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Engineering Geology 90 (2007) 174 185

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A correlation for permanent earthquake-induced deformation


of earth embankments
Raghvendra Singh, Debasis Roy , Debatosh Das
Department of Civil Engineering, Indian Institute of Technology, Kharagpur 721302, WB, India
Received 19 October 2006; received in revised form 28 December 2006; accepted 10 January 2007
Available online 20 January 2007

Abstract

Seismic design of earth dams and embankments is mainly controlled by the permanent deformation that may be induced directly
or indirectly because of the design earthquake. Simple design charts, such as those developed by Yegian et al. [Yegian, M.K.,
Marciano, E.A., and Ghahraman, V.G. 1991. Earthquake-induced permanent deformations: Probabilistic approach. J. Geotech.
Eng., 117, 3550.], Hynes-Griffin and Franklin [Hynes-Griffin, M.E., and Franklin, A.G. 1984. Rationalizing the Seismic
Coefficient Method. Miscellaneous Paper GL-84-13, US Army Corps of Engineers Waterways Experiment Station, Vicksburg,
Mississippi.], Makdisi and Seed [Makdisi, F.I., and Seed, H.B. 1978. Simplified procedure for estimating dam and embankment
earthquake-induced deformations. J. Geotech. Eng., 104, 849867.], and Sarma [Sarma, S.K. 1975. Seismic stability of earth dams
and embankments. Gotechnique, 25, 743761.], are often used to obtain a preliminary estimate of the permanent, earthquake-
induced deformation of earth dams and embankments. Comparison of permanent deformations estimated from these procedures
with observations from 122 published case histories on performance of earth dams and embankments during past earthquakes
indicate that the estimated permanent earthquake-induced deformations were, in general, smaller than the observed deformations.
However, the observed permanent deformation, Davg, was found to relate to the ratio of yield acceleration, ay, and the peak
horizontal ground acceleration, amax. The scatter in the observational data, upon which the Davgay/amax relationship is based, can
be partly explained by the variations in the ratio of the fundamental (elastic) period of the earth structure, TD, and the predominant
period of the earthquake ground motion, Tp, and the magnitude of the earthquake, MW.
2007 Elsevier B.V. All rights reserved.

Keywords: Earth dam; Embankment; Yield acceleration; Peak ground acceleration; Permanent deformation; Predominant period; Fundamental
period

1. Introduction deformation potential of the dam-foundation system.


Semi empirical charts are available, e.g., Yegian et al.
Geotechnical design of earth embankments and dams (1991), Hynes-Griffin and Franklin (1984), Makdisi and
for earthquakes is controlled to a great extent by the Seed (1978), and Sarma (1975), for obtaining prelimin-
ary estimates of permanent, earthquake-induced defor-
mation of earth dams and embankments from the results
Corresponding author. Tel.: +91 3222 283456 (Office), +91 3222
of limit-equilibrium, pseudo-static slope stability assess-
283457 (Home), +91 9333 451843 (Cell); fax: +91 1 208 361 6451.
E-mail addresses: rsingh@civil.iitkgp.ernet.in (R. Singh),
ment. In this paper we first compare the estimates of
debasis@civil.iitkgp.ernet.in (D. Roy), debatosh@yahoo.co.in permanent earthquake-related deformations of embank-
(D. Das). ments from these procedures with observations from 122
0013-7952/$ - see front matter 2007 Elsevier B.V. All rights reserved.
doi:10.1016/j.enggeo.2007.01.002
R. Singh et al. / Engineering Geology 90 (2007) 174185 175

