-| Training | Aids for Dam Safety MODULE: EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATIONTraining Aids for Dam Safety MODULE: EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Technical Consultant Peele of ReclamationPREFACE ‘There are presently more than 80,000 dams in use across the United States. Like any engineering works, these dams require continual care and maintenance, first to ensure that they remain operational and capable of performing all intended purposes, and then to preclude endangering people and property downstream. The safety of all dams in the United States is of considerable national, state, and local concern. Given that, the principal purpose of the TADS (Training Aids for Dam Safety) program is to enhance dam safety on a national scale. Federal agencies have responsibility for the safe operation, maintenance, and regulation of dams under their ownership or jurisdiction. The states, other public jurisdictions, and private owners have responsibility for the safety of non-Federal dams. The safety and proper custodial care of dams can be achieved only through an awareness and acceptance of owner and operator responsibility, and through the availability of competent, well-trained engineers, geologists, technicians, and operators. Such awareness and expertise are best attained and maintained through effective training in dam safety technology. Accordingly, an ad hoc Interagency Steering Committee was established to address ways to overcome the paucity of good dam safety training materials. The committee proposed a program of self-instructional study embodying video and printed materials and having the advantages of wide availability/marketability, low per-study cost, limited or no professional trainer involvement, and a common approach to dam safety practices. 7 ‘The 14 Federal agencies represented on the National Interagency Committee on Dam Safety fully endorsed the proposed TADS program and have underwritten the cost of development. They have also made available technical specialists in a variety of disciplines to help in preparing the instructional materials. ‘The states, through the Association of State Dam Safety Officials, also resolved to support TADS development by providing technical expertise. ‘The dam safety instruction provided by TADS is applicable to dams of all sizes and types, and is useful to all agencies and dam owners. The guidance in dam safety practice provided by TADS is generally applicable to all situations. However, it is recognized that the degree to which the methods and principles are adopted will rest with the individual agency, day owner, or user. The sponsoring agencies of TADS assume no responsibility for the manner in which these instructional materials are used or interpreted, or the results derived therefrom.ACKNOWLEDGMENTS TADS STEERING COMMITTEE James R. Graham, Bureau of Reclamation, Chairman ‘Arthur H. Walz, Corps of Engineers William S. Bivins, Federal Emergency Management Agency Donald L. Basinger, Soil Conservation Service Joseph J. Ellam, Association of State Dam Safety Officials (Commonwealth of Pennsylvania) Marshall L, Silver, U.S. Committee on Large Dams TADS PROJECT MANAGER Chris J. Veesaert, Bureau of Reclamation ‘TADS TECHNICAL ACTIVITIES COMMITTEE Duane E. Bankofier, Chairman, Corps of Engineers Robert L. James, Corps of Engineers, Past Chairman (Retired) Norman Miller, Soil Conservation Service, Vice Chairman Chris J. Veesaert, Bureau of Reclamation Samuel M. Huston, Tennessee Valley Authority Harold C. Buttrey, Tennessee Valley Authority (Retired) Constantine G. Tjoumas, Federal Energy Regulatory Commission Alan E, Pearson, Association of State Dam Safety Officials (State of Colorado) TADS SPONSORS (Representing Interagency Committee on Dam Safety) Bureau of Reclamation Corps of Engineers Federal Emergency Management Agency Soil Conservation Service Federal Energy Regulatory Commission ‘Tennessee Valley Authority Forest Service Bureau of Land Management National Park Service Bureau of Indian Affairs Fish and Wildlife Service Department of Energy Nuclear Regulatory Commission International Boundary and Water Commission TADS SUPPORTING ORGANIZATIONS Association of State Dam Safety Officials U.S. Committee on Large DamsEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION TABLE OF CONTENTS UNIT I. OVERVIEW INTRODUCTION BACKGROUND INFORMATION Evaluating Embankment Dam Stability Safety Evaluation Requirements. Effect Of Seepage On Embankment Dam Stability Embankment Dam Behavior ......-...- Historical Perspective On Embankment Dam Incidents SUMMARY ... 2.0.00. 0 0 cee eee eee eee tee eee eee eee eee ‘UNIT II. COMMON CONSIDERATIONS OVERVIEW DOCUMENTATION REVIEW . Introduction ...... General Guide To Data Review Dam And Foundation Materials Homogeneous Dams Zoned Earth And Rockfil IS - Rockfill Dams With Impervious Membranes INSTRUMENTATION . Introduction Instrumentation Data MODES OF FAILURE . Introduction. . Causes Of Failure . Nonearthquake Contiti Earthquake Conditions . Stability Problems... . Ill 1-13 m4EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION TABLE OF CONTENTS UNIT II. COMMON CONSIDERATIONS (Continued) ‘DEVELOPMENTS IN EMBANKMENT DAM ANALYSIS, Introduction ACh Analysis Limitations. 7 Analysis Of Existing Dams Versus New Dams. . Analysis Organization .....-+ +2. 000s ee SUMMARY UNIT I. SETTLEMENT AND DEFORMATION OVERVIEW BACKGROUND INFORMATION, Introduction Types Of Deformations Deformations Of Interest Uniform Movements Differential Movements Lateral Movements Significance Of Settlements General Deformation Behavior. ‘Acceptable Deformational Behavior INVES’ El FOR PROBLEM VERIFICATION . . Introduction ..... Problem Identification | TON ANALYTICAL METHODS introduction. . Analysis Of Settlement Problems Fl Principal Steps In A Settlement Analysis... Graphical Evaluation Of Settlement Records Conventional One-Dimensional Method Finite Element Method ...... 2.0.04. mis Is I-15 0-16 IL-7 H-18 TIL-10 I-10 T-H TH-16 il-16 0-16 17 TH-19 TiL-20 mL21EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION TABLE OF CONTENTS UNIT II. SETTLEMENT AND DEFORMATION (Continued) REMEDIAL ACTIONS Introduction ..........605 Emergency And Temporary Measures Long-Term Measures SUMMARY «00.0. c cece cece e cece eee ete eee ee UNIT IV. STATIC STABILITY OVERVIEW 0... eee eee eee tee eee Introduction - + jficant Events For Static Instability . c Instability Indicators BE AND Sy aeoe oN or Peon DAT Introduction ql Design, As-Bi Loading Conditions : Steady-State Seepage Conditions Reservoir Operation Conditions Unusual Conditions SOIL SHEAR STRENGTH Introduction ..... Shear Strength Tests. . A ‘Strength Tests For Steady-State Seepage Condition Strength Tests For Rapid Drawdown Condition. Selection Of Shear Strength Values ANALYTICAL METHODS Introduction ..... Effective Stress Versus Total Stress ‘Analysis Pore Pressure . . Seepage Force .... Static Stability Analysis Methods 1-22 W-22 M-22 1-22 11-24EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION TABLE OF CONTENTS UNIT IV, STATIC STABILITY (Continued) ANALYTICAL METHODS (Continued) ' Limit Equilibrium Method Trial Shear Surfaces :....... Slope Stability Analysis Strategy Principal Steps In Limit Equilibrium Analysis. Analysis Results. 5 Finite Element Method Principal Steps In Finite Element Analysis. Analysis Results. . REMEDIAL ACTION Intcoduction ...... Remedial Measures . . SUMMARY BACKGROUND INFORMATION . . Introduction .........-.. When Dynamic Analysis Is Warranted Modes Of Failure... 2.0.2... Objectives Of Dynamic Stability Analy: REVIEW AND EVALUATION OF PROJECT DATA . Introduction... 0.20.22 sce eee eee eee Considerations For Performance Under Dynamic Loading - Introduction ........ Fi Geophysical In Situ Investigations. - Laboratory Testing Dynamic Property Tests. ‘Synthesis Of Dynamic Property Cyclic Strength Tests. Soil Liquefaction Tests IV-14 1V-16 IV-18 IV-18 Iv-19 IV-19 IV-19 Tv-20 IV-21 IV-21 I-21 I-22 V-1 v2 v2 v3 v4 v5 va va Va v-10 v-10 V-10 V-12 v-12 V-13 V-13 V-16EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION TABLE OF CONTENTS UNIT V. DYNAMIC STABILITY (Continued) ANALYTICAL METHODS Introduction 5 Loading Conditions. . : Pseudostatic Versus Dynamic Response Methods . - Effective Stress Versus Total Stress Analy: ‘Types Of Engineering Analyses 7 Problem And Time Dimensions Seismic Analysis Methods . . Pseudostatic Method. . Dynamic Displacement Analysis Method Ground Response Analysis Method. . . Pore Pressure Response Analysis Method Finite Element Method . aera Potential For Liquefaction . . Liquefaction Potential . . Loss Of Stability . Deformation... Order Of Assessment . REMEDIAL ACTION Introduction. . Remedial Measures SUMMARY APPENDIXES ‘Appendix A. Glossary... ‘Appendix B. References... . ‘Appendix C. Additional Reading V-17 V-1T V-IT V-17 V-18 v-19 v2EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION LIST OF FIGURES AND TABLES HIGURE# TITLE I-1@) 1-10) n2 T-1 1-2 1-3 14 IV-1(a) IV-1(b) V-1(@) V-10) v2 v3 TABLE # i m2 IV-1 Typical Cross Sections For Homogeneous And Zoned Embankment Dams .. . : Typical Cross Sections For Full Hydraulic Fill Dams... eee eevee eee eee ceee eee e eevee eee Schematic Description Of Failure Modes In Embankment Dams .......---2 220000 eeeeee Schematic Illustrations Of Embankment Deformations .... 7 Stockton Creek Dam Failure ....... Steps For The Use Of Graphical Method . . - Conventional Consolidation Settlement Method Schematic Of Park Dam Slope Failure... ‘Schematic Of San Luis Dam Slope Failure . . ‘Schematic Of Slide At Fort PeckDam .........---20 0005 ‘Schematics Of Cross Sections Through Hebgen Dam Before And After Earthquake 22... 2... ...... 00000 Approximate Strain Range Of Tests Used To Obtain Dynamic Soil Properties. . . ‘Schematic Description Of Effective And Total Stress Dynamic Analysis 2... 2.2.2 0000-2ee eee eee ee TITLE Historical Record Of Embankment Dam Failures And Accidents To 1979 For Dams Of Heights 50 Feet Or Greater 0... eee c eee eee eee ee Cracking Of Embankment Dams 7 Components Of A Settlement Analysis Details Of Unknowns, Assumptions, And Equations For The Slope Stability Problem As Posed To The Limit Equilibrium Method .. 2... 200-002. 0.0 eee e eee 16 Ik7 I-i2 ms m7 T-19 11-20 IV-17 1V-17 V-14 v-20 Page is W-12 I-18 IV-15MODULE INTRODUCTIONEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION MODULE INTRODUCTION OVERVIEW OF THIS MODULE This module provides information about embankment dam stability, including settlement and deformation. It is suggested that this module be read in its entirety to gain a meaningful perspective of the subject matter. The following topics will be covered: + The purpose of evaluating the structural stability of existing embankment dams, + Types of data to be reviewed and evaluated before an actual investigation can be performed, * Methods that may be used to conduct stability analyses, and + Potential remedial actions, Due to the wide variety of geologic materials used in embankment dam construction and the diverse geologic environments in which embankment dams are built, it is not possible to present all conditions individually in this module, However, the basic principles and general considerations for safe and successful performance of existing embankment dams will be described. A realistic understanding and proper application of these ideas should enable site-specific use of the information presented. Slope instability is one form of stability problems for existing embankment dams. Other conditions endangering the stability of an embankment dam are excessive deformations, excessive stresses, overtopping, and internal erosion. These forms of embankment instability can occur during routine and unusual conditions. This module is intended to provide general information on quantitative assessment of embankment dam stability under static and dynamic loading conditions. However, it is not the objective of this module to provide specific information on any particular methodology or procedure used in assessing embankment dam stability. For such details, the reader should refer to other technical literature on the subject. Some of this literature is included in Appendix C. The emphasis of this module is to discuss what needs to be done for quantitative assessment of stability of existing embankment dams, rather than on how to do it. It is also not the intent of this module to provide information on analyzing embankment dam failures.EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION MODULE INTRODUCTION HOW TO USE THIS MODULE This module is designed to be used in conjunction with other Training Aids for Dam Safety (TADS) modules. The TADS Learner's Guide lists all of the TADS modules and presents a recommended sequence for completing the modules. You may want to review the Learner’s Guide before beginning this module. CONTENTS OF THIS MODULE For clarity of presentation, the evaluation of settlement and deformation, static stability, and dynamic stability of existing embankment dams ate presented in separate units. ‘The commonali- ties in an embankment dam stability and deformation evaluation, such as general data review including instrumentation), modes of failure, and analysis considerations are discussed together in a separate unit, This module is divided into five units followed by three appendixes: + Unit 1. Overview: Presents background information on evaluating embankment dam stability, safety evaluation requirements, the role of seepage in embankment dam stability, embankment dam behavior, and historical perspective on embankment dam incidents, + Unit Il. Common Considerations: Presents common considerations for evaluating the stability of an embankment dam, including the types of data to be reviewed and evaluated, modes of failure, and embankment dam analysis considerations. + Unit IML Settlement And Deformation: Discusses how settlement and deformation can affect the stability of an embankment dam, what type of project data should be reviewed and analyzed, methods of analyses, and what remedial actions can be taken to alleviate settlement and deformation problems. * Unit IV. Static Stability: Presents information on how static instability affects an embankment dam, what type of project data should be reviewed and analyzed, methods of analyses, and what remedial actions can be taken to improve static stability. + Unit V. Dynamic Stability: Describes how dynamic instability affects an embank- ment dam, what type of project data should be reviewed and analyzed, methods of analyses, and what remedial actions can be taken to improve dynamic stability. iiEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION MODULE INTRODUCTION CONTENTS OF THIS MODULE (Continued) + Appendix A. Glossary: Defines technical terms used in the module. + Appendix B. References: Lists references that can be used to supplement this module, + Appendix C. Additional Reading: Provides articles that supplement this module. DESIGN OF THIS MODULE This module is comprised of text instruction only. There is no accompanying video presentation. iiUNIT I OVERVIEWEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION I, OVERVIEW: INTRODUCTION INTRODUCTION An embankment dam must be able to safely withstand static and dynamic loads that may be imposed upon it during its life. If you are an owner or otherwise have responsibility for an ‘embankment dam, inherent in that responsibility is your obligation to ensure the static and dynamic stability of the dam. ‘This unit provides an overview for evaluating embankment dam stability, including: Safety evaluation requirements Effect of seepage on embankment dam stability Embankment dam behavior Historical perspective on embankment dam incidents ElEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION I, OVERVIEW: BACKGROUND INFORMATION INTRODUCTION Embankment dams have been built since early times. The general philosophy in design of these dams has been to utilize locally available geologic materials. Design practices have evolved with improved understanding of soil behavior. Construction techniques have evolved with advances in earthmoving and compaction equipment. Embankment dams are a preferred choice for sites with wide valleys and difficult foundation conditions because of their flexibility. However, soil is a difficult engineering material because of its three-phase nature, diverse composition, and our incomplete understanding of its behavior under all of the stress and boundary conditions usually encountered in the field. Soil behavior under load is, in general, highly nonlinear, time dependent, and strain softening. The geologic past of a damsite significantly affects the in-service performance of the dam, but this information is generally not completely known. The design and construction documentation of older embankment dams can be very sparse. Similarly, information on dam instrumentation and performance over the years may be incomplete or nonexistent. Even for relatively newer dams, where records are extensive, there may be different levels of completeness of records and different degrees of quality in desiga and construction. EVALUATING EMBANKMENT DAM STABILITY Soil mechanics, as an engineering science, is a relatively young discipline in engineering education and practice. Earthquake engineering of embankment dams is even younger and somewhat in its formative stages. Although a great deal has been learned and put to use in design and construction of newer dams, there exist in the field a large number of dams designed and built without the benefits of modern understanding of soil behavior and improved construction techniques. ‘When combined, these factors make the stability evaluation of existing embankment dams a difficult and challenging engineering undertaking, Because of uncertainties in problem definition, and an incomplete understanding of soil behavior under all loading conditions encountered, the stability evaluation of existing embankment dams must proceed on a conservative basis.. 12EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION 1, OVERVIEW: BACKGROUND INFORMATION EVALUATING EMBANKMENT DAM STABILITY (Continued) Engineers responsible for remedial action usually do not have the full range of options to deal with potential problems that were available at the time the original project was conceived. ‘They must cope with existing conditions, including the presence of the dam itself. Being denied direct access to the foundation under the dam and its appurtenances for inspection and remedial treatment, the engineers must sometimes devise imaginative ways to circumvent the handicap. Often, economics rule against or limit the time available for lowering the reservoir water level to facilitate work on the upstream parts of the dam, the reservoir floor, or on the abutments below the normal water surface. For these reasons, remedial work may be more difficult and more expensive than corresponding categories of work would have been at the outset of the project. The structural safety of an embankment dam is dependent primarily on the absence of excessive deformations and pore fluid pressure build-up under all conditions of environment and operation, the ability to safely pass floodflows, and the control of seepage to prevent migration of materials and thus preclude adverse effects on stability. SAFETY EVALUATION REQUIREMENTS All embankment dams in service, regardless of their age, should be systematically evaluated for their safe performance under all operational conditions. The principal requirement for dam safety evaluation is to protect public safety, life, and property. Hence, all dams must function safely under routine everyday operations as well as under unusual conditions such as floods and earthquakes. ‘The potential for adverse incidents, such as excessive seepage, instability, and major damage during floods and earthquakes, needs to be assessed to ensure that the safety of people and property will not be endangered by the dam, Ifa risk does exist, corrective actions need to be taken, EFFECT OF SEEPAGE ON EMBANKMENT DAM STABILITY All embankment dams are subject to some seepage passing through, under, and around them, If uncontrolled, seepage may be detrimental to the stability of the structure as a result of excessive pore water pressures, or by internal erosion. For existing embankment dams, all seepage records compiled during the existence of the structure should be reviewed for significant trends or abnormal changes. The cause of any abnormality should be determined as accurately as possible. Any record or evidence that seepage flows have removed any significant amount of fine-grained soil must be evaluated through field investigations. Turbid flow issuing from a dam or its foundation may be an indication of internal erosion. Seepage should be effectively controlled to preclude structural damage or interference with normal operations. Refer to the TADS module entitled Evaluation of Seepage Conditions for more information on seepage related issues. 13EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION I, OVERVIEW: BACKGROUND INFORMATION EMBANKMENT DAM BEHAVIOR All embankment dams in service deform and settle under self-weight and imposed loads. In general, deformations of embankment dams may result in aesthetically unacceptable surficial appearance. However, excessive deformations indicate internal distress of the dam, The static response of a dam is due to the internal stresses caused by the weight of a dam and routine operations of the reservoir, including reservoir drawdown. The flood condition is transitory, but generally treated as a static condition for slope stability analysis purposes. ‘The dynamic response of a dam is due to the interral stresses caused by an earthquake and is in addition to its static response. At the end of an earthquake activity, a new state of the embankment dam prevails and an altered static response continues. ‘The difference in the state of an embankment dam before and after an earthquake can be small or large, depending on the earthquake characteristics, site geology, and the embankment characteristics. These items will be discussed in later units. It is significant to note that the above- mentioned physical sequence in field response under various loading conditions should be reflected in stability assessment to the extent possible. HISTORICAL PERSPECTIVE ON EMBANKMENT DAM INCIDENTS ‘The records of dams indicate that on the average about 10 significant dam failures have occurred somewhere in the world in each decade, and many more damaging near-failures have occurred (Safety of Dams: Flood and Earthquake Criteria, National Academy Press, 1985). Earthfill dams have been involved in the largest number of dam failures, followed in order by gravity dams, rockfill dams, and multiple and single arch dams. That more troubles would occur among the more prevalent dam types should not be surprising. Considering the number of failures compared to total number of dams built for each type, embankment dams show a comparatively good record. Major embankment dam failures in the United States include: ‘Teton Dam (1976); Buffalo Creek Dam (1972); Baldwin Hills Dam (1963); Lower Otay Dam (1916); Walnut Grove Dam (1890); South Fork Dam (1889); and Mill River Dam (1874). ‘The major embankment dam incidents in the United States include: San Luis Dam (1981); Lower and Upper San Fernando Dams (1971); Fontenelle Dam (1965); Hebgen Dam (1959); and Sheffield Dam (1925). Dams and Public Safety by R. B. Jansen; Advanced Dam Engineering for Design, Construction, and Rehabilitation edited by R. B. Jansen; and Development of Dam Engineering in the United States edited by E. B. Kollgaard and W. L. Chadwick give detailed descriptions on these and other dam incidents. 4EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION 1, OVERVIEW: BACKGROUND INFORMATION HISTORICAL PERSPECTIVE ON EMBANKMENT DAM INCIDENTS (Continued) There are several instances in which potential instability problems were identified during routine safety evaluations and corrective actions taken to avert possible dam incidents from happening. Jackson Lake Dam, Navajo Dam, Wolf Creek Dam, Walter F. George Dam, and Clemson Lower Division Dam are some of the embankment dam examples where major corrective actions were taken to improve their stability in anticipation of their problems becoming serious and potentially leading to significant dam failures in the future. TABLE I-1, HISTORICAL RECORD OF EMBANKMENT DAM FAILURES AND ACCIDENTS TO 1979 FOR DAMS OF HEIGHTS 50 FEET OR GREATER CAUSE FAILURE Overtopping 18 Flow Erosion 14 Slope Protection Damage - Embankment Leakage, Piping 2B Foundation Leakage, Piping iL Sliding Deformation Deterioration Earthquake Instability Faulty Construction Gate Failure TOTAL From: — Development of Dam Engineering in the United States by E. B. Kollgeard and W. L. Chadwick, (Bds.). Pergamon Press, New York, 1988,EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION 1. OVERVIEW: SUMMARY SUMMARY: BACKGROUND INFORMATION Unit I provided some background information that will be helpful when preparing to evaluate the stability of an embankment dam, particularly: safety evaluation requirements, role of seepage on embankment dam stability, and embankment dam behavior. This unit also provided a historical perspective on embankment dam incidents, and instances where potential instability problems had been identified during routine safety evaluations, 16UNITII COMMON. CONSIDERATIONSEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Ii. COMMON CONSIDERATIONS: OVERVIEW INTRODUCTION ‘The analysis of existing dams is usually not as detailed as the procedures involved in the design of new dams. Some critical areas in an embankment and/or foundation may require a detailed review. Primarily, the review is intended to ensure the presence of safe and adequate embankment danis under routine, everyday operations as well as under unusual conditions such as floods and earthquakes. In performing this review, you should examine all available data to determine if problem areas have been recognized, and io identify information that can be used to evaluate the structural adequacy of the existing embankment dam, ‘The need for supplemental information should also be identified during this review. Unit II provides common considerations for evaluating the stability of an embankment dam, including making a general review and evaluation of project data as a part of a stability or deformation analysis. Your review of project data should include the following types of information: + Design and as-built construction data, including geologic site conditions, hydrology, structural analyses, factors of safety, geotechnical analyses, design documents, as- built drawings and records, and as-built survey data. . Inspection reports. + Field explorations and laboratory testing. . Instrumentation data. The as-built design and construction of a dam should be compared with current practice and regulatory requirements. Unit I will also describe the various modes of failure under nonearthquake and earthquake conditions, as well as common stability problems associated with embankment dams. ly, a brief discussion of the developments in embankment dam analysis including analysis, ions, analysis of existing dams versus new dams, and analysis organization is provided. IlEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION |. COMMON CONSIDERATIONS: DOCUMENTATION REVIEW INTRODUCTION It is essential to know and understand the design considerations for loading conditions, instrumentation, construction details, and reservoir operations for a particular embankment dam under study. This information will help you in several ways while evaluating the stability of the dam, For example, the loading conditions considered in the design stage can be compared with the loading conditions considered relevant for the safety evaluation. In general, the stability of an embankment dam cannot be considered adequate for ioading conditions which exceed those considered in the initial dam design without proper verifications. GENERAL GUIDE TO DATA REVIEW You may use the following list of items as a general guide in reviewing data for an existing embankment dam: + Design Data Review Foundation Geologic Data Fi Geologic description - Fractures, joints = Cementing - Previous loadings ry Material characteristics - Permeability tests ~ _Insitu tests (Standard Penetration Test (SPT), Cone Penetration Test (CPT), Vane Shear) - Potential weak zones or materials - Faulting, seismicity - Aerial photographs Laboratory Test Data - Types of tests performed - Results of tests - Source of material (compare to actual material used in construction) +12EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. COMMON CONSIDERATIONS: DOCUMENTATION REVIEW GENERAL GUIDE TO DATA REVIEW (Continued) Field Exploration Test pits Drill holes ‘Trenches Design Layout Foundation treatment Foundation excavation Internal zoning of dam Methods of controlling seepage Stability Analyses Performed Sections analyzed (compare with actual as-built geometry) Material properties used (compare with laboratory tests for both pre- and post-construction, typical values of similar materials) Pore pressure assumptions (how were they derived, are they reasonable, do they compare with observed conditions) Loading conditions analyzed (do they agree with actual and future loadings) Slope stability failure surface configuration (were all potential problem surfaces analyzed, such as potential wedge failure surfaces through weak layers) Analysis method used and factors of safety obtained (are they considered appropriate by modern practice) . Construction Data Review Geologic Data Geologic mapping Additional explorations Note differences between conditions assumed during design and those exposed during constructionEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. COMMON CONSIDERATIONS: DOCUMENTATION REVIEW GENERAL GUIDE TO DATA REVIEW (Continued) Foundation Excavation and Treatment - Design - Construction reports and photographs Source of Embankment Materials - Were the actual materials used different than assumed in design (if ‘so, what properties, such as strength, durability, permeability, etc. are different and could they adversely affect performance) Embankment Construction - ‘How was material placed - Type of equipment - Compaction performed 7 Moisture content and how added - Granular material--look at the percentage of fines. Note any zoning changes made ducing construction, Laboratory Tests - What tests were performed - What material was tested and how representative was it - Frequency of tests - Results + Performance Data Review = Seepage 7 Deformations - Instrumentation 14EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. COMMON CONSIDERATIONS: DOCUMENTATION REVIEW DAM AND FOUNDATION MATERIALS Stresses and deformations in an existing embankment dim are due to self weight, applied static and dynamic loads, and are also influenced by the deformation and strength response of its foundation to the same loads. Therefore, it is essential to know the spatial distribution of materials in the body of the dam and its foundation. This information is generally obtained from the design and construction documents. However, if these documents are incomplete or unavailable, the following information may be helpfal in estimating materials within the body of a dam under study. Existing dams can be viewed in light of knowledge of studies and reports on similar dams of the same vintage to gain an understanding of probable design and construction methods. Some field explorations may be required to acquire information about the foundation materials and verify the estimated embankment dam materials. Figure IL-1 is a sale description of typical erss sections of embankment dams (Engineering Cocps of Engineers, 1982; T. M. eps, 1978). Depending upon the relative proportion and kinds of materials used, embankment dams are divided into three broad categories: . Homogeneous Dams . Zoned Earth and Rockfill Dams . Rockfill Dams With Impervious Membranes 1SEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. COMMON CONSIDERATIONS: DOCUMENTATION REVIEW DAM AND FOUNDATION MATERIALS (Continued) FIGURE U-1(a), TYPICAL CROSS SECTIONS FOR HOMOGENEOUS AND ZONED EMBANKMENT DAMS: |cunen on vermicat oRAIN 6 = ty HORIZONTAL ORAINAGE LAYER (F aU lich i Soil a. Homogeneous dam with intemal drainage on impervious foundation Rock b. Central core dam on impervious foundetion «. Inclined core dam on impervious foundation meses F ‘BLANKET Ih Pe SLURRY TRENCH PERVIOUS STRATUM Soil ¢. Homogeneous dam with internal crainage on pervious foundation "RELEF WELLS LEGEND 1 = Impervious £, Dam with upstream impervious zone on pervious foundation P = Pervious R = Random or Rockfill F = Select Material 1-6EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. COMMON CONSIDERATIONS: DOCUMENTATION REVIEW DAM AND FOUNDATION MATERIALS (Continued) FIGURE II-1(b). TYPICAL CROSS SECTIONS FOR FULL HYDRAULIC FILL DAMS silt7” Sand’ Gravel (9) Glacial borrow {b) Alluvial borrow Clayey siit ‘Clayey silty sand with gravel (¢) Residual soil borrow 7EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. COMMON CONSIDERATIONS: DOCUMENTATION REVIEW Homogeneous Dams Homogencous dams are usually constructed entirely or almost entirely of a single impervious soil. Sometimes this type of dam also has an internal drainage system. They are usually used for low to moderate height applications of up to 150 feet. A homogeneous dam is generally more massive and usually has flatter slopes than a zoned embankment of the same height. Zoned Earth And Rockfill Dams Zoned earth and rockfill dams are constructed of distinct and separate fill zones. Typically, this type of dam has a central impervious soil core. Adjacent to the core are transition filters between the fine-grained core and coarse rockfill or randomfill shells. ‘The impervious core may be centrally located, placed along the sloping upstream face of the dam, or located in an intermediate position. For applications exceeding the height range for homogeneous dams, and compressible foundation materials, a zoned dam is normally the choice. Hydraulic Fill Dams ‘The cores of some older dams have been placed by hydraulic means. These hydraulic fill dams frequently contain large masses of loose to very loose soils in them because of the dumping and sluicing of the soils during construction. Adequate soil data (for example, SPT blow counts, gradation analysis, and phreatic surface) must be available to evaluate the liquefaction potential and stability of these dams, Rockfill Dams With Impervious Membranes Rockfill dams with impervious membranes are used where there is a shortage of locally available fine-grained soils needed to form an impervious core. In this situation, the impervious membrane may be an upstream asphaltic concrete or reinforced concrete face slab; or on smaller dams, a stee! or plastic liner, or a central asphalt or concrete core wall. LsEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il, COMMON CONSIDERATIONS: INSTRUMENTATION INTRODUCTION ‘The instrumentation in a dam may be grouped into two categories: + The original instrumentation that was planned and installed for monitoring dam performance and safety. + Any additional instrumentation that may have been installed during the construction 7 of post-construction periods to address specific problems or concerns. All data, whether from original instrumentation or instruments added later, should be reviewed. INSTRUMENTATION DATA Reviewing the instrumentation data from an embankment dam and its foundation helps identify information that could either be used in a stability analysis, or in verifying analysis results by comparing them with the measured responses. For example, measured piezometric data could be used in static slope stability analysis; measured earthquake motion data could be used to verify the correctness of dynamic stability analysis procedure by comparing the calculated results with the corresponding measured responses. The existing conditions of interest in dam behavior include: * Pore water pressure and seepage + Stresses and deformations + Earthquake motions The type, number, and location of instruments in the body of an embankment dam and its foundation vary considerably between projects, There has been 2 need for increased instrumentation of newer projects due to the utilization of damsites having weak foundation strata and the construction of ever higher earth and rockfill dams. Embankment dams designed and built since the 1930s usually have an array of instruments installed in them to measure performance. 1-9EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION I. COMMON CONSIDERATIONS: INSTRUMENTATIO! INSTRUMENTATION DATA (Continued) Commonly used instruments include: + Piezometers (open or closed systems located in the foundation and embankment) + Surface monuments (embankment and structural measurement points) + Baseplates at the dam-foundation contact + Inclinometers * Movement indicators (at joints and cracks) + Internal vertical and horizontal movement devices and strain indicators + Earth pressure cells + Accelerometers (in areas of seismic activity) For more information about these devices, refer to the TADS module, Instrumentation for Embankment and Concrete Dams. During the inspection of many older dams in the 1970s and 1980s, it was often found necessary to install or replace primitive instruments with modern instruments to measure deformations, pore water pressures, and seepage conditions accurately. I-10EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. COMMON CONSIDERATIONS: MODES OF FAILURE INTRODUCTION Every mass of soil located beneath a sloping ground surface has a tendency to move downward and ‘outward under the influence of gravity. Such a mass can fail in several different ways depending upon: The stratigraphy of the component materials of the deposit The orientation of the foundation on which it rests Pore fluid pressure ‘Strengths of component materials External loading conditions Figure JI-2 on the following page is a schematic description of various modes of failure for embankment dams and the associated operational or loading conditions. Stability failures are sometimes confined only to the embankment but often involve the foundation. Failures have occurred slowly, as continuous or intermittent creep; they have also occurred suddenly without apparent warning. Often rapid failures are preceded by a period of slow movements. Therefore, it pays to review the instrument data periodically to recognize a stability problem in the early stages of its development, perform the required analyses, and implement necessary corrective actions to stop the problem from getting worse. Failure modes due to excessive deformations, slope instability, internal erosion, and overtopping are the same for static and dynamic loading conditions. Construction related failures are not normally a concern in the safety evaluation of existing dams, and erosion related failures are discussed in the TADS module on Evaluation of Seepage Conditions. CAUSES OF FAILURE It is essential to investigate and understand possible causes of various forms of embankment instability so that effective and efficient corrective actions can be designed and implemented to mitigate a problem. Nonearthquake Conditions In general, undet nonearthquake conditions, an embankment dam may fail due to: + Overtopping. Overtopping of a dam can be due to: = Inadequate spillway capacity ~ Large, rapid landslides in the reservoir - Too little freeboard WelEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. COMMON CONSIDERATIONS: MODES OF FAILURE Nonearthquake Conditions (Continued) FIGURE I-2, SCHEMATIC DESCRIPTION OF FAILURE MODES IN EMBANKMENT DAMS. During construction usually ——7~———_ During operation (usually) ZT, vy westngcsrcey tales | ger ten — Srengih exceeding o) with sip sutace ‘foundation sot siding inf maity Saad ly sweeagorsbuning a upsteanpon ofthe dam j— _Streng leakage [4 Boson o fale cf slope protection — dishing dveto racks in settled or fractured cove @ Gegradaton| [deterioration of waterightness == teens erdranage systems [Bg é BE. Bue to Oe ae eect era pa Tye] — Excessive deformation —{ heaving or settlement Cracks “> leading to piping effects “seueture ‘yom fra] inaanby —p mga Zr duo satel 42] irae mm In foundation sol or doutments Gnctushely effects of uot pressure) g in foundation soil: a 8 \— Licpetection g e ae orm 2 indem body — . j— insufficient spi Ineqequate aplivy design due to ca Lo inscorte desi food estimation oveogpng [cult works doroge [sides in reson vnconsiered events, — ia ea }— failure of a dam upstream: thes M112EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. COMMON CONSIDERATIONS: MODES OF FAILURE Nonearthquake Conditions (Continued) + Slope Failure. Slope failures and failures by spreading are due to: - Design deficiencies - Neglected remedial actions + Piping. Piping is due to initiation and continuation of internal erosion along paths of least resistance, such as: - Along outlet conduits - Through cracks across the impervious core of the dam - In inadequately compacted core material at its contact with uneven surfaces - _ In-zones susceptible to erosion within the subsoil Failures due to subsurface erosion are catastrophic failures. They occur with little warning, usually at full reservoir, and occasionally many years after the reservoir is first put into operation. Earthquake Conditions In general, under earthquake conditions, an embankment dam may fail due to excessive deformations and/or excessive pore fluid pressure buildup. Excessive deformations of a dam may lead to its being overtopped and result in dam failure by erosion, Nonuniform deformations may cause transverse cracks in the dam which allow rapid flow of water through the dam, resulting in dam failure due to internal erosion. Excessive pore water pressure due to earthquake loading can cause slope instability which may grow in size and lead to dam failure because of reduced sections. Landslides along the reservoir tim can cause waves in the reservoir which may overtop the dam. The nonuniform distribution of effective stresses in a soil deposit, brought about by the buildup of pore water pressure due to an earthquake, can cause differential settlements that result in transverse and longitudinal cracks in the embankment dam, Flow of water through transverse cracks can lead to dam failure by erosion; The most serious instability in embankment dams and their foundations caused by earthquake loading is due to sudden densification of loose, saturated, noncohesive soils because of ground vibrations. This densification of the soil skeleton causes rapid buildup of pore fluid pressures. The soil, water, and air matrix forms a liquefied material. The increased share of overburden pressure taken by pore fluids reduces the effective stress between soil grains. Air and water, of course, have no ot very little shear strength. This combination of high overburden pressure and low shear strength of liquefied materials, combined with ground vibrations can lead to large, flow- type movements. These flow movements are not calculable; only the potential for their occurrence can be estimated. 1-13EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. COMMON CONSIDERATIONS: MODES OF FAILURE STABILITY PROBLEMS ‘The stability problems of concern in the safety evatuation of existing embankment dams are those which may cause the dam to fail, An embankment dam can fail under static conditions and/or dynamic conditions due to: + Excessive deformations + Excessive stresses + Excessive loss of materials due to erosion This module is, primarily concerned with the analysis of embankment dam stability problems associated with excessive deformations and excessive stresses. Since deformations and stresses in an embankment dam are significantly affected by the pore pressure response, relevant discussions about water related effects on the stability of an embankment dam are included in this report, However, for detailed discussions on seepage related problems, refer to the TADS module on Evaluation of Seepage Conditions as well as other technical literature on the subject. U-14EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. COMMON CONSIDERATIONS: DEVELOPMENTS IN EMBANKMENT DAM ANALYSIS INTRODUCTION In an embankment dam, deformations, stresses, and seepage under static and dynamic conditions are interdependent in the sense that one affects the other; and these responses ace time dependent, In performing analyses, however, it is a usual practice to model these responses as separate entities. ‘The interdependent aspects of the physical behavior are accomplished by sequential analysis of separate entities and incorporation of results from the analysis of one entity to the analysis of the next entity. Significant progress has been made in developing unified analytical and numerical procedures for studying the stability of embankment dams. However, additional work in development, implementation, and verification of theories for true three-phase, time dependent, soil behavior under all stress and deformation conditions prevalent in the field still needs to be done, Thus, unified solution procedures are not commonly used in embankment dam engineering. Procedures based on the finite element method have been used to analyze embankment dam engineering problems by incorporating soil behavioral aspects in them. Application of particulate mechanics to embankment dam engineering has not yet been possible. Therefore, the stability analysis results should be interpreted and understood with full awareness of the theories used in getting the analytical results. Recognizing the limitations of theory, embankment dam engineering practice has evolved using simpler analytical approaches combined with observational methods. In this document, both complete methods and simpler approaches commonly used to evaluate embankment dam stability are discussed. ANALYSIS LIMITATIONS, It should be recognized that, due to the complex nature of soil behavior, all observed behaviors of an embankment dam may not necessarily lend themselves to a precise analysis. In such instances, reliance on engineering judgment, based on professional experience of responsible engineers, is generally considered prudent and acceptable. I-15EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION II. COMMON CONSIDERATIONS: DEVELOPMENTS IN EMBANKMENT DAM ANALYSIS ANALYSIS OF EXISTING DAMS VERSUS NEW DAMS ‘There is no basic difference in methodology for the analysis of existing embankment dams and the analysis of new embankment dams. ‘The attitudes in analysis of existing dams differ from those in new design in a more or less philosophical way. The engineering evaluation of an existing dam can be quite imensive because: + The dam and the associated structures have already been built. + The reservoir loading and operations are present. . The geologic environment has been subjected to the darn and the reservoir effects. For new designs, however, there are uncertainties in geologic data, material data, material response under inservice conditions, and construction. In spite of the best intentions, interests, and efforts of everybody involved in the design and construction of embankment dams, there is always an element of doubt or wishful thinking present about the successful performance of the projects. However, an existing dam presents the true response of the manmaée structures and the geologic environment as a whole. Thus, in the study of existing dams, it is geverally not a matter of making predictions; it is a matter of understanding the observed performance and making provisions for safe operations of the dam and reservoir. ‘The safety assessment of an existing dam may lead to the conclusion that remedial measures, such as adding a stability berm, relief wells, or restricting the reservoir level are needed. Remedial measures for dam safety deficiencies constitute a design. Thus, in this way, the safety evaluation of existing dams and design activities can be interrelated. In design of new dams, the adopted factors of safety against various modes of failure reflect the extent of uncertainties involved and the associated risks of dam failure. In the evaluation of existing dams, sore of these uncertainties might have been resolved or come to pass, and therefore, somewhat lower factors of safety, to reflect the residual uncertainties, may be appropriate. ‘The extent of any reduction in the acceptable factor of safety against a particular mode of failure in existing dams must be made on an individual basis, and should be commensurate with the residual uncertainty and hazards associated with dam failure. I-16EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il, COMMON CONSIDERATIONS: DEVELOPMENTS IN EMBANKMENT DAM ANALYSIS ANALYSIS ORGANIZATION If evaluation of the stability of an existing embankment dam is for static conditions only, then there is no need to be concerned with the dynamic analysis details. However, if the stability evaluation of a dam is for dynamic conditions, there is a definite need to be concerned with the static analysis, also. Since the dynamic response is in addition to the static response, it is essential to know the static response of the dam for input as a set of initial conditions for dynamic response. Therefore, it is suggested that the needs of dynamic analysis be considered while preparing for the static analysis to optimize the analysis efforts. This optimization can be in terms of a common numerical model for static and dynamic analysis, the handling of static analysis results which can be directly input for the dynamic analysis, the evaluation of results and data at every stage of analysis, etc. It should be understood that performing a dynamic analysis makes sense only if the static stability of the dam is adequate. For dams with marginal static stability, a dynamic loading of any significance is bound to cause stability problems. ‘Therefore, it is essential to ensure a sound static response of an existing embankment dam before continuing with the dynamic analysis. Whereas a static analysis of an embankment dam can be performed with relative ease, a proper dynamic analysis of an embankment dam can be considerably more difficult, time consuming, and expensive. Therefore, proper planning and judicious use of available resources in all aspects of analytical work for meaningful end results is strongly recommended, I-l7EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. COMMON CONSIDERATIONS: SUMMARY SUMMARY: COMMON CONSIDERATIONS Unit I provided common considerations for evaluating the stability of an embankment dam, including: + Documentation review + Instrumentation + Modes of failure + Embankment dam analysis Documentation Review Reviewing project data will help you in several ways while evaluating the stability of an embankment dam under routine, everyday operations as well as under unusual conditions such as floods and earthquakes. This section described . . . + The types of data for review to determine an embankment dam’s ability to perform under static and dynamic loading, and + The types of dam and foundation materials that might help identify the type of embankment dam under study. Instrumentation This section briefly described the types of instruments that may be present or installed and the information they provide relative to assessing the stability of a dam. Modes Of Failure Various modes of dam failure under nonearthquake conditions and earthquake conditions were discussed. Nonearthquake Conditions Modes of failure related to nonearthquake conditions are due to design deficiencies, poor construction, and/or neglected remedial actions. 1-18EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION II. . COMMON CONSIDERATIONS: SUMMARY Earthquake Conditions Modes of failure related to earthquake conditions include: + Excessive deformations and/or excessive pore fluid pressure buildup. ‘+ Sudden densification of loose, saturated, noncohesive soils that causes rapid buildup of pore fluid pressures. Stability Problems Stability problems of concérn that may cause an embankment dam to fail include: . Excessive deformations + Excessive stresses + Excessive loss of materials due to erosion Embankment Dam Analysis This section described analysis considerations for evaluating the stability of an embankment dam, ‘the progress made in analytical procedures, and the limitations of analysis due to the complex nature of soil behavior. Analysis of Existing Dams Versus New Dams While there is no basic difference in methodology for analyzing existing dams or new dams, analyzing the performance of a new dam involves making certain predictions about how the dam will perform while analyzing an existing dam requires understanding the observed performance of the dam in order to make provisions for its continued safe operation, Analysis nization Considerations in doing stability analysis for static conditions and for dynamic conditions were discussed. 