THE STABILITY OF EARTH DAMS

A Thesis Submitted by

Alan W. Bishop, M.A.(Cantab.) , A.M.I..C.E.

For the Dogma of Doctor of Philosophy

in the University of London

Imperial College
May, 1952
 The Stsbility of r3rth Dams

A Thesis sulzmit;;ed by

Alan 1.7. Bishop, TI.A.(0antab.),

For the Decree of 'Occtor of Philosophy

in the UniversIty of London.

The central problem in earth dam design Is that of shear

failure, either in the dam alone, or including the foundation
strata. A clear understandinc, of the factors involved is made
possible by do principle of efreetiye stress, and advances in
laboratory technique now enable shear strength rmrametcrs
measured in terms of effective stress to be used-as the basis
of design. The principle uncertainty in large dam design lies
in predicting the pore-pressure at each stage of its construction
and use.
Both elastic end limit elet;ign. methods of analysis are
discussed. A Relaxation solution is given for the elastic stress
distribution in a symmetrical triangular dam. Two classes of
problem for which limit design is used are distinguished, those
in which the pore-pressure is a function of the state of streams
in the coil ( i.e. excess pore-pressures set up durini; construction,
and during draw-down in fills which are not free d-eaining), o.nd
those in which thepore-preseuro is determined by the per:Ilcability
and boundary conditions of the various zones of the fill (i.e.
0 t c a Ely seepage 9 and draw-down la' free-draining materials).
Particular attention is given to the design of dar;as having
a pad ilea clay core9 and new methods are developed for
the lateral thrust of the clay core, and for estimating the gain
in strength of a sort foundation layer with -partial consoT'idation.


CONTENTS
Chapter Page
1. Introduction 1
2. Types of stability Analysis 6
3. Elastic Methods of Stability Analysis 16
4. Limit Design Methods of Stability Analysis 38
5. The Mechanics of the Circular Arc Analysis 43
6. Application to Specitic Design Problems:
(a) Stability of a Dhm in which Excess Pore-
pressures are set up during Construction 60)
7. (b) Stability of a Dam in which Excess Pore-
pressures are set up due to Steady Seepage 88

8. cl Stability of. a Dam in which Excess Pore-

pressures are set up due to Rapid Draw-down 94
9. Stability Problems associated with Puddled
Clay Cores 119
10. Resistance to Failure in a Thin Soft Layer
at the Base of the Dam 146.
it. Conclusion 160
Acknowledgements 163,
Appendix 1 164
Bibliography .168
 CHAPTER I
Introduction

