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EARTHQUAKE SAFETY EVALUATION OF ATATURK DAM

EARTHQUAKE SAFETY EVALUATION OF ATATURK DAM

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1 st National Symposium and<br />

Exposition on Dam Safety<br />

May 28-30, 2007<br />

<strong>EARTHQUAKE</strong> <strong>SAFETY</strong> <strong>EVALUATION</strong> <strong>OF</strong> <strong>ATATURK</strong> <strong>DAM</strong><br />

Martin WIELAND 1 , Sujan MALLA 2<br />

ABSTRACT<br />

The key structure for the development of the Lower Euphrates region is the Ataturk Dam, a<br />

multipurpose dam for hydropower generation, irrigation as well as domestic and industrial water<br />

supply. The 170 m high rockfill dam was designed against earthquakes using design criteria and<br />

methods of analysis that were valid at the time of the design. The construction of the dam was<br />

completed in 1990. A new guideline document on seismic design criteria for large dams was issued by<br />

ICOLD in 1989. As a consequence, the previously used seismic design criteria became obsolete.<br />

Hence, a re-assessment of the earthquake behaviour and safety of the dam was performed for the<br />

maximum credible earthquake (MCE). Based on new detailed information on the seismic hazard in<br />

Turkey, the MCE shaking at the dam site is estimated to have a peak horizontal ground acceleration of<br />

0.5 g. The dam is expected to undergo inelastic deformations during the MCE. The seismic safety<br />

evaluation included the following steps:<br />

• Specification of the ground motion of the MCE.<br />

• Evaluation of the effective static stresses in the dam due to dead and water loads.<br />

• Estimation of strain-dependent material properties for dynamic analysis.<br />

• Dynamic analysis of dam by equivalent linear method using a two-dimensional finite element<br />

model of the maximum section of the dam.<br />

• Analysis of seismic movements of potential sliding masses on the upstream and downstream slopes<br />

of the dam.<br />

• Analysis of permanent inelastic deformations of the dam due to the earthquake shaking.<br />

• Safety evaluation of the dam based on the estimated dam deformations.<br />

Because of the relatively flat slopes, the wide filter zones, and the thick clay core with self-healing<br />

properties, the dam is expected to perform well under the MCE ground motion.<br />

Keywords: Rockfill dam, equivalent linear earthquake analysis, seismic slope stability, dam safety<br />

assessment<br />

INTRODUCTION<br />

The most important results of the earthquake analysis of the Ataturk Dam subjected to the ground<br />

shaking produced by the maximum credible earthquake (MCE) are presented in this paper. The<br />

dynamic analysis of the dam subjected to the earthquake ground shaking was carried out with the help<br />

of a finite element model. Based on the results of this analysis, the dynamic stability and the<br />

earthquake-induced deformations of the dam were examined.<br />

1<br />

Chairman, ICOLD Committee on Seismic Aspects of Dam Design, Poyry Energy Ltd.,<br />

Hardturmstrasse 161, CH-8037 Zurich, Switzerland, e-mail: martin.wieland@poyry.com<br />

2<br />

Senior Engineer, Poyry Energy Ltd., Hardturmstrasse 161, CH-8037 Zurich, Switzerland, e-mail:<br />

sujan.malla@poyry.com


The earthquake analysis of the dam consisted of the following steps:<br />

1. Generation of input ground motion (in the form of artificial spectrum-compatible accelerograms)<br />

corresponding to the MCE, which was selected on the basis of the available information about the<br />

seismic hazard at the dam site<br />

2. Assessment of the following dynamic properties of each dam material<br />

• Maximum dynamic shear modulus (i.e. shear modulus for very small dynamic shear strains),<br />

which depends mainly on the mean effective static stresses and the relative density in the<br />

shells, and on the undrained shear strength in the clay core<br />

• Strain-dependence of dynamic shear modulus and damping ratio<br />

• Shear strength properties: angle of internal friction and cohesion<br />

• Other properties: Poisson’s ratio and mass density<br />

3. Dynamic analysis of the dam subjected to the earthquake ground motion by means of a finite<br />

element model using the equivalent linear method first developed by H.B. Seed and co-workers;<br />

this method is the state-of-the-practice in the earthquake analysis and design of embankment dams<br />

