Engineering Geology 297 (2022) 106513

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Engineering Geology
journal homepage: www.elsevier.com/locate/enggeo

Effect of geomaterial variability on seismic response analyses of

earthen dams
Leila Mosadegh a, Sayantan Chakraborty b, Anand J. Puppala c, *
a
Terracon Consultants, Inc., 21905 64th Avenue W, Suite 200, Mountlake Terrace, WA 98043, USA.
b
Department of Civil Engineering, Birla Institute of Technology and Science Pilani, Room: 1209D Faculty Division 1, Vidyavihar, Pilani, Rajasthan 333031, India
c
Zachry Department of Civil and Environmental Engineering, Center for Infrastructure Renewal (CIR), Rellis Campus, Texas A&M University, Room: 801B Dwight Look
Engineering Building (DLEB), College Station, TX 77843, USA

A R T I C L E I N F O A B S T R A C T

Keywords: In a recently completed research study, two-dimensional (2D) and three-dimensional (3D) seismic response
Earthen dams analyses were performed on a hydraulic fill earthen dam located in north Texas, USA. Analysis results obtained
Hydraulic fill dams from both methods were compared to study and address the influence of geomaterial variability on the seismic
Geomaterial variability
response of heterogeneous earthen dams such as hydraulic fill dams. For evaluating the material variability
Seismic response
Natural frequency
within the dam, twenty-eight piezocone penetration soundings (CPTu) were conducted along the crest of the
Eigenvalue analysis dam. These CPTu soundings, along with the available laboratory test results, were utilized to represent various
scenarios that depict geomaterial variability within the dam for numerical modeling and seismic response
analysis. In the first scenario, limited subsurface investigation information obtained from six CPTu soundings
distributed along the dam crest was considered to develop the numerical models. In the second scenario, all the
twenty-eight CPTu soundings were utilized to model the same dam using extensive site characterization test
results. The first natural frequency, earthquake-induced crest accelerations, and shear stresses of the dam seg­
ments were computed from 2D and 3D numerical analyses for both scenarios of site characterization results.
Results indicated that a 3D analysis might be more appropriate than a 2D analysis for studying the seismic
response of a heterogeneous earthen dam, especially when extensive site characterization information is avail­
able to model the dam for numerical analyses. Overall, the findings of this study emphasize the impact of
geomaterial variability on seismic response analyses of heterogeneous earthen dams and will enable engineers to
assess the conditions that warrant a comprehensive 3D analysis.

1. Introduction 2019, 2020; Charatpangoon et al., 2014; Gazetas, 1987).

Earthquake-induced instability of water-retaining earthen embank­
ment structures such as dams and levees can have catastrophic conse­
quences on the safety of the communities living downstream and nearby
location (Chakraborty et al., 2019; Luo et al., 2019; Seed et al., 1978;
Xiong and Huang, 2019). Hence, seismic response analysis is performed
to study the behavior of an embankment structure during potential
earthquake events that may transpire in the future. An earthen
embankment experiences resonance-induced amplification of the base
excitation if its natural frequency is close to the predominant frequency
of the vibration (Chakraborty et al., 2018; Kramer, 1996; Song et al.,
2020; Ugalde et al., 2021). Consequently, natural frequency estimation
is a major step in seismic response analysis of a dam (Chakraborty et al.,
Several methods are available for determining the natural frequency
and studying the seismic response of an earthen dam. These methods
include analytical methods such as shear beam method, numerical
methods including finite element method (FEM) or/and finite difference
method (FDM), ambient and forced vibration tests (Biondi et al., 2021;
Cetin et al., 2005; Clough and Chopra, 1966; Gazetas, 1987; He et al.,
2020; Mononobe et al., 1936; Okamoto et al., 1969). Among the
different analysis methods mentioned above, numerical analyses using
finite element and finite difference methods are capable of incorporating
effects of variation in material properties, geometric configurations, and
arbitrary seismic loading conditions (Gazetas, 1987; Mosadegh et al.,
2020; Yiagos and Prevost, 1991). Hence, the FEM/FDM-based ap­
proaches are frequently used to study the seismic response and assess the

* Corresponding author.
E-mail addresses: la.mosadegh@gmail.com (L. Mosadegh), sayantan.chakraborty@pilani.bits-pilani.ac.in (S. Chakraborty), anandp@tamu.edu (A.J. Puppala).

