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EARTHQUAKE-INDUCED BASE SLIDING

OF CONCRETE GRAVITY DAMS


By Anil K. Chopra, 1 Member, ASCE, and Liping Zhang, 2
Student Member, ASCE

ABSTRACT: Analytical procedures are developed considering hydrodynamic ef-


fects to determine the response history of earthquake-induced sliding of a gravity
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dam monolith supported without bond on a horizontal, planar surface of rock. The
results presented indicate that the permanent sliding displacements of dams induced
by ground motions with peak acceleration of 0.5 g may range from a few inches
to a couple of feet. Also examined in this work is the possibility of estimating the
sliding displacement of a flexible dam due to ground acceleration by analyzing the
sliding response of a rigid dam due to an average (over height) acceleration com-
puted from linear analysis of the flexible dam without sliding at the base. The
results presented indicate that this approximate procedure, which has been widely
used in estimating the deformations of embankment dams, can provide an order-
of-magnitude estimate of the concrete dam sliding displacement, which is conser-
vative for most cases when this displacement is practically significant.

INTRODUCTION

Concrete gravity dams traditionally have been designed and analyzed by


very simple procedures. Based on a seismic coefficient of 0.1 or less, the
earthquake forces were treated as static forces without considering the dy-
namic response of the dam-water-foundation rock system or ground-motion
characteristics. The design criteria required that a specified factor of safety
be provided against overturning, sliding, and overstressing of the dam mon-
olith; in particular, tension was usually not permitted. It generally has been
believed that stresses are not a controlling factor in the design of dams so
that the traditional design procedures were concerned most with satisfying
the overturning and sliding stability criteria. Traditional design procedures
could impose the no-tension criteria and require large factors of safety
against overturning or sliding because the earthquake forces considered were
unrealistically small (Chopra 1978), in part because the dynamic response
of the dam was ignored.
With realistic earthquake forces arising from the dynamic response of the
dam, significant tensile stresses can be expected during intense ground shak-
ing. The most notable example is, of course, the tensile cracking of Koyna
Dam during an earthquake in 1967 (Chopra and Chakrabarti 1973). As
a result, it is now common to accept tensile stresses predicted by linear
analyses approaching and even exceeding the tensile strength of concrete
in evaluating the safety of an existing dam for the maximum credible
earthquake.
Similarly, it is not possible to satisfy the traditionally used overturning

'Prof, of Civ. Engrg., Univ. of California, Berkeley, CA 94720; on appointment


as a Miller Res. Prof, in the Miller Inst, for Basic Res. in Sci., Univ. of California,
Berkeley, C A .
2
Grad. Student, Dept. of Civ. Engrg., Univ. of California, Berkeley, C A .
Note. Discussion open until May 1, 1992. To extend the closing date one month,
a written request must be filed with the A S C E Manager of Journals. The manuscript
for this paper was submitted for review and possible publication on December 19,
1990. This paper is part of the Journal of Structural Engineering, Vol. 117, No. 12,
December, 1991. © A S C E , ISSN 0733-9445/91/0012-3698/$1.00 + $.15 per page.
Paper No. 26468.

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J. Struct. Eng., 1991, 117(12): 3698-3719


and sliding stability criteria with static application of lateral earthquake
forces representative of the peak dynamic response of the dam. However,
such static analysis of sliding and overturning has little meaning because the
earthquake forces vary with time and alternate between the upstream and
downstream directions. Therefore, there is a need to investigate the dynamic
sliding and rocking response of gravity dam monoliths. Work on the sliding
problem has been reported (Shieh and Yeh 1975; Mlakar 1987; Leger and
Katsouli 1989).
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The objective of this investigation is to explore the problem of earthquake-


induced sliding of gravity dams. The analyses presented initially consider
the dam as rigid, an assumption that may be reasonable for short dams.
These analyses are reminiscent of earlier studies on dynamics of rigid blocks
(Ishiyama 1982). Subsequently, dam flexibility is considered to obtain more
realistic estimates of sliding, a problem that has been considered in the
context of building response (Mostaghel and Tanbakuchi 1982). Finally, we
explore whether useful estimates of sliding displacement at the base of
flexible dams can be obtained from the sliding-block analyses that are com-
monly used to determine the earthquake-induced deformations of embank-
ment dams (Makdisi and Seed 1978; Lin and Whitman 1983).

SLIDING RESPONSE OF RIGID DAMS

Critical Accelerations
Consider a gravity dam monolith of mass M and weight W, assumed to
be a rigid body, supported on horizontal ground that is undergoing accel-
eration a{t). In reality, the dam monolith is bonded to the rough surface of
the rock. However, consistent with the exploratory nature of this work and
with the goal of achieving conservative estimates of the sliding displacement,
the horizontal base of the dam is assumed to be resting on horizontal ground
without any mutual bond. Thus the motion of the dam relative to the ground
is resisted by friction between the base of the dam and the ground surface.
Selection of an appropriate value for the coefficient of friction \is is com-
plicated because after the bond between the dam and supporting rock is
overcome by earthquake-induced forces on the dam, the cracked surface
will be rough. The coefficient of friction for such a rough surface would be
significantly higher than for a planar dam-rock interface. Thus significantly
larger values are selected for u^ in this work compared with the range of
0.5-0.63 summarized by Mlakar (1987).
The hydrostatic force Hs acting on the dam tends to push the dam in the
downstream direction even without any ground motion. Prevention of such
sliding is, of course, one of the many requirements in the design of dams.
The inertia force associated with the mass of the dam is —Ma(t) or
— (W/g)a(t), acting opposite to the direction of the acceleration. Thus, this
force acts in the downstream direction at those time instants when the ground
acceleration a{i) is in the upstream direction. Neglecting water compressi-
bility, an appropriate assumption for this exploratory investigation, the hy-
drodynamic force Hd also acts opposite to the acceleration, i.e., in the
downstream direction [Fig. 1(a)], and is given by

Hd{t) = -a{t) \ Po(y) dy = -Maoa{t) = - ( y ^ M (1)

where p0{y) = the hydrodynamic pressure on the upstream face of the dam
due to unit ground acceleration in the upstream direction; and Mao and
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tf
\ g

H.M
Id
h —'
H.