(several cases were analyzed in view of the random nature of the earthquake shaking and<br />

uncertainties concerning the dynamic material properties; the main result of interest from the<br />

dynamic analysis is the distribution of the earthquake accelerations in the dam, in particular, in<br />

potential sliding blocks)<br />

4. Selection of potential sliding surfaces and calculation of yield accelerations by performing slope<br />

stability calculations (note: the yield acceleration of a potential sliding mass is the pseudo-static<br />

horizontal earthquake acceleration for which the factor of safety against a sliding failure is equal<br />

to 1.0)<br />

5. Calculation of the permanent earthquake-induced displacements of the potential sliding masses<br />

based on the knowledge of their yield accelerations and the distribution of the earthquake<br />

accelerations (Newmark sliding block analysis)<br />

6. Seismic settlement analysis to determine the effect of vibration-induced densification of the dam<br />

materials during the earthquake shaking<br />

7. Determination of total loss of freeboard due to the sliding displacements caused by the dynamic<br />

slope instabilities as well as the seismic settlements<br />

8. Assessment of effect of the earthquake-induced deformations on safety against internal erosion in<br />

the dam.<br />

MAIN FEATURES <strong>OF</strong> <strong>ATATURK</strong> <strong>DAM</strong><br />

The Ataturk Dam is a zoned rockfill dam with a central core and is located on the Euphrates River.<br />

The main features of the dam are as follows:<br />

• Dam height: 170 m<br />

• Crest length: 1670 m<br />

• Crest level: 549 m<br />

• Maximum base width: approx. 900 m<br />

• Dam volume: 84 × 10 6 m 3<br />

• Reservoir volume: 48 km 3<br />

• Installed capacity: 2400 MW<br />

• Annual energy generation: 8100 GWh<br />

The construction of the cofferdam lasted from 1985 to 1987. The fill work for the main dam began in<br />

1987 and was completed in 1990. The reservoir level reached 535 m a.s.l. in March 1994 and has<br />

varied between 526 m and 537 m a.s.l. since then. The maximum and minimum operation reservoir<br />

levels are 542 m and 526 m a.s.l., respectively.


DESIGN <strong>EARTHQUAKE</strong> GROUND MOTION<br />

The Ataturk Dam is situated about 50 km southeast of the East Anatolian fault. The most recent<br />

damaging seismic activity associated with the East Anatolian fault took place on 27 June 1998 during<br />

the Adana-Ceyhan earthquake, which had a surface wave magnitude of 6.2 and an epicentral distance<br />

of about 270 km from the Ataturk dam site.<br />

To estimate the peak ground acceleration (PGA) of MCE at the dam site, the seismic hazard data from<br />

the Disaster Management Implementation and Research Centre of the Middle East Technical<br />

University (METU/DMC, 1999) were used as a basis. Accordingly, the peak horizontal ground<br />

accelerations at the dam site (rock surface) for various return periods are as follows:<br />

Return period (years) 100 225 475 1000<br />

Peak ground acceleration 0.22 g 0.27 g 0.33 g 0.39 g<br />

The maximum credible earthquake (MCE) is defined as the largest possible earthquake that can be<br />

reasonably expected to occur in the given tectonic setting. The return period of the MCE may be<br />

several thousand years. It is clear that the PGA of the MCE should be larger than that of an earthquake<br />

with a return period of 1000 years. In view of the above-mentioned information about the seismic<br />

hazard at the dam site, the PGA of horizontal shaking at the free surface of the rock due to the MCE<br />

was taken as 0.50 g.<br />

The vertical earthquake acceleration was also considered in this study. The PGA of the vertical<br />

component of the input earthquake motion was assumed to be equal to 2/3 of the PGA of the<br />

horizontal component. The elastic response spectrum defined by in the Turkish code was used<br />

(Ministry of Public Works and Settlement, 1998).<br />

In view of the random nature of the ground motion, three independent sets of artificial accelerograms<br />

were employed in the dynamic analysis. These spectrum-compatible accelerograms were generated<br />

with the computer program SIMQKE (Gasparini and Vanmarcke, 1976). The strong ground motion<br />

(i.e. the stationary part of the input motion) was assumed to last for 25 s, 30 s and 35 s for the three<br />

artificial earthquakes, respectively.<br />

TWO-DIMENSIONAL FINITE ELEMENT MODEL <strong>OF</strong> HIGHEST <strong>DAM</strong> SECTION<br />