https://doi.org/10.1016/j.enggeo.2021.106513
Received 2 June 2021; Received in revised form 21 December 2021; Accepted 27 December 2021
Available online 30 December 2021
0013-7952/© 2022 Elsevier B.V. All rights reserved.
L. Mosadegh et al.
stability of earthen embankment dams during probable earthquake
events.
Seismic analyses are performed either by modeling the dam as a two-
dimensional (2D) plane strain model or three-dimensional (3D) model
(Albano et al., 2015; Chakraborty et al., 2020; Mejia and Seed, 1983;
Nasiri et al., 2020; Yaseri and Konrad, 2020). The 2D plane strain
modeling assumes zero strain perpendicular to the dam sections, and
each section is analyzed independent of the adjacent sections. In
contrast, plane strain condition is not assumed for simulations using 3D
models, and the response of each segment of the dam model is affected
by the characteristics of the adjacent segments (Mejia et al., 1982; Mejia
and Seed, 1983). Previous researchers have studied the seismic re­
sponses of earthen dams with different canyon shapes, geometric con­
figurations, and material properties using both 2D and 3D numerical
analysis methods (Albano et al., 2015; Kontoe et al., 2019; Mejia and
Seed, 1983; Pelecanos et al., 2019). The geometric configurations of the
dam and canyon, stiffening effect of narrow canyon, dynamic properties
of dam materials, and nature of input motions have been identified as
the major factors that affect the seismic response of an earthen dam
(Chakraborty et al., 2020; Mejia and Seed, 1983; Pelecanos, 2013; Wang
et al., 2017).
Majority of the previous studies highlight the necessity of performing
a 3D analysis for dams built in narrow canyons with length to height (L/
H) ratios less than 6 (Boulanger et al., 1995; Mejia and Dawson, 2010;
Mejia and Seed, 1983; Woodward and Griffiths, 1993). In such cases, a
2D analysis ignores the stiffening effect of the canyons and un­
derestimates the seismic response of a dam. Hence, 2D plane strain
analysis is conventionally considered as applicable and sufficient for
analyzing long earthen dams built in rectangular canyons, with the same
distribution of material properties along the longitudinal axis of the dam
(Boulanger et al., 1995; Chakraborty et al., 2020; Makdisi et al., 1983;
Mejia and Dawson, 2010; Mejia and Seed, 1983). However, long earthen
dams with homogenous material properties are rarely found in reality.
The effect of material variability is especially prominent in earthen dams
built by the hydraulic fill method of construction (Caballero, 2017;
Chakraborty et al., 2020; Puppala et al., 2018a, 2018b).
In the hydraulic fill method of construction, the excavated soil was
mixed with water, transported through pipes, and discharged along the
outer edges of the embankment (Küpper, 1991; Valenzuela, 2016; Vick,
1996). The coarse-grained particles settled at first close to the source of
discharge, and the finer particles remained in suspension and eventually
settled due to gravity (Vick, 1996). This gradual deposition of particles
contributed to high variability in the materials and their properties
within the dam body (Küpper, 1991; Morgenstern and Küpper, 1988;
Vick, 1996). Often, the numerical models of a dam are developed using
representative geomaterial properties obtained from limited geotech­
nical site investigation results (Babu et al., 2007; Boulanger and Mont­
gomery, 2016; Pelecanos, 2013). Such simplistic approximations may
not be sufficient to incorporate the effect of material variability in the
seismic response analysis of a hydraulic fill dam.
In a research study performed by the authors, seismic response an­
alyses were performed as per current recommended practice on select
2D sections of a hydraulic fill earthen dam in north Texas (Chakraborty
et al., 2020). The natural frequencies of 2D sections of the dam were
evaluated, and the response of those sections subjected to seismic ex­
citations was studied. The inadequacy of performing 2D analyses in
studying the seismic response was inferred, and further studies were
recommended to address the influence of material variability on the
seismic response of the hydraulic fill dam using a 3D analysis. Hence,
comprehensive 2D and 3D seismic response analyses were performed for
the present study, and the effect of material variability was simulated
and analyzed. Commercially available 2D and 3D FEM software pro­
grams were used to develop numerical models of the hydraulic fill dam.
The effects of variations in geomaterial properties were incorporated in
the analysis by utilizing and interpreting the piezocone penetration
soundings conducted along the dam’s crest. The first natural frequency,
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Engineering Geology 297 (2022) 106513
earthquake-induced crest accelerations, and shear stresses were esti­
mated from both seismic response analysis approaches. Based on the
comparisons of results, an attempt was made to evaluate and address the
applicability and limitations of the current practice, which suggests that
2D analysis is sufficient for analyzing long earthen dams (L/H > 6). The
following sections present the methodologies adopted to characterize
the dam materials, the descriptions of numerical modeling of the dam,
and discussion of the analyses results.
2. Methodology
This section presents the method adopted to characterize the dam
materials and develop the numerical models for the seismic response
analyses. Different material properties of the dam soil layers were esti­
mated from both in-situ and laboratory tests on soil specimens extracted
from exploratory borings.
2.1. Dam material characterization
The seismic response analysis was performed for Eagle Mountain
dam, an 18 m high and 1463 m long hydraulic fill earthen dam located
on the West Fork Trinity River in Fort Worth, Texas, USA. The con­
struction of this dam started in the early 1930 and was completed in
1932. This dam currently serves as a water supply resource and caters to
industrial, municipal, and irrigation needs for the city of Fort Worth,
Texas. As a part of the geotechnical site investigation, twenty-eight
piezocone penetration tests were performed along the dam’s crest.
Additional undisturbed samples were also extracted from five explor­
atory boreholes. Table 1 presents the unit weight (γ) of different soil
types extracted from the boreholes. Based on the results presented in
Table 1, average unit weight of 20.3 kN/m3 (mass density ρ = 2069 kg/
m3) was used to model the dam layers.
The shear wave velocity (Vs) values of the dam layers were inter­
preted from the CPTu data using the correlation equation developed by
Hegazy and Mayne (1995) (Eq. (1)). This equation is applicable for
determining the Vs values for both sandy and clayey materials and was
ideal for characterizing the mixed soil layers present in the hydraulic fill
dam. The Vs values were then used to estimate the small strain shear
moduli (Gmax) of soil layers using Eq. (2). The soil layers of the dam were
modeled as linear elastic materials and Young’s moduli (E) for different
layers were estimated from the Gmax values using Eq. (3). Chakraborty
et al. (2020, 2019) reported that geomaterials of this dam is not expected
to exhibit non-linear stress-strain behavior for earthquakes with PGA of
0.01 g, irrespective of the frequency contents of the earthquake. Hence
linear elastic analyses with earthquake excitations having PGA of 0.01 g
were used in this study to avoid the influence of additional variables like
moduli degradation and variation of damping ratios with strain for
different soil types present in the dam. This linear elastic approximation
enabled studying the effect of spatial material variability in terms of
small strain stiffness properties, on the seismic response analysis results.
Poisson’s ratio (μ) of 0.33 and damping ratio (D) of 5% were assumed in
the absence of test results and were used for all the soil layers that
constitute the dam. The details of the procedure adopted to develop the
2D and 3D dam models are presented in the next section.
