21st Century Dam Design

Advances and Adaptations

31st Annual USSD Conference

San Diego, California, April 11-15, 2011

Hosted by
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GEI Consultants, Inc.
Kleinfelder, Inc.
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Parsons Water and Infrastructure Inc.
URS Corporation

On the Cover
Artist's rendition of San Vicente Dam after completion of the dam raise project to increase local storage and provide
a more flexible conveyance system for use during emergencies such as earthquakes that could curtail the regions
imported water supplies. The existing 220-foot-high dam, owned by the City of San Diego, will be raised by 117
feet to increase reservoir storage capacity by 152,000 acre-feet. The project will be the tallest dam raise in the
United States and tallest roller compacted concrete dam raise in the world.

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EARTHQUAKE RESPONSE OF ROCKFILL DAM WITH ASYMMETRIC PLAN

GEOMETRY OF UPSTREAM AND DOWNSTREAM SLOPE WITH RESPECT
TO DAM AXIS
Ik-Soo, Ha1
ABSTRACT
Two-dimensional dynamic analysis for the maximum section of a dam cannot consider
the canyon effect, because it is carried out in the plane strain condition. Also, if the plan
geometry of upstream and downstream slope is not symmetrical with respect to the dam
axis, the results of 2-D analyses cannot accurately represent dynamic response of the dam
to earthquake. In this study, three-dimensional dynamic analyses for Miryang multipurpose dam (concrete-faced rockfill type) in South Korea, with asymmetric plan
geometry of upstream and downstream slope with respect to the dam axis, were carried
out and the response of the dam was analyzed. The results of 3-D dynamic analyses were
compared with those of 2-D plane strain dynamic analyses. It was found that the
maximum settlement did not appear at the maximum cross-section and the magnitude of
maximum settlement obtained by 3-D analysis was different from that by 2-D analysis
for the maximum cross-section. Furthermore, it was found that the characteristics of
acceleration amplification obtained by 3-D analysis were different from those by 2-D
analysis. This study presents an insight in the earthquake response behaviors of a rockfill
dam with the asymmetric plan geometry of upstream and downstream slope with respect
to the dam axis. It can also be used as fundamental data for seismic stability and design
for rockfill dams with asymmetric plan geometry of upstream and downstream slope.
INTRODUCTION
According to the previous researches (Hatanaka, 1955; Ambraseys, 1960; Makdisi, 1976),
one of the canyon effects for dynamic response of a dam is to increase the stiffness of the
system. This effect can increase the fundamental frequency of the dam located at the
canyon compared to that of the dam under plane strain condition. Shown in Figure 1 is
the ratio between first or fundamental natural frequencies computed from 3-D and 2-D
models of the dams analyzed in the previous study (Ambraseys, 1960) as a function of
the crest to height ratio, L/H. The fundamental frequency of the dam with a crest length
to height ratio of more than 3 computed from 3-D model is 10 to 20 percent higher than
those computed from a plane strain analysis of the dam. The higher frequencies obtained
from the 3-D models are mostly the result of a stiffening effect of canyon geometry. Thus,
two-dimensional dynamic analysis for the maximum section of a dam cannot consider the
canyon effect, because it is conducted in the plane strain condition.

Principal Researcher, Dam Safety Research Center, Korea Water Resources Corporation, Daejeon,
Republic of Korea, geodoc@kwater.or.kr

Earthquake Response of Rockfill Dam

1451

f3D /f2D

0
1

Dam Length/Height

Figure 1. Comparison between Natural Frequencies Computed from 2-D and 3-D
Analyses of Dams in Rectangular Canyons
In this study, the meaning of a symmetric plan geometry of upstream and downstream
slope with respect to the dam axis is that the length of the toe line of the upstream slope is
almost the same as that of the downstream slope and the straight line connecting the
center of the upstream slope toe line and the downstream slope toe line is nearly
perpendicular to the dam axis. If the plan geometry of the upstream and downstream
slopes of a dam does not satisfy the above condition, it is regarded as a dam with
asymmetric plan geometry of the upstream and downstream slope with respect to the dam
axis, as shown in Figure 2. If the plan geometry of the upstream and downstream slopes
of a dam is not symmetrical with respect to the dam axis, the results of 2-D dynamic
analyses using the maximum section for the dam cannot accurately represent dynamic
response to earthquake.
In this study, three-dimensional dynamic analysis for Miryang multi-purpose dam in
South Korea, with asymmetric plan geometry of upstream and downstream slopes with
respect to the dam axis, was conducted and the response (such as the settlement of the
crest and acceleration with depth) was analyzed. The results of 3-D dynamic analysis
were compared with those of 2-D dynamic analysis. On the basis of this comparison,
points to be considered when evaluating the response of a dam by 2-D dynamic analysis
were discussed.

