >
¼ sa ka >
;
employs the same arguments used to obtain (38)–(41) and leads to @pb dsa @pb
the following consistent expressions for tangents appearing in
where we have used definition (13).
matrices (31)2 and (30), respectively:
8 Furthermore, if model (19)–(20) is considered to characterize
> @M a T sat
>
> ¼ qa ð2sa  sa;n Þb ; the strain derivative of ka ðeÞ appearing in (53)1 and in view of
< @e ! ! (35) and (51)1, the operator (34)1 reads:
ð45Þ
>
> @M a 0 @pc T @M a @M a Z !
>
: @p ¼ q 
s
a a b ð e  en Þ þ þ ; nel
dka
rel nel
b @pb @pb cp
@pb Ga ¼ A BpT u 
Ha  qa Be dX þ A
C h e
e¼1 X
e
dsa e¼1
where " ! #
! " # Z nf
X @k sat
rel
@M a @pc 1  BpT
e ka aI
PI PTnI qua B e dX; ð54Þ
:¼ qa ns0a þ ðb  n0 1Þ : ðsa  sa;n Þsb ð46Þ Xe I¼1
@ enI
@pb @pb 3js
h
where we have introduced the notation PI :¼ 1  nI  nI and
and ð@Ma =@pb ÞCcp is obtained by setting C ab ¼ C cp
ab in (39) for PnI :¼ nI  nI .
a; b ¼ w; g, and by (41)1.
Remark 1. In numerical simulations presented in Section 4, a 4. Representative numerical simulations
general backward-Euler scheme, that is,
X The finite element methods presented in previous sections have
f ¼ p
p f ;n þ sc ðpc  pc;n Þ ð47Þ been implemented in code FEAP [17] over a mixed 3-noded trian-
c¼w;g
gle and over a mixed 8-noded brick for the resolution of plane and
is preferred to analytical time integration of the pore pressure term three-dimensional problems, respectively. Both the elements are
(14) appearing in stress-rate Eq. (5)1. From linearization of (47), we based on linear interpolations of displacements and pore pressures
obtain the operator: as well as on a constant interpolation of volumetric strain and
stress [14]. A standard Gauss quadrature rule is employed in eval-
@r f
@p
¼ b ¼ b½sa þ s0a ðpc  pc;n Þ; ð48Þ uating residual and tangent terms, considering three points for the
@pa @pa
triangle and eight points for the brick finite element.
which is implemented in matrix (31)1 as an alternative to the con- It can be observed that both the P1/P0 and Q1/P0 finite ele-
tinuum tangent (36)2. Moreover, considering expression (47) in ments do not satisfy the inf–sup condition, as it is also the case
490 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501

of coupled elements using the same order of shape functions for
displacements and pore pressures. In particular, the latter setting
is often indicated as a possible reason for spurious pressure oscil-
lations in space and time domain as the incompressible limit is ap-
proached [14,18–20]. However, in the coupled simulations
presented in sections that follow, we have not observed this type
of oscillatory solutions in nearly incompressible conditions due
to practically undrained loading. In this way, for the problem de-
scribed in Section 4.4, the aforementioned three-dimensional lin-
ear element provides a satisfying accuracy at acceptable
computational cost. We note that plane simulations presented in
Sections 4.1 and 4.3 have been also designed as a tool for the opti-
mal setting and the accuracy assessment of three-dimensional
analyses. To solve these problems, we have then used a plane finite
element with the same interpolation setting of the aforementioned
brick.
As regards the unilateral boundary conditions on fluid flow,
residual term (26) and the corresponding tangent operator (33)
are implemented over a 2-noded line element and over a 4-noded
quadrilateral element, which are connected at boundary @ c Xe to
the aforementioned triangles and bricks, respectively.To avoid an
oscillatory pore pressure profile at such boundaries, a Newton-
Cotes/Lobatto quadrature rule is employed with two points in
the line element and four points in the quadrilateral element [7].
The convergence of Newton–Raphson procedure is assessed by
the energy criterion:
T
X exception of the column base, which is assumed to be pervious
Eðkþ1Þ :¼ Dd rðkþ1Þ
m þ DpTc rðkþ1Þ
c < tol  Eð1Þ
c¼w;g
for the tolerance value tol ¼ 1  1016 .
With the exception of the infiltration problem presented in Sec-
tion 4.2, where pore liquid is assumed as incompressible, values of
density and bulk stiffness typical of water are set for the liquid
phase, that is, qw ¼ 1000 kg=m3 and jw ¼ 2:0 GPa. In all the numer-
ical simulations, mass forces due to gravity are applied and an iso-
tropic response of the solid skeleton is assumed, with a linear
elastic part. Expression (7) of the coupling tensor b then reads:
jsk
b ¼ b1 for b :¼ 1 
js
with jsk the volumetric stiffness modulus of the solid skeleton. In
above the water table, as in those cases where capillary pressures
affect the irreversible response [23,24].
4.1. Desaturation of a sand column
In this section, we present the numerical simulation of the
drainage test performed by Liakopoulos [4] and considered by sev-
eral authors [22,25,26] to validate their numerical formulations. In
the preliminary phase of the original experimental test, a fully sat-
urated vertical sand column, 1:00 m high and laterally constrained
by rigid and impervious walls, was continuously supplied with
water from the top and free drainage was allowed at the bottom.
The descending flow was regulated until zero water pressures were
measured throughout the column. Then, after instantaneous inter-
ruption of inflow at the top of the column, water outflow at column
base and water pressures at different elevations were measured.
Consistently with this experimental procedure, we apply the
boundary conditions on displacements and pore pressures illus-
trated in Fig. 2a,b. In particular, to reproduce the initial experimen-
tal conditions, we impose a homogeneous field pw0 ¼ 0 in the
whole column for t < 0 (Fig. 2a).
In the considered coupled setting, displacements are induced by
the gravity action and by the assigned initial pore pressure distri-
bution. These displacements are set to zero and the calculated
stress state is assumed as the initial one. The imposition of zero
pore pressures in the whole domain is relaxed at t ¼ 0, with the
ð55Þ (Fig. 2b).
The column is discretized with 2  4  40 triangular finite ele-
ments (Fig. 2c). For the ‘‘Del Monte” sand used in the test, we em-
ploy the hydraulic properties listed in Table 1 and the following
a) t<0 b) t 0 c) mesh
impervious
ð56Þ
homogeneous
pw0 = 0
impervious