A two-dimensional finite-element model of the dam was used for the dynamic analysis. Four-node<br />

plane-strain elements were employed. The two-dimensional model represents the central cross-section<br />

of the dam. The model geometry corresponds to the actual shape of the dam surface. The roads built<br />

on the dam surface were also modelled. Some adjustments made in the topmost part of the dam during<br />

the crest reinstatement were also incorporated. The horizontal and vertical degrees-of-freedom were<br />

fixed at the base of the dam, where the input seismic motion defined on the rock surface was applied.<br />

DYNAMIC MATERIAL PROPERTIES<br />

The behaviour of geotechnical materials subjected to an earthquake loading is highly nonlinear. In<br />

particular, the dynamic shear moduli and damping ratios of such materials are strongly influenced by<br />

the amplitudes of the dynamic shear strains. The dynamic characteristics of the dam materials had not<br />

been specially investigated by means of dynamic triaxial tests. Such tests would provide the necessary<br />

information about the dynamic properties of these materials. The material properties required for the<br />

dynamic analysis were obtained from the geotechnical literature on the dynamic characteristics of


comparable materials. Possible ranges of the most important dynamic properties were considered by<br />

analysing a number of cases.<br />

The Poisson’s ratios of the shells (including filters) and the core were assumed to be equal to 0.30 and<br />

0.47, respectively. The total mass densities of the dam materials corresponded to the total unit weights<br />

listed in Table 2.<br />

The principal features of the dynamic properties of the dam materials are explained below.<br />

Maximum dynamic shear modulus in upstream and downstream shells<br />

The maximum dynamic shear modulus Gmax of a cohesionless geotechnical material can be expressed<br />

as (Seed and Idriss, 1970)<br />

0.<br />

5<br />

G max = 220 k 2max ( σ′<br />

m ) (in kPa)<br />

where k2max is a material constant that depends primarily on the relative density and σ′ m is the mean<br />

effective static stress. Conventionally, the shear modulus for a cyclic shear strain amplitude of 10 -4 %<br />

is designated as Gmax, since the dynamic shear modulus is practically constant for strain amplitudes<br />

below this level.<br />

The possible range of values of k2max considered for the upstream and downstream shells was as<br />

follows (Seed et al., 1984):<br />

• Lower bound: k2max = 90<br />

• Average: k2max = 120<br />

• Upper bound: k2max = 150<br />

Maximum dynamic shear modulus in clay core<br />

The maximum dynamic shear modulus Gmax of the clay core depends primarily on the undrained shear<br />

strength su (Seed and Idriss, 1970). The approximate relationship between the two quantities can be<br />

expressed as<br />

⎧1200<br />

lower bound<br />

G max ⎪<br />

= ⎨2400<br />

average<br />

s u ⎪<br />

⎩3600<br />

upper bound<br />

The undrained shear strength su of the clay core varies from approximately 100 kPa at the top to<br />

220 kPa at the bottom of the dam. It is assumed to vary linearly over the dam height.<br />

Strain-dependence of dynamic shear modulus and damping ratio<br />

The dynamic shear modulus and the damping ratio of a fill material subjected to a cyclic loading vary<br />

substantially with the amplitude of the shear strain. In general, the shear modulus diminishes and the<br />

damping ratio grows when the dynamic shear strain amplitude becomes larger. The strain-dependence<br />

of the dam materials for the earthquake analysis is briefly discussed below.<br />

• Upstream and downstream shells: The dynamic shear modulus and the damping ratio of the<br />

upstream and downstream shells (including the filters) were assumed to vary with shear strain<br />

amplitude as shown in Fig. 1. These curves were proposed by Seed et al. (1984) based on a large<br />

number of cyclic triaxial tests made on gravelly soils, including the rockfill materials used in the<br />

Pyramid and Oroville Dams in USA.<br />

• Clay core: The strain-dependence of a clayey soil is strongly influenced by its plasticity index. The<br />

plasticity index of the core material of the Ataturk dam lies within the range of 20 to 45. The<br />

corresponding variation of the shear modulus and the damping ratio of the clay core with the<br />

dynamic shear strain are plotted in Fig. 2, in which the average curves as well as the upper and<br />

lower bounds are indicated.


