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Earthquake Engineering r Concrete Dams: Dedyn' Performance' and Research Needs Panel on E~qu~e Engineering for Concrem Dams Commence on E=[hqu~e Engineering Division of Natural Hood Mkiga[ion Commission on Engincoring and Tochnical Sys[oms National Research Council NATIONS ACADEMY PRESS Washington, D.C. 1990

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NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Prank Press is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Robert M. White is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Samuel O. Thier is president of the Institute of Medicine. The National Research Council was established by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and of advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Frank Press and Dr. Robert M. White are chairman and vice-chairman, respectively, of the National Research Council. Any opinions, findings, and conclusions or recommendations expressed in this report are those of the committee and do not necessarily reflect the views of the sponsoring agencies. Library of Congress Catalog Card No. 90-62816 International Standard Book Number 0-309-04336-0 Limited number of copies available without charge from: Committee on Earthquake Engineering Division of Natural Hazard Mitigation, HA 286 2101 Constitution Avenue, N.W. Washington, DC 20418 Additional copies are for sale from: National Academy Press 2101 Constitution Avewnue, NW Washington, D.C. 20418 S219 Printed in the United States of America

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COMMITTEE ON EARTHQUAKE ENGINEERING (1985-1990) GEORGE W. HOUSNER, Chairman, California Institute of Technology, Pasadena KEIITI AKI, Department of Geological Sciences, University of Southern California, Los Angeles CHRISTOPHER ARNOLD, Building Systems Development, Inc., San Mateo, California JAMES E. BEAVERS, Martin Marietta Energy Systems, Inc., Oak Ridge, Tennessee RAY W. CLOUGH, Department of Civil Engineering, University of California, Berkeley C. B. GROUSE, Dames & Moore, Seattle, Washington RICHARD DOBRY, Department of Civil Engineering Rens.selaer Pr)lvi~.hnir Institute, Troy, New York ~ ~~ ~ ~ ~ vow ~~] ~_~&&&A$w WILLIAM J. HALL, Department of Civil Engineering, University of Illinois, Urbana-Champaign ROBERT D. HANSON, Department of Civil Engineering, University of Michigan, Ann Arbor JOHN LOSS, School of Architecture, University of Maryland, College Park FRANK E. McCLURE, Lawrence Berkeley Laboratory, University of California, Berkeley JOANNE NIGG, Disaster Research Center, University of Delaware, Newark 0110 W. NUITLI (deceased), Earth and Atmospheric Sciences Department, St. Louis University, Missouri METE A. SOZEN, Department of Civil Engineering, University of Illinois, Urbana-Champaign ROBERT V. WHITMAN, Department of Civil Engineering, Massachusetts Institute of Technology, Cambridge JAMES K. WIGHT, Department of Civil Engineering, University of Michigan, Ann Arbor T. LESLIE YOUD, Depar~nent of Civil En~ine~rin~r Brigham Yelling ~ ~ni`'Prcit`, Provo, Utah Liaison Representatives - - Do ~'D~ 'O~ ^ I- ~~ ~ wA CALM ~ WILLIAM H. ALLERTON, Division of Inspections, Federal Energy Regulatory Commission, Washington, D.C. WILLIAM A. ANDERSON, Program Director, Division of Biological and Critical Engineering Systems, National Science Foundation, Washington, D.C. . . . zi!

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C. CHESTER BIGELOW, Division of Advanced Technology Development U.S. Department of Energy, Washington, D.C. STEPHEN BOYCE, Air Force Office of Scientific Research, Boiling Air Force Base, Washington, D.C. MANMOHAN S. CHAWLA, Naval Facilities Engineering Command, Washington, D.C. DAK H. CHUNG, Nuclear Systems Safety Program, Lawrence Livermore National Laboratory, Livermore, California FRED COLE, Office of U.S. Foreign Disaster Assistance, Agency for International Development, Washington, D.C. JAMES COOPER, Federal Highway Administration, U.S. Department of Transportation, Washington, D.C. JAMES F. COSTELLO, MechanicaVStructural Engineering Branch, Office of Nuclear Regulatory Research, U.S. Nuclear Regulatory Commission, Washington, D.C. RICHARD F. DAVIDSON, Civil Engineering, Geotechnical Branch, U.S. Army Corps of Engineers, U.S. Department of the Army, Washington, D.C. CONRAD W. FELICE, formerly Strategic Structures Branch, Defense Nuclear Agency, Washington, D.C. G. ROBERT FULLER, Compliance Branch, U.S. Department of Housing and Urban Development, Washington, D.C. WALTER W. HAYS, Office of Earthquakes, Volcanoes and Engineering, U.S. Geological Survey, Reston, Virginia JAMES R. HILL, Natural Phenomena Hazards Mitigation Program, U.S. Department of Energy, Washington, D.C. PAUL KRUMPE, Office of U.S. Foreign Disaster Assistance, Agency for International Development, Washington, D.C. H. S. LEW, Center for Building Technology, National Institute of Standards and Technology, Gaithersburg, Maryland DON LINGER, Strategic Structures Branch, Defense Nuclear Agency, Washington, D.C. S. C. LIU, Earthquake Hazard Mitigation, Division of Biological and Critical Systems, National Science Foundation, Washington, D.C. UGO MORELLI, Office of Natural and Technological Hazards, Federal Emergency Management Agency, Washington, D.C. KENNETH J. SULLIVAN, Office of Natural and Technological Hazards Programs, State and Local Programs and Support, Federal Emergency Management Agency, Washington, D.C. J. LAWRENCE VON THUN, Bureau of Reclamation, U.S. Department of the Interior, Denver, Colorado SPENCER WU, Air Force Office of Scientific Research, U.S. Department of the Air Force, Washington, D.C. V