published case histories documenting performance of The threshold acceleration above which the sliding
earth embankments and dams in past earthquakes (Table mass is mobilized down slope, called the yield accelera-
1). These case histories pertain to earthquakes of magni- tion, is usually estimated from pseudo-static slope
tudes between 4.5 and 8.1, peak horizontal ground acce- stability analysis. The inertial effect due to the earthquake
lerations between 0.02 g and 0.90 g, and a wide variety of is typically accounted for by including the horizontal
earth structures such as single zone earth embankments, seismic coefficient, which when multiplied by the weight
multi-zone earth and rock fill dams for retaining water, of the potential sliding mass (the volume of soil above the
and tailings dams. As is demonstrated in this paper, trial sliding surface and below slope face) provides a
available semi empirical procedures examined in this crude approximation of the average inertial force. Yield
study by and large underestimate the observed deforma- acceleration is taken to be equal to the horizontal seismic
tion of earth dams and embankments. coefficient for which the factor of safety against slope
An alternative correlation for estimating deformation instability is unity. Although the influence of the vertical
of an embankment dam based on the observations from component of earthquake-related ground motion is often
the case history database is then proposed relating the neglected, this factor can be approximately accounted for
average, earthquake-induced, permanent deformation of by including a vertical seismic coefficient.
the embankment, Davg, to the ratio of yield acceleration The sliding block procedure neglects the flexibility
(defined later), ay, and the peak horizontal ground of sliding mass usually leading to an overestimation of
acceleration due to earthquake, amax. An attempt has permanent deformation particularly for earthquake
also been made to identify the main causes of scatter in ground motions with higher predominant frequency. In
the data, based on which Davgay/amax relationship was contrast, the assumption that the contact between the
developed. potential sliding block and the base is rigid plastic leads
to an underestimation of permanent deformation
2. Procedures for estimating permanent deformation especially for soils that exhibit strain softening, e.g.,
soils susceptible to liquefaction and sensitive cohesive
The semi empirical methods for estimating permanent deposits. To accommodate conservatively the triggering
earthquake-related deformation of slopes examined in of liquefaction during an earthquake, the post-liquefac-
this study are based on the sliding block framework tion shear strength for liquefied soils is be used in the
(Newmark, 1965). This conceptual framework approx- pseudo-static slope stability analysis.
imates the potential sliding mass as a rigid body resting Permanent down slope movement depends on the
on a rigid sloping base. The contact between the potential shape of the acceleration pulse, i.e., whether the pulse is
sliding mass and the underlying slope is assumed as rectangular, sinusoidal or triangular, and the predomi-
rigid-plastic. According to this framework, the potential nant frequency of the earthquake ground motion. Sarma
sliding mass is mobilized down slope irreversibly when (1975) and Yegian et al. (1994) obtained closed form
ground acceleration in the down slope direction exceeds solutions for the permanent displacements for simple
the threshold required to overcome the cohesive- periodic ground motion with rectangular sinusoidal and
frictional resistance at the base of the sliding mass. For triangular wave forms. In his calculation, Sarma (1975)
a single pulse of down slope earthquake acceleration, the considered ground motion in an arbitrary direction,
instantaneous velocity of the sliding mass relative to the while Yegian et al. (1994) considered ground motion to
sloping base is therefore obtained by integrating the be parallel to the base of the potential sliding block.
amount by which the earthquake acceleration exceeds Makdisi and Seed (1978), and Hynes-Griffin and
the mobility threshold with respect to time. When the Franklin (1984), on the other hand, did not consider
magnitude of down slope earthquake acceleration drops the influence of vertical ground acceleration and related
back below the mobility threshold, the sliding mass empirically the permanent deformation of a sliding
would decelerate because of cohesive-frictional resis- block to the ratio of yield acceleration to peak horizontal
tance and eventually may lose mobility. To obtain the ground acceleration at the elevation of the toe of the dam
magnitude of incremental, relative, down slope displace- considering a suite of earthquake accelerograms.
ment of the sliding mass for the earthquake acceleration
pulse that mobilized it, the instantaneous relative velocity 3. Methodology
is integrated against time. The total, relative, down slope
displacement of the sliding mass is then estimated by An outline of the procedures for parameter estimation
summing up all such incremental relative displacements and data analysis used in this study is provided in the
over the entire duration of earthquake. following subsections.
176 R. Singh et al. / Engineering Geology 90 (2007) 174185