impervious

simulations presented in Sections 4.1 and 4.3, we consider also an 1.00 m

isotropic permeability, that is, the following form for (18): g g
rel sat
ka ¼ ka ðsa Þka 1 for a ¼ w; g; ð57Þ
where a constant value is assumed for the scalar single-phase per-
sat
meability ka .
On the contrary, in three-dimensional analyses of dam-founda-
sat
tion interaction (Section 4.4), the single-phase permeability ka of
jointed rock mass is modeled by the strain-dependent and aniso-
tropic laws described in Section 2.2.1.
The saturation degrees are considered as uniquely dependent pervious 0.10 m
on capillary pressure, thus employing the corresponding particular ( pw = 0 )
forms of tangent operators and residuals presented in Sections 3.1
and 3.2. An extension of these operators to the more general case Fig. 2. Desaturation of a sand column: configuration of the problem with assumed
boundary conditions (a and b) and finite element discretization (c).
(5) and (10) accounting for strain-dependent retention behaviour
can be devised. However, practical applications of such an exten-
sion require the availability of models sa ¼ sa ðnpc Þ validated by
Table 1
experimental data. Material parameters employed to simulate the desaturation of a sand column.
A constant atmospheric value is assumed for the gas pressure,
Porous solid density q 1700 kg/m3
that is, pg ¼ 0. This simplifying assumption is acceptable in many
Drained Young modulus Esk 1300 kPa
situations of interest and avoids problems encountered with Drained Poisson coefficient msk 0.4
three-phase formulations in simulating the transition from full to Biot coefficient b 1.0
partial saturation conditions [21,22]. On the other hand, also the Solid phase volumetric stiffness js 1000 GPa
sat
Single-phase permeability kw 4:5  107 m2 =ðkPa sÞ
mass balance equation of the gaseous phase has to be taken into
Initial porosity n0 0.2975
account if an accurate evaluation of capillary pressures is required
 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501 491

a 6.0
b 1.0
t = 1200 s

base flow (10-6 m/s)

5.0 t = 600 s
0.8

elevation (m)
calculated solution
4.0 experimental data t = 1800 s
0.6
3.0
0.4 calculated
2.0 solution

0.2 experimental
1.0 data

0.0 0.0
0 1500 3000 4500 6000 7500 -8.0 -6.0 -4.0 -2.0 0.0
time (s) pore water pressure (kPa)
Fig. 3. Desaturation of a sand column. Comparison between measured data [4] and numerical results: (a) volumetric flow at column base; (b) pore pressures along the
column.

a b t = 7200 s
0.0 1.0
t = 1200 s t = 300 s
displacement (mm)

-0.4 0.8 t = 7200 s

elevation (m)
-0.8 0.6
variably saturated
-1.2 0.4

-1.6 saturated 0.2

-2.0 0.0
0 1600 3200 4800 6400 -1.6 -1.2 -0.8 -0.4 0.0
time (s) displacement (mm)
Fig. 4. Desaturation of a sand column: (a) settlement evolutions calculated at column top for variably saturated and fully saturated conditions; (b) settlement distributions
along the column for the variably saturated case.

relations proposed in [4] to model water retention and relative consistent tangents lead to significant improvements in the con-
permeability, respectively: vergence rate of adopted Newton–Raphson procedure, namely a
( reduction up to 33% in terms of total iteration number. As ex-
sw ðpc Þ ¼ 1  1:9722  1011 p2:4279 ;
c
ð58Þ pected, this difference between the two obtained convergence
rel
kw ðsw Þ ¼ 1  2:207ð1  sw Þ1:0121 rates decreases with time-step size. For example, reducing by 10

for sw > 0:91 and pc P 0. The mechanical parameters listed in Table

1 are suggested in [22].
In spite of the simplifying assumption of zero gas pressure, the
a) t<0 b) t 0 c) mesh
obtained numerical results are in good agreement with available pervious
experimental data, both in terms of water flow at column base ( pw = -7.5 kPa)
(Fig. 3a) and of pore pressure distribution along the column
(Fig. 3b).
Settlements induced by the desaturation process are reported in
terms of time evolution at column top (Fig. 4a) and of distributions
calculated along the column (Fig. 4b). The comparison illustrated
in Fig. 4a shows that a completely different displacement evolution
impervious

impervious

homogeneous
0.30 m

is obtained under the unrealistic assumption of a fully water-satu-

rated column. pw0 = -100 kPa g g
Numerical simulations have been repeated by employing both
the continuum tangents (362), (42) and the time integration con-
sistent operators (38–41,48). With respect to former operators,

Table 2
Material parameters employed to simulate the water infiltration problem.
sat
Single-phase permeability kw 0:922  105 m2 =ðkPa sÞ
van Genuchten parameter av g 0:335 kPa
1 pervious
van Genuchten parameter nv g 2.01
( pw = -100 kPa) 0.03 m
Residual saturation degree sres
w 0.277
Porosity n0 0.368 Fig. 5. Infiltration problem: configuration of the problem with assumed initial
setting (a), boundary conditions (b) and finite element discretization (c).
492 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501

a b t = 21600 s
t = 21600 s 0.30
0.30
t = 1000 s
t = 1000 s 0.25
0.25
t = 2160 s

elevation (m)
t = 2160 s 0.20
elevation(m) 0.20

0.15 t = 10800 s
0.15
t = 10800 s
0.10 0.10
t = 21600 s
t = 21600 s
0.05 0.05
semi-analytical solution
0.00 0.00
0 -20 -40 -60 -80 -100 0.30 0.35 0.40 0.45 0.50 0.55
pore water pressure (kPa) water saturation degree
Fig. 6. Infiltration problem: (a) calculated pore pressure distributions at different time instants and semi-analytical solution [5] at t ¼ 21600 s; (b) calculated profiles of
saturation degree.