0-19UNIT IIL SETTLEMENT AND DEFORMATIONEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Ill. SETTLEMENT AND DEFORMATION: OVERVIEW INTRODUCTION This unit discusses how settlement and deformation can affect te stability of an embankment dam. Background information on settlement and deformation includes: ‘Types of deformations Deformations of interest, Significance of settlements General deformation behavior In addition to background information, this unit describes: + What types of investigations and data collection should be made for problem verification. + What methods may be used to analyze settlement and deformation problems. * What remedial action can be taken to alleviate problems caused by settlement and deformation. I-1EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Ill. SETTLEMENT AND DEFORMATION: BACKGROUND INFORMATION INTRODUCTION Failures of embankment dams, except for failures caused by unanticipated catastrophic events such as earthquakes or overtopping, are almost always preceded by warning signals such as increased rate of deformation, strain discontinuities, cracking, leakage, and pore pressure buildup. These same warning signs may appear, yet be in no way associated with a potential failure, In order to first detect significant changes in the time rate of deformation, and second, to evaluate the probable causes and consequences of such changes, the following steps are necessary: + Instruments must be present and in the correct locations in order to measure internal deformations. + Periodic observation data must be available. ‘The frequency of observations depends upon factors such as time rate of movement and rate of reservoir filling. + ‘The data must be summarized, plotted versus time and versus reservoir water level, and evaluated promptly by experienced engineers familiar with the dam and the general performance of similar dams, + Any unanticipated anomalies in the data must be critically studied to determine their causes. It is important to recognize that all embankment dams in service deform and settle. In general, deformations of embankment dams may result in aesthetically unacceptable surficial appearance. However, excessive deformations indicate internal distress of the dam, and can result in: + Reduction or loss of freeboard, and/or * Internal and/or external cracks. Either of these two consequences of settlements and deformations can lead to dam failure. Historically, embankment dam failures have been attributed to sharply nonuniform settlements. ML-2EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION III. SETTLEMENT AND DEFORMATION: BACKGROUND INFORMATION INTRODUCTION (Continued) Internal deformations in an embankment dam can be measured by measuring devices installed inside the dam. “Surface expressions of internal deformations can be measured by surveying surface monuments from a stable benchmark with fixed lines of sight. Internal distress of an embankment dam and/or foundation may appear as muddy seepage, sand boils, ground heave downstream of the dam, and/or 2 whirlpool in the reservoir. The purpose of settlement observations is to provide information concerning the amount, rate, and distribution of settlement. In order to gain the full benefit of observations, it is important that records containing the information are kept in an intelligent and conscientious manner. To be useful, records must be kept in such a manner that the data can be understood by any engineer without further inquiry and without the chance of misinterpretation, TYPES OF DEFORMATIONS ‘The deformation response of an embankment dam depends upon its own response to load plus the response of the foundation on which it is built. Often, embankment dams are built on sites with compressible foundations. Sometimes the damn foundations are traversed by geologic discontinuities such as faults and shears near the dam-foundation contact. ‘The movement of a specific point within a dam or its foundation can be resolved into three orthogonal components: + Vertical Movement. Usually called settlement if it is downward, and heave if itis upward, * Upstream/Downstream Movement. Also called lateral movement. + Cross-Valley Movement Parallel to the Dam’s Axis. Also called {ongitudinal movement, The total movement of a specific point within a dam or its foundation is made up of two parts: + Blastic or recoverable part + Inelastic or permanent part 1-3EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IM, SETTLEMENT AND DEFORMATION: BACKGROUND INFORMATION ‘TYPES OF DEFORMATIONS (Continued) Elastic movement is due to elastic behavior of a soil and occurs almost immediately on application of load. Inelastic movement in a soil deposit is due to the process of consolidation under load application, and readjustment of the soil skeleton, Consolidation is a relatively slow process and the movement depends on the rate at which the water is able to move out of the soil matrix. Expansive soils, such as fat clays, absorb water and undergo volume increase. Thus, such soils may cause upward movement of the overlying soil or the structure supported by them. {In general, with regard to the usual settlement of soils, elastic movement is considecably less than consolidation movement and it is generally neglected. DEFORMATIONS OF INTEREST ‘The three types of deformations of interest in an embankment dam are: * Uniform or near-uniform movements * Sharply nonuniform or differential movements + Lateral movements Uniform Movements Uniform or near-uniform movements of points within an embankment dam do not usually cause internal straining or cracking in the soil deposit (see Figure III-1(a) on the next page). Uniform settlements do, however, reduce a dam’s freeboard. Differential Movements Differential movements are relative movements between neighboring points or sections within an embankment dam, or in the foundation zones (see Figure III-1(b), (c), (@),. () and (). Differential movements cause internal straining in an embankment and can lead to the formation ‘of cracks in the soil mass. Excessive differential movements within the body of an embankment and/or its foundation (see Figure ITI-2) can lead to failure of the dam (J. L. Sherard, 1973). m4EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION II. SETTLEMENT AND DEFORMATION: BACKGROUND INFORMATION Lateral Movements Lateral movements may be due to spreading of an embankment dam (see Figure IlI-1(g)), and/or settlement of a foundation (Figure II-i(h)). Excessive spreading of an embankment may lead to the formation of longitudinal cracks which can lead to slope instability through the introduction of surface water runoff into the cracks. Longitudinal cracks have been observed in many embankments built on clay foundations. It is instructive to note that the total movement in a soil deposit is a combination of uniform movement, differential movement, and lateral movement. In most cases, the critical movement is the differential movement because it leads to embankment cracking. Generally, compression of ‘the foundation soils is responsible for excessive settlements of embankment dams, FIGURE MlI-1. SCHEMATIC ILLUSTRATIONS OF EMBANKMENT DEFORMATIONS (e) Neor-usiform sattement of 2 29m. (0) Difterentot sattament in 0 zoned dom. (@) Ditterantiat seriament between points 0 and, (2) Gitterenir serttament over @ sharp Ieregolority im rock surface m5EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Ii. SETTLEMENT AND DEFORMATION: BACKGROUND INFORMATION Lateral Movernents (Continued) FIGURE Il-1. SCHEMATIC ILLUSTRATIONS OF EMBANKMENT DEFORMATIONS (Continued) oe 2 geologic discontinuity scross tne (e)2itorentil settamet in te foundation vlan, SECTION A-a 2 Geologic ascents ol {1 ttre, ater! ig. he loangonen (@) Lateral sprecsing of @ dom, Im) Sertiament of foundation. 6EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Ill, SETTLEMENT AND DEFORMATION: BACKGROUND INFORMATION Lateral Movements (Continued) FIGURE Ill-2.. STOCKTON CREEK DAM FAILURE Drain covered by filter River gravel- (a) Cross-section ‘Near - vertical step in rock abutment (b) Longitudinal section looking downstream m7EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Ill. SETTLEMENT AND DEFORMATION: BACKGROUND INFORMATION SIGNIFICANCE OF SETTLEMENTS Of the three components of a general movement of a specific point within an embankment, the vertical component is of practical significance in safety of dams in the following ways: . Excessive uniform settlements of a dam can lead to the loss of freeboard and danger of overtopping. . Differential settlements between sections along the axis of a dam can lead to the development of transverse cracks through the embankment, core wall, etc., which could allow passage of water and progressive failure by erosion and piping. + Differential settlements between different zones within the body of a dam can lead to the development of longitudinal cracks (e.g., the shell being more deformable than the core or vice versa). + Differential settlements within a material and longitudinal arching action over a more deformable zone can lead to internal horizontal cracks. This differential settlement reduces the magnitude of vertical compressive stresses locally. If the compressive stresses at any location are reduced to values less than the pressure of the water in the reservoir at the same elevation, hydraulic fracturing of the embankment material may occur. This can lead to dam failure by erosion and piping. (GENERAL DEFORMATION BEHAVIOR It is instructive to know the generally acceptable deformational response of an embankment dam in order to be able to detect deviations from the normal and identify possible problems. These deviations may or may not be significant since normal variations occur as a result of reservoir operations, temperature changes, earthquakes, etc. Also, there may be false "movements" attributable to bench mark disturbances, survey errors, or other instrument problems. ‘No two dams or damsites are alike. Therefore, one should not expect an exact repetition of istress signs from one dam to another even for the same problematic feature. However, when deviations from normal behavior are observed that cannot be readily accounted for, it is better to bring the observations to the attention of an experienced and qualified engineer. It may become essential to increase the frequency of instruments readings, install additional instruments, and undertake other investigations in order to understand the cause(s) of the observed deformations and seek effective remedies for the problem. A general description of acceptable deformational behavior of a typical embankment dam is given on the next page. : 8EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION I, SETTLEMENT AND DEFORMATION: BACKGROUND INFORMATION Acceptable Deformational Behavior During construction of an embankment dam, internal deformations take place due to changes in total stresses and pore pressures and due to creep of secondary time effects. Foundation movements, load transfers between zones, and other factors influence the deformations. The time rate of deformations depends upon the rate of load increase and the type of material being used to construct the dam. In general, an embankment spreads in the upstream-downstream direction and cross-valley movements take place towards the deepest part of the valley. ‘The settlements occurring during the construction of a dam are absorbed as additional fill is placed to reach the required elevation, Camber is provided to account for any additional expected settlement. ‘Thus, the as-built dam survey provides a good reference geometry for measuring dam and foundation movements for in- service conditions. After the completion of a dam, the rate of load increase becomes zero and the settlement rate diminishes rapidly, only to increase again as the reservoir fills for the first time. The first filling of the reservoir may cause the crest to move upstream while at the same time the lower portion of the impervious core may deflect downstream, Subsequently, many embankments continue to settle indefinitely at a diminishing rate with respect to time, except for variations associated with periodic raising or lowering of the reservoir and with earthquakes. ‘The magnitude, time rate, and direction of movement of a specific point within a dam may change during é:fferent phases of construction of the dam and operations of the reservoir. Horizontal and vertical crest movements that develop in the first few months following completion of a dam are likely to be greater than the movements that occur over the next decade, ‘The crest movements during the first few months following completion of a dam may be less than 25 percent of the movements that developed at midheight of the dam ducing construction, For dams on relatively incompressible foundations, cambers of about one percent of the height of the dam are commonly provided to accommodate settlements of the foundations. A higher percentage of camber is provided for dams constructed on sites where the foundations may yield substantially under the embankment loads. m9EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION I, SETTLEMENT AND DEFORMATION: INVESTIGATION AND DATA COLLECTION FOR PROBLEM VERIFICATION INTRODUCTION At the time of design, estimates are often made of expected deformations, The records pertaining to design should be reviewed for this information, and if located, compared to the performance data relative to embankment movement. If measured deformations significantly exceed the engineering design estimates, then it becomes essential to supplement the available performance, geologic, and material test data with additional investigations. The fact that the actual performance of the dam did not conform to the expected behavior could be due to incomplete geologic data and/or material behavior information available at the time of initial design and construction. To prepare an effective investigation and additional data collection program, the design engineers and geologists should review the following documents in addition to making a site inspection of the dam. It is generally advantageous to review these documents prior to making a site vi Design and construction data Surveying data Instrumentation data Inspection reports and visual inspections Based-on a data review and site inspection, a program to obtain needed additional data can be developed and may include: + Field explorations for additional geologic data and sample collection. + Laboratory testing of soil and rock samples. ‘+ Installation of instrumentation for additional performance data and/or more frequent observations of existing instruments. It is prudent to make preliminary estimates of all probable cause(s) of the excessive settlements and their locations; , within the body of the dam and/or foundation. Based on this estimate, the locations of sample collection, number of samples, and their types are specified. Similarly, the laboratory testing conditions in terms of loads and drainage conditions are specified to match the field conditions. Preferably the test samples should be undisturbed. The drainage conditions could be drained or undrained depending upon the type of deformation response to be investigated. ‘The type of test data to be collected should be consistent with the needs of analysis procedure(s) to be used for analyzing the settlement problems. Since relatively softer members in an embankment or foundation are responsible for excessive deformations, they should be sampled and tested in appropriate laboratories; i.e., soil mechanics and/or rock mechanics laboratories. 1-10EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION UI. SETTLEMENT AND DEFORMATION: INVESTIGATION AND DATA COLLECTION FOR PROBLEM VERIFICATION PROBLEM IDENTIFICATION As mentioned earlier, all embankment dams deform and settle. It is only when the actual deformations exceed the design estimates that they need to be studied for possible cause(s).. The simplest physical manifestation of embankment deformation is that it renders the dam geometry somewhat irregular, which may or may not be noticeable to an untrained eye. However, through survey and other dam instrumentation data, one can determine the magnitude and direction of these movements at their respective locations. If the deformations become excessive, they may cause: 7 Visible cracks on the crest and/or faces of the dam. . Hidden cracks within the body of the dam where they remain invisible. ‘Table III-1 on the following pages lists observations of different cracks, possible causes of their occurrence, seriousness, and suggested actions. It is imperative to treat the appearance of cracks or their consequences seriously and study them in the detail needed, It is better to come to the conclusion, after an investigation, not to do anything substantial about a crack, than to ignore its existence. If cracks are left unattended, the underlying problem may worsen and threaten the safety of the dam. Historically, as noted in Table Ill-1, all cracks in embankment dams are not necessarily serious--some cracks only need to be sealed at the surface to prevent the infiltration of water. However, a thorough evaluation of their cause(s).and possible consequences should be undertaken. While individual modes of deformation in embankment dams and their foundations are shown schematically in Figure III-1, page IIT-5, actual deformations are generally a combination of several of these individual modes. Identifying the principal cause(s) of excessive deformations may require combined evaluation of site geology, dam design and construction, instrumentation data, and mathematical analyses. 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Alternatively, numerical analysis procedures may be used to study settlement response of an embankment dam. ANALYSIS OF SETTLEMENT PROBLEMS Mathematical analyses for the settlement response of an embankment dam and its foundation can be made to gain additional information about the dam behavior for the imposed conditions. The objectives of making a mathematical analysis can be: + To provide a check on the adequacy of an analytical model. To properly meet this objective, it is essential to know the site geology, composition, physical properties of the materials in the foundation and embankment, and field pore pressure data prior to making a mathematical analysis of the problem. + To estimate material property values used in an analytical model to obtain a comparable match between the calculated results and observed performance data, To properly meet this objective, it is essential to know the site geology. In addition, laboratory and field test data and historical data for similar geologic settings and material descriptions should be used to check the reasonableness of numerically estimated values of material parameters. It is better to keep the numerical models simple and manageable. The paper entitled Analysis of Foundation Settlements at Ridgeway Dam, included in Appendix C, illustrates this point. + To predict future settlement behavior. To properly meet this objective, it is advisable to keep in mind that while interpolation for results may be reasonable, extrapolation for results is generally not reasonable. It may be advantageous to use the graphical procedure discussed under Graphical Evaluation of Settlement Records on page III-19, I-16EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il, SETTLEMENT AND DEFORMATION: ANALYTICAL METHODS ANALYSIS OF SETTLEMENT PROBLEMS (Continued) Theoretical analyses are performed to predict, usually ahead of construction and observations, anticipated behavior to arrive at an acceptable design. The embankment and its foundation, including abutments, function together and thus constitute the problem for engineering analysis and design, The available geologic information is used to define the foundation part of the problem; the selection of materials and their placement within the body of a dam defines the embankment part of the problem. Since the load-deformation behavior of soils and most other geologic materials is generally nonlinear, strain softening, and time dependent, the construction sequence and rate of reservoir filling play a significant role in the buildup of deformations, and hence stresses, in the dam and its foundations. It is an objective of design to make all this "inservice" behavior occur in a predictable manner and within anticipated limits. All theoretical analyses make simplifying assumptions in the problem definition, material behavior, load simulation, and boundary conditions. Therefore, the results of theoretical analyses are estimates which need to be verified by the actual response data. PRINCIPAL STEPS IN A SETTLEMENT ANALYSIS The necessary information required for a settlement prediction is summarized in Table Il-2 on the following page. A prediction capability consists of three components: + A model to describe soil behavior; + Suitable methods to evaluate the required soil parameters; and + Computational procedures for applying the model to practical problems. So far, it has not been possible to describe soil response by a single model for all loading and drainage conditions. Therefore, prediction of settlements is more of an art than a routine procedure. There are several methods and practices available for use in predicting settlements of structures. Their use in engineering practice is a matter of individual or organizational preference and past experience. Brief descriptions of a conventional method and of a more modern method are included here. For details of these and other methods of settlement calculations, consult the publication Soft Clay Engineering by A. S. Balasubramaniam and R. P. Brenner, (1981). M17EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il, SETTLEMENT AND DEFORMATION: ANALYTICAL METHODS PRINCIPAL STEPS IN A SETTLEMENT ANALYSIS (Continued) TABLE II]-2. COMPONENTS OF A SETTLEMENT ANALYSIS Determination of Subsoil Section (1) Vertical and lateral extent of soils; location of compressible soils, drainage surfaces, and any special boundary conditions. 2) Variation of initial pore pressure with depth. Stress Analysis (1) Initial effective stress versus depth, @) Magnitude, distribution, and time rate of application of surface load, including any shear stress between ground surface and applied load. 3) Stress distribution theory compatible with boundary conditions; effect of rigid boundaries or layers. (4) Variation of principal stresses 04, 02, and 03 with consolidation; influence of arching, change in Poisson's ratio. Selection of Soil Parameters (m,, C., C,y Cur o'er Ky Ey E’, K,, v', A, C)* (1) Representativeness of samples tested. 2) Sample disturbance. @) Environmental factors. (4) Testing technique. Estimation of Settlement and Pore Pressures (Q) Method of analysis. @) Rotation of principal planes. (3) Variation of m,, k, C, with consolidation. (4 Secondary compression. “Definitions of these parameters are: m,~coefficient of volume compressibility; C_-compression index; C,--tecompression index; C,- coefficient of secondary compression; o' ,,~-preconsolidation pressure; coefficient of permeability; E,~ elastic undrained Young’s modulus; B’--drained Young’s modulus; v'—drained Poisson’s ratio; K,; coefficient of earth pressure at rest; A~ consolidation. 1-18 skempton’s pore pressure coefficient; C,-coefficient ofEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION I. SETTLEMENT AND DEFORMATION: ANALYTICAL METHODS GRAPHICAL EVALUATION OF SETTLEMENT RECORDS A practical approach by which to estimate final total settlement and settlement rates from settlement data obtained during a certain time period involves the following steps (A. S, Balasubramaniam and R. P. Brenner, 1981): + The observed time-settlement curve plotted to an arithmetic scale is divided into equal time intervals, at, (usually at is between 30 and 100 days). ‘The settlements p1, p, «+ . corresponding to the times ty, tp, . . . are read off and tabulated (see Figure IlI-3 below). + The settlement values 1, 92 . . . are plotted as points (p;., p.) in a coordinate system with axes p; 1, and p;, as shown in Figure I-3(b). Draw the 45°, p; = p; 1, line. + Astraight line, I, is fitted through the data points. The point where this line intersects the 45° line gives the final consolidation settlement, 9. The slope 8 of line I is related to the coefficient of consolidation, C,, and therefore indicates the rate of settlement. The slope, 8, depends on the time step, at, selected and decreases when at increases. FIGURE III-3. STEPS FOR THE USE OF GRAPHICAL METHOD atatot, TIME, t ro Ohh tt 11 1 SETTLEMENT, P PRPPE {a) Partition of settlement record (b} Plot of settlement values and into equal time intervals. fitting of straight line, T-19EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Ill. SETTLEMENT AND DEFORMATION: ANALYTICAL METHODS CONVENTIONAL ONE-DIMENSIONAL METHOD ‘The analytical model for this method of settlement calculations is shown on Figure III-4 below. ‘The settlement calculations by this method involve two steps: +, An assessment of the stress increment in the compressible layer by the surface load, and + An evaluation of the settlement caused by the stress increment using an appropriate stress-strain relationship from odometer tests on the compressible soil (see Figure III- 4. ‘The paper entitled Analysis of Foundation Settlements at Ridgeway Dam, included in Appendix C, illustrates the use of this method. FIGURE II-4. CONVENTIONAL CONSOLIDATION SETTLEMENT METHOD Volumetric Change Compression of a soil stratum (a) Conventional one-dimensional analytical model. hey en Ce = Compression gio Index = = Slope of the 0.9 Gite straight ling os portion of the So7 plot Ss” fe OL O51 810 50100 ~ A10g9o EFFECTIVE NORMAL ‘STRESS 7 (log scale} Consolidometer Test Data (b) Laboratory test for one-dimensional consolidation. 1-20EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Il. SETTLEMENT AND DEFORMATION: ANALYTICAL METHODS FINITE ELEMENT METHOD ‘The basis for the finite element method is the representation of a body or a structure by an assemblage of its subdivisions called finite elements. These elements are interconnected at nodal points to form a finite element model. Solutions are obtained in terms of displacements at these nodal points and average stresses in the elements, The stress-strain relationship of the material in each element is used to formulate its stiffness matrix. Individual element stifiness matrices are assembled to form an overall stiffness matrix for the entire soil mass with specified boundaries. The stiffness matrix relates the nodel displacements to the nodal loads. Such a procedure can take into account various types of stress-strain behavior, nonhomogeneity, irregular geometry, and complex boundary conditions, as well as time-dependent loading. Among the material models which describe the stress-strain behavior, the linear elastic one is of the simplest form, and this gives useful results when the elastic parameters are evaluated over the appropriate stress range. Other models commonly used are: The bilinear elastic model The elasto-plastic model Hyperbolic relationships The critical state mode! Except for the linear elastic model, all other models need the shear strength of the soil, and initial geostatic stress values. Thus, estimates of the in situ K value, that is, coefficient of earth pressure at rest, must be made. In order to obtain the initial settlement, the finite element analysis, is carried out assuming completely undrained conditions and using undrained stress-strain deformation properties. The final settlement is obtained ftom an analysis employing drained deformation properties and effective stresses. The paper entitled Analysis of Foundation Settlements at Ridgeway Dam, included in Appendix , illustrates the use of linear elastic analysis by the finite element procedure. 1-21EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Ill, SETTLEMENT AND DEFORMATION: REMEDIAL ACTIONS INTRODUCTION It is imperative to take settlement issues seriously and take action quickly. These actions may be temporary in nature, as permanent solutions to the problem will usually involve elaborate and time consuming investigative, design, and construction activities. EMERGENCY AND TEMPORARY MEASURES, The objective of the following emergency-type remedial actions is to safeguard an embankment against a potential overtopping or piping failure. + Sand bagging to restore freeboard. + Restricting of the reservoir water level. + Visual monitoring of the dam and evaluation of the instrumentation data pertaining to deformations. Emergency action planning should account for potential overtopping if there has been a loss of flood surcharge freeboard. LONG-TERM MEASURES Unfortunately, there are no simple and quick long-term remedial fixes for settlement-related dam safety problems since they are internal to the embankment and/or foundation, Dams that have suffered damage of failed from internal erosion were deficient in certain aspects of desiga or construction feading to transverse cracking and uncontrolled erosion. Therefore, if type II cracks (Tabte III-1) develop, or a potential for their occurrence exists, an embankment modification to provide adequate transition and filter zones is needed to prevent erosion through a transverse crack. Once a through crack is formed, it is virtually impossible to contain the resulting seepage and erosion without lowering the reservoir to a level below the base of the crack. It is generally agreed that all embankment dams in service either crack or have the potential to develop cracks. ‘Therefore, there is no real substitute to an adequate design of the original constructed facility. m-22EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION, Hl, SETTLEMENT AND DEFORMATION: REMEDIAL ACTIONS LONG-TERM MEASURES (Continued) A thorough investigation to understand the cause(s) and extent of a settlement problem should be undertaken, Depending upon the findings of this investigation, the following remedial measures, shy of reconstructing portions of the dam, may be adequate: Restore the dam to design crest elevation. Place weighted filters over areas where muddy seepage discharges occur or sand boils appear. Provide relief wells to relieve excess pore pressures at depth. Install additional instruments to closely monitor the dam performance and increase the frequency of data collection and its prompt evaluation. Install an early warning system to alert the dam attendant and engineers of a potential problem developing. 