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1. ------IND- 2013 0045 RO- EN- ------ 20130220 --- --- PROJET

ORDER

No.……… of..…….2013

for the approval of technical regulation “Normative document for the seismic design,

construction and assessment

of water engineering structures used in dam facilities”, Code NP 076-2012

In accordance with the provisions of Article 10 and Article 38(2) of Law No 10/1995 on quality in

constructions, with its subsequent amendments, of Article 2(3) and (4) of the Regulation regarding the

types of technical regulations and costs relating to regulatory activities in the field of constructions, town

planning, land development and habitat, approved by Government Decision No 203/2003, with its

subsequent modifications and supplementation,

on the grounds of Article 4(II)(d) and Article 12(7) of Government Decision No 1/2013 concerning

the organisation and operation of the Ministry of Regional Development and Public administration,

the Ministry of Regional Development and Public Administration hereby issues the following

ORDER:

Article 1. – The technical regulation “Normative document for the seismic design, construction and

assessment of water engineering structures used in dam facilities, code NP 076-2012”, revision NP076-

2002, drawn up by the Technical University of Civil Engineering of Bucharest, Faculty of

Hydrotechnics, stipulated in the annex that is an integrated part of the present order, is hereby approved.

Article 2. - This order shall be published in the Official Journal of Romania, Part I and shall come

into force 30 days after its date of publication.

Article 3. - On the date this order comes into force, Order No 1709/2002 of the Ministry of

Transport, Constructions and Tourism for approval of the technical regulation “Normative document for

the seismic design, construction and safety assessment of water engineering structures used in dam

facilities, code NP 076/2002*) shall cease to be applicable.

This technical regulation was adopted in accordance with the notification procedure No RO/..............

of ...................... stipulated in Government Decision No 1016/2004 regarding measures for organising

and carrying out the exchange of information in the field of technical standards and regulations, as well

as the rules regarding information society services between Romania and the EU Member States, as well

as the European Commission, with its subsequent modifications, published in the Official Journal of

Romania, Part I No 664 of 23 July 2004, which transposes Directive 98/34/EC of the European

Parliament and of the Council of 22 June 1998 laying down a procedure for the provision of information

in the field of technical standards and regulations, published in the Official Journal of the European

Communities L 204 of 21 July 1998, amended by Directive 98/48/EC of the European Parliament and of

the Council of 20 July 1998, published in the Official Journal of the European Communities L 217 of 5

August 1998.

DEPUTY PRIME-MINISTER,

*) The technical regulation “Normative document for the seismic design, construction and assessment of water engineering structures used in

dam facilities, code NP 076/2002”, was approved by Order No 1709/2002 of the Ministry of Constructions and Tourism, and was published

in the Constructions Journal No 19/2003 edited by the National Institute for Research and Development in Constructions and Building

Economics – INCERC.

1

MINISTER

Nicolae-Liviu DRAGNEA

Annex

to MDRAP Order No________/___.___.2013

Normative document

for the seismic design, construction and assessment of

water engineering structures used in dam facilities

Code NP 076-2012

- Revision NP 076-2002 -

2

Contents

2. Seismicity and seismic parameters ......................................................................................5

3. Seismic design and calculation of water engineering structures used in dam

facilities. Structure-reservoir-foundation ground interaction ............................................13

4. Seismic calculation of dams made of concrete and local materials ...................................20

5. Seismic calculation of auxiliary water engineering structures used in dam facilities .......26

5.1 Introduction.................................................................................................................. 26

5.2 Design calculation of high-water spillways ................................................................. 27

5.3 Water carrier pipes, sluice gates and valves ................................................................ 27

5.4 Intake towers. Funnel spillways .................................................................................. 28

5.5 Navigation locks .......................................................................................................... 28

6. Seismic calculation of tailings dams and dykes .................................................................30

7. Construction of dams in seismic zones. Anti-seismic structural measures .......................31

8. Surveillance and monitoring of dam engineering structures built in seismic zones ..........33

9. Restoration works for water engineering structures affected by earthquakes ...................34

10. Reference documents .........................................................................................................35

Anexa A - Glossary of terms ......................................................................................................39

Anexa B - International seismic criteria and regulations ...........................................................45

Anexa C - Calculation relationships used in the pseudo-static method .....................................47

Anexa D - Assessment of hydrodynamic pressures due to earthquakes ....................................48

Anexa E - Assessment of the seismic pressures due to the foundation ground .........................52

Anexa F - Seismic analysis of a gravity dam .............................................................................60

Anexa G - Seismic analysis of an earthfill dam .........................................................................87

3

1. Scope of the normative document

1.1. The normative document includes provisions regarding the seismic design, construction

and safety assessment of water engineering structures used in dam facilities (dams, dykes, dam power

stations, locks, auxiliary structures).

(1) Therefore, the following chapters specify the seismicity and seismic parameters, anti-seismic

design principles, the seismic calculation and safety assessment of water engineering structures used in

dam facilities, the construction of such structures in seismic zones, anti-seismic structural measures,

surveillance and monitoring, as well as works for the restoration of any water engineering structures

used in dam facilities which have been affected by earthquakes.

(2) The provisions are applicable to both the actual dam and the other water engineering

structures used within the dam facility: dam power plants, water inlets, spillways, hydromechanical

equipment, locks, abutments and connecting walls, etc.

(3) The seismic safety of the structures shall depend on their response to the combinations of

loads compatible with the seismic action. Therefore, the seismic action cannot be dissociated from other

types of loads or the state and specific conditions of the respective structure.

(4) Although the normative document only refers to aspects that are directly related to the

seismic action, the person responsible for ensuring the safety of these structures shall have to take into

consideration all of the structural and non-structural factors involved that comply with the practice

principles applicable in the field.

(5) Since the normative document generally reflects current engineering practice, the document

will need to be periodically revised and supplemented with the new practices developed in the field of

seismic engineering of water retention structures.

1.2. This normative document provides specialists responsible for designing or constructing

water engineering structures for dam facilities with the necessary theoretical and practical (structural)

elements relating to the calculation methodologies to be used and the seismic behaviour of these

structures.

(1) This normative document mainly refers to technical prescriptions relating to the fundamental

requirements applicable to structures and aims to harmonise the applicable specific technical regulations

in the field with those agreed nationally and internationally, namely the Seismic Design Codes No P100-

1 and P100-3, EUROCODE 8, ICOLD Bulletins and conferences, as well as the publications of the

European ICOLD Club.

1.3. The provisions of this normative document shall apply to dam engineering structures located

on sites whose geological conditions, determined by means of geological, hydrogeological, geotechnical

and geophysical surveys, are accepted by the practice in the field.

(1) Normally, sites located in zones with high tectonic activity, with faults that have a high risk

of relative sliding between adjacent faces, which are affected by landslides, caving-in or karst processes,

shifting sands or sands that pose the risk of liquefaction, massifs containing soluble materials (salt,

gypsum), or recent unconsolidated fillings shall not be accepted for water engineering structures used in

dam facilities.

1.4. The normative document refers to structures that are being designed, as well as existing

structures that are to undergo expert examination or verification, in accordance with the applicable

specific legislation in force.

(1) This normative document is to be used by all parties involved in the investment process:

planners, planning assessors, certified technical experts, contractors, technical managers responsible for

the construction works, investors, owners, administrators and users, personnel responsible for operating

4

the facilities, operators/companies working in the field of water engineering, as well as public

administration authorities and inspection bodies.

Annex A - includes a glossary with the terminology used in this normative document;

Annex B - contains the main international regulations in the field of seismic safety of dams;

Annexes C, D, E - provide, as a recommendation, calculation relationships to be used in the

pseudo-static method, as well as when determining the hydrodynamic pressures due to earthquakes and

the seismic pressure developed in the foundation ground;

Annexes F, G - contain applications for the seismic analysis of a gravity dam and a rockfill dam,

respectively.

2.1. The strength of an earthquake can be described by its magnitude or its intensity.

(1) Magnitude is a measure of the energy released by the earthquake and, therefore, each

earthquake is characterised by a single magnitude.

(2) Intensity is a measure of the destructive effects of an earthquake in a certain zone and,

consequently, the intensity of an earthquake varies depending on the zone being analysed.

(3) The strength of an earthquake can be assessed by either determining its effects on people,

buildings or the environment, or by carrying out instrumental recordings at seismic stations.

(4) The most frequently used magnitude scale is Gutenberg-Richter (M), which includes nine

degrees of magnitude (1-9). The best known intensity scales are the Modified Mercalli (MM) scale,

which has twelve degrees of intensity (I - XII), and the Medvedev Sponheur and Karnic (MSK) scale,

which has ten degrees of intensity (I - X), in the MSK-64 and MSK-76 versions. The EMS 98 scale has

been developed in the European Union.

(5) Figure 2-1 shows correlations between various earthquake strength scales. For intensity

scales, the comparison refers to the epicentral intensity of the earthquake.

(6) In Romania, in accordance with STAS 3684 regarding the “Seismic intensity scale”, the

degree of seismic intensity is expressed in degrees on the international MSK-64 scale (Medvedev-

Sponheur-Karnik scale).

5

MAGNITUDE EPICENTRAL JAPANESE

ENERGY

M ACCELERATI M.M. M.S.K. SCALE

ONS

ergi

CLASS

E

CLASS

D

CLASS

C

CLASS

B

CLASS

A

MM - Modified Mercalli - 1931

MSK - Medvedev, Sponheur, Karnik - 1964

Figure 2.1 Correlations between various seismic scales

2.2. The peak value of the seismic horizontal ground acceleration (ag) within a site shall

correspond to a mean recurrence interval (MRI) of 225 years (exceedance probability of 20 % over 50

years) for the zones that are mainly influenced by the Vrancea subcrustal seismic source and the Banat

crustal sources, or a mean recurrence interval of 100 years (exceedance probability of 40 % over 50

years) for the rest of Romania, in accordance with Regulation P100-1 (Figure 2-2).

ag - peak seismic horizontal ground acceleration for earthquakes whose mean recurrence interval

MRI complies with Paragraph 1(2.2);

Tc - the control (corner) period characteristic to the spectral composition diagram of the seismic

movement within the site, representing the limit between the maximum value zone in the absolute

acceleration spectrum and the maximum value zone in the relative velocity spectrum (Figure 2-3).

(2) Figure 2.4 shows the normalised elastic response spectra for horizontal accelerations at

foundation level, depending on the corner periods (Tc). The normalised spectra shall be obtained using

the elastic response spectra for absolute accelerations, by dividing the spectral ordinates by the peak

ground acceleration ag.

6

ESRI, ArcMap 8.3

Scale

Kilometres

Figure 2.2 Zoning of Romania according to the design peak ground acceleration ag with an MRI=225

years and an exceedance probability of 20 % over 50 years (red line), and an MRI=100 years and an

exceedance probability of 40 % over 50 years (blue line), respectively.

Scale

Kilometres

7

Figure 2.3 Zoning of Romania as a function of the corner period (Tc) of the

response spectrum.

(3) The absolute acceleration elastic response spectra [Sa(T)] for the horizontal components of

the seismic action shall be obtained from the normalised spectra [β(T) Figure 4] corrected by the peak

values of the ground acceleration ag:

(4) The relative velocity response spectra [Sv(T)] or relative displacement response spectra

[Sd(T)] shall be obtained from Sa(T) in accordance with the relationships between the elastic response

spectra:

8

Period T, s

Period T, s

Period T, s

Figure Normalised elastic response spectra for horizontal accelerations at foundation level, depending

on the corner periods (Tc).

9

(5) The response spectra calculated in accordance with relationships (2.1) and (2.2) shall be used

in the calculations carried out to assess the safety of water engineering structures used in dam facilities

(SEE).

(6) The spectra shall be applied for seismic actions that are horizontal in the most unfavourable

structural response direction(s) specified in the following chapters for various water engineering

structures used in retention facilities.

(7) For water engineering structures used in retention facilities that are located in the relative

vicinity of earthquake epicentres, verifications shall also be carried out for the vertical component of the

seismic action. The peak acceleration for the vertical component avg shall be determined with

relationship (2.3), unless otherwise recommended:

(8) The acceleration elastic response spectrum for the vertical component of the seismic action

[Sv,a(T)] shall be determined with the following relationship:

(9) Figure 2.5 shows the zones of seismic hazard due to crustal earthquakes in Romania. If

response spectra specific to these zones are created, which are certified by official documents, these

spectra shall be used in the design calculations.

Figure 2.5 Territory of Romania, showing the zones of seismic hazard due to crustal earthquakes.

(10) In the dynamic calculation of water retention structures, the seismic action shall be

described by accelerograms. These can be artificial, generated based on an elastic response spectrum

created as a function of ag and Tc within the site, or can be recorded accelerograms scaled to the values

of ag within the site, providing that the frequency content is compatible with the local conditions.

10

(11) The level of seismic hazard determined in accordance with the above relationships is the

minimum level that must be taken into consideration when designing water retention structures.

2.3. For dams or dam engineering structures (which create water retention) belonging to

importance classes I or II (STAS 4273-83) or importance categories A, B for new works (for the design

stage) (NTLH-021), the level of seismic hazard within the site (ag, Tc) shall be determined by means of a

special seismicity survey of the site based on thorough geological, hydrogeological and geophysical

studies, as well as statistical seismological research and studies.

2.4. The site seismic survey shall be drawn up in order to create a detailed seismic zoning and

micro-zoning of the region where the water engineering structure is located and determine the basic

earthquake parameters.

This survey must include the following data:

(1) A description of the structural and seismotectonic geological conditions present within the

region where the water engineering structure is located, at regional scale (100–300 km), represented on

maps and geological cross-sections, as well as geological, tectonic and electrometric block diagrams.

(2) A description of the local geomorphological and geophysical conditions present within the

site of the water engineering structure, represented on geological and geophysical profiles based on

drilling and geophysical tests relating to the seismic wave velocities (Vs and Vp) and strata density.

(3) The geotechnical characteristics of the superficial ground strata (longitudinal “Ed” and

transverse “Gd” longitudinal dynamic moduli of elasticity, propagation velocities “Vs” and “Vp”,

damping “υ”) and their stress-related variation.

(4) A description of the local seismic conditions, as well as the seismotectonic zones which

affect the site, specifying the focus points and epicentres, their seismic characteristics (maximum

accelerations, intensity, earthquake frequency, magnitude-frequency relationship, seismic degree of the

site), as well as the seismic intensity coefficients of the design earthquakes (cg=ag/g where g is the

gravitational acceleration) of the water engineering structure for the operating basis earthquake (OBE)

and the maximum credible earthquake (MCE).

(5) Primary historical data obtained by direct observation and by recording strong, medium and

weak earthquakes at the seismic stations installed within the region or zone being studied, or in areas

with similar geological and geodynamic properties:

a) maximum acceleration, velocity and displacement amplitude;

b) spatial characterisation of the seismic movement (ratio between the acceleration amplitudes in

different directions, spatial correlation characteristics);

c) the historical envelope of the movement over time, for the two body waves (P and S) and the

surface waves;

d) total duration of the seismic event: duration of the significant part of the movement and the

number of significant cycles;

e) the periods of the two main phases of the seismic movement (Tp and Ts);

f) the interval of time lapsed from the beginning of the phase until the maximum value is

reached, for the two types of waves (DoS, DoP).

(6) The spectral composition of a strong seismic movement within the site being studied shall be

predicted based on the following data:

a) a determination of the natural periods of the ground structure; the natural periods of the

ground under low stresses will significantly increase in the event of a strong earthquake, due to ground

damage; for non-rocky terrain, the quantitative assessment method used to determine the increase in the

natural periods shall be based on the variation curves of the transverse ground deformation modulus

“Gd” as a function of the specific angular deformation “γ”;

b) recordings of strong earthquakes that occurred within the area;

c) data from specialist literature.

11

(7) The seismic survey must take into consideration the risk of seismic phenomena occurring due

to the storage reservoirs created by water retention facilities, as well as the modification of certain

seismic parameters during the reservoir filling and operating periods.

2.5. In accordance with the international terminology, the earthquakes that are frequently taken

into consideration in the seismic analysis of water engineering structures used in dam facilities are MCE

(Maximum Credible Earthquake), SEE (Safety Evaluation Earthquake) and OBE (Operating Basis

Earthquake). Other typical earthquakes included in the international terminology are defined in Annex

A.

(1) MCE is the earthquake that would cause the highest possible level of ground movement

within the site, depending on the geological conditions.

(2) A SEE is an earthquake which generates the highest level of ground movement for which a

catastrophic rupturing of the dam does not occur. A SEE can be, at the limit, equal to the MCE or a

certain proportion of the MCE, or can be determined as a function of the return period of earthquakes of

a certain intensity within the site.

(3) OBE is an earthquake which is likely to occur, on average, no more than once throughout the

expected service life of the structure (but not less than 100 years, depending on the service life of the

water engineering structures used in the dam facilities). Under the action of an OBE, the dam and its

auxiliary structures must remain operational, but could need repairs.

(4) The ground movement can be characterised by the peak or effective acceleration, velocity or

displacement values.

(5) The peak ground acceleration (PGA) is the maximum free-field acceleration occurring in any

horizontal direction during an earthquake. The peak acceleration lasts for an extremely short period of

time, since it usually occurs in one or two of the high-frequency seismic oscillations and, therefore,

contains a small amount of energy. The engineering meaning of PGA is subject to debate. In general, a

parameter based on the evaluation of the earthquake energy which, in most cases, is 0.5 PGA can be

accepted as a parameter of the seismic acceleration.

(6) The effective peak acceleration is the peak acceleration after the seismic movement recording

(accelerogram) has been filtered in order to remove ultra-high-frequency oscillations which only have a

small influence on the structural response.

2.6. The design earthquake of a water engineering structure shall be determined as a function of

the peak ground acceleration (ag) and the class or category of importance of the respective structure.

(1) For water engineering structures belonging to the importance classes III, IV or V or the

categories of importance C and D, a single intensity level shall be established for the design earthquake,

namely the operating basis earthquake (OBE).

(2) For water engineering structures belonging to the importance classes I or II or the categories

of importance A and B, two intensity levels shall be established for the design earthquakes, namely: the

operating basis earthquake (OBE) and the safety evaluation earthquake (SEE).

(3) Table 2-1 gives the maximum seismic acceleration values for the operating basis earthquake

(anOBE) as a function of the peak ground acceleration (ag) within the site, in accordance with regulation

P100-1 and depending on the class or category of importance of the water engineering structure.

12

Table 2-1

Class or category of importance Maximum seismic acceleration for

of the water engineering structure OBE (anOBE)

I or A, for new structures 0.28 ag but not less than 0.12g

II or B, for new structures 0.28 ag but not less than 0.10g

III or C, for new structures 0.28 ag but not less than 0.08g

IV or D, for new structures 0.24 ag but not less than 0.06g

V 0.24 ag but not less than 0.05g

(4) The maximum seismic acceleration of the design OBE earthquake shall be determined by

taking into consideration the highest value resulting from the two determinations (based on the

importance class and based on the importance category, respectively).

(5) The maximum seismic acceleration of the design OBE earthquake for dam engineering

structures belonging to importance classes I or II or the categories of importance A and B, which are

located in zones where the peak ground acceleration (ag) within the site is, in accordance with regulation

P100-1, equal to or higher than 0.35g, shall also be determined based on additional analyses so that the

values given in Table 2-1 can be increased if necessary.

importance A and B for which two intensity levels of the design earthquake are established, the

maximum acceleration of the safety evaluation earthquake (SEE) shall be determined in accordance with

P 100-1 or based on a site seismic survey, in accordance with Table 2-2.