0.09
semi-analytical solution
elevation (m)

0.07 coarse mesh & large t

coarse mesh & large t

mass conservative scheme
0.05
fine mesh & small t
t = 21600 s
0.03 fine mesh & small t
mass conservative scheme
0 -20 -40 -60 -80 -100
pore water pressure (kPa)
Fig. 7. Infiltration problem. Detail of water pressure distributions near the pressure front at t ¼ 21600 s. Results obtained by means of the pore pressure and the mixed mass-
conservative schemes for different discretizations in time and space.

the size of time steps, a 19% difference is observed in terms of total Table 3
Rock mass parameters used in the analysis of reservoir bank (Section 4.3) and of 3D
iteration number.
dam-foundation system (Section 4.4).

4.2. Pressure-driven infiltration problem Porous solid density q 2600 kg/m3

Drained Young modulus Esk 4.7 GPa
Drained Poisson coefficient msk 0.15
As a severe test for the fluid-flow part of the numerical formu- Biot coefficient b 0.93
lation, we consider the infiltration problem investigated by Philip Solid phase volumetric stiffness js 36 GPa
sat
[5], who obtained a semi-analytical solution assuming as rigid Single-phase permeability kw 7  108 m2 =ðkPa sÞ
the solid skeleton as well as the solid and the liquid phases. In view van Genuchten parameter av g 0.1 kPa1
van Genuchten parameter nv g 2.2
of the strongly non-linear character of infiltration problems, the
Residual saturation degree sres
w 0.01
Philip’s solution has been used by several authors to validate their Initial porosity n0 0.02
one-dimensional finite element implementations of Richards equa-

a) t < 0: full reservoir pw0 = 0 tn0 = - w (H - z)n pw0 = (H - z)

w

H z

b) t 0: empty reservoir pw 0
impervious
qwn := qw n 0
120 m

pw qwn = 0
pw = 0
240 m

impervious impervious
impervious

800 m 240 m 300 m

Fig. 8. Reservoir bank response to rapid drawdown. Problem domain with assumed boundary conditions. To simulate drawdown effects, conditions on top boundaries
(horizontal and sloping bank surfaces, reservoir bottom) are changed at t ¼ 0 from (a) to (b).
 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501 493

8 24 40 t ¼ 0 the prescribed field pw0 is relaxed and the constant water

pressures 7:5 kPa and 100 kPa are imposed at the top and at
4 4 4
the base of the column, respectively. We use time-step sizes com-
2 2 2 parable to those employed by other researchers [15,16], that is,
1000 steps with Dt ¼ 1 s followed by steps with Dt ¼ 10 s.
In Fig. 6a, we observe that numerical results are in very good
agreement with Philip’s solution for the propagation of waterpres-
sure front.The simulated saturation process is shown in Fig. 6b,
“medium”

4 4 6 8 6 “coarse”
“coarse”

illustrating the distributions of saturation degree obtained at dif-

“fine”

5 6 8 24 6 “medium”
10 12 16 40 6 “fine”
ferent time instants.
Oscillations observed in water pressure profiles have been elim-
Fig. 9. Reservoir bank response to rapid drawdown. Number of vertical and inated by lumping the storage matrix, thus indicating these insta-
horizontal divisions defining the three finite element meshes used in simulations. bilities as a consequence of maximum principle violation,
characterizing finite-element solutions of transient problems ob-
tained by finite-difference integration in small time steps [28].
tion [15,16]. The same uncoupled setting is then considered in the Calculations have been repeated by using time discretizations of
numerical simulations presented in this section. So, storage modu- pore pressure rate (37) and of the mixed forms of fluid-mass bal-
lus (12)3 reduces to component C sd
ab with constant porosity. ance presented in Section 3.2. For given mesh refinement and
To model water retention and relative permeability, we employ time-step size, the solutions obtained with the mass-conservative
relations proposed by van Genuchten [27] for pc P 0: approach are significantly more accurate than those calculated
8 with the former scheme. This result is shown in terms of pore pres-
< sw ðpc Þ ¼ sres  res
w þ Sw ðpc Þð1  sw Þ;
h   m i2 ð59Þ sure distributions in Fig. 7, by comparing the semi-analytical solu-
: krel ðsw Þ ¼ S1=2 1  1  S1=mv g v g ; tion with numerical results obtained for different meshes
w w w
(2  6  60 and 2  2  20 elements) and different time discretiza-
respectively, with: tions (the aforementioned time stepping and a ten times larger
 mv g one).
Sw ðp Þ ¼ 1
c and mv g ¼ 1  1=nv g : ð60Þ
1 þ ðav g pc Þnv g 4.3. Effects of rapid drawdown on a reservoir bank

The employed values for residual saturation degree sres w , van In this section, we present the analysis of a dam engineering
Genuchten constants av g ; nv g and other material parameters are problem, namely the evaluation of the hydro-mechanical response
those assumed in [15] and reported in Table 2. of a reservoir bank to rapid drawdown. The proposed finite ele-
The problem domain geometry and its discretization in ment method is applied assuming again plane conditions for strain
2  6  60 triangular finite elements is illustrated in Fig. 5c. As and flow. As shown in Fig. 8a, the reservoir is full in the reference
the initial condition, the homogeneous water pressure field configuration, with the water level coincident with the bank top
pw0 ¼ 100 kPa is imposed in the whole domain for t < 0 surface. In this initial configuration, displacements are set to zero
(Fig. 5a), thus obtaining from (59)1 an initial saturation degree after the attainment of the steady states of stress and pore pressure
(sw0 ¼ 0:298) close to the residual one. As depicted in Fig. 5b, at equilibrating gravity and the initial boundary conditions pw0 ; tn0

a
2
PERM. (m /kPa s)