Jw \
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lO.OSl \
- r- \
——LM. -^
U
" F
1
»*i

(a) (b)>

FIG. 1. Forces Acting on Dam before Sliding: (a) Downstream Sliding; (to) Up-
stream Sliding

Wao = the added mass and weight of water, which moving with the dam
produces inertia force equal to the hydrodynamic force. An equation for
p0iy) is available (Chopra and Zhang 1991) from which the added mass Mao
is given by

Mm = I pa(y) dy = — ^3 - 2, 0.54p/?2 (2)


TT , ^ i (111 " l)3

where p = the density of water.


Consider the equilibrium of forces shown in Fig. 1(a), where the largest
friction force F that can develop before the dam begins to slide is |x.(W —
U), where U = the uplift force at the dam base. Uplift pressures are shown
in Fig. 1(a) that are representative of design practice ("Design Criteria"
1974). The dam is in a state of incipient sliding in the downstream direction
when the upstream acceleration a(t) reaches the critical (or limiting or yield)
acceleration ac, given by

Oc
[ixs(W - U) - Hs] (3a)
g w + w„,
Similarly, the dam is in a state of incipient sliding in the upstream direction
when the downstream acceleration a(t) reaches the critical acceleration ac,
given by

a, 1
[^(W - U) + Hs] (3b)
9 w + w„,
It is apparent from (3a) and (3b) that because the hydrostatic force always
acts in the downstream direction, the critical acceleration necessary to slide
the dam downstream is smaller than that required to move the dam upstream
into the reservoir. Fig. 2 shows that the ground acceleration necessary to
cause sliding in the downstream direction is much smaller than that required
to cause upstream sliding.
The dam will tip about one edge of the base if the overturning moment
exceeds the restoring moment. By considering the forces shown in Fig. 1(a),
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I
1.2
h/h d =1; M. = 1.0 d/s sliding, a = 0 . 8

1.0

1 1 1 1 1 I
u/s sliding

-^0.8
u/s tipping
u
o
c -
- - - " u / s tipping ^'
o 0.6 - ^ ^ ^ ^ M . = 1.5
J) r
a> d / s tipping
o / d / s tipping :
-J
o
o < ^"^^---^^25
0.4
"5 _
o 1
d / s sliding ^~~~~^~~-----^1.0
o
0.2 - •

d / s sliding ^ — - ^ 0 8

J. Struct. Eng., 1991, 117(12): 3698-3719


0.0 "
i r——i r T i 1 i •
0.9 1.0 1.1 1.2 1.3 1.4 1.5 0.6 0.7 0.8 0.9 1.0 0.8 0.9 1.0
Friction Coefficient, /x, Downstream Slope, a h/hd
FIG. 2. Critical Accelerations a, for Sliding and Tipping of Dams Considering Design Uplift Force; Results Are Presented for Dams
with Triangular Cross Section of Any Height With Downstream Face Slope a, for Various Values of \LS and hlhd; wd = 150 Ibs/cuft,
w = 62.5 Ib/cu ft
the ground acceleration ac necessary to initiate downstream tipping of the
dam about its toe can be determined. Similarly, the ground acceleration ac
necessary to initiate upstream tipping of the dam about its heel can be
evaluated. Determined from the equations derived by Chopra and Zhang
(1991), the tipping accelerations also are shown in Fig. 2. They are inde-
pendent of the coefficient of friction.
These results permit several observations: Over a wide range of param-
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eters, which includes the practical range of dam geometry and the friction
coefficient, downstream sliding of the dam will be initiated before tipping
or upstream sliding. Large downstream accelerations will usually cause up-
stream tipping of the dam about its heel before upstream sliding. However,
since earthquake ground acceleration is a zero-mean random process, down-
stream sliding of the dam, which requires relatively small upstream accel-
eration, is likely to be initiated before upstream tipping of the dam, which
requires much larger downstream acceleration. Even if the ground motion
contains spikes of downstream acceleration large enough to initiate tipping,
the influence of the resulting rocking of the dam on its sliding motion is
negligible (Chopra and Zhang 1991). Thus, the rocking motion may be
ignored in evaluating the sliding response.
Since downstream sliding is the most significant mode of motion of a rigid
dam, it is useful to further examine the critical acceleration ac necessary to
initiate such motion.Based on (3a) and Fig. 2, ac increases with an increasing
coefficient of friction \xs [Fig. 2(a)], with decreasing hlhd, the ratio of water
depth to dam height [Fig. 2(c)], and as the slope a of the downstream face
of the dam becomes flatter [Fig. 2(b)]. Note that for a fixed hlhd, ac is
independent of the dam height hd. For a triangular dam cross section with
a typical downstream face slope of a = 0.8, a practical range of |xs between
1.0 and 1.5, and hlhd between 0.9 and 1.0, (3a) and Fig. 2 indicate that the
critical acceleration ac is in the range 0.31-0.74 g if uplift pressures are
ignored, and 0.2-0.59 g if uplift is considered. In reality, the acceleration
necessary to initiate downstream sliding of the dam would, of course, be
much larger due to the mutual bond between the dam and the rock foun-
dation. Thus, gravity dams would not be expected to slide at the base unless
the ground motion is unusually intense.
The permanent sliding displacement at the end of the ground motion is
closely related to the critical acceleration ac necessary to initiate downstream
sliding. Therefore, the permanent sliding displacement would be expected
to increase as the coefficient of friction decreases, the slope of the down-
stream face becomes steeper, the water depth increases, or the uplift force
increases.