Earth embankments for retaining water may be classed

among the earliest large scale civil engineering works. Yet
.superficially they would appear to have undergone the least
development of any type of structure. Earth dams about
.60 feet in height were successfully constructed in India over
hundred years ago, and, though safe height is not the
:.,only criterion of development, it is interesting to note that
i)A4.'ghest earth dam constructed in this country during
the 19th century was the Yarrow dam, of 103 feet. The
tallest earth dam at present under construction in Britain is
130 feet in height (Daer Valley) , while in the United States
the Anderson Ranch dam, constructed over the period 1 941-47/
has a maximum height of about 350 feet above ground level.
•There are probably few dams, however, for which stability
has been tie only factor controlling the height chosen.
Economic factors, the size of catchment area, or biological
actors controlling the maximum permissible depth of water
are of primary.importance; and though they will not be
considered in detail in this thesis it is of interest to
note that on a site underlain by a thick clay stratum the
volume of, bank fill required per unit length will be roughly
proportional to the (height)3, which places a severe
limitation on the economic height.
 In most branches of engineering advances have depended
on two main factors: the development of design methods and
the improvement of the mdchanical properties of the materials
available or the introdubtion of new materials. In the case
of earth dams, the principal construction materials are of
nocessityAhose which lid within a reasonable haulage distance
of the site. The possible improvement of their mechanical
properties by compaction has been affected by the technical
developments of the industrial revolution to an important,
but rather limited extent. The modification of their mecha-
nical properties by the upe of chemical or bitumenous stabi-
lisers or cement is almost unknown in present earth dam
practice(x). Concrete and steel sheet-piling have been
used to a limited extent in the construction of cut-offs and
.core-walls„ but have not led to any major change in design.
On the other hand, important developments have occurred
in our understanding of the mechanical properties of the
traditional, materials and in our ability to measure them
quantitatively. Those have led to methods of analyols and
design which form the principal advance in this branch of
civil engineering. Though superficially no dramatic change
(x)
The injection of cement grout is sometimes used as a
remedial measure in cases of leakage (see for example the
discussion by J. Noel Wood on the paper by Bishop, 1946).
Experiments have also been made on the admixture of bentonite
to a sandy fill to decrease its permeability and increase the
plasticity (Wetter 1948).
in profile has resulted, a rational basis is now available
for ensuring the most economical disposition of the construct-
ion materials and for calculating the factor of safety of
the structure with some 6onfidence.
Those methods must, however,-be considered to supplement
rattier than supersede the experience and judgement of the
practising engineer, The variability of some foundation
strata and the difficulty of predicting the effect of variable
weather conditions on the compaction and excess pore-pressures
in cohesive fills loave considerable scope for experience
and judgement, especially if based on well-conceived field
measurements.
Much, in fact, could be gained from a more explicit and
active cooperation between the engineer and the scientist.
Confirmation of the validity of design methods in the labora-
tory is generally impossible in the case of problems where
body forces due to gravity predominate. The price the engi-
neer must pay for design methods in which he can have confi-
dence is a much greater willingness to take the necessary
field measurements of shear strength, pore-water pressure,
settlement etc., even on structures about whose stability
there is little doubt; Eind the price will generally prove
tote small compared witki the cost of the structure. The
research worker, on the ether hand, must give greater thought
 to suggesting tests, design methods and specifications which
are practicable in terms of the soils and climatic conditions
met with by the engineert
If the. need for work in this field is not at once
obvious, it should be noted that at least three major earth
dam failures have occurred in this country in the past twenty
years and at least six in the (x) , involving expenses

running into many millions of pounds.

Vrom the data presented by Justin and others, it will
be seen that many of the earlier failures of earth dams were
not primarily due to shear failure, but followed over-top-
'ping due to inadequate spillway capacity. The importance
of this danger is now sufficiently realised, and as it is
outside the field of soil mechanics it will not be discussed
here.
Similarly, a number of the earlier failures were due to
ocalised piping or internal erosion caused by seepage paths
()riming at the junction of the fill with the outlet conduit
.or with bed rock. The importance of eliminating any such
is now fully recognised, and the outlet conduit is
now generally either constructed with collars or baffles
whore: . it passes through the impervious core, or driven in
tunnel through the impervious foundation stratum beneath the
darn

(x)Thoso are tabulated by Justin, Creager and Hinds (1945).

 The typo of failure which has, however, persisted even
in recent years, and must therefore bo considered the hardest
to design against, is shear failure, either in the foundation
strata 'or in the bank fill itself, generally taking place
during construction. Recent examples in this country are
Muirhoad Reservoir, whore the shear failure occurred in tho
bank fill (Banks, 1948); and Chingforcl No. 2 Reservoir,
where the weakness of the soft underlying stratum was . the
primary cause of failure (Cooling and Golder, 1942).
Justin, Creager and Hinds (1945) quote five failures of
this type in the U.S.A. within the last twenty years,
including both hydraulic fill and rolled earth core dams,
..ranging from 52 to 225 feet in height. It is interesting
note that only one of these was caused by rapid drawdovm,
:Eilthoiigh in conventional design it is against this condition
that bank is usually found to have its lowest factor of
(x)
safety .
It is with a consideration of the problem of shear
failure that the subsequent chapters will be mainly concerned.
A brief history of design methods will be included, but no
attempt will be made to ()over the whole history of earth
dam construction, which is a subject in itself.