1.04E–11
1.00E–08
2.00E–08
3.00E–08
4.00E–08
5.00E–08
6.00E–08
7.00E-08
Current View
Min = 1.04E-11
X =-2.66E-14
Y = 1.20E+02
Max = 7.00E-08
X =-1.50E+02
Y = 3.50E+01

b H.HEAD.(m)

0.00E+00
1.65E+01
3.30E+01
4.95E+01
6.60E+01
8.25E+01
9.90E+01
1.16E+02
Current View
Min = 0.00E+00
X = 2.40E+02
Y = 0.00E+00
Max = 1.16E+02
X =–8.00E+02
Y = 1.20E+02

Fig. 10. Reservoir bank response to rapid drawdown. Distributions of water permeability (a) and piezometric head (b) calculated at t ¼ 200 days with the medium mesh.
494 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501

a SAT.DEGREE

1.67E–01
2.86E–01
4.05E–01
5.24E–01
6.43E–01
7.62E–01
8.81E–01
1.00E+00
Current View
Min = 1.67E–01
X =–2.66E–14
Y = 1.20E+02
Max = 1.00E+00
X = 2.40E+02
Y = 0.00E+00

b SAT.DEGREE

1.55E-01
2.76E-01
3.97E-01
5.17E-01
6.38E-01
7.59E-01
8.79E-01
1.00E+00
Current View
Min = 1.55E-01
X = 7.26E-03
Y = 1.20E+02
Max = 1.00E+00
X = 2.40E+02
Y =-2.38E-03

Fig. 11. Reservoir bank response to rapid drawdown. Distributions of saturation degree calculated at t ¼ 200 days with medium (a) and fine (b) meshes.

a C.PRESS.(kPa)

0.00E+00
7.23E+00
1.45E+01
2.17E+01
2.89E+01
3.62E+01
4.34E+01
5.06E+01
Current View
Min = 0.00E+00
X = 2.40E+02
Y = 0.00E+00
Max = 5.06E+01
X =–2.66E–14
Y = 1.20E+02

b C.PRESS.(kPa)
0.00E+00
7.61E+00
1.52E+01
2.28E+01
3.04E+01
3.81E+01
4.57E+01
5.33E+01
Current View
Min = 0.00E+00
X = 2.40E+02
Y =–2.38E–03
Max = 5.33E+01
X = 7.26E–03
Y = 1.20E+02

Fig. 12. Reservoir bank response to rapid drawdown. Distributions of positive part of capillary pressure calculated at t ¼ 200 days with medium (a) and fine (b) meshes.

illustrated in the same figure. To simulate a rapid reservoir
drawdown, at t ¼ 0 we instantaneously change the boundary con-
ditions to those illustrated in Fig. 8b, including zero boundary trac-
tions, impervious bank top surface and pervious reservoir bottom.
After reservoir drawdown, the bank sloping boundary is inter-
sected by the phreatic surface (i.e. the locus of pw ¼ 0 points).
Therefore, unilateral constraints are imposed on flow to simulate
the two different boundary conditions to be assigned above and
below such a surface, that is, impervious and pervious,
respectively.
According to the Rock Mass Rating (RMR89 ) classification [29],
the adopted material parameters can be considered as representa-
tive of a ‘‘poor-quality” (class IV) diorite rock mass. In particular,
RMR89 ¼ 27 is obtained by summing the five partial rates Ri corre-
sponding to: rc ¼ 100 MPa for the uniaxial compression strength
of intact diorite (R1 ¼ 9); RQD ¼ 30% for the Rock Quality Designa-
tion index (R2 ¼ 7); discontinuities spaced by 15 cm (R3 ¼ 6) and
characterized by very high persistence, aperture < 1 mm, slicken-
sided and highly weathered surfaces (R4 ¼ 5); rock mass below
the phreatic surface (R5 ¼ 0).
 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501 495

a 120 fine mesh b 120

medium mesh
T
B
100 coarse mesh 100

elevation (m)
elevation (m)
80 80
t = 200 days
60 60

40 T t = 200 days 40
fine mesh
20 C 20 medium mesh
coarse mesh

0 0
0 50 100 150 200 250 0.00 -0.01 -0.02 -0.03 -0.04
capillary pressure (kPa) vertical displacement (m)
Fig. 13. Reservoir bank response to rapid drawdown. Results calculated at t ¼ 200 days with the three considered meshes in terms of: (a) distribution of positive part of
capillary pressure along vertical CT; (b) settlement distribution along sloping surface BT.

with slickensided and highly weathered surfaces. The rock mass

Young modulus Esk reported in Table 3 is then evaluated by means
of the GSI-based empirical relation proposed in [32], assuming
Es ¼ 36:5 GPa for the Young modulus of intact diorite, which in
turn corresponds to a ‘‘medium modulus ratio” [33], that is,
MR :¼ Es =rc ¼ 365. Therefore, js ¼ 36 GPa and b ¼ 0:93 are ob-
tained by setting ms ¼ 0:30 for the Poisson coefficient of intact dio-
rite and by expression (56), respectively. The constants of van
Genuchten models (59) reported in Table 3 are suggested in [34]
to model unsaturated seepage in rock masses with joint spacing
and opening similar to those assumed herein.
We note that adopted values of permeability and van Genuch-
ten constants can lead to very narrow capillary fringes, that is,
low values of saturation degree can be calculated immediately
above the phreatic surface. In other words, localized gradients
are to be expected in both the saturation degree and the relative
Fig. 14. Reservoir bank response to rapid drawdown. Time evolution of pore permeability distributions above the phreatic surface, especially
pressures calculated at point P with the three considered meshes. The pore pressure
in the latter field because of assumed model (59)2. The presence
evolution in the two days immediately subsequent to drawdown is magnified in the
shadowed area. of such non-smooth solutions makes the considered problem set-
ting a severe test for the proposed formulation, since the finite ele-
ment characteristic size required to effectively capture the
The rock mass can be classified also in terms of Geologi- aforementioned localized fields can be very small compared to
cal Strength Index (GSI) [30] by means of correlation problem dimension. To investigate this issue, computations have
GSI ¼ RMRdry dry
89  5 ¼ 37, where RMR89 ¼ 42 is the RMR89 value for been repeated for the three different spatial discretizations illus-
the dry rock mass. Similar GSI values are also obtained by using trated in Fig. 9 and denoted in the following as ‘‘coarse”, ‘‘medium”
the tables reported in [31], for the case of three major joint sets and ‘‘fine” meshes, respectively.