Governing Equations
Considering the dynamic equilibrium offerees in the horizontal direction,
the equations governing the sliding displacement s can be derived. If the
dam is sliding in the downstream direction, the governing equation is
Ms(t) = ~Ma{t) + Hs + Hd(t) - F (4a)
which for upstream sliding becomes
Ms(t) = -Ma(t) + Hs + Hd(t) + F (4b)
The two equations differ only by the algebraic sign associated with the
friction force, since it is always opposite to the sliding direction. The friction
force is
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F = »d(W - U) (5)
where |x(, = the coefficient of dynamic friction. The hydrodynamic force is
given by
HJt) = -Mao[a(t) + m (6)
where the added mass Mao of water has been defined earlier, and the neg-
ative sign indicates that at any instant of time the hydrodynamic force
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opposes the direction of the instantaneous acceleration of the dam. Sub-


stituting (5) and (6) into (4) leads to
(M + Mao)s(t) = -(M + Mao)a(t) + Hs ± \id(MQ - U) (7)
where the plus and minus signs in the last term are for upstream and down-
stream sliding, respectively. Eq. (7) implies that the total acceleration during
sliding is independent of time, and thus the hydrodynamic force Hd(t) of
(6) also is constant.
Sliding is initiated in the downstream direction when the upstream ground
acceleration \a(i)\ exceeds the critical acceleration ac given by (3a). Down-
stream sliding ends when two conditions are satisfied: (1) The sliding velocity
vanishes, i.e., s(t) = 0; and (2) the ground acceleration falls below the
critical acceleration, i.e., \a(t)\ < as of (3a). Upstream sliding is initiated
when the downstream ground acceleration a(t) exceeds the critical accel-
eration ac of (3b). Upstream sliding ends when s(t) = 0 and \a(t)\ < ac of
(3b).

Sliding Response Characteristics


Computed from a step-by-step analytical solution of the governing equa-
tions (Chopra and Zhang 1991) combined with the sliding criteria presented
in the preceding section, the sliding response of a dam is shown in Fig. 3.
The dam chosen has an idealized triangular cross-section with downstream
face slope of 0.8 horizontal to 1 vertical, the ratio hlhd of water depth to
dam height is 1, and the coefficients m and u.rf of static and dynamic friction
are selected as 1.0. Hydrostatic, hydrodynamic, and uplift forces are con-
sidered in the analysis. From (3a) and (3b), the minimum accelerations ac
necessary to initiate sliding of the selected system in the downstream and
upstream directions are 0.20 g and 0.87 g, respectively. Similarly, tipping
of this system can be initiated in the downstream and upstream directions
if the acceleration exceeds 0.48 g and 0.72 g, respectively. Thus, if the peak
ground acceleration is less than 0.20 g, the dam would move with the ground
without any sliding or tipping. Such would be the case, for example, if the
excitation were the S69E component of the Taft (1952) ground motion with
peak acceleration of 0.18 g. To produce a significant sliding response, this
ground motion is amplified to a peak acceleration of 0.5 g (Fig. 3). It should
be noted that in this example, tipping of the dam is not possible because
the peak acceleration is smaller than the critical acceleration for initiating
upstream-tipping (0.72 g), and the acceleration required for starting down-
stream tipping (0.48 g) is larger than that for downstream sliding (0.2 g).
The sliding displacement of the dam is plotted as a function of time in
Fig. 3, wherein the time durations during which sliding occurs also are
identified. The results are independent of the dam height hd. Sliding is
initiated in the downstream direction when the- upstream ground accelera-
tion exceeds 0.20 g; however, the sliding motion soon stops, and the dam
moves with the ground until the next downstream sliding phase begins. The
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d/s
sliding -
i: i
u/s
sliding

0.3

C 0.2 -H r

0.1 -

0.0
10 15 20
Time, Seconds

FIG. 3. Sliding Displacement of Rigid Triangular Dam Due to Taft S69E Ground
Motion, Amplified to 0.5 g, Considering Hydrostatic, Hydrodynamic, and Design
Uplift Forces; hlhd = 1, a = 0.8, (x, = (Arf = 1.0; Results Are Valid for All Dam
Heights hd

duration of each sliding phase and the distance the dam slides in the down-
stream direction depend on the amplitude and time variation of acceleration
during that sliding phase. The dam slides more in the downstream direction
during each of the sliding phases and the displacement continues to increase,
leaving a permanent displacement when the ground motion ends. The per-
manent displacement depends, of course, on the amplitudes, time variation,
and duration of the ground acceleration. However, even for this strong
ground shaking, the permanent displacement is less than 0.25 ft, suggesting
that sliding of gravity dams during most earthquakes should be limited.
Because downstream sliding of the dam is initiated when the upstream
ground acceleration exceeds the critical acceleration ac, given by (3a), and
is increased during each subsequent exceedance, ac is the key parameter
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r
> that controls the sliding response of the dam and its permanent displacement.
The permanent displacement generally would be larger for systems with
smaller values of ac, because of a smaller coefficient of friction, steeper
slope of the downstream face, increasing depth of impounded water, or
increasing uplift force. For a given system and time variation of ground
acceleration, the sliding displacement increases, of course, with the intensity
of the ground motion.
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Vertical ground motion tends to increase the number of sliding phases


and the cumulative sliding displacement. This is shown in Fig. 4 where the
sliding displacement of the previously described dam system due to the Taft
S69E and vertical components is presented; the ground motion components
are amplified by the same factor that results in a peak acceleration of 0.5
g for the horizontal component. These results were computed from a gen-
eralization of the previously described governing equations and critical ac-
celerations for horizontal ground motion to include vertical excitation (Cho-
pra and Zhang 1991). Fig. 4 shows that with vertical ground motion, the
dam also slides during most of the sliding phases that developed during
horizontal ground motion, and during most of these phases the dam slides
more than it did without vertical ground motion. A few additional sliding
phases also develop with vertical ground motion. Results of many analyses
covering a range of system properties and ground motions have demon-
strated that the sliding displacement usually increases because of vertical
ground acceleration.
The aforementioned analyses are reminiscent of the sliding analyses of
rigid blocks (Newmark 1965; Franklin and Chang 1977) that have been used
to determine the earthquake-induced deformations of embankment dams.
Upper-bound equations (Newmark 1965), as well as probabilistic results
(Lin and Whitman 1986), are available to estimate the permanent sliding
displacement of a rigid block. These results may be applied to concrete
gravity dams (Chopra and Zhang 1991).
SLIDING RESPONSE OF FLEXIBLE D A M S