( x) Mayer reported in 1936 a number of clrawdovm failures

which had occurred in France in the preceding fifty
years, in dams constructed before quantitative design
methods were in use.
 CHAPTER 2

TYPES OP STABILITY ANALYSIS

The stability of an earth dam, as of any structure

in soil mechanics and, in fact, in civil engineering in
general, may be examined by methods of analysis falling
under two main headings. Both types of analysis must be
considered necessary to a full understanding of the problem,
though this is overlooked in much contemporary literature.
The first type is based on the principle of calculating
the stress distribution under the various conditions of
loading to which the dam will be subjected, and comparing
the stresses with the allowable strength of the soil. It
is thus in line with the classical procedure in structures,
though for practical reasons which will be discussed later,
its use is not very general in soil mechanics. As elastic
theory is usually used to ca l culate the stresses, the methods
are loosely termed elastic methods though in principle the
assumptions of a linear stress strain relationship and of
reversibility are unnecessary, and aro made only to avoid
difficulties in computation.
The second type is based on the principle of limit design.
If the load on a structure is gradually increased, or, in
the case of a dam, when the stresses are mainly duo to gravity
body forces, the strength is imagined to be progressively
decreased, zones will appear in which the material is over-
stressod. Failure will not occur until those zones have
extended to form a continuous path within which a continuous
slip surface could form. Tho analyses are concerned only
with the state of stress in the dam when this condition hap
boon reached. The actual procedure from this point varies
considerably, but basically it consists of finding by trial
and error the slip surface for which the disturbing and resto-
ring forces are in equilibrium for the smallest decrease ip
strength, i.e. the slip surface which would be most likely to
form. For simplicity the problem is considered to be two
dimensional, and the slip surface is assumed to be a plane or
a cylinder or a combination of both. More elaborate curves
such as log.spirals and cycloids have been used, but any
advantage claimed for them as a closer approximation to the
:actual curve is outwoighod by the mathematical difficulties
involved. It is in 'any case necessary to keep a sense of
perspective in this. respect by remembering that this procedure
is essentially an approximation as in fact the distribution
Stress along the slip surface is statically indeterminate
end introduces a small erlror into the calculation of the resto-
rinEforces (as indicated in Chapter 5).
might have appeared that this indeterminacy was some
fault inherent in the tsiicost method of analysis used in
conjunction with a slip surface, as Kotter's equation:—

don
di — 2 afi tan 0 . dr7 =Tsin (r — cos 0.
di

(whoro az = normal stress on failure plane

1 = distance along failure plane
r-(1 = angle botytoon dl and horizontal)
is quoted by Torzaghi'(1q4.3) as permitting the distribution
of 01.1 to bo calculated from the shape of the sliding surfaco;
and Jaky (1936) and °tide (1938) are instanced as having used
it as the basis for stability and earth pressure calculations
respectively.. However, Coonen (1948) has shown that Kotter's
equation cannot in general be applied to any arbitrarily chosen
failure surface, independently of the state of stress in the
adjacent material, and , that Jaky's analysis is invalid.
Though Coonen does not discuss Ohdo's work it appears to
suffer from a similar defect.
An exact solution to tho problem is therefore impossible,
unless preceded by a step by step calculation of stress
distribution passing from the 'elastic' to 'plastic' states,
and it is doubtful whether our present knowledge of soil
properties in relation to compacted fill would justify this
procedure. It reintroduces the difficulties associated
with the first type of method for a probable gain in accuracy
of loss than about 10 per cent in a typical case.(x)
In practice, the choice of the shape and location of the
approximate surfaces to be tried is guided by the relative
strengths of the various sections of a zoned bank and its
foundation strata and by the records of actual slips.
A subdivision of thiS type of analysis which- is of
theoretical interest, tholigh of rather limited practical
application, is formed by those rases in which the stress
conditions in the limiting case are such that failure occurs
simultaneously over a considerable zone. Within this. zone
conventional plastic theory can be used. The bearing .
capacity of a thin clay stratum and the'lateral thrust of a
clay puddle core-wall are two cases which are relevant to
earth dam design•. In both cases the boundaries of the
plastic zone are determined by a discontinuity in the material,
along which the limiting stresses can be readily estimated.
In general, however, neither the boundary of the plastic
zone nor the stress conditions there can be determined
without a great deal of cbmputation, and, when foundswould
not, correspond to the few cases for which a solution by
plastic theory exists.
(x) A similar position exists in relation to theories of bea-
ring capacity, though the approximation involved in a slip •
surface analysis becomes less accurate as the angle through
which the surface turns i increased. Here the Mott-Gibson
analysis represents the elastic-plastic approach and •
Moyerhoft8 analyses the limit design approximation.
 - 10 -
Before examining in detail the assumptions and scope
of the two typos of analysis, it would be as well to consider
the criteria by which the practical engineer must judge them.
These may be summarised as:-

