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SEISMIC DESIGN PARAMETERS FOR LARGE DAMS -ICOLD METHOD

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SEISMIC DESIGN PARAMETERS FOR LARGE DAMS
- ICOLD METHOD

Snezana Gjorgji Stamatovska

Institute of Earthquake Engineering and Engineering Seismology, Skopje, R. Macedonia

ABSTRACT
A verified method for definition of seismic design parameters of large dams has been developed according to the
recommendations of the International Commission on Large DAMS (ICOLD – Commission Internacionale de
Grandes Barages) published in its Bulletin No. 72- Selecting Seismic Parameters for Large Dams – Guidelines,
wherefore the method is referred to as ICOLD method.

The method has been verified using a hypothetic location of a dam. Seismic design parameters have been defined for
two earthquake levels; OBE (Operating Basis Earthquake) and MDE – Maximum Design Earthquake. The design
parameters are: elastic acceleration spectra for 5% damping at the free surface of the site with corresponding time
histories of acceleration necessary for dynamic analyses of the dam and the accompanying facilities at its site.

The ICOLD method can be used in elaboration of regulations for seismic design of large dams.

Key words: Operating Basis Earthquake – OBE, Maximum Design Earthquake - MDE

1. INTRODUCTION

The design of dams in seismically active areas should be based on application of seismic design
regulations. Although dams are structures of major importance, such regulations that would be effective
have so far not been passed. Therefore, methods based on scientific investigations and practice are used
for seismic design of these structures.

Due to such conditions, the International Commission on Large Dams (ICOLD), in its Bulletin no. 72 –
Selecting Seismic Parameters for Large Dams –Guidelines, provided recommendations about how the
seismic design parameters of large dams are to be defined. These recommendations are the basis on which
the method for definition of seismic design parameters of large dams has been developed. It has been
verified through determination of the seismic design parameters of a hypothetic location of a large dam.
In these investigations, this method will be, first of all, explained and the results obtained by its
application will be presented.

2. ICOLD METHOD

According to this method, a seismic design parameter for a site of a dam is the elastic response spectrum
for 5% damping defined for OBE – Operating Basis Earthquake and MDE – Maximum Design
Earthquake. These two types of earthquakes are computed by application of the deterministic and/or the
probabilistic method. The deterministic method is used only for the computation of the maximum design
earthquake, while the probabilistic method is used for computation of two types of earthquake. To be able
to use these two recommended methods, it is necessary to have available results from previously
performed investigations of seismological, geological, tectonic and seismotectonic characteristics of the
site and the region around it as well as the geophysical and geotechnical characteristics of the site itself.

The deterministic method is based on application of attenuation laws of ground motion parameters under
strong earthquake effect, whereat it is necessary to know the seismic sources on and around the
considered site with their expected maximal magnitudes Mmax, minimal epicentral distances from the
site Re and hypocentral depths h of the foci. By applying this method, the elastic response spectrum is
computed for 5% damping, under expected local and regional earthquake. Given the existence of a
number of local and regional seismic foci, these earthquakes are computed as an envelope of the
computed spectra with 84% non-exceedence or median plus standard deviation. In this method, particular
attention is paid to the selection of alternative attenuation laws for rock type of soil defined on the basis of
banks of records on earthquakes that have occurred in the region, Europe and worldwide.

Unlike the deterministic method, the probabilistic method is used to define the elastic response spectra for
5% damping whose amplitudes are defined by equal probability of occurrence in a defined time period of
exposure of the dam site to local and regional earthquakes. These are defined by application of seismic
hazard analyses and are known as uniform hazard spectra. According to the ICOLD recommendations,
the OBE, by definition, represents an earthquake with a probability of non-exceedence of 50% in a 100
year period, or an earthquake defined for a return period of 145 years. Unlike this earthquake, the MDE is
necessary to be defined for as longer period as possible of exposure of the site to earthquake effect, with
probability of 50% of non-exceedence.

It is important to note that the ICOLD method recommends both methods for definition of the maximal
design earthquake – MDE although they are considerably theoretically different. The MDE evaluation is
done based on engineering judgment.

In this way, the computed design earthquakes for the dam site and rock type of soil are represented by
synthetic time histories of acceleration that are used to define the effect of the local soil conditions upon
the response spectra on the free surface of the dam site. For that purpose, dynamic analysis of all the
representative soil models of the dam site is carried out for the OBE and MDE effect and the elastic
response spectra at the free surface are defined for 5% damping. These spectra and their time histories of
acceleration represent the seismic design parameters of the investigated dam site.

3. VERIFICATION OF ICOLD METHOD

The ICOLD method has been applied to define the seismic design parameters of a hypothetic site of a
dam.