Table 1
Case histories
No. Dam, type(1), input source(2) Earthquake TD Dobs (m) Reference
(km) (s)
Date MW, amax (g) Horizontal Vertical
1 Anderson, 8, c 10/17/89 7.0, 0.260(3) 16 1.08 0.021 0.041 Harder (1991)
2 4/24/84 6.2, 0.410 16 1.08 0.009 0.014 Bureau et al. (1985)
3 Artichoke Farm, 2, b 10/17/89 7.1, 0.330 27 0.08 0.300(4) 0.600 Miller and Roycroft (2004a,b)
4 Austrian, 7, c 10/17/89 7.0, 0.575 11 0.79 0.305 0.789 Harder (1991)
5 Asagawara Regulatry, 7, c 10/23/04 6.8, 0.120 24 0.53 0.400 0.700 Yasuda et al. (2005)
6 Baihe, 7, a 7/28/76 7.8, 0.200 150 0.89 7.000 2.500 Lingyao et al. (1980)
7 Brea, 7, a 1/17/94 6.9, 0.190 67 0.76 0.001 0.001 Abdel-Ghaffar and Scott (1979)
8 Chabbot, 5, a 4/18/06 8.3, 0.570 32 0.99 0.225 0.450 Makdisi and Seed (1978)
9 10/17/89 7.0, 0.100 60 0.99 0.001 0.001
10 Chang, 7, b 1/26/01 7.6, 0.500 13 0.25 6.070 2.640 Singh et al. (2001)
11 Chofukuji, 7, c 10/23/04 6.8, 0.100 21 0.38 0.050 0.070 Yasuda et al. (2005)
12 Chonan, 4, a 12/17/87 6.7, 0.120 40 0.11 11.560 3.870 Ishihara et al. (1990a,b)
13 Cogoti, 9, a 4/4/43 7.9, 0.190 89 0.83 0.000 0.350 Arrau et al. (1985)
14 3/28/65 7.1, 0.040 153 0.83 0.001 0.001
15 7/8/75 7.5, 0.050 165 0.83 0.001 0.001
16 3/8/85 7.7, 0.030 280 0.83 0.001 0.001
17 Cogswell, 9, a 10/1/87 6.0, 0.060 29 0.69 0.001 0.001 Boulanger et al. (1995)
18 6/28/91 5.6, 0.260 4 0.69 0.041 0.016
19 Demi 1, 7, b 1/26/01 7.6, 0.200 90 0.23 0.100 0.050 Krinitzsky and Hynes (2002)
20 Douhe, 4, c 7/28/76 7.8, 0.900 20 0.22 0.510 1.640 Yan (1991)
21 El Cobre, 12, a 3/28/65 7.2, 0.800 40 0.49 280.00 32.000 Dobry and Alvarez (1967)
22 El Infiernillo D/S, 8, a 3/14/79 7.6, 0.230 110 1.58 0.034 0.046 Resendiz et al. (1982)
23 El Infiernillo U/S, 8, a 3/14/79 7.6, 0.230 110 1.58 0.044 0.128 Ditto
24 9/19/89 8.1, 0.200 113 1.58 0.025 0.049
25 9/21/89 7.2, 0.120 116 1.58 0.033 0.065
26 El Khattabi, 10, c 2/24/04 6.4, 0.250 21 0.37 0.010 0.010 EERI (2004)
27 Chesbro, 7, c 10/17/89 7.0, 0.425 13 0.46 0.015 0.113 Harder (1991)
28 Fatehgadh, 7, b 1/26/01 7.6, 0.300 80 0.28 2.230 1.030 Singh et al. (2001)
29 Gongen, 8, c 1/17/95 8.2, 0.107 28 0.4 0.001 0.001 Matsumoto et al. (1996)
30 Guadalupe, 7, c 10/17/89 7.0, 0.425 19 0.68 0.045 0.195 Harder (1991)
31 Gldrcek, 7, a 6/6/00 5.9, 0.152 19 0.91 0.010 0.020 Ozkan et al. (2006)
32 Hachiro Gata, 4, b 5/26/83 7.7, 0.168 95 0.08 12.230 2.540 Olson (2001)
33 Hawkins, 6, a 10/17/89 7.0, 0.225 34 0.15 0.001 0.001 Harder (1991)
34 Hebgen, 7, a 8/17/59 7.5, 0.700 100 0.47 5.760 1.920 Seed et al. (1978)
35 Hokkaido Tailings, 12, a 5/16/68 7.9, 0.225 180 0.14 41.100 12.500 Ishihara et al. (1990a,b)
36 Industrial, 2, b 10/17/89 7.1, 0.330 18 0.12 0.001 0.400 Miller and Roycroft (2004a,b)
37 Ishibuchi, 9, c 5/26/03 7.1, 0.270 85 0.63 0.001 0.001 Nagayama et al. (2004)
38 Kalaghoda, 7, b 1/26/02 7.6, 0.300 65 0.18 0.050 0.025 Krinitzsky and Hynes (2002)
39 Kalpong, 9, c 9/14/02 6.5, 0.100 21 0.35 0.001 0.001 Rai and Murty (2003)
40 Kanayatani, 10, c 10/6/00 7.3, 0.110 14 0.05 1.000 0.750 Matsuo (2000)
41 Kashi, 7, a 8/23/85 7.4, 0.250 21 0.25 0.300 0.400 Choggang (1998)
42 9/12/85 6.8, 0.500 16 0.25 1.000 1.500
43 Kaswati, 7, b 1/26/01 7.6, 0.280 110 0.33 2.400 1.210 Singh et al. (2001)
44 Kawanishi, 7, c 10/23/04 6.8, 0.140 17 0.59 0.300 0.300 Yasuda et al. (2005)
45 Kitayama, 7, c 1/17/95 7.1, 0.300 31 0.34 0.750 0.750 Sakamoto et al. (2002)
46 Kodanuma, 4, a 5/16/68 7.9, 0.225 0.05 12.360 1.290 Mishima and Kimura (1970)
47 Kushiro Dike, 1, b 1/15/93 7.8, 0.200 19 0.11 3.000 2.000 Sasaki et al. (1995)
48 La Marquesa, 7, a 3/3/85 7.8, 0.670 45 0.11 7.900 2.050 deAlba et al. (1988)
49 La Palma, 7, a 3/3/85 7.8, 0.460 80 0.12 1.830 0.610 Ditto
50 La Villita, 8, a 11/15/75 5.9, 0.084 10 0.94 0.012 0.024 Elgamal et al. (1990)
51 10/11/75 4.9, 0.148 52 0.94 0.012 0.024
52 3/14/79 7.6, 0.100 11 0.94 0.012 0.013
53 10/25/81 7.3, 0.174 121 0.94 0.024 0.114
54 9/19/85 8.1, 0.240 58 0.94 0.102 0.336
55 Lake Merced, 4, a 3/22/57 5.3, 0.120 5 0.27 25.900 6.660 Olson (2001)
56 Lexington, 7, c 10/17/89 7.0, 0.450 10 0.77 0.075 0.259 Harder (1991)
R. Singh et al. / Engineering Geology 90 (2007) 174185 177