Governing Equations
The response of short-vibration-period structures such as concrete gravity
dams to earthquake ground motion is primarily due to the fundamental
mode of vibration. It is therefore appropriate in this exploratory work on
the sliding of dams to consider only the contribution of the fundamental
vibration mode to the dam response. Thus, the deformations of the dam
can be expressed as
u(y, t) = 4 . ^ ) ^ ( 0 (8)
where §i(y) = the fundamental vibration mode shape; and Yx(t) = the
associated modal coordinate.
Under the approximation of (8), the equation of motion for the dam when
it is not sliding relative to the ground can be expressed as

M^Y, + 2&<o1Y1 + a)?y,) = -L,a(t) + [ p(y, t)Uy) dy (9)

where
flu
M, = Jo m(y)[Uy)f dy (10)

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Verticol Component

o
o
< 0- Wfw**^^^^

-1-

6/s -
sliding

u/s
I I IfLIllLLJ II
sliding _

0.3
with vertical ground motion
_T
£ 0.2 -
without vertical ground motion
CL
in
5
0.1

i/i

0.0 1—i—i—i—)—r T 1 1 1 -
5 10 15 20
Time, Seconds

FIG. 4. Sliding Displacement of Rigid Triangular Dam Due to Amplified Taft Ground
Motion Considering Hydrostatic, Hydrodynamic, and Design Uplift Forces; hlhd =
1.0, a = 0.8, \s,s = (xrf = 1.0; Horizontal and Vertical Components were Amplified
by 2.79 Leading to Peak Horizontal Acceleration of 0.5 g

is the generalized mass, in which m(y) = the mass per unit height of the
dam; ^ = the fraction of critical damping; a^ = the fundamental vibration
frequency of the dam on fixed base with empty reservoir; and
•hd
Lx = I m(y)^(y) dy (11)

and p(y, t) = the hydrodynamic pressure on the upstream face of the dam.
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Neglecting water compressibility, an appropriate assumption for this ex-
ploratory investigation, the hydrodynamic pressurep(y, i) can be expressed
as
piy, t) = -Po(y)a(t) - PAy)%(t) (12)
where p0(y) = the hydrodynamic pressure due to unit upstream acceleration
of a rigid dam; and the pressure pi(y) results from unit upstream acceleration
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Yly i.e., acceleration $i(y) of the dam in the upstream direction. Expressions
for pa(y) andpj(v) are available (Chopra and Zhang 1991).
The substitution of (12) into (9) leads to
(M1 + M a l )?! + ^ ( ^ A ) ? ! + (wfAfOyi = -(L1 + Lal)a(t) •••• (13)
where
h
Ltti = I0 Po(y)4n(y) dy (14a)
h
Ki = 0
Pi(y)4>i(y) dy (146)

When the dam is sliding at its base relative to the supporting ground, the
acceleration at the dam base is the ground acceleration a(t) plus the accel-
eration associated with the sliding displacement s. As a result, (13) becomes
(M, + M^Y, + (L, + Lai)s + ?1(2M1o>1)i'i + {*^M1)Y1
= - ( £ , ! + Lal)a(t) (15)
The overall equilibrium of the dam is expressed by a modification of (7)
for a rigid dam to consider the additional inertia and hydrodynamic force
associated with dam flexibility
(M + Mao)s + (Lx + LJY,
= -(M + Mao)a(t) + Hs± (xrf(Mg - U) (16)
where Mao is defined earlier in (2) and

Lao = \"QPi(y) dy (17)

If the dam does not deform, i.e., Y1 = 0, (16) reduces to (7), derived earlier
for a rigid dam.
Sliding is initiated in the downstream direction when the forces tending
to slide the dam exceed the friction force at the base
\-{M + M,w)a(t) - (L, + L^Y, + Hs\ > ^(Mg - U) (18)
where Y± = the displacement during the nonsliding phase, which is governed
by (13). Downstream sliding ends when the sliding velocity determined by
solution of (15) and (16) becomes zero.

Sliding Responses
The response of a 400-ft-tall dam of triangular cross section is determined
by a step-by-step analytical solution of the governing equations (Chopra
and Zhang 1991), combined with the sliding criteria presented in the pre-
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ceding section. The fundamental vibration period of the dam on a fixed
base with an empty reservoir was computed from T1 — \AhJ\TEd, where
Ed = the elastic modulus of the concrete, and the mode shape was taken
from Chopra (1970) as ^(y) = 0.181(y/hd) + 0.8l9(y/hd)2. Fig. 5 shows
the crest displacement resulting from deformation of the dam, the sliding
displacement of the dam at its base, and the time durations during which
sliding occurs. Just as in the case of a rigid dam, the dam slides only in the
downstream direction. As mentioned earlier, a rigid dam slides in the down-
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stream direction when the upstream ground acceleration reaches a prede-