a b
0.03 0.03
T
horizontal displacement (m)

I
vertical displacement (m)

0.01 0.01
B
0.00 B 0.00
I B
-0.01 T -0.01

-0.03 + -0.03 I
T
-0.04
I -0.04
B T
-0.06 -0.06
0 750 1500 2250 0 750 1500 2250
time (days) time (days)
Fig. 15. Reservoir bank response to rapid drawdown. Time evolution of horizontal (a) and vertical (b) displacements at points B; I; T on the bank sloping surface obtained with
the medium mesh.
496 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501

H.DISP.(m)
a 0.00E+00
2.06E–03
4.11E–03
6.17E–03
8.22E–03
1.03E–02
1.23E–02
1.44E–02
Current View
Min = 0.00E+00
X =–1.50E+02
Y =–2.40E+02

Max = 1.44E–02
X = 8.72E+01
Y =–3.89E+01

b V.DISP.(m)
–3.95E–02
–3.36E–02
–2.77E–02
–2.17E–02
–1.58E–02
–9.88E–03
–3.94E–03
1.99E–03
Current View
Min = –3.95E–02
X =–8.81E+01
Y = 1.00E+02

Max = 1.99E–03
X = 4.42E+02
Y = 9.96E–01

Fig. 16. Reservoir bank response to rapid drawdown. Distributions of horizontal (a) and vertical (b) displacements reported on deformed mesh with outline of the
undeformed mesh (displacement amplification factor = 500). Results calculated at t ¼ 200 days with the medium mesh.

As expected, a localized gradient of permeability is calculated at
the phreatic surface (Fig. 10a) and the corresponding flow field is
practically discontinuous across this surface, as shown by distribu-
tion of piezometric head h :¼ z þ pw =ðqw gÞ (Fig. 10b). From such a
field, it can be inferred that seepage is vertically descendent above
the phreatic surface and oriented towards the reservoir in the rest
of the bank.
In spite of some slight oscillations in the neighborhood of the
phreatic surface, results calculated with the medium and the fine
We note again that oscillations in pore pressure profiles ob-
served for the coarse mesh are located in the unsaturated region
above the phreatic line (Fig. 13a), thus showing that they are a con-
sequence of expected difficulties in the interpolation of practically
a Upstream bank above the water lev.: impervious unilateral
B - impervious for filling
- unilateral for drawdown
115 m

meshes are practically coincident, as shown by saturation degree z

field in Fig. 11, capillary pressure distributions in Figs. 12 – 13a hw
and pore pressure evolution in Fig. 14.
On the contrary, the coarse discretization show difficulties in Upstream bank and reservoir hd= 42 m
capturing the capillary pressure distribution (Fig. 13a) and the cor-
bottom below the water lev.: pw = 0
pw = w(hw - z)
responding accuracy loss in pore pressure evolution appears as the
250 m

tn = - pw = - z
w (hw - z)n
w
given point is reached by the moving phreatic surface (Fig. 14).
impervious
However, as shown in Fig. 13b, no significant difference is apparent
between the displacement fields calculated with the three different
meshes. To explain this latter result, it can be observed that the dif- B 355 m 81 m 355 m
ferences between capillary pressure profiles above the phreatic sur-
face (Fig. 13a) are negligible with respect to pore pressure changes
calculated in the whole domain. Furthermore, in view of employed b Upstream bank above the water lev.:
- impervious for filling
- unilateral for drawdown A
stress decomposition (15), the coupled effects of capillary pressure
115 m

are significantly reduced by the low values of saturation degree cal-

impervious z
culated immediately above the phreatic surface (Fig. 11). More sig-
nificant effects of inaccurate computation of capillary pressure on
displacements could be expected in the case of capillary-pressure Upstream bank and reservoir
bottom below the water lev.:
dependent elasto-plastic models, as those considered in [35]. pw = (hw - z)
w
In the initial response to instantaneous drawdown, horizontal
250 m