(1) simplicity
(2) reliability in practice
(3) small errors as compared with the most
rigorous analysis a'railable.
Simplicity is of groat importance if a method is to be
of general use to the engibeering profession. It should lie
within the ability of the average design engineer to use it,
and to appreciate the factors involved. Where some simpli-
fication of the mathematical stages of the analysis can be •
made, the elimination of possible sources of error may
actually increase its reliability. Simplification of the
physical properties of the material, however, should be done
with great care, and only where necessary to make the analysis
practicable. Ono of the factors in this simplifiCation is
-'- the need to keep testing proceduiie within the scope of the
normal laboratory.
Reliability in practice may be indicated in several
'different ways. Thu first, that structures designed by a.
given method have proved stable, provides satisfying, though
in fact .only negative evidence. It is usually invokLId to
 — 11 —

justify semi-empirical rules, for which often no quantitative

cheek is possible, and it gives no indication of the gross
lack in economy which accompanies a high factor of safety.
If a new departure in magnitude or geological conditions is
made, this criterion alorie is of little use.
The second way in which reliability may be indicated is
that the stresses measured in the structure correspond to
those predicted by the design method. This check cannot
be made in the case of the limit design method unless the
factor of safety is equal to one, and the assumed condition
of incipient failure is in fact realised. In the case of
'elasti c' methods it is the only quantitative chock possible,
This may prove to be one of the limitations of their use in
practice, as the measurement of the state of stress within a
mass of soil presents great difficulty both experimentally
and in the interpretation of the results. Measurement of
the pore-water pressure, which is easier and more reliable,
is likely to prove the most important check in this case.
The third way is by checking in cases whereo the factor
of safety is known to be unity. This is probably the most
impressive test of all, and accounts for the great interest
shown in failures by specialists in this field of civil
engineering. This interest is due in part to the difficulty
of carrying out model tests in the case of gravity structures
 - 12 -

of cohesive soil. Thu gravity stresses in a scale model

are so reduced( that a failure cannot be reproduced without
decreasing the strength of the soil to a point at which the
results cease to be convincing. • Even in practice, as the
site investigation, selection of samples etc., are rude after
the failure, when its loCation and often the shape of the
slip surface is revealed, some of the difficulties facing
...the designer are avoided. Nevertheless, the evidence of
YthiEr,Sort presented in support of the 0 = 0 analysis, whioh
is one of the typos of, limit design (Skempton and Golder,
1948, and Cadling and Odenstad, 1950) forms perhaps the
most convincing evidence we have of the validity of any of
the methods of analysis used in soil mechanics, or, in fact,
in civil engineering in general.
Elastic methods cannot be checked in this way at all
satisfactorily, as it is generally accepted that a factor of
safety of loss than unity against local overstressing will
only load to excessive deformation, which is very difficult
to assess quantitatively. Guthlac.Wilson t s results (1950) ,
in relation to the bearing capacity of screw piles, illus-
trate this difficulty.
The magnitude of the errors involved in a given design
(4
Tests lava been carried ort'in a centrifuge to overcome
thi6 difficulty but have obvious limitations.
 - 13 -

method as compared with the most rigorous analysis possible

may seem rather academic to the practical engineer if there
is experimental evidence available that the approximate
methods are reliable in practice. It will be seen, however,
that in the case of large earth dams the evidence on the
reliability on the desig0 methods used is largely negative,
and therefore inconclusive. If judged by their successes,
Indian practice of the period 800 - 1600 A.D. (Rao, 1951),
elastic methods (Middiubrooks, 1936 and 1948, and limit
design (Terzaghi, 1936, Daehn and Hilf, 1951) are equally
reliable. A more critical examination of the methods is
therefore necessary.
The errors involved may enter at several different
stagesg-
(a)The soil. c nditions in the test may not correspond
to those in the foundation strata or in the bank duo
to unrepresentative or poor sampling; or to un-
reliable compaction technique or weather conditions.
(b)The stress conditions in the test may differ from
those in the daM, viz. the results of standard
triaxial tests 'ztre usually used in the solution of
plane strain prdblems.(x)

Hansen and Gibson (194.9) discuss some related difficulties.