-^<H4%JWW
o

d/s -
sliding

u/s
n n nn nun nun I N 11 i
sliding _

^ 0.5

Time, Seconds

FIG. 5. Sliding Displacement of Flexible Triangular Dam Due to Taft S69E Ground
Motion, Amplified to Peak Acceleration 0.5 g, Considering Hydrostatic, Hydrody-
namic, and Design Uplift Forces; hd = 400 ft, hlhd = 1, a = 0.8, ^ = |xrf = 1.0, Ed
= 4 x 10s psi, i = 5%

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termined value of critical acceleration ac, which depends on the dam ge-
ometry and the friction coefficient. In case of a flexible dam, ac depends
on the dynamic response of the dam [see (18)] and thus varies with time,
being less than or exceeding the value for rigid dam. Dam flexibility modifies
the number and duration of the sliding phases, leading to increased sliding
displacement in this case.
As is shown in Fig. 6, the permanent sliding displacement of the dam
varies with its elastic modulus in a manner that does not display obvious
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trends. However, these trends would be related, in part, to the variation


of the ordinates of the response spectrum with vibration period 7\ of the
dam. For the selected ground motion, dam flexibility has the effect of
increasing the permanent sliding displacement of dams with concrete mod-
ulus over a wide practical range. However, for unrealistically flexible dams,
the permanent sliding displacement may be smaller than that for a rigid
dam, and an extremely flexible dam would not slide at all.
The permanent sliding displacements of 400-ft- and 200-ft-tall triangular
dams are shown in Fig. 7 for several values of the elastic modulus of the
dam concrete and in Fig. 8 for a range of friction coefficient values for four
ground motions, each amplified to have a peak acceleration of 0.5 g. The
sliding displacement of a system varies with ground motion, indicating that
the responses depend on the frequency content of the ground motion. More-
over, unlike the case of rigid dams, the permanent sliding displacements of
flexible dams depend on the size of the dam because of its influence on the
vibration period T1. Comparison of permanent sliding displacements of rigid
and flexible dams indicates that dam flexibility generally increases the sliding
displacement; however, as for rigid dams, the sliding displacement decreases
monotonically with an increasing coefficient of friction.

APPROXIMATE SLIDING ANALYSIS OF FLEXIBLE D A M S

We now examine the possibility of calculating an approximation to the


sliding displacement of a flexible concrete dam due to ground acceleration

Ed, in million psi = 4

Rigid Dam

0.5

10
Time. Seconds

FIG. 6. Sliding Displacements of Flexible, Triangular Dams Due to Taft S69E Ground
Motion, Amplified to 0.5 g Peak Acceleration, Considering Hydrostatic, Hydrody-
namic and Design Uplift Forces; hd = 400 ft, hlhd = 1, a = 0.8, ^ = p.d = 1.0, £
= 5%

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h„=400 ft h„=200 ft
A El Centra SOOE, 1940
» El Centra S90W, 1940
0 o Toft S69E, 1952
p Taft S21W, 1952

Q \

X '
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1 -

V- A \

k
""~*A

I i r 0 | I | | I | I | I f I | 1
1 2 3 4 6 0 1 2 3 4 5 : 6 7 8
Ed, million psi Ed, million psi

FIG. 7. Variation of Permanent Sliding Displacement of 400-ft and 200-ft High


Triangular Dams with Elastic Modulus Ed\ hlhd = 1, a = 0.8, ^ = \xd = 1.0; £ =
5%

h„=400 ft. h„=200 ft


A • e a Rigid Dam A El Centra SOOE, 1940
A 0 o P Flexible Dam 0 El Centra S90W, 1940
o Taft S69E, 1952
a Taft S21W, 1952

§ 10"
s

10 "J ~T~' I ' I lu I i I i I i I i T i I i-l i I


0.8 0.9 1.0 1.1 1.2 1.3 1.4 1.5 1.6 0.8 0.9 1.0 1.1 1.2 1.3 1.4 1.5 1.6

FIG. 8. Variation of Permanent Sliding Displacement of Triangular Dams with


Coefficient of Friction; hlhd = 1, a = 0.8, £ = 5%. Results are for Flexible Dams
of Height hd as Shown and Ed = 4 x 106 psi and for Rigid Dams of All hd

a{t) by using a standard procedure for embankment dam deformation anal-


ysis (Makdisi and Seed 1978). In this approximate procedure, the dam is
treated as rigid, and its sliding response to base acceleration a(t) is analyzed.
This average acceleration a(f) is determined such that the associated inertia
force of the rigid dam is equal to the total inertia force of the flexible dam
due to ground motion a(t), computed by linear analysis of this dam without
any sliding at the base. An additional factor that requires consideration in

3710

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the case of gravity dams is the influence of the impounded water on dam
response.

Analysis Procedure
Consistent with the preceding sections, the deformation response of the
dam on a fixed base is represented by the fundamental mode contribution
(8), and the governing equation is given by (13), wherein the hydrodynamic
contributions appear as a generalized added mass Mal and generalized added
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force coefficient Lal. The effects of impounded water on the dynamics of


the dam in its fundamental mode of vibration are completely and exactly
accounted for by considering

m
"*>-5$
as an added water mass per unit height of the dam. It can be shown that
(13) is also the equation of motion for a dam in air with mass distribution
m(y) = m(y) + ma(y) (20)
constrained to vibrate in the shape cj>j(y), with ma(y) given by (19). The
added hydrodynamic mass depends on the mode shape <$>i(y).
On the other hand, for many years, the concept of an added hydrodynamic
mass representing the inertial influence of water interacting with a structure
has been based on the assumption of a rigid structure, i.e.
ma(y) = Po(y) (21)
The additional generalized excitation term in the first mode associated with
this added mass is /ma(y)())1(y) dy, which is equal to Lai. However, the
additional generalized mass term associated with the added mass of (21),
given by Jp0(y)[<$>i(y)]2 dy, is not exactly equal to Mal. Consequently, the
added mass defined by (21), which does not depend on the vibration mode
shapes of the dam, is not an exact representation of hydrodynamic effects.
However, this approximate representation is accurate enough for practical
applications (Goyal and Chopra 1989). Thus, in an approximate sense, the
added mass of (21), which was initially introduced in (1) for rigid dams,
also applies to the deformational response of flexible dams. This will be
confirmed later by numerical results. The added mass of (21) has the ad-
vantage of permitting future analyses that consider several vibration modes
of the dam and use response spectrum procedures.
Defining the virtual mass m(y) of the dam as given by (20), wherein the
added mass ma(y) is defined by (21), the equation of motion of the dam,
constrained to deform in the fundamental mode shape, is a modified version
of (13)
Mi?! + ^1(2M1o)1)iri + (oijMi)Yi = -Li/ait) (22)
where