Table 1 (continued)
No. Dam, type(1), input source(2) Earthquake TD Dobs (m) Reference
(km) (s)
Date MW, amax (g) Horizontal Vertical
57 Long Valley, 7, a 5/27/80 6.1, 0.250 16 0.52 0.001 0.001 Lai and Seed (1980)
58 Lower San Fernando, 6, a 2/9/71 6.6, 0.450 8 0.48 17.355 7.950 Seed et al. (1975)
59 1/17/94 6.9, 0.320 11 0.48 0.150 0.150 Bardet and Davis (1996)
60 Lower Van Norman, 7, a 2/9/71 6.6, 0.600 13 0.38 0.001 0.144 Chaney (1979)
61 LA Dam, 7, a 1/17/94 6.9, 0.430 7 0.6 0.024 0.088 Seed et al. (1978)
62 Makubetsu, 7, c 9/26/03 8.0, 0.251 141 0.42 0.700 0.500 Nagayama et al. (2004)
63 Matahina, 8, a 3/2/87 6.5, 0.241 11 1.08 0.250 0.099 Pender and Robertson (1987)
64 May 1 Slide, 11, a 1/23/89 5.5, 0.150 3 0.37 18.040 5.920 Ishihara et al. (1990a,b)
65 Metoki, 4, a 5/16/68 7.9, 0.225 180 0.14 32.000 5.000 Ditto
66 Miboro, 8, c 8/19/61 7.0, 0.150 16 1.43 0.052 0.026 Bureau et al. (1985)
67 Miho, 8, c 1/29/80 6.6, 0.031 57 1.22 0.001 0.001 Iwashita et al. (1995)
68 4/14/81 4.5, 0.032 13 1.22 0.001 0.001
69 8/8/83 6.0, 0.152 12 1.22 0.001 0.001
70 12/17/87 6.6, 0.011 131 1.22 0.001 0.001
71 8/5/90 5.1, 0.028 24 1.22 0.001 0.001
72 2/2/92 5.7, 0.012 73 1.22 0.001 0.001
73 Mill Creek, 6, c 10/17/89 7.0, 0.275 29 0.3 0.007 0.015 Harder (1991)
74 Minoogawa, 8, c 1/17/95 7.1, 0.135 48 0.57 0.001 0.001 Matsumoto et al. (1996)
75 Mochikoshi 1, 12, a 1/14/78 7.0, 0.250 8 0.42 122.50 22.750 Okusa and Anma (1980)
76 Mochikoshi 2, 12, a 1/14/78 7.0, 0.250 8 0.42 64.700 15.900 Ditto
77 Murayama, 7, a 9/1/23 8.2, 0.800 96 0.52 1.800 1.200 Seed et al. (1978)
78 Nalband, 4, a 12/7/88 6.8, 0.750 28 0.24 2.000 3.000 Yegian et al. (1994)
79 Newell, 8, c 10/17/89 7.0, 0.425 10 0.75 0.230 0.011 Harder (1991)
80 Niteko Lower, 3, b 1/17/95 6.9, 0.400 4 0.21 0.000 2.000 Nicholas (1995)
81 Niteko Middle, 3, b 1/17/95 6.9, 0.400 4 0.17 22.000 2.700 Ditto
82 Niteko Upper, 3, b 1/17/95 6.9, 0.400 4 0.17 22.000 2.700 Ditto
83 Niwa Ikum-ine, 7, b 7/12/93 7.8, 0.280 71 0.23 0.000 1.750 Tani (1995)
84 O Neil, 3, c 10/17/89 7.0, 0.110 59 0.37 0.001 0.001 Harder (1991)
85 Ono, 7, a 9/1/23 8.2, 0.800 96 0.52 0.244 0.305 Seed et al. (1978)
86 Oya, 8, c 12/8/93 5.0, 0.004 42 0.51 0.001 0.001 Iwashita et al. (1995)
87 2/16/93 5.0, 0.010 28 0.51 0.001 0.001
88 2/2/93 4.8, 0.015 9 0.51 0.001 0.001
89 2/7/93 6.5, 0.067 31 0.51 0.001 0.001
90 2/8/93 4.9, 0.007 37 0.51 0.001 0.001
91 6/7/94 4.9, 0.005 40 0.51 0.001 0.001
92 Oroville, 7, a 8/1/75 6.0, 0.110 7 2.74 0.001 0.007 Bureau et al. (1985)
93 Route 272, 4, a 1/15/93 7.8, 0.380 20 0.13 26.600 5.250 Miura et al. (1995)
94 Rudramata, 7, b 1/26/01 7.6, 0.300 80 0.28 4.330 0.830 Singh et al. (2001)
95 San Justo, 8, c 10/17/89 7.0, 0.260 27 0.51 0.001 0.001 Harder (1991)
96 San Luis, 3, a 10/17/89 7.0, 0.060 54 1.32 0.001 0.001 Harder (1991)
97 Sasoi, 7, b 1/26/01 7.6, 0.200 120 0.27 0.090 0.025 Krinitzsky and Hynes (2002)
98 Shibecha cho, 4, a 1/15/93 7.8, 0.380 40 0.16 30.700 9.260 Miura et al. (1995)
99 Shin Yama-moto Reg, 8, c 10/23/04 6.8, 0.550 6 0.56 0.020 0.020 Yasuda et al. (2005)
100 Shiribeshi Toshibetsu Dike 1, 1, a 7/12/93 7.8, 0.184 100 0.09 5.400 2.700 Ozutsumi et al. (2002)
101 Shiribeshi Toshibetsu Dike 2, 1, a 7/12/93 7.8, 0.184 100 0.07 2.400 1.260 Ditto
102 Shiribeshi Toshibetsu Dike 3, 1, a 7/12/93 7.8, 0.184 100 0.07 1.200 0.630 Ditto
103 Shivlakha, 7, b 1/26/01 7.6, 0.450 28 0.26 3.180 1.620 Singh et al. (2001)
104 Soda Lake, 13, c 10/17/89 7.0, 0.325 29 0.19 0.001 0.600 Harder (1991)
105 Solfatara, 1, a 5/18/40 7.1, 0.330 19 0.05 11.000 2.000 Olson (2001)
106 South side Levee, 2, b 10/17/89 7.1, 0.330 18 0.12 0.001 0.500 Miller and Roycroft (2004a,b)
107 Surajbari, 4, c 1/26/01 7.6, 0.350 40 0.12 1.000 0.300 EERI (2001)
108 Surgu, 8, a 5/5/86 6.6, 0.210 10 0.34 0.001 0.150 Ozkan et al. (1996)
109 Suvi, 7, b 1/26/01 7.6, 0.420 37 0.24 4.000 1.100 Singh et al. (2001)
110 Takami, 8, c 9/26/03 8.0, 0.325 140 1.31 0.001 0.001 Nagayama et al. (2004)
111 Tapar, 7, b 1/26/01 7.6, 0.150 43 0.21 0.500 0.800 Singh et al. (2001)
112 Tokachi River Dike Right Bank, 1, c 9/27/03 8.1, 0.400 125 0.09 3.650 2.000 Okamura (2003)
(continued on next page)
178 R. Singh et al. / Engineering Geology 90 (2007) 174185