 — 14 —

•(c) The failure orituria and stress strain characteris-

tics are simplified to make the calculations pgla.
goable.
(d) The analysis is Simplifedloy the use of simple
slip surfaces, the neglect of some indeterminate
forces or the approximation of boundary conditions.
An analysis which in fact eliminates these orrors has
not yet been achieved. An estimate, to within reasonably
,close limits, of their magnitude in any particular case, is
the :limit of our present work.
1n -brief, it may be said that there are two main ways
of. approaching the stability analysis of an earth dam:-
By calculating the stress distribution within the
dam and its foundation and comparing this with the
strength of the soil.
(2)• By examining the conditions of equilibrium when
incipiqatfaildro is postulated, and comparing the
strength necessary to maintain equilirium with that
of the actual soil.
Approximations are inherent in both approaches which it
difficult to eliminate altogether; • a clearar understanding
of them, howover, might serve to lessen the burden of applied
mathematics thrust on the designer,
Convincing practical confirmation of the second group
 - 151tr.

(of limit design methods) can only be achieved if the dam is

designed to have a factor vf safvoy cf unity and just fails.
Except in cases where failure due to an unpredicted change in
loading conditions, or initial poor design, presents this
opportunity to the investigator, he must generally remain
content with measuring stresses and pore-water pressures,
which can in fact sore as a direct check only in the case of
elastic or stress distributi.on methods;, though the results
may serve to narrow the margin of uncertainty in the use of
the limit design methods.
Neither method can be ignored by the investigator s
though, as will be seen from the following sections, limit
design methods are much easier to use from the designer's
point of view.


CHAPTER 3
•

ELASTIC METHODS OF STABILITY ANALYSIS

The most widely used application of the theory of

elasticity in soil mechanics has been to the design of
foundations when considered from the point of view of settle-
ment. This is discussed in detail by Terzaghi (1943), who
also considers the fundamental assumptions involved.
Its application to stability analysis is used to a
limited extent, and was first discussed in detail by
Jurgenson (1934). In both cases' the basis of the method
is the stress distribution in a semi-infinite elastic con-
tinuum under a syStem of surface loads, obtained either by
integrating Boussinesq's solution for a point load (1885),
or from Carothers' solutions for various systems of continuous
loading for which Jurgenson tabulates numerical solutions
(Carothers, 1924 etc.)
Jurgenson considers the case of an earth dam whose cross
section can be approximated to a symmetrical triangle, and
uses Carothers' solution for a triangular strip loading.
The weakness of this approach is that it ignores the hori-
zontal shear stresses transmitted from the dam to its foun-
dation at ground level, and gives no information about the
stresses within the dam itself. He observes that complete
failure will not rosUlt from local overstressing, unless
 - 16 -

progressive failure occurs in the soil, but suggests that in

practice it may be desirable to design so as to avoid local
overstress (i.e. the maximum stress calculated on elastic
theory should not exceed the shear strength of the soil).
Middlebrooks (1936) Was aware of this weakness and
suggested a method by which the dam was divided into a series
of horizontal layers, and the stresses below each layer
calculated as though it yore a vertical load applied to the
surface of a semi-:i.nfinitS elastic continuum. This is open
to the obvious criticism that the condition of zero shear
and normal stress will not be satisfied on the surfaces of
the dam, but Bennett (1951) asserts that this error can be
neglected if the slopes are flatter than 3 to 1. While this
may be true of its effect on the values of the maximum stres-
ses, the stress pattern ai3thoseaces are approached will be
very misleading.
Parallel developments in the field of masonry dams
appear to have been rather. overlooked. The controversy in
this country on design methods, following the failure of the
Bouzey .dam in France in 113959 contains several contributions
of interest Which have been summarised by Pippard in his
Unwin Memorial Lecture (1949). Terzaghi (1943) quotes only
the solutions for a semi-infinite elastic wedge dbtainod by
Levy (1898) and Fillunge (1912). These lead to the result
 - 17 -