3.1. Definition of Maximum Design Earthquake –Deterministic Method

The maximum design earthquake–MDE causes the highest level of ground motion under strong
earthquakes for which the dam should be designed. It is defined by use of the deterministic or the
probabilistic method, according to the engineering judgment. For the deterministic method, analysis and
synthesis of the results of all the performed investigations referring to a hypothetic location has been
made and from these, within a radius of 25 km, two local earthquakes have been defined with M = 4.6, Re
= 18 km and h = 8 km and M = 4, Re = 4.5 km and h = 8.8 km.
Applying the attenuation laws of Sabetta & Pugliese, 1996; Ambraseys et al. 1996 and Stamatovska, S.,
2003, 2008, elastic response spectra for 5% damping and their envelope – envelope 1 (Figure 1) have
been computed. In addition to these, another local earthquake with magnitude of 5.0, Re = 8 km and h =
10 km has been taken to compute the second envelope of a local earthquake – envelope 2 (Figure 3, green
line with symbols). The maximum values of ground acceleration for type of soil – rock are: 108.33 cm/s2
(or 0.11 g) for envelope 1 and 150.55 cm/s2 (or 0.154 g) for envelope 2.
300 500

Magenta- Stamatovska S., 2003, 2008. M =5, Re=8km., h=10km.

M=4.0, Re=4.5 km., h=8.8 km. Blue- Sabetta & Pugliese, 1996.
Red - Ambraseys et. all. 1996
400 Green - Envelope Spectrum
Spectral Acceleration (cm/s2)

Spectral Acceleration (cm/s2)

200

300

200

100

100

0 0

0.00 0.01 0.10 1.00 10.00 0.00 0.01 0.10 1.00 10.00
Period (seconds) Period (seconds)

Figure 1. Local earthquake – envelope 1 Figure 2. Local earthquake – envelope 2

For the effect of regional earthquakes, the following alternative attenuation laws have been used as
follows: Sabetta & Pugliese 1996; Ambraseys et al., 1996; Naumovski Nove, 1984 and Stamatovska
Snezana 1994, 2006. The investigations showed that the earthquake with M = 6.6, Re = 92 km and focal
depth of h = 17 km defines the envelope for a regional earthquake – envelope 3 (Figure 4). The
comparison between the regional and the local earthquakes – envelope 2 is given in Figure 3.
500 160

400
120
ZABRZUVAWE (cm/s/s)

ZABRZUVAWE (cm/s/s)

300

80

200

40
100

0 0

0.00 0.01 0.10 1.00 10.00 0.00 0.01 0.10 1.00 10.00
PERIODA (sekundi) PERIODA (sekundi)

Figure 3. Comparison between local and regional earthquake Figure 4. Regional earthquake – envelope 3

3.2. Definition of Operating Basis and Maximum Design Earthquake – Probabilistic Method

The probabilistic elastic spectra for operating basis and maximum design earthquake have been defined
by seismic hazard analyses (PSHA– Probabilistic Seismic Hazard Analysis, Cornell C.A., 1976)
performed by use of the EQRISK computer programme (McGuire R.K., 1976). Used as an input for this
programme has been the same mathematical model of seismic sources applied in the deterministic
method, then empirical relationships for the seismic activity of the foci or the so called recurrence
relationships and four alternative attenuation laws used in the deterministic method. The seismic hazard
analyses have been carried out for return time period of 100, 145, 475, 1000, 2500 and 10 000 years, for
maximal horizontal acceleration – PGA and horizontal elastic response spectra, for 5% damping and 9
models of single degree of freedom system with natural periods ranging between 0.1 and 4.0 seconds. The
seismic hazard analyses have resulted into four probabilistic uniform hazard spectra for 5% damping, for
each return time period.
Applying the results obtained for the return time periods of 145 and 1000 years, their mean uniform
hazard spectra (red line with symbols) have been computed for the operative basis earthquake-OBE
(Figure 5) and the maximum design earthquake-MDE (Figure 6). The mean value of maximal horizontal
ground acceleration for these two types of earthquake 67.79cm/s2 (0.069g) and 125.38cm/s2 (0.128g), for
the OBE and the MDE, respectively.
250 600

200
Spectral Acceleration - SA (cm/s2)

Spectral Acceleration - SA (cm/s2)

400

150

100

200

50

0 0

0.00 0.01 0.10 1.00 10.00 0.00 0.01 0.10 1.00 10.00
P e r i o d (seconds) P e r i o d ( seconds)

Figure 5. Probabilistic earthquake – OBE Figure 6. Probabilistic earthquake – MDE

3.3 Analysis of Effect of Local Soil Characteristics

The local geotechnical media have a specific effect on the characteristics of ground motion under strong
earthquake effect. This effect depends on the characteristics of both the local media and the seismic effect
at bedrock. It is expressed through the amplitude-frequency content of ground motion at the free surface
of the site and is defined by analysis of the dynamic response of the mathematical models of soil at the
dam location.