Table 2-2

Class/category of importance of the SEE

water engineering structure Maximum seismic acceleration

I or A, for new structures ag in accordance with P 100-1 or

II or B, for new structures the maximum acceleration in

accordance with the site seismic survey

dam facilities. Structure-reservoir-foundation ground interaction

3.1. The seismic design of water engineering structures used in dam facilities consists of creating

structural shapes which, together with the foundation and surrounding environment, help meet the

following performance criteria under the most economical conditions:

a) a satisfactory structural and functional behaviour, without any significant degradation under

the action of various stresses, including seismic stresses, whose occurrence throughout the service life of

the structure is considered normal;

b) acceptance of certain structural and functional deteriorations which do not generate

uncontrolled water discharges from the storage reservoir or catastrophic ruptures, and do not jeopardize

structural safety under conditions of exceptional stress.

(1) The degradations that can be tolerated in the case of dams made of concrete, rolled concrete

or stabilised ballast include small (limited) remnant displacements, limited surface fissures and certain

increases of the infiltration rates. In the case of rockfill dams, any settling areas occurring at crest level

must be smaller than the safety guards, any potential fissures must not lead to concentrated infiltrations

accompanied by damping of the internal erosion phenomenon, and the increased water pressure in the

13

pores in the saturated areas within the body or foundation of the dam must not lead to the occurrence of

liquefaction (cyclic mobility) phenomena or the loss of stability of the overall dam-foundation ground

assembly.

3.2 The seismic assessment of water retention structures should include risk management and

risk analysis. These methods can be used as support in the following situations:

a) prioritising on safety assessments when a large number of dams are taken into consideration;

b) assessing the benefits of various alternative restoration measures;

c) selecting the loading levels and assessing the structural response.

Risk management and risk analysis can also be used as part of general seismic evaluations to

help make final decisions.

3.3 The seismic design aims to limit the level of degradation and damage, as well as to prevent

the collapse of structural and non-structural elements, equipment and installations, in order to:

a) prevent personal injuries or the loss of human lives;

b) avoid the discontinuation of any activities and services which are essential in order to

maintain the continuity of social and economic life during and immediately after an earthquake;

c) prevent the destruction or degradation of certain highly-valuable cultural and artistic assets;

d) prevent the release of certain dangerous substances (toxic, explosive, etc.);

e) limit any material damage.

3.4 The calculation methods used in the structural seismic analyses shall be chosen in correlation

with the class and category of importance of the dam structure and the entry data available

(seismotectonic data, parameters of the free-field seismic movement, on-site investigations). The degree

of accuracy of the analyses shall increase progressively, the initial analysis being based on the simplest

conservative methods which correspond to the problem. Highly accurate structural analyses must take

into consideration data obtained by carrying out specific on-site investigations, and not values taken

from literature.

3.5 The measures which ensure the anti-seismic protection of water engineering structures used

in dam facilities shall be taken into consideration during all construction stages of these structures:

design, construction, operation.

(1) The following measures shall be taken during seismic design:

a) choosing sites which are favourable in terms of the seismic behaviour of the structure-ground

system and avoiding building the foundation on unfavourable terrain; if a problematic site cannot be

avoided, measures shall be taken to improve the foundation conditions on the basis of special surveys;

b) ensuring that the overall design of the structure enables it to have favourable behaviour during

earthquakes, as well as the creation of a clear calculation model;

c) constructing the supporting structure so that it meets the strength, stability, rigidity and

ductility parameters, in accordance with the provisions stipulated in this normative document.

(1) The following measures shall be implemented during the construction of the structures:

a) using building materials/products whose quality parameters are similar to those stipulated in

the design engineering documents, in accordance with the provisions of the applicable specific

legislation in force;

b) using suitable building technologies;

c) making sure that the structural details stipulated in the design are complied with on site.

(1) When operating the structures, constant attention shall be paid in order to:

a) adopt operating and maintenance measures which comply with the operating rules and help

the structure retain its entire strength;

14

b) monitor the technical condition of the structure over time so that any potential damage can be

detected early and the causes and consequences of such damage can be removed;

c) intervene promptly on the structure or its operating conditions, as necessary.

(1) Provide suitable overall design of the structure, by:

a) choosing favourable structural shapes, both in plane and in elevation, avoiding any gross

discontinuities and ensuring the harmonious distribution of the masses and rigidities, corresponding to

the functions of the water engineering structure;

b) ensuring the correct layout and conformation of the structural elements and overall structure,

the non-load-bearing components as well as all equipment and installation housed inside the building;

c) avoiding any uncontrolled interactions with potential unfavourable effects between the system

components, between the structural and non-structural elements (downstream dam and plant) and

between components with very different rigidities;

d) correctly locating and configuring the auxiliary structures which ensure the operation and

safety of the system (water inlets, spillways, pipes, galleries).

(2) Ensure a sufficient level of rigidity that can restrict all absolute and relative displacements

occurring due to interaction with the other system components to permissible values.

(3) Obtain favourable structural mechanisms for dissipating energy (seismic isolators,

plasticising mechanisms, earthquake-absorbing components) under high intensity seismic actions. This

objective implies:

a) guiding the zones that are likely to undergo stresses within the post-elastic range mainly in

zones or elements which, due to the nature of the stress, display constant level of ductility or whose

rupture would not pose a threat to the overall stability of the structure and which can be repaired without

excessive technical effort and costs;

b) when the occurrence of post-elastic range deformation stresses in elements or zones which do

not belong to the above-mentioned category cannot be avoided, these stresses must be removed to

prevent the risk of structural collapse or the risk of any degradation that would incur significant

expenses for the repair works;

c) choosing a size and/or structural layout that prevents premature brittle ruptures;

d) the structure of the potential plastic zones must ensure a sufficient post-elastic deformation

capacity and the most stable hysteretic behaviour possible;

e) special attention shall be paid to the post-elastic analysis of the foundation ground and ground-

structure contact zone, especially the concrete-rockfill contact zone, which can have a significant

influence on the behaviour and safety of the system.

3.7 Seismic actions manifesting through ground oscillations belong to the category of

exceptional actions and produce the following types of loads:

(1) inertial forces due to the mass of the structure, as well as the masses connected to the

structure which are produced due to permanent gravitational loads (technological and net loads);

(2) hydrodynamic pressures (in addition to hydrostatic pressures) due to the oscillation of the

liquid mass inside the reservoir and the hydroelastic interaction with the structure, which oscillates and

undergoes elastic deformation;

(3) dynamic thrust of the ground and rockfill.

3.8 The seismic calculation methods recommended in this normative document are, in general,

applicable to all types of water engineering structures.

(1) The object of the calculations is the unitary structure-reservoir-foundation ground system,

both from a sizing point of view and from a verification point of view.

15

(2) In general, seismic calculations require the use of specific calculation programmes validated

by engineering practice; the normative document is mainly focusing on this, and the calculations are

usually based on the finite element method.

(3) The entry data needed in order to carry out seismic calculations are the following:

a) the geometrical elements of the structure;

b) geological, hydrogeological and morphological data about the site;

c) the static and dynamic physico-mechanical characteristics of the materials;

d) the design seismic parameters of the site.

a) strength calculations (stress and deformation state);

b) sliding or overturning stability calculations.

(1) The sliding stability calculations shall be carried out using the limit equilibrium method and

the finite element method based on the stress state.

(2) For rockfill dams, the calculations shall also focus on assessing the liquefaction risk and the

remnant seismic displacements.

3.10 The seismic calculations can be carried out using one or more of the following analysis

methods:

a) pseudo-static;

b) spectral analysis (modal analysis using seismic response spectra);

c) a modal analysis which integrates uncoupled equations;

d) a dynamic analysis which uses numerical time integration;

(1) The pseudo-static methods and the modal analysis methods shall be used for the linear elastic

behaviour of the system being analysed; non-linear spectra can also be used in the spectral method; the

numerical time integration method can be used both in the elastic and the non-elastic linear behaviour

range, on the basis of structural behaviour laws of the materials compatible with the calculation method

and programme.

3.11 The pseudo-static analysis method can be used in strength and stability calculations using

the limit equilibrium method:

(1) for structures belonging to importance classes I and II or importance categories A and B, the

method can only be used for preliminary assessments during the initial stages of the project (pre-

feasibility, feasibility);

(2) for structures belonging to classes III, IV and V or importance categories C and D, the

method can be used during any stage of implementation of the project.

(3) for sliding stability calculations, the method can be used during all stages of implementation

of the project, regardless of the importance class or category of the structure, simultaneously with other

analysis methods.

3.12 The pseudo-static analysis method implies major simplifications during calculation,

accepting that the seismic acceleration at the base of the structure remains constant for the entire height

of the structure.

(1) In the calculations, the inertial forces induced by the earthquake from the structural mass and

the hydrodynamic forces shall be considered static loads unlimited over time. The analysis also takes

into account the rigid body motion of the dam, as well as the incompressible water. The dam-foundation

rock interaction or the absorbing effect of the materials in the bottom or banks of the reservoir shall not

be taken into consideration. The inertial forces shall be calculated using the ground accelerations in

corresponding directions (upstream-downstream or valley-valley horizontal direction, vertical direction)

and shall then be applied to the centres of gravity of the volumes in which the structure was digitised.

16

(2) The hydrodynamic forces shall be estimated using the Westergaard and Zangar relationships,

or other equivalent relationships. The sliding stability of the dam shall be verified for the hypothesis that

the maximum design horizontal and vertical accelerations (if taken into consideration) occur

simultaneously.

(3) The pseudo-static analysis method is conservative for the following hypotheses:

a) the seismic load is continuous (unlimited over time);

b) the damping is ignored;

c) the energy absorption through the dam, foundation ground, bottom and banks of the reservoir

is ignored;

d) the maximum horizontal and vertical accelerations (if taken into consideration in the

calculation) are applied simultaneously.

(4) The method is non-conservative due to the fact that the amplification of the response

accelerations along the height of the structure (in elevation), which can be significant even for low-

height dams, is not taken into consideration.

3.13 The pseudo-static method shall only be used to assess the stability and strength of dam

engineering structures under the action of an OBE (operating basis earthquake).

3.14 The spectral analysis method (a modal analysis using seismic response spectra) has the

following general and specific elements:

(1) the calculations are carried out in the linear elastic range;

(2) the method is based on probabilistically adding up the maximum structural responses in each

significant natural mode of vibration, for an earthquake compatible with the site and represented by the

seismic response spectrum;

(3) the normalised spectra scaled to the site acceleration in accordance with P 100-1 shall be used

for water engineering structures used in dam facilities, in accordance with the provisions stipulated in

Chapter 2 of this normative document. For water retention structures belonging to importance classes I

and II or importance categories A and B, the calculation spectra can be obtained by means of a seismic

site survey, in which case the smoothed spectral envelope shall be used.

(1) the geometry of the structure, with the significant data (from the point of view of its rigidity);

the finite element model of the structure;

(2) the site ground morphology, with details which could influence the response of the system

(e.g. ravines, crests, overhangs, protuberances);

(3) the dynamic physico-mechanical characteristics of the dam materials, namely: Ed, µd; the

volumetric weight of the structural materials; damping as a fraction or percentage of the critical damping

(υ); since υ can only be determined experimentally “a posteriori”, values shall be taken from literature or

experience accumulated during other similar works and shall be used during the design stage; in the

absence of such data, the values given in Table 3-1 can be used:

Table 3-1

Fraction of critical damping (υ)

System being analysed OBE SEE

Concrete dam 0.02 - 0.05 0.04 - 0.07

Dam made of local materials 0.05 - 0.12 0.07 - 0.15

Foundation ground 0.05 - 0.12 0.08 - 0.20

(4) for concrete, in the absence of determinations carried out on laboratory samples or in situ, the

values accepted for Ed shall be within the range 265 000–370 000 daN/cm2 (corresponding to the static

17

values 200 000–250 000 daN/cm2), whilst the values of the dynamic Poisson factor (µd) shall be within

the range 0.22–0.26 ;

(5) for materials used for the earth fill, in the absence of any laboratory or on-site determinations,

the data obtained by simulating the construction (non-linear static calculation) can be used, providing

that they are corrected (multiplied) by coefficients which take into account the dynamic nature of the

stress; the mean dynamic modulus can also be used if determined by geophysical methods;

(6) for structures belonging to importance classes I and II or importance categories A and B,

indicative data (Ed, µd) can only be used for the pre-feasibility and feasibility phases; the next phases

require specific on-site and laboratory studies to be carried out in order to determine the data to be used

for calculation;

(7) the foundation ground shall only be entered in the calculations through its rigidity, and its

masses shall be considered null.

3.15 The direct numerical time integration method consists in the successive, step-by-step

temporal assessment of the response of the structure to the seismic action introduced as a discreet time

function (usually accelerations occurring at very short intervals of time).

(1) The direct numerical time integration method shall be equally applicable for the linear and

non-linear elastic behaviour of the materials.

(2) Linear elastic calculations, which are particularly applicable to concrete or metallic structures

founded on normal or rigid ground, require the following entry data:

a) the digitisation of the finite element model;

b) the dynamic elastic characteristics of the materials making up the system (dam, foundation

ground, etc.), as well as the dynamic modulus of elasticity (Ed), the dynamic Poisson ratio (µd), the

damping that can be determined from the damping rate (υd) for various natural modes using the Rayleigh

model;

c) volumetric weights for materials;

d) additional masses calculated from hydrodynamic pressures and concentrated in the nodes of

contact with the liquid, with components in the directions of the global system axes;

e) the directions of action of the accelerogram;

f) the artificial (synthetic) or recorded accelerogram that is compatible with the site, scaled to the

level required for calculation, which can be OBE/SEE;

g) the accelerogram can be given on the surface of the base rock or at ground level; the

accelerogram corresponding to the base of the foundation ground modelled in the calculation,

determined for the finite element model, as well as for statistical calculation. The ground level

accelerogram shall be deconvoluted through the foundation ground so that it can be assessed at the base

of the digitisation of the foundation ground.

3.16 The structure-liquid interaction in the spectral analysis method shall be determined in

accordance with the principle of additional masses, which means accepting the hypothesis of the ideal

and incompressible liquid. In the direct numerical integration method, the structure-liquid interaction

can be determined both in accordance with the principle of additional masses and by using the

subsystem analysis method. The structure-liquid-foundation ground interaction should be determined

using the subsystem analysis method.

(1) The subsystem analysis method implies the digitisation of each subsystem (dam, storage

reservoir, foundation ground) of the unitary structure-liquid-foundation system using specific numerical

methods (finite elements, finite differences, boundary elements), as well as an analysis of the seismic

behaviour of the subsystem according to its own behaviour laws.

(2) Some particular subsystems can be approached analytically. The unity of the system shall be

obtained by implementing the requirements regarding the simultaneous temporal equality of the

18

response from various subsystems in the connection nodes located between them. The working method

is iterative and shall be applied as part of the numerical time integration method.

19

4. Seismic calculation of dams made of concrete and local materials

4.1 The most significant safety problems occurring in concrete dams stressed by earthquakes are

generated by excessive cracking, which can lead to potential instability due to sliding or overturning

(dislocation). Sliding can occur on existing, less resistant surfaces within the body or foundation of the

dam, or surfaces created as a result of excessive cracking of the concrete or concrete-foundation

interface due to earthquakes. In arch dams, sliding instability is more likely to occur at the outlets, in the

area where the dam is supported into the slopes.

4.2 The seismic safety of rockfill dams shall mainly depend on the level of crest settling induced

by earthquakes, which must not lead to the overflowing and erosion of the dams and the occurrence of

transversal cracks (fissures) that could cause concentrated infiltrations and erosion of the dam body.

4.3 The seismic calculation of dams made of concrete and local materials can employ all the

seismic calculation methods presented in Chapter 3, as well as other methods specific to different types

of dams (remnant displacements, liquefaction analyses, etc.).

(1) The calculation method shall be chosen depending on the class or category of importance of

the dam, as well as its completion or existence stage (studies, design, operation, post-earthquake) and

the type of the dam. Figures 4.1 and 4.2 show block diagrams of the calculations that must be carried out

during the anti-seismic design of concrete and rockfill dams.

4.4 The direction of action of the design earthquake shall normally be horizontal, upstream-

downstream. For dams located in relative vicinity to seismic focus points (DE ≤ 1.5 HF, where DE is the

distance between the dam site and the focus point epicentre, and HF is the depth of the focus point), the

vertical component of the earthquake shall also be taken into consideration; this shall be equal to 50 %

of the horizontal component.

(1) For buttress or arch dams, the valley-valley horizontal component (perpendicular to the axis

of the valley) shall also be taken into consideration and shall be equal to the upstream-downstream

horizontal component (along the valley).

(2) If several directions of action of an earthquake on the same dam are taken into consideration,

the earthquake components shall be considered to act separately, if a spectral analysis or pseudo-static

calculation method is used. In these situations, the response of the structure to each component shall be

analysed independently and shall not be added up.

(3) In the direct numerical time integration method, the components of a design earthquake

which occur in several directions (accelerograms, tachograms, seismograms) can also be applied

simultaneously.

20

Assessment of the Collection of properties of the materials used

behaviour under static in the dam-foundation ground system

loads

Dynamic

analysis

The criterion is

Fulfilment of the not fulfilled

permissible stress The dam profile must

criterion be redesigned

The criterion is

fulfilled

The criterion is

not fulfilled

Fulfilment of the The dam profile must

stability criterion be redesigned

The criterion is

fulfilled

not fulfilled

Fulfilment of the criteria for The dam-foundation ground

auxiliary structures, the reservoir system must be redesigned

banks and the foundation

fulfilled

STOP

Figure 4.1 Block diagram regarding the analyses required to design concrete dams in seismic zones.

4.5 The seismic calculations must be carried out for the “full reservoir” hypothesis, considering

that the water level in the reservoir is at the normal retention limit (NRL). In justified situations, the

calculations shall also be carried out for the hypotheses of an “empty reservoir” or for intermediary

water levels in the reservoir, between empty and full.

(1) In the linear elastic calculations, the seismic response shall be added to the response to the

other loads (static, dynamic) in accordance with the combinations of loads established by specific

regulations. In the non-linear calculations, the response to all the loads in the respective combination,

including the seismic action, shall be assessed taking into account the history of the loads over time.

21

Gathering geological and geotechnical data about

the materials used in the dam-foundation ground

system

Determination of the

pressure increase The criterion is not fulfilled

potential of the water in

the pores due to the

seismic action

The criterion is increase in the pores due to

fulfilled the seismic action

Sliding is possible

Stability analysis

No sliding occurs consideration the water

pressure increase in the pores

due to the seismic action

The criterion is fulfilled

STOP

Sliding is possible

large taking into consideration

Displacement analysis the water pressure increase

in the pores due to the

seismic action

within the permissible must be redesigned within the permissible

limits limits

The criterion is fulfilled

STOP

STOP

Figure 4.2 Block diagram regarding the analyses required to design rockfill dams in seismic zones.

4.6 Normally, the seismic action shall be considered to be a synchronous action (in all the

digitisation nodes where the seismic action is considered to be applied, it shall be simultaneously

identical, which means that the seismic wave propagation speed is infinite). For dams which belong to

importance classes I, II or importance categories A, B and stretch over large areas (crest length Lc ≥ 500

m or base width B ≥ 300 m), the asynchronous nature of the seismic waves should also be taken into

consideration (the hypothesis of the finite seismic wave propagation speeds within the site).

4.7 The seismic safety of dams and other structures used in dam facilities shall be calculated for

the action of OBE (operating basis earthquake) regardless of their importance class or category. The

seismic safety of dams belonging to importance classes I, II or importance categories A, B, which are at

technical design stage or are in operation as part of an expert assessment in order to obtain an

authorisation for safe operation, shall also be checked under the action of SEE (safety evaluation

earthquake).

22

4.8 Rectilinear dams (except for hollow gravity dams and buttress dams) constructed in relatively

large valleys (ratio between the valley aperture at the crest Lc and the height of the dam HB, Lc / HB ≤ 3–

4) shall undergo seismic analysis in their transversal profile (two-dimensional analysis), usually for the

maximum height profile.