Ml = m(y)[^(y)f dy (23a)

L, = j m(y)^(y) dy , (236)
Eq. (22) can be rewritten as
3711

J. Struct. Eng., 1991, 117(12): 3698-3719


y, + 2|1di1y1 + d>?y, = - | g a(r) (24)

where the vibration frequency d>! and damping ratio | l t including hydro-
dynamic effects, are related to the corresponding properties of the dam
alone
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(25a)

li = — €1 (256)

The solution to (24) is

y,(0 ^ s f t . L f ) : (26)

where u(w1, £1; t) = the acceleration, relative to the ground, of a single-


degree-of-freedom system with natural vibration frequency ibl and damping
ratio | x to ground acceleration a(t). Thus, the total acceleration of the dam
without any sliding at the base is
u'(y, t) = a{t) + 4>i(y)Ht) (27)
An average acceleration a(t) is defined so that the associated inertia force
of a rigid dam is equal to the inertia force of the flexible dam associated
with its accelerations defined by (27)

J
5(0 = y ^ ' ° ^ (28)
J miy) dy
where the denominator is the total mass M of the dam. Substituting (26)
and (27) into (28) leads to

a{f) = a{t) + j±b- Ufa, l,t) (29)


The sliding displacement of the flexible dam is computed in the approx-
imate procedure by analyzing the dam, assumed as rigid, subjected to a(t).
The average acceleration a(t) of the flexible dam and the resulting sliding
displacement of the rigid dam can also be computed with hydrodynamic
effects represented exactly, i.e., without introducing the added mass ap-
proximation. In this case also, a(t) is given by (28) and ii'(y, t) by (27),
with Yx(f) obtained by solving (13) instead of (22).

Evaluation of Added Mass Approximation


The average accelerations a(t) computed by the two approaches just de-
scribed are compared in Figs. 9 and 10. The results presented are for a
triangular dam 400 ft tall with elastic modulus Ed = 2 x 106 psi. The dam
is analyzed for two excitations a(t), each scaled to a peak acceleration of
0.5 g. This comparison indicates that the added mass representation of
hydrodynamic effects may lead to smaller (Fig. 9) or larger (Fig. 10) values
of a(t) and thus of the sliding displacements. When hydrodynamic effects
are approximated by an added mass, the vibration period and damping ratio

3712

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Toft S21W motion scaled to 0.5g
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10
Time, Seconds
FIG. 9. Average Acceleration a(t) of Fixed-Base Flexible Dam (Ed = 2 x 106 psi)
and Sliding Displacement s(i) of Rigid Dam Due to Base Acceleration a{i) Computed
for Two Representations of Hydrodynamic Effects; hd = 400 ft, hlhd = 1, a = 0.8,
p,s = fjLrf = 1.0, g = 5%

El Centro S00E motion scaled to 0.5g


0.5 •

0.0 'SfM/
-0.5 •

0.81 - , - 0 . 8 6

I0'
-1-
z.o -

* 1.5-

r Hydrodynamic Effects
Exact
Added Mass

CT.0.5 -
1 1 i
oo 0.0 - 10
Time, Seconds

FIG. 10. Average Acceleration a(t) of Fixed-Base Flexible Dam (Ed = 2 x 106 psi)
and Sliding Displacement s(t) of Rigid Dam Due to Base Acceleration a(t) Computed
for Two Representations of Hydrodynamic Effects; hd = 400 ft, hlhd = 1, a = 0.8,
(JL, = fi,d = 1.0, i = 5%

of the dam would differ from their respective values with exact treatment
of hydrodynamic effects. Thus, the relative values of the response a(t) ob-
tained with the two hydrodynamic representations depend on the shape of
the response spectrum around these vibration periods.
The permanent sliding displacements of the rigid dam due to the two sets
3713

J. Struct. Eng., 1991, 117(12): 3698-3719


of a(t) are compared in Fig. 11 for a large number of dam systems and four
excitations a(t), chosen as four different recorded earthquake motions, each
scaled to a peak acceleration of 0.5 g. In Fig. 11, a,„ = peak value of a{t)
computed with an exact representation of hydrodynamic effects. In the
added hydrodynamic mass approach, the sliding displacement is underes-
timated for most of the systems and excitations considered; exceptions are
systems with larger values of ac/a,„, i.e., dams for which critical acceleration
is relatively large, subjected to El Centro excitation.
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Evaluation of Approximate Procedure


An overall evaluation of the aforementioned approximate procedure that
determines the sliding displacement of a rigid dam due to acceleration a(t)
given by (29) is shown in Fig. 12, wherein the results are compared with
the exact sliding analysis of a flexible dam presented in a preceding section.
As determined by the two analyses, sliding starts at about the same time
instant, and the sliding displacements are similar in the early stage of ground
shaking, with one result being higher or lower than the other depending on
the time instant. The sliding displacements determined from the two analyses
tend to diverge at later stages of ground shaking, with the approximate
analysis overestimating the sliding displacement at the end of the ground
shaking in one case and underestimating it in the other.
These permanent sliding displacements determined by the two analyses
for a large number of dams and four ground motions, each amplified to
have a peak acceleration of 0.5 g, are compared in Fig. 13 and Table 1;
am = peak value of a(t) computed with an added mass representation of
hydrodynamic effects. The approximate procedure provides a conservative
estimate of the dam sliding displacement for systems and excitations with
smaller aclam, i.e., relatively strong motion. This conservatism is fortuitous