tn = - w (hw - z)n
displacements of sloping bank surface are oriented towards the
impervious
reservoir (Fig. 15a) and some heaving of the bottom of the lake is
observed ( 0:5 cm at point B in Fig. 15b). Such effects of the un-
drained removal of water surface loads (tn0 in Fig. 8) are then 270 m 230 m 150 m
A
immediately followed by opposite displacement increments
(Fig. 15) due to progressive decrease of pore pressures and to seep- Fig. 17. Three-dimensional simulation of dam operation. Problem domain with
age driving forces under the phreatic surface. The displacement assumed boundary conditions: (a) section A-A (transversal to dam); (b) section B-B
field calculated after 200 days is illustrated in Fig. 16. (parallel to dam longitudinal axis).
 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501
a b
7m
max wat. lev.
11 m
0.7
113 m
115 m
1
grout curtain pw= - w z
42 m
drainage holes
2m 79 m
Fig. 18. Three-dimensional simulation of dam operation: (a) detail of dam geometry, grout curtain and drainage system; (b) view of F.E. mesh after removal of elements
located upstream of dam.
discontinuous distributions of saturation degree and permeability.
On the contrary, in spite of the adoption of the same interpolations
for displacements and pore pressures, we have verified that in the
almost undrained response to rapid drawdown, pore pressure
oscillations do not appear in space nor in time, for all the consid-
ered meshes (see the magnified detail of pw evolution in Fig. 14).
4.4. Three-dimensional effects of reservoir operation on dam-
foundation system
In this section, we present the simulation of three-dimensional
effects of reservoir filling and drawdown on a concrete gravity
dam, taking into account the hydro-mechanical interaction with
foundation and abutments.
We consider the same diorite rock mass described in Section 4.3
and the corresponding parameters reported in Table 3. In addition,
the numerical implementation of relations (19) and (20) described
in Section 3.3 is now applied to account for permeability changes
induced by joint opening variations. To characterize such a model,
we assume three joint sets, whose relative orientations with re-
spect to dam body are those illustrated in [36] for Albigna dam.
A unique spacing and opening is assumed for all the joint sets, that
is, dI ¼ 15 cm and eI ¼ 0:05 mm for I ¼ 1; 2; 3. In view of this set-
ting and of water viscosity lw ¼ 1:0  106 kPa s, the cubic law
sat
(21) yields kwI0 ¼ 7  108 m2 =ðkPa sÞ for the initial single-phase
permeability contributions due to joint families I ¼ 1; 2; 3. To com-
plete the characterization of the strain-dependent permeability
model (20), the approximation r m ’ 1  b is used.
With respect to simulations presented in previous section, here
we account also for an elasto-plastic response of the rock mass so-
lid skeleton, assuming the yield criterion and the plastic potential
as fully characterized by the Biot ‘‘effective” stress r0 . For space
reasons, we refer to [37] for details on this simple elasto-plastic
extension of hyperelastic laws presented in [1]. For the problem
at hand, we employ a Drucker–Prager form for the aforementioned
yield and plastic potential functions, defined by yield stress
ry ¼ 5:6 MPa, pressure coefficient bu ¼ 1:44 and dilatancy coeffi-
cient bw ¼ 0:43. No hardening is assumed and these parameter val-
ues are given by well-known relations
rffiffiffi
6c cos u 2 6 sinðÞ
ry ¼ bðÞ ¼ ð61Þ
3  sin u 3 3  sinðÞ
in terms of cohesion c ¼ 3:0 MPa, friction angle u ¼ 43
and dilat- herein with significantly minor computational cost. Also the piezo-
ancy angle w ¼ 14
. These Mohr–Coulomb parameter values are metric head fields evaluated with a relatively coarse mesh are
497
grout curtain
obtained, in turn, by interpolating the non-linear GSI-based Hoek–
Brown criterion [38] modeling the rock mass described in previous
section, where we have also set mi ¼ 25 for the strength parameter
of intact diorite. In particular, we have employed the interpolation
procedure suggested in [38] by setting 10 MPa for the maximum va-
lue of minimum principal stress. Empirical relation w ¼ u=3 is con-
sidered for the dilatancy angle. A closest-point projection return
mapping algorithm is employed to integrate the elasto-plastic
model.
The dam body concrete is assumed as practically dry during res-
ervoir operation. It is thus modeled as a non-porous elastic mate-
rial, with Young modulus Ec ¼ 25 GPa and Poisson coefficient
mc ¼ 0:20.
The geometry of the considered domain and the imposed
boundary conditions in terms of displacements, pore pressures,
surface tractions are illustrated in Figs. 17 and 18. About 3100
brick elements are used to discretize the problem domain (e.g.
see Fig. 19). Quadrilateral finite elements are employed to apply
unilateral boundary conditions ensuring an effective simulation
of fluid flow through bank surfaces during reservoir operation. As
shown in Fig. 18, a typical grout curtain is modelled at dam foun-
dation and abutments by setting a reduced and constant rock mass
sat
permeability (0:01kwI0 ). Downstream of the curtain, a line of drain-
age holes is simulated in foundation by imposing the hydrostatic
pore pressure distribution depicted in Fig. 18a.
In the initial configuration, the water table is set at reservoir
bottom elevation. A maximum value of 100 kPa is set for initial
capillary pressures, thus imposing pw0 P 100 kPa for the refer-
ence water pressure in the banks. Initial displacements are set to
zero after the attainment of steady states of stress and pore pres-
sure equilibrating gravity and initial boundary conditions.
At t ¼ 0, finite elements of dam body are instantaneously acti-
vated. After 24 days, the constant rate 3.0 m/day is assumed for
reservoir filling and drawdown (Fig. 21a). Reservoir operations
are simulated by progressive activation/deactivation of boundary
pore pressures and tractions (Fig. 17) corresponding to 8 equal
increments (14 m) of the water level.
We note again that assumed hydraulic parameters lead to con-
centration of saturation degree gradient at the phreatic surface
(Fig. 19) and that the consideration of finer meshes could eliminate
some oscillatory pore pressure profiles above the water table.
However, as shown in previous section, these meshes would yield
displacement fields practically coincident with those calculated
498 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501

Fig. 19. Three-dimensional simulation of dam operation. Deformed meshes with saturation degree distributions at: (a) 24 days after the end of dam construction; (b) end of
reservoir filling; (c) end of reservoir drawdown; (d) 100 days after the end of reservoir drawdown (displacement amplification factor = 700).

quite accurate (Fig. 20), consistently with the two-dimensional re- nent due to consolidation. On the other hand, fluid-coupling
sults presented in previous section. effects are relevant at early stages of reservoir filling, at last
As illustrated in Fig. 21a, settlements induced by dam con- stages of drawdown and in the post-drawdown period. For
struction are practically instantaneous, with a negligible compo- example, the post-construction settlement value is practi-
 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501 499

Fig. 20. Three-dimensional simulation of dam operation. Piezometric head distributions at: (a) 24 days after the end of dam construction; (b) end of reservoir filling.