[( ) ]
fs
Vs (m/s) = [10.1 x (log qt )–11.4 ]1.67 x x 100 0.3 (1)
qt
where, qt and fs are the tip resistance and sleeve resistance, respectively
(in kPa).
Gmax = ρV s 2 (2)
E = 2 × (Gmax ) × (1 + μ) (3)
L. Mosadegh et al.
Table 1
Unit weight of different soil types.
Soil type Sandy lean clay Lean clay with sand Fat clay
Number of samples 27 5 3
Mean (kN/m3) 20.6 20.2 18.9
2.2. Construction of numerical models of the dam
The availability of in-situ soil data from 28 CPTu soundings provided
ample information about the different properties of the dam geo­
materials. However, such extensive information is seldom available for
all projects. The usual practice is to assign material properties from the
nearest CPTu or perform interpolation to estimate the material proper­
ties at a section where CPTu data is unavailable. This necessitated
studying the influence of the extent of information available to char­
acterize the dam materials on the seismic response analysis results. The
2D and 3D numerical models of the same heterogeneous dam were
developed for the following two case scenarios:
1) Case 1 represents a scenario where limited geomaterial information
is available to characterize the dam materials. Hence, in this case,
only 6 CPTu soundings data were selected and used out of the 28
CPTu to develop the dam models, and one CPTu sounding was
selected for every 244 m segment of the dam. Fig. 1a presents the
CPTu locations considered in this scenario.
2) Case 2 represents a scenario where extensive geomaterial informa­
tion is available to comprehensively characterize the dam’s material
properties. Fig. 1b presents the location of all the 28 CPTu that were
used to model the dam for this scenario.
For each case mentioned above, the distance of the stations from the
west end of the dam can be obtained by multiplying the respective
station numbers (Sta) by 30.48 m. Fig. 2 presents the shear wave ve­
locity profiles interpreted using 6 CPTu for Case 1 and 28 CPTu for Case
2 analysis. A stark difference can be observed in the shear wave velocity
profiles (Cases 1 and 2), which were used to evaluate the small strain
stiffness properties for the numerical modeling.
An as-built drawing of the dam was used to determine the geometric
configuration and develop the 2D finite element models of different
sections considered for both Cases 1 and 2. The near-continuous CPTu
data and the interpreted Vs profiles had to be averaged over certain
thicknesses to estimate and assign the small strain stiffness properties to
the different soil layers of the numerical models. The layer thickness was
determined based on typical depth intervals recommended for different
in-situ tests that are used for Vs estimation. Different in-situ tests, such as
cross-hole tests, down-hole tests, or seismic cone penetration tests, are
typically conducted at every 1.5 m depth interval. Hence the dam
models were divided into 12 horizontal layers of 1.5 m thickness each,
and soil properties such as γ, E, and D were assigned to different layers.
Rigid base boundary condition was used, assuming the earthquake
time-history data used in this study represent ‘within motion,’ which is
obtained by the superimposition of both upward and downward prop­
agating components of the seismic wave (Mejia and Dawson, 2006).
Combination of four-noded quadrilateral and three-noded triangular
elements was used for the 2D models, and the mesh size selected for the
analysis was smaller than one-tenth of the wavelength of the highest
frequency component of the input wave. Selection of mesh discretization
was based on the recommendations of Kuhlemeyer and Lysmer (1973).
For the 3D analysis, the transverse cross-section of the dam was
drawn using the same as-built drawing that was used to develop the 2D
models, and it was then expanded along the longitudinal axis of the dam.
The 3D models were at first divided into 12 horizontal layers of 1.5 m
thickness and then further divided into vertical segments to model the
dam for the two analysis scenarios - Case 1 (6 segments) and Case 2 (28
segments). Similar to the 2D models, the material properties interpreted
Engineering Geology 297 (2022) 106513
Silty clay with sand Lean clay Sandy silt Fat clay with sand Clayey sand
6 2 3 3 3
20.7 19.0 20.0 19.2 21.2
from the CPTu data available for the respective segments were assigned
to each layer. The extreme ends along the longitudinal axis of the dam
were fixed in the longitudinal direction, and the base was fixed in all
directions. Eight-noded brick elements were used to develop the 3D
model of the dam. Fig. 3 presents the 3D model of the dam with the
effect of geomaterial variability captured using limited (Case 1) and
extensive (Case 2) in-situ test results.
The finite element models of the dam for 2D and 3D analyses are
presented in Fig. 4. These developed 2D and 3D models were then used
to perform the seismic response analyses of the dam for the two analyses
cases considered in this study, and these are detailed in the following
sections.
2.3. Estimation of natural frequency
The natural frequency determination is one of the essential steps in
any seismic response analysis. The natural frequency of 2D and 3D
models of the dam were estimated and compared to identify the sce­
narios where the natural frequency values are widely different. It was
hypothesized that a significant difference in 2D and 3D natural fre­
quency values would also be associated with a widely different response
when subjected to earthquake excitations. This study was performed
considering scenarios where low-intensity earthquakes occur (PGA =
0.01 g), and the contribution of the second and higher modes of vibra­
tion of a dam is usually not significant during such low-PGA seismic
events (Chakraborty et al., 2020; Chopra and Chakrabarti, 1972, 1973;
Prevost et al., 1985). Therefore, the scope of this research study was
limited to estimating the first natural frequency of transverse vibration
of the dam.
A synthesized multi-sine base excitation (sum of sines), obtained by
superposition of equal amplitude, sinusoidal waves of frequencies
ranging from 0.01 Hz to 25 Hz, was applied at the base of the 2D model
to determine the natural frequency of dam sections, as per Chakraborty
et al. (2019). The sum of sines acceleration versus time data was digi­
tized at 0.02 s interval, scaled to peak acceleration of 0.01 g, and applied
at all the nodes along the base of the finite element models of the dam.
The method relies on the premise that earthen dams act as filters to
seismic waves, and only those waves having frequency close to the
natural frequency of the structure are amplified at the crest. The first
natural frequency was obtained by identifying the location of the first
strong peak in the Fast Fourier Transform (FFT) plot of the acceleration
history recorded at the crest of the dam. Eigenvalue analysis was not
performed for the 2D analysis in accordance with the recommendations
made by Chakraborty et al. (2019). Chakraborty et al. (2019) reported
that Eigenvalue analysis and the sum of sines method provide similar
natural frequency results, and this is illustrated in Fig. 5a and b for a
zoned earthen dam model. The details of this dam can be found in Cetin
et al. (2005) and Chakraborty et al. (2019).
Previous research studies have not demonstrated the applicability of
the sum of sines method to estimate the natural frequency of 3D models
of earthen dams (Chakraborty et al., 2019, 2020). Therefore, the natural
frequencies of the 3D models were estimated using both Eigenvalue
analysis and the sum of sines method. Fig. 6 depicts a schematic rep­
resentation of the natural frequency determination approach by
applying the sum of sines excitation at the base of the dam models.
Besides estimating the natural frequency values, the seismic response of
the dam was also studied by comparing the accelerations and shear
stresses induced in the dam models when subjected to seismic base ex­
citations, and these are elucidated in the next section.
3
L. Mosadegh et al. Engineering Geology 297 (2022) 106513