(1) Hollow gravity and buttress dams shall also be analysed under the action of a longitudinal

earthquake upon the dam, parallel to the axis of its crest.

(2) Due to their specific configuration, arch dams shall only undergo a three-dimensional

analysis.

(3) A three-dimensional analysis should also be used to assess the seismic behaviour of concrete

and rockfill dams constructed in relatively narrow valleys (Lc / HB ≤ 3–4), in order to determine the

effect of the slopes on the structural response.

4.9 The seismic response to OBE shall be calculated using the pseudo-static method for dams

belonging to importance classes III, IV, V or importance categories C, D regardless of their stage of

completion (design) or existence (in operation, under survey, post-earthquake analysis).

(1) The seismic response to OBE of concrete dams belonging to importance classes I, II or

importance categories A, B shall be calculated using the pseudo-static method for the initial phases (pre-

feasibility, feasibility) of the dam construction process only. For concrete dams that are at the technical

design stage, or during the survey and post-earthquake analysis of existing dams, the OBE response

shall be calculated using the spectral analysis or direct numerical time integration methods. For rockfill

dams belonging to importance class I, II or importance categories A and B, the pseudo-static method can

be used regardless of the stage of completion or existence of the respective dams.

(2) The seismic response of concrete dams to SEE shall only be calculated using the spectral

analysis or direct numerical time integration methods using, as much as possible, non-linear spectra in

the spectral analysis method or non-linear elasto-plastic laws for the behaviour of the materials in the

direct numerical integration method.

(3) For dams made of local materials, the seismic response to SEE shall be calculated both using

the spectral analysis or step-by-step numerical time integration methods, as well as specific procedures

for determining the remnant seismic displacements, the liquefaction risk and the sliding stability of the

banks.

(4) For dams with a maximum height of over 80 m, the risk of seismicity occurring on site due to

the storage reservoirs shall be taken into consideration, and the respective dams shall undergo a

technical survey.

4.10 Statistical or simplified relationships for determining the natural fundamental periods of

dams, according to their type, or auxiliary structures of such dams are given in Table 4-1. The values are

given for guidance only, to help select the natural modes that have significant response effects in the

spectral analysis method or help choose the calculation step (Δt) in the direct numerical integration

method.

Table 4-1

Type of Fundamental periods

structure T1 (s) Notations

Gravity dams Hb- height of the dam

H b2 12 b B - profile base width

T1 (1,695 ...1,637 ) b - volumetric weight of the concrete

B Eb g

Eb - modulus of elasticity of the concrete

g - gravitational acceleration, 9.81 m/s2

23

Buttress dams b D - buttress width on the upper side

T1 4 D Eb - modulus of elasticity of the concrete

Eb

ρb- density of the concrete

Arch dams T1=0.1+0.2 x (Hb / 100), T1 - fundamental period when the reservoir is

T1g= 0.5 x T1 full

Hb- height of the dam

T1g - fundamental period when the reservoir

is empty

Rockfill dams

Upstream-

downstream T1 = 0.5 x Hb / 100 Hb- height of the dam

direction T1 = 0.45 x Hb / 100

Direction

perpendicular to T1 = 0.36 x Hb / 100

the valley

Vertical direction

Earthfill dams T1 = 2.62 x Hb / VS Hb- height of the dam

VS - secondary wave velocity

through the filling

Intake towers, T1 = 2 (M/K)0.5 M - mass concentrated in the centre

Funnel spillways T1 = 2 ((M + Mh)/K)0.5 of gravity

K - bending rigidity of the

structure

Mh - additional mass of the water

(1) The natural modes selected when using the spectral analysis method should be those whose

participation coefficients are at least 0.05 in one of the directions of the dynamic degrees of freedom

taken into consideration. Normally, this requirement can lead to the selection of 10–20 natural modes for

rockfill or concrete gravity dams, and 20–50 natural modes for arch dams.

(2) When using the direct numerical integration method, the calculation step (Δt) must not

exceed 0.10–.0.12 of the value of the shortest natural period of the dam which is considered to have a

significant influence on the response. This requirement shall lead to guidance values of the calculation

steps Δt = 0.01–0.02 s for concrete dams, and Δt = 0.02–0.10 s for rockfill dams.

accordance with the principle of additional masses used for OBE analysis.

(1) The effect of the hydrodynamic pressures on the seismic response of rockfill dams is

insignificant and can be ignored.

(2) The (active/passive) dynamic pressures created in the foundation ground can also be

modelled as additional masses attached to the joint structure-foundation ground nodes, projected in the

directions of the degrees of freedom in the respective nodes.

(3) Annexes C, D and E provide examples of the calculation relationships to be used in the

pseudo-static method (Annex C), as well as the relationships used to determine the hydrodynamic

pressures induced by earthquakes (Annex D) and the seismic pressures developed in the foundation

ground (Annex E). These are given as a recommendation only.

(4) Also, the examples of seismic analyses given in Annexes F and G are intended to help users

implement the normative document.

4.12 The basic seismic calculations required for an OBE action are those presented in Article 4.9.

For concrete dams, the sliding stability and deformation-stress state shall be analysed. For rockfill dams,

24

the sliding stability and permanent displacements (settling) caused by an earthquake shall have priority

during analysis. The analysis shall also be extended to include the sliding stability of the foundation and

slopes of the dam, as well as the reservoir basin.

(1) The response parameters recommended for evaluation in the event of an SEE action are as

follows:

a) for concrete dams: the risk of developing cracks (fissures) which, at the limit, would penetrate

the cross-section of the dam and dislocate elements from the dam body, opening (fissuring) of the

injected joints of arch dams and, eventually, fracturing of the overhanging elements, dislocation of the

slopes, cracking of the areas where sudden changes in rigidity (gallery corners, cavities in the dam body,

dam-foundation contact surface, etc.) occur, and relative sliding between the rock areas in the dam

foundation, which are separated by faults activated by the earthquake.

b) for rockfill dams: the risk of crest settling (dislocations) that exceeds the safety guards, which

would lead to spillage of the dam and its destruction by erosion, the risk of cracks occurring, in

particular cracks that run transversally through the dam, which would lead to uncontrolled water

discharges from the lake and, eventually, erosion of the dam, sliding-dislocation of the banks and slopes

located on faults activated by the earthquake.

4.13 Earthfill dams which are founded on waterlogged sandy soils or are made of granular non-

cohesive materials with grain sizes of 0.02–2.00 mm or created by hydraulic sedimentation must be

calculated for liquefaction, both under an OBE action and an SEE action.

(1) Liquefaction is a phenomenon in which waterlogged sandy granular materials lose their load-

bearing capacity under the action of cyclic dynamic loads due to a water pressure increase in the pores.

(2) The main factors which influence liquefaction are: the granulometric curve of the material,

the relative density and the initial stress state.

(3) The analyses shall be carried out using specific calculation programmes validated by

engineering practice and shall be based on laboratory tests regarding the number of cycles in which

liquefaction occurs and/or standard ground penetration tests.

a) In the first instance, the sliding stability of the dam or the dam-foundation ground system, as

applicable, shall be determined using the limit equilibrium method; the stability calculations shall be

carried out in post-earthquake conditions, for static loads; in zones where the materials are expected to

undergo liquefaction, the shear strength of these materials shall be considered in the calculations to be

equal to the residual strength in undrained conditions.

b) If the stability factors determined in accordance with the recommendations given in Point (a)

are subunitary, the stability shall be determined using the complete dynamic method for time integration

of the coupled equations for non-linear motion and transient pressure evolution regimen of the water in

the pores; the dam stability shall be estimated as a function of the induced remnant deformations.

4.14 The calculations must confirm that the dams being analysed meet the performance criteria

depending on the combinations of loads considered. In the event of an OBE action, slight damage

(fissures, small remnant displacements, slight increases in the level of infiltrations) that could require

repairs at no significant cost shall be permitted, but the dam must remain operational. In the event of an

SEE action, damage that that requires repairs shall be permitted, provided that it does not lead to

uncontrollable discharges of water from the reservoir or yielding of the dam.

(1) The basic criteria that help evaluate the performance of concrete dams under the action of

design earthquakes are the following: the permissible flexural compressive and tensile strength values

must not be exceeded; the safety coefficients obtained by means of sliding stability calculations must be

super-unitary.

(2) The permissible flexural compressive strength of the concrete under dynamic (seismic) loads

Rcd shall be considered to be 50 % higher than the permissible equivalent strength of the concrete under

static loads Rcs; however, it must exceed 20 MPa:

25

Rcd = min (1.50 Rcs, 20 MPa)

(3) The permissible flexural tensile strength of the concrete under dynamic loads (Rid) shall be

considered to be 10 % of Rcd

(4) The sliding safety coefficients for the critical sliding surfaces (which are the most exposed to

sliding) should be within the 1.00–1.05 range.

(5) The basic criteria that help evaluate the performance of rockfill dams under the action of

design earthquakes are the following: the safety coefficients obtained by means of sliding stability

calculations must be super-unitary; any crest settling caused by earthquakes must not exceed the safety

guards.

(6) The basic performance criterion for earthfill dams or sites with the potential of undergoing

liquefaction shall be to prevent liquefaction under the action of an OBE. For an SSE, the performance

criterion shall be determined in accordance with the provisions stipulated in 4.13(a) and (b).

(7) The sliding safety coefficients for the critical sliding surfaces (which are the most exposed to

sliding), both in the body of a rockfill dam and the foundation, should be within the 1.00–1.10 range.

(8) The maximum crest settling caused by design earthquakes must not exceed 80 % of the size

of the safety guards provided.

(9) If the depth of the sliding surfaces is smaller than the face of rockfill dams (superficial sliding

surfaces), subunitary safety coefficients shall also be permitted, providing that they are not smaller than

0.90.

4.15 Local and isolated exceedance of the permissible stresses in the calculations carried out

using the finite element process in spectral analysis method or the method of direct numerical

integration within the linear elastic behaviour range of the materials shall be permissible if the excess

stresses can be redistributed to the neighbouring zones or the cracks that they could generate would not

have a significant effect on structural safety. These shall be accepted by means of a practical engineering

analysis of their consequences, based on historical cases and existing experience.

4.16 The seismic analyses stipulated in this normative document shall only use specialised

calculation programmes verified by engineering practice.

facilities

5.1 Introduction

(1) The destruction of auxiliary water engineering structures used in dam facilities, such as high-

water spillways, water inlets, bottom discharge conduits, forced pipes, gates and navigation locks can

lead to uncontrolled water discharges into the tailwater pool. Therefore, the seismic safety of such

auxiliary water engineering structures must be carefully analysed.

(2) The most important factor in determining the degree of anti-seismic protection of auxiliary

water engineering structures used in dam facilities shall depend on the consequences that the destruction

of such a structure would have, i.e. whether its destruction would lead to an uncontrolled discharge of

the water from the storage reservoir.

26

(3) The traditional seismic analysis methods — pseudo-static, spectral, numerical time

integration — presented in Chapter 3 shall also apply to auxiliary water engineering structures used in

dam facilities. If retaining functionality is essential, such as in the case of mechanical and electrical

equipment, seismic qualification through testing is necessary.

(4) Regardless on the analysis method chosen, the final assessment of the seismic safety should

be based on engineering judgement and the experience of similar structures, given the fact that each

structure and its environment are unique.

(1) Normally, high-water spillways are structures made of reinforced concrete. Usually, the

seismic loads belong to most unfavourable load combinations that condition the design of such

structures. A high-water spillway is made up of three main types of structures: the intake (circular front

weir), the transport structure (channel, case, gallery) and the end structure (energy dissipation basin, end

weir sill, counter-slope pool, take-off).

(2) The combination of loads that includes the seismic load shall also include: the hydrostatic

and hydrodynamic loads corresponding to the normal retention limit (NRL) in the reservoir, the

temperature loads experienced during the extreme months (February, July) but which correspond to the

multi-annual average air and water temperatures, the dynamic pressure of the soil used in the

embankments adjacent to the structures.

(3) In calculations, the fraction of critical damping (damping rate) should be considered to have

values between 2–5 %.

(4) The local safety factors of hydraulic structures shall be determined by comparing the

effective maximum stresses with the limit stresses, both for the concrete and the reinforcements. When

the seismic load is considered, the permissible stresses can be 50–80 % higher than the normal stresses

permitted for fundamental load combinations.

(5) When determining the seismic loads, the safety factors used to carry out sliding and/or

overturning stability verifications should be between 1.00–1.15.

(6) The load-bearing components of high-water spillways whose destruction could lead to

uncontrolled water discharges from the reservoir must undergo verification at SEE. In all other

situations, the load-bearing components of high-water spillways shall be subject to verification at OBE.

The safety factors determined by comparing the maximum effective stresses with the stresses

permissible for the sluice gates used in weirs should be at least 1.1 for SEE and at least 1.5 for OBE. The

sluice gates must also undergo verification at limit deformations, to prevent them from getting stuck in

the weir fields.

(1) Water carrier pipes, such as conduits, forced pipes, galleries and low pressure water outlets

must be reliable and ensure the quick and controlled drainage of the reservoir should it be necessary.

The design of the water carrier pipes must not cause ruptures or compromise the normal operation of the

dam or its foundation. In addition, for reservoirs used to supply drinking water to populated areas, the

operating safety of the system of pipes, sluice gates and valves shall be an essential factor in the supply

of drinking water and the delivery of water for putting out fires and other post-seismic recovery

activities.

(2) The experience accumulated in tunnels subjected to large earthquakes has shown that these

have very good behaviour. Even tunnels built in soft ground behaved very well if provided with a certain

degree of flexibility and joints along their structure. The most frequent failures occurring in tunnels

affected their portals.

27

(3) If the failure of water carrier pipes, sluice gates or valves does not lead to uncontrolled water

discharges from the reservoir, these shall undergo a seismic OBE verification using the permissible

stress criterion. The provisions stipulated in normative document P100-1 should be applied.

(4) The anti-seismic design of sluice gates and valves shall take into account the amplification of

the seismic movement along the height of the dam, as well as the connections with the mechanical and

electrical equipment. Therefore, certain differentiated displacements caused by seismic vibration must

be accepted on the foundation-equipment interfaces and between various components of the mechanical

and electrical equipment. This equipment must remain operational even if the earthquake has caused

certain residual permanent displacements. The emergency power supply units and switchboards must be

installed on foundations or strong walls that can resist the design earthquake.

(5) In zones with a very high level of seismicity, automatic systems should be provided to close

the flow control valves or sluice gates of the systems used to carry (discharge) water from the reservoir.

(1) In general, intake towers consist of the following structural elements: the actual intake tower,

the water carrier tunnel (pipe) or gallery, the end structure and the bridge that enables access to the

tower. Funnel spillways with tall towers contain the same structural elements as intake towers and

comply with comparable anti-seismic design requirements.

(2) Towers which are buried in the body of earthfill dams interact dynamically with the material

in which they are embedded. Most towers are immersed, for much of their height, in the water in the

reservoir. The effects of the hydrodynamic interaction are very important. Sometimes, water can also be

found inside the towers, which also affects the seismic response.

(3) The seismic analysis of intake towers shall depend on their natural vibration characteristics.

Outlet towers that have low height, relatively large diameters and thick walls (fundamental frequency f1

≥ 33 Hz) behave like quasi-rigid bodies and their seismic response can be conveniently assessed using

the pseudo-static method. The fundamental period of tall or flexible towers shall normally be within a

range where maximum spectral amplifications occur, which require the implementation of a dynamic

analysis method (spectral analysis or numerical time integration).

(1) Navigation locks used in dam facilities have the following essential components: upstream

and downstream waiting ports, upstream and downstream ends, lock chamber, hydraulic filling and

emptying systems which include sluice valves, upstream and downstream gates, the hydromechanical

and electrical control system. In general, modern locks are structures made of reinforced concrete.

(2) During seismic calculation, the working chamber of the lock (lock chamber) can be

considered equivalent to a rectangular basin filled with water. This way, the dynamic seismic calculation

methods used for rectangular water storage basins can also be used for lock chambers.

(3) The issue posed by the structure-liquid interaction is important. Both types of hydrodynamic

pressures — impulsive pressures generated by the acceleration response and convective pressures

generated by the displacement response — must be taken into consideration during the design stage.

(4) The structure-liquid interaction for the acceleration response (impulsive mass) can be

determined in accordance with the principle of additional masses. Once the additional masses have been

determined, the analysis can be continued using the spectral analysis or direct numerical integration

method. For the displacement response (convective mass), the analysis can only be carried out using the

numerical time integration method.

(5) Calculation procedures that are similar to those used for metallic structures can also be used

for the seismic calculation of lock gates. The gates can be considered similar to flat slabs or bars with

suitable supporting conditions.

28

(6) Because the electromechanical equipment of the lock (sluice valves, hydraulic circuits,

electric switchboard) is essential for the operation of the lock, it must be seismically qualified. The

equipment must be suitably anchored onto the floor or walls and must resist the design seismic loads.

29

6. Seismic calculation of tailings dams and dykes

6.1 The behaviour of downstream and centreline tailings dams and dykes is similar to the

behaviour of rockfill dams used for water storage. Upstream tailings dams are the most vulnerable to

seismic action.

6.2 The main factors which influence the seismic behaviour of tailings dams and dykes are:

a) the epicentral distance and magnitude of the earthquake. The stresses can be highly amplified

if the dominant periods of the earthquake that are filtered through the ground coincide with the natural

frequencies of the dam or its foundation;

b) the embankment slopes;

c) the position of the infiltration curve for the body and shoulders of the dam;

d) width of the layer of deposited materials which separates the dam from the clarified water on

the surface after the waste has settled;

e) the characteristics and degree of consolidation of waste with a granular content similar to

sands;

f) the frequency content, the number of high acceleration peaks and the duration of the

earthquake.

(1) The presence or absence of a small pond (pool) on the surface of the deposits shall reduce the

risk of the dam yielding and minimise the level of downsteam destruction caused should the dam yield.

(2) Lowering the position of the dam body infiltration curve by using adequate drainage systems,

increasing the degree of consolidation of the deposits, and the potential increase of the shear strength of

the materials within the storage basin-dam due to ageing are factors which improve the seismic

performance of tailings dams and dykes.

6.3. Any analysis of the seismic behaviour of tailings dams and dykes must include:

a) an assessment of the remnant horizontal displacements and settling caused by the seismic

action;

b) a calculation of the water pressure increase in the pores and the risk of liquefaction;

c) an assessment of the oscillations of the water lingering on the surface of the storage basin

and/or any unconsolidated waste;

d) a calculation of the profound and superficial sliding stability of the banks;

e) an assessment of the risk of internal and external erosions (due to discharge);

f) an assessment of the increase in the infiltration volumes;

g) an assessment of the floods caused by gaps occurring in the body of the dam.

6.4 All tailings dams and dykes shall be calculated for the operating basis earthquake (OBE).

AOBE,TD shall correspond to the highest resulting value between 0.4 ag (identical to aOBE for dams used

for water storage facilities), the earthquake with an exceedance probability of 10 % for a period of 50

years and the earthquake with an annual exceedance period of 1 to 475, respectively. Tailings dams and

dykes must remain operational after an OBE, and only superficial failures that do not require costly

interventions shall be permitted.

6.5 Tailings dams and dykes belonging to importance classes I and II or importance categories A

and B shall also be calculated for the safety evaluation earthquake (SEE). aSEE,TD shall correspond to the

highest resulting value between ag and the maximum acceleration determined by carrying out on-site

seismic surveys, which are compulsory in such situations. In the event of the action of an SEE, certain

failures shall be permissible providing that the dam retains its stability and integrity, and uncontrolled

discharges of water or runny (unconsolidated) waste into the tailwater pool are prevented.