1-23EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Ill. SETTLEMENT AND DEFORMATION: SUMMARY SUMMARY: SETTLEMENT AND DEFORMATION Unit III described how settlement and deformation can affect the stability of an embankment dam, including information on: + Types of deformations + Deformations of interest + Significance of settlements + General deformation behavior Also described were modes of failure related to settlement and deformation, Settlements can lead to: Loss of freeboard and potential for overtopping Development of transverse cracks Development of longitudinal cracks Development of internal cracks Normal deformations of an embankment dam occur as result of reservoir operations, temperature changes, earthquakes, etc. This Unit described acceptable deformation behavior that may occur in an embankment dam. Investigation And Data Collection Unit Ill also described the types of documents to be reviewed and how to identify problems during a site visit, including a description of different types of cracks, their probable cause, seriousness, and suggested action. Analytical Methods Objectives of making a mathematical analysis can be: + To provide a check on the adequacy of an analytical model. + To estimate material property values used in an analytical model to obtain a comparable match between the calculated results and observed performance data, + To predict future settlement behavior. Theoretical analyses are performed in the design stage to predict anticipated behavior. However, results of theoretical analysis need to be verified by the actual response data, m-24EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION III. SETTLEMENT AND DEFORMATION: SUMMARY Pri st The components of a settlement analysis consist of determination of subsoil section, selection of soil constitutive model and soil parameters, and estimation of pore pressures and settlement. The following methods to analyze and evaluate settlement were briefly described: + Graphical evaluation of settlement records . Conventional one-dimensional method . Finite element method Remedial Actions Temporary and long-term measures to alleviate the effects of settlement and deformation were stated. I-25UNIT IV STATIC STABILITYEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: OVERVIEW INTRODUCTION This unit discusses the static stability concerns in embankment dams. Background information is presented on significant events that can cause static instability and indicators of static instability. In addition to background information on static instability and its effects, this unit describes: What types of project data must be reviewed and analyzed for static stability evaluations. ‘What tests are used to obtain soil shear strength values. What methods may be used to analyze the static stability of an embankment dam. ‘What remedial action can be taken to alleviate static instability. 1V-1EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: BACKGROUND INFORMATION INTRODUCTION If design stability analyses have been performed for an existing embankment dam, they should normally be sufficient if they were performed by acceptable methodologies. Additional stability analyses should be performed if . . . + Existing analyses are not in agreement with the current accepted methodologies, + Exi ting conditions have deteriorated, + The hazard potential of the project has increased, + The embankment has been or will be subjected to loading conditions more severe than designed for, or + The assumed design parameters cannot be satisfactorily justified, Satisfactory behavior of an embankment under loading conditions not expected to be exceeded during the life of the structure should be considered indicative of satisfactory stability, provided that adverse changes in the physical condition of the embankment do not occur. SIGNIFICANT EVENTS FOR STATIC INSTABILITY Significant events that can cause static instability of an existing embankment dam after years of satisfactory service include: + An unusually severe drawdown of the reservoir. The severity of drawdown can be in terms of a more rapid rate or to a lower level than before. + An unusually high and perhaps sustained reservoir water level. + A prolonged dry period followed by rain, The dry period can cause desiccation cracks to develop in some dams; subsequent rain can fill the cracks with water and precipitate slides. + Gradual development of an adverse seepage pattern through the dam and/or its foundation. ‘+ Gradual loss of strength in clay shales or overconsolidated clays due to swelling. v2EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV, STATIC STABILITY: BACKGROUND INFORMATION STATIC INSTABILITY INDICATORS A need for evaluating the static stability of an existing embankment dam and its foundation is indicated if: + There is an apparent slope stability failure. + There are longitudinal cracks on the dam crest or slopes. + There are wet areas on the downstream slope or toe poction of the dam, + There is erosion or sloughing near the downstream toe of the dam resulting in local oversteepening of the downstream slope. + Surface measurement points indicate movements. + Internal instrumentation indicates movement, + Internal instrumentation indicates excessive pore pressures in the dam and/or foundation. + There are bulges in the ground surface beyond the toes of the slopes. + There is a need for dynamic stability analysis. + Review of design and construction records indicate the presence of previously unrecognized but potentially harmful geologic conditions. Sometimes performing a static slope stability analysis of an existing embankment dam and its foundation may be requiced prior to raising the dam, or for changed reservoir operations. But these are not safety of dams issues in the conventional sense. Thus, they are not covered in this module. v3EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: REVIEW AND EVALUATION OF PROJECT DATA INTRODUCTION If, for whatever reason, the need for slope stability evaluation of an existing dam is established, it becomes essential to reassess the site geology and material property data for the dam and foundation materials for the following reasons: + If the performance of the existing dam is not commensurate with the design intent, confidence in the previous understanding of the site geology and/or material property data becomes less than desirable. + If there are time-dependent influences causing actual performance to deviate from the design intent, the new developments need to be explored, and their effects on material properties assessed. + If a dam safety modification has to be designed, the properties of borrow area materials available for construction must be determined. For a proper use of mathematical or judgmental approach, some testing of in situ materials will be required to determine the current values of material properties, as discussed later in this unit. Additional field exploration may be warranted to gain additional site geologic data, DESIGN, AS-BUILT CONSTRUCTION, AND PERFORMANCE DATA Prior to undertaking analytical work for stability assessment of an embankment dam, it is essential to review the design, construction, and performance records on the project. The objectives in reviewing these reports should be to: + Become knowledgeable about the site geology and geologic materials in the dam and its foundation. + Seek to identify the cause and effect in the observed response. + Identify the need for additional data in terms of geologic investigations and material testing. ‘The design documents that should be reviewed include: + Geologic reports and geologic logs + Laboratory test reports and laboratory data + Design calculations and design assumptions Iv-4EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IVY. STATIC STABILITY: REVIEW AND EVALUATION OF PROJECT DATA DESIGN, AS-BUILT CONSTRUCTION, AND PERFORMANCE DATA (Continued) ‘The construction documents that should be reviewed include: Construction specifications As-built drawings Construction quality control test reports Correspondence that may highlight design changes or problems Construction incidents ‘The performance reports that should be reviewed include: ‘+ Instrumentation reports (including piezometer response data, movement device data, and corresponding reservoir level data) + Reports on any adverse incidents Dam safety inspection reports should be reviewed to correlate visual observations with the available geologic information and material test data. After an office review of the available design and construction information on the embankment dam under study, a visit to the damsite by those involved in the stability assessment of the dam is recommended. The field visit allows you to gain a visual perspective of the size, scale, and proportion of the problem under study in relationship to the geologic environment and other ‘components of the project. LOADING CONDITIONS Stability problems in embankment dams are almost always preceded or accompanied by seepage problems. It is, therefore, essential to understand the seepage occurring through the dam and its foundation prior to doing stability analysis. ‘The loading conditions for stability analysis of an existing embankment dam include: Steady-state seepage conditions ‘+ Reservoir operating conditions * Unusual conditions ‘The following is a brief description of these loading conditions. Iv-5EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: REVIEW AND EVALUATION OF PROJECT DATA Steady-State Seepage Conditions ‘The annual reservoir operation plan should be examined to determine the appropriate reservoir water surface elevation for use in estimating the location of the steady-state phreatic surface. Usually, the appropriate elevation represents the water surface elevation that prevails most of the time. However, under certain reservoir operations, the average elevation is reached for only a small fraction of time each year or it is reached in an oscillatory cycle with the effective reservoir elevation near the midpoint of the cycle. The condition of steady seepage throughout an embankment may be critical for downstream slope stability. Reservoir Operation Conditions ‘The following reservoir operation conditions are considered for static stability evaluation: + Maximum reservoir level. A phreatic surface should be estimated for the maximum reservoir level which may occur in a surcharge pool that drains relatively quickly or ina flood control pool that is not to be released for several months. If the phreatic surface is significantly different from that of the steady-state condition, then the downstream stability under this condition should be analyzed. + Rapid drawdown conditions. During the steady-state condition, embankments become saturated by seepage. Subsequently, when the reservoir is drawn down faster than pore water can drain from the soil voids, excess pore water pressure and unbalanced seepage forces result, In general, rapid drawdown analyses are based on the conservative assumptions that: - Pore pressure dissipation does not occur in impervious material during drawdown; and - The phreatic surface on the upstream slope coincides with the upstream siope of the impervious zone and originates from the top of the lowest drawn down water surface level. However, the critical elevation of drawdown with regard to upstream stability of an embankment may not necessarily coincide with the minimum reservoir elevation, and thus, intermediate drawdown levels should be considered, V6EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: REVIEW AND EVALUATION OF PROJECT DATA Unusual Conditions Unusual conditions considered are: + Inoperable internal drainage, and + Unusual drawdown. Appropriate estimates of internal pore pressures in the embankment and foundation materials should be made to reflect the severity of the unusual conditions and the stability of the dam evaluated. If questions arise as to the proper functioning of the internal drains, they should be assumed inoperable for analysis. WaEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: SOIL SHEAR STRENGTH INTRODUCTION tis necessary to know or estimate the shear strength of embankment and foundation soils in order to perform static stability analysis. SHEAR STRENGTH TESTS Shear strength values are generally based on laboratory tests performed under three conditions of test specimen drainage. Tests corresponding to these drainage conditions are: (Engineering and is ical Investigations, Army Corps of Engineers, 1984; Embankment Dam Design Standard for Static Stability Analyses, Bureau of Reclamation, 1987; Engineering Guidelines for the Evaluation of Hydropower Projects, Federal Energy Regulatory Commission, 1988). + Unconsolidated-undrained (Q) test in which the water content is kept constant during the test. + Consolidated-undrained (R) test in which consolidation or swelling is allowed under initial stress conditions, but the water content is kept constant during application of shearing stresses. + Consolidated-drained (S) test in which full consolidation or swelling is permitted under the initial stress conditions and also for each increment of loading during shear. The appropriate Q, R, and S tests should be selected to reflect the various prototype loading cases and drainage conditions. Normally, shear stcength tests are made with triaxial compression apparatus, However, S tests on fine-grained soils are usually made with direct shear apparatus. ‘When impervious soils contain significant quantities of gravel sizes, S tests should be performed on triaxial compression apparatus using large-diameter specimens. Strength Tests For Steady-State Seepage Condition + The consolidated-rained triaxial shear test or the consolidated-undrained triaxial shear test with pore pressure measurements is appropriate. + The direct shear test is appropriate for sands and sandy or silty clays. It could be used for plastic clays; however, the required rate of shearing would be very slow and may not, therefore, be very practical. + The unconsolidated-undrained triaxial shear test is appropriate for very soft clays. Iv-8EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Iv. STATIC STABILITY: SOIL SHEAR STRENGTH Strength Tests For Rapid Drawdown Condition + The consolidated-undrained triaxial shear test with pore pressure measurements is appropriate for impervious and semipervious soils because such tests provide both effective stress shear strength parameters as well as undrained shear strength as a function of consolidation stress. Sufficient back pressures should be used to effect 100 percent saturation to ensure accurate pore pressure measurements, + The consolidated-drained triaxial shear test or direct shear test can be used if the ‘material is highly permeable, that is, permeability greater than 10 cm/s, + For overconsolidated clay shales, consolidated-undrained triaxial shear tests with pore pressure measurements, consolidated-drained triaxial shear tests, or direct shear tests may be used. Where potential slip surfaces follow existing shear planes, residual shear strengths from repeated direct shear tests or rotational shear tests are appropriate. Selection Of Shear Strength Values ‘The selection of the proper soil parameters and their correct use in a stability analysis are generally of greater importance than the method of stability analysis used, When shear strength values are selected from shear strength test data, the shape of the stress-strain curves for individual soil tests, is considered. Where undisturbed foundation soils and compacted soils do not show a significant drop in shear or deviator stress after peak stresses are reached, the shear strength valwe can be chosen as the peak shear stress in S direct shear tests, the peak deviator stress, or the deviator stress at 15 percent strain where the shear resistance increases with strain. For each soil type, a shear strength value should be selected such that two-thirds of the test values exceed the chosen shear strength value, Sometimes stability analyses of an existing embankment dam and its foundation are made using estimated values for their material properties. These estimates for material property values are based on: Past laboratory test reports on the project under study. Past experiences in testing similar materials on other projects. v9EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: SOIL SHEAR STRENGTH Selection Of Shear Strength Values (Continued) While this may be an acceptable practice for preliminary work in a dam safety evaluation process, it is essential that final evaluations and tecommendations for remedial work be based on material property values obtained from appropriate laboratory and field tests on a site-specific basis. It is always a good idea to compare the tested values with the historical data on similar materials ‘or empirical relations, and to resolve the differences, The end objective is to get the best representative property values for the materials involved. IV-10EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: ANALYTICAL METHODS INTRODUCTION In general, two different analysis approaches are available to assess embankment dam stability (K. Terzaghi and R. B. Peck, 1967). These are: + Effective stress analysis + Total stress analysis, EFFECTIVE STRESS VERSUS TOTAL STRESS ANALYSIS. In effective stress analysis, the shear strength of a soil is evaluated on the effective normal stress basis and explicit account is taken of the pore pressures in the stability analysis calculations. In total stress analysis, the shear strength of soil includes the effect of pore pressure. The two approaches are expected to yield identical factor-of-safety results for a shear surface provided the correct shear strength and the corresponding pore pressure data are used in the calculations. Thus, the choice of analysis approach may be based on: + Convenience of use + Convenience of testing and data collection + Availability of computational procedure In embankment dam engineering, however, effective stress analysis is commonly used because it facilitates proper understanding of the relative response of each constituent in the soil matrix, ‘Thus, to properly perform an effective stress stability analysis of an embankment dam, it is necessary to know: + Pore pressures in the dam and foundation materials. + Forces exerted by the water as it seeps through the dami and foundation materials. ‘The determination of these two items is discussed on the following page. W-tlEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: ANALYTICAL METHODS Pore Pressure The ideal means of knowing pore pressures in an existing embankment dam and its foundation is by the piezometric data. ‘This requires that there be: 1. A sufficiently large number of piezometers installed at appropriate locations within the body of the dam and its foundation; 2. A reliable record of piezometer readings and the corresponding reservoir water levels, preferably in plotted form, over an extended period of time; and 3. A reliable means available to calculate pore pressure at a desired location from the discrete pore pressure data (A. K. Chugh, 1981). In the absence of piezometric data, seepage analysis can be performed using a numerical model for the problem (A. K. Chugh and H. T. Falvey, 1984). ‘The pore pressures can te defined by the calculated phreatic line, or by the calculated pore pressure values at discrete locations in the dam and its foundation. ‘Seepage Force ‘The seepage force on an element of soil is calculated by multiplying the volume of the soil element, unit weight of water, and the hydraulic gradient. ‘The seepage forces in an embankment dam and foundation materials can be calculated from either the piezometric data or the seepage analysis results. pee NOTE: Sometimes for expedience, seepage analyses are not performed. Instead, high phreatic line is drawn on the embankment cross section under study, and pore pressures along the shear surface are calculated on the basis of hydrostatic pressure distribution. However, this practice for defining pore pressures for stability analysis is neither suggested nor recommended. Also, explicit inclusion of the seepage force (on the slide mass in slope stability analysis is generally not made. For proper stability analysis, it is suggested that it be included in the calculations. IV-12EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: ANALYTICAL METHODS STATIC STABILITY ANALYSIS METHODS There is no basic difference in methodology between static stability analyses of new and existing dams. However, the analysis efforts should be commensurate with the quality and quantity of input data available. The commonly used static stability analysis methods are: + Limit equilibrium method + Finite element method The limit equilibrium method is generally used to perform slope stability analyses. The finite element method is more versatile and is used for complete analysis of the stresses and movements in embankment dams under static conditions. The two methods generally give similar average factors of safety for a shear surface. For more information on the limit equilibrium method of analysis, consult the following references listed in Appendix B: The Use of the Slip Circle in Stability Analysis of Slopes by A. W. Bishop Variable Factor of Safety in Slope Stability Analysis by A. K. Chugh Suggestions for Slope Stability Calculations by A. K. Chugh and J. D. Smart, Analytical Methods for Slope Stability Analysis by D. G. Fredlund Embankment Dam Engineering edited by R. C. Hirschfield and S. J. Poulos ‘The Analysis of the Stability of General Slip Surfaces by N. R. Morgenstern and V. E. Price + A Method of Analysis of the Stability of Embankments Assuming Parallel Interslice Forces by E. Spencer + Static Analysis of Embankment Dams, International Commission on Large Dams * Soil Mechanics in Engineering Practice by K. Terzaghi and R. B. Peck For more information on the finite element method of analysis, consult the following references listed in Appendix B: + Analysis of Embankment Stresses and Deformations by R. W. Clough and R. J. Woodward, III + Elastic-Plastic Stability Analysis of Mine-Waste Embankments by B. L. Corp, R. L. Schuster, and M. M. McDonald + Analytical Methods for Slope Stability Analysis by D. G. Fredlund + Advanced Dam Engineering for Design, Construction and Rehabilitation, edited by R. B. Jansen + Static Analysis of Embankment Dams, International Commission on Large Dams Iv-13EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: ANALYTICAL METHODS STATIC STABILITY ANALYSIS METHODS (Continued) ‘Seepage analysis is performed separately and its results, in the form of pore pressures and seepage forces, are included in stability analysis calculations. It is a common practice to analyze static stability of embankment dams in two dimensions. LIMIT EQUILIBRIUM METHOD In this method, a qualitative estimate of factors of safety can be obtained by examining the conditions of equilibrium when incipient failure is postulated, and comparing the available shear strength with the shear force in the soil. The factor of safety is thus defined as the ratio of the total shear strength available on a failure surface to the total shear force along the failure surface required to reach a condition of limiting equilibrium. There are several slope stability analysis procedures developed based on the limit equilibrium method. Each procedure subscribes to a different set of assumptions in order to make the slope stability problem statically determinate. Some procedures do not satisfy all conditions of ‘equilibrium, Table IV-1 on the next page lists the knowns and the unknowns of a slope stability problem and some of the commonly used procedures and their assumptions. It is suggested that the adopted procedure for the slope stability analysis of an embankment dam should satisfy all conditions of statics, that is, force and moment equilibrium. Proper use of these methods requires information about layout of different soils in the embankment and foundation zones, soil properties in terms of unit weight and shear strength, pore water pressures, and shear surface. The slide mass is divided into slices to properly account for different soil properties and pore water pressure conditions. Care should be taken in properly using soil properties data, When pore water pressures are taken into account explicitly, the. . . Soil unit weights should be total unit weights, Soil shear strengths should be in terms of effective stress strength parameters, and * Pore water pressure information should be available. ‘When pore water pressures are considered implicitly, the . . . * Soil unit weights should be total unit weights, + Soil shear strengths should be in terms of total stress strength parameters, and + Pore water pressure information is not used, IV-14‘SUMOUYUN Jo LaquiNN = S@a1)s Jo JaquinN = u ‘pauinssy =v wy [fw folelefof oo |. wf ov | a | ssoues| 9 u u vu | $e2d pu wa |] oy feof} ow fa v eee Pe ao aww nourittou| wats wx ff fufefelel) uw fa v fof mm fou | sous} » on foo Polefofofl vw far] v fw Jaw fol v | ou | epmmle ov] ow» Jolefofell we fal v we fae be] v fe | epaorle on wy f[vleluje 1p 1 iad io v v v . sdousial | on ff] ow fle} efefelf eu fr} ev |ow | ee fut uv | ov ) \o|9| x ® |6/ @ © | oO |®| oo Oz sown | sou | swans 7 amen. s2a) snvermma| OO piri [saris sorcvie] [Neen ponaon) co ; roa 9 ef avarorey |] swmounn | “S or pee quem i Jo sawn snauuoy || “vor |] sequnt oson |] * oro. ae2104 eoneiv04 82104 youson hod iL GOHLAW WARIGITING LINN HHL OL GASOd SV WAIAONd ALITUAVLS 1401S ‘HL YOd SNOLLVNOA GNV ‘SNOLLAIWASSV ‘SNMONNA JO STIVIAG “ALATA IV-15EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: ANALYTICAL METHODS ‘Triat Shear Surfaces ‘The shear surface selection is in terms of its shape and location as discussed below. st Shay Three commonly used shear surface shapes are of: + Circular geometry + — Noncircular or wedge geometry + Log-spiral geometry Circular slip failures have been observed in homogeneous soil deposits. Noncircular or wedge failures have been observed in nonhomogeneous soil deposits. In analytical work, log-spira! shear surfaces in homogeneous soil deposits are considered to give lower factors of safety than circular shear surfaces. In an embankment dam analysis, therefore, all shear surface shapes should be tried to locate the paths along which shear sliding failure may occur. ‘The selection of potential slide surface geometry in slope stability analysis by the limit equili method deserves careful consideration. The paper entitled Suggestions for Slope Stability Calculations, included in Appendix C, provides some suggestions in this regard. Shear Surface Locations Slope failures have been observed on the: + Downstream slopes of dams + Upstream slopes of dams during reservoir drawdown ‘The extent of slope instability varies from localized failures at the toe of a dam to large failures involving the top of the dam and foundation materials. Therefore, it is essential to analyze shear surfaces which are local to the toe of a dam, intermediate size shear surfaces which involve one- half to three-quarters of one slope of the dam, and large shear surfaces which encompass one slope, the dam crest, and the opposite slope. Figure IV-1 on the following page illustrates the shape and location of two actual shear surfaces along which static slope failures have occurred in embankment dams. These shear surfaces were reconstructed from observational and instrumentation data. IV-16EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: ANALYTICAL METHODS ‘Shear Surface Locations (Continued) FIGURE IV-1(). SCHEMATIC OF PARK DAM SLOPE FAILURE ‘Approximate location of slide surface ELEVATION (f1) sao} Original ground surface: s2ol FIGURE IV-1(b). SCHEMATIC OF SAN LUIS DAM SLOPE FAILURE peel € of dom a Slide surtoce. ELEVATION, ft. wa Slope wash material 1 L L 1 L L 900° 800 Y00-~«00-=S=C«S0D=SC«OD~=«CBD~~—«BOD-—~«1OO. ° DISTANCE, f1. IV-17EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Iv. STATIC STABILITY: ANALYTICAL METHODS Slope Stability Analysis Strategy Computer programs are available for various analysis procedures including the simplified methods wherein the lateral forces on the sides of slices are omitted (A. W. Bishop, 1955). Simplified methods are advantageous when many shear surfaces are to be analyzed to locate the most critical one. However, after the critical surface has been determined, itis best to make a stability analysis using reasonable directions for forces on the sides of the slices and plotting the force polygon for each slice. Such plotting is essential for the engineer to review the reasonableness of the solution. This graphical check can be a substitute for a numerical check on the static equilibrium of forces on each slice. For cohesionless materials, the critical surface of sliding is a surface at shallow depth parallel to the face of the dam. For cohesive materials, that is, @ = 0, the critical surface of sliding is a circular surface at large depth. When layers of weak material occur in the dam or foundation, the critical surface of sliding is a wedge with a large portion of the shear surface located in a weak layer at shallow depth. Principal Steps In Limit Equilibrium Analysis, The following are the principal steps in limit equilibrium analysis: 1. Select the embankment dam section for static slope stability analysis. Generally, it will be the maximum section. 