Fig. 1: Dependence of dynamic shear modulus (left) and damping ratio (right) of rockfill on cyclic<br />

shear strain amplitude<br />

Fig. 2: Dependence of dynamic shear modulus (left) and damping ratio (right) of clay core on cyclic<br />

shear strain amplitude<br />

<strong>EARTHQUAKE</strong> ANALYSIS<br />

Brief description of analysis method<br />

The dynamic analysis was performed with the computer program QUAD4M (Hudson et al., 1994).<br />

This program evaluates the seismic response of any soil deposit or earth structure using the finite<br />

element procedure in the time domain. The equations of motion are solved by direct step-by-step<br />

numerical integration.<br />

The shear modulus and damping ratio are based on dynamic tests using constant-amplitude strain<br />

cycles. The strain response during an earthquake, however, consists of cycles with variable<br />

amplitudes. This was taken into account by using an equivalent, uniform dynamic shear strain<br />

amplitude equal to 65% of the peak dynamic shear strain for the evaluation of the dynamic shear<br />

modulus and the damping ratio. An iterative procedure, based on the equivalent linear method, was<br />

applied to obtain the strain-compatible shear modulus and damping ratio of each finite element. The<br />

solution was found to converge satisfactorily in 5 iterations.<br />

The integration of the dynamic equations of motion was done in time steps of 0.01 s. The dynamic<br />

solution was obtained for the total duration of the input motion plus an additional 5 s of the free<br />

vibration phase after the earthquake.<br />

Cases analysed


In view of the randomness of the earthquake excitation and the uncertainties concerning the dynamic<br />

soil properties, a number of cases listed in Table 1 were analysed.<br />

Table 1: List of analysed cases and some principal results<br />

Case<br />

Dynamic shear moduli<br />

(Gmax value and G/Gmax<br />

curve)<br />

Damping ratio curve<br />

Fundamental<br />

eigenfrequency<br />

(Hz)<br />

Peak absolute<br />

acceleration at<br />

crest level (g)<br />

Horz. Vert.<br />

A Average Average 0.49 0.64 0.33<br />

B Average Lower bound 0.46 0.75 0.35<br />

C Average Upper bound 0.51 0.55 0.30<br />

D Lower bound Average 0.31 0.42 0.26<br />

E Upper bound Average 0.67 0.93 0.49<br />

Table 1 lists the fundamental eigenfrequencies in the various cases. The fundamental eigenfrequency<br />

of the dam subjected to the MCE lies in the range of 0.31 Hz to 0.67 Hz, and is equal to about 0.50 Hz<br />

for the estimated average material properties. It should be noted that the dam eigenfrequencies also<br />

depend on the earthquake size, i.e. they are smaller for a larger earthquake due to the straindependence<br />

of the dynamic shear moduli.<br />

The peak value of the horizontal component of the absolute crest acceleration is in the range of 0.42 g<br />

to 0.93 g and that of the vertical component in the range of 0.26 g to 0.49 g. The highest and lowest<br />

earthquake accelerations are, respectively, associated with the estimated upper and lower bounds of<br />

the dynamic shear moduli of the embankment materials. This is related to the fact that the spectral<br />

acceleration increases when the fundamental frequency becomes higher in the frequency range up to<br />

3.3 Hz due to the shape of the input response spectrum.<br />

DYNAMIC SLOPE STABILITY ANALYSIS<br />

If the inertial forces acting on a potential sliding mass on a dam slope during an earthquake become<br />

sufficiently large, the total (static plus dynamic) driving forces would exceed the available resisting<br />

forces. As a result, the factor of safety would drop below 1.0, implying that the sliding mass starts to<br />

move because equilibrium is no longer possible. The permanent displacements of such potential<br />

sliding masses on the dam slopes were computed by the Newmark sliding block analysis.<br />

Calculation of yield accelerations<br />

For the Newmark sliding block analysis, first of all, the yield acceleration of a potential sliding mass<br />

has to be determined. This corresponds to the pseudo-static horizontal earthquake acceleration for<br />

which the factor of safety against a sliding failure is equal to 1.0.<br />

The yield acceleration depends mainly on the following factors: (i) gradient of slope, (ii) shape of<br />

sliding surface, (iii) shear strength parameters (angle of sliding friction and cohesion), and<br />

(iv) distribution of pore water pressures.<br />

The slope stability analysis for the calculation of the yield acceleration was performed using the<br />

Spencer method. In this method, the factor of safety is obtained by taking into account both the force<br />

and moment equilibrium conditions, and the resultant interslice forces are assumed to have a constant<br />

slope throughout the sliding mass.