Fig. 1. Locations of CPTu conducted along the crest of the dam for (a) Case 1 and (b) Case 2.

4
L. Mosadegh et al.
Fig. 2. Shear wave velocity profile of the dam for (a) Case 1 and (b) Case 2.
2.4. Seismic response when subjected to earthquake time-history data
The first natural frequency of the dam models was estimated by
applying the sum of sines excitation - a synthesized wave with a wide
range of frequency components having an equal contribution from each
of the constituent frequencies. However, real earthquake data are typi­
cally random in nature and consist of waves of different frequencies with
unequal contributions. Hence, responses of the dam models were also
analyzed considering two real earthquake events. Fig. 7 presents the
time history data and FFT plots of two seismic events recorded in
Oklahoma (OK), USA, recorded at stations Pawnee, OK (M4.5, USGS
Station OK044, Nov 1, 2016) and Norfolk, OK (M5.0, USGS Station
OK034, Nov 6, 2016). The earthquake data recorded at Pawnee and
Norfolk had widely different predominant frequencies of 4.74 Hz and
11.87 Hz, respectively. These earthquake data were digitized at 0.02 s
intervals, scaled to PGA of 0.01 g, and used as the input horizontal base
excitations for both 2D and 3D dam models.
The earthquake-induced peak crest accelerations at each section
were determined from 2D and 3D analyses for Cases 1 and 2. The results
5
Engineering Geology 297 (2022) 106513
were compared to study the effect of material variability, on the pre­
dicted seismic response of the dam. The earthquake-induced shear
stresses, which dictate the chances of failure of a dam section, were
computed at the time-step corresponding to the peak crest acceleration.
Segments at Stations 5.75 and 41 (distances 175 m and 1250 m) were
selected to study the differences in the earthquake-induced shear
stresses along the vertical centerline of the 2D and 3D dam model, for
Case 2 analysis. These segments were categorically selected to study the
impact of L/H ratio of the segments on the computed shear stresses. The
segments at Stations 5.75 and 41 have L/H ratios of 2.1 and 13.5,
respectively. Similar comparative study on the earthquake-induced
shear stresses was not performed for Case 1 since each of the six seg­
ments had same L/H ratio of 13.5. The following section presents the
analysis and discussion of the results and highlights the salient findings
of this study.
3. Analysis and discussion of results
This section presents the results obtained from the 2D and 3D seismic
L. Mosadegh et al.
Fig. 3. 3D model of the dam for (a) Case 1 and (b) Case 2.
response analyses of the hydraulic fill dam. The differences in the results
obtained from the 2D and 3D analyses along with the causal factors are
analyzed. The scenarios which warrant a 3D analysis instead of a
simplistic 2D analysis are also elucidated in this section.
3.1. Estimation of first natural frequency
The first mode of transverse vibration of a typical 3D homogeneous
dam model is characterized by a unidirectional lateral movement of the
entire structure (Fig. 8). However, no such uniform deformed mode
shape was observed from Eigenvalue analysis results for the 3D model of
the hydraulic fill dam considered in this study. Rather, the deformed
mode shapes for Case 1 analysis were predominantly localized at the
individual six segments, with natural frequencies ranging between 3.7
Hz and 4.9 Hz (Fig. 9). These localized deformations suggest that the
notion of a single first natural frequency for the entire dam is solely
applicable for earthen dam models with the same material properties
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Engineering Geology 297 (2022) 106513
along its length.
As evident from Fig. 9, the first natural frequency of a heterogeneous
earthen dam depends on the shear moduli of the different segments and
varies along the length of dam. In addition to performing Eigenvalue
analysis, the first natural frequency of the 3D model of the dam was also
estimated using the sum of sines method. The results indicate that the
first natural frequency values obtained from both methods are similar
(Fig. 9). This suggests that the sum of sines method provided a reliable
estimate of variation in the first natural frequency of a 3D heterogeneous
earthen dam and may be used in lieu of Eigenvalue analysis.
Unlike the Case 1 analysis, the deformed mode shapes and corre­
sponding frequencies were not discernible from Case 2 Eigenvalue
analysis. The presence of thin segments and drastic changes in geo­
material properties resulted in an overlap of the deformed mode shapes
in the 3D model (Fig. 10). Therefore, it was not possible to visually
distinguish the deformed mode shapes and detect the corresponding first
natural frequencies of the 28 segments. Consequently, the first natural
L. Mosadegh et al.
Fig. 4. Finite element models of the dam for (a) 2D and (b) 3D analyses.
Fig. 5. Natural frequency estimation using (a) Eigenvalue analysis and (b) ‘sum
of sines’ method for a zoned earthen dam model adopted from Cetin
et al. (2005).
frequency was identified using the sum of sines method. The sum of sines
method does not rely on visual identification of the mode shape of vi­
bration and provides a convenient approach for identifying the first
natural frequency of any earthen dams. Hence, the first natural fre­
quencies of the different segments of the dam were estimated using the
sum of sines method, for both 2D and 3D analyses.
The variation in natural frequency values obtained for Case 1 and
Case 2 analyses are presented in Fig. 11. Fig. 11 highlights the similarity
in the natural frequencies obtained from 2D and 3D analyses for Case 1
7
Engineering Geology 297 (2022) 106513
and the stark differences observed for Case 2. Previous researchers,
including Mejia and Seed (1983), Woodward and Griffiths (1993),
Boulanger et al. (1995), and Mejia and Dawson (2010) reported that the
effect of adjacent boundaries has a prominent influence on the natural
frequencies in a 3D analysis for an earthen dam whose L/H value is less
than 6. The L/H ratio of the individual segment for Case 1 analysis is
13.5, which is higher than the threshold value of 6. Therefore, the dif­
ferences in 2D and 3D natural frequencies are negligible for Case 1
analysis. This indicates that each of the segments tends to behave
independently with limited influence of the response of adjacent
sections.