In these investigations, the dynamic analyses have been performed by application of the SHAKE2000
computer programme (Schnabel P.B. et. al., SHAKE 2000) for three characteristic geodynamic models of
the hypothetical location indicated as M-1, M-2 and M-3. The seismic bedrock is at depth of 4 m, 12 m
and 30m for models M-1, M-2 and M-3, respectively. The input excitation in the dynamic analyses are the
synthetic accelerogrammes generated according to the elastic spectrum for 5% damping, for the
maximum and operative earthquake defined according to both methods. For each deterministic local
spectrum: envelope 1 and 2, three synthetic accelerogrammes have been generated, while for the regional
spectrum – envelope 3, four synthetic accelerogrammes have been generated. Each of the synthetic
accelerogrammes has been computed by use of the method developed at IZIIS (Nastev M. et al., 1986)
that uses a recorded accelerogramme of an occurred earthquake as initial one. Its amplitudes are changed
in the frequency domain until the required compatibility of its spectrum for 5% damping and the assigned
spectrum are achieved after a certain number of iterations.

In a completely the same way, there were generated three synthetic accelerogrammes for the effect of the
OBE and three synthetic accelerogrammes for the effect of the MDE.
The following are the results from the dynamic analyses: amplification function, distribution of
acceleration down the depth of the models and at the free surface, elastic response spectra down depth and
at the free surface and the corresponding time histories of acceleration.

The acceleration spectra for 5% damping obtained at the free surface of the dam site are shown in figures
7a and 7b. The natural periods of vibration of the soil models prior and during the earthquake effect are
shown in tables 1 and 2.

Table 1. Natural periods of vibration of soil models M-1, M-2 and M-3
Soil vibration period under earthquake effect
Deterministic method
Period T(s)
Soil model

Local earthquakes Regional earthquakes

Initial

Envelope 1- Envelope 2- Envelope 3-

PGA=0.11g PGA=0.154 g PGA=0.093g
Syn1. Syn2. Syn3. Syn4. Syn5. Syn6 Syn7. Syn8. Syn9. Syn10
acc acc acc acc acc .acc acc acc acc .acc
M-3 M-2 M-1

0.09 0.19 0.20 0.19 0.23 0.23 0.25 0.16 0.16 0.17 0.17
0.17 0.29 0.31 0.31 0.33 0.37 0.36 0.28 0.27 0.30 0.29
0.16 0.19 0.20 0.20 0.21 0.21 0.18 0.18 0.18 0.18 0.18

Table 2. Natural periods of vibration of soil models for OBE and MDE level
Soil vibration period under earthquake effect
Initial period T(s)

Probabilistic method
Soil model

Operating basis earthquake Maximum design earthquake

– OBE – MDE
PGA = 0.069 g PGA= 0.128 g
Syn Syn Syn Syn14. Syn15. Syn16.
11.acc 12.acc 13.acc acc acc acc
M-3 M-2 M-1

0.09 0.16 0.15 0.16 0.22 0.22 0.20

0.16 0.26 0.27 0.26 0.33 0.33 0.32

0.16 0.18 0.18 0.18 0.20 0.20 0.20

3.4 Analysis of Obtained Results

While analyzing the obtained results, the maximum design earthquake was, first of all, defined. For that
purpose, the acceleration spectra defined according to both methods (the deterministic and the
probabilistic method) have been compared (Figure 8). The comparison shows that, for the range of
periods between 0.1 and 0.3 seconds, the probabilistic spectrum is higher than the deterministic, whereas
for periods higher than 0.3 seconds, the spectra have almost equal amplitudes. The range of periods below
0.1 second is a result of linearization of the spectra between PGA and 0.1 second. Based on this, the
probabilistic spectrum computed for a return period of 1000 years represents the maximum design
earthquake for the dam site, with maximum horizontal ground acceleration PGA = 0.128 g, for soil type –
rock.
 2.00 1.60

MODEL 1 ( M-1)
Damping 5%
Local Earthquake - Envelope 1
Local Earthquake - Envelope 2 MODEL 1 ( M-1)
1.60 Regional Earthquake - Envelope 3
Damping 5%
1.20

Spectral Acceleration - SA (g)

Spectral Acceleration - SA (g)