30

6.6 For tailings dams with a height of more than 80 m, which are constructed on sites with large

tectonic disturbances (faults, fissures, breccias, etc.), the risk of occurrence of seismic phenomena due to

the storage of waste shall be assessed.

6.7 It is permissible to use the pseudo-static method to analyse the seismic stability of tailings

dams and dykes made of riprap, cohesive soils or well-compacted dense sands (Dr ≥ 0.8), which suffer

small strength losses when exposed to seismic action. The remnant displacements caused by earthquakes

can be assessed using the Newmark method (1965).

6.8 Tailings dams and dykes with medium density sands (Dr < 0.8) in the body or foundation of

the dam shall require special thorough analyses, which progress from simpler to more refined analyses

depending on the importance of the structure and the results obtained during the successive analysis

stages. These analyses can be, in ascending order of their costs and complexity, as follows:

a) stability analyses carried out based on the limit equilibrium and the pseudo-static method;

b) simplified seismic stability analysis;

c) seismic stability analysis using the finite element process.

(1) As part of these analyses, special attention shall be paid to the risk of the dam (dyke) losing

its stability due to total (partial) liquefaction of certain zones within the dam-foundation ground-waste

storage basin system.

Anti-seismic structural measures

7.1 All construction works shall be carried out in accordance with the provisions stipulated in the

technical documentation — technical design and work plan details — and the applicable specific

normative documents in force. During the execution stage, any changes to the technical solutions

stipulated in the technical designs, which could affect the mechanical strength, stability or operating

safety of the structure, shall only be permitted on the basis of amending construction change

notices/work plan details drawn up by the design engineer and verified by a certified project inspector,

in accordance with the law and with the prior written consent of the investor/beneficiary.

7.2 After carrying out topsoil stripping and excavation works, the beneficiary shall take all

necessary steps to arrange for a final “visual” re-verification of the seismo-tectonic conditions present

within the site, to determine whether they correspond to the conditions predicted during the previous

investigation stages. Sites which display faults with high risks of activation due to seismic action, which

could pose a threat to the safety of the structure, shall be able to be eliminated even during this stage.

7.3 The actual construction works (concreting, filling) shall only be resumed after the site and

foundation ground of the respective structure have been accepted by an acceptance committee made up

of the beneficiary’s representative, a geologist, the design engineer and the contractor’s technical quality

control specialist. The acceptance shall be recorded in a site acceptance report, which shall be added to

the Instructions Book of the Structure.

(1) The beneficiary’s representatives and the contractors shall continuously monitor the quality

of the works, in accordance with the specifications and the applicable specific normative documents in

force, and shall draw up reports for any concealed works found.

(2) The concrete components of the dam body shall be made of strong, waterproof and frostproof

concrete that has no pouring imperfections (gaps, segregation). The quality of the concrete from the

point of view of the types of tests (laboratory and in situ) and their frequency shall be checked in strict

compliance with the legal provisions.

31

(3) Lamellas shall only be concreted under the supervision of the technical manager and the

beneficiary’s representative, who shall record the way in which the works are carried out in the lamella

concreting sheet.

(4) When carrying out filling works, the granulometric composition and degree of compaction

stipulated shall be ensured in accordance with the filling compaction and advancement technology. The

quality control of the materials shall be carried out by the contractor by taking samples on a systematic

basis, in accordance with the specifications. The progress of the construction works shall be documents

in daily data sheets that constitute documents to be included in the Log Book of the structure.

(5) All metallic structures shall only be installed in accordance with the installation design drawn

up by a specialist company, which shall include: the main elevation heights of the structure (control

heights), the order in which the various components must be installed and the order in which the joints

must be made, the devices and equipment used, etc.

7.4 The personnel working in water retention structures located in seismic zones shall receive

special training on how to act in the event of major seismic events. The emergency action plan shall also

stipulate the situation generated by a major seismic event.

7.5 The anti-seismic structural measures can be grouped into general measures and specific

measures.

(1) General measures shall include the procedures for choosing the site and type of dam, as well

as the processes implemented in order to ensure very good quality of the above-mentioned construction

works.

7.6 The specific anti-seismic structural measures shall largely depend on the type of dam being

built.

(1) The shapes selected for concrete dams shall be as harmonious as possible, making sure to

avoid sudden changes in the face slopes, geometries or rigidities. The galleries and cavities inside the

dam body shall be reduced in number and in terms of cross-sectional surface areas, and their corners

shall be rounded.

(2) The centre of gravity of the transverse profile of gravity dams should be as low as possible,

which can be achieved by suitable optimisation of the cross-section, to reduce the overturning moments

caused by the seismic inertial forces developed within the mass of the dam.

(3) The special structural measures adopted for buttress dams must lead to an increase in the

longitudinal stability of the dam. Therefore, the following measures can be taken: closing the buttresses

downstream, founding the buttresses on independent sole plates placed next to each other, installing

buttons adjacent to the toe of the buttresses, encasing the buttresses, installing longitudinal wind bracing

diaphragms or girders.

(4) Arch dams are hyperstatic structures with very good behaviour under seismic stress. The

specific structural measures adopted for these types of dams include the provision of special dissipative

elements consisting of shrinkage joints that are partially non-injected and tied together at the crest with a

reinforced concrete girder, as well as the pre-stressing of certain zones of the dam body, the closing

abutments in the banks and the banks, in order to limit the risk of cracking.

(5) The specific measures adopted for rockfill dams are designed to retain the functionality of the

sealing elements, which are vital for the safety of the dams. Cracking of the sealing elements can lead to

uncontrolled water losses and the initiation of severe erosion phenomena. The reinforced concrete

guards can be made of several layers with staggered joints. Cores made of clayey materials should have

high plastic qualities and be relatively thick to prevent their perforation due to cracking.

(6) The sliding stability of rockfill dams can be improved by reducing the declivity of the faces,

fragmenting the embankments using stabilising berms, partially or fully ballasting the embankments

32

with dry masonry made of blocks of rock, and installing stabilising benches at the heel and toe of the

dam.

(7) To prevent the dam from overflowing due to excessive crest settling caused by earthquakes,

the crest safety guards of rockfill dams located in zones with high seismicity shall be increased by 25–

50 %.

(8) In general, liquefiable materials cannot be used in the foundation or body of rockfill dams. If

removing such materials is too costly, their degree of packing shall be increased (Dr ≥ 0.8, Dr - relative

density) using adequate constructive measures.

(9) The design of the new rockfill dams shall stipulate the use of seismic isolators and seismo-

absorbing layers. These structural elements have the role of absorbing a higher portion of the earthquake

energy, whilst reducing the earthquake energy which acts upon the body of the dam.

(10) Other specific structural measures that can be taken for auxiliary water engineering

structures used in dam facilities were presented in Chapter 5.

seismic zones

8.1 Dams belonging to importance classes I and II and importance categories A and B, which are

built on sites with an MSK degree of seismic intensity equal to or higher than VIII, shall be equipped

with seismic monitoring equipment that operates continuously, in order to gather information about the

seismic response of these structures.

8.2 The operating safety, including the seismic safety, of the water engineering structures used

for dams belonging to importance classes I and II and importance categories A and B shall be assessed

on a periodic basis, at intervals of no more than 7 years, by taking into consideration the ageing of the

structure, the structural and non-structural modifications that have occurred since the last assessment, as

well as the progress registered with regard to the seismic safety assessment methods and methodologies.

(1) The seismic safety shall be assessed both by using calculation models and by carrying out on-

site dynamic measurements (free vibration characteristics, damping, elastic wave velocities, dynamic

stress response).

(2) The operating safety, including the seismic safety of all other water engineering structures

used in dam facilities shall be assessed at maximum intervals of 10 years. The operating safety,

including the seismic safety of tailings dams and dykes shall be assessed at maximum intervals of 5

years.

8.3 Dam engineering structures that have been subjected to an earthquake with an intensity of at

least V MSK degrees shall be inspected in the period immediately after the earthquake, in order to

determine the effects of the respective earthquake on the structures and whether repair-consolidation

measures are required.

8.4 Throughout the entire service life of the dam engineering structures, no structural or

functional modifications shall be permitted if these have a negative influence on the strength, stability,

safety or functionality of the respective structure. Any technical intervention on the dam engineering

structures shall only be designed and implemented by suitably qualified personnel, in accordance with

the specific applicable technical regulations in force with regard to the tracking of the behaviour of

structures over time.

8.5 The structural (strength) elements and non-structural elements (partition walls, secondary

elements), as well as the equipment and installations used in dam engineering structures shall be

rigorously analysed to prevent their destruction or damage due to earthquakes. All objects, equipment,

33

installations and network systems whose displacement or falling could lead to functional disturbances or

even the loss of human life shall be anchored to secured fixed elements in a suitable manner.

8.6 The emergency warning-alarm plans drawn up for water retention structures, when these

structures are located in zones with a seismicity of at least VII MSK, shall also include the measures that

must be taken during and immediately after high intensity seismic events.

earthquakes

9.1. The restoration works carried out for water engineering structures affected by earthquakes

are intended to return the structures being restored to safety levels close to those that they had before

they were affected by the earthquakes.

(1) A simple, quick and non-destructive method of checking the efficiency of the restoration

works is to carry out on-site measurements of the free vibration characteristics (natural periods + natural

shapes) of the structure being restored. The first natural modes (natural periods + natural shapes) of the

structure being restored must be as similar as possible to the ones the structure had before the

earthquake.

(2) The latter are known due to the dynamic identification carried out during the operation of the

respective structure in accordance with Article 8.2 of this normative document.

9.2 The decision to restore certain dam engineering structures affected by earthquakes shall be

taken on the basis of the conclusions drawn and recommendations issued in the technical survey report.

If the required costs would be too high and economically non-justified, water engineering structures that

have been severely affected by earthquakes could be demolished (decommissioned).

9.3 There is a large variety of restoration works, depending on the type of damage suffered by

the structure. The most frequent restoration works are specified below.

(1) Excessive infiltrations that occur in rocky foundations shall be reduced by means of sealing

injections of cement slurry or other verified substances, after the main infiltration routes have been

determined using specific procedures.

(2) If any fissures occurring in the body of concrete dams or the auxiliary concrete structures of

rockfill dams pose a threat to the safety of the dam or generate functional disturbances (infiltrations),

they shall be injected with epoxy resins or other substances that will increase the strength (shear, tensile)

on the respective fissure, at the level within the concrete mass. The solutions adopted for large fissures

(cracks), especially horizontal fissures occurring in the upper region of concrete dams, shall ensure pre-

compression in the direction perpendicular to the surface of the fissures, using prestressed anchors.

(3) Any rock areas that have become dislocated or have slid from the banks shall be removed by

ripping or shall be anchored, if the second solution is more economical and provides a suitable level of

safety.

(4) The sliding stability of gravity dams can be improved by reinforcing the toe of the dam. The

longitudinal stability of buttress dams can be improved by installing foundation mats or diaphragms,

placed next to each other, at buttress level.

(5) The sliding stability of the banks of rockfill dams can be improved by softening their slope,

as well as by installing additional berms or stabilising benches at the base of the bank.

(6) Any rockfill zones that have slid or have become dislocated shall be removed and the riprap

shall then be restored using a suitable technology.

(7) The drying of certain zones of the body of rockfill dams by reducing the elevation height of

the infiltration curve can be achieved by carrying out special drainage works in the area of the toe

(drainage galleries, drainage pipes, deep counter conduits in the area adjacent to the toe of the dam, etc.).

34

(8) The sealing elements, such as sealing guards, used in rockfill dams which have lost their

functionality due to cracking, can be restored by applying a leaktight membrane made of synthetic

materials on the upstream face. The same solution can also be used for concrete or rolled concrete dams

that have been severely fissured and experience an excessive level of infiltration.

9.4 For dam engineering structures or their reinforced concrete or metallic structural elements

that can be assimilated to the structures or structural elements stipulated in normative document P100-3,

all restoration works carried out after an earthquake shall comply with the provisions stipulated in this

normative document.

(1) This normative document shall be enforced in correlation with the provisions of the

normative documents in the field of water engineering, environmental protection, constructions and land

improvement, as well as the applicable specific technical regulations in force, as follows:

m

No

1. SR EN 1998-1:2004 Eurocode 8: Design of structures for earthquake resistance

Part 1: General rules, seismic actions, and rules for buildings

SR EN 1998-1:2004/AC:2010 National annex

SR EN 1998-1:2004/NA:2008

Eurocode 8: Design of structures for earthquake resistance.

SR EN 1998-2:2006 Part 2: Bridges

SR EN 1998-2:2006/AC:2010

Eurocode 8: Design of structures for earthquake resistance.

SR EN 1998-2:2006/A1:2009 Part 2: Bridges. Amendment 1.

National Annex

SR EN 1998-2:2006/NA:2010

Eurocode 8: Design of structures for earthquake resistance.

SR EN 1998-3:2005 Part 3: Assessment and retrofitting of buildings

SR EN 1998-3:2005/AC:2010 National Annex

SR EN 1998-3:2005/NA:2010

Eurocode 8: Design of structures for earthquake resistance.

SR EN 1998-4:2007 Part 4. Silos, tanks and pipes

National Annex

SR EN 1998-4:2007/NB:2008

Eurocode 8: Design of structures for earthquake resistance.

SR EN 1998-5:2004 Part 5: Foundations, support structures and geotechnical

aspects. National Annex.

SR EN 1998-5:2004/NA:2007

Eurocode 8: Design of structures for earthquake resistance.

SR EN 1998-6:2005 Part 6: Towers, masts and chimneys. National Annex.

SR EN 1998-6:2005/NB:2008

classes

35

Ite

m Normative documents Publication

No

draft technical regulation notified to

the European Commission with

Seismic design code - Part I - Provisions for the design of

1. numbers 2012/679/RO,

buildings”, code P 100-1/2012

2012/682/RO, 2012/683/RO,

2012/684/RO

Seismic design code. Part III. Provisions for the seismic Official Journal of Romania, Part I,

2. evaluation of existing buildings”, code P 100-3/2008, No 674 and No 674 bis of 1 October

approved by MDRL Order No 704/2009 2009

Law No 10/1995 regarding quality in constructions, with its Official Journal of Romania, Part I,

3.

subsequent modifications No 12 of 24 January 1995

Government Emergency Ordinance No 195/2005 regarding

Official Journal of Romania, Part I,

4. environmental protection, with its subsequent modifications

No 1196 of 30 December 2005

and supplementation

Water Law No 107/1996, with its subsequent modifications Official Journal of Romania, Part I,

5.

and supplementation No 244 of 8 October 1996

Methodology for determining the importance categories of

Official Journal of Romania, Part I,

6. dams - NTLH-021, approved by MAPM/MLPLT Order No

No 427 of 19 June 2002

115/288/2002

Government Decision No 766/1997 for the approval of

Official Journal of Romania, Part I,

7. certain regulations concerning quality in constructions, with

No 352 of 10 December 1997

its subsequent modifications and supplementation

Government Decision No 273/1994 for approval of the

Acceptance Rules for building works and their related Official Journal of Romania, Part I,

8.

installations, with its subsequent modifications and No 193 of 28 July 1994

supplementation

General rules for fire protection, approved by Order No Official Journal of Romania, Part I,

9.

163/2007 of the Ministry of Administration and Interior No 216 of 29 March 2007

Government Emergency Ordinance No 244/2000 regarding Official Journal of Romania, Part I,

10.

dam safety, republished No 96 of 4 February 2002

Rules for the management of emergency situations generated

by floods, dangerous weather phenomena, accidents occurring

Official Journal of Romania, Part I,

11. at water engineering structures, accidental pollution of water

No 649 of 12 September 2012

courses and sea pollution in the coastal region, approved by

MMP/MAI Order No 1422/192/2012

36

B. General bibliographical references

2. ICOLD Bulletin No 52 Earthquake Analysis Procedures for Dams. State of the Art., Paris, 1986.

5. ICOLD Bulletin No 72 Selecting Seismic Parameters for Large Dams. Paris, 1989.

3. ICOLD Bulletin No 112 Neotectonics and Dams, Paris, 1998.

4. ICOLD Bulletin No 113 Seismic observations of dams - Guidelines and case studies, Paris, 1999.

5. ICOLD Bulletin No 120 Design features of dams to resist seismic ground motion, Paris, 2000.

6. ICOLD Bulletin No 122 Computational procedures for dam engineering, Paris, 2000.

7. x X x USBR – Design of Gravity Dams. Denver-Colorado, 1983

8. x X x ICOLD European Club Final Report of Working Group on Guidelines for the Seismic

Assessment of Dams. Co-ordinator: N. Reilly (United Kingdom), Madrid, 2004.

37

Notations. Abbreviations

1...9 Degrees of seismic intensity;

M - Gutenberg-Richter magnitude scale;

MM - Modified Mercalli intensity scale;

MSK - Medvedev-Sponheur-Karnik intensity scale;

TB,TC,TD - corner periods specific to the spectral composition diagrams of the horizontal

seismic movement occurring within a site;

Ed - dynamic modulus of elasticity;

µd - dynamic Poisson ratio;

Gd - dynamic shear deformation modulus;

υ - damping rate (fraction of the critical damping);

Vp - primary seismic wave velocities

Vs - secondary seismic wave velocities;

OBE - operating basis earthquake;

MCE - maximum credible earthquake;

SEE - safety evaluation earthquake;

MDE - maximum design earthquake;

DBE - design basis earthquake;

PGA - peak ground acceleration of an earthquake;

PGV - peak ground velocity of an earthquake;

KOBE - seismic intensity coefficient of OBE (operating basis earthquake);

β - non-dimensional dynamic amplification factor equal to the ratio between the

maximum response acceleration of the oscillator and the maximum ground

acceleration;

A, B, C, D - importance categories of water engineering structures

DE - distance between the site where the dam is located and the epicentre of the focus

point of an earthquake;

HF - depth of the focus point of an earthquake;

Δt - calculation step (seconds) used in the direct numerical time integration method;

Rcd - flexural compressive strength of the concrete under dynamic loads;

Rcs - flexural compressive strength of the concrete under static loads;

Rid - flexural tensile strength of the concrete under dynamic loads;

Dr relative density of a granular material;

ag design peak ground acceleration;

MRI reference mean recurrence interval of the seismic action, corresponding to the

calculation at SEE (ultimate limit state in P 100-1);

T natural period of the oscillator (seconds);

38

Annex A

GLOSSARY OF TERMS

Absorption: a process in which the energy of a seismic wave heats the medium through which it

propagates.

Peak ground acceleration (PGA1): the maximum free-field acceleration produced during an earthquake

in any horizontal direction. It is usually expressed in relation to the gravitational acceleration.

The effective peak ground acceleration is the peak acceleration obtained after filtering high

frequencies, which have a small influence on the structural response.

Accelerogram: a recording of the vibrating movement, representing the acceleration over time.

Focal depth: the radial (vertical) distance between the epicentre and the focus point (hypocentre) for a

certain earthquake.

Critical damping: the minimum damping at which the free oscillation of a structure within a

system with a single degree of dynamic freedom becomes aperiodic.

Fraction of critical damping (damping ratio, ): the ratio between the damping value and the

critical damping value.

Quality factor (Q): Q = 1/(2).

Damping factor: 1/Q.

Amplification: increasing the parameters for the source movement from the base stratum to the upper

strata due to a lower level of consolidation of these strata, as well as due to the response of an existing

structure.

Amplitude: the maximum deviation from the median or the central reference line of a wave.

Pseudo-static analysis: a limit equilibrium stability analysis in which the effect of the earthquake is

represented by an acceleration ag, where a is the seismic intensity factor and g is the gravitational

acceleration. In the simplest forms, ag shall be considered to act horizontally, producing an inertial force

equal to aW, where w is the weight of the mass that has the potential of sliding. This force is applied

statically, not dynamically.