2. Draw the dam cross section and include the embankment and foundation material boundaries. 3. Mark the pore pressure data and/or the phreatic line estimate. Include the shear strength data for each material for the appropriate loading condition. 4, Draw shear surfaces along which static slope stability analysis need to be performed. Follow the suggestions given in the section on TrialShear Surfaces on page IV-16. 5. Prepare the input data following the computer program user instructions. 6. Submit the input data of Step 5 for computer analy: Iv-18EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: ANALYTICAL METHODS Analysis Results The results of slope stability analysis by the limit equilibrium method are the factor of safety, normal and shear stresses along the shear surface, and the normal and shear stresses along the interslice boundaries. Before accepting the computed factor of safety, the results should be scrutinized for reasonableness, that is, normal stresses do not indicate tension across the shear surface, the directions of shear stresses are consistent with the direction of possible sliding movement, and the resultants of interstice forces lie within the slide mass. However, the magnitude of these stresses are not the same as those obtained in the finite element analysis because the deformable nature of the soils is neglected in the limit equilibrium method. FINITE ELEMENT METHOD For static slope stability analysis of embankment dams, the linear elastic material mode and the elastic-plastic material models have been used (E. L. Corp, R. L. Schuster, and M. M. McDonald, 1975). If dynamic stability analysis is planned, consider the requirements for dynamic analysis by the finite element method discussed in the section on Seismic Analysis Methods in Unit V. A brief description of the finite element method was provided in Unit IM, Settlement And Deformation. Its use for static stability analysis is described below. As a general approach, at least one cross-section of the embankment, for example, the maximum section, is analyzed, Irregular abutments, variable foundation materials, or diverse material properties may necessitate additional sections or a three-dimensional analysis. The numerical model is extended a sufficient distance past the upstream and downstream toes of the embankment dam so that the computed stresses in the dam and foundation are not influenced by the proximity of the mesh boundary (R. W. Clough and R. J. Woodward, Ill, 1967; International Commission on Large Dams, 1986). Principal Steps In Finite Element Analysis The following are the principal steps taken when conducting a finite element analysis. 1. Select the location of the embankment dam section for static stability analysis. Generally, it will be at the maximum section. 2. Draw the dam cross-section and include the embankment and foundation material boundaries. Include the stress-strain and strength properties of each material for the appropriate loading conditions. IVv-19EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: ANALYTICAL METHODS Principal Steps In Finite Element Analysis (Continued) 3. Divide the cross section into finite elements. Each element must completely lie in one material. The proportioning of element sizes should follow the finite element discretization requirements for static analysis (R. W. Clough and R. J. Woodward, III, 1967). If dynamic stabil analysis discussed in the section on Seismic Analysis Methods in Unit V. ity analysis is planned, consider the requirements for dynamic 4, Number the elements and nodes following the conventions of a particular computer program to be used. 5. Prepare input data following the computer program user instructions. 6. Submit the input data from Step 5 for computer analysis. Analysis Results The results of a finite element analysis of an embankment dam and its foundation include stresses and deformations for each element for the loading conditions under study. ‘The computed shear stresses are compared to the corresponding shear strengths to determine the factor for safety on an element-by-element basis. This information is used to assess an average factor of safety along a selected shear surface by taking an average of the calculated factor of safety values for the elements along the shear surface. Similarly, potentially critical shear zones are identified by connecting the elements with low factor of safety values. IV-20EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION IV. STATIC STABILITY: REMEDIAL ACTION INTRODUCTION ‘The engineering evaluation of an existing embankment dam and its foundation provides the engineer with quantitative information about dam safety deficiencies. The objectives of evaluating this quantitative information should be to: ‘Identify areas of dam safety deficiencies and magnitudes of these deficiencies. + Identify the causes of dam safety deficiencies. Once the answers to these two objectives are known and understood, there is often more than one way to improve the safety of the dam. The means to rectify a particular deficiency may be conventional or quite innovative; however, the relative merits of each alternative should be evaluated and cost estimates prepared. The final choice of a particular scheme depends upon: + The relative merits of possible solution schemes + Economic considerations + Organizational preferences . Past experiences REMEDIAL MEASURES Features which have been used to improve the static stability of embankment dams include: Repairing oversteepened embankment slopes Buttressing unstable embankment slopes with additional fill Sealing cracks in embankments to prevent rainfall infiltration Sealing the upstream slope with a membrane or other seepage barrier Removing and replacing weak embankment material Adding drainage zones Rehabilitating existing toe drains ‘Adding toe drains I-21EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Iv. STATIC STABILITY: SUMMARY SUMMARY: STATIC STABILITY Unit IV discussed static stability of embankment dams, and provided background information on significant events that can cause static instability and indicators of static instability. Review And Evaluation Of Project Data The types of project data to be reviewed when evaluating static stability include: + Site geology and/or material property data + Design, as-built construction, and performance data + Loading conditions Analytical Methods ‘The two general approaches to assessing embankment dam static stability were discussed: + Effective stress analysis, and * Total stress analysis The commonly used analysis methods were briefly presented: + Limit equilibrium method + Finite element method Remedial Action Measures to alleviate potential static instability were stated. Iv-22‘UNIT V DYNAMIC STABILITYEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Vv. DYNAMIC STABILITY: OVERVIEW INTRODUCTION This unit discusses the dynamic stability of embankment dams. Background information is presented on: + When dynamic analysis is warranted + Modes of failure related to dynamic instability + Objectives of dynamic stability analysis In addition to background information on dynamic instability and its effects, this unit also describes: + What types of project data should be reviewed and analyzed at the outset of evaluating the dynamic stability of an embankment dam, + What dynamic properties of soils are of interest in a dynamic stability analysis and how these values are obtained. + What approaches and methods may be used to analyze the dynamic stability of an embankment dam. + What remedial actions can be taken to alleviate potential dynamic instability.EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: BACKGROUND INFORMATION INTRODUCTION Earthquakes may affect embankment dams in various ways. Seismic forces may be transmitted directly from the foundation to the dam, Reservoir waves overtopping the dam may be generated by earthquake-induced landslides or oscillation of the reservoir or sudden movement of the dam foundation, For well-buiit embankments on stable foundations, that is, of and on densely compacted soils, requited dynamic analysis may be minimal if estimated peak ground accelerations would not exceed 0.2 g. Where ground motions are more severe, engineers often use dynamic displacement analysis for dams constructed of and on soils which would not lose strength under seismic impact. When embankment or foundation soils might be weakened substantially by strong shaking, dynamic analyses are made to determine liquefaction potential. Since the failure of Sheffield Dam in 1925 and the historic incident at Lower San Fernando Dam in 1971, the dynamic stability of hydraulic fill dams especially has become suspect. These concerns are for potential liquefaction of loose saturated sands, gravels, or silts having a contractive structure when subjected to shear deformations with high pore pressures developing, resulting in a loss of resistance to deformation (R. B. Jansen, 1980). Tt should be understood that performing a dynamic analysis of an embankment dam makes sense only if the static stability of the dam is adequate, For dams with marginal static stability, a dynamic loading of any significance is bound to cause stability problems. Therefore, it is essential to ensure a sound static response of an existing embankment dam, by corrective actions if needed, before continuing with the dynamic analysis. ‘The dynamic loads are in addition to the static loads. Thus, the static analysis results need to be combined with the dynamic analysis results in order to estimate the response of an embankment dam to an earthquake. v2EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION YY. DYNAMIC STABILITY: BACKGROUND INFORMATION WHEN DYNAMIC ANALYSIS IS WARRANTED ‘The need for dynamic analysis of an existing embankment dam and its foundation is indicated if: + The dam was designed and built prior to 1970 when the significance of earthquake effects on embankment dams and their foundation materials was not well recognized or well understood, and only pseudostatic methods of stability analysis were used for dams in seismic areas. + Recent seismic activity and/or seismotectonic studies indicate potential for earthquakes which may be more damaging than the ones estimated at the time the dam was designed. + Review of geology and construction records or sampling and testing indicates the presence of potentially liquefiable materials in the foundation, + The dam was constructed by hydrautic fill methods. + A high potential exists for loss of life and property in the event of failure. = Anew hazard assessment of the area is needed due to demographic changes. One or more of these factors may be of enough significance to warrant undertaking a dynamic analysis of an existing embankment dam and its foundation. Sometimes dynamic analysis of an existing embankment dam may be required for raising the dam, or for changed reservoir operations. These are not safety of dams issues in the conventional sense and are, therefore, not covered in this document. V3EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: BACKGROUND INFORMATION MODES OF FAILURE Figure II-2 on page Il-12 includes a schematic description of the most serious modes of failure of an embankment dam due to earthquake loading; namely, liquefaction in the dam body, and the liquefaction in the foundation soil. Other modes of failure of an embankment dam due to earthquake loading include (R. B. Jansen, 1988): * Slope failures induced by ground motions. + Sliding of the dam on weak foundation materials. + Disruption of the dam by major fault movement in the foundation, + Loss of freeboard due to differential tectonic ground movements, + Loss of freeboard due to slope failures or soil compaction. + Piping faiture through cracks induced by the ground motions. + Overtopping of the dam due to seiches in the reservoir. + Overtopping of the dam due to large slides or rockfalls into the reservoir. + Overtopping of the dam due to failure of the spillway or outlet works. Localized dam incidents during an earthquake can quickly become large incidents, threaten the integrity of an embankment dam, and lead to uncontrolled release of reservoir water. Therefore, dynamic stability evaluation of an embankment dam should include a study for these possible modes of failure. ‘The upper part of an embankment is especially vulnerable to seismic forces. It is susceptible to cracking and to separation at the contact with the abutment, Since seepage paths are short near the top of the dam, and because the internal embankment pressures are generally too low to close cracks, the potential for dangerous leaks is considerable. v4EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: BACKGROUND INFORMATION OBJECTIVES OF DYNAMIC STABILITY ANALYSIS The principal objectives of dynamic stability analysis of existing. embankment dams and their * foundations are to assess: + Liquefaction potential of susceptible materials. The dam becomes unstable as a result of loss in soil strength in the dam or foundation. Typical examples are liquefaction slides in the Lower San Fernando Dam and Fort Peck Dam (see Figure V-1(a)). + Extent of permanent deformations. The dam remains stable during and after the earthquake; however, deformations accumulate. The accumulated deformation needs to be estimated and evaluated with respect to its effects on the likelihood of an uncontrolled release of water from the reservoir (see Figure V-1(b) on the following page). + Potential for cracking. An estimate of effective stresses in the embankment and its foundation during and following an earthquake is of interest in evaluating the potential for cracking. The possible effects of fault movement on embankment dam stability also need to be considered in analysis. FIGURE V-1(a). SCHEMATIC OF SLIDE AT FORT PECK DAM Final crest £1,280. ALR. tracks Se espal! RR troche Before slide + & 2200- Original ground Tf patter sige _ it & z100~ i 2000— Shale surface” f WAR Gravel tos Chiefly alluvial sands v5EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: BACKGROUND INFORMATION OBJECTIVES OF DYNAMIC STABILITY ANALYSIS (Continued) FIGURE V-1(b). SCHEMATICS OF CROSS SECTIONS THROUGH HEBGEN DAM BEFORE AND AFTER EARTHQUAKE 1s shown below 3 300 380 Hb5 Trto0 stone Profile of dom ciong® covewsl locking downstream) (i) Profile of Hebgen Dom Crest settiem (downstream (ii) Stotion 5 +75, Crest settlement. Grost settlement (upstream) =5.3 ft (downstreom)=1.34 pee eee (ii) Station 6+75 Crest settlement Crest settlement (upstream)=3.94t Coenen ee] pst (iv) Station 8 +00 Cross section before earthaucke 9 sort — Gross section after earthquake “— v5EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Vv. DYNAMIC STABILITY: REVIEW AND EVALUATION OF PROJECT DATA INTRODUCTION Prior to doing a dynamic analysis of an embankment dam, it is essential to review the available information on: Site geology Dam design and construction Reservoir operations and dam performance Static analysis results Instrumentation data Landslide activity along the reservoir CONSIDERATIONS FOR PERFORMANCE UNDER DYNAMIC LOADING During the project data review, the presence or absence of favorable and unfavorable factors affecting the embankment dam’s ability to perform satisfactorily during an earthquake should be identified. Favorable Factors Large freeboard. Wide transition zones. ‘Adequate compaction of materials in the foundation and embankment. A high level of quality control in construction. Continuous surveillance and monitoring of the dam. Foundation of competent bedrock. No static slope instability or excessive settlement problems during dam construction and operations. No excessive seepage or high pore pressures in the dam body or foundations. + High static factor of safety for steady-state seepage condition, + No large landslides around the reservoir rim, Unfavorable Factors Proximity to active faults. Unconsolidated sediments in the foundation, Low-density materials in the embankment and/or foundation. Low or marginal static stability. Poor quality control during construction, Zones of high pore pressure in the dami body andior foundation, Uniform fine-grained, cohesionless materials in foundations. Unstable reservoir rim. v7EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: REVIEW AND EVALUATION OF PROJECT DATA CONSIDERATIONS FOR PERFORMANCE UNDER DYNAMIC LOADING (Continued) These two lists of favorable and unfavorable factors may not be complete; the order of entries is ot important and the presence or absence of all factors at a particular site is not implied, Not all of the factors included in these two lists can be subjected to quantitative assessment in terms of numerical values. Therefore, their merits must be evaluated in qualitative terms, case-by-case. ‘The following comments on these factors may be of general interest in dynamic stability problem(s) identification: The presence of bedrock, instead of alluvial deposits, along the dam-foundation contact essentially eliminates the concerns associated with foundation liquefaction. Thus, the dynamic analysis efforts can be concentrated on the dam body. A high level of quality control during construction. is a good indicator that the embankment dam was constructed as designed. If the design appears adequate, then there can be greater confidence in satisfactory performance of the embankment dam duting service, ‘The review of static analysis results should help identify zones of relative weakness and higher vulnerability during an earthquake. These will be the zones with low static factors of safety. High pore pressure zones and excessive seepage under steady-state conditions get worse under earthquake loading and may cause embankment cracks and lead to piping failure. High pore pressures cause a decrease in effective stresses in soils and can lead to liquefaction failures. Identification of these zones in the data review warrant closer examination in dynamic analysis. A wide transition zone on the upstream side of the core is considered to provide material which may fill a crack in the core should one develop. A downstream filter or transition zone should preclude migration of soil particles from the core and, thus, inhibit the tendency for continuous piping of core material. ‘The two transition zones, ‘one upstream and one downstream of the core, work together to promote satisfactory performance of the embankment dam during an earthquake. Stable reservoir rim slopes as indicated by a lack of landslide activity is a good sign. However, if there is an ancient landslide in the reservoir area, it should be evaluated for satisfactory behavior for the earthquake loading. The presence of a large freeboard provides the additional reservoir capacity to contain the increased volume; more importantly it provides a barrier to prevent the water wave, generated by a sudden Jandslide plunge, from overtopping the embankment dam, V8EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Vv. DYNAMIC STABILITY: REVIEW AND EVALUATION OF PROJECT DATA CONSIDERATIONS FOR PERFORMANCE UNDER DYNAMIC LOADING (Continued) Continuous surveillance and monitoring in itself does not change the performance of an existing dam. However, it does provide information about developing problems. Coupled with an early warning system and emergency action plans, this information can be used effectively in safely evacuating people if failure of the embankment dam seems imminent, An ideai embankment with an ability to adjust safely to differential movements would be the one which has. . . An impervious zone composed of a well-graded mixture of clay, silt, sand, and gravel, Ample transitions and drains, Thoroughly compacted gravel or quarried rock shells, and Liberal freeboard. One of the designs least resistant to seismic loading would be a dam with a thin, sloping core of siltor other easily erodible soil, thin transition zones, and dumped rockfill shells, Dumped rocklill may have questionable merit in a high dam because it is susceptible to considerable settlement under severe shaking.EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V, DYNAMIC STABILITY: DYNAMIC PROPERTIES OF SOILS INTRODUCTION The dynamic properties of embankment and foundation soils of interest in a dynamic stabi analysis are: ‘+ Shear stress - shear strain - damping characteristics of soils in the dam and foundation under cyclic loading + Shear strength of soils under cyclic loading. © Susceptibility of soils to liquefaction. The following is a brief discussion of the commonly used field and laboratory tests to obtain these properties (Dynamic Analysis of Embankment Dams, Bureau of Reclamation, 1976). GEOPHYSICAL IN SITU INVESTIGATIONS Geophysical explorations are used to obtain the in situ shear wave velocity from which the shear modulus, corresponding to small shear strain (< 10+ percent) is calculated. There are uncertainties in the geophysical techniques for determining damping characteristics of soils in situ, Therefore, laboratory tests are preferred for damping value determinations. ‘There are a number of different geophysical exploration methods for determining in situ shear wave velocity, ‘These methods can be grouped in two categories: (a) the steady-state vibratory source methods, and (b) the impulsive transient source methods. All these methods involve an energy source to generate seismic waves and an array of geophones to measure the arrival of seismic waves. With the distance between the energy source and the receiving station, and the time of travel being known, the seismic wave velocity is calculated. Only low-yield explosives or nonexplosive sources, such as impact or impulse devices, are used to generate waves. They induce very small amounts of energy into the soil. A brief description of these methods is given on the next page.EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION . DYNAMIC STABILITY: DYNAMIC PROPERTIES OF SOILS GEOPHYSICAL IN SITU INVESTIGATIONS (Continued) Steady-State Vibratory Source Methods which include: The Rayleigh wave method in which the energy source is an electromagnetic vibrator or a mechanical vibrator with counter-rotating eccentric masses. The shear wave method in which the energy source for generating shear waves is vibriosis, which vibrates in the horizontal plane at constant frequency for a specific number of cycles. Impulsive Transient Source Methods which include: The Rayleigh wave dispersion method in which low energy explosives are used to generate Rayleigh waves. For all practical purposes, the Rayleigh waves are considered to be equivalent to shear waves. However, Poisson’s ratio of the material has a slight influence in relating Rayleigh wave and shear wave velocities. ‘The shear wave - refraction method in which an impact energy source is used to generate shear waves. No borehole is required. The shear wave - downhole method in which an impact device and a wooden plank or steel plate placed near a borehole is used to generate shear waves. One borehole is required. The shear wave - crosshole method in which a small explosive in a fluid-filled hole or a mechanical impulse device \ocated in a dry hole is used to generate shear waves, More than one borehole is required. The shear wave - uphole method which is usually performed along with the crosshole method by placing the geophones on the ground surface near the shot hole. One borehole is required, ‘The selection of any particular method for determination of shear wave velocity in an embankment dam and its foundation is a matter of the past experience of the personnel, availability of equipment, and organization preference. In general, the most reliable results are obtained from borehole methods, primarily the downhole and crosshole methods; between these two, the crosshole method is generally preferred. See Dynamic Analysis of Embankment Dams, U.S. Bureau of Reclamation, for additional details on geophysical in situ investigations for embankment dasns and their foundations. v-llEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: DYNAMIC PROPERTIES OF SOILS GEOPHYSICAL IN SITU INVESTIGATIONS (Continued) The geophysical exploration methods used are able to induce only small strains in the soil (less than 10+ percent). ‘The shear wave velocity and the calculated shear modulus are for small shear strain. Strains produced under earthquake loading are usually greater than 10% percent; therefore, laboratory tests are required to determine the shear modulus variation for these larger strains, Also, laboratory tests are required for determination of reliable damping values and their variation with strains. LABORATORY TESTING Laboratory tests are performed to evaluate the soil behavior under dynamic loadings, namely: the ‘dynamic properties and cyclic strength tests. ‘The dynamic property tests provide parameters for use in determining the shear stresses induced in an embankment and its foundation, The cyclic strength test results are used to evaluate the soils’ ability to withstand these shear stresses safely. The evaluation is on the basis of loss of strength (liquefaction) or deformation. Prior to laboratory testing, a field exploration and sampling program is conducted. ‘The scape and techniques employed to determine the in situ conditions and to obtain the samples needed in the laboratory depend on the type of structure involved, for example, rolled earth or hydraulic fill, the type