Table 2: Material properties for slope stability calculations<br />

Description<br />

Total unit<br />

weight<br />

(kN/m³)<br />

Cohesion<br />

(kPa)<br />

Angle of friction<br />

Peak Residual<br />

φ't φ'res<br />

Upstream shell (submerged) 24.0 0 43° 39°<br />

Downstream shell and top of upstream shell<br />

above water surface<br />

22.1 0 43° 39°<br />

Upstream filter (submerged) 23.3 0 39° 37°<br />

Downstream filter and top of upstream filter<br />

above water surface<br />

21.9 0 39° 37°<br />

Core (below reservoir level) 20.3 30 10° 10°<br />

Core (above reservoir level) 19.8 30 10° 10°<br />

Note: The φ't values listed above are representative peak friction angles for relatively high confining stresses.<br />

The friction angles for low confining stresses are higher. As the stress-dependence of the friction angles of the<br />

shell and filter materials has not been taken into account, the above friction angles are conservative.<br />

From the viewpoint of dam safety, the sliding surfaces of interest are those involving the dam crest<br />

because any sliding movement in the crest area would lead to a reduction of the freeboard. The<br />

dynamic slope stability calculations were made for a large number of potential sliding blocks on both<br />

the upstream and downstream sides of the dam crest.<br />

The material properties assumed for the slope stability calculations are listed in Table 2. A distinction<br />

is made between the peak and residual values of the angles of friction of the various dam materials.<br />

This reflects the fact the shear strength usually drops to some extent after attaining a maximum value<br />

as shear strains increase.<br />

The maximum operation reservoir level was taken as 542 m a.s.l. for the calculation of pore pressures<br />

in the upstream shell and filter. The pore pressures in the clay core were obtained from the estimated<br />

distribution of pore pressure ratios ru over the dam height (note: ru = u / γ h, where u is the pore water<br />

pressure and γ h is the total vertical pressure expressed as a product of the total unit weight γ and the<br />

depth h).<br />

The yield accelerations of each potential sliding block were calculated for the following three cases:<br />

i) Using peak angles of sliding friction and ignoring influence of vertical acceleration<br />

ii) Using residual angles of sliding friction and ignoring influence of vertical acceleration<br />

iii) Using residual angles of sliding friction and considering influence of vertical acceleration<br />

Newmark sliding block analysis<br />

As soon as the absolute horizontal acceleration of a potential sliding mass exceeds the yield<br />

acceleration, it starts to move. The relative velocity of the sliding mass grows as long as the<br />

earthquake acceleration remains above the yield level. When the acceleration falls below the yield<br />

level, the motion gets braked and, after some time, the sliding mass sticks to the underlying material<br />

again. The permanent displacement due to the earthquake shaking is determined by integrating the<br />

time history of the relative sliding velocity produced by the acceleration pulses exceeding the yield<br />

level. For the Newmark analysis, the time history of the absolute horizontal acceleration averaged over<br />

each potential sliding mass is needed.<br />

The maximum, mean and minimum values of the permanent horizontal displacements of the critical<br />

sliding block at the upstream slope of the dam are listed in Table 3 for the average dynamic material<br />

properties, as well as for the upper and lower bounds of the dynamic material properties. In this table,<br />

the resulting vertical displacements, estimated on the basis of a geometrical consideration, are also


given. For this purpose, the sliding movement was assumed to occur in the direction of the tangent at<br />

the highest point of the sliding surface.<br />

Table 3: Permanent displacements of critical sliding block on upstream slope<br />

(Notation: ayield: yield acceleration; dh: horizontal displacement; dv: vertical displacement)<br />