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Figure 2. Plan View of Miryang Dam with asymmetric plan geometry of upstream and
downstream slope with respect to the dam axis
SYNOPSIS OF NUMERICAL MODELING AND ANALYSIS
Dam Profile
The dimensions of Miryang dam are 89m in height and 394.3m in length, as shown in
Figure 2 (plan view) and Figure 3 (cross-section). Dam type is a concrete-faced rockfill
dam.

Figure 3. Maximum Cross-section of Miryang Dam

Earthquake Response of Rockfill Dam

1453

Analysis Program and Boundary Condition

To conduct the 3-D and 2-D dynamic analysis, FLAC3D (ver.3.1, Itasca Consulting
Group) and FLAC2D (ver.4.0, Itasca Consulting Group) were used, respectively.
Numerical analysis of the seismic response of surface structures such as dams requires
the discretization of a region of the material adjacent to the foundation. The seismic input
is normally represented by plane waves propagating upward through the underlying
materials. The boundary conditions at the sides of the model must account for the free
field motion that would exist in the absence of the structure. The free field boundary
condition is to enforce the free-field motion in such a way that boundaries retain their
non-reflecting properties i.e., outward waves originating from the structure are properly
absorbed. As shown in Figure 4, the lateral boundaries of the main grid are coupled to the
free-field-grid by viscous dashpots to simulate a quiet boundary.

Figure 4. Model for Seismic Analysis of Dam and Free-field Mesh

Input Motion
Due to the lack of earthquake data in South Korea, time history records from other
location (Tokachi-oki earthquake in Japan, 1968) were used for the analysis. This original
ground motion was modified by reducing the peak acceleration, 0.17g, to 0.154g in order
to match the Dam Earthquake Design Standard of South Korea. Figure 5 shows the input
earthquake time history records used in this study. The input motion was assumed to act
in the upstream-downstream direction of the dam (perpendicular to dam axis).

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Figure 5. Input Acceleration Time History used in This Study

Input Parameters
A Mohr-Coulomb failure criterion and constitutive model were used to simulate the
behavior of dam materials such as rockfill and bedrock. The parameters for static analysis
were obtained from the Design and Construction Report and are presented in Table 1.
After the completion of the static analysis and initialization of the displacement and
velocities, the dynamic analysis was carried out. The material properties of bedrock for
the dynamic analysis were obtained from Table 1, as for the static analysis.
Table 1. Input Parameters for Static Analysis (from Design and Construction Report)
Material

Unit weight
(kN/m3)

Bulk modulus
(kN/m2)

Shear modulus
(kN/m2)

angle ()

Cohesion
(kN/m2)

Rockfill zone

20

6.46E4

2.98E4

41

Bed rock

26

1.67E7

1.25E7

45

2000

Friction

For the purpose of obtaining the maximum shear modulus for rockfill material, a HWAW
(Harmonic Wavelet Analysis of Waves) survey was conducted, as shown in Figure 6. The
shear modulus for rockfill material was computed by the following relationship:
Gmax = k 2,max 1000 m '

( m ' in Pa) (Vrymoed, 1981)

(1)

in which Gmax= the shear modulus, in Pa, at small shear strains (10-4%), k2,max = the shear
modulus parameter at small strains (10-4%), and m ' = the mean effective confining
pressure, in Pa. The mean effective confining pressure was computed using the results
from the static numerical analysis.
In this study, for the purpose of evaluating the shear modulus of rockfill zone which must
reflect the effect of the confining pressure with depth, the repeated 2-D static numerical
analyses for the various k2,max were carried out. After the completion of each static
analysis for a certain value of k2,max, shear moduli of 2-D model elements with depth
were extracted, as shown in Figure 7. The extracted shear moduli were changed into
shear wave velocities using equation (2). From this procedure, shear wave velocity

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1455

profiles with depth for each k2,max can be obtained like Figure 8. From Figure 8, we can
find that the shear wave velocity profile obtained by HWAW survey is almost similar to
that obtained by static analysis using a k2,max of 180. So, this value, 180, for k2,max is
representative of the rockfill material for 3-D dynamic analyses.

vs =

Gmax

(2)

in which = density (= / g , =unit weight, g= acceleration of gravity).