that on a horizontal section of a dam the horizontal shearing

stress is a maximum at the outer edge, and the vertical stress
is uniform over the full width of the dam. Terzaghi com-
pares these stresses with those based on Rendulict s plastic
analysis for frictional soils (Terzaghi, 1945), and rejects
the elastic stress distribution as improbable. The effect
of continuity with the foundation on the stresses within
the dam itself had, howevdr, been taken into account by
Richardson in his analysis of the J5ssuan dam in 1908, using
elastic theory and a finite difference approximation.
Southwellts RelExation method has now made possible a more
accurate and extensive investigation of this type of problem,
and has been applied to the masonry dam by Zienkiewicz (1945).
Pippard draws attention to the good agreement between
Zienkiewiczts results and those obtained by Wilson and Gore
in 1908, using a rubber model; a method which has received
little attention .in soil mechanics.
The first application of Relaxation methods to this
aspect of earth daM desigp was made by the Author in 1943,
when, at the invitiation of Sir Richard Southwell, he spent
several months working with his research group on this
problem on behalf of the Metropolitan Water Board. The
results are presented here as they represent the latest
 - 18 -

development in this field•

Several other approaches have been described which should
be mentioned although they do not fall, strictly within this
class.
Patrick (1948) has described a method in which the
elastic approximation duo to Middlobrooks is used as a baSis
for determining the stress distribution along a slip surface,
from whose equilibrium the factor of safety is derived.
Brahtz (1936) in a contribution to the 2nd Conference on
Large Dams, outlined a method in which the stress distribution
.was calculated assuming an arbitrary ratio (K, the compaction
factor)betweun the horizontal and vertical stress in any
element and using equilibrium equations which ignore strain
compatability. It appears to have neither the merits of
simplicity nor accuracy, and has not boon generally used.
.

Glover and Cornwell (1941) proposed an analysis in

which the boundaries between elastic. and plastic zones were
arbitrarily chosen, and a stress distribution computed. This
suffers from the same limitations as that due to Brahtz, but
has recently been used as the basis for the estimation Of
pore-water pressures on rapid draw-down (Glover, Gibbs and
Dachn, 1948).
Assumptions implied in the Use of Elastic Theory
The idealised elastic solid may be defined as one in
 - 19 -

which Hooke's law is obeyed fdr both positive and negativo

changes in stress, and which is homogeneous and isotropic in
respect of both the elastic modulus and Poisson's ratio
(which also is independent of the state of stress). Where
body forces due to gravity are considered, constant density
is assumed.
No engineering material completely fulfills these
requirements, and in the case of masonry and concrete dams,
when elastic analysis (including elastic model and photo-
elastic studies) is much used, very wide deviations are in
fact accepted (Zienkiewicz, 1945).
Probably the most serious departure in soil, as in con-
crete, is in relation to Hooke's law. 'Deviations from
linearity become large as the failure stress is approached
(Fig. 30) though it will be seen that under lower stresses
a linear law is a good first approximation in the case of
some undisturbed saturated soils, and in the case of well
compacted fills. Terzaghi (1943). stateb that where the
factor of safety exceeds 3 elastic theory is likely to give
results corresponding to. the actual stress distribution, bit
that the stresses in the soil in earth dams are usually well\
beyond the range of the approximate validity of Hooke's law \
(the factor of safety used in design is of the order of 1.5).
Ho suggests that this justifics the solution of those problems
 3
ST RE NG T H

Ui

. 4O

5 10 15 20 25
O/o STRAIN.

•, TYPICAL STRESS STRAIN CURVES FOR SOILS.