Peak angles of friction Residual angles of friction<br />

Considering only<br />

Considering only Considering horizontal and<br />

horizontal acceleration horizontal acceleration vertical accelerations<br />

ayield<br />

(g)<br />

Max./<br />

Mean/<br />

Min.<br />

dh<br />

(m)<br />

dv<br />

(m)<br />

ayield<br />

(g)<br />

Max./<br />

Mean/<br />

Min.<br />

(a) With average dynamic material properties<br />

dh<br />

(m)<br />

dv<br />

(m)<br />

ayield<br />

(g)<br />

Max./<br />

Mean/<br />

Min.<br />

Max. 0.41 0.26 Max. 1.03 0.64 Max. 2.34 1.46<br />

0.239 Mean 0.32 0.20 0.185 Mean 0.91 0.57 0.139 Mean 2.03 1.27<br />

Min. 0.19 0.12 Min. 0.79 0.50 Min. 1.66 1.04<br />

(b) Considering possible upper and lower bounds of dynamic material properties<br />

Max. 1.28 0.80 Max. 2.28 1.42 Max. 3.72 2.32<br />

0.239 Mean 0.47 0.29 0.185 Mean 1.07 0.67 0.139 Mean 2.17 1.36<br />

Min. 0.03 0.02 Min. 0.18 0.11 Min. 0.98 0.61<br />

dh<br />

(m)<br />

CONSEQUENCES <strong>OF</strong> <strong>EARTHQUAKE</strong>-INDUCED SLIDING DISPLACEMENTS<br />

The most important consequences of the sliding movements induced by the earthquake loading are<br />

discussed below.<br />

Reduction of available freeboard<br />

During a major earthquake, the crest region can be expected to undergo sliding movements towards<br />

both the upstream and downstream sides along a number of criss-crossing failure surfaces. The sliding<br />

movements are likely to be of intermittent nature. Consequently, the displacements towards the<br />

upstream and downstream sides would occur at different times and, thus, can be assumed to have a<br />

cumulative effect on the vertical displacement of the crest region. Hence, the total drop of the level of<br />

the core top was assumed to be equal to the sum of the vertical displacements occurring during the<br />

sliding displacements towards the upstream and downstream sides.<br />

Based on the results for the average properties, the total vertical drop of the core top would be about<br />

1.0 m during the MCE due to the downward vertical displacements of 0.8 m and 0.2 m produced by<br />

sliding towards the upstream and downstream sides, respectively. However, if the dynamic shear<br />

moduli approach the upper bound values (case E), the total lowering of the level of the core top could<br />

become as high as 2.3 m as a result of vertical displacements of about 1.5 m and 0.8 m during the<br />

sliding movements caused by the MCE towards the upstream and downstream sides, respectively.<br />

Besides the permanent sliding displacements resulting from the dynamic slope instabilities, the<br />

earthquake ground shaking also produces a general settlement due to the vibration-induced<br />

densification of the embankment materials. The maximum seismic settlement of the top of the core<br />

due to this effect was estimated to be of the order of 0.5 m.<br />

Considering the effects of both the movements of potential sliding masses and the general seismic<br />

settlement, it was estimated that the lowering of the elevation of the core top could approach the order<br />

of 3 m during the MCE. Therefore, the freeboard with respect to the core top must be sufficient at all<br />

times to accommodate such a reduction without endangering the safety of the dam.<br />

dv<br />

(m)


Danger of leakage through core<br />

Relatively wide filter (transition) zones have been provided on both sides of the core. Except for the<br />

reinstated crest region, the upstream filter has an almost uniform width of about 9 m (measured<br />

horizontally), and the downstream filter has a width varying from about 8 m at the top to more than<br />

15 m at the base. The filter widths are gradually decreased in the reinstated crest region. As a result,<br />

the widths of the upstream and downstream filters reduce to about 6 m and 8 m, respectively, at<br />

elevation 545 m a.s.l.<br />

The wide upstream and downstream filters form a very effective first line of defence against<br />

concentrated earthquake-induced leakage through the dam. Moreover, the core is made of highly<br />

plastic clay (mainly CH), a good core material in which it is unlikely that a great deal of erosion would<br />

occur even in the worst conditions of cracking and leakage.<br />

After the sliding movement caused by the MCE, the filter width at the location of a sliding surface<br />

would still be at least about 6 m. This should be sufficient to ensure that uncontrolled leakage does not<br />

develop through the dam in the critical period following an earthquake.<br />

SUMMARY AND CONCLUSIONS<br />

The main points and the conclusions of this study are as follows:<br />

1. The present study deals with the effects of the earthquake ground shaking only.<br />

2. The dynamic analysis and the slope stability calculations were performed using 2-dimensional<br />

(2-D) models representing the central cross-section of the dam; 3-D effects were not considered.<br />