Contrarily, different natural frequencies were obtained from 2D and
3D analyses for select segments in Case 2 analysis (Fig. 11b). In Case 2,
the same dam was modeled using extensive in-situ test data available.
The availability of such extensive information from 28 CPTu tests
facilitated in capturing and defining the variation in material properties
over shorter spans of the dam. Hence several thin segments were defined
with L/H less than 6. The presence of narrow sections coupled with
drastic changes in stiffness properties had an appreciable impact on the
3D natural frequency as compared to that obtained from a 2D analysis
(Figs. 3 and 11).
Also, in 3D analysis, the behavior of any segment depends on the
stiffening or weakening effect of the adjacent segment. For instance, the
natural frequencies of segments located between Stations 12.5 to 16
(distances 380 m to 490 m) have less fluctuations in the 3D analysis as
compared to 2D analysis results (Fig. 11). The five narrow segments
present in this 110 m stretch of the dam interact with each other and
tend to vibrate as a single unit. Such a synergistic response cannot be
captured using a 2D plane strain analysis. Conversely, the natural fre­
quencies obtained from 3D and 2D analyses are similar for the segment
corresponding to Station 41 (distance 1250 m) due to a high L/H ratio of
13.5 (>6).
The differences in the 2D and 3D natural frequencies are not the
same along the dam for Case 2 analysis (Fig. 11b). The width of the
segment and the differences in stiffness properties with respect to the
adjacent sections were hypothesized as the two primary factors influ­
encing the differences in the 2D and 3D natural frequency values. Since
the shear wave velocities of twelve (12) horizontal layers were used to
model the segments of the dam, it was necessary to identify a measure of
the average stiffness property of a dam segment that predominantly
L. Mosadegh et al.
Fig. 6. Schematic representation of natural frequency estimation using ‘sum of sines’ method for a typical (a) 2D section and (b) 3D segment.
dictates the natural frequency. Regression analysis was performed to
find the relationship between the natural frequency and the average
shear modulus of the top, middle, and bottom one-third of a segment.
The p-values of the regression analysis were used as a measure of
identifying the layer that predominantly influences the natural fre­
quencies; a high p-value of a independent parameter implies an insig­
nificant contribution toward the dependent parameter. The p-values
provided in Table 2 indicate that the average shear modulus of the
bottom one-third of the dam has a predominant influence on the natural
frequency values.
The effect of the two factors affecting natural frequency values -
width and the differences in stiffness properties of a segment, was
incorporated in the analysis in terms of the shear modulus gradient
(SMG) formulated in Eq. (4). Fig. 12a presents the variation of SMG
along the length of the dam, and Fig. 12b depicts the absolute differ­
ences in 3D and 2D natural frequencies, expressed as a percentage with
respect to 2D natural frequency values. Fig. 12 shows a good similarity
in the pattern of the variation in SMG and differences in natural fre­
quencies along the length of the dam. This implies that a drastic change
in shear modulus over a short span is expected to result in a prominent
difference in 3D and 2D natural frequencies. Therefore, it may be
inferred that 3D seismic response analysis of a heterogeneous earthen
dam will yield additional information over a 2D seismic analysis, if and
only if, extensive information about material properties is available to
capture the material variability existing along the length of the dam.
|Gi − Gi+1 | |Gi− 1 − Gi |
SMG = Li +Li+1 − Li− 1 +Li
2 2
where Gi is the average shear modulus of bottom one-third of the ith dam
segment and Li is thickness of the ith segment.
The comparison between 2D and 3D natural frequencies presented so
far was based on the first natural frequencies estimated using the sum of
Engineering Geology 297 (2022) 106513
sines method. The frequency of the first strong peak in the FFT plot of
crest acceleration was considered as the first natural frequency for both
2D and 3D analyses. The first strong peaks in the FFT plots were broader
for Case 2 3D analysis as compared to 2D analysis (Fig. 13). This can be
attributed to the influence of the different geomaterial properties of the
adjacent segments. Therefore, the notion of a single-valued first natural
frequency is not applicable in the case of 3D analysis. Instead, the first
natural frequency needs to be represented as a band of frequencies over
which the dam segments tend to vibrate in the first mode. This hy­
pothesis was validated by applying single-frequency sinusoidal base
excitations with frequencies ranging between the lower limit to the
upper limit of the frequency bandwidth observed for a typical segment
corresponding to Station 5.75 (Fig. 13).
The first natural frequency band was observed to vary from 3.9 Hz to
4.9 Hz for the segment at Station 5.75. This frequency band indicates the
influence of Stations 5 and 7, which are located on either side of Station
5.75. Stations 5 and 7 are located at distances of 23 m and 38 m
measured from Station 5.75 and have 3D natural frequencies of 4.9 Hz
and 3.9 Hz, respectively. The close proximity of these three stations,
coupled with a natural frequency difference of 1 Hz, resulted in the 1 Hz
bandwidth observed in Fig. 13 for the 3D analysis. This 1 Hz bandwidth
is absent in the 2D analysis FFT plot for the dam section at Station 5.75
as the 2D analysis did not incorporate the influence of adjacent stations.
Three single-frequency sinusoidal waves with frequencies of 3.9 Hz,
4.4 Hz, and 4.9 Hz were chosen from the observed natural frequency
bandwidth, individually applied at the base of the Case 2 3D dam model,
(4) and the response of the dam was studied. The absolute value of the
relative displacements in lateral direction (X axis) along the centerline of
the dam, at different time steps of the excitation, were used to identify
the mode shape of vibration. Fig. 14 suggests that the segment experi­
enced first mode of vibration for all three frequencies. These observa­
tions confirm that a band of first natural frequencies exist for
8
L. Mosadegh et al. Engineering Geology 297 (2022) 106513

