STATE-OF-THE-ART DAM-FOUNDATION INTERACTION PROCEDURE

FOR A NON-LINEAR ARCH DAM ANALYSIS

Gurinderbir S. Sooch (M.A.Sc., P.Eng.)1

Dan D. Curtis (M.A.Sc., P.Eng.)2
Michael Likavec (P.E.)3
Larry K. Nuss (P.E.)4

ABSTRACT

A state-of-the-art seismic analysis of an Lower Arch Dam is presented in this paper. The
effect of various dam-foundation modeling assumptions on the seismic analysis of an
arch dam is also presented. Recently, Lokke and Chopra (2018) presented a direct finite-
element method for nonlinear analysis of semi-infinite dam-water-foundation systems.
An alternative procedure, based on the Lokke and Chopra (2018) work, was developed
for seismic input to a nonlinear arch dam analysis. The newly developed procedure is
effective when dealing with the foundation domain which includes spatial variation in
modulus along the height of the canyon. The new procedure overcomes many problems
in properly modeling dam-foundation interaction. An example analysis of an existing
arch dam is also presented.

INTRODUCTION

Lower Baker Dam is a 285 ft. high and 550 ft long thick arch dam that was constructed in
1925. It is located across the Baker river one mile north of Concrete, Washington. The
dam is operated by Puget Sound Energy (PSE) as part of the Baker River Hydroelectric
Project. The geology at Lower Baker Dam is quite complex. Also, available information
regarding the dam construction was limited as most of the historical records were lost in
Power house landslide in 1960’s. Therefore, PSE undertook an extensive effort in 2015 to
2017 for information gathering and field exploration at Lower Baker Dam. Also,
performance-based testing was performed to identify the fundamental dynamic
characteristics i.e., natural frequencies, damping etc. of the dam.

A three-dimensional finite element model was created with 542,228 elements and
584,021 nodes. The dam, reservoir and foundation were modeled with 8-noded solid
elements. The material properties, i.e., elastic modulus of foundation and concrete were
adjusted to match natural frequencies obtained from PBT.

PERFORMANCE BASED TESTING (PBT) TECHNIQUE

1
Civil/Structural Engineer, HATCH Ltd, 4342 Queen St, Suite 300, Niagara Falls ON Canada L2E 7J7
+1 905 374 0701 ext 5252, gurinderbir.sooch@hatch.com .
2
Senior Project Manager, HATCH Ltd, 4342 Queen St, Suite 300, Niagara Falls ON Canada L2E 7J7
+1 905 357 6998, dan.curtis@hatch.com .
3
Dam Safety Engineer, Puget Sound Energy, 10885 NE 4th St, Bellevue, WA, +1 425 456-2133,
Michael.Likavec@pse.com .
4
Senior Structural Engineer, Nuss Engineering, LLC, 10065 Silver Maple Circle, Highlands Ranch, CO
80129, +1 303 517 8504, Larry.K.Nuss@NussEngineering.com .

Copyright © 2019 U.S. Society on Dams. All Rights Reserved. 1

Performance Based Testing (PBT) was originally developed to investigate energy
dissipation of large suspension cable bridge systems, and was adapted to concrete dams
in 2012. The primary purpose of the testing at Lower Baker Dam (LBD) was to identify
the fundamental dynamic characteristics, i.e., natural frequencies, damping, etc, of Lower
Baker Dam. The detailed explanation regarding the PBT is given in Sooch et. al. (2017).

The technique is unique for its ability to deliver a short duration, large amplitude load to
a large civil structure that induces impulse responses that contain inherent behavior
characteristics of the structure. A Cold Gas Thruster (CGT) was used to deliver a high
amplitude, short duration force pulse to the dam, and is mounted to a bracket and bolted
onto the top of Pier at Lower Baker Dam. The transients that result from PBT are
considered to be impulse responses that contain the dominant characteristics of the
complete dam-foundation-reservoir system, which can be used to extract dynamic
properties of the dam, identify influencing factors and interaction effects, and can even be
used to develop predictions of the dam’s response under a wide class of loading
conditions through convolution.

Resonant Frequency Estimates

The identification of the dam’s resonant frequencies was based on spectral response
peaks estimated from both PBT and ambient measurements. The transient and short
duration characteristics of the PBT responses lend themselves well to non-Fourier based
spectral estimation methods and both Burg and Maximum Entropy Method (MEM) based
techniques were used in the evaluation of the dam’s resonances. The ambient responses
were evaluated using both Fourier and non-Fourier based methods. A typical estimate of
power spectral density (PSD) associated with the dam’s response during PBT is shown in
Figure 1.