and condition of soil encountered, and existing data, In addition to these factors, laboratory and analysis requirements are considered in planning and performing the field investigations. Dynamic Property Tests The two dynamic properties of interest in performing the dynamic response analysis of an embankment dam and its foundation are: + The shear modulus versus shear strain, + The damping ratio versus shear strain. V-12EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION 'V. DYNAMIC STABILITY: DYNAMIC PROPERTIES OF SOILS Dynamic Property Tests (Continued) The following tests are commonly performed in the laboratory'to determine dynamic response properties in soil. Figure V-2 on the following page shows the approximate strain range of each of these tests. + Resonant column test in which one end of a cylindrical specimen is forced to vibrate in either the torsional or longitudinal mode. + Cyclic simple shear test in which shear strains are applied to the specimen and the shear modulus is calculated from the ratio of the shear stress to the shear strain, + Cyclic triaxial test in which a cylindrical specimen is subjected to a series of repetitive axial compression and extension loads while the vertical deformation is monitored. The cyclic simple shear test most neatly duplicates the loading conditions thought to occur during an earthquake. However, the cyclic triaxial test is the most widely used test to evaluate the dynamic shear modulus and damping ratio for earthquake analysis, Other test methods listed in Figure V-2 are not commonly used. Synthesis Of Dynamic Property Test Results To obtain the variation in shear modulus and damping ratio over the range of shear strain required for the dynamic analysis, the resonant column, and the cyclic simple shear or cyclic triaxial test results are combined. After reducing the data to a function of the mean principle stress, the results of individual tests are combined on a single plot of shear modulus and damping ratio versus single amplitude shear strain. The site-specific test results are generally compared to those available in the {iterature for shear modulus and damping ratio versus strain; any differences in results must be resolved to the satisfaction of engineers involved in the seismic evaluation work prior to their use in dynamic analysis. Cyclic Strength Tests ‘The cyclic strength tests are the second group of dynamic tests required for the dynamic analysis of an embankment dam and its foundation. The cyclic strength tests are carried out to large shear strain levels to enable evaluation of the shear strength of soi! at large strains. Also, the cyclic strength is significantly affected by the static stress conditions. Therefore, the stresses applied in the laboratory tests must simulate those existing in or beneath the embankment dam prior to the occurrence of earthquake. V-13ayonbyjipe uoyjow Buoys (2) yorxo1ay 91949 ® Apays eduys 91)949, © apeys 10U0}S404 ® aiqoy ex0us (©) uwumnjoo juouosey (2) Ayoojan asind oO (%) NIVULS YVSHS ot ' 1.01 -01 ¢-0l -0l g-0! Toy =| _ () - —+t—_-®)}—_ —O+~ SaILLAAdOUd TOS DINVNAG NIVLEO OL Gasn SLSAL JO HONVA NIVALS ALVWIXOUddY “7A TANIA veldEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: DYNAMIC PROPERTIES OF SOILS Cyclic Strength Tests (Continued) The following test methods are commonly used: Shake table, Cyclic simple shear, Cyclic torsional shear, and Cyclic triaxial. Because of the wide range in stress conditions existing in an embankment and the need to test undisturbed as well as remolded specimens, the cyclic triaxial test is commonly used in the dynamic analysis of embankment dams. In the cyclic triaxial test, the pre-earthquake static stresses are simulated by consolidating a cylindrical specimen under isotropic or anisotropic stresses; a series of uniform, load-controlled axial compression and extension stresses are applied; and the load, axial deformation, and pore pressure are monitored. Many of the procedures followed in conducting isotropic and anisotropic tests are similar. However, significant differences exist between the two types of tests, particularly in analyzing the results. See Dynamic Analysis of Embankment Dams by the U.S. Bureau of Reclamation for additional details on cyclic triaxial test and data analysis. ‘The results of the isotropic and anisotropic tests are summarized to show the effect of combined Static and cyclic stresses on the cyclic strength. These presentations show: + The cyclic stresses required to cause a selected percent strain in a specific number of cycles. + The effect of confining pressure on cyclic stresses as a function of number of cycles. + The effects of static normal stress and the cyclic shear stress on cyclic stresses a8 a function of number of cycles. V-15EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: DYNAMIC PROPERTIES OF SOILS Soil Liquefaction Tests ‘The method commonly used for liquefaction analysis of a soil deposit subjected to earthquake loading and the resulting generation of shear stresses on horizontal planes requires the following information (H. B. Seed, P. P. Martin, and J. Lysmer, 1975): + The liquefaction characteristics of the materials under undrained conditions. + The permeability of the soils. + The compressibility of the soils. ‘The following tests are performed on the representative samples of the soils under investigation to determine these characteristics: + Liquefaction Characteristics. These are normally determined by means of undrained cyclic simple shear or triaxiat compression tests (the latter with appropriate correction factors applied to convert the results to equivalent simple shear conditions). + Permeability Characteristics, Permeability is an extremely variable soil characteristic and it is not easy to relate it to simple index properties. Some approximate relationships between grain-size characteristics and permeability coefficients are available in the literature (H. B. Seed, P. P. Martin, and J. Lysmer, 1975). + Compressibility Of Soil. Very few studies have been made on the settlement and compressibility of saturated sands due to dissipation of pore pressures produced by cyclic loading. For pore pressure dissipation effects, the coefficient of volume compressibility at low pore pressure is needed. This characteristic is generally assessed from a knowledge of grain size and relative density using the available test data (H. B. Seed, P. P. Martin, and J. Lysmer, 1975). See the reference The Generation_and Dissipation of Pore Water Pressures During Soil Liquefaction by H. B. Seed, P. P. Martin, and J, Lysmer, 1975 in Appendix B for additional details on soil liquefaction tests, available test data, and approximate relationships. V-16EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: ANALYTICAL METHODS INTRODUCTION When analyzing the dynamic stability of an embankment dam, the following must be addressed: + Loading conditions + Analytical approach - Pseudostatic method versus dynamic response method - Effective stress versus tota! siress analysis - Liquefaction evaluation LOADING CONDITIONS Dynamic analysis of an embankment dam is generally performed for the steady-state reservoir water level. A dynamic analysis is seldom necessary in conjunction with sudden drawdown of the reservoir. However, if earthquake loading is possible during reservoir drawdown associated with 4 pumped storage project where frequency of drawdown occurs on a daily cycle, earthquake effects during sudden drawdown should be investigated, Site-specific seismic evaluations identify earthquake source areas, the maximum credible earthquake, and the distance from the site of each relevant source area. A time-acceleration record is suggested by the responsible seismologist on the dam safety evaluation team for use in dynamic analysis of the embankment dam under study. It is generally considered that the dynamic response of embankment dams does not require consideration of the vertical component of ground motion and the hydrodynamic effects of the reservoir. However, these considerations are open for discussion for embankment dams with steep slopes, such as rockfill dams (Selecting Seismic Parameters for Large Dams, International Commission on Large Dams, 1989). Also, only one horizontal component of ground motion, acting in the upstream-downstream direction, is considered for seismic evaluation for embankment dams, unless a three-dimensional analysis is warranted. It is suggested that these issues be resolved and agreed upon between all parties involved in the seismic safety evaluation for a particular embankment dam, PSEUDOSTATIC VERSUS DYNAMIC RESPONSE METHODS The pseudostatic method of analyzing dynamic stability incorporates the seismic force as a static external force applied to a soil deposit, and a static slope stability analysis is carried out. The static seismic force is designated by a seismic coefficient. The seismic coefficient is assigned a numerical value based on experience. ‘The dynamic response methods incorporate dynamic properties of soils and use earthquake time- acceleration data. The pseudostatic method is used to calculate the acceleration at which sliding will begin to occur. This result is used in dynamic displacement calculations. V-ITEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: ANALYTICAL METHODS PSEUDOSTATIC VERSUS DYNAMIC RESPONSE METHODS (Continued) The pseudostatic method of analysis is considered inadequate to reliably predict the safety of embankment dams subjected to earthquake loading because the method could not be used to properly explain the following events (Safety of Dams: Flood and Earthquake Criteria, National Academy Press, 1985; H. B. Seed, K. L. Lee, I. M. Idriss, and F. Makdisi, 1973): + Slope failures that occurred at many places in Alaska in the 1964 Alaska earthquake, magnitude 8.3. + A near failure of the Lower San Fernando Dam, and significant sliding in the Upper San Fernando Dam as a result of the San Fernando earthquake of 1971. + Accelerograph records showing peak accelerations during earthquake shaking greater than 0.3 g. ‘At about the time of these events, finite element methods and high-speed computers had become available for making improved analyses for seismic response. The ability of dynamic response analyses to provide better insights into probable field performance was studied. The results of these studies were sufficiently convincing for the changeover of methodology. With the improvement in characterization of static and dynamic properties of soils, and advances in cyclic testing, the dynamic method of analysis has been continuously improved and refined. The pseudostatic method and the dynamic response methods are discussed in the section entitled Scismic Analysis Methods. EFFECTIVE STRESS VERSUS TOTAL STRESS ANALYSIS The two different dynamic analysis procedures are: Effective stress dynamic analysis. + Total stress dynamic analysis. In effective stress dynamic analysis, the dynamic response of pore fluid and its interaction with the soil skeleton are considered essentially simultaneously. The effective stress dynamic analysis is generally performed with the finite element method. ‘The results of this analysis yield stresses and deformations. These results are used to determine answers to various modes of embankment dam failure discussed previously. V-18EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION DYNAMIC STABILITY: ANALYTICAL METHODS EFFECTIVE STRESS VERSUS TOTAL STRESS ANALYSIS (Continued) In total stress analysis, the dynamic response of the soil skeleton and the dynamic response of pore fivid are studied separately and their results combined. The soil astd pore fluid response interaction can be apptoximated by performing several total stress dynamic analyses using modified dynamic soil properties which are consistent with the corresponding dynamic pore pressure analysis results. ‘The total stress dynamic analysis is generally used for the various modes of embankment dam failure discussed previously. ‘The analyses are generally one-dimensional o two-dimensional and use numerical discertization of the problem in layers or finite elements. Figure V-3 on the following page shows a schematic description of the two procedures (A. K. Chugh and J. L. Von Thun, 1985). Both of these analysis methods are computation intensive and do not lend themselves to longhand calculations for practical applications in embankment dam engineering. ‘Therefore, computer programs have been developed implementing these analysis methods to facilitate their use in practice. The choice of effective stress or total stress dynamic analysis depends upon: + Availability of a particular computer program. + Experience and training of the user engineer. + Organizational preference. If used properly, the two methods should yield similar results and lead to essentially identical conclusions. However, the effective stress dynamic analysis method should be a preferred choice provided that site-specific test data and an effective stress dynamic analysis computer program are available. TYPES OF ENGINEERING ANALYSES The following analyses are considered adequate to assess the dynamic safety of existing embankment dams and their foundations (Safety of Dams: Flood and Earthquake Criteria, National Academy Press, 1985): + For reasonably well-built dams on rock or stable soil foundations, the pseudostatic method of stability analysis may be used if estimated peak ground accelerations are less than 0.2 g. The value of the seismic coefficient should be selected as per recommendations given in the article by H. B. Seed and G. R. Martin entitled The Seismic Coefficient in Earth Dam Design. + For reasonably well-built dams on stable soils that do not lose strength as a result of earthquake shaking and for estimated peak ground accelerations exceeding 0.2 g, deformations should be estimated using dynamic deformation analysis, v-19aaunobuvys is0e (2) soma aevnoniaya aH ao onto: ae amon WWOKEANE (21 SISAIVNY OINVNAC SSHULS TVLOL NY FALLOGAAA AO NOLLARIOSAC DLLVWAHOS “£-A FUND V-20EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Vv. DYNAMIC STABILITY: ANALYTICAL METHODS TYPES OF ENGINEERING ANALYSIS (Continued) + For dams involving embankment and/or foundation soils that may lose a significant portion of their strength or develop high excess pore water pressure under the effects of earthquake shaking, dynamic analysis for liquefaction potential, or strength reduction potential, should be performed. Whereas the first two analysis types offer a simple and reasonable means for evaluating the potential behavior of embankments built of clay soils, or those constructed of very dense cohesionless soils with little likelihood of a major decrease in undrained shear strength due to anticipated levels of shaking, the third analysis type can be used for all soils. In addition to these three formalized analyses, it is a usual practice to compare the damsite under study with the historical occurrence of liquefaction at damsites during earthquakes. This comparison is’in terms of epicentral distance and earthquake magnitude, and is independent of the dam height, valley shape and size, and type of embankment. Similarly, for liquefaction potential of sand and silt at the damsite under study, its steady-state strength and corrected blow count in standard penetration resistance tests are compared with the historical performance data (Embankment Dam Design Standard for Seismic Design and Analysis, Bureau of Reclamation, 1989). This comparison is independent of the earthquake magnitude and its distance from the damsite. These are the empirical approaches which provide a historical performance expectation for the dam under study. However, these are not intended as substitutes for the three formal analyses discussed above. It should be emphasized that dynamic analysis of an embankment dam should be considered as a compliment to sound engineering judgment and previous experience with similar structures, It should be kept in mind that each completed structure and its immediate environment form a unique system that is not duplicated elsewhere. Problem And Time Dimensions ‘The dynamic response analyses of embankment dams and their foundations may be one-, two-, or three-dimensional with time as an additional dimension. In general, however, one-dimensional and two-dimensional analyses, with time as an additional dimension, are commonly performed. The pore pressure response in an earth deposit continues long after the cessation of earthquake activity, due to slow dissipation of developed pore pressures. The postearthquake period considered critical for an embankment dam stability lasts about 1 to 3 days after the earthquake. Therefore, it is essential to consider dynamic pore pressure response analysis for such an extended period of time. v-21EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: ANALYTICAL METHODS SEISMIC ANALYSIS METHODS ‘There is no basic difference in methodology between seismic analysis of new and existing dams. However, the analysis efforts should be commensurate with the quality and quantity of data available. More complex analyses by themselves do not provide any better understanding of the possible responses; they may lead to a false sense of security. Therefore, major efforts should be made to collect and understand site-specific geotechnical data for adequate and useful analytical work, Still, the limitations of scientific understanding of earthquakes and the semiempirical nature of seismic analysis of embankment dams should be kept in mind in interpretation and use of analytical results. Analysis for earthquake loading should begin with simplified procedures and proceed to more rigorous methods of analysis as a particular situation may warrant (Earthquake Analysis Procedures for Dams, International Commission on Large Dams, 1986). Pseudostatic Method Prior to the advent of computers and modern earthquake engineering, this was the most commonly used method for evaluating dynamic stability of embankment dams in seismic areas. This is an extension of the static slope stability method in which a seismic force is applied as a static external foad on the slide mass. Typically, the seismic force is applied in a horizontal direction, its magnitude is proportional to the mass, and the proportionality constant is the seismic coefficient. ‘There are a number of approaches that have been suggested in evaluating the magnitude of seismic Coefficjent and its variation with dam height for use in dynamic stability analysis by this method. ‘The pseudostatic method is also known as the seismic coefficient method (S. Okamoto, 1973; H. B. Seed and G. R. Martin, 1966). When an embankment and/or its foundation are composed of loose sands, silts, or gravels, the pseudostatic method may not be applicable. The direct use of this procedure is limited to dynamic stability analysis of well-built embankment dams on stable foundation sails, with proper evaluation of the seismic coefficient considering the embankment dam height and material characteristics as well as different positions of the potential slide mass within the embankment section, and when peak ground acceleration is less than 0.2 g. The general use of this method is limited to yield acceleration determination which is a measure of external force required to bring a slide mass to the verge of failure. ‘This result is used in calculating displacement of the slide mass for a given earthquake loading. v2EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: ANALYTICAL METHODS Dynamic Displacement Analysis Method This method is commonly used for analyzing the magnitude of displacements that might occur where the soil could be considered to behave as a rigid plastic material and where sliding occurs ‘on a well-defined slip surface. The method involves two steps (N. M. Newmark, 1965): + The determination of yield acceleration, that is, the acceleration at which sliding will begin to occur. + The evaluation of the displacements that would occur in time intervals when the earthquake caused accelerations exceed the yield acceleration. ‘The details of these two steps are described below. ‘Yield Acceleration Determination The yield acceleration for a shear surface is calculated by adding an arbitrary force F, = XW at an inclination ¥y to the horizontal at the centroid of each slice in addition to the forces for static slope stability analysis. F, = AW corresponds to a constant acceleration ) times that of gravity multiplied by the mass of the slice. The value of \ corresponding to the inclination angle + for which the calculated factor of safety equals 1 is the yield acceleration coefficient, Nyigg- Thus, this analysis gives a value for Xyjqiq Corresponding to the inclination angle y. It is convenient to consider the yield acceleration value for a shear surface to represent a measure of its strength against sliding at the time of an earthquake, The sample problem in the paper entitled Slope Stability Analysis for Earthquakes, included in Appendix C, illustrates the details of this calculation. An earthquake causes a buildup of pore water pressure in a soil deposit which decreases the mobilized shear strength along a shear surface. , Therefore, it is likely that the yield acceleration for a slide mass changes during the earthquake. It is essential to recognize this effect. V-23EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: ANALYTICAL METHODS Evaluation Of Displacements The displacement of a slide mass during an earthquake is calculated by superimposing on the time- acceleration response of the slide mass, the yield acceleration value as determined above; integrating twice the equation of motion for the time intervals in which the design earthquake accelerations exceed the yield acceleration value; and summing up the incremental displacements over the duration of the earthquake. The sample problem in the paper entitled Slope Stability Analysis for Earthquakes, included in Appendix C, illustrates the use of this procedure. 1 It should be recognized that except for single plane shear surface, all parts of a slide mass do not ride down on a single plane of constant inclination. Ground Response Analysis Method The ground response analysis method is associated with the vertical propagation of horizontally polarized plane shear waves through a linear viscoelastic medium consisting of horizontal layers. ‘The layers are considered to extend to infinity in the horizontal direction and have a half space as the bottom layer (P. B. Schnabel, J. Lysmer, and H. B, Seed, 1972). Every layer in a soil deposit is considered homogeneous and isotropic and is characterized by thickness, mass density, shear modulus, and damping factor. Nonlinear soil behavior is treated as an equivalent linear material. ‘The stress-strain properties of the soil are defined by strain dependent shear moduli and equivaient viscous damping factors. The assumptions associated with this method are valid for small shear strain. This is total stress method. The procedure can be applied to an embankment dam’s finite width by enforcing shear force compatibility across layer interface boundaries (A. K. Chugh, 1985; J. L, Vrymoed and E, R, Calzascia, 1978; S. L. Whiteside, J. W. France, and G. Castro, 1979), Initial values of moduli and damping are selected corresponding to small strain values or to strain levels judged appropriate for the anticipated earthquake loading. An elastic analysis is carried out for the entire duration of the earthquake by solving the wave equation. The average strain, usually 65 percent of the maximum, is computed at each level; moduli and damping ratios, compatible with these average shear strains, are selected and calculations repeated. ‘The iterative procedure is continued until no significant changes in moduli and damping are necessary. ‘The response determined during the last iteration is considered to be a reasonable apptoximation to the nonlinear response, ‘The sample problem in the paper entitled Dynamic Response Analysis of Embankment Dams, included in Appendix C, illustrates the use of this procedure, (A. K. Chugh, 1985). V-24EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Vv. DYNAMIC STABILITY: ANALYTICAL METHODS Ground Response Analysis Method (Continued) This analysis procedure is used to obtain: Time-accelerationresponse developed in the layers in the soil deposit. This information can be used for dynamic displacement calculations described in the previous section on the dynamic displacement analysis method. Shear stress-time response developed in the layers in the soil deposit. This information is converted into an equivalent number of uniform stress cycles for use in pore pressure response calculations described below. Pore Pressure Response Analysis Method The procedure for evaluating the generation and dissipation of pore water pressures in a soil deposit due to an earthquake foading involves the following steps (H. B. Seed, P. P. Martin, and J. Lysmer, 1975): 1. By means of a dynamic response analysis of the soil deposit, determine the shear stress histories caused by the earthquake at the various depths of interest in the soi! deposit. For each depth in the soit profile, determine the equivaient uniform cyclic shear stress, Teg the equivalent number of uniform shear stress cycles, Nq, and the effective period of each stress cycle, T.q, representing the induced stress history. Determine, from the laboratory cyclic load tests, the relationships between the applied uniform cyclic shear stresses and the number of stress cycles required to produce a condition of liquefaction under undrained conditions for different depths in the deposit. From the data developed in the above step, determine the number of stress cycles of magnitude 7,4 required to cause liquefaction of the soi? at that depth, Ny. From the known ratios of N,,/N; at various depths, determine the rate of pore pressure buildup for each elemental layer of the deposit, if it were undrained, using a representative curve ftom data on rate of pore pressure buildup in cyclic shear tests. V-25EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STARILITY: ANALYTICAL METHODS Pore Pressure Response Analysis Method (Continued) 6 From knowledge of the coefficients of permeability and compress determine the corresponding values of the coefficients of consolidation for the different layers. 