(a)

(b)
Fig. 7. Acceleration-time data and FFT plot for Oklahoma earthquake, November 2016 recorded at stations (a) Pawnee, OK and (b) Norfolk, OK.

Fig. 8. First mode of vibration obtained from Eigenvalue analysis for a homogeneous dam adopted from Clough and Chopra (1966).

9
L. Mosadegh et al. Engineering Geology 297 (2022) 106513

Fig. 9. First natural frequency obtained from Eigenvalue analysis and the sum of sines method for two typical segments of Case 1 model at distances of (a) 380 m
(Station 12.50) and (b) 610 m (Station 20).

heterogeneous earthen dams, primarily due to the influence of material

variability of adjacent segments. Fig. 15 presents the frequency band­
width obtained from Case 2 3D analysis. The existence of bandwidth of
natural frequency, along with its variation, highlight the importance of a
3D seismic response analysis for a heterogeneous earthen dam. Besides
estimating the natural frequency of the dam, the seismic response was
further studied based on the earthquake-induced accelerations and
shear stresses, which are presented in the next section.

3.2. Earthquake-induced acceleration and shear stresses

The peak crest accelerations were obtained for two different earth­
quake excitations for Case 1 and Case 2 analyses (Fig. 16). The Pawnee
earthquake had a predominant frequency of 4.74 Hz that is close to the
natural frequency of Stations 3 and 5 (distances of 91 m and 152 m,
respectively) (Figs. 7a and 15). The peak crest accelerations for these
Fig. 10. Overlapping mode shapes for 3 segments between 175 m to 275 m
stations were greater than the rest of the dam stations for the Pawnee
(Stations 5.75 to 9) for Case 2 model.
earthquake excitation due to resonance-induced amplified vibration

10
L. Mosadegh et al. Engineering Geology 297 (2022) 106513

5.0

Natural frequency (Hz)

6
R2 = 0.99
4.5
5

f (Hz)
4.0

3D
4
3.5

3 3.0
0 200 400 600 800 1000 1200 1400 3.0 3.5 4.0 4.5 5.0
Distance along length of dam (m) f (Hz)
2D

(a)

5.0
Natural frequency (Hz)

6
R2 = 0.67
4.5
5

f (Hz)
4.0

3D
4
3.5

3 3.0
0 200 400 600 800 1000 1200 1400 3.0 3.5 4.0 4.5 5.0
Distance along length of dam (m) f (Hz)
2D

(b)

Fig. 11. Comparison of natural frequencies obtained from 2D and 3D models for (a) Case 1 and (b) Case 2.

Table 2
p-values from the regression analysis.
Average Gmax p-value
1
Top one-third 8.89 × 10−
1
Middle one-third 9.37 × 10−
6
Bottom one-third 9.51 × 10−

Fig. 13. Comparison of single-valued natural frequency for 2D analysis and

band of natural frequency for 3D analysis for Station 5.75.

(Fig. 16a). Similar amplifications were not observed when subjected to

Fig. 12. Variation of (a) shear modulus gradient (SMG) and (b) percentage
difference (absolute) in 2D and 3D natural frequencies.
the Norfolk earthquake excitation with a predominant frequency of
11.87 Hz (Figs. 7b and 16b). The extent of differences in peak crest
accelerations computed from 2D and 3D analyses varied along the dam
due to the variation in stiffness properties. Nevertheless, the peak crest
accelerations obtained from the 3D analysis were higher than the 2D
analysis results for both the analyses scenarios, irrespective of the
earthquake excitations considered in this study.
Even though the differences in peak crest accelerations computed
from 2D and 3D analyses are evident from Fig. 16, the magnitude of the
peak crest acceleration was not significant due to the application of low-
PGA earthquakes of 0.01 g. Consequently, the earthquake-induced dis­
turbances may not be sufficient to cause any stability issues for the
present analysis scenarios. However, the general trend of obtaining
higher peak accelerations indicates that the earthquake-induced forces
computed from a 3D analysis are higher than that obtained from a 2D
analysis. This implies that the earthquake-induced forces are under­
estimated in a 2D analysis. Hence a slope may be declared safe from a 2D
analysis, whereas, in reality, the slope might experience stability issues
during a strong earthquake event.
The failure of a dam occurs when the shear stresses exceed the shear
strength of the materials. Therefore, the earthquake-induced shear
stresses along the centerline of the dam segments at Stations 5.75 and 41