Figure 1. Spectral Response at SP02 in the Radial Direction during PBT

The shapes of the resonant peaks, their distribution, and the smoothness in the spectral
estimate are typical of the spectral estimates for the dam, and indicate high data quality

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associated with the PBT measurements. There are nine resonant frequencies estimated
between 4-15 Hz in the dam, which can be found in Table 1.
Table 1. Resonant Frequencies for Lower Baker Dam
Resonance No. Frequency (Hz)
1 4.92
2 5.92
3 6.88
4 7.52
5 9.68
6 10.88
7 12.62
8 13.82
9 14.7

The resonant frequency values for the first two resonances vary less than 4% across the
different estimates made from the PBT measurements.

NUMERICAL ESTIMATE OF NATURAL FREQUENCIES

A 3D FEA model was developed to match the natural frequencies determined by PBT.
Figure 2 presents the finite element mesh of the entire model. Figures 3 and 4 present the
FEA mesh of dam and reservoir. Figure 5 (a and b) presents the FEA mesh of the
foundation. Perfectly matched layers (PML) boundaries were applied along the
foundation and at reservoir extents which model the semi-infinite domain of the
foundation and reservoir. PML boundaries can be observed in Figure 5. PML boundaries
absorb all waves traveling outward, i.e., without any reflection. Table 2 presents the
selected material properties for analysis. Note the elastic modulus of concrete was
adjusted to match the results from PBT. Also, the geology on both the abutments, i.e., left
and right is quite different. The right abutment is relatively stiff compared to the left
abutment. Also, the elastic modulus on the left varies along the height of the dam,
therefore, several zones were assigned with different elastic modulus values. Figure 5
(a and b) and Table 2 present the foundation zones and the respective material properties
assigned to them. As mentioned earlier the details regarding PBT test are provided in
Sooch et. al. (2017).

Table 2. Selected Material Properties for the Dam

Description Values Remarks
Concrete 4 Million psi
Zone A (Right Abutment) 5 Million psi
Zone B (Left Abutment) 3 Million psi
Foundation Zone C (el. 325 to el. 450 ft.) 0.8 Million psi Refer to
Elastic Modulus Zone D (el. 250 to el. 325 ft.) 1 Million psi Figure 15
Zone E (el. 200 to el. 250 ft.) 2.5 Million psi
Zone F (below el. 200 ft.) 3 Million psi

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 Figure 2. Finite Element Mesh of Entire Model

Figure 3. Finite Element Mesh of the dam

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 Figure 4. Finite Element Mesh of reservoir

Figure 5a. Finite Element Mesh of Foundation

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 Figure 5b. Finite Element Mesh of Foundation

RECENT DEVELOPMENTS IN EARTHQUAKE INPUT FOR TIME DOMAIN

ANALYSIS

Recently, Lokke and Chopra (2018) presented a direct finite element method for
nonlinear earthquake analysis. The procedure involves applying non-reflecting
boundaries via viscous dampers to the finite element model and then applying the
effective earthquake forces to each node of the truncated domain. The effective
earthquake forces are calculated based on separate 1D analysis, however the selection of
location for the control point is left to the user. The control point is the assumed free field
location for which the time histories were prepared by a seismologist. In general practice
and in our experience, the control point is assumed to be the base of the canyon. Equation
of motion for the dam-foundation-reservoir with absorbing boundaries:

(1)

Where the effective earthquake forces are

at the foundation rock boundary

(2)
at the foundation rock boundary

The details regarding the notation for the above-mentioned equation of motion can be
found in Lokke and Chopra (2018). The point to note here is that this solution provides a

Copyright © 2019 U.S. Society on Dams. All Rights Reserved. 6

theoretical basis to calculate the effective earthquake forces to be applied at the truncated
domain with absorbing boundaries. However, the practical application of this theoretical
solution in explicit analysis is very difficult. This suggested method works very well with
implicit finite element scheme. Therefore, for in LS-DYNA program which is an explicit
analysis program, we have used a sub-structuring approach which will satisfy the above-
mentioned equations of motion.