Attenuation: the loss of amplitude and modification of the frequency content of the seismic waves over

a certain distance due to scattering, dissipative phenomena, energy absorption, etc. It also represents (1)

the reduction in signal magnitude during transmission and (2) the loss of amplitude or energy with or

without changing the shape of the waves.

Free field: regions of the environment which are not influenced by artificial structures, or an

environment which does not contain such structures (also refers to those regions where the boundary

1

PGA = Peak Ground Acceleration, in English.

39

conditions do not significantly influence the behaviour of the environment).

Earthquake: vibrations of the Earth’s crust due to excessive deformations occurring inside it. For study

purposes, the parameters corresponding to the design or safety assessment analyses (e.g. acceleration)

can be defined. When analysing the seismic behaviour of dams, the following types of earthquakes can

be defined:

Design basis earthquake (DBE2): represents the earthquake that may occur, on average, no more

than once throughout the expected service life of the structure (usually no less than 100 years) and

during which no significant damages should occur (see OBE).

Maximum credible earthquake (MCE3): an earthquake which could produce the highest level of

ground movement within the site being studied and which appears to be possible from the point of

view of the on-site geological conditions.

Maximum design earthquake (MDE4): an earthquake which produces the maximum level of

ground movement for which a certain dam is being designed or analysed.

Operating basis earthquake (OBE5): an earthquake that is possible to occur, on average, no more

than once throughout the expected service life of the structure (usually at least 100 years), and

during which the dam and its auxiliary structures would remain operational but could require

repairs (see DBE).

Safety evaluation earthquake (SEE6): an earthquake that produces the most severe level of ground

movement for which the dam safety requirements must be complied with in the event of

catastrophic yielding (it can be an MCE, a fraction of MCE, or can be determined depending on

the return period).

Epicentre: the point on the Earth’s surface which corresponds to the radial (vertical) projection of the

focus point (hypocentre) of an earthquake.

Safety factor (F): it can be defined in any convenient way, as long as it is applied consistently. For

example, it can represent the factor by which the strength must be reduced to “bring” the structure to a

limit equilibrium state.

Fault: a fracture or fractured area of the Earth’s crust along which relative movements of the adjacent

fragments have occurred.

Active fault: a fault known to have produced historic earthquakes and which, due to the tectonic

conditions, can undergo movement in the foreseeable future.

Capable fault: a fault which has the potential of undergoing future surface movements. A fault

shall be considered to be capable if it displays at least one of the following characteristics:

1. had one movement during the period of time elapsed since the Quaternary period up until the

present

2. was accompanied by macro-seismic activity

3. is in a structural relationship with another capable fault, so that the movement of one of them

can initiate the movement of the other.

Normal fault: a fault in which the main component of the relative displacement was vertical.

Tectonic fault: an inclined fault along which the rocks located above the area of discontinuity have

2

DBE = Design Basis Earthquake, in English.

3

MCE = Maximum Credible Earthquake in English.

4

MDE = Maximum Design Earthquake in English.

5

OBE = Operating Basis Earthquake in English.

6

SEE = Safety Evaluation Earthquake in English.

40

raised compared to the rocks located below the area of discontinuity.

Frequency: number of cycles as a ratio of the time unit (measured in Hertz [Hz] or cycles per second).

Natural frequency: a property of the elastic system undergoing a free vibration movement. The free

vibration will naturally occur at a discrete frequency, when an elastic system vibrates under the action of

the internal forces, in the absence of an exterior force.

Geophone: a sensitive device for the electronic measurement of the speed at which the sound or waves

produced by a known source propagate through the ground.

Tectonic geology: the study of the global arrangement of the main plates on the Earth’s surface, as well

as the origin and evolution of the vertical and horizontal movements which have led, over time, to this

arrangement.

Hazard: a situation that has the potential of leading to the injury or death of people and/or destruction of

goods.

Hypocentre: the point inside the Earth which is the source of an earthquake and the origin of the elastic

waves associated with it.

Acoustic impedance: it is numerically equal to the product between the velocity of the seismic wave

and the density of the propagation environment.

Intensity: a numerical indicator which describes the effects of an earthquake on people, structures and

the ground.

Spectral intensity: the surface below the diagram of the velocity response spectrum between the periods

of 0.1–2.5 seconds. It represents a measurement of the intensity of the ground vibrations, which is useful

in engineering studies.

Liquefaction: a temporary loss of shear strength, which makes the ground behave similar to fluids.

Loose sandy soils are the most vulnerable to the liquefaction induced by the occurrence of earthquakes.

Magnitude: a quantity which characterises the total energy released following the occurrence of an

earthquake. There are several types of magnitudes, calculated in different ways and using different

instruments.

ML is based on the maximum amplitude of the local waves, measured by a Wood-Anderson

seismometer.

MS is based on the amplitude of the surface waves.

mb is based on the amplitude of the body waves.

M0 (seismic moment) measures the size of an earthquake based on the energy it releases, in

accordance with the formula M0 = GAD, where G is the shear modulus of the environment

(usually considered to be 3x1011 dyne/cm2); A is the size of the displacement surface or the fault

(fracture) surface; D is the average backlash on the respective surface.

MW (magnitude moment) is derived from the seismic moment:

MW = (2/3) log M0 - 10.7, where M0 is the seismic moment (dyn.cm)

41

The Richter magnitude must be strictly applied for ML although, in practice, it can also be used for MS.

The relationships between MS, ML and mb are not unique and various versions, sometimes inconsistent,

have been published. Ambraseys proposes the following formulas:

MS = 0.93 ML + 0.09

MS = 1.05 mb – 0.8

Near-field movement: a ground movement registered in the vicinity of a fault, over a region on whose

radium the intensity on the Modified Mercalli scale is higher than V.

considered significant, from an engineering point of view, in assessing the destruction caused by an

earthquake.

Shear modulus (G): the ratio between the shear stress and the specific shear deformation.

G = 0.5 E / (1+)

where E is the Young modulus and is Poisson’s ratio.

The shear modulus of a soil depends on the specific shear deformation and decreases as the

deformation increases. Gmax is the shear modulus of the soil in the presence of very small cyclic shear

deformations (10-6).

Gmax = VS2 where is the mass density of the soil and VS is the shear wave velocity.

Return period: the average interval of time elapsed between the occurrence of certain events, which

exceeds a certain level within a given site. It is the reverse of the annual exceedance probability.

According to the definition, earthquakes are considered to be independent stochastic events, which does

not fully match reality. The probability Pr that an event with a return period of at least T years will occur

at least once in the next r years can be expressed with the following relationship:

Pr / 100 = 1 – (1–1/T)r

Exceedance probability: the probability (in percentages) that an earthquake will generate a level of

ground movement above a certain limit, calculated over a time interval.

Aftershocks: secondary seismic movements produced after the main shock of an earthquake.

Resonance: the amplified response of one of the natural modes of vibration of a dynamic system excited

at a frequency close to the natural frequency.

Risk: the probability that a certain undesirable event or hazard will occur within a certain time interval.

Seismic intensity factor. The ratio between the maximum acceleration of the earthquake and the

gravitational acceleration.

Seismic moment: see Magnitude.

cause (e.g. an earthquake). See Accelerogram.

42

Seismograph: a system which amplifies and records the signals transmitted by seismometers.

Seismometer: an instrument used to transform the seismic wave energy into voltage. Most

seismometers are velocity detectors and the values they measure are proportional to the velocity of the

inertial mass in respect with the seismometer casing (which is proportional to the ground movement

velocity). Under natural frequencies, the response of most geophones will decrease linearly with

frequency, therefore these geophones will function as accelerometers.

Response spectrum The maximum response of an infinite number of harmonic oscillators with various

natural periods of vibration and damping, which are subjected (mathematically) to a seismic action.

Design spectra spectra used for anti-seismic design. The design spectra are obtained by modifying

families of historical earthquake spectra to take into account the particular characteristics of a certain

region or site. The design spectra will not include the effects of the interaction between the ground and

the structure.

Fourier transform: mathematical formulas which transform a function from the time range (waveform,

seismogram, etc.) into a function in the frequency range and vice versa.

Seismic wave: an elastic wave generated by an earthquake or explosion which only cause a temporary

displacement of the medium; the return to the initial position is accompanied by ground vibrations. Body

waves are of two types:

compression or longitudinal waves (P), for which the direction of movement of the medium

particles coincides with the direction of propagation of the wave. The velocity of propagation is

noted with VP.

shear or transverse waves (S), for which the direction of movement of the medium particles is

perpendicular to the direction of propagation of the wave. The velocity of propagation is noted

with VS.

Surface waves propagate near the surface of the crust and are of two types:

Rayleigh waves, which cause the medium particles to move along an elliptical and retrograde

trajectory in a vertical plane formed with the direction of propagation. The velocity of propagation

is noted with VR.

Love waves, which cause the medium particles to move in a direction perpendicular to the

direction of propagation, without any movement in the vertical plane.

Body waves: see Seismic waves; for the magnitude of the body waves (mb) see Magnitude.

Forced vibrations: vibrations which occur if the response is forced by an excitation. If the excitation is

periodical and continuous in terms of its duration, the oscillation shall take place in a stationary state.

Viscoelastic: a stress-deformation relationship containing terms that are proportional to both the specific

deformation and its increment. It can lead to seismic wave attenuation laws that are frequency-

dependant.

43

Peak ground velocity (PGV7): maximum free-field ground velocity produced during an earthquake.

The effective peak ground velocity represents the peak velocity obtained after the filtration of high

frequencies.

Tectonic zone: a zone characterised by homogeneity of the geological and seismic structure.

Seismic zoning: summary of the seismic information within a territory, which is used to delimit the

zones with the same seismic risk. The seismic micro-zoning highlights the influence of the local natural

conditions on the seismicity of a limited area (e.g. a town).

7

PGV – Peak Ground Velocity, in English.

44

Annex B

Eurocode 8 for the design and construction of civil engineering buildings and structures in

seismic zones does not include references to large dams. However, the Eurocode has an influence on the

way the seismic safety assessment of dams is carried out. It presents the national regions classified into

seismic zones, based on their general tectonic characteristics and previous seismic activity. The peak

(maximum) ground acceleration is considered to be a suitable parameter to characterise each zone.

Eurocode 8 states: “For regular structures located in zones with very low seismicity, the general

sturdiness requirements could be sufficient to guarantee a suitable level of (anti)seismic protection.”

The International Association for Earthquake Engineering (IAEE) has published a collection of

codes and regulations applicable in countries located in seismically active regions around the world.

Most of these regulations are not intended to cover the field of dam engineering. The Australian

standard for anti-seismic protection of buildings explicitly excludes dams. However, both the Indian

standard “Criteria for the anti-seismic design of structures” (IS: 1893-1975) and the Japanese “Standards

for seismically-resistant civil buildings” include dams. It must be noted that the safety assessment

standards in force for existing dams do not have to be the same as those in force for newly designed

dams.

In India, an initial standard was published in 1962 and revised in 1966. The 1966 standard

includes the necessary factors for a much more rational seismic zoning. The clauses referring to concrete

and masonry dams were amended to take into account the dynamic behaviour of these dams during

earthquakes. Depending on the problem, one of the following two methods can be used to determine the

seismic forces:

a) the seismic coefficient method;

b) the response spectrum method.

The map of India is divided into five seismic zones. Each of these zones is allocated a basic

horizontal seismic coefficient and a seismic zone factor. When designing concrete and masonry dams,

the seismic force is considered in addition to the hydrodynamic pressures created by the storage

reservoir; the seismic coefficient method is used for dams with a height of up to 100 m, whereas the

response spectrum method is used for dams higher than 100 m. The effect of the vertical seismic

acceleration is also taken into consideration.

In 2005, a document including guidelines for the seismic design of earthfill dams and

embankments was drawn up by the Indian Institute for Technology in Kanpur and the Disaster

Management Authority in Gujarat state. The guidelines were revised in 2007.

The criteria for choosing the anti-seismic protection measures for water supply systems,

established by Japan Water Works Association, also include dams. These criteria use the seismic

coefficient method. The Japanese National Committee for Large Dams has also issued design criteria for

dams. These criteria also use the seismic coefficient method. The seismic coefficient depends on the

region, type of terrain, type of dam and importance of the dam.

In the US, most federal and state agencies use seismic zone maps when they decide to include

seismic factors in the design of dams. The Body of Engineers uses the following seismic coefficients:

45

Seismic zone Minimum coefficient

0 0

1 0.05

2 0.10

3 0.15

4 0.20

The Federal Guidelines for Dam Safety were published in 2005 and provide complete

information about the design and assessment of dams located in seismic zones.

In the UK, the Building Research Establishment has drawn up an “Engineering guide to seismic

risk to dams in the United Kingdom”.

The European Club formed by some European countries that are ICOLD members, which

Romania has joined, published a guide in 2004 which summarises all the regulations applicable to the

seismic design and assessment of dams, in force in several European countries.

Several bulletins drawn up by specialist ICOLD committees are relevant for highlighting the

international views on the seismic safety assessment of dams. The numbers of these ICOLD Bulletins

are: 27 (1975) 46 (1983) 52 (1986) 59 (1987), 61 (1988), 62 (1988), 72 (1989), 112 (1998), 113 (1999),

120 (2000), 122 (2000). The years given in brackets is the year when these ICOLD Bulletins were

published. One of the four themes on the agenda of the ICOLD Congress held in Montreal in 2003

referred to seismic aspects of dams.

46

Annex C

The pseudo-static method assumes that the seismic acceleration at the base of a structure shall

remain constant for the entire height of the structure. This method shall only be used to determine the

seismic response to an OBE (operating basis earthquake).

The earthquake generates inertial forces due to the structural mass, whose direction and

orientation are opposite to the seismic acceleration, as well as hydrodynamic pressures due to the

reservoir, with a direction opposite to the seismic acceleration and an orientation perpendicular to the

surface on which they are applied.

The inertial forces (Fi) corresponding to a structural mass (Mi) shall be calculated with the

following relationship:

Fi K C ,OBE g M i

(1)

where Kc, OBE is the corrected seismic intensity factor of OBE and g is the gravitational

acceleration. The force Fi shall apply to the centre of gravity of the mass Mi.

The hydrodynamic pressures applied on a vertical rectilinear face (pz,v) that is subjected to a

horizontal earthquake can be calculated with the Westergaard relationship:

(2)

where γa is the volumetric weight of the water, Hl is the depth of the reservoir upstream from the

dam, and z is the depth of the point where the hydrodynamic pressure is calculated.

The hydrodynamic pressure on an inclined rectilinear face (pz, α) that is subjected to a horizontal

earthquake shall be determined with the following relationship:

p z, p z, v cos 2

(3)

where α is the angle between the vertical direction and the direction of the dam face. The

pressure pz, α is perpendicular to the dam face.

The inertial and hydrodynamic forces shall be applied statically to the structure, without a time

limit.

47

Annex D

addition to the hydrostatic pressure; this additional pressure is applied on the face that is in contact with

the water, perpendicular to the contact surface, due to the liquid-structure interaction.

The value of the hydrodynamic pressure manifested in a point of contact with the water shall

depend on the depth of the water column, the gradient formed by the surface with the vertical axis, the

planar shape of the surface, the ground morphology, the rigidity of the reservoir bottom and the direction

of the seismic acceleration.

The hydrodynamic pressures shall be perpendicular to the surface on which they are applied,

similarly to hydrostatic pressures, and shall have a direction opposite to the seismic acceleration

(reversed phase).

The hydrodynamic pressures shall be determined for two hypotheses relating to the liquid,

namely: non-compressible liquid (the frequently-accepted situation) and compressible liquid; there can

be significant differences between the two situations.

This annex refers to the non-compressible liquid situation.

The analyses carried out for very important structures should also include the compressible

liquid hypothesis.

In the spectral analysis or numerical time integration method, as well as for the non-compressible

water hypothesis, the effect of the hydrodynamic pressures and structure-liquid interaction on the

seismic response is usually modelled using additional masses. The additional masses are virtual masses

equivalent to the effect of the hydrodynamic pressures on the response of the water engineering

structure. They shall be calculated from the hydrodynamic pressures and attached to the natural masses

of the structure. In the particular situation in which the direction of the hydrodynamic forces

(perpendicular to the surface to which they are applied), the direction of the earthquake and the direction

of the dynamic degrees of freedom are identical, the matrix of additional masses[Mh] shall be

determined with the following relationship:

Px M h a x

where {Px} is the vector of the hydrodynamic forces and {ax} are the total accelerations along

the perpendicular to the water contact nodes in the system digital representation. The additional masses

shall be positive and, in general, depend on the direction of the earthquake and the directions of the

dynamic degrees of freedom.

The calculations carried out as part of the pseudo-static method shall directly use the

hydrodynamic forces, considered similar to static loads.

When the ratio between the free length of the reservoir and the aperture of the valley at the site is

higher than 3, the hydrodynamic pressures applied to the planar surfaces of the dam facilities shall be

calculated using the following relationships:

p x ( y ) 0.743 K s a R ( y ) h

48

Px 0.544 K s a h 2

h' 0.597 h

m x 0.544 a h 2

where

px (y) is the hydrodynamic pressure at the depth y (kPa);

Px - resultant of the hydrodynamic pressures (kN/m);

γa - volumetric weight of the water (kN/m3);

ρa - water density (t/m3);

h - reservoir depth (m);

h' - water depth at the point where the resultant of the hydrodynamic pressures is applied

Ks - factor of seismic intensity;

mx - additional mass in direction x;

R (y) - non-dimensional function in accordance with Table E.1

1

y y y y

R ( y) 2 2

2

h h h h

Table D.1

y/h 0.00 0.10 0.20 0.30 0.40 0.50 0.60 0.70 0.80 0.90 1.00

R(y) 0.00 0.31 0.48 0.61 0.72 0.81 0.87 0.93 0.96 0.99 1.00

00 29 10 21 00 80 83 20 99 25 00

In the case of vertical seismic acceleration, the hydrodynamic pressures shall have a linear

distribution in accordance with the following relationships:

p x ( y ) K s, v a y

1

Px K s ,v a h 2

2

2

h' = xh

3

1

mx a h 2

2

where Ks,v is the vertical seismic intensity factor and the other notations have been explained

above.

The case of an inclined upstream face which forms angle α with the vertical axis.

p (, y ) K () K S a R ( y ) h

where: p (α, y) is the hydrodynamic pressure perpendicular to the face, at depth y;

K (α) - non-dimensional coefficient as a function of the angle α, in accordance with Table D. 2.

The other notations have been explained above.

49

Table D.2

α 0° 15° 30° 40° 60° 75° 90°

K (α) 0.743 0.612 0.511 0.448 0.292 0.168 0.000

In the case of vertical seismic acceleration, the hydrodynamic pressures shall have a linear

distribution in accordance with the following relationships:

p ( y ) K s, v a y

1 h2

P () K s, v a

2 cos

2

h ' ( ) h

3

1

Px ( ) K s, v a h 2

2

1

Py ( ) K s, v a h 2 tg

2

where: Px (α) is the horizontal hydrodynamic force and Py (α) is the vertical hydrodynamic force. The

other notations have been explained above.

For arch dams, the approximate calculation of the hydrodynamic pressures can be carried out in

accordance with the following relationships:

7

p ( , y ) K s a h y cos

8

where y is the water depth and α is the angle between the direction of the earthquake and the

perpendicular to the surface of the arch, at the point where the hydrodynamic pressure is calculated. The

other notations have been explained above.

2x

p ( , y ) K s a h y

L

where the lengths x and L are marked on Figure D3.b, and the other notations have been explained

above.

50

Figure D.1. Hydrodynamic pressures on the vertical

rectilinear face due to a horizontal earthquake

rectilinear face due to a horizontal earthquake

dams.

a - horizontal earthquake along the valley;

b - horizontal earthquake perpendicular to the valley

51

Annex E

In addition to the inertial seismic forces applied by the dead load of the structure, the calculations

carried out to determine the seismic stability of partially or fully buried structures (abutments, galleries,

underground structures, dams, plants) shall also take into consideration the additional active or passive

seismic earth pressure.