Operating Basis Earthquake - OBE

Maximum Design Earthquake - MDE
1.20

0.80

0.80

0.40
0.40

0.00 0.00

0.01 0.10 1.00 10.00 0.01 0.10 1.00 10.00

P e r i o d (seconds) P e r i o d (seconds)
2.00 1.60

Local Earthquake - Envelope 1 Operationg Basis Earthquake - OBE

Local Earthquake - Envelope 2 MODEL 2 ( M-2) Maximum Design Earthquake - MDE MODEL 2 ( M-2)
1.60 Regional Earthquake - Envelope 3
Damping 5% Damping 5%
1.20

Spectral Acceleration - SA (g)

Spectral Acceleration - SA (g)

1.20

0.80

0.80

0.40
0.40

0.00 0.00

0.01 0.10 1.00 10.00 0.01 0.10 1.00 10.00

P e r i o d (seconds) P e r i o d (seconds)
4.00 3.00

MODEL 3 ( M-3)
Local Earthquake - Envelope 1 Damping 5%
Local Earthquake - Envelope 2 MODEL 3 ( M-3)
Regional Earthquake - Envelope 3
Damping 5% Operating Basis Earthquake - OBE
3.00
Spectral Acceleration - SA (g)

Maximum Design Earthquake - MDE

Spectral Acceleration - SA (g)

2.00

2.00

1.00

1.00

0.00 0.00

0.01 0.10 1.00 10.00 0.01 0.10 1.00 10.00

P e r i o d (seconds) P e r i o d (seconds)

a) Deterministic method b) Probabilistic method

Figure 7. Elastic acceleration spectra at free surface for 5% damping

The distribution of the maximum acceleration down the depth of the soil models is presented in Table 3.
The results show that the greatest acceleration under earthquake effect is obtained at the free surface of
the site.
 600
Uniform Hazard Spectrum - 1000 years
Local Earthquake - Envelope 1
Local Earthquake - Envelope 2
500 Regional Earthquke - Envelope 3

Spectral Acceleration -SA (cm/s2)

400

300

200

100

0.00 0.01 0.10 1.00 10.00

Period (seconds)

Figure 8. Maximum design earthquake

Table 3. Distribution of acceleration down the depth of the investigated soil models at the dam site
Acceleration value down the depth of the soil models (g)
(total depth)
Soil model

Depth (m)

Probabilistic method
Operative earthquake – OBE Maximum design earthquake - MDE
Syn Syn Syn Syn Syn Syn
11.acc 12.acc 13.acc 14.acc 15.acc 16.acc
-2 0.110 0.102 0.122 0.265 0.257 0.226
(4m)
M-1

-4 PGA =0.069 PGA=0.128

-2 0.134 0.125 0.137 0.280 0.288 0.237
(12 m)

-4 0.085 0.099 0.082 0.219 0.170 0.190

M-2

-8 0.076 0.074 0.066 0.176 0.138 0.141

-12 PGA =0.069 PGA=0.128
-2 0.145 0.112 0.146 0.328 0.302 0.310
-4 0.125 0.099 0.124 0.285 0.278 0.258
-6.5 0.089 0.080 0.077 0.165 0.175 0.148
(30 m)

-9 0.079 0.072 0.68 0.158 0.155 0.135

M-3

-13 0.065 0.066 0.063 0.138 0.138 0.129

-17 0.54 0.059 0.057 0.113 0.121 0.120
-22 0.044 0.052 0.047 0.097 0.119 0.103
-26 0.041 0.048 0.041 0.097 0.108 0.091

5. CONCLUSIONS AND RECOMMENDATIONS

The ICOLD method has been developed in accordance with the recommendations of the International
Commission on Large Dams. Applying this method, the following seismic design parameters for a dam
on a hypothetic site have been obtained: OBE with PGA = 0.069 g, and MDE with PGA = 0.128 g.

The design elastic spectra for 5% damping obtained at the free surface of the site for the three analyzed
soil models are presented in figure 13b. For each elastic spectrum, three time histories of acceleration at
the free surface of the site have been obtained. These represent the seismic input for the dynamic analyses
of the structures at the site, or a total of 18 design time histories (3 time histories for each of the 3 models
for OBE and MDE). If the foundation of the structures is at some level below the free surface of the site,
 this method enables obtaining of the corresponding seismic design parameters for that level: elastic
spectrum for 5% damping, 18 corresponding time histories of acceleration, corresponding amplification
function and PGA.

Also, the ICOLD method presented here enables rational design in which the dynamic characteristics of
the site and the dynamic characteristics of the structure are balanced. Such a design is aimed at achieving
a greater seismic safety and at the same time, reduction of cost of the structure.

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