Also, for the 1D analysis employed to calculate effective earthquake forces in this
approach the SHAKE program is used to calculate the initial depth motion based on the
selected control point and given free field motion. Note in the SHAKE program, the
analysis is performed in frequency domain, transfer function is applied to each frequency
interval value to calculate the new or required motion at the depth, i.e., outcrop motion
(control point) is converted into frequency domain using Fast Fourier Transform (FFT)
and then the transfer function is applied to each frequency interval value. The required
motion at depth is generated by performing the Inverse Fast Fourier Transform. The
transfer function for typical single rock layer is given below:

(3)

Once, the depth motion is calculated using SHAKE, analysis is performed using 1D shear
column, i.e., for horizontal motion the nodes in vertical direction are constrained and
horizontal motion (calculated using SHAKE at depth) is applied at the base. The
velocities and reaction at each node are recorded and using the effective earthquake force
equation the effective force time histories for each node is calculated. For 3D model, the
analysis performed for each truncated surface with calculated 1D effective earthquake
force time histories being applied at corners of 2D shell of the truncated surface. Again,
in the 2D shell the velocities and reactions are extracted for each node. Note for the
horizontal earthquake components, the nodes in the vertical direction are constrained and
vice-versa.

SUB-STRUCTURING APPROACH BACKGROUND INFORMATION

Bielak and Christiano (1984) presented theoretical solution to separate the semi-infinite
foundation domain with a fictitious boundary that surrounds the structure. In the
theoretical formulation, the structure and foundation are regarded as substructures of the
complete system with Rb(t) and Rf(t) representing the nodal interaction forces to the
interface.

Substructure Model (Bielak and Christiano, 1984)

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Governing equation for the system can be written as

(4)

Where, Mij (i,j =s,b) are submatrices of the structure mass matrix, and F1 and F2 denote
the discretized version of the non-linear constitutive relationships for the structure.
The corresponding equations for the viscoelastic subgrade are

(5)

Where Mij, Cij, Kij (i,j =f,e) are submatrices of the foundation mass, damping and
stiffness matrices, respectively. The effects of the non-reflecting boundary equations are
also included in these matrices.

The free field nodal displacements and accompanying nodal forces can be related with
structures base and foundation displacements by the following

(6)

Also, by eliminating uf and Rf using the above relations in the governing equations the
following new system of governing equations can be obtained. The new system
governing equations have only us, ub and ue as the only unknows.

(7)

DEVELOPMENT OF SEISMIC INPUT FOR FINITE ELEMENT MODEL

A new procedure was developed for application of seismic input to a nonlinear arch dam
analysis. Figure 6 presents the systematic diagram showing the process used for the
Lower Baker model. First a large foundation model was prepared, in which time histories
were applied at depth. From Figure 6 the size of large foundation model is about 9,200 ft
by 8,900 ft. Also, the size of the foundation structure of interest is 2,000 ft by 1,700 ft.
The foundation structure of interest can be seen in blue color in the middle of the large
foundation model. For the horizontal component earthquake time histories, the nodes in
the vertical direction were constrained in the outer foundation part, similarly for vertical
earthquake time history the nodes were constrained in horizontal directions.
Analysis was performed for each horizontal and vertical earthquake component
separately. A deconvolution process was used to calculate the required time history to be
applied at base to reproduce the free-field ground motion at the base of the canyon.

Copyright © 2019 U.S. Society on Dams. All Rights Reserved. 8

Deconvolution is a mathematical process that allows the adjustment of the amplitude and
frequency contents of a seismic ground motion applied at the base of the foundation in
order to get the desired output at the control point. Initially, the ground acceleration
applied at the base of the foundation is assumed to be the same as the free-field ground
acceleration. The acceleration time history at the top surface (i.e., dam-foundation
interface) is then estimated by solving the wave propagation problem of the dam-
foundation system using the finite element analysis technique. This estimated or
reproduced ground acceleration at a reference point on the dam-foundation interface is
then compared to the original free-field ground acceleration after transforming both
signals into the frequency domain using Fourier analysis. Fast Fourier transform (FFT)
and Inverse Fast Fourier transform (IFFT) algorithms allow the transformation of time
domain signal into a frequency domain signal or visa-versa, respectively. FFT of a time
series yields complex Fourier amplitude values for a set of discrete frequencies. The
complex Fourier amplitudes are then converted into absolute values to obtain the Fourier
amplitude spectrum. On the other hand, IFFT of a set of complex Fourier amplitudes for
a set of discrete frequencies yields a time domain signal.