7. Solve the differential equation, defining the simultaneous generation and dissipation of pore water pressures in a soil deposit due to seismic loading, for the known values of soil characteristics, pore pressure generation expressions, and boundary conditions. The solution for pore water pressure dissipation may be pursued beyond the duration of earthquake activity. ‘The analysis gives the pore pressure response in a soil deposit subjected to earthquake loading. Soil liquefaction may or may not occur in a soil deposit during an earthquake. Finite Element Method The most accurate evaluation of stresses and deformations in an embankment is obtained when analyses are performed in a series of steps or increments to simulate construction, static and dynamic loading events, and using nonlinear soil behavior characteristics, Refer to Unit III for a general description of the finite element method, The use of this method for static analysis is described in Unit IV. It is convenient to use the same finite element mesh for static and dynamic analysis. ‘The maximum height of the element is generally kept small as compared to the wave length of the shear wave to ensure that the major modes of vibration are included in the embankment response. As a general approach, at least two cross sections of the embankment, for example, the maximum section and an abutment section, are analyzed. Irregular abutments, variable foundation materials, or diverse material properties may necessitate additional sections or a three-dimensional analysis, Material types within the structure, especially the hydraulic fill dams, should be carefully mapped; foundation materials and bedrock clearly delineated; and the dynamic properties of all materials established. The steady-state seepage condition with the reservoir at its normal water surface elevation is the usual case analyzed. The embankment drainage system should be carefully considered, and if questions arise as to the continuing ability of drains to function, they should be assumed inoperable for analysis. The earthquake input motion is applied simultaneously to all points along the base of the model. V-26EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: ANALYTICAL METHODS Finite Element Method (Continued) ‘Once an analysis cross section has been selected, the following steps are undertaken in the dynamic method of analysis (R. B. Jansen, 1988): 1. Calculate the initial static stresses existing in the embankment and its foundation before the earthquake, ‘Typically, plane strain conditions are used in this step. 2. Select time history of earthquake acceleration to which the dam and its foundation might be subjected. Appropriate inputs from geologists and seismologists are needed to complete this step adequately. 3. Assess the dynamic properties of the soils comprising the dam and its foundation, such as shear modulus, damping characteristics, bulk modulus or Poisson's ratio, that influence response to earthquake excitation. Because the material characteristics are nonlinear, it is also necessary to determine how the properties vary with strain. 4, Using an appropriate finite element procedure, calculate the response of the embankment-foundation system to the selected base excitation, including determination of the stresses induced in the embankment and its foundation, Plane strain conditions are also used in this step. 5. Conduct cyclic tests on representative soil samples from the dam and its foundation, to measure the combined effects of the initial static stresses and the superimposed dynamic stresses in order to evaluate the generation of pore water pressures and the development of strains in these soils. A sufficient number of these tests should be performed to permit similar evaluations to be made, by interpolation, for all elements comprising the embankment-foundation system. Alternatively, for the foundation layers and for existing embankments, the cyclic strength characteristics may be estimated, based on SPT blow count and existing correlations of SPT blow count and cyclic strength. These blow counts are also helpful in estimating the residual strength in these soils. 6. Evaluate the factor of safety against failure, either during or following the earthquake, based on pore pressures generated by the earthquake, the soil deformation characteristics, and the strength characteristics. In addition to the above steps for a dynamic analysis, the following advice is quite appropriate: Be sure to incorporate the requisite amount of judgment in each of the steps, as well as in the final assessment of probable performance, being guided by a thorough knowledge of typical soil characteristics, the essential details of finite element analysis procedures, and a detailed knowledge of the past performance of embankments in other earthquakes (H. B. Seed, 1979). V-27EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATIO! V. DYNAMIC STABILITY: ANALYTICAL METHODS Loss Of Stability The potential for loss of stability can be analyzed using a static stability analysis incorporating minimum strength values corresponding to the degree to which pore water pressures are generated in the soils by the earthquake shaking. Where the pore pressure ratio in the soil builds up to a value close to 100 percent, the soil is considered to have developed a condition of liquefaction. ‘The determination of those zones where liquefaction or pore pressure buildup will occur must be made using a dynamic analysis to determine the stresses and strains induced in the embankment by the maximum anticipated earthquake motions and a knowledge of the pore pressure generation characteristics of the soils comprising the embankment and its foundation. In general, clayey soils do not appear to develop increases in pore water pressure due to earthquake shaking. However, loose, saturated cohesionless soils are highly vainerable to pore pressure development due to earthquake shaking. Once the degree of pore pressure buildup has been evaluated, and zones of potential liquefaction identified, soil may be assigned strength values for use in a static stability analysis as follows: SOIL TYPE SATURATED UNSATURATED Impervious (clayey) Sp Sy Pervious (sands) lower of Sys oF Say with r, = 100 percent S,, and Sig Pervious (sands) Sau San with r, <100 percent where: Undrained peak shear strength Undrained steady-state shear strength Drained steady-state shear strength Residual shear strength of liquefied soil Shear strength determined by effective stresses corresponding to induced pore Pressure V-29EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: ANALYTICAL METHODS Finite Element Method (Continued) It is a good practice to perform a few one-dimensional analyses using the specific dam and foundation material data and design earthquake loading prior to attempting a two-dimensional analysis. Similarly, if a three-dimensional analysis is considered, it should be preceded by a two- dimensional analysis. The lower dimension analyses are easier to make and provide the engineer ‘an opportunity to resolve any questionable material data and get an estimate for the computed response. Additional refinements in the computed response can be obtained by making higher dimension analyses. POTENTIAL FOR LIQUEFACTION ‘The phenomenon of liquefaction of loose saturated sands, gravels, or silts having a contractive structure may occur when such materials are subjected to shear deformations with high pore water pressures developing, resulting in a loss of resistance to deformation (Engineering Guidelines for the Evaluation of Hydropower Projects, Federal Energy Regulatory Commission, 1988; T. A. Mansouri, J, D. Nelson, and E. G. Thompson, 1983). Analyses must be performed to determit + If liquefaction potential exists, and + When such a liquefied condition can lead to failure or excessive deformations of an embankment. The details of these two analyses are described below. Liquefaction Potential ‘The potential for liquefaction in an embankment and/or its foundation must be evaluated on the basis of empirical knowledge and engineering judgment supplemented by special laboratory tests when necessary. Simplified methods for evaluating soil liquefaction potential relate blow count values from standard penetration tests to safe, unsafe, and marginal conditions. These methods are discussed in the articles Liquefaction of Sands, Harvard Soil Mechanics Series, No. 81 by G. Castro; and Simplified Procedure for Evaluating Soil Liquefaction Potential, Journal of the Soil Mechanics and Foundations Division by H. B. Seed and I. M. Idriss (see References, Appendix B). These empirical charts relate to observations of manifestations of increase of pore water pressure under level ground, such as sand boils. The empirical charts should be considered only as a guide for identifying zones within the dam and its foundation that may require further study. V-28EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Vv. DYNAMIC STABILITY: ANALYTICAL METHODS Loss Of Stability (Continued) For soils which develop a condition of r, = 100 percent, the value of S,,, ar S, is likely to control the stability of the slope and appropriate values may be determined as follows: + Based on empirical information from liquefaction slides in similar soils. There is a ‘general correlation between values of S, and values of (N,)go, the normalized standard penetration resistance of sands and silly sands, presented in the article Design Problems In Soil Liquefaction by H. B. Seed, published in the Journal Of Geotechnical Engineering (see Appendix B). + Based on laboratory tests using the procedures described in the article Liquefaction Evaluation Procedure by S. J. Poulos, G. Castro, and J. W. France, published in the Journal Of Geotechnical Engineering (see Appendix B). In interpreting the test data, it should be noted that values of S,, are very sensitive to void ratio changes, and thus, it is necessary to apply corrections to laboratory measured strengths to obtain in situ values and for possible void ratio redistribution during the period of earthquake shaking, and to interpret the results conservatively. If the stability analysis indicates no potential for a flow failure, then a deformation analysis should be performed. Deformation ‘Deformation computations are applicable only to dams not subject to a liquefaction-caused stability faifure. Deformations can be assumed not to be a problem if the dam is well-built, that is, densely compacted, and peak accelerations are 0.2 g or less. If this condition is not satisfied, a deformation analysis should be made, This analysis can be made using the method discussed in the previous section on dynamic displacement analysis method (page V-23). The deformation along the faiture plane calculated by this method should not generally exceed 2 feet. Larger deformations may be acceptable depending on available freeboard, and ability of the embankment to heal cracks. The basic steps involved in conducting a deformation analysis are as follows: 1. Determine the magnitude and source of the earthquake or earthquakes that should be considered, 2. Determine the time-history or time-histories of the ground motion associated with the earthquake or eatthquakes. v-30EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: ANALYTICAL METHODS Deformation (Continued) a 3. Determine the yield strength of the embankment and foundation materials. 4. Determine the dynamic response of embankment and foundation materials. 5. Predict the extent of deformations resulting from earthquake shaking. 6. — If predicted deformations are not tolerable, explore remedial action alternatives that would provide a tolerable response. ORDER OF ASSESSMENT An assessment of the dynamic stability of an existing embankment dam and its foundation involves the following steps: + Review of the design, construction, and performance data. Determination of the magnitude and distance of the earthquake(s) from the damsite. Estimation of possible performance of embankment and foundation materials by comparisons with case history prototype performances. Determination of the time-acceleration data that would be used in the dynamic analysis. + Determination of the dynamic properties of the embankment and foundation materials. Prediction of deformations and stresses resulting from earthquake loading. If predicted deformations and/or stresses are not tolerable, take remedial action. NOTE: Sometimes the dynamic analyses of an existing embankment dam and its foundation are made using estimated values for their material properties. These estimates for material property values are based on: - Historical data covering many damsites. - Limited site-specific field and/or laboratory tests for the dam under study. ~ Past laboratory test reports on the project under study. v-31EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: ANALYTICAL METHODS ORDER OF ASSESSMENT (Continued) While this may be an acceptable practice for preliminary work in a dam safety evaluation process, it is essential that final evaluations and recommendations for remedial work be based on material property values obtained from appropriate laboratory and field tests on a site-specific basis. It is always a good practice to compare the tested values with the historical data on similar materials or empirical relations, and to resolve the differences. The end objective is to get the best representative property values for the materials involved. V-32EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: REMEDIAL ACTION INTRODUCTION ‘The seismic evaluation of an embankment dam and its foundation provides the engineer quantitative information about dynamic stability deficiencies. The means to rectify these deficiencies can be difficult because of existing conditions, including the presence of the dam itself, The adaptability ‘of possible remedial actions will have to be evaluated on an individual project basis, However, corrective actions need to be taken to ensure the safe, continued presence of the dam and reservoir. REMEDIAL MEASURES The commonly encountered dynamic deficiencies and corresponding remedial actions considered are: + The embankment and its foundation do not contain loose sands, silts, and gravels, with the potential to liquefy under earthquake loading. The remedial measures described in Unit IV to improve the static stability of an embankment dam should be considered, * The embankment does not contain loose sands, silts, and gravels, but the foundation contains these potentially liquefiable materials. The following remedial treatment alternatives should be considered: ‘Dewater the loose saturated soils Densify the loose saturated soils Drain or lower the reservoir Burtress the downstream embankment slope with a berm + The embankment contains loose sands, silts, and gravels with the potential to liquefy under earthquake loading, but the dam foundation does not contain these materials. The following remedial treatment alternatives should be considered: Rebuild the dam incorporating modern dam design and construction practices Flatten the downstream and upstream embankment slopes by adding select materials Drain or lower the reservoir Densify the embankment V-33EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: REMEDIAL ACTION REMEDIAL MEASURES (Continued) + The embankment and its foundation contain loose sands, silts, and gravels with the potential to liquefy under earthquake loading. ‘The following treatment alternatives should be considered: - Rebuild the dam incorporating modern dam design and construction practices f Drain the reservoir - Densify the embankment and its foundation + Embankment overtopping deficiencies. ‘The following remedial action alternatives should be consider - Raise the dam - _ Restrict the reservoir level ‘A downstream warning system can be installed to provide notice of the need to evacuate people downstream from the dam, before the arrival of flood waters. It should be a part of the emergency action plan. V-34EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION V. DYNAMIC STABILITY: SUMMARY SUMMARY: DYNAMIC STABILITY Unit V provided background information on when dynamic analysis is warranted, the modes of failure related to dynamic instability, and the objectives of dynamic stability analysis. In addition, this unit described what project data should be reviewed, determining the dynamic properties of soils, and the analytical methods and approaches to evaluating dynamic stability. Lastly, remedial measures for dealing with potential dynamic instability were presented. Review And Evaluation Of Project Data The types of project data that should be reviewed when evaluating dynamic stability include: Site geology Dam design and construction Reservoir operations and dam performance Static analysis results Instrumentation data Landslide activity along the reservoir During this review, the presence or absence of favorable and unfavorable factors for the embankment dam’s ability to perform satisfactorily during an earthquake should be identified. Dynamic Properties Of Soils ‘The dynamic properties of embankment and foundation soils of interest in a dynamic stability analysis are: Shear stress - shear strain - damping characteristics under cyclic loading Shear strength under cyclic loading Susceptibility to liquefaction Field and laboratory tests for dynamic property determination, including: - Geophysical in situ investigations involving: ~ Steady-state vibratory source methods = __ Impulsive transient source methods Laboratory testing for dynamic properties and cyclic strength. Soil liquefaction tests V-35,EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION Vv. DYNAMIC STABILITY; SUMMARY Analytical Methods Several approaches and analytical methods are used to evaluate the dynamic stability of embankment dams: + Pseudostatic method + Dynamic Displacement Analysis method * Dynamic Response methods - Ground Response Analysis method = Pore Pressure Response Analysis method - Finite Blement method - Liquefaction Potential evaluation Remedial Action Temporary and long-term measures to alleviate the effects of dynamic instability were stated. V-36APPENDIX A. GLOSSARYEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION GLOSSARY ABUTMENTS~Those portions of the valley sides which underlie and support the dam structure, and are usually also considered to include the valley sides immediately upstream and downstream from the dam, ACCIDENT~—An incident where failure was prevented by remedial work or operating procedures, such as drawing down the reservoir. ACTIVE FAULT-A fault, reasonably located, known to have produced historical earthquakes or showing geologic evidence of displacements and which, because of its present tectonic setting, can undergo movement during the lives of manmade structures. AXIS OF DAM—The vertical plane, chosen by a designer, appearing as a line in a plan or cross- section, to which the horizontal dimensions of the dam are referenced. The axis is usually coincident with the center line of the crest of the dam. BERM-A step in the sloping profile of an embankment dam. A step ina rock or earth cut. Also, a placement of fill at the toe of a slide to buttress it against further movement. CORE--A zone of material of low permeability in an embankment dam. DIAPHRAGM WALL--A wall of impervious material built through the embankment dam and into the foundation to reduce seepage under the dam as well as through the embankment. DRAINAGE BLANKET~A drainage layer placed directly over the foundation material. DRAINAGE LAYER-A layer of pervious material in an earthfill dam to relieve pore pressures or to facilitate drainage of the fill. DRAINAGE WELLS or RELIEF WELLS (DRAINAGE CURTAIN)--A series of wells or boreholes to facilitate drainage of the foundation and abutments and to reduce water pressure, (This terminology generally is used with concrete dams.) EARTHFILL DAM--A dam containing more than 50 percent, by volume, earthfill materials (fill composed of soil and rock materials that are predominantly gravel-sized or smaller). EMBANKMENT--Fill material, usually earth or rock, placed with sloping sides. EMBANKMENT DAM--Any dam constructed of excavated natural materials. Includes both earthfill and rockfill dams, A2EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION GLOSSARY EMERGENCY--A condition of serious nature which develops unexpectedly and endangers the structural integrity of a dam or endangers downstream property and human life, and requires immediate action. EMERGENCY ACTION PLAN (EAP)--A plan designed to alleviate hazards ot reduce damages that may be caused by flooding due to dam failure or unusually high flow through the spillway system. An EAP contains procedures to be followed in the event of structural malfunctions or the occurrence of a natural event that approaches or exceeds the design limits of the dam, EPICENTER--That point of the earth’s surface that is directly above the focus of an earthquake. FAILURE--An incident resulting in an uncontrolied release of water from a dam, FAULT-A fracture or fracture zone in the earth crust along which there has heen relative displacement of the two sides. FILTER or FILTER ZONE--A band of granular material which is incorporated in an embankment dam and is graded so as to allow seepage to flow across or down the filter zone without causing the migration of the material from zones adjacent to the filter. FOCUS (HYPOCENTER)--The point within the earth that is the center of an earthquake and the origin of its elastic waves. FOUNDATION--The portion of the valley floor that underlies and supports the dam structure. FREEBOARD--The vertical distance between a stated water level and the top of a dam or spillway crest, HOMOGENEOUS EARTHFILL DAM--An embankment dam constructed throughout of more or less uniform earth materials, except for possible inclusion of internal drains or blanket drains. HYDRAULIC FILL DAM--An embankment dam constructed of materials, often dredged, which are conveyed and placed by suspension in flowing water. HYDRAULIC FRACTURING~The creation and propagation of cracks in an impervious embankment material due to excessive hydraulic pressures. A3EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION GLOSSARY INTENSITY SCALE~An arbitrary scale to describe the degree of shaking at a particular place. The scale is not based on measurement but on a description by an experienced observer. Several scales are used (¢.g., the Modified Mercalli scale, the MSK scale), all with grades indicated by Roman numerals from I to XII. INTERNAL EROSION--See PIPING LOADING CONDITIONS-Conditions to which a dam is exposed, for example gravity, earthquakes, and floods. MAGNITUDE-A rating of the size of an earthquake by numerical values, such as M5S.6, M8.2, etc. The magnitude number is calculated by means of the logarithm of the amplitude of matrices recorded by a standard seismograph at a known distance from the origin of the earthquake. Each higher whole number expresses an amount of energy released that is approximately 60 times larger than that expressed by the preceding whole number. For example, an M6 earthquake will release about 60 times the energy of an MS earthquake. PIPING—The progressive internal erosion of embankment, foundation, or abutment material. PORE PRESSURE~The pressure of water in the voids within a mass of soil, rock, or concrete. RICHTER SCALE--A scale proposed by C. F. Richter to describe the magnitude of an earthquake by measurements made in well-defined conditions and with a given type of seismograph. The zero of the scale is fixed arbitrarily to fit the smallest recorded earthquake. ‘The largest recorded earthquake magnitudes are near 8.7. This is the result of observations and not an arbitrary upper limit Jike that of the intensity scale. RISK—The probability that an adverse event such as a dam failure will occur. . RISK ASSESSMENT--As applied to dam safety, the process of identifying the likelihood and consequences of dam failure to provide the basis for informed decisions on a course of action. ROCKFILL DAM--A dam containing more than 50 percent rockfill materials (predominantly cobble sized or larger). SEEPAGE-The passage of water through embankment, foundation, or abutment material. SHELL--The upstream and downstream parts of the cross section of an embankment dam on each side of the core. AdEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION GLOSSARY SLOPE PROTECTION--The protection of embankment slope against wave action or erosion. TECTONIC PROVINCE-A geologic area characterized by similarity of geologic structure and earthquake characteristics. TOE OF DAM-The junction of the downstream slope of a dam with the ground surface; also referred to as the downstream toe. For an embankment dam, the junction of the upstream face with the ground surface is called the upstream toe. TOE WEIGHT--Additional material placed at the toe of an embankment dam to increase its stability. TRANSITION ZONE--A substantial part of the cross section of an embankment dam comprising material whose grading is of intermediate size between that of an impervious zone and that of a permeable zone, UPLIFT PRESSURE-Upward water pressure in the pores of a material or on the base of a structure. UPSTREAM BLANKET~An impervious blanket placed on the reservoic floor upstream of 4 dam. ZONED EARTHFILL DAM--An earthfill-type dam, the cross section of which is composed of zones of selected materials having different degrees of porosity, permeability, and density. ASAPPENDIX B REFERENCESEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION REFERENCES Anderson, P, Substructure Analysis and Design. The Ronald Press Company, New York, NY, 1956, Balasubramaniam, A. S. and R. P. Brenner, Consolidation and Settlement of Soft Clay. Soft Clay Engineering. E. W. Brand and R. P. Brenner, (Eds.), Elsevier Scientific Publishing Company, Amsterdam, Netherlands, 1981. Bishop, A. W. The Use of the Slip Circle in Stability Analysis of Slopes. Geotechnique, vol. 5, pp. 7-17, 1955. Castro, G. Liquefaction of Sands. Harvard Soil-Mechanics Series, No. 81, January 1969. Chugh, A. K. Pore Water Pressure in Natural Slopes. International Journal for Numerical and Analytical Methods in Geomechanics, vol. 5, pp. 449-454, 1981. Chugh, A. K. and J. D. Smart. Suggestions for Slope Stability Calculations. Computers and Structures, vol. 14, pp. 43-50, 1981. Chugh, A. K. Slope Stability Analysis for Earthquakes. International Journal for Numerical and Analytical Methods in Geomechanics, vol. 6, pp. 307-322, 1982. Chugh, A. K. and H. T. Falvey. Seepage Analysis in a Zoned Anisotropic Medium by the Boundary Element Method. International Journal for Numerical and Analytical Methods in Geomechanics, vol. 8, pp. 399-407, 1984. Chugh, A. K. Dyranic Response Analysis of Embankment Dams. International Journal_for ical Methods in vol. 9, pp. 101-124, 1985. Chugh, A. K. and J. L. Von Thun. Pore Pressure Response Analysis for Earthquakes. Canadian Geotechnical Journal, vol. 22, No. 4, pp. 466-476, 1985. Chugh, A. K, Variable Factor of Safety in Slope Stability Analysis, Geotechnique, vol. 36, pp. 57-64, 1986. Clough, R. W, and R. J. Woodward, III. Anal of Embankment Stresses and Deformations. Journal of the Soil Mechanics and Foundations Division, ASCE, vol. 93, No, SM4, pp. 529-549, Corp, E. L., Schuster, R. L. and M, M. McDonald, Elastic-Plastic Stability Analysis of Mine- Waste Embankments. "U.S. Department of the Interior, Bureau of Mines, Spokane, WA, 1975. BlEVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION REFERENCES Dynamic Analysis of Embankment Dams. U.S, Department of the Interior, Bureau of Reclamation, Engineering and Research Center, Denver, CO, 1976. Earthquake Analysis Procedures for Dams. Bulletin 52, International Commission on Large Dams, Paris, France, 1986. Embankment _Dam Instrumentation Manual. U.S. Department of the Interior, Bureau of Reclamation, Denver, CO, 1987. Embankment Dams Design Standard for Seismic Design and Analysis. Chapter 13. U.S. Department of the Interior, Bureau of Reclamation, Engineering and Research Center, Denver, CO, 1989. Embankment Dams Design Standard for Static Stability Analyses. Chapter 4. U.S. Department of the Interior, Bureau of Reclamation, Engineering and Research Center, Denver, CO, 1987. Engineering_and_Design—Earth_and_Rock Fill_Dams-General_Design_and Construction ons. EM 1110-2-2300, U.S. Department of the Army, Corps of Engineers, Washington, D.C., 1982. Engineering and Design Geotechnical Investigations. EM 1110-1-1804, U.S. Department of the ‘Army, Corps of Engineers, Washington, D.C., 1984. jineering Guideli the Evaiuation of H. t Projects. Chapter IV. Federal Energy Regulatory Commission, Washington, D.C., 1988. Fredtuod, Dd. 7 Analytical Methods for Slope Stability Analysis. Proceedings of the 4th dslides. Toronto, Canada, vol. I, pp. 229-250, 1984. it iidelir mputi yoard Allowai Dams. ACER Technical Memorandum No. 2, U.S. Department of the Interior, Bureau of Reclamation, Engineering and Research, Denver, CO, 1990. Hirschfield, R. C, and