Normally, the seismic earth pressure applied to abutment-type structures is determined for a

horizontal earthquake, whereas the seismic ground pressure applied to the dome (roof slab) of buried

(underground) water engineering structures is determined for a vertical earthquake.

The active seismic pressure can be assessed in the following two situations:

a. The active seismic earth pressure acting on the structure-foundation system when only elastic

deformations occur in the ground;

b. The active seismic earth pressure when plastic ground deformations occur in the structure-

foundation system.

The passive seismic earth pressure shall only manifest when plastic ground deformations occur

in the structure-foundation system.

In abutment-type structures, when the limit equilibrium state has not been reached yet, the active

earth pressure shall be determined with relationships (1) (Figure 6.1 a): The limit equilibrium state shall

correspond to the situation in which the sliding safety coefficient for the foundation is 1.0.

p a ( y ) K s z h R ( y , )

21 16tg

Ma K s z h3

48

3 2tg

Pa K S z h2 (1)

4

1 15 8tg

ha' h

12 3 2tg

1 y y 2 y y

R ( y, ) 1 10 9 3 1 tg

4 h h h h

where:

a - active pressure coefficient;

h - total height of the embankment near the abutment (m);

- angle of the embankment (surface) behind the abutment;

γz - volumetric weight of the ground (kg/m3);

pa (y) - intensity of the active seismic pressure at level (y) (kPa);

Pa - resultant of the active seismic pressure (kN/m);

52

h'a - position of the resultant with respect to axis x (m);

Ma - bending moment in the section at the base of the abutment (ymax = h) (kNm/m);

R (y,) - non-dimensional function (in accordance with Table E.1)

Ψ - reduction coefficient for the active pressure Ψ = 0.75;

Table E.1

R (y, )

° 0° 10° 15° 20° 25° 30° 35°

y/h

0.00 1. 0000 1.1763 1.2679 1.3640 1.4663 1.5774 2. 0000

0.10 0.9450 1.1037 1.1862 1.2726 1.3647 1.4646 1.8450

0.20 0.9200 1.0611 1.1344 1.2112 1.2930 1.3819 1.7200

0.30 0.9100 1.0334 1.0976 1.1648 1.2364 1.3141 1.6100

0.40 0.9000 1.0058 1.0608 1.1184 1.1798 1.2464 1.5000

0.50 0.8750 0.9632 1.0090 1.0570 1.1082 1.1637 1.3750

0.60 0.8200 0.8905 0.9272 0.9656 1.0065 1.0509 1.2200

0.70 0.7200 0.7729 0.8004 0.8292 0.8599 0.8932 1.0200

0.80 0.5600 0.5953 0.6136 0.6328 0.6533 0.6755 0.7600

0.90 0.3250 0.3426 0.3518 0.3716 0.3716 0.3827 0.4250

1. 00 0. 000 0. 000 0. 000 0. 000 0. 000 0. 0000 0. 000

The active seismic pressure determined this way shall only be the active pressure resulting from

seismic action; therefore, the action of the static active earth pressure must also be taken into

consideration when checking the stability of the structure.

In this situation, for abutment-type structures, it shall be considered that plastic ground

deformations have also occurred. For this hypothesis, the active earth pressure shall be determined as

total pressure, obtained directly by adding up the static pressure and the seismic pressure.

The resultant of the total active earth pressure (Pa) shall be calculated first, followed by the

resultant of the active static pressure (Pa,st). In the end, the active seismic earth pressure (Pa,d) shall be

obtained from the difference between Pa and Pa,st (Figure F1.b).

Pa, d Pa Pa, st

(2)

1

Pa K a z h 2

2

3 K a K as

ha, h

6 Ka (3)

1

Pa , st K as z h 2

2

2

ha' , st h

3

53

K a K as z h 2

1

Pa , d

2

1

ha' , d h

2

cos 2

Ka

sin sin

2

cos cos 2

cos 1

cos cos

cos

2

K as

sin sin

2

cos cos 1

2

cos cos

where:

Ks - is the seismic intensity factor and Ψ = 0.75 is an active pressure reduction coefficient;

a - active pressure coefficient;

h - total height of the embankment near the abutment;

- angle of the slope of the embankment surface behind the abutment;

- angle formed by the abutment face with the vertical axis at the point of contact with the

embankment;

ϕ - angle of internal friction of the embankment (in degrees);

= the friction angle at the point of contact between the abutment and the embankment

1 2

(

or );

2 3

Ka - non-dimensional function which defines the total active pressure (sum) of the embankment

(static + seismic);

Kas - non-dimensional function which defines the static active pressure of the embankment

Kas = Ka for Ks = 0

Pa - resultant of the total active pressure, static + seismic, of the ground (kN/m);

Pa,st - resultant of the static active earth pressure (kN/m);

Pa,d - resultant of the seismic active earth pressure (kN/m);

ha' , st ; ha' , d , ha' - y coordinates of the position of the resultant of the static active, seismic

(dynamic) and total earth pressure (Figure E1 b)

The passive earth pressure shall only be calculated for the limit equilibrium state with plastic

ground deformations, represented by the total static + seismic (dynamic) passive pressure.

In successive steps, the total passive earth pressure (Pp) shall be calculated first, followed by the

resultant of the static passive pressure (Pp,st), where the difference between the two shall be the passive

seismic pressure (Pp,d)

54

The calculation relationships are the following:

K p K p, st

h' p

3 Kp

1

Pp K p z h2

2

1

Pp, st K p, st z h 2

2 (5)

2

h 'p, st h

3

Pp, d

1

2

K p K p, st z h 2

1

h 'p, d h

3

cos 2

Kp

sin sin

2

cos cos cos 1

2

cos cos

cos 2

K p, st

sin sin

2

cos cos 1

2

cos cos

where

is the angle whose tangent line is Ks Ψ where Ks is the seismic intensity factor and Ψ = 0.75 is

a passive pressure reduction coefficient;

p - passive earth pressure coefficient;

Kp - non-dimensional function which defines the total passive earth pressure (static + dynamic);

Kp,st - non-dimensional function which defines the static passive earth pressure;

Kp = Kp,st for Ks = 0

Pp,st; Pp,d; Pp - resultants of the static, dynamic and total earth pressures (Figure E.2);

h 'p, st ; h 'p, d ; h 'p - y coordinates of the position of the resultant of the static passive, dynamic and

total earth pressure (Figure E.2)

If there is water in the pores of the ground behind the abutment, this shall have an influence by

increasing the active and passive seismic earth pressure. The active and passive inertial seismic

pressures shall be calculated by taking into consideration the volumetric weight of the saturated

ground ( 'z ) instead of the dry volumetric weight ( z ), in accordance with the following

relationship:

'z = z + n a

55

where:

z is the volumetric weight of the dry ground (Kg/m3); n - porosity;

'z - is the volumetric weight of the saturated ground (Kg/m3 and a - is the volumetric weight

of the water (Kg/m3);

When the hydrostatic and hydrodynamic pressures due to ground water are considered separately

in the calculations, the earth pressures shall be calculated for the submerged volumetric weight.

Additional active seismic earth pressure applied by useful loads to the surface of the

embankment behind the abutment.

In the case of abutments, bank reinforcements, etc., high intensity useful vertical loads also

develop on the free surface of the embankments, which apply additional active seismic pressures to the

vertical face of the abutment, at the point of contact with the embankment.

In accordance with Figure E.3, an abutment of unlimited length along axis z shall be considered,

with the uniformly distributed vertical load, q, acting on the surface of the ground behind the abutment.

The intensity of the horizontal active seismic pressure pa(x,y) and the resultant of this pressure

Pa(x), as well as the position of this resultant shall be determined using the following relationships (the

calculation shall be carried out for the unitary length of the abutment l=1):

p Ks q (6)

y y 2 y 3

p a ( x, y ) p a x 1

h h h

from where max pa (x,y) = p a(x) for y = 0

Pa ( x) max pa h p a x h

5 5

12 12

h'a 0.28 h (see Figure F.3)

'

1 x x x

2

a x 1 25 39 8

60 h h h

x

for 0 3 (Figure F.4) where:

b

x,y,z - three-dimensional Cartesian coordinates;

h - total height of the embankment behind the abutment (m);

h a' - position of the resultant of the active seismic pressure (m);

l - length of the abutment along axis (z); the formulas are given for l = 1 (m);

Ks - factor of seismic intensity;

Ψ - reduction coefficient for the active pressure Ψ = 0.75;

q - constant-intensity useful vertical load at the distance (x) from the edge of the abutment

(Figure E.3) (kN/ml);

p - constant-intensity horizontal inertial load which acts on the free surface of the embankment at

the distance (x) from the edge of the abutment (Figure E.3) (kN/ml);

pa(x,y) - intensity of the horizontal active seismic pressure acting on the abutment face at the

point with the coordinates (x,y) (kN/m2);

56

max pa - maximum intensity of the horizontal active seismic pressure acting on the abutment face

at the point y = 0 (kN/m2);

Pa(x) - resultant of the horizontal active seismic pressure (kN/ml);

a(x) - non-dimensional function representing the influence line for max pa and Pa(x),

respectively, due to the action of the useful load qi at the distance xi from the abutment.

0 xi 3 h ; Figure E.4 and Table E.2

Table E.2

x/h a(x) x/h a(x) x/h a(x)

0.00 1.0000

0.10 1.0353 1.10 0.8493 2.10 0.2433

0.20 1.0584 1.20 0.7944 2.20 0.1904

0.30 1.0701 1.30 0.7361 2.30 0.1421

0.40 1.0712 1.40 0.6752 2.40 0.0992

0.50 1.0625 1.50 0.6125 2.50 0.0625

0.60 1.0448 1.60 0.5488 2.60 0.0328

0.70 1.0189 1.70 0.4849 2.70 0.0109

0.80 0.9856 1.80 0.4216 2.80 -0.0024

0.90 0.9457 1.90 0.3597 2.90 -0.0064

1.00 0.9000 2. 00 0.3000 3.00 0. 000

The process of determining the total active seismic pressure applied to the abutment wall (max pa

and Pa(x)) due to the simultaneous action of different vertical useful loads using the influence line a(x)

shall be carried out in accordance with the following relationships (Figure E.5):

p1 K s q1 p2 K s q2 p3 K s q3 0.75

3

max pa pi a ( x i )

i 1 for y = 0

x4

max pa p1 a ( x1 ) p2 a ( x 2 ) p3 a ( x) dx (7)

x3

5

Pa ( x ) max p a h

12

ha' 0.28 h

57

Figure E.1. Evaluation of active seismic earth pressures

a - for elastic ground deformations;

b - for plastic ground deformations

58

max.

max.

59

Annex F

A seismic analysis of the transverse profile of the gravity dam shown in Figure B1 under the

action of an OBE (Operating Basis Earthquake) must be carried out in accordance with Regulation NP

076/2002.

The following shall be taken into consideration in addition to the geometrical elements shown in

the figure:

The mechanical properties of the concrete used for the dam body:

Eb = 24 000 MPa, µ = 0.16, γb = 24 kN/m3

The structure shall be considered to have 3 dynamic degrees of freedom in the horizontal direction.

The seismic interaction between the dam and the reservoir shall be determined using the additional

masses method.

The dam belongs to importance class II (STAS 4273-83) and importance category B (NTLH-

021).

In accordance with regulation P100-1, the dam is located in a seismic zone characterised by the

peak value of the site ground acceleration ag = 0.24g and corner periods TB = 0.1 s, TC = 1.0 s. The

special seismic survey of the site has confirmed the values given in P100-2006.

The earthquake is applied in a horizontal direction, perpendicular to the dam.

The seismic response spectrum is shown in Figure F2.

If using the pseudo-static method, anOBE = 0.40 ag but not less than 0.1g.

If using the spectral analysis method, anOBE = 0.40 ag but not less than 0.1g.

If using the finite element analysis, Ed = 1.35 Eb,s = 1.35 x 2 400 = 3 240 MPa and µd = 0.22

υ = 0.05 (υ - fraction of the critical damping).

The concrete-rock sliding friction coefficient when considering a seismic action is f = 0.70

Maximum permissible flexural compressive/tensile stresses when the seismic action is

considered – 200 kPa / +3 000 kPa (+ compressions).

The seismic analysis shall be carried out for the hypothesis of a full reservoir, where the water

level is at the normal retention limit (NRL), and the hypothesis of an empty reservoir.

Figure F1 Geometrical elements and digitisation diagram of the profile of a gravity dam.

60

β - Spectral amplification

T - Natural period of the oscillator

(s)

Figure F2 Normalised elastic response spectrum in accordance with P 100-2006

A. Analysis of the free vibrations

a. The net masses and the additional masses shall be calculated by breaking them up into simple

geometrical elements:

The calculations shall be carried out for a distance of 1 m in the longitudinal direction of the dam.

1

d

W d 1 6 2.45 6 7.5

2.5

m1 = b b 119.438 t

g 2 2 d 15

5 1

d d

W d 1 d 6 d d 1

b b d 3

d

m2 = b b

g 2 2 2 d 2 2 2 2 2

1 12.5 1 5

2.45 6 7.5 6.7.5 12 7.5 12 15 450.427

2 15 2 15

2 1

d d

W d d 1 d 3 d 1 d 3

m3 = b b d 2 d b d

g 2 2 2 2 2 2 2 2 2

1 10 1 5

= 2.45 12 7.5 12 15 24 7.5 12 15 882 t

2 15 2 15

2

d

W d 1 d 3 1 10

membedment = 2 d b d 2.45 24 7.5 12 15

g 2 2 2 2 2 15

= 588 t

Mass matrix [M] for the hypothesis of an empty reservoir:

119.438 0 0

M 0 450.427 0 t

0 0 882.000

61

7 W

mad Hl z

8 g

where W is the volumetric weight of the water W 10 kN/m3

g - gravitational acceleration g 9.81 m/s2

7

mad1 = W H l d H b H l

7 10

40 10 17.845 t/m2

8 g 8 9.81

7

mad2 = W H l 2d H b H l

7 10

40 25 28.215 t/m2

8 g 8 9.81

7

mad3= W H l H b H b H l

7 10

40 40 35.690 t/m2

8 g 8 9.81

Concentrated additional masses:

d H b H l

2

mc1 = mad1 d H b H l 5

2

31.725 t

3 d

d d H b H l

2

mc2 = mad1 d H b H l mad1 mad 2 mad1

2 5 d d 1

3 d 2 2 3

= 247 006 t

mc3 = mad1 mad 2 mad1 mad 2 mad 3 mad 2 = 415 993 t

d d 2 d d 1

2 2 3 2 2 3

mc embedment = mad2 mad 3 mad 2 2 248 989 t

d d 2

2 2 3

Verification:

2

Total surface area of the parabola: H l mad 3 = 951 735 t

3

m c mad1 mad 2 mad 3 mc incastrare

embedmen = 943 712 t

t

The sum of the concentrated additional masses shall be different from the total surface area of

the parabola, since the concentrated additional masses were calculated by breaking them up into simple

geometrical shapes (rectangles and triangles); therefore, the following correction must be applied:

4

mc1 = 118.927 31 714 t

15

11 1

mc2 = 118.927 133.792 83.588 = 248 868 t

15 3

2 1

mc3 = 133.792 83.588 211.54 58.223 420 465 t

3 3

2

membedment = 211.54 58.223 250 355 t

3

Verification:

mc 31.725 248.868 420.465 250.35 951 413 t

Additional mass matrix:

62

31.714 0 0

M h 0 248.868 0

0 0 420.465

The profile of the dam is defined by the following function:

Bsite

ampriza

area

H b h b 36 045 m

y p z Bsite

area i f z H b, H b , z, H b h

ampriza

Calculation of the centres of mass:

y p z z dz

Hb

cm1 =

2d

2d 6.499 m

y p z dz

Hb

2d

y p z z dz

2d

cm2 =

d

d 6.667 m

y p z dz

2d

d

y p z z dz

d

cm3 =

0

d 7.00 m

y p z dz

d

0

Calculation of the net masses:

c

mc1 = m1 b y p z dz 119.399 t

Hb

d g 2d

d cm1 b Hb

y p z dz m 2 b y p z dz 450.245 t

c 2d

mc2 =

d g 2 d d g d

d cm 2 b 2 d

y p z dz m3 b y p z dz 882.136 t

c d

mc3 =

d g d d g 0

d cm 3 b d

mc embedment = y p z dz 588.091 t

d g 0

Verification:

mc mc1 mc2 mc3 mc embedmen

incastare 2 039 871 t

b

t

y p z dz 2039.872 t

Hb

Mdam =

g 0

119.399 0 0

M 0 450.245 0 t

0 0 882.136

63

7 W

d H b H l

H l z z dz

cm1 = d H b H l

0 8 g

4.00 m

d H b H l 7

0 8 g

W

H l z dz

2 d H b H l 7

d Hb Hl 8 gW H l z z dz

cm2 = 2d H b H l 6.952 m

2 d H b H l 7

d Hb Hl 8 g H l z dz

W

Hl 7

2d Hb Hl 8 gW H l z z dz

cm3 = H l 7.210 m

Hl 7 W

2d Hb Hl 8 g H l z dz

Concentrated additional masses:

cm1 d Hb Hl 7 w

d 0

mc1s = H l z dz 31.725 t

8 g

c d H b H l 7 w c 2 d H b H l 7

mc2s = 1 m1 H l z dz m 2 w H l z dz

d 0 8 g d d H b H l 8 g

= 250 056 t

c 2 d H b H l 7 w c Hl 7 w

mc3s = 1 m 2 H l z dz m3 H l z dz

d d H b H l 8 g d 2 d H b H l 8 g

= 419 898 t

c Hl 7 w

mc embedment s = 1 m 3 H l z dz 250 056

d 2 d H b H l 8 g

Verification:

2

Total surface area of the parabola: H l mad 3 = 951 735 t

3

m p mc1s mc 2 s mc3s mc embedmen

incastrares 951 735 t

t

31.725 0 0

M h 0 250.056 0 t

0 0 419.898

151.123 0 0

M M h 0 700.302 0

0 0 1302.034

64

f11 f12 f13

F f 21 f 22 f 23

f 31 f 32 f 33

b mi m j dz b ti t j dz

fi j 1.2

a EI z GA( z ) a

E 24000

G 10 345 MPa

2(1 b ) 2(1 0.16)

Figure F3. Diagrams of bending moments and shear forces due to unitary loads applied in the direction

of the degrees of freedom.

h z 2 dz z 2 dz h 12 dz H 12 dz

2.480 10 6

H

f11 b 1.2 1.2 b

0 b3 h z 3 0 G b h G z

Eb Eb

12 12

Hb ( z d ) dz

2

Hb 12 dz

f 22 1.2 3.641 10 7

d

Eb

z 3 d G ( z )

12

Hb ( z 2d ) 2 dz Hb 12 dz

f 33 1.2 7.498 10 8

2d

Eb

z 3 2 d G ( z )

12

Hb z ( z d ) dz Hb 12 dz

f12 1 .2 d G ( z) 5.811 10

7

d

Eb

z 3

12

Hb z ( z 2d ) dz Hb 12 dz

f13 1 .2 1.292 10 7

2d

Eb

z 3 2 d G ( z )

12

Hb ( z d ) z 2d dz H b 1 dz

2

f 23 1.2 1.021 10 7

2d

Eb

z 3 2 d G ( z )

12

65

2.480 10 6 5.811 10 7 1.292 10 7

F 5.811 10 7 3.641 10 7

1.020 10 7

1.292 10 7 1.021 10 7 7.489 10 7

Calculation of the rigidity matrix [K] by reversing the flexibility matrix [F]:

F 1 K 1.178 10 6 6.563 10 6 6.908 10 6

4.762 105 6.908 10 6 2.192 10 7

Calculation of the natural periods and shapes for the EMPTY RESERVOIR hypothesis:

K M A 0

2

i

1.178 10 6 6.563 105 450.245 2 6.908 10 6 0

4.762 105 6.908 10 6 2.192 10 882.136

7 2

1 50.315 rad / S 2 2 99.824 rad / S 3 180.043 rad / S

2

T1 0.125 s T2 0.063 s T2 0.035 s

1

1178040 A11 5424020 A21 6908160 A31 0

476289 A11 6908160 A21 19690100 A31 0

A

11 11 1 21 0.337 31 0.094

A11

1178040 A12 2077200 A22 6908160 A32 0

476289 A12 6908160 A22 13133000 A32 0

A

12 12 1 22 0.596 31 0.350

A12

66

Natural shape number 3:

1178040 A13 8031040 A23 6908160 A33 0

476289 A13 6908160 A23 6671450 A33 0

A

13 13 1 23 1.904 33 2.043

A13

Calculation of the natural periods and shapes for the FULL RESERVOIR hypothesis:

1.178 10 6 6.563 10 6 700.301 2 6.908 10 6 0

4.762 105 6.908 10 6 2.192 10 1302.034

7 2

1 43.114 rad / S 2 83.414 rad / S 3 147.335 rad / S

T1 0.146 s T2 0.075 s T2 0.043 s

1178040 A11 5262130 A21 6908160 A31 0

476289 A11 6908160 A21 19503100 A31 0

A

11 11 1 21 0.359 31 0.103

A11

1178040 A12 1679550 A22 6908160 A32 0

476289 A12 6908160 A22 12842200 A32 0

A

12 12 1 22 0.453 31 0.281

A12

1178040 A13 8638050 A23 6908160 A33 0

476289 A13 6908160 A23 6340740 A33 0

67

A13

13 1 23 1.526 33 1.738

A13

B. Solution obtained with the finite element method, using the SAP 2000 programme:

The profile of the dam is digitised into PLANAR finite elements with incompatible modes. The

calculations are carried out for the hypothesis of a planar deformation state.