Figure 6: Systematic Diagram Showing the Process Used for the Lower Baker Model
Once, the desired output at the control point was achieved the reactions and velocities at
interface of the foundation structure of interest (shown in the middle of Figure 6 in blue
color) were recorded. The process was repeated for each earthquake input component,
i.e., 2 horizontal and 1 vertical. Note that the said interface had about 9000 nodes, which
resulted in 18,000 files for each 2 horizontal components and 27,000 files for the vertical
component. Thus, for one-time history record a total of 63,000 files were generated. As
part of this work, various matlab and python scripts were written to process the data.
Therefore, 3 earthquake time histories with 3 components, a total of 3 x 63,000 = 189,000
velocity and reaction time history files were generated.

Copyright © 2019 U.S. Society on Dams. All Rights Reserved. 9

Also, the zones C, D and E determined by PBT analysis (given in Table 2) were not
modeled in the large foundation model. Zone F was modeled in the left abutment. Note
Zones C, D and E were in the second smaller model with dam for earthquake analysis.
The purpose of the large foundation model was to determine the global earthquake input
for the dam. Zones C, D and E include low modulus foundation which extend around the
dam, thus they were not included in the global earthquake input calculations in the large
model. However, Zones C, D and E do affect the dynamic characteristics of the dam and
induce local site-specific response to the earthquake input. Thus, Zones C, D and E were
included in the smaller model with dam for earthquake analysis.
As shown in Figure 6, the recorded velocities and reactions were reapplied to a smaller
model with dam to perform the seismic analysis with dam. Figure 7 presents output and
target response spectrums at control point for MCE Earthquakes EQ2. A good match has
been achieved between the output and target response spectrums.

Figure 7: Output and Target Response Spectrum for MCE EQ2

SALIENT FEATURES OF MODEL

A nonlinear dynamic analysis was performed with inclusion of dam-foundation-reservoir

interaction.

The interaction between the dam-foundation included foundation inertia and damping.
Different geology units were accurately included in the foundation mesh.

Copyright © 2019 U.S. Society on Dams. All Rights Reserved. 10

Non-reflecting absorbing boundaries were applied along the foundation and at reservoir
extents which model the semi-infinite domain of the foundation.

A new procedure was developed to apply the effective earthquake input at base and side
boundaries.

Surface contacts at the vertical contraction joints in the dam and at the dam-foundation
interface were modeled with friction contact elements. These interfaces were allowed to
open, close and slide during the dynamic analysis.

ANALYSIS RESULTS

The sign convention for stresses in LS-DYNA is that tension is positive, and compression
is negative.

Seismic Results for Earthquake Time history (EQ1)

Figure 8 shows the maximum tensile stresses in the dam. Figure 9 shows the vertical
stress at Section through the Central Block. The base input acceleration for this event was
0.43g and the computed peak acceleration in horizontal H1, H2 and vertical V at central
blocks at spillway crest was 2.56g, 1.35g and 1.46g, respectively.

Figure 8: Maximum Principal Stress on Downstream face at T=13.8 seconds

Copyright © 2019 U.S. Society on Dams. All Rights Reserved. 11

 Figure 9: Vertical stresses (psi) at Section through central block at T=13.8 seconds
CONCLUSIONS

A state of the art nonlinear seismic analysis was performed for lower baker dam. A new
procedure was developed for application of seismic input to a nonlinear arch dam
analysis. The dam at the end of the earthquake is stable and does not continue to slide
downstream. Also, high stresses were observed in some regions, thus there might be
cracking, however, the orientation and extent of cracking does not produce a removable
block (i.e., no removable block failure mechanism). Therefore, there will be cracking in
the dam body but no dam failure.

REFERENCES

Sooch, G, Ziyad. D, Curtis, D, Likavec, M. and Nuss, L. 2017. “ANALYSIS OF

PERFORMANCE BASED TESTING OF LOWER BAKER DAM,” USSD conference,
2017

Løkke, Arnkjell; Chopra, Anil K. (2018) Direct finite element method for nonlinear
earthquake analysis of 3‐dimensional semi‐unbounded dam–water–foundation rock
systems. Earthquake engineering & structural dynamics (Print). vol. 47 (5).

Bielak and Christiano, “On the effective seismic input for non-linear soil-structure
interaction systems”, Earthquake Engineering and Structural Dynamics, 1984.

Copyright © 2019 U.S. Society on Dams. All Rights Reserved. 12