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EDWARD YOUNGER, Structural Engineering Service, U.S. Department of Veterans Affairs, Washington, D.C. ARTHUR ZEIZEL, Office of Natural and Technological Hazards Programs, State and Local Programs and Support, Federal Emergency Management Agency, Washington, D.C. Staff Riley M. Chung, Director Barbara J. Rice, Editor Edward Lipp, Editor Susan R. McCutchen, Administrative Assistant Shirley J. Whitley, Project Assistant v

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PANEL ON EARTHQUAKE ENGINEERING FOR CONCRETE DAMS RAY W. CLOUGH, Chairman, Department of Civil Engineering Emeritus, University of California, Berkeley ANIL K. CHOPRA, Department of Civil Engineering, University of California, Berkeley KARL J. DREHER, Northern Colorado Water Conservancy District, Loveland GREGORY FENVES, Department of Civil Engineering, University of California, Berkeley JOHN F. HALL, Thomas Laboratory, California Institute of Technology, Pasadena SHENG-TAUR MAU, Department of Civil Engineering, University of Houston, Texas Liaison Representatives WILLIAM H. ALLERTON, Division of Inspection, Federal Energy Regulatory Commission, Washington, D.C. WILLIAM BIVENS, Earthquakes & Natural Hazard Program Division, Federal Emergency Management Agency, Washington, D.C. HOWARD BOGGS, Bureau of Reclamation, U.S. Department of the Interior, Denver, Colorado (retired) ANTHONY LIU, U.S. Army Corps of Engineers, Washington, D.C. S. C. LIU, Division of Biological and Critical Engineering Systems, National Science Foundation, Washington, D.C. FRANCIS McLEAN, Bureau of Reclamation, U.S. Department of the Interior, Denver, Colorado C. DEAN NORMAN, U.S. Army Corps of Engineers, U.S Department of the Army, Vicksburg, Mississippi ROBERT SMITH, U.S. Army Corps of Engineers, U.S. Department of the Army, Washington, D.C. (retired) C. H. YEH, Harza Engineering Company, Chicago, Illinois v'

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Contents EXECUTIVE SUMMARY Earthquake Input, 2 Linear Response Analysis, 3 Nonlinear Response Analysis, 4 Observational Evidence, 5 Seismic Performance Criteria, 7 1 INTRODUCTION The Hazard of Dams, 10 Seismic Safety of Concrete Dams, 13 Scope of the Report, 15 2 EARTHQUAKE INPUT Earthquake Excitation Concepts, 16 Present Status of Knowledge, 20 Status of Strong-Motion Instrument Networks, 33 Research Needs, 34 3 ANALYSIS OF LINEAR RESPONSE .... Preliminary Comments, 36 Static Analysis, 37 Dynamic Analysis, 46 Present Knowledge and Capabilities, 49 Research Needs, 59 . . V11 9 16 .... 36

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4 NONLINEAR ANALYSIS AND RESPONSE BEHAVIOR Introduction, 61 Characteristics of Nonlinear Behavior, 62 Material Models and Response Analysis, 65 Criteria for Safety Evaluation, 67 Summary of Recent Research, 69 Research Needs, 77 5 EXPERIMENTAL AND OBSERVATIONAL EVIDENCE Earthquake Experience, 80 Field Vibration Tests: Forced and Ambient, 88 Model Tests, 96 Research Needs, 102 6 RECOMMENDED CRITERIA FOR EVALUATING SEISMIC PERFORMANCE.................... Background, 104 Preliminary Considerations, 106 Guidelines for Evaluating Results from Linear Analyses, 111 Guidelines for Evaluating Results from Nonlinear Analyses, 118 Guidelines for Evaluating Foundation Stability, 119 Stability Following Fault Displacement, 120 Evaluation of Criteria, 121 Research Needs, 123 REFERENCES . . . vial 61 80 .. 104 ... 127

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[arthquake Engineering for Concrete Dams: Design' Performance' and Research Needs

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