Table 1 (continued)
No. Dam, type(1), input source(2) Earthquake TD Dobs (m) Reference
(km) (s)
Date MW, amax (g) Horizontal Vertical
113 Tokiwa, 7, a 1/17/95 7.1, 0.200 10 0.49 0.001 0.001 Matsumoto et al. (1996)
114 Torishima Dike 1, 1, a 1/17/95 6.9, 0.224 40 0.15 3.500 3.000 Ozutsumi et al. (2002)
115 Torishima Dike 2, 1, a 1/17/95 6.9, 0.224 40 0.14 0.900 0.300 Ditto
116 Tsuboyama, 7, c 10/23/04 6.8, 0.130 19 0.29 0.070 0.070 Yasuda et al. (2005)
117 Upper San Fernando, 6, a 2/9/71 6.6, 0.450 11 0.38 1.500 0.900 Seed et al. (1975)
118 1/17/94 6.7, 0.320 11 0.46 0.200 0.150 Bardet and Davis (1996)
119 Vasona, 7, c 10/17/89 7.0, 0.400 9 0.19 0.027 0.050 Harder (1991)
120 Waste Water Treatment Plant, 2, b 10/17/89 7.1, 0.330 23 0.08 0.001 0.020 Miller and Roycroft (2004a,b)
121 Yamamoto Regulatory, 7, c 10/23/04 6.8, 0.550 7 0.38 0.500 0.500 Yasuda et al. (2005)
122 Yumigahama, 4, b 10/6/00 7.3, 0.300 20 0.13 1.500 1.000 Matsuo (2000)
(1) Dam types: 1 = 1-zone levee, 2 = Multi zone levee, 3 = 1-zone earth dam, 4 = 1-zone embankment, 5 = 1-zone hydraulic fill dam, 6 = Multi zone
hydraulic fill, 7 = Compacted multi zone dam, 8 = Multi zone rock fill dam, 9 = Concrete faced rock fill dam, 10 = Concrete faced decomposed granite
or gravel dam, 11 = Natural slope, 12 = Upstream constructed tailings dam, 13 = Downstream constructed tailings dam.
(2) Source of input parameters: a = Directly available from primary reference, b = Site specific Standard or Cone Penetration Test data, c = Generic
soil properties based on material description.
(3) amax values in italics indicate cases where ground motions were measured at dam site.
(4) Displacements in italics indicate cases involving liquefaction.