Choose the measurement units: kN, m, C

Select a Template: Grid only

Set the following data in New Coord/Grid System:

Number of Grid Lines: X direction 13

Y direction 1

Z direction 13

Grid Spacing: X direction 3

Y direction 1

Z direction 3.75 OK!

In the plane view quadrant, select Set X-Z view.

Click Define →Materials –Add New Materials.

Material Name: Concrete

Type of Design: Concrete

In Analysis Property Data, enter:

68

Mass per unit Volume: 2.45

Weight per unit Volume: 24

Modulus of Elasticity: 24000000

Poisson’s Ratio: 0.16

In Type of Material, choose Isotropic

The programme is calculating the Shear Modulus 10344828 OK! OK!

Click Define /Area Section.

In Select Section Type to Add, select Plane.

Click on Add New Section.

In Plane Section Data, in Section Name, enter Dam.

In Material Name, select Concrete.

In the Thickness section, enter 1. OK! OK!

Click on Set Select Mode.

Click on Draw/Draw Poly Area. In Properties of Object in Section click on ASEC1 and choose

Dam.

Use the resulting grid to draw the digitised profile of the dam, made up of rectangular or triangular

elements.

The nodes of a finite elements are drawn in a clockwise direction (i, j, k, l). The digitisation

diagram contains 79 PLANAR elements and 94 nodes.

Close Property of Object.

Set Select mode(Pointer).

Select the nodes at the base of the profile (click on each node).

Click on Assign/Joint/Restraints.

In Joint Restraints, in the Restraints section, in Joint Local Direction cancel the 3 translations

and the 3 rotations by clicking the corresponding boxes.

Select all profile nodes except for those located at the base for which total restrictions have

been enforced (3 translations + 3 rotations).

Click on Assign/Joint/Restraints.

In Joint Restraints, in the Restraints section, in Joint Local Direction cancel translation 2 and

rotations 1, 2 and 3.This way, each of the selected nodes will display two degrees of translation freedom

in the local directions 1 and 3, corresponding to the global axes X and Z. OK!

Click on Define/Mass Source.

In Define Mass Source, in the Mass Definition section, check that From Element and

Additional Masses is selected. OK!

Select node 1 (x = 0, z = 45).

Click on Assign/Joint/Masses.

In Joint Masses, in the Coordinate System section, select Global.

In the Masses section, in Global Directions in Direction X, enter 31 714

In the Options section, select Add to Existing Masses. OK!

Select node 14 (x=0, z=30).

Repeat the operations carried out for node 1 and enter 248 868 in Direction X OK!

Select node 40 (x=0, z=15).

Repeat the operations carried out for node 1 and enter 420 465 in Direction X OK!

At this stage, all the data required to calculate the natural modes for the FULL RESERVOIR

hypothesis have been entered.

Click on Analyze/Set Analysis Cases to Run/Run Now.

The screen will display Save Model File As/Save in: My Document.

In File Name, enter, for example, Problem 2.10 Full Reservoir → Save.

69

Check the results displayed on the screen.

The results show that the digitised profile contains 94 nodes and 79 SOLID-2D elements. In total,

the digitised system has 162 degrees of translation freedom in directions X and Z.

Initially, a static analysis is carried out for the load applied due to the dead load, followed by an

analysis of the free vibrations. The first 12 natural modes (natural periods + the corresponding natural

shapes) are determined. OK!

Click on Display and select the results you wish to view, save, store, print.

If the analysis is carried out for the EMPTY RESERVOIR hypothesis, cancel the additional

masses in nodes 1, 14 and 40 by selecting each node in turn and cancelling the corresponding mass.

Number of the natural 1 2 3 4 5 6

period

Hypothesis

Empty reservoir 0.1201 0.0535 0.0426 0.0304 0.0207 0.0192

Full reservoir 0.1446 0.0684 0.0452 0.0419 0.0259 0.0215

Figure F.2 shows the profile discretisation diagram. Figures F.3 and F.4 show the geometric

configurations of the first 4 natural shapes for the empty reservoir and the full reservoir hypotheses.

In this calculation, the system has a total of 162 dynamic degrees of freedom (81 translations in

direction X and 81 translations in direction Z).

It can be observed that the free vibrations (natural periods, natural shapes) calculated in situation

A (a system with 3 degrees of freedom) can be found amongst the natural modes calculated for the

hypothesis of the system being digitised into finite elements (situation B). The natural shapes 1 and 2

have identical geometric configurations in situations A and B. For the empty reservoir hypothesis, the

natural mode 3 in situation A is replicated in the natural mode 4 of situation B. In situation B, the natural

mode 3 develops mainly in direction Z (vertical), which was blocked in situation A (the system had only

3 degrees of horizontal translation freedom).

For the full reservoir hypothesis, the natural mode 3 in situation A is replicated in the natural mode

3 of situation B. The additional masses introduced in the horizontal direction (X) caused the natural

mode 3 to develop mainly in direction X and the natural mode 4 to develop mainly in direction Z.

70

T1=0.1201 s T2=0.0535 s T3=0.0426 s T4=0.0304 s

Figure F.7. Geometric configurations of the first 4 natural shapes for the empty reservoir hypothesis.

Figure F.8 Geometric configurations of the first 4 natural shapes for the full reservoir and empty

reservoir hypotheses

B. Pseudo-static method

This method shall only apply when carrying out preliminary determinations for dams belonging

to class II and importance category B (pre-feasibility and feasibility studies).

anOBE = 0.40 x 0.24 g = 0.096 g, considering that anOBE =0.1 g aOBE = 0.1 x 9.81 = 1 m/s2

anOBE – the maximum design earthquake acceleration shall be considered constant along the entire

height of the dam

71

Figure F.9 Loads manifested in the profile of a gravity dam and stresses σv for the full

reservoir hypothesis (a) and the empty reservoir hypothesis (b), calculated using the

pseudo-static method.

Vertical Horizontal m + -

G1 19.440 6.00 116640

G2 540 14.00 7560

Ph 8000 13.33 106640

S -3880 4.93 19128.4

Fi,1 1944 15.00 29160

Fi,2 54 42.50 2295

Pc 876.84 16.00 14029.4

16.100 10874.84 171252.8 124200

b = 24 kN/m3 a = 10 kN/m3

8.17 8.17 kN kN

Cp = 8.22

7.75 H

2 7.75 m3 m3

1 1 40 2

10 6 T 10 6

Stability and strength calculations under static stresses (without taking into consideration the seismic

action)

- Full reservoir

8000

tg 0.497

19440 540 3880

0.70

csig = 1.408

0.497

16100 1568.4

vlac v, 439.961 kN / m 2

full plin

reservoir

, am

upstream 36 216

16100 1568.4

vlac

full plin

, av v,

reservoir 454.483 kN / m 2

downstream 36 216

- Empty reservoir

There are no horizontal loads and negative pressure

empty

reservoir 19980 124200

vlac gol

v,, am 1130 kN / m 2

upstream 36 216

empty

golv, 19980 124200

vlac

,aval 36 216 20 kN / m

reservoir

downstream

2

tg ef

H 8000 1944 54 876.84 10874.84

0.675

Vef 19440 540 3880 16100

f 0.70

csig = 1.037

tg 0.675

tg - sliding coefficient of the structure

72

csig - sliding safety coefficient

Af = 1 x 36 = 36 m2

1 . 36 2

Wf = 216 m3

6

plin V M 16100 47052.8 229.38 kN

full

vlac

reservoir

, am

m2

v,

upstream Af Wf 36 216

full reservoir

vlac

v, plin

V M 16100 47052.8 665.06 kN

,av

downstream

Af Wf 36 216 m2

The more dangerous situation occurs when the direction of the seismic acceleration is from upstream to

downstream.

1944 54

tg 0.10 0.70

19440 540

gol 19980 (116640 7560 29160 2295)

empty

lac

vreservoir

upstream

v,,am 1275.62 kN / m 2

36 216

vlac golv,

reservoir

,av

downstrea

165.62 kN / m 2

m

36 216

Conclusion: The seismic response parameters (csig, σv,am, σv,av) are within the permissible limits

due to the data used in the seismic calculation carried out in accordance with the pseudo-static method.

C. Spectral analysis

anOBE = 0.40 x 0.24 g = 0.096 g, where it is considered that anOBE = 0.1g anOBE = 0.1 x 9.81 =

1.0 m/s2

T1 = 0.146 s T2=0.075 s T3=0.043 s

Natural periods of the empty reservoir:

T1 = 0.125 s T2=0.063 s T3=0.035 s

Full reservoir T1 Sa.1 l p = 2.750 x 1. = 2.750 m/s2

T2 Sa.2 l p = 2.312 x 1. = 2.312 m/s2

T3 Sa.3 l p = 1.752 x 1. = 1.752 m/s2

T2 Sa.2 l g = 2 102 x 1. = 2 102 m/s2

T3 Sa.3 l g = 1 612 x 1. = 1 612 m/s2

K

ei K i TK [M ] r

TK [M ] K

where the index i refers to the degree of freedom of the structure and the index k refers to the

natural shape.

73

C1. Full reservoir hypothesis

Calculation of the coefficients of matrix [E] for the full reservoir hypothesis:

151.123 1

1 0.359 0.103 1

1

700.302

1302.034

ei 1 0.359 1

0.103 151.123 1

1 0.359 0.103 0.359

700.302

1302.034 0.103

151.123 1

1 0.453 0.281 1

1

700.302

1302.034

ei 2 0.453 1

0.281 151.123 1

1 0.453 0.281 0.453

700.302

1302.034 0.281

151.123 1

1 1.526 1.738 1

1

700.302

1302.034 1

ei 3 1.526

1.738 151.123 1

1 1.526 1.738 1.526

700.302

1302.034 1.738

2.103 1.338 0.235

[E] = 0.755 0.606 0.359

0.217 0.376 0.409

n

Verification condition for [E]: ei , k 1

k 1

3

e1, k 2.103 1.338 0.235 1

k 1

3 3

e2, k 1.002 e3, k 1.002

k 1 k 1

Calculation of the maximum inertial forces {Fi}k, max in various natural modes in the directions of

the degrees of freedom for the full reservoir hypothesis:

Fi k max

M ei k S a i k k , k

i=1,2...n i=1,2...n i=1,2...n

74

151.123 2.103 873.982

Fi 1 max 700.302 0.755 2.750 1454.002 kN

0.217 776.988

max

1302.034

Fi 2 max

700.302 0.606 2.312 981.174

kN

max

1302.034 0.376 1131.874

Fi 3 max

max

700.302 0.359 1.752 440.468 kN

1302.034 0.409

932.996

natural modes for the full reservoir hypothesis.

Calculation of the spectral vertical stresses in various natural modes at the base of the profile:

Fi k di

upstre

am

v,vam

, av

down k ,maxmax W

strea

m i=1...n

vam

upstre

am

v,

,av 1,max

873.982 45 1454.002 30 776.988 15

1.36 2

437 982 kN/m2

down

strea 6

m

kN

vam

upstre upstre

am

, av 2,max 117.482 kN/m2 am

am

v , av 16.578

max 3

v,

down

v,

down

m2

strea strea

m m

Calculation of the spectral shear forces in various natural modes at the base of the profile

75

Ft i k

n

FT k

i 1

F T 1,max

max

873.982 1454.012 776.988 3104.972 kN

F T 2,max

max 1645.555 kN F T 3,max

max 554.749 kN

Calculation of the spectral vertical stresses and spectral shear forces at the base of the profile, in

accordance with Rosenblueth formula (RSS):

1

n am 2

vtre

2

am ups

, i , Kav

upstre

v ,iav max

am

v, iav

max

k 1 am

am

upstream

v , max, av RSS

v,max,

2

437.892 2 117.482 2 16.578 2 453.768

kN

upstream m2

F T base,max

baza, max 2 3104.972 2 1645.555 2 554.749 2 3557.590

kN

RSS

m2

to static loads for the

full reservoir

hypothesis

Spectral stresses σv

due to seismic action

for the full reservoir

hypothesis

Figure F11 Combining of stresses σv due to static loads with the spectral stresses

due to seismic action.

Verification of the stress regimen and sliding stability — full reservoir hypothesis:

8000 3557.590

tg 0.717

16.100

0.7

csig

sig 0.976

0.717

The maximum flexural compressive/tensile stresses that take into consideration the seismic

action are within the permissible limits.

For the hypothesis of a seismic action, the profile does not meet the sliding stability requirement.

The foundation of the dam should be inclined in an upstream direction, or the slopes of the profile faces

should be softened.

76

Calculation of the maximum displacements caused by the seismic action within various natural

modes in the directions of the degrees of freedom.

i k ei k S d k , k

max

i=1...n i=1...n

S S

Sd = v a2

Sd, Sv, Sa - spectral values in relative displacements, relative velocities and absolute

accelerations, respectively

2 6.28 rad rad rad

1 43.01 .... 2 83.73 3 146.05

T1 0.146 s s s

i 1 max

max

0.00125 i 2 max

max

0.000225 i 3 max

max

0.000034

0.00036 0.000140 0.000039

m m m

max,

crest RSS

max, coron 0.3482 0.0497 2 0.0022 2 0.351 cm

The displacements caused by the earthquake are very small due to the high rigidity of the dam

profile.

Calculation of the coefficients of matrix [E] for the empty reservoir hypothesis:

1.985 1.181 0.196

[E]empty reservoir = 0.669 0.704 0.373

0.187 0.413 0.400

Verification of the accuracy of coefficients ei k from matrix [E]:

3 3 3

e

k 1

1, k 1 e k 1

2 ,k 1 e

k 1

3, k 1

Calculation of the maximum inertial forces {Fi}k, max in various natural modes in the directions of

the degrees of freedom for the empty reservoir hypothesis

651.981

Fi 1 max 828.674.kN

453.568

296.500

Fi 2 max

max

666.547 .kN

765.687

37.740

Fi 3 max

270.830.kN

568.714

77

Figure F12. Graphical representation of the inertial forces in kN, in various

natural modes for the empty reservoir hypothesis.

Calculation of the spectral vertical stresses in various natural modes at the base of the profile, for

the empty reservoir hypothesis:

upstr upstr

eam

am

vv,, av 1, max,

max, empty 282.421

kN

eam

am

v, max, empty

v , av 2 , max, 83.978

kN

down reservoir lac gol m2 down lac gol

reservoir m2

strea strea

m m

upstr

kN

am

eam max, empty

v,v , av 3, max,

9.741

down

lac gol

reservoir m2

strea

m

Calculation of the spectral shear forces in various natural modes at the base of the profile, for the

empty reservoir hypothesis:

max 1934.223 kN F T 2 , max kN F T 3,max

max 335.624 kN

Calculation of the spectral stresses and spectral shear forces at the base of the profile, in

accordance with Rosenblueth formula (RSS):

v , max

v, max RSS

294.813

kN

m2

F T

max RSS

max 2267.985 kN

78

Stress regimen σv due

to static loads for the

empty reservoir

hypothesis

Spectral stresses σv

due to seismic action

for the empty reservoir

hypothesis

Figure F13 Combining of stresses σv due to static loads with the spectral stresses

due to seismic action.

Verification of the stress regimen and sliding stability for the empty reservoir hypothesis:

2267.985

(tg ) lac gol 0.113

empty

reservoir

19980

empty

0.70

(csig

sig )rlac gol

reservoi 6.19

0.113

There are no sliding stability issues for the empty reservoir hypothesis. In the toe region, the

vertical flexural tensile stresses (σv) exceed the permissible stresses but, given the fact that the empty

reservoir hypothesis only occurs during the construction of the dam, they can be accepted.

Calculation of the maximum displacements caused by the seismic action within various natural

modes in the directions of the degrees of freedom:

i 1 max

max

0.00081 i 2 max 0.000170 i 3 max 0.000022

0.00023 0.000099 0.000023

max max

m m m

hypothesis:

max,

max, coron

crest RSS

0.243 cm

The displacements caused by the earthquake are very small due to the high rigidity of the dam

profile.

C3. Spectral analysis via the finite element method using SAP 2000

79

The instructions given for the analysis of free vibrations using the finite element method (Point

A2 - page 77) is continued.

The seismic response spectrum is defined in accordance with P100-2006 (Figure F2).

In Define Response Spectrum Functions, in Choose Function Type to Add – Choose User and

enter P100-2006Medium in Response Spectra.

Click on Add New Function.

In Response Spectrum Function Definition, P100-2006 Medium will appear in the Function

Name box

Enter 0 in Function Damping Ratio.

In Define Function, enter the following table:

Period Acceleration

0 1.

0.1 2.75

1 2.75

1.5 1.833

2 1.375

2.5 1.1

3 0.517

3.5 0.673

4 0.516

5 0.330

7 0.168

10 0.09

OK! OK!

In Define Load Pattern, click on Add New Load Pattern

In the Load Pattern Name column, enter WaterForce

In the Type column, select OTHER

In Self Weight Multiplier, enter 0. OK!

Click on DEAD and Modify / Show Load Case

In Load Case Data - Load Case Name DEAD

In Loads Applied, column Load Type, write Load Pattern; in column Load Name, write DEAD;

in column Scale Factor, enter 1. OK!

In Load Case Data / Load Case Name MODAL

in Type of Model – Eigen Vectors

in Number of Modes – Maximum Number of Modes 12

Minimum Number of Modes 1

Allow Automatic Frequency Shifting OK!

80

In column Load Case Name, write WaterForce1; in Load Case Type, write Linear Static

Click on Add New Load Case

In the column Load Case Name, write Spectral Analysis; in Load Case Type, write

ResponseSpectrum.

Click on WaterForce1 – Modify / Show Load Case

In Load Case Data – Load Case Name WaterForce1

In Load Applied, column Load Type, write Load Pattern; in column Load Name, write

WaterForce; in column Scale Factor, enter 1. OK!