Figure 6. HWAW Survey carried out at Miryang Dam Slope Surface and Dam Crest

Figure 7. Extraction of Shear Moduli by Static Numerical Analysis

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21st Century Dam Design Advances and Adaptations

Figure 8. Shear Wave Velocity Profile with Depth Evaluated by HWAW Surveys and by
Repeated Dynamic Analyses
However, this value, 180, is not representative of rockfill material for 2-D dynamic
analysis. In order to approximate the actual three-dimensional behaviors of the dam by
two-dimensional techniques, the stiffness of the dam must be strengthened artificially
(Vrymoed, 1981). That is, the shear moduli in the rockfill zone must be artificially
modified to satisfy the condition that the fundamental frequency computed by twodimensional dynamic analysis is the same as that by three-dimensional dynamic analysis.
Therefore, to determine the shear moduli of the rockfill zone for 2-D dynamic analysis, 2D dynamic analyses were repeated for various k2,max values that were higher than 180.
Figure 9 shows the computed acceleration time history at the crest during free vibration
only by 3-D dynamic analysis using a k2,max of 180 and by 2-D dynamic analysis using a
k2,max of 280. Figure 10 shows the FFT (Fast Fourier Transform) results for acceleration
histories shown in Figure 9. From Figure 10, it can be found that the fundamental
frequency of the 3-D dynamic analysis using a k2,max of 180 is 3.3Hz and the fundamental
frequency of 2-D dynamic analysis using a k2,max of 280 is 2.7Hz. Also, it can be found
that the ratio of fundamental frequency computed from the 3-D model to that from the 2D model is about 1.2. Therefore, we can regard this value of k2,max as the representative
value of rockfill material for 2-D dynamic analysis.

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0.02
2D crest(m ax section)

acceleration(g)

0.015

3D crest(m ax section)

0.01
0.005
0
-0.00514.4

14.6

14.8

15

15.2

15.4

15.6

15.8

16

-0.01
-0.015
-0.02

tim e(sec)

0.007

0.0035

0.006

0.003

Fourier A m plitude(g-sec

Fourier A m plitude(g-sec

Figure 9. Acceleration Histories at the Crest of 2-D Maximum Section and 3-D
Maximum Section during Free Vibration Only

0.005

0.004

0.003

0.002

0.001

0.0025

0.002

0.0015

0.001

0.0005

0
0

10

15

20

(a)

10

15

20

Frequency(Hz)

Frequency(Hz)

(b)

Figure 10. Fourier Amplitude Spectra for Computed Crest Free Vibration Motion: (a) by
2-D Dynamic Analysis, (b) by 3-D Dynamic Analysis
Three Dimensional and Two Dimensional Finite Difference Grid
Figure 11 and Figure 12 show the three-dimensional finite difference grid and the twodimensional finite difference grid of the Miryang dam, respectively.

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21st Century Dam Design Advances and Adaptations

Figure 11. Finite Difference Grid for 3-D Dynamic Analysis of Miryang Dam

Figure 12. Finite Difference Grid for 2-D Dynamic Analysis of Miryang Dam
RESULTS AND DISSCUSSIONS
Settlement
Figure 13 shows settlement time histories computed by 2-D and 3-D dynamic analyses.
At the mid point of the crest of the dam at the maximum section, the settlement computed
by 3-D analysis is quite similar to that by 2-D analysis. It is very interesting that the
maximum settlement at crest midpoint of the dam did not occur at the maximum section,
Rather, the maximum settlement occurred at the section about 50m away from the
maximum section toward the left abutment or at the section about 50m away from the
maximum section toward the right abutment.
Figure 14 shows permanent settlement along the dam axis at the crest computed by 3-D
analysis and that at the crest midpoint by 2-D dynamic analysis. We can see the same
interesting point in Figure 14. The maximum settlement at crest midpoint occurred at the
section about 50m away from the maximum section. Figure 15 shows the results of
Figure 14 three-dimensionally. From Figure 14 and Figure 15, it is found that the
settlement at the crest of a dam with asymmetric plan geometry of upstream and
downstream slope with respect to the dam axis occurred very asymmetrically.
From the results of Figure 11, Figure 12, and Figure 13, it is also important to note that
the settlement at the crest of a dam with asymmetric plan geometry of upstream and
Earthquake Response of Rockfill Dam

1459

downstream slope with respect to the dam axis computed by 2-D dynamic analysis using
the maximum section might give engineers non-conservative results of the magnitude of
the maximum crest settlement.