3.1. Peak ground acceleration For 100 km, a vertical seismic coefficient of 0.33
times the horizontal seismic coefficient was used.
The estimates for amax were available from the For intermediate values of , linear interpolation
references cited in Table 1. As indicated in Table 1, these between the above two limits was used.
estimates were more commonly from attenuation
relationships specifically developed for the earthquake Wherever vertical as well as horizontal accelereo-
considered in the reference and rarely from acceleration grams were available, the ratio of the vertical and
records from instruments installed near the dams or horizontal seismic coefficients was assumed to be the
embankments. same as that of the peak vertical and horizontal ground
accelerations.
3.2. Yield acceleration
3.3. Soil parameters
The yield acceleration was estimated from pseudo-
static slope stability analysis. Software package XSTABL In terms of soil parameters such as shear strength and
Version 5.1 (Interactive Software Designs, Inc., 1994) was unit weights the database assembled in this study is
used in these analyses. Simplified Bishop method was reasonably constrained. In approximately 65% of the
used together with undrained shear strength and other soil case histories, the shear strength and unit weights of soil
properties estimated as discussed in the following and rock fill within and underneath the embankment or
subsection. dam body were estimated from site and material specific
In the first series of analyses, only the horizontal Standard Penetration Test (SPT) blow counts, (N1)60,
seismic coefficients were used. In the second series of Cone Penetration Test (CPT) tip resistance, qc1, or
analyses the vertical seismic coefficients were also laboratory tests as explained in Table 1. For the
included. Except for the few instances where the vertical remaining cases material specific test data were not
as well as horizontal accelerograms were available at the available. To analyze these dams, generic properties were
site of the dam or embankment, the vertical seismic used. Such uncertainties in the input soil parameters exist
coefficients were assumed to be in proportion of the in many projects at the preliminary design stage.
corresponding horizontal seismic coefficient according For soils underneath water table, the pre-and post-
to: liquefaction shear strengths were estimated following
Olson and Stark (2003) for soils characterized with
For cases involving epicentral distance, , of up to normalized SPT blow count, (N1)60, of up to 12 or
10 km, a vertical seismic coefficient of 0.83 times the normalized cone tip resistance, qc1, of up to 6.5 MPa.
horizontal seismic coefficient was used. Soils with greater penetration resistance are considered
R. Singh et al. / Engineering Geology 90 (2007) 174185 179

non liquefiable. For non liquefiable soils, the shear


strength was estimated using McGregor and Duncan
(1998) where penetration data were available unless
the parameters were directly available from the case
history reference. Range of shear strength and other
input parameters associated with different types of
dam, embankment or foundation materials are listed in
the Table 2.

3.4. Observed earthquake-induced deformation

For estimating the average, earthquake-induced,


permanent deformation, Davg, the displacement vector
representative of the soil mass that participated in
Fig. 1. Charts for estimating fundamental period (modified from
movement was first found. Columns 7 and 8 of Table 1 Gazetas and Dakoulas, 1991).
list the vertical and horizontal components of this vector.
Deformation, Davg, was then calculated by taking the
dot product of the displacement vector and a unit vector
aligned along the average inclination of the base of the representative of the body of embankment or dam. For
sliding surface. materials other than rock fill, Vs was obtained from
(Andrus and Stokoe, 2000):
3.5. Fundamental period of dam Vs 93:2  N1 0:231 2
60

Unless the fundamental (elastic) period, TD, of the where (N1)60 is the normalized SPT blow count. For
embankment or dam were reported in the references rock fill, Vs was assumed to be 350 m/s. In a few
listed in Table 1, TD was estimated using Fig. 1, and instances where the case history references reported the
assuming a valley geometry between narrow and wide values of TD, these values were used directly.
trapeziums for embankments or dams with crest lengths
of up to ten times their maximum heights. The 3.6. Predominant period of earthquake ground motion
procedure requires an estimate of the fundamental
period, TD, of an identical but infinitely long dam or In a few instances, predominant period of earthquake
embankment (i.e., a structure longer than about ten ground motion, Tp, was reported in the references listed
times the maximum height). In this study, TD was in Table 1 based on acceleration records from strong
obtained from (Gazetas and Dakoulas, 1991): motion instruments at dam sites. In most of the cases,
however, Tp was estimated following Idriss (1991).
TDl 2:61H=Vs 1
where H is the maximum height of the dam or 4. Comparison between observed and predicted
embankment and Vs is the average shear wave velocity deformations

The results of observed, average earthquake-induced


Table 2 permanent deformation and permanent deformations
Soil properties of various types of dams, embankments and tailings obtained from the semi empirical procedures developed
Soil Unit Unit weight Cohesion su/v by Yegian et al. (1991), Makdisi and Seed (1978),
(kN/m3) (kPa) Sarma (1975), and the upper bound relationship of
Sand and gravel 1819 3037 0 Hynes-Griffin and Franklin (1984), D S , D Y , D
M , and D H ,
shell respectively, are listed in Table 3. Using these results,
Rock fill 2022 4045 0
overestimation of permanent deformations, , was
Concrete facing 24 0 100
Sand and silt 1420 3035 0 calculated using for each of these procedures:
sized tailings X D Davg =Davg 3
Silty sand 1620 3035 0
Liquefiable soils 1620 0.050.11 where D is the permanent deformations estimated from
Peat 1011 0 1114
the semi empirical procedures (subscripts have been
180 R. Singh et al. / Engineering Geology 90 (2007) 174185

Table 3 Table 3 (continued)