S. J. Poulos, (Eds.). at um Engineering--Cas Volut John Wiley and Sons, New York, NY, 1973. Jansen, R. B. Dams and Public Safety. U.S. Department of the Interior, Water and Power Resources Service, Denver, CO, 1980. Jansen, R. B., (Ed.) Adva Engincering for Design, Constructi habilitation. ‘Van Nostrand Reinhold, New York, NY, 1988. B-2EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION REFERENCES Kollgaard, E, B. and W. L. Chadwick, (Eds.) Development of Dam Engineering in the United States. Pergamon Press, New York, NY, 1988. Leps, T. M. Seismic Stability of Hydraulic Fill Dams. Water Power and Dam Construction, pp. 21-36, October 1978. Lessons From Dam Incidents, U.S.A. American Society of Civil Engineers, New York, NY, 1975. Mansouri, T. A., Nelson, J. D. and E. G. Thompson. Dynamic Response and Liquefaction of Earth Dams. Journal of Geotechnical Engineering, ASCE, vol. 109, GT 1, pp. 89-100, 1983. Mesri, G. and S. Ali, Discussion to the papet Hydraulic Fracturing in Embankment Dams. Journal of Geotechnical Engineering, ASCE, pp. 742-745, 1988. Morgenstern, N. R. and V. E. Price. The Analysis of the Stability of General Slip Surfaces. Geotechnique, vol. 15, pp. 79-93, 1965. Newmark, N. M. Effects of Earthquakes on Dams and Embankments. Geotechnique, vol. 15, No. 2, pp. 139-159, 1965. Okamoto, S. Introductis ike Engineering. John Wiley & Sons, New York, NY, 1973. Poulos, S. J., Castro, G. and J. W. France. Liquefaction Evaluation Procedure. Journal of Geotechnical Engineering, ASCE, vol. 111, GT 6, pp. 772-795, 1985. Safety Of Dams: Flood And Earthquake Criteria. National Academy Press, Washington, D.C., 1985. Schnabel, P. B., Lysmer, J. and H. B. Seed. SHAKE, Report No. EERC 72-12. Earthquake Engineering Research Center, University of California, Berkeley, CA, 1972. Seed, H. B. Considerations in Earthquake-Resistant Design of Earth and Rockfill Dams. Geotechnique, vol. 29, No. 3, pp. 215-263, 1979. Seed, H. B. Design Problems in Soil Liquefaction. Journal of Geotechnical Engineering, ASCE, vol. 111, No. 8, pp. 827-845, 1987. Seed, H. B. and I. M. Idriss. Simplified Procedure for Evaluating Soil Liquefaction Potential. il Mechani , ASCE, vol. 97, SM 9, pp. 1249-1273, 1971. B3EVALUATION OF EMBANKMENT DAM STABILITY AND DEFORMATION REFERENCES Seed, H. te Lee, K. L., Idriss, as M., and F. Makdisi. is i in Fer f Febru 1 BERG Report No, 73-2, University of California, Berkeley, CA, 1973 Seed, H. B. and G, R. Martin. The Seismic Coefficient in Earth Dam Design. Joural of the Soil Mechanics and Foundations Division, ASCE, vol. 92, SM 3, pp. 25-58, 1966. Seed, H. B., Martin, P. P. and J. Lysmer. TI ‘ion _and Dissipati Pressures Daring Soil Liquefaction. EERC Report No. 75-26, University of California, Dedkcey, CA, 1975. ing Seismic is, Bulletin 72, International Commission on Large Dams, Paris, France, 1989. Sherard, J. L. Embankment Dam Cracking. Embankment Dam Engineering-Casagrande Volume, John Wiley & Sons, New York, NY, pp. 271-393, 1973. Spencer, E. A Method of Analysis of the Stability of Embankments Assuming Parallel Interslice Forces. Geotechnique, vol. 17, No. 1, pp. 11-26, 1967. Static Analysis of Embanisnent Dams, Bulletin 53. International Commission on Large Dams, Paris, France, 1986. Terzaghi, K. and R. B. Peck. Soil Mechanics in Engineering Practice. John Wiley & Sons, New York, NY, 1967. Vrymoed, J. L. and E, R. Calzascia. Simplified Determination of Dynamic Stresses in Earth Dams. Proceedings of the Specialty Conference on Earthquake Engineering and Soil Dynamics, ASCE, Geotechnical Engineering Division, vol. 11, Pasadena, CA, 1978. Whiteside, S. L., France, J. W. and G. Castro. Report on Dynamic Analysis of La Fortuna Dam, vols. 1 and 2. Geotechnical Engineers, Inc., Winchester, MA, 1979, Wilson, S. D. Deformation of Earth and Rockfill Dams. Embankment Dam Engineering-- Casagrande Volume, John Wiley & Sons, New York, NY, pp. 365-417, 1973. BaAPPENDIX C ADDITIONAL READINGANALYSIS OF FOUNDATION SETTLEMENTS AT RIDGWAY DAM Ashok K. Chugh and Luther W. Davidson Canadian Geotechnical Journal, Vol. 25, No. 4, pp. 716 - 725, 1988. Permission to reprint this article in the Training Aids for Dam Safety (TADS) Manual has been obtained from the National Research Council of Canada. c2n6 Analysis of foundation settlements at Ridgway Dam Astox K. CHucH AND LutHEr W. Davioson United States Department of the Interior, Bureau of Reclamation, Engineering and Research Center, Dewer, CO 80225, U.S.A. Received April 7, 1988 ‘Accepted April 19, 1988 ‘The foundation material at the Ridgway Dam site is broadly classified as mudstone, The observed foundation settlements slong the invert of the river outlet-works conduit at Ridgway Dam are on the onder of 0.3 m. Numerical analyses were performed to estimate the deformation properties for a foundation material that under the existing embankment loads would deflect in a manner similar to the settlements surveyed along the invert of the outle-works conduit. The foundation ‘deformation properties determined from these analyses are compared with those ablained through the laboratory testing of the site-specific foundation materials and the published data. The results of the analyses, the field instramentation data, the site geology, and the laboratory data provided an input to the decision-making process forthe rehabilitation of the river outlet- works conduit Key words: foundations, settlements, embankment dams, mudstones, analjsis. ‘Le matériau de fondation sur le site du barrage Ridgway est généralement classifié comme un mudstone. Les tassements ‘observés de la Fondation du radier de la conduite de fuite dans Ia rivitre soat del'ordre de 0,3 m. Les analyses numériques ont 46 rSalisées dans le but d’estimer les propristés de déformation pour le matériay de fondation qui, sous les charges du remblai ‘existant, va subir une déMlexion similaire aux tessements qui ont 6 relevés le long du raver de la conduite de fuite, Les roprités de déformation de la fondation déterminées av moyen de ces analyses ont été comparéos 3 celles qu ont été obtenues par des essais de laboratoire sur le matériau de fondation spécifique A ce site, et fes données sont publiges. Les résultats des analyses, les données de instrumentation sur le chantir, la géologie di site, ct les données de Taboratoire ont fourni un censcrnble d'éléments uilisés dans le processus de décision quand i fa méthode de réhabilitation de la conduite de décharge dans la sivire ‘Mots clés : fondetions, tassements, barrages en tere, mudstones, analyse. (Can, Geoech 3.25, 715-725 (1988) Introduction Ridgway Dam is a zoned earthfll embankment across the Uncompahgre River in Ouray County near Montrose, Color- ado, U.S.A. The embankment dam has a maximum height of 102m" above the stream bed and a crest length of approxi- mately 750 m. Figure 1 shows the location map and general layout of the Ridgway Dam and its appurtenant structures. The dam was completed in 1987. The river outlet-works conduit is located on a relatively flat foundation and has about 65.5 m of embankment fil above it under the crest ofthe dam (see Fig. 1). Figure-2 shows the pro~ file and some cross-sectional details along the outlet-works, conduit. In January 1986, cracking of the river outlet-works conduit, was observed and a survey of the conduit invert was made. ‘This survey indicated that settlement had occurred. The maxi- rmium settlement was 0.23 m, near station 11 + 11. At the time of this survey, embankment constriction near the river outlet- works conduit had been completed to elevation 2078.7 m. Embankment construction was completed in September 1986 when the crest elevation of 2098.9 m was reached. A second survey wes completed in October 1986. Tt indicated that the maximum settlement was 0.28 m, near station 1] + 24. ‘Another survey in early December 1986 showed that the total settlement near station 11 + 24 had increased to 0.29 m. Two Umperiai units were used on this projert, The data and analyses reponed in this paper were converted, wherever practicable, 10 mete nits and conveniently rounded. The numeri information contained in this paper should, therefore, be interpreted Keeping in mind this ‘change of units, mc Coa pin Can {Traduit par In revue} additional surveys later in December 1986 indicated no addi- tional settlement. Figure 2 shows the surveyed settlements along the invert of the conduit. From March to September 1987 there had not occurred additional settlements along the conduit length due #0 reservoir loads. ‘There are several methods and practices available for use in predicting settlements of structures (Hamdy 1986). Their use sn engineering practice is a matter of individual or organiza- tional preference and past experience ‘The objectives of this paper are: 2) to present the rationale for selecting the particular analysis procedures for estimating the deformation properties of a foun- ation material that under the existing embankment loads ‘would deflect in a manner similar to the settlements surveyed along the invert of the river outlet-works conduit; @) to present the results of numerical analyses: @) to present 2 comparison of numerical analysis results with the laboratory data on site-specific foundation materials and the published data from the literature, It should be kept in mind that the cumulative settlement data and the embankment loading causing the settlements were the only reliable site-specific data available for analysis pur- ses at the time of this study. The results of laboratory inves- tigative studies, performed in conjunction with the foundation settlements, became available toward the end of the analytical studies. The preconstruction laboratory data could not be completely relied upon because the observed settlements were considerably greater than anticipated. The preconstruction geologic investigations and foundation exploration datz were available and used only for the benefit of the problem defini- tion. The problem as posed for analysis is incomplete. The C3CHUGH AND DavinsoN ™ ‘TapLe 1, Preconstruction rock mechanies laboratory unconfined compression strength test results an mudstone samples (Babcock 1983) Static secant modulus of Unconfined compressive ela 40-50% Calculated undrained Vy, E, Sample depth Sample tengo of utiae renin shear seat Sf 4, Cus Ps) (OP) tea) EJS, (approx) 175 1.60 05 34 025 Mi 23 208 0 207 Us 13 ne 2.02 23 a 22 2 29 201 21 207 i 193 255 al 1s 13a 92 49 0.3 ts7 a 6995 1a a 10356 21 ae 96528 23 a8 ‘Specien died daring preperation ‘back-caiculated valves of the operating deformation properties for the foundation material shall depend on the assumptions made in defining the problem, Therefore, the reasonableness of back-caleulated values of deformation properties of the foundation material must be evaluated in view of the site- specific laboratory data, and other data available in the litera- ture. Even though this comparison is after-the-event, it may serve a$ a useful leaming exercise for future use in geotechni- cal engineering practice. ‘Though it may appear to be an unusual set of conditions for an engineering problem, it did happen in practice and requires a solution. Thus, the approach to the problem at hand and the ‘methods of analysis adopted may be of equal significance. ‘A brief description of the site geology and representative site-specific laboratory data is presented first, then the main objectives ofthe paper. Additional information on these items can be obtained from the authors on request. Site geology ‘The dam and the river outlet-works conduit are founded on the Morrison Formation of Jurassic age. The Morrison Forma- tion is about 213 m thick near the damsite and is divided into the upper Brushy Basin member and the lower Salt Wash member. The Brushy Basin member is exposed in the damsite area and is the foundation for the river outlet-works conduit, This formation consists mainly of shale and mudstone units ‘with random, generally thin- to medium-bedded sendstone and siltstone layers. The Salt Wash member was not encountered during the dam construction and is thought to occur at more than 30 m below the conduit. The Salt Wash member contains massive sandstone beds interstratified with layers of mudstone. Five shallow drill holes with depths 2.4—15 m below the conduit were completed in conjunction with this investigation ‘The geologic logs and visual inspection of the drilled core show high varibility inthe thickness and integrity of the mud stone layers. Based on these logs, itis estimated that approxi- mately 26-33% of the foundation material is very soft to ‘medium mudstone (q = 0.2—0.7 MP2) Applying the estimate of 30% of the foundation material to be of soft to medium mudstone to a depth of 30 m below the conduit, one woold infer a thickness of compressible founda- tion material of ~9 m. Laboratory data ‘The preconstruction rock mechanics laboratory tests on mudstones from the Ridgway Dam site were performed on core samples from the dam's drainage and grouting tunnel. ‘These test results are shown in Table 1 (Babcock 1983.) To study the problems associated with the conduit settle- ment, additional soil mechanics laboratory testing was per- formed on the very soft to medium mudstone samples taken from under the river outlet-works conduit. Eleven NX size and 15.25 cm diameter waxed core samples and three 15.25 cm diameter samples protected in split polyvinyl chloride pipe ‘were obtained for laboratory investigations. All tests were per- formed in accordance with procedures described in the Earth Manual (1980), Some of these representative test results are shown in Tables 2 and 3 (Redlinger and Casias 1987). Rationale for analyses ‘The compressibility of a foundation material may be charac- terized in terms of (1) coefficient of subgrade reaction, K; @) Young’s modulus of elasticity, , and Poisson's ratio, »; 3) recompression index, C,, and (or) compression index, C., and initial void ratio, ¢o. Associated with each of the above characterizations of mate- rial is a method of settlement calculation. Obviously, one needs t0 make additional assumptions with regard to material behaviour, i.., linear or nonlinear for characterizations (1) and Q), normally consolidated or overconsolidated for (3); thick- ness of foundation undergoing compression for (2) and (3): boundary conditions for (1), (2), and (3), ete. For purposes of this paper, only linear, homogeneous, and isotropic properties for K, E, », and a uniform value for the slope of the e ~ log p curve for C, are considered. ‘The motivation for the choice of analysis methods came, in general, from the following considerations: (1) The embankment Joad and the foundation sertlement data have provided a pseudo-plate bearing test of the prototype foundation and one should be able to calculate the coefficient of subgrade reaction, K, which is an average representation of the load—deformation behaviour of the entire foundation under the dam, The magnitude of K shall indicate whether the foundation behaviour is one of a soil-tike material or a rock- like material Q) If the foundation deformations occurred over a shor time, the foundation response to embankment load should be essenti- ally elastic, and one needs to know E andy, G) If the foundation deformations occurred over some time, the foundation settlement under embankment load should be ‘due to consolidation ofthe foundation materials, and one needs to know Cy, Ce, ep, ete Re number ae significance of assumptions requed for18 LAlgginy, paysite \ ‘CAN. GEOTECH..VOL.25, 1988 tocarion map Fi. 1, Location map and general layout of the Ridgway Dam and appurtenant structures making the analyses depended on the analysis procedure adopted. These are described in the following section (Chugh 1987). Analyses and results 1. Coefficient of subgrade reaction ‘The analytical model for this calculation is shown in Fig, 3. In this approach the surveyed settlement data are used to calcu- late the total vertical reaction assuming a uniform coefficient of subgrade reaction, K, and seeking static equilibrium of forces in the vertical direction (see Fig. 3). The main assump- tions of this procedure ate no interelement shear; =a uniform and linear load—dispiacement response of the foundation material; only vertical displacements; an incompressible foundation underlies the compres- sible zone. ‘The calculated value of K is about 6.11 MPa/m of settle- ment. This is indicative ofa soil-like behaviour of the founda~ tion material. Obviously, this calculation procedure does not require a prior knowledge of the thickness of the foundation ‘material within which the settlement occurs. The results of this calculation provided a convenient measure of the deformation characteristic of the foundation material based only on the surveyed settlement data and the weight of the dam. 2. One-dimensional elastic analysis ‘This simple calculation procedure was used to estimate mag- nitude (high or low) of modulus of elasticity of the foundation material using the observed settlement data. The analytical model for this calculation is shown in Fig. 4. In the use of this approach, the thickness of compressible foundation zone at any point was assumed to be a constant fraction of the embank- ment height above it, A uniform modulus of elasticity value for the foundation material is calculated by seeking aa equilibrium of forees in the vertical direction (see Fig. 4). The main assumptions of this procedure are the same as those for analy- sis 1 above. ‘The results of this analysis show that the moduius of clastic- ity, E, of the compressible foundation zone should be quite low fora reasonable depth of influence in the dam foundation. 3, Two-dimensional elastic analysis ‘The analytical model for this calculation is shown in Fig. 5. ‘This analysis is similar to analysis 2 described above except that a uniform depth of compressible foundation is assumed and interelement shear is allowed. The table in Fig, 5 shows the assumed elastic properties for the embankment materials.(CHUGH AND DAVIDSON n9 eye. ise P -| seems ene Lins of og og See eee inte conte Sige fee eee a Concrete suttode drosn- rr coer eT Te ot ana “Sard SERRE ee ie raat TT Psepoe °° or ante NA @ eames eae ey| a OL Oo 2g 5 Po Eerie fol) ieee ope Fie [el ” : {hare se ooo ee ro le a PROFILE OW € CREST OF Dam Fic. 1 (concluded) By making three finite clement analyses, using zero density interpreted for a reasonable thickness of the compressible and assumed elastic properties for the compressible foundation layer, as the deformations are allowed to occur only in this layer, a uniform modulus of elasticity of about ~4.86 MPam layer. thickness of compressible layer was estimated to yield the deflection curve that matches well the measured settlement 4. One-dimensional consolidation settlement analysis ata (see Fig. 5). However, the thickness of compressible “The analytical mode for this calculation is shown in Fig. 6. foundation layer is needed to fix a valuc for E. This analysis is for the possibility that all deformations ‘The results of analyses shown in Figs. 4 and 5 should be observed are a result of consolidation in soft materials. The C4no rest, 2099 ——~ 1, 20618 m 1805 0 (CAN. GBGTECH, 1. VOL. 25, 1988 crest of dom was alos etea Wee alee wlee nine alee tea wb alae wow PROFLE OW © ZIVER WoRKS 20 . . - s Rae WR Ons ot oe dale Ste 8030) re Z 1? : Te won sta—goP sonnel, g Bo vont) t i 2 SS (camary ear Feat trace 00 § er ceater ee Stataees | & “ Reina lcehon Saar U7 ts 7 OF oul tone: L : “Me Bese paPe=1(lsa,/” Fault ios Sta avs? Bowe Hohe? (Dom Sra 1930) Sha 9080) SURVEYED SETTLEMENT ALONG RIVER OUTLET-WORKS CONDUIT INVERT Fic, 2. General layout of the river otler-works conduit and observed settlements along the conduit invert. Embankment explanation for circled numbers: 1. Selected clay, silt, sand, gravel, and cobbles to 5 in. maximum size compacted by tamping voller to 6 in. layers. 1A. Processed coarse-grained materials compacted by vibratory rollers to 2 in. layers (stage only). 1B. Selected clay, sand, gravel, and cobbles to I maximum size compacted by pneumatic tired rollers to 12 in. layers. IC. Selected clay, silt, sand, and gravel of higher plasticity to 3 in ‘maximum size compacted by tamping rollers to 6 in, layers. 2. Processed sand filter, compacted by vibratory rollers to 12 in. layers. 2A, PrO- ‘cessed gravel drain, compacted by vibratory rollers to 12 in. layers. 3. Selected sil, sand, gravel, and cobbles (o 12 in. maximum size compacted by vibratory rollers to 12 in. layers. 3A. Processed gravel and cabbies to 12 in. maximum size compacted by vibratory rollers to 12 in, layers ‘main assumptions made in this calculation were initial void ratio ¢9 = 1.6 for the compressible foundation ‘material, which allowed @ convenient scaling of calculation results for other values of ep; compression index, C., iS the same for all compressible foundation material; —change in vertical stress due to embankment load is given by the relation Ae = ‘Yen X Memb’ —an incompressible foundation underlies the compressible layer. ‘The settlement calculations were made 2¢ three different locations along the conduit using the standard formula shown in Fig. 6. The thickness of compressible layer was varied in increments of 3 m, Results of these calculations ere shown in Fig. 6 for the three locations. The observed settlements at the corresponding locations are drawn in Fig. 6. cr‘CHUGH AND DAVIDSON TOOT TTT beam Fig. 4. One-dimensional elstic model and results. Comparing the cumulative settlement data of November 1, 1986, with the ceiculated values, one can infer that =C, should be between 0.05 and 0.15; compressible foundation thickness should be between 4.6 and 9.1 m for C, = 0.05; 1,2 and 2.4 m for C, = 0.15. Interrelation between elastic properties and compression index ‘The elastic material properties, E and », and the compression index, Care related through constrained modulus, D, by the following equations: 1m p= 20-9 TFng- a) (+e) c= DHE), Bl Ge Daas Taste 2. Postcoastruction soil mechanics laboratory one-dimensional consolidation test results on mudstone samples (Redlinger end Casias 1987) Recompression index ‘Compression index: Preconsolidation Pressure (MPa) 8 2 25 Es as 0.02 (0.09 0.03 46 2 21-24 E 3 2 2 5 0.02 0.04 0.02 0.05 0.3 0.05 19 14 0.62, 0.24 052, 028 31 FD 0.53 ng 2 35 43-47 L720 Under the dam Downstream of the dam 0.01 0.02 0.06 0.09 0.06 140 10.5 039 035 047 10 6 18-18 Downstream of the dam 0.69 0.59, ous 16.9 2 a Downstream of the dam 9.49.6 0.10 nmm CAN. GEOTECH. J. VOL. 25, 1988 Fia. §. Two-dimencional elastic model and results, coCHUGH AND DavinsoN ms ‘Tarts 3. Postconstruction soil mechanics laboratory unconfined compressive strength test results on Very soft to medium mudstone samples (Redfinger and Casias 1987) Tangent modulus of Unconfned compressive elasticity, E, at 40-60% Calculated undrained ‘Sample depth Semple strength, 4, ‘of ultimate strength shear strength, S, = 4 q ) lengthidiameter MPs) (Mpa) (aes) EIS, approx.) 21-24 1.95 0.65 a 0.33 o 43-47 19 020 4 0.10 3 94-96 22 033 28 0.16 153 po cere seg tit _ Ne fag (14 88 rr Hy se Mites camps ee eit the campeein itr 16 the Ite vod eat 5 she i wert cree i ft he esos i vari te eb st ooestven of 6am os peenoes 2 (1 Mer dan crest 8 Ooetaan of dom ait i eet model andesns CAN. GEOTECH. J. VOL. 25.1988 g COMPRESSION WNOEX Ce COMPRESSIELE LAYER THIKNESS Hew Fio. 7. Calculated interrelation between one-dimensional consoti dation perameters, eq. {3} where a, denotes the average of the init normal stress. Using the results of two-dimensional elastic analysis, that is, E = 4.86H, MPa and » = 0.3, in [1], one gets D 6.544, MPa, H, denotes the thickness of the compressible layer in metres. Expressing Gra = 0.5(Yen X Ham + ious * HL) and substituting the expression for D in [2J, one gets = (1 +.4510.673 + 0.009871) BG 2.845H. for the near dam crest location. Figure 7 is a plot of {3] for C. versus He for eg = 0.5 and 1.0. This provides a calculated relationship, using the results ‘of two-dimensional elastic analysis, for the one-dimensional consolidation parameters C,, ¢, and H, 1 and final vertical Discussion and summary of results ‘The two-dimensional elastic analysis results indicate that E = 4.86 MPa/m thickness of compressible layer gives a rea- sonable match between the computed deflection curve and the surveyed settlement along the conduit invert, ‘The interrelation between the elastic properties and compres sion index, using the results of the two-dimensional elastic ‘model, gives possible combinations of C., ¢9, and He for equally reasonable results from the consolidation settlement analysis. The results shown in Fig. 6 agree quite well withthe interelationship results shown in Fig. 7. Supplementing this information with the geologic logs, visual inspection of the Grilled cores, and the tocal geology, one can infer that there is about 9 m of compressible material in the foundation under the river outlet-works conduit. For calculation purposes, however, this 9 m of compressible material was fumped together and placed at the embankment — foundation contact Using #1. = 9'm, one obtains E = 44 MPa, » = 0.3 from the ‘two-dimensional elastic analysis; and é = 0. analysis as estimates for the deformation properties for a foun dation material that, under the Ridgway embankment loading, would deform in a manner similar to that observed, The coef- ficient of subgrade reaction, K, is about 6.11 MPa/m of settlement, Comparison of results ‘The Co, ¢9 and E, » values estimated by the back analyses of the observed settlements at the Ridgway Dam are consistent with the values obtained by mathematically interrelating the two characteristic properties of soils, that is, the constrained modulus, D, and the compression index, C.- ‘The preconstruction rock mackanics laboratory data on mud- stone samples and postconstroction soil mechanics laboratory data on soft to medium mudstone samples from the Morrison Formation at the damsite are shown in Tables 1~3, There ‘were variations in the rock samples, even though they were gencrally classified as mudstones. The secant modulus values for mudstones, Table 1, at 40~60% of the ultimate strength, range between 34 and 96.500 MPa. ‘The tangent modulus, at 40-60% of the ultimate strength, from the soil mechanics laboratory data for soft to medium mudstones, Table 3, range between 4 and 25 MPa. Since the softer units in the foundation must be responsible for the ‘observed settlements, the back-analysed value for E = 44 MPa is in fair agreement with the laboratory data ‘The computed value of compression index is in fair agree- ment with the laboratory one-dimensional consolidation test results shown in Table 2. There is no published data on engineering properties of Morrison shales (Underwood 1967). Figure 8 is a plot of the uniaxial compression strength versus Young's modulus for typical rocks and clays (Legget and Karrow 1983). If one con- siders mudstones as a subcategory of shale, the laboratory data of E, gy ft the published dara quite well, as shown in Fig. 8. However, the laboratory data on soft to medium mudstones do not fit the statistical relations for clays, such as C, = 0.009 (LL-10), S, = 0.11 + 0.0037Ip)3,, and € = 6005, (Peck 1974). ‘Actual conduit performance during reservoir filling ‘The river outlet-works conduit is instrumented with remote- reading strain gauges along its upstream length, and with seitlement points and telltale gauges along the downstream length. The upstream and downstream lengths are referenced from the gate chamber (see Fig. 2). The seservoir filling com- menced in Merch 1987 aad rose from elevation 2060 m to about elevation 2083 m by July 1987. The reservoir was drawn

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