11
L. Mosadegh et al. Engineering Geology 297 (2022) 106513

Fig. 14. First mode of vibration for segment at Station 5.75 after applying sinusoidal waves of frequency (a) f1 = 3.9 Hz, (b) f2 = 4.4 Hz and (c) f3 = 4.9 Hz.

were computed from 2D and 3D analyses. These segments were pur­

Fig. 15. Variation of natural frequency band for Case 2 3D analysis.
posefully selected for the comparative study due to their widely different
thicknesses of 38 m and 244 m, respectively. The shear stresses induced
during Pawnee and Norfolk earthquakes, and the deformations along the
centerline of the dam are presented in Figs. 17 and 18, respectively.
The earthquake-induced shear stresses computed from the 3D anal­
ysis were higher than that computed from 2D analysis for the Pawnee
earthquake (Fig. 17). The higher peak crest acceleration and lateral
movement of the dam indicate that the ‘whiplash effect’ is pronounced
in 3D analysis and this effect induced greater shear stresses as compared
to 2D analysis. The differences in the relative x-displacements and shear
stresses computed from 2D and 3D analyses were greater for the 38 m
thick segment (Station 5.75) as compared to the 244 m thick segment

Fig. 16. Case 1 and Case 2 peak crest accelerations from 2D and 3D analyses for earthquakes recorded at stations (a) Pawnee, OK and (b) Norfolk, OK.

12
L. Mosadegh et al. Engineering Geology 297 (2022) 106513

Fig. 17. Relative x-displacement and shear stress data for Pawnee earthquake at (a) Station 5.75 and (b) Station 41.

Fig. 18. Relative x-displacement and shear stress data for Norfolk earthquake at (a) Station 5.75 and (b) Station 41.