Figure 13. Settlement Time Histories Computed by 2-D and 3-D Dynamic Analysis

Figure 14. Permanent Settlement along the Dam Axis at the Crest Computed by 3-D
Analysis and that at the crest by 2-D Analysis

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Figure 15. Distribution of Permanent Settlement at the Crest Computed by 3-D Analysis
Acceleration Response
Figure 16 shows acceleration time histories for crest midpoint at each section computed
by 3-D analyses and computed by 2-D analysis. Figure 17 shows acceleration
amplification along the dam elevation for each section computed by 3-D dynamic
analysis and that by 2-D dynamic analysis.
From Figure 16 and Figure 17, it is found that the patterns of acceleration amplification
for the dam with asymmetric plan geometry of upstream and downstream slopes with
respect to the dam axis are similar at each section of the 3-D model and at the maximum
section of the 2-D model but the extent of amplification is different at each section; the
maximum amplification occurred at the maximum section. Also, it is found that if 2-D
analysis is conducted by procedures described in this study, the characteristics of
acceleration amplification evaluated by 2-D analysis might approximate those by 3-D
analysis.

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1461

Figure 16. Acceleration Time Histories for Crest Midpoint at Each Section Computed by
3-D Analyses and at the crest Computed by 2-D Analysis

Figure 17. Acceleration Amplification along the Dam Elevation for Each Section
Computed by 3-D Analyses and that by 2-D Analysis

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21st Century Dam Design Advances and Adaptations

CONCLUSIONS
In this study, 3-D dynamic analysis for Miryang multi-purpose dam in South Korea, with
asymmetric plan geometry of upstream and downstream slope with respect to the dam
axis, was conducted and the response (such as the settlement of the crest and acceleration
with depth) was analyzed. The results of 3-D dynamic analysis were compared with those
of 2-D dynamic analysis. From the results of this research, the following conclusions
were made:
1. The maximum settlement at crest midpoint of the dam did not occur at the maximum
section. Rather, the maximum settlement occurred at the section about 50m away
from the maximum section toward the left abutment or at the section about 50m away
from the maximum section toward the right abutment. The settlement at the crest of a
dam with asymmetric plan geometry of upstream and downstream slope with respect
to the dam axis occurs very asymmetrically. It is also important to note that the
settlement at the crest of a dam with asymmetric plan geometry of upstream and
downstream slope with respect to the dam axis computed by 2-D dynamic analysis
using the maximum section may give non-conservative results.
2. The patterns of acceleration amplification for the dam with asymmetric plan
geometry of upstream and downstream slope with respect to the dam axis are similar
at each section along the dam axis of the 3-D model and at the maximum section of
the 2-D model, but the extent of amplification is different at each section; the
maximum amplification occurred at the maximum section. If two-dimensional
analysis is conducted by the procedures described in this study, the characteristics of
acceleration amplification evaluated by 2-D analysis might approximate those by 3-D
analysis.
ACKKNOWLEDGEMENT
This study was supported by a grant from the Construction Technology Innovation
Program (CTIP) funded by the Minister of Land, Transport, and Maritime Affairs
(MLTM) of the South Korean government. This financial assistance is gratefully
acknowledged. Special thanks are to John Stoessel and Tom Brown for their revisions and
helpful suggestions.
REFERENCES
Ambrasey, N.N., On the shear response of a two dimensional wedge subjected to an
arbitrary disturbance, Bulletin of the Seismological Society of America, Vol. 50, pp.4556, 1960.
Hatanaka, M., Fundamental considerations on the earthquake resistant properties of the
earth dam, Bulletin No. 11, Disaster Prevention Research Institute, Kyoto Univ., Japan,
1955.

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Itasca, FLAC Fast Lagrangian Analysis of Continua, Version 4.0, users guide,
Itasca Consulting Group, Inc., Minneapolis, Minnesota, 2000.
Makdisi, F.I., Performance and analysis of earth dams during strong earthquake,
Thesis presented of the University of California at Berkeley, 1976.
Mejia, L.H. and Seed, H.B., Three dimensional dynamic response analysis of earth
dams, Report No. UCB/EERC-81/15, Univ. of California, Berkeley, California, 1981.
Vrymoed, J., Dynamic FEM model of Oroville dam, Journal of Geotechnical
Engineering, Vol. 107, No. 8, pp.1057-1077, 1981.

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