Observed and Predicted permanent deformations S (m) Y (m) M (m)
No. Davg (m) D D D D H (m)
No. Davg (m) S (m)
D Y (m)
D M (m)
D D H (m)
64 0.268 0.003 0.003 0.004
1 0.033 0.000 65 18.986 0.324
2 0.013 0.034 0.007 0.010 66 30.953 5.352
3 0.400 0.004 0.001 0.002 67 0.058 0.000
4 0.511 0.092 0.084 0.108 0.345 70 0.001 0.000
5 0.631 0.002 0.003 0.003 74 0.010 0.027 0.018 0.022 0.216
6 7.418 0.143 0.246 0.129 75 0.001 0.000
7 0.001 0.000 76 124.589 3.331
8 0.377 0.261 0.874 1.129 0.785 77 66.545 3.323
9 0.001 0.000 78 2.024 0.685 1.001 1.055
10 6.546 0.593 1.865 0.785 1.768 79 2.491 8.550
11 0.068 0.000 0.000 0.000 80 0.220 0.049 0.020 0.024 0.175
12 12.104 0.232 0.468 0.113 2.993 81 0.684 0.227 0.369 0.315 1.024
13 0.079 0.000 82 21.306 0.243 0.912 0.397
17 0.001 0.000 83 21.306 0.243 0.912 0.397
18 0.043 0.002 0.003 0.184 84 0.541 0.250 0.263 0.312 0.631
20 0.814 0.138 0.195 0.371 85 0.337 0.770 1.262 0.942
21 274.059 11.960 89 0.001 0.000
22 0.047 0.000 92 0.003 0.000
23 0.094 0.005 0.009 0.002 93 27.017 13.906
24 0.040 0.020 0.073 0.014 94 4.408 0.394 0.513 0.288 0.606
25 0.054 0.000 95 0.001 0.001
26 0.014 0.003 0.002 0.003 96 0.001 0.000
27 0.048 0.084 0.070 0.093 0.368 98 31.652 13.187
28 2.395 0.400 0.584 0.363 0.652 99 0.025 0.067 0.014 0.017
30 0.091 0.064 0.041 0.053 0.268 100 5.931 0.344 0.750 0.542
31 0.013 0.000 101 2.644 0.109 0.110 0.068
32 12.471 12.953 102 1.322 0.017 0.037 0.009
33 0.001 0.000 103 3.525 0.058 0.047 0.042 0.214
34 6.061 0.731 0.946 0.562 0.451 104 0.105 0.034 0.023 0.020 0.229
35 42.181 20.374 105 11.113 2.892 0.518 4.745
36 0.104 0.002 106 0.188 0.003 0.001 0.001
37 0.001 0.001 0.001 107 1.043 0.119 0.135 0.155
38 0.055 0.003 108 0.040 0.002 0.003 0.004
39 0.001 0.000 0.000 109 4.144 0.203 0.359 0.396 0.738
40 1.208 0.024 0.022 0.028 0.356 110 0.001 0.000
41 0.399 0.027 0.018 0.020 0.189 111 0.712 0.020 0.002 0.001
42 1.375 0.155 0.106 0.185 0.512 112 3.880 1.189 4.074 2.181
43 1.375 0.155 0.106 0.185 0.512 113 0.001 0.004 0.006
44 2.641 0.122 0.092 0.046 0.202 114 4.157 0.106 0.109 0.176 0.727
45 0.373 0.000 115 0.947 0.001 0.045 0.063
46 0.928 0.039 0.025 0.029 116 0.085 0.000
47 12.396 4.094 117 1.690 0.116 0.086 0.089 0.491
48 3.389 0.278 0.185 0.250 0.724 118 0.223 0.000 0.032 0.076
49 7.696 15.559 3.302 5.339 119 0.040 0.000
50 1.927 0.837 2.891 1.362 1.809 120 0.004 0.000
51 0.017 0.000 121 0.606 0.243 0.355 0.433 0.894
52 0.017 0.000 122 1.697 0.109 0.191 0.188 0.717
53 0.016 0.000
54 0.051 0.000
55 0.180 0.004 0.006 0.002
56 26.443 0.339 omitted for convenience). Fig. 2 presents the cumulative
57 0.127 0.118 0.122 0.178 0.506
frequency distribution of against percentage of cases.
58 0.067 0.132 0.073 0.089 0.433
59 18.629 3.093 These results indicate that the semi empirical procedures
60 0.001 0.001 developed by Yegian et al. (1991), Makdisi and Seed
61 0.167 0.045 0.025 0.050 (1978), and Sarma (1975) underestimated permanent
62 0.050 0.085 0.066 0.085 0.371 deformations for 82% to 92% of the case histories. The
63 0.763 0.008 0.017 0.012
corresponding figure for the Hynes-Griffin and Franklin
R. Singh et al. / Engineering Geology 90 (2007) 174185 181

(1984) upper bound relationship is 67%. The fact that


the procedures evaluated here are based on rigid-plastic
material behavior is likely to be one of the reasons for
underestimation of permanent deformation of dams and
embankments because these structures are constructed
with flexible materials.
Arguably, the procedures examined here were not
developed for materials expected to exhibit significant
strain softening, e.g., potentially liquefiable soils.
However, as is apparent from the results only represent-
ing non liquefied cases presented in Fig. 2, removal of
case histories involving limited or significant extents of
liquefaction from the database of dam performance case
histories does not appear to improve the performance of
the procedures.