FIG. 11. Permanent Sliding Displacement of Rigid Dams Due to Base Acceleration
a(t) Computed for Two Representations of Hydrodynamic Effects

3714

J. Struct. Eng., 1991, 117(12): 3698-3719


Exact E d =2*10 6 psi
Approximate

0.5 -
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o 0.0
£ 2-0
w E d =4*10 B psi
a
en
c
'$ 1.5

_r
1.0

0.5

0.0 i—i—|—i—r
10 15 20
Time, Seconds

FIG. 12. Comparison of Exact and Approximate (Sliding Analysis of Rigid Dam
Due to Ti(i); Added Hydrodynamic Mass) Sliding Displacement of Flexible Dams
Due to Taft S69E Ground Motion (1952), Amplified to Have Peak Acceleration of
0.5 g; hd = 400 ft; hlhd = 1, a = 0.8, y,s = ^ = 1.0, £ = 5%

because these are the very cases in which the displacement can be several
feet and thus may be of practical significance. In contrast, the sliding dis-
placement estimate errs on the unconservative side when acfam is large, i.e.,
relatively weak motion. However, in these cases, this lack of conservatism
in the procedure is not of significant consequence because the sliding dis-
placement is not large; it ranges from a few inches to a foot.
The approximate procedure can provide an order-of-magnitude estimate
but not an accurate prediction of the permanent sliding displacement. Errors
of as much as 86% occur in the cases considered. These errors do not
decrease significantly by avoiding the approximation in representing hydro-
dynamic effects (Chopra and Zhang 1991). That an exact treatment of
hydrodynamic effects can lead to larger errors- in many cases (Chopra and
Zhang 1991) should not be surprising, because both variations of the ap-
3715

J. Struct. Eng., 1991, 117(12): 3698-3719


f 11
|H
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ii" "

A « a a
A o o a
Exact
Approximate
(ill
A El Centro S00E, 1940
0 El Centro S90W, 1940
o Taft S69E, 1952
• Taft S21W, 1952

10 -'-

a./am
FIG. 13. Comparison of Exact and Approximate (Sliding Analysis of Rigid Dam
Due to a(t); Added Hydrodynamic Mass) Values of Permanent Sliding Displacement
of Flexible Dams Due to Four Ground Motions

proximate procedure are heuristic approaches to the sliding analysis of a


flexible dam.

CONCLUSIONS

The following conclusions may be drawn from this exploratory investi-


gation of earthquake-induced sliding displacement of gravity dam monoliths.
Analytical procedures have been developed considering hydrodynamic
effects to determine the response history of earthquake-induced sliding of
a gravity dam monolith supported without bond on the horizontal, planar
surface of rock. The bond between the dam and supporting rock and the
roughness of the cracked interface are ignored. These are simplifying as-
sumptions consistent with the exploratory nature of this work and with the
goal of achieving conservative estimates of the sliding displacement. The
analytical procedures presented are of two types. In one case the dam is
assumed to be rigid but dam flexibility is considered; in the other case the
deformations of the dam are approximated by the contributions of only the
fundamental mode of vibration.
The dam tends to slide only in the downstream direction because much
smaller ground acceleration ac is required to initiate downstream sliding
compared with upstream sliding. The permanent displacement at the end
of the earthquake increases with the intensity of ground shaking and is
larger for systems with smaller ac, which results from a smaller coefficient
of sliding friction, steeper slope of the downstream face, increasing depth
of impounded water, or increasing uplift force.
Dam flexibility has the effect of increasing the permanent sliding dis-
placement of dams with a concrete modulus within a wide practical range.
3716

J. Struct. Eng., 1991, 117(12): 3698-3719


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-^

8 3 S'ffi • n a n
c o CL o o c s>
T) £ • o ' -« C (D Qj
fTg £ ? rt- O o o o o O o o m
t_n 42- U) to O NO o o Ln 42- OJ to O NO 0O Ui 42. U> to O NO 0 0 Ui 42. U) to o NO 00 3" o
Q co ft rt
!2.
c
£* ^ tt
> o
^J ft ft rt'
t r E E . ^ S. I™3
o ^ 2 ftJ O B _
CO 3 X
« P H o O o O O o o o O O o o o O o o o O o o o o c o o o o o o o o o
" n 3 P. 1 I
0) <
rt O ^ „• t/1 42. t*J N> to ^ ] ON t / 1 42- t*J t o rt- ON t/1 42- 42. t*J t o rt h^ ^1 ON t / 1 42. t*J t^J to rt
^1 o to 42. ^1 NO -rt UJ LU 42. -12. t y i t^i ON ^ 1 O U) ^1 O UJ ON NO to to 42. L n ^1 NO UI Ln
S f"" - a 1
3 a.
•o
= •<3
& ft 3 ft -•• A)
» _.
a, 3
— o
rt o =» a>
ft o ~T3 H
3
o o O O to 42. o O o o O to 42- O o O o u> Ul CZ> O o o o o UJ
3 | &S rtl IO 42. ^1 rt- on c-5 to 42. 0O 42. t / t U> O rt t*J ON o oo rt ^1 o O rt- t>J t / 1 NO ON o
(3)

to ON to 00 to
o
t>J 00 UJ LO NO U\ U\ OO 0 0 42. t_n 0O L-J ^1 ON ON ON ^ 1 U )
- » P Bl o o o
OOQ 2 W
Approximate