a b

Fig. 21. Three-dimensional simulation of dam operation: (a) evolution of vertical displacements at the dam base (point A of section A-A, see also Fig. 17); (b) difference
between the vertical displacements of heel (point M) and toe (point V) versus the reservoir level.

cally recovered about 100 days after the end of reservoir
drawdown.
Fig. 21b shows that upstream oriented increments of dam rota-
tion are calculated during construction and initial stages of filling,
due to predominant effects of dam weight and seepage forces in
foundation rock mass. For increasing reservoir level, the major role
is played by water load on dam upstream face and by uplift pres-
sures at foundation, inducing downstream oriented rotation incre-
ments. This evolution of dam response to reservoir operation is
consistent with typical monitoring data [39], and it is also shown
in terms of deformed mesh in Fig. 19 and of horizontal displace-
ments at dam crest in Fig. 22. In Fig. 22b, we also remark the
restraining action of abutments on dam deformations.
Downstream of the dam, both in abutments and river valley
bottom, the distributions of saturation degree and piezometric
head calculated after construction (Figs. 19a and 20a) can be com-
pared to those obtained at the end of reservoir filling (Figs. 19b and
20b), thus showing the effects of grout curtain and drainage holes
500 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501

a b

Fig. 22. Three-dimensional simulation of dam operation. Horizontal displacements normal to dam longitudinal axis: (a) evolution at point B of dam crest (section A-A in
Fig. 17); (b) distributions along the dam crest.

a b

Fig. 23. Three-dimensional simulation of dam operation: a) pore pressure distribution at dam foundation (section A-A in Fig. 17) at the end of reservoir filling; (b) discharges
versus reservoir level.