5. Davgay/amax relationship

As is apparent from the previous section, existing


semi empirical procedures examined in this study
generally underestimate permanent earthquake-related
deformations. An alternative correlation is proposed
here to represent the case history observations better.

Fig. 3. Davgay/amax correlation using horizontal ground motion only.

The values of Davg have been plotted against ay/amax


in Fig. 3. In this figure, the symbols are labeled with
numerals denoting the case history serial number found
in column 1 of Table 1. A best fit, non-linear relation-
ship between the logarithms of Davg and ay/amax
representing these data is presented in Fig. 3 (r2 = 0.75
in terms of the logarithms of Davg and ay/amax) together
with an upper bound relationship representing 80%
prediction limit (Eqs. (4) and (5), respectively).

logDavg 1:4072:773  logay =amax


0:667  flogay =amax g2 4

logDavg 0:6942:684  logay =amax


0:652  flogay =amax g2 5

For developing these relationships, data with ay/


amax 4 were neglected. Secondly, in order to facilitate
plotting of data in loglog space, ay/amax was arbitrarily
taken as 0.01, where ay/amax < 0.01. However, the
Davgay/amax relationships were found to be insensitive
to the assumed cut off for ay/amax if the cut off was
between 0.01 and 0.001. The Davgay/amax relationships
Fig. 2. Comparison of estimated and observed permanent deformations. were also found to be insensitive to whether or not the
182 R. Singh et al. / Engineering Geology 90 (2007) 174185

Fig. 4. Influence of TD/Tp, MW and on Davg.

cases with large permanent deformations (Davg 3 m)


were included while developing the relationships.
Also included in Fig. 3 is the upper bound relation-
ship of Hynes-Griffin and Franklin (1984), which
illustrates that Hynes-Griffin and Franklin (1984)
upper bound relationship somewhat underestimates the
observed deformation.

6. Causes for uncertainty in the Davgay/amax


relationship

Possible causes for the scatter in the data upon which


the Davgay/amax relationship was based are explored in
this section. Fig. 4a illustrates a bar chart of mean Davg
plotted against the bins of TD/Tp for which the means are
computed. From these data it appears Davg decreases
with TD/Tp, and Davg becomes particularly small for TD/
Tp 2.
Fig. 4b illustrates the variation of mean Davg with
MW indicating that Davg increases with MW. Specifically,
Davg appears to become significant only for MW 6.5
(approximately).
Fig. 4c illustrates the lack of dependence of Davg on
epicentral distance, . Since the vertical ground accel-
eration is generally perceived to be a decreasing function
of epicentral distance, from the results presented in Fig. Fig. 5. Davgay/amax correlation considering horizontal and vertical
4c it is expected that the permanent deformation is not a ground motions.
R. Singh et al. / Engineering Geology 90 (2007) 174185 183

strong function of vertical ground acceleration. It needs to the observed, permanent, earthquake-related deforma-
be mentioned that for preparing Fig. 4, we neglected the tions is related to the ratio of yield acceleration and the
data with ay/amax 0.01. peak horizontal ground acceleration. Possible causes for
The facts that (a) in approximately 35% of the the scatter in the Davgay/amax data, upon which the
cases generic soil properties were used in slope correlation is based, have also been explored. This
stability computations, and (b) the estimates of peak exercise indicates that the scatter is to be partially due to
horizontal ground acceleration at the location of dams the variation in the ratio of the fundamental period of the
and embankments were for the most part from event- dam or embankment and the predominant period of
specific attenuation relationships also contributed to earthquake ground motion and the magnitude of the
the scatter in the Davgay/amax data. Further, although earthquake.
the pseudo static slope stability analyses of this study Further, a series of pseudo static stability analyses
are based on the assumption of inherently isotropic was performed considering the seismic coefficients
material behavior, actual undrained response of representing both horizontal and vertical ground accel-
granular soils are understood to be anisotropic. erations. The results of this series of analyses indicate
that permanent earthquake-related deformations of earth
7. Use of vertical ground motion in stability analysis dams and embankments are not a strong function of
vertical ground acceleration. Consequently, it is sug-
To explore the influence of vertical ground accelera- gested that inclusion of vertical ground acceleration in
tion on earthquake-related permanent deformations, seismic analyses of earth dams and embankments may
pseudo-static slope stability analyses were carried out not improve the reliability of the procedure for
for the dams and embankments listed in Table 1. estimation of permanent earthquake-related deforma-
Selection procedures for vertical seismic coefficients in tions of earth dams and embankments.
this series of slope stability analyses are as discussed
earlier. The results of these analyses (Fig. 5) indicate that Acknowledgement
use of vertical accelerations in slope stability assessment
the scatter in the data is not minimized. This inference is Mr. Eric Olson of the Operations Planning and
in qualitative agreement with that deduced from the data Analysis Unit, Santa Clara Valley Water District,
presented in Fig. 4c. However, it should be noted that California, USA, provided reservoir elevations for
site specific vertical accelerations were not available in some of the case histories analyzed in this paper.
most cases for these analyses. Consequently, any
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