13
L. Mosadegh et al.
(Station 41). The relative differences in x-displacements and shear
stresses estimated from 3D and 2D analyses, with respect to the 2D
analysis results, were computed for the Pawnee earthquake using the
data provided in Fig. 17. The maximum differences in relative x-dis­
placements of 53% and 13% were observed at the dam’s crest for Sta­
tions 5.75 and 41, respectively. Simultaneously, the maximum
differences in shear stresses of 53% and 13% were recorded at the height
of 4 m above the dam’s base for Stations 5.75 and 41, respectively. The
adjacent segments had a stronger influence on the response of a thin
segment (Station 5.75), as compared to a thick segment (Station 41). The
natural frequency values reported in Figs. 11b and 15 also indicated
similar strong influence of adjacent segments for Station 5.75, in
contrast with Station 41. Overall, the differences in relative x-displace­
ments and shear stresses are observed to be more prominent for a thin
segment (similar to Case 2), as compared to a thick segment (similar to
Case 1).
In the case of Norfolk earthquake, the shear stresses computed from
the 3D analysis were higher than those from 2D analysis for major
portions of the dam (Fig. 18). A greater 2D shear stress was observed for
the layers located between 4 m and 8 m, measured from the base of the
dam. This apparent anomaly was attributed to the smaller change in
relative displacement of the centerline of the dam between 4 m and 8 m
for the 3D analysis as compared to the 2D analysis. This peculiar
behavior was not observed for Pawnee earthquake as the deformation of
the centerline of the dam was consistently higher for the 3D analysis as
compared to 2D analysis (Fig. 17). The relative differences in x-dis­
placements and shear stresses estimated from 3D and 2D analyses,
compared to the 2D analysis results, were also computed for the Norfolk
earthquake using the results presented in Fig. 18. The maximum dif­
ferences in relative x-displacements of 71% and 50% were observed at
the crest for Stations 5.75 and 41, respectively. Whereas the maximum
differences in shear stresses of 78% and 46% were recorded around a
height of 12 m above the base of the dam for Stations 5.75 and 41,
respectively. These results further highlight the possibility of under­
estimating the seismic response of heterogeneous dams using a 2D
analysis. The magnitude of the earthquake-induced shear stresses is not
appreciable to cause potential earthquake-induced stability issues for
either of the earthquake scenarios considered in this study (Figs. 17 and
18). This is attributed to the use of low-intensity earthquake excitation
with PGA of 0.01 g. Nevertheless, the findings of this study highlight the
chances of underestimation of earthquake-induced forces and shear
stresses by performing a 2D analysis. In the case of heterogeneous
earthen dams with scarce in-situ test data, a 3D analysis may not yield
appreciable additional information over that obtained from a 2D anal­
ysis. However, it is preferable to perform a 3D analysis for a project
where extensive information is available to capture the material vari­
ability existing at site. The findings of this study can facilitate re­
searchers to develop guidelines that can be used by practicing engineers
to select between 2D or 3D analysis based on the extent of in-situ test
data available for a given project. Further studies are needed to develop
such guidelines and validate their applicability. This research study was
limited to studying the behavior of the dam at small strain levels, and the
effect of reservoir water was not considered. Future studies are required
to study the effect of reservoir water, non-linear behavior of soil, and
development of excess pore water pressure, on the 2D and 3D seismic
response analysis results.
4. Practical implications
As per the current state of practice, a 2D seismic response analysis is
considered sufficient for long earthen dams with length/height (L/H) >
6. Typically, a 3D analysis is recommended when L/H < 6 and the dam is
built in a narrow canyon. However, this criterion was developed based
on studies that did not account for variation in material properties along
the length of a dam. The findings of this study indicate that contrary to
the current practice, a 2D analysis may not be adequate and appropriate
14
Engineering Geology 297 (2022) 106513
for a long heterogeneous earthen dam with L/H ≫ 6, especially when the
extent of site characterization results is sufficient to reveal drastic
changes in material properties along dam’s length.
The suitability of using a multi-sine synthesized base excitation (sum
of sines method) for estimating the natural frequency of a 3D dam model
has been demonstrated in this paper. This method can be used on any
commercially available software program to estimate the natural fre­
quency of 3D dam models instead of Eigenvalue analysis. The sum of
sines method does not rely on visual identification of the mode shape of
vibration and provides a convenient approach for identifying the natural
frequency of any earthen dam. It was observed that the notion of single-
valued natural frequency is applicable only for homogeneous dam
models and not for real heterogeneous earthen dams. Different segments
of heterogeneous dams have bands of frequencies over which the seg­
ments exhibit the first mode of vibration. These natural frequency bands
can provide insight into the frequency ranges over which the different
segments of the dam may experience amplified vibration for different
earthquake excitations.
5. Summary and conclusions
The objective of this study was to evaluate the applicability and
limitations of the conventional 2D seismic response analysis for studying
the behavior of a long, heterogeneous, hydraulic fill earthen dam. The
hydraulic fill dam was modeled using commercially available 2D and 3D
FEM-based software packages for two different scenarios: Case 1 –
geomaterial characterization based on the limited information available
from 6 CPTu and Case 2 – extensive information available about the
dam’s material variability from 28 CPTu. A comparative study was
performed using different parameters, including the first natural fre­
quency, earthquake-induced peak crest accelerations and shear stresses,
computed from 2D and 3D analyses. The following major conclusions
can be drawn from the findings of this study:
• The 2D analysis results, for Case 1 and Case 2, indicate a significant
variation in the first natural frequency due to the material variability
existing along the length of the hydraulic fill dam. Therefore, a
single-valued, first natural frequency of the entire dam, is not
applicable for a heterogeneous earthen dam.
• The mode shapes obtained from the 3D Eigenvalue analysis primarily
showed localized first mode of deformation corresponding to first
natural frequencies of the six different segments considered for Case
1. Hence, a uniform, laterally deformed mode shape, typically
observed for long homogeneous dam models, is not applicable for
heterogeneous earthen dams.
• The estimation of first natural frequency from 3D Eigenvalue anal­
ysis was difficult for Case 2 analysis due to the influence of over­
lapping first modes of vibration of adjacent segments. The utilization
of the sum of sines method was found to be an easier approach for
estimating the variation of natural frequency along the length of the
dam, for both Case 1 and Case 2 analyses. Thus, the sum of sines
method is applicable for estimating the natural frequencies for any
2D or 3D models of earthen dams.
• The 2D and 3D natural frequencies were similar for Case 1 analysis,
where limited site characterization information was available. In
contrast, the 3D natural frequencies observed for Case 2 analysis
with ample site characterization results were significantly different
from the 2D analysis results. The differences in 2D and 3D seismic
response analysis results are expected to be pronounced when
extensive in-situ test results are available to capture drastic changes
in material properties along a dam. In such situations, a 2D plane
strain analysis may not portray the actual response of the dam, and it
is desirable to perform a 3D analysis.
• The seismic response of a particular segment of the dam was influ­
enced by the material properties of the adjacent segments in 3D, Case
2 analysis. Consequently, the segment exhibited first mode of
L. Mosadegh et al.
vibration over a band of natural frequencies in a 3D analysis. This
effect is ignored in a 2D analysis but can be captured by a 3D analysis
when extensive information about the properties of the influencing
neighboring segments is available.
• For both Case 1 and Case 2 analyses, the earthquake-induced ac­
celerations, forces, and shear stresses computed from a 2D analysis
were found to be lower than those computed from a 3D analysis. This
indicates that the 2D analysis underestimates the earthquake-
induced forces and shear stresses, and may overlook potential
earthquake-induced stability issues.
CRediT authorship contribution statement
Leila Mosadegh: Methodology, Software, Formal analysis, Data
curation, Writing – original draft, Visualization. Sayantan Chakra­
borty: Conceptualization, Methodology, Formal analysis, Writing – re­
view & editing, Visualization. Anand J. Puppala: Writing – review &
editing, Supervision, Project administration, Funding acquisition,
Investigation.
Declaration of Competing Interest
The authors declare that they have no conflict of interest.
Acknowledgements
This research was conducted as part of an on-going research project
(Grant ID: GCS # 2015-779) with the Tarrant Regional Water District
(TRWD). The authors would like to acknowledge Mr. Louie Verreault,
Mr. Jason Gehrig, Ms. Dorota Koterba, and Mr. David Marshall of TRWD
for their assistance with various research activities related to testing and
for their assistance in coordinating various groups. The software support
provided by GeoStudio and Abaqus for the seismic response studies is
acknowledged. The authors would like to acknowledge the NSF
Industry-University Cooperative Research Center (I/UCRC) program
funded ‘Center for Integration of Composites into Infrastructure (CICI)’
site at Texas A&M University, College Station (Award # 1464489 (Phase
I) and Award # 2017796 (Phase III), Program Directors: Dr. Gregory
Reed, Dr. Prakash Balan, and Dr. Andre Marshall). The assistance pro­
vided by Dr. Arash Emami Saleh, Assistant Professor of Research at the
University of Texas at Arlington, in Abaqus modeling is greatly
appreciated.
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