1. UNDISTURBED STIFF CLAY— WALTON — UNDRAIN ED TEST.

2. UNDISTURBED SOFT CLAY— SHELLHAVEN — UNDRAINED TEST.
3.:COMPACTED.BOULDER CLAY --DAER UNDRAINED TEST.
4. COMPACTED MEDIUM SAND—BRASTED — DRAINED TEST.
 - 20

by the theory of plasticity. While this is accepted in

principle by the common use of limit design, it offers no
reliable information about the distribution of stress in a
dam designed with a factor of safety of, say, 1.5, in which
plastic failure will be liMited to relatively small zones.
A more logical approach in the case of relatively homogeneous
dams would be to obtain a solution based ,on elastic theory,
and if appreciable zones of overstress were indicated, to
redistribute the excess by a step-by-step use of the equations
of plastic equilibrium in the zones in which they were valid.
A more important objection is to be found in the fact
that the elastic modulus in general varies with the state of
stress. For any given soil the elastic modulus has been
found to be directly proportional to the strength, as a first
(x)
approximation. The ratio E/"C" depends somewhat on soil
type, state of compaction or consolidation history, but lies
within quite a narrow range of values for a particular soil
(Fig.3:2). Now the failure criterion of soils, with respect
to total stresses , may be approximately represented by the
Coulomb equation:-
s = c oh tan 0 ,. 3:1
( x ) E is Young's modulus, taken, for soils, as the secant
modulus at 50 per cent of the ultimate strength, and "c'
is the cohesion, or more generally, half the compression
strength.
 2 00r----- - -

IA AT 10
E

100— -

:50

10 20 30 40 50

C OHESION C --
--=
I/2 COMPRESSION STRENGTH lb4q.in.
FIG. 3:2. RATIO OF YOUNG1 S MODULUS TO ULTIMATE
STRENGTH FOR VARIOUS SOILS— UNDRA IN E D TESTS.

0 SHELLHAVEN CLAY. 4.diam. UNDISTURBED SAMPLES

AVERAGE VALUE.

LONDON CLAY. 4'I diarn. UNDISTURBED SAMPLES

AVERAGE VALUE.

COMPAC TED BOULDER CLAY. 4'

.' darn. SAMPLES. IN TERPOLATED
VALUES FOR VARIOUS MOISTURE CONTENTS (DAER).

COMPACTED LEAN SILTY CLAY 3% diam. SAMPLES. RESULTS

FOR VARIOUS VALUES OF 0- (WALKER and HOLTZ 1951.).
3
 - 21 -

where s denotes shear strength

o -denotes apparent cohesion
denotes angle of Shearing resistance
rfi denotes applied pressure normal to the shear surface.
If the results of a triaxial compression tesi are
expressed in the form of la Mohr envelope, it will be seen
that half the compression strength s( 0-1 '13) is given by
2
the expression:-

sin cos 0
0-31 . (1.3 3:2
- sin' + - singl

Young's modulus is therefore given by the expression:-

E A (73 sin 0 +a cos 0 ) 3:3
- sin 0 1 - sin 0
where A is a constant.
It will be seen therefore that the use of elastic theory
with a constant value of E 'is only valid if 0 0 or if c is
very large compared with 73 tan 0. The first condition
' -rop're sent s the case of saturated soils (Bishop and Eldin,1950)
the second that of materials such as concrete in normal
gravity dams where o3 is relatively small compared with C.
The conditions under which 0 = 0 in soil have been discussed
in detail by the Author (Bishop and Eldin, 1950) ; the two
principal factors being the absence of drainage during the-
application of the stresses; and full saturation. Good
compaction technique seeks to avoid the latter owing to the
high pore-water pressures sot up. It is, however, in the
cases in which pore-pressures are likely to be high that
stress distribution studies aro important, and hero elastic
theory will approximate most closely to the actual conditions.
The fact that under an initial stressing the strains are
largoly.irroversible is a limitation which soil as an ideal
material shares with concreto.(x) it is probably an
essential characteristic of all granular solids in which part
of the strength is provided by intergranular friction, and
rules out the General use of the principle of superposition
if stress reversals are involved in the constructional
operations considered. Per the initial stresses in a gravity
structure, however, no major error should be involved.
The effects of anisotropy have only received serious
consideration so far in relation to normally consolidated
saturated soil (Hvorslev, 1936, Hansen and Gibson, 1949).
As this would not provide a suitable foundation for a largo
structure, and does not correspond to the condition of the
fill, little quantitative evidence exists. The error will,
(x)
This is partly exhibited as long term creep, which in the
case of concrete results in total strains which are pro-
portional to stress, equivalent to a lower effective
elastic modulus (Zienkiewicz, 19L1.5)
 23