"" a<-*
n a. S
w 3" m
ft n>
3
E.« (°
c
ft rt o O o U) o o o o O to O o O O to 42- o o o o o o to
OJ 42- </t ^1 NO to NO t o to f*} t/1 ^1 NO |NJ ~~} ON rt to ON t / 1 to t*J |NJ

J. Struct. Eng., 1991, 117(12): 3698-3719


<*J ON o 1 >rt- t o 42. ^ 1
(4)

t?S a. NO ON ~~l to 42. LtJ ui ^ 1 42. 42. Lh K ON t o 42. ON 0 0


o
ON t^l ^1
Exact

CL o 3 o o 0O NO 0 0 NO
c
°
3 ".
-.
II
Sliding Displacement s,„

1 1 i 1 1 1 1 1 I 1 t 1 1
fl
^1 to IO 42- t/1 42. 0O ^ 1 ON 42. to 42. ON 1 i K> to to L*J
(5)

42. 00
to u> 1/1
5" sT era H> -la- O ^1 4^- ON UN 42. ^1 42. ^1 42. ON to 00 h-- 00 ^1 ~J to 42. L*J
o o o
Error (%)

ft « rt 2 .
a-rtg S
g O 3 S-
• P a. 3
fi
eficial effects of the bond between the dam and supporting rock and the
roughness at the cracked interface are considered.
The last part of this work examined the possibility of estimating the sliding
displacement of a flexible concrete dam due to ground acceleration a(t) by
analyzing the sliding response of a rigid dam due to an average (over height)
acceleration a(t) determined from linear analysis of the flexible dam without
sliding at the base. This approximate procedure, which has been widely
used in estimating the deformations of embankment dams, has been ex-
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tended to include an added hydrodynamic mass. It can provide an order-


of-magnitude estimate of the concrete dam sliding displacement, which is
a conservative value for most cases when this displacement may be prac-
tically significant. Even if the approximate analysis procedure were im-
proved, the results might not be more reliable because of the considerable
uncertainty in the value of the critical acceleration at which dam sliding is
initiated, a parameter that has controlling influence on the sliding displace-
ment. The critical acceleration cannot be determined accurately because of
the difficulty in considering several factors, including the bond between the
dam and supporting rock, and the roughness of the cracked surface after
the bond is overcome.

ACKNOWLEDGMENTS

This research investigation was supported by the National Science Foun-


dation under grant CES-8719296 and accomplished while A. K. Chopra was
on appointment as a Miller Research Professor in the Miller Institute of
Basic Research in Science, University of California at Berkeley.

APPENDIX. REFERENCES

Chopra, A. K. (1970), "Earthquake response of concrete gravity dams." /. Engrg.


Mech. Div.,ASCE, 96(4), 443-454.
Chopra, A. K., and Chakrabarti, P. (1973). "The Koyna earthquake and the damage
to Koyna Dam." Bull. Seis. Soc. Am., 63(2), 381-397.
Chopra, A. K. (1978). "Earthquake resistant design of concrete gravity dams." /.
Struct. Div., ASCE, 104(6), 953-971.
Chopra, A. K., and Zhang, L. (1991). "Base sliding response of concrete gravity
dams to earthquakes." Report No. UCB/EERC 911-, Earthquake Engineering
Research Center, University of California at Berkeley, in preparation.
"Design criteria for concrete arch and gravity dams." (1974). Engineering Monograph
No. 19, U.S. Bureau of Reclamation, U.S Government Printing Office, Wash-
ington, D.C.
Franklin, A. G., and Chang, F. K. (1977). "Earthquake resistance of earth and
rock-fill dams: permanent displacement of earth embankments by newmark sliding
block analysis." Misc. Paper S-71-17, Report 5, US Army Engineer Waterways
Experiment Station, Vicksburg, Miss.
Goyal, A., and Chopra, A. K. (1989). "Earthquake response spectrum analysis of
intake-outlet towers." J. Engrg. Mech., ASCE, 115(7), 1413-1433.
Ishiyama, Y. (1982). "Motions of rigid bodies and criteria for overturning by earth-
quake excitations." Earthquake Engrg. Struct. Dyn., 10, 653-650.
Leger, P., and Katsouli, M. (1989). "Seismic stability of concrete gravity dams."
Earthquake Engrg. Struct. Dyn., 18, 889-902.
Lin, J.-S., and Whitman, R. V. (1983). "Decoupling approximation to the evaluation
of earthquake-induced plastic slip in earth dams." Earthquake Engrg. Struct. Dyn.,
11, 667-678.
Lin, J.-S., and Whitman, R. V. (1986). "Earthquake-induced displacements of sliding
blocks." J. Geotech. Engrg., ASCE, 112(1), 44-59.

3718

J. Struct. Eng., 1991, 117(12): 3698-3719


r
t
Makdisi, F. I., and Seed, H. B. (1978). "Simplified procedure for estimating dam
and embankment earthquake-induced deformations." /. Geotech. Engrg. Div.,
j ASCE, 104, No. GT7, 849-867.
i Mlakar, P. F. (1987). "Nonlinear response of concrete gravity dams to strong earth-
| quake-induced ground motion." Technical Report SL-87-7, U.S. Army Engineer
I Waterways Experiment Station, Vicksburg, Miss.
I Mostaghel, N., and Tanbakuchi, J. (1983). "Response of sliding structures to earth-
quake support motion." Earthquake Engrg. and Struct. Dyn., 11, 729-748.
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Newmark, N. M. (1965). "Effect of earthquakes on dams and embankments." Geo-


technique, 15(2), 139-160.
' Shieh, W. Y. J., and Yeh, C. H. (1975). "Safety analysis of concrete dams under
earthquake." Criteria and assumptions for numerical analysis of dams, D. J. Naylor,
K. G. Stagg and O. C. Zienkiewicz, eds.

3719

J. Struct. Eng., 1991, 117(12): 3698-3719