on water-flow regime. Fig. 23a illustrates the calculated reduction
of uplift pressures at dam base due to drainage holes, consistently
with a number of field observations.
For increasing reservoir level, an increasing discharge rate is
calculated with the proposed formulation accounting for a strain-
dependent permeability (Fig. 23b). This result is in qualitative agree-
ment with data registered at several concrete gravity dams [40,41]
and can be contrasted with the unrealistic linear response obtained
by assuming a constant permeability for the rock mass [6].
Finally, we observe that the stress field calculated in dam body
indicates as adequate the assumption of a linear elastic response
for concrete. However, the calculation of some small unrealistic ten-
sile stresses, localized at the connection between dam crest and
abutments, could be eliminated by considering a more realistic evo-
lution of dam construction. For example, the simulation procedure
employed in [6] could be extended to the three-dimensional case,
eventually considering the presence of vertical contraction joints.
5. Concluding remarks
Numerical results presented in previous sections show that
some available experimental data, analytical solutions and typi-
cally observed dam behaviours can be effectively reproduced with
the finite element methods proposed in this paper.
It is also verified that with respect to continuum tangents, oper-
ators consistent with the backward Euler scheme used for time
integration of coupled fluid-content rate equation lead to consider-
able improvements in the Newton–Raphson convergence rate.
Furthermore, for given discretizations in space and time, a
mixed form of fluid-mass balance ensuring an improved mass con-
servation leads to solutions significantly more accurate than those
calculated with a fluid-pressure based scheme. In this way, for the
coupled quasi-static problems considered in this work, the back-
ward Euler scheme has proven to ensure satisfying accuracy and
stability at limited computational cost. However, the proposed for-
mulation could be improved by considering more effective time
integration procedures. For example, future extensions to non-lin-
ear dynamics could be based on recently presented schemes con-
serving energy and momentum [42].
In the analysis of dam engineering problems, to model perme-
ability and to characterize the solid skeleton parameters of the
continuum equivalent to the rock mass, we have taken into ac-
count the diffuse presence of pre-existing discontinuities of geo-
logical origin (tectonic fractures, bedding planes). However, the
 C. Callari, A. Abati / Computers and Structures 87 (2009) 485–501
hydro-mechanical response of the dam-foundation system is also
influenced by rock-concrete interface at dam base, pre-existing
discontinuities in concrete (construction joints) and eventual
new discontinuities in rock and concrete, due to cracking and
shearing during dam construction and operation.
As regards the latter kind of discontinuities, we refer to [37,43–
45] for a multi-scale analysis and numerical treatment of shear-in-
duced discontinuities in fully and partially saturated poro-plastic
solids. In particular, the finite element methods presented herein
are employed for the numerical formulation of the large-scale
problem in [37].
Acknowledgements
This research was supported by MIUR in the context of projects
‘‘Diagnostic analyses and safety assessment of existing concrete
dams” coordinated by G. Maier (PRIN 2004) and ‘‘Structural mon-
itoring, diagnostic inverse analyses and safety assessments of
existing concrete dams” coordinated by G. Novati (PRIN 2007).
References
[1] Callari C, Abati A. Hyperelastic multiphase porous media with strain-
dependent retention laws; submitted for publication.
[2] Biot MA. General theory of three-dimensional consolidation. J Appl Phys
1941;12:155–64.
[3] Coussy O. Mechanics of porous continua. Chichester: Wiley; 1995.
[4] Liakopoulos AC. Transient flow through unsaturated porous media. PhD thesis,
University of California; 1965.
[5] Philip JR. The theory of infiltration: 1. The infiltration equation and its solution.
Soil Sci 1957;83:435–48.
[6] Callari C, Fois N, Cicivelli R. The role of hydro-mechanical coupling in the
behaviour of dam-foundation system. In: Yao, Yuan, Zhong, editors.
Proceedings of VI congress on computational mechanics,
WCCM6. Beijing: Tsinghua University Press and Springer-Verlag; 2004.
[7] Abati A, Callari C. Finite element formulation of unilateral boundary conditions
for unsaturated flow in porous continua; submitted for publication.
[8] Lewis RW, Schrefler BA. A finite element simulation of the subsidence of gas
reservoirs undergoing a water drive. Finite Elem Fluid 1982;4:179–99.
[9] Schrefler BA. Computer modelling in environmental geomechanics. Comput
Struct 2001;79(22):2209–23.
[10] Muskat M. Physical principles of oil production. New York: McGraw-Hill;
1949.
[11] Childs EC, Collis-George N. The permeability of porous materials. Proc Roy Soc
London, Ser A 1950;201:392–405.
[12] Liu J, Elsworth D, Brady BH. Linking stress-dependent effective porosity and
hydraulic conductivity fields to RMR. Int J Rock Mech Mining Sci
1999;36:581–96.
[13] Snow D. A parallel plate model of fractured permeable media. Ph.D. Thesis,
University of California; 1965.
[14] Hughes TJR. The finite element method. Englewood Cliffs: Prentice-Hall; 1987.
[15] Lehmann F, Ackerer P. Comparison of iterative methods for improved solutions
of the fluid flow equation in partially saturated porous media. Transport
Porous Med 1998;31:275–92.
[16] Celia MA, Bouloutas ET, Zarba RL. A general mass-conservative numerical
solution for the unsaturated flow equation. Water Resour Res
1990;26(7):1483–96.
[17] Taylor RL. FEAP – a finite element analysis program: version 7.5 theory
manual, University of California at Berkeley; 2003.
501
[18] Brezzi F, Bathe KJ. A discourse on the stability conditions for mixed finite
element formulations. Comput Methods Appl Mech Eng 1990;82:27–57.
[19] Bathe KJ. Finite element procedures. Prentice-Hall; 1996.
[20] Bathe KJ. The inf–sup condition and its evaluation for mixed finite element
methods. Comput Struct 2001;79:243–52.
[21] Vaunat J, Gens A, Jommi C. A strategy for numerical analysis for the transition
between saturated and unsaturated flow conditions. In: Pietruszczak S, Pande
G, editors. Numerical models in geomechanics. Rotterdam: Balkema; 1997.
[22] Lewis RW, Schrefler BA. The finite element method in the static and dynamic
deformation and consolidation of porous media. 2nd ed. New York: John Wiley
& Sons; 1998.
[23] Bolzon G, Schrefler BA, Zienkiewicz OC. Elastoplastic soil constitutive laws
generalized to partially saturated states. Géotechnique 1996;46(2):279–89.
[24] Santagiuliana R, Schrefler BA. Enhancing the Bolzon–Schrefler–Zienkiewicz
constitutive model for partially saturated soil. Transport Porous Med
2006;65:1–30.
[25] Laloui L, Klubertanz G, Vulliet L. Solid–liquid–air coupling in multiphase
porous media. Int J Numer Anal Methods Geomech 2003;27:183–206.
[26] Ehlers W, Graf T, Ammann M. Deformation and localization analysis of
partially saturated soil. Comput Methods Appl Mech Eng 2004;193:2885–910.
[27] van Genuchten MT. A closed form equation predicting the hydraulic
conductivity of unsaturated soils. Soil Sci Soc Am J 1980;44:892–8.
[28] Rank E, Katz C, Werner H. On the importance of the discrete maximum
principle in transient analysis using finite element methods. Int J Numer
Methods Eng 1983;19:1771–82.
[29] Bieniawski ZT. Engineering rock mass classifications. Rotterdam: John Wiley;
1989.
[30] Hoek E, Kaiser PK, Bawden WF. Support of underground excavations in hard
rock. Rotterdam: Balkema; 1995.
[31] Marinos P, Hoek E. GSI: a geologically friendly tool for rock mass strength
estimation. In: Proceedings of geoeng2000 conference; 2000.
[32] Hoek E, Diederichs MS. Empirical estimation of rock mass modulus. Int J Rock
Mech Mining Sci 2006;43(2):203–15.
[33] Deere DU, Miller RP. Engineering classification and index properties for intact
rock. Kirtland air force base, Air Force Weapons Laboratory, New Mexico,
Technical report no. AFWL-TR-65-116; 1966.
[34] Rutqvist J, Tsang CF. Analysis of thermal–hydrologic–mechanical behavior
near an emplacement drift at Yucca Mountain. J Contam Hydrol
2003;62(63):637–52.
[35] Sheng D, Smith DW, Sloan SW, Gens A. Finite element formulation and
algorithms for unsaturated soils Part II: verification and application. Int J
Numer Anal Methods Geomech 2003;27:767–90.
[36] Kovári K, Peter G. Monitoring strain distribution in the foundation rock of large
dams. Int Power Dam Construct 1984;36(5):35–8.
[37] Callari C, Armero F, Abati A. Strong discontinuities in partially-saturated poro-
plastic solids; submitted for publication.
[38] Hoek E, Carranza-Torres C, Corkum B. Hoek–Brown failure criterion – 2002
edition. In: Proceedings of the 5th North American rock mechanics
symposium; 2002.
[39] Capozza F, Marazio A, Penta P. Déformabilité de la roche de fondation dans le
cas de quelques barrages italiens. In: Proceedings of the first ISRM congress;
1966.
[40] ICOLD, Leakage investigations and drainage of dams and their foundations, 2,
Question n. 45. ICOLD twelfth congress; 1976.
[41] ICOLD, Monitoring of dams and their foundation, Question n. 79. ICOLD
twentieth congress; 2000.
[42] Bathe KJ. Conserving energy and momentum in nonlinear dynamics: a simple
implicit time integration scheme. Comput Struct 2007;85:437–45.
[43] Armero F, Callari C. An analysis of strong discontinuities in a saturated poro-
plastic solid. Int J Numer Methods Eng 1999;46:1673–98.
[44] Callari C, Armero F. Finite element methods for the analysis of strong
discontinuities in coupled poroplastic media. Comput Methods Appl Mech
Eng 2002;191:4371–400.
[45] Callari C, Armero F. Analysis and numerical simulation of strong
discontinuities in finite strain poroplasticity. Comput Methods Appl Mech
Eng 2004;193(27-29):2941–86.