3. As dynamic test results were not available, the dynamic material characteristics for the earthquake<br />

analysis were selected on the basis of the geotechnical literature. In view of uncertainties<br />

concerning the material properties and the random nature of the ground motion, the possible<br />

scatter of the results was investigated by analyzing a number of cases.<br />

4. On the basis of the currently available information about the seismic hazard at the dam site, the<br />

peak ground accelerations (PGA’s) of the horizontal and vertical components of the maximum<br />

credible earthquake (MCE) were taken as 0.50 g and 0.33 g, respectively. The input motion in the<br />

dynamic analysis consisted of synthetic accelerograms compatible with the elastic response<br />

spectrum of the Turkish earthquake code.<br />

5. The horizontal crest accelerations calculated for the upper and lower bounds of the damping ratios<br />

deviate from those calculated for the average damping ratios by about 15%. For obvious reasons,<br />

the earthquake response becomes smaller when the damping ratios increase.<br />

6. The peak value of the horizontal component of the absolute crest acceleration calculated in the<br />

various cases under the MCE ground excitation is in the range of 0.42 g to 0.93 g and that of the<br />

vertical component in the range of 0.26 g to 0.49 g.<br />

7. From the viewpoint of the earthquake safety of the dam, sliding displacements in the crest region<br />

are of main interest. A large number of potential sliding surfaces involving the crest area were<br />

examined in this study.<br />

8. As the excess pore pressures generated by the earthquake shaking in the upstream shell and the<br />

clay core are likely to be quite small, they have not been considered in this study.<br />

9. The sliding blocks on the upstream slope have significantly lower yield accelerations than those<br />

on the downstream slope, whereby it is assumed that the angle of friction of the submerged<br />

upstream shell is equal to that of the downstream shell.<br />

10. The yield accelerations of the upstream sliding blocks are in the range of 0.20 g to 0.26 g for the<br />

peak friction angles and in the range of 0.16 g to 0.20 g for the residual friction angles, when only<br />

the horizontal earthquake accelerations are considered. If the vertical accelerations are also<br />

conservatively applied in the unfavourable direction, the horizontal yield accelerations of the<br />

upstream sliding blocks could become as low as 0.12 g to 0.16 g.<br />

11. Based on the results obtained using the average dynamic material properties, the total vertical drop<br />

of the core top during the MCE is expected to be about 1.0 m due to downward displacements of<br />

0.8 m and 0.2 m produced by sliding towards the upstream and downstream sides, respectively. In


case the dynamic shear moduli approach the more unfavourable upper bound values, the total<br />

lowering of the core top during the MCE could become as high as 2.3 m as a result of drops of<br />

about 1.5 m and 0.8 m due to sliding movements towards the upstream and downstream sides,<br />

respectively.<br />

12. The ground motion also produces general settlements due to the vibration-induced densification of<br />

the embankment materials, which was estimated as 0.5 m.<br />

13. The total drop of the elevation of the core top caused by the MCE could approach the order of<br />

3 m, when the effects of both the earthquake-induced sliding movements along the slopes and the<br />

general seismic settlements due to the densification of the dam materials are considered. Hence,<br />

the minimum freeboard with respect to the core top should not be less than 3 m. In other words,<br />

the minimum level of the top of the core should be at least 545 m a.s.l., as the maximum operation<br />

reservoir level is 542 m a.s.l.<br />

14. The relatively wide filter zones provide an effective first line of defence against the development<br />

of concentrated leakage through the dam after the earthquake. Moreover, the dam core consists of<br />

highly plastic clay, which is a good core material that is resistant to erosion even in the worst<br />

conditions of cracking and leakage. The minimum filter width at the location of a sliding surface<br />

after the MCE would not be less than about 6 m, which should be adequate to ensure that the filter<br />

zones continue to perform satisfactorily in the critical period following the earthquake.<br />

ACKNOWLEDGMENT<br />

The authors are grateful to DSI for permitting publication of the paper. The investigations and studies<br />

described in this paper were carried out in cooperation with DSI and Dolsar Engineering Ltd. The<br />

contributions of other experts, who have participated in this project and are not listed explicitly, are<br />

greatly acknowledged. The opinions expressed in this paper are those of the authors and are not<br />

necessarily those of DSI.<br />

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