In Model Combination, choose CQC; GMC f1 1.; GMC f2 0.;

Periodic+Rigid Type SRSS

In Directional Combination, choose SRSS

In Model Load Case, choose MODAL

In Loads Applied, column Load Type, choose Accel; in Load Name, choose U1; in Function,

select P100–2006Medium; in column Scale Factor, enter 1. OK! OK!

In Define Load Combinations, in Load Combinations, write EarthquakeDWH.

Click on Modify/Show Combo

In Load Combination Data/EarthquakeDWH, in Load Combination Type, select Linear Add.

In Define Combination of Load Case Results, select the data from the following table:

Spectral Analysis Response Spectrum 1.

DEAD Linear Static 1.

WaterForce1 Linear Static 1.

OK!

Click on Modify/Show Combo

In Load Combination Data/ Full Reservoir in Load Combination Type, select: Linear Add.

In Define Combination of Load Case Results, select the data from the following table:

DEAD Linear Static 1.

WaterForce1 Linear Static 1.

OK! OK!

To carry out a spectral analysis for the full reservoir hypothesis, the hydrostatic pressure shall be

introduced, with the water in the lake at level 40.00 m, by applying hydrostatic forces in the nodes of

the upstream face.

Click on node 7 (X = 0., Z = 37.50)

81

Click on Assign / Joint Loads / Forces

In Joint Forces / Load Pattern Name, select WaterForce

In Coordinate System, select GLOBAL

In Loads, in Force Global X, enter 101 56

In Options, select Replace Existing Loads.

The operations specified for node 7 shall be repeated for the other nodes of the upstream face of

the digitised profile on which hydrostatic forces are applied, in accordance with the following table:

in digitisation X m Z m kN

10 0. 33.75 234.375

14 0. 30 375.

19 0. 26.25 515.625

25 0. 22.50 656.25

32 0. 18.75 796.875

40 0. 15. 937.5

49 0. 11.25 1078.125

59 0. 7.50 1218.75

70 0. 3.75 1359.375

The resulting force in direction X in node 82 (blocked), with the coordinates (X=0, Z=0), is

equal to 733 43 kN

11

i Fi, X 101.56 234.375 .... 733.43 8006.86 kN

1

Column 1 Case Name will display the four Load Cases:

MODAL, DEAD, Spectral Analysis and WaterForce1.

In Analysis Monitor Options, select Always Show

Click on Run Now

Click on Display and successively choose to have the analysis results displayed on the monitor.

The calculation results obtained for the load combinations (FullReservoir, EarthquakeDWH) will appear

directly in Display.

The type of analysis used corresponds to a gravity dam with a foundation of infinite rigidity.

This simplification influences, to a certain extent, the analysis results.

Figure F14 shows the lines of equal stress σv (or σz) and τxz due to the dead load + hydrostatic

pressure of the reservoir at the normal retention limit (NRL) ( 40 m). It can be determined that,

throughout the entire dam body (except for one local crest zone), the stresses σv are compressions and

the stresses τxz are manifested in a downstream to upstream direction. The maximum compressive stress

reaches the value of 662 kPa on the contact surface between the dam and the foundation, in a zone near

the heel of the dam.

82

Figure F14. Lines of equal stress σz and τxz due to the dead load and the

hydrostatic pressure of the reservoir at the normal retention limit (NRL) ( 40

m).

The sliding stability of the contact surface between the dam and the foundation shall be checked

by integrating the stresses σz (vertical stresses) and τxz on the contact surface (see Figure F17), in

accordance with the following relationship:

xz d A

tg α =

H ef

s

Vef S z dA S

s

where tg α is the sliding coefficient of the structure and S – the force applied to the contact

surface by the resultant of the negative pressures.

The sliding safety coefficient (k) is determined with the following relationship:

f

k=

tg

83

For the full reservoir hypothesis, the result is:

7460

tg 0.50

18802 3880

0.70

lac plin

Kfull

reservoi 1.40

r 0.50

Figure F15. Lines of equal stress σz and τxz obtained by carrying out a spectral analysis for a horizontal

earthquake of 0.1 g, considered to comply with the P100-2006Medium spectrum.

Figure F15 shows the lines of equal stress σz and τxz, calculated by carrying out a spectral

analysis for a horizontal earthquake of 0.1 g, in accordance with the P100-2006Medium spectrum.

In the analysis, the degrees of translation freedom were considered in the nodes of the digitised

profile in both planar directions (horizontal and vertical), resulting in a total of 162 degrees of freedom

and 12 natural modes.

The degrees of vertical freedom had a significant influence on the response; therefore the stresses

σz are of a tensile nature throughout the entire dam body, reaching 840 kPa at the heel.

The following table presents the response participation factors of the natural modes. It can be

noted that modes 3 and 4 have significant participation factors in the vertical direction (z).

natural mode seconds

1 0.1445 38.82 5.08

2 0.0684 -26.64 -19.8

3 0.0452 17.21 -17.43

4 0.0418 -0.47 -30.16

5 0.0259 9.15 7.93

6 0.0215 -7.32 6.44

7 0.0206 -11.04 -7.32

8 0.0190 3.71 -13.42

9 0.0148 5.16 2.01

10 0.0144 -3.12 -5.16

11 0.0137 5.34 -4.29

84

12 0.0122 2.95 -2.73

Figure F16. Lines of equal stress σz and τxz due to the dead load + the hydrostatic pressure of the

reservoir at the normal retention limit (NLR) + a horizontal earthquake of 0.1g, in accordance with the

P100-2006Medium spectrum.

Figure F16 shows the lines of equal stress σz and τxz due to the dead load + the hydrostatic

pressure at the normal retention limit (NLR) + a horizontal earthquake of 0.1 g applied in accordance

with the P100-2006Medium spectrum. It can be noted that the stresses σz occurring in the profile body

are usually compressive stresses (maximum stress 601 kPa), except for a zone on the upper half of the

upstream face, where tensile stresses occur (maximum stress 249 kPa).

The diagrams of the stresses σz and τxz manifested on the contact surface between the dam and

the foundation due to the loads applied by the dead load + the hydrostatic pressure at the normal

retention limit (NLR) and by the dead load + the hydrostatic pressure at the normal retention limit

(NLR) + a horizontal earthquake of 0.1g applied according to the P100-2006 Medium response

spectrum, respectively, are shown in figure F17.

Stresses due to the dead load + hydrostatic pressure

compressions

upstream orientation

85

Figure F17. Diagrams of the stresses τxz and σz due to the dead load + the hydrostatic pressure at the

normal retention limit (NLR) and the dead load + the hydrostatic pressure at the normal retention limit

(NLR) + a horizontal earthquake of 0.1g, in accordance with the P100-2006Medium spectrum.

To determine the sliding stability coefficient for the contact surface between the dam and the

foundation for the hypothesis of a seismic action, the corresponding diagrams σz and τxz shall be

integrated on the contact surface, using the relationships given above. The result is that:

3678 3678

tg 0.737

8856 3880 4976

0.70

Csig.0.1g = 0.95

0.737

The sliding safety coefficient when an OBE earthquake (0.1 g) is considered is subunitary and

the profile must be corrected to meet the sliding stability requirement (the sliding safety coefficient must

be within the 1.00–1.10 range). The same conclusion was drawn from the pseudo-static analysis.

86

Annex G

A seismic analysis of the transverse profile of the earthfill dam shown in Figure G1 under the

action of an OBE (Operating Basis Earthquake) must be carried out in accordance with Regulation NP

076/2002.

Figure G1. Profile of an earthfill dam with geometrical elements and zoning of the materials

The following shall be taken into consideration in addition to the data provided in the figure:

The dam belongs to importance class II (STAS 4273-83) and importance category B (NTLH-

021).

In accordance with regulation P100-2006, the dam is located in a seismic zone characterised by

the peak value of the site ground acceleration ag = 0.24g and corner periods TB = 0.1 seconds and TC =

1.0 seconds. The seismic survey of the site has confirmed the values given in P100-2006.

The seismic response spectrum was shown in Figure F.2. (Annex F).

If using the pseudo-static method, anOBE = 0.40g but not less than 0.1g.

If using the spectral analysis method, anOBE = 0.40 g but not less than 0.1 g.

The seismic analysis shall be carried out for the hypothesis of a full reservoir, where the water

level is at the normal retention limit (NRL). The infiltration curve for the dam body is shown in Figure

G1.

The vertical component of the earthquake acceleration shall not be taken into consideration.

A. Pseudo-static method

This method shall only apply when carrying out preliminary determinations for dams belonging

to class II and importance category B (pre-feasibility and feasibility studies).

anOBE – the maximum design earthquake acceleration shall be considered constant along the

entire height of the dam. In the seismic analysis of the stability of the downstream bank, the upstream

direction of the horizontal earthquake which produces downstream inertial response forces is the

dangerous direction that must be taken into consideration.

87

Sliding surfaces shall be successively traced for the upstream and downstream faces, and

calculation strips shall be determined (i=1…n). The sliding safety coefficient (FS) shall be calculated for

each sliding surface using the following relationship:

n

i (Gi cos i U i Fi sin i ) tg i

FS = 1 (G-2)

n

i (Gi sin i Fi cos i ci li )

1

where Gi is the weight of the strip; in the zone underneath the infiltration curve, sat u n w ( sat

the saturated volumetric weight, u - the dry volumetric weight, n – porosity and w the volumetric

weight of the water shall be taken into consideration;

αi - the angle between the normal line in the middle of strip i of the sliding surface and the

vertical axis;

Ui – resultant of the infiltration water pressure on strip i;

Fi – inertial force produced by the earthquake on strip i;

φi - angle of friction of the sliding surface on strip i;

ci - cohesion of the sliding surface on strip i;

li – length of the sliding surface along strip i.

Distribution of the

response accelerations in

elevation

Marl

Figure G2. Calculation diagram using the Fellenius method of the sliding safety factor for a sliding

surface in the pseudo-static method.

88

The following table presents the calculations carried out for the sliding surface shown in Figure G2.

Table G-1

No Gi Fi Fi Fi li

of the i cos sin i Gi Gi cos sin i sin i cos Ui Ci tg i

strip kN i kN kN kN kN i kN kN/m m

kN

1 63° 0.45399 0.89101 22.05 10.01 19.65 2.20 1.96 1.00 - 0 2 0.67451

2 54° 0.58779 0.80902 577.50 339.45 467.21 57.75 46.72 33.94 - 0 9 0.67451

3 42°30' 0.73728 0.67559 918.75 677.38 620.70 91.87 62.07 67.73 - 0 7 0.67451

4 32°30' 0.84339 0.53730 1023.75 863.42 550.06 102.37 55.00 86.34 - 0 6 0.67451

5 23° 0.92050 0.39073 1063.65 979.09 415.60 106.36 41.56 97.90 - 0 5.75 0.67451

6 14° 0.97030 0.24192 971.25 942.40 234.96 97.12 23.49 94.24 62.50 0 5.50 0.60239

7 6° 0.99452 0.10453 813.75 809.29 85.06 81.37 8.50 80.92 100.0 0 5.25 0.55431

8 -2° 0.99939 -0.03490 551.25 550.91 -19.23 55.12 -1.92 55.09 100.0 0 5 0.55431

9 -10° 0.98481 -0.17365 236.25 232.66 -41.02 23.62 -4.10 23.26 50.00 0 5.60 0.55431

The following is obtained on the basis of relationship (G-2) and the data given in Table (G-1) FS

for the sliding surface shown in figure G2:

FS

20.65 471.15 688.43 636.40 513.50 329.20 165.98 35.86 17.76

3054.44

FS 1.074 (G-3)

2843.41

The minimum safety factor (FSmin) shall be determined by carrying out determinations of this

factor for other sliding surfaces, using the same methodology.

The calculations should be carried out using computer programmes.

The stability calculation of the earthfill dam profile shall be carried out using the GeoStudio

programme, namely the Slope and Seep modules for two-dimensional calculation.

The Seep module is used to determine the position of the infiltration curve for the structure

digitised into finite elements of the “Structured Quad - Integration order 4” type (Figure G3).

Height [m]

Distance [m]

89

In GeoStudio, each drawn region was allocated a type of material. The data entered are in SI

units. The regions were digitised in the “Region Properties” window (Figure G4) so that each region

contains convex quadrilateral elements with angles that are very close to a right angle and the sides ratio

is approximately unitary.

In the Seep module, the unknown quantities in the nodes are the piezometric levels. The

boundary conditions on the upstream face of the dam and the bottom of the reservoir corresponded to

the equivalent piezometric levels of the full reservoir at the normal retention limit (NRL), whereas

downstream, the piezometric levels were considered at ground height.

The hydraulic conductivity of the materials was considered to be constant and the thermal

influence was ignored (Figure G5).

This helped determine the position of the infiltration curve and the volume of water infiltrated

(Flux Sections) through the watertight diaphragm and luting shield.

90

In the Slope module, the behaviour of the material (Mohr-Coulomb) and the characteristics of

the material were determined for each region (Figure G6).

Figure G6. Slope module with the characteristics of the materials, per region.

The calculation was carried out using the pseudo-static method, with a seismic acceleration of

0.1g in the horizontal direction (Figure G7).

The Slope programme calculates the minimum sliding safety coefficients of the banks using

various methods, for the hypothesis of the pseudo-static method (Figure G8).

91

Figure G8. Sliding stability coefficients for a horizontal earthquake of 0.1 g.

Figures G9 and G10 show the sliding surfaces of the upstream and downstream faces

corresponding to the minimum safety coefficients for the action of a horizontal earthquake of 0.1 g,

determined using the Jambu method.

Height [m]

Distance [m]

Figure G9. Sliding surface of the downstream bank, corresponding to the minimum safety coefficient

determined using the Jambu method (earthquake of 0.1 g)

92

Height [m]

Distance [m]

Figure G10. Sliding surface of the upstream bank, corresponding to the minimum safety coefficient

determined using the Jambu method (earthquake of 0.1 g)

The seismic analysis using the pseudo-static method, carried out with the GeoStudio programme,

has led to subunitary safety coefficients (k=0.910) in the event of sliding of the downstream bank, which

requires the profile to be redesigned to ensure that the coefficients are within the 1.00–1.10 range.

The instructions for carrying out the spectral analysis are similar to those stipulated in Annex G

and will not be repeated.

The digitisation diagram of the earthfill dam-foundation ground assembly in the Y-Z plane is

shown in Figure G11. The dam body is digitised into 35 PLANAR elements with incompatible modes,

which are also included in the hypothesis of the planar deformation state. The foundation ground up to

bedrock level is digitised into 34 PLANAR elements similar to those in the body of the dam. The nodes

located at the lateral and lower limits of the digitised representation of the foundation ground were

blocked.

The characteristics of the materials used in the earthfill dam-foundation ground assembly are

given in the table below:

Name of m E µ Position

material kN/m3 kPa of the material

Earth1 21 40000 0.3 Dam body

Earth2 - 250000 0.3 foundation ground

Face 24 24000000 0.2 reinforced concrete

Cutoff - 21000000 0.2 diaphragm

luting shield

(diaphragm wall)

93

Figure G11. Finite element digitisation diagram.

The punctual additional masses (mhi) for the hypothesis of the full reservoir with water levels

equal to the normal retention limit (NRL) ( 16.00 m) were calculated from the hydrodynamic pressures

(phi) determined with Westergaard’s formula for inclined faces:

7 w H z

mhi = k (G – 4)

8 g

where k = 0.226 is a coefficient which takes into consideration the gradient of the face (1:2.50);

w - volumetric weight of the water; g – gravitational acceleration; H – depth of the reservoir;

z - depth of the point where the punctual additional mass is calculated.

The additional masses concentrated in the nodes have the same orientation as the corresponding

hydrodynamic forces and are given in the table below:

number direction Y direction Z

t t

1 1.72 4.30

7 6.25 15.62

13 9.01 22.50

21 11.12 27.80

33 6.16 15.40

The following table presents the hydrostatic forces developed in the nodes, calculated for the full

reservoir hypothesis (NRL 16.00 m)

number direction Y direction Z

kN kN

1 26.67 -66.67

7 160. -400.

13 320. -800.

21 480. -1200

33 293.33 -733.33

The first six natural periods of the earthfill dam profile for the full reservoir and empty reservoir

hypotheses are presented in the following table. Figure G12 shows the first four natural modes for the

full reservoir hypothesis.

94

Natural periods in seconds

Natural period T1 T2 T3 T4 T5 T6

number

Hypothesis

Empty reservoir 0.3245 0.2302 0.1958 0.1696 0.1532 0.1443

Full reservoir 0.3260 0.2308 0.1984 0.1721 0.1552 0.1483

The result is that the natural periods for the full reservoir have the same values as the natural

periods for the empty reservoir.

Figure G12. First four natural modes for the hypothesis of a full reservoir.

Figure G13 shows the lines of equal stress σz (vertical stress σv) and τxz due to the dead load +

hydrostatic pressure when the level of the water in the reservoir at the normal retention limit (NRL). The

vertical stresses throughout the entire dam body are compressive stresses and reach maximum values of

361 kPa at the point of contact with the foundation, under the crest. The shear stresses τxz have small

values, the highest of them occurring on the surface of contact with the foundation and being equal to 37

kPa.

95

Figure G13. Lines of equal stress σz and σy due to the dead load and the hydrostatic pressure of the

reservoir at the normal retention limit (NRL) ( +16.00 m).

Figure G14 shows the lines of equal stress σy; σz and τxz calculated by carrying out a spectral

analysis for a horizontal earthquake of 0.1 g, in accordance with the P100-2006Medium response

spectrum. The stresses σy can reach up to 79 kPa on the downstream face of the dam. The stresses σz are

small and do not exceed 7.4 kPa in the central zone, on the dam-foundation contact surface. The

maximum stresses τxz of 64 kPa also occur in this zone.

96

Figure G14. Lines of equal stress σy; σz and τxz determined by carrying out a spectral analysis under the

action of a horizontal earthquake of 0.1 g, in accordance with the P100-2006Medium seismic response

spectrum.

The following table presents the response participation factors of the natural modes.

Number of the Uy Uz

natural mode

1 44.814 -1.2521

2 -1.8120 -34.3772

3 0.5785 -3.6721

4 0.3347 -21.2649

5 -1.2424 -14.0669

6 6.1946 -2.3458

7 -2.2439 -11.2281

8 -7.3944 5.5837

9 1.8995 -2.0417

10 -1.0033 -6.0747

11 -2.9392 -2.5874

12 -1.1047 -5.3454

The result is that the natural modes 1 and 6 have mainly horizontal participation factors, whilst

modes 2, 4, 5 and 7 have mainly vertical participation factors.

Figure G15 shows the lines of equal stress σz and τxz due to the dead load + hydrostatic pressure

at the normal retention limit (NRL) + a horizontal earthquake of 0.1g applied in accordance with the

P100-2006Medium seismic response spectrum. The stresses σz are compressive stresses which can reach

maximum values of 341 kPa in the central area of the dam-foundation interface. The upstream face

displays a local zone at the crest where small tensile stresses σz with maximum values of up to 12 kPa

occur. The stresses τxz can reach maximum values of up to 61 kPa on the contact surface between the

dam and the foundation, in the upstream vicinity of the zone below the crest.

97

Figure G15. Lines of equal stress σz and τxz due to the dead load + the hydrostatic pressure of the

reservoir at the normal retention limit (NLR) + a horizontal earthquake of 0.1 g, in accordance with the

P100-2006 Medium spectrum.

The level of stress developed in the dam-foundation ground assembly under the action of a

horizontal earthquake of 0.1g shall be within permissible limits. The stress spectra σz and τxz can be used

to determine the sliding stability coefficients for various sliding surfaces of the dam [2].

98

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