for the present, be considered small as compared with those

considered above.
All soils except those that are fully saturated undergo
an appreciable volume chahge during shear, which alters in
rate and usually in sign hs failure is approached. This
reinforces the suggestion that elastic theory is only valid
in the case of saturated soils, where Poissonts ratio will be
constant and equal to if. That this is a very close appro-
ximation is due to the high compressibility of the soil
structure compared with that of water, which controls the
bulk modulus of a saturated soil.
In relation to the present problem the particular diffi-
culties arise (a) of assuming the same elastic properties for
the dam and its foundation 'and (b) of assuming that if the
gravity field wore removed the dani and its foundation would
tree of residual stresses.
The cumulative effect of these approximations is difficult
to assess theoretically; and though substantial advances have
been made in obtaining field measurements of stress in the
last ten years (Pressure Distribution Studies on Soils -
Vicksburg, 1947, recent Swedish work etc.) errors of the order
of 4- 30 per cent must still be expected, and the data is very
incomplete, and largely of qualitative interest (Vicksburg
Report,. page 279).
 -24.—

The present solution can, however, be considered as

at least an approximate basis for the discussion of factors
influenoed by the stress distribution.
A Relaxation Solution of the Stresses in an Earth Dam
after Constpuction.
The embankment problem reduced to its simplest form may
be 'considered as that of a symmetrical triangular strip made
continuous with the surface of a semi-infinite elastic con-
:tinuum of the same elastic properties, and subjected to a
uniform gravitational field. This permits the use of plane
strain equations, and the conditions of continuity and
elasticity can be satisfied by an .Airy stress function tV t
whore V Liv = 0. Analytical solutions have boon obtained
representing certain states. of stress and boundary conditions,
but none approximate to the case under consideration.
As a numerical solution will correspond to a particular
geometrical shape, 3 to 1 slopes have been chosen as represen-
ting typical large dam practice. Fig. 3:3.
Basic Equations
If x and y represent the orthogonal coordinates of any
point and the gravitational pull acts in the direction of
the y aftis, the stress components at that point may be
expressed as:-


_ _ _ _ _ _ _ _ _ _ _

I d x

r cr
y X y d x
j>'. dx .dy •4 •
dx

dy
÷
, UKY y

1 d•
cY
Y y
Y V

3: 4.
 -25-

s2 v
3:4a

d- a
+ G(gY
6x 3:4b
= v
dycy
6x6y 3:4o

where ca, erS, , aky ard defined as in Fig. 5:4,I is the bulk
density of the soil, and V the Airy stress function, in
- terms of x and y.
These equations follow Airy (1862) and Richardson
(1909); the equilibrium of an element being automatically
satisfied by them, The compatability of strain equations
are satisfied if V 4 V = 0, i.e. if
4 2 4 . 4 •
+ c..x2oy2 ) V = 0
3:5

For a unique solution a function V has to be found

which satisfies the stress conditions along the free surface
ABODE, and at an infinite distance within the elastic body.
This latter requirement is made more practicable for numeri-
cal Solution by the use of St.Venantls principle. Thus the
stresses at a - large distance from the dam will be the same
as those due to any statically equivalent load applied to
the surface of the semi-infinite elastic continuum. The
 -26—

more nearly the arbitrarily chosen distribution of load

on the surface corresponds to that actually existing at
the base of the dam, the smaller will be the distance
required before the consequent stresses approximate to
the exact solution. A stress function representing those
stresses can be used to give values of V round this boun—
dary. Within this boundary the values of V are found by
Relaxation..
Stress functions giving the distribution of stress
within a weightless semi—infinite body are known for several
simple types of surface loading. In order to minimise
the area within which relaxation is required the stress
function for a triangular strip load is required. This
has been obtained ,by integration of the existing solution
for a uniform strip load. This derivation and its more
general form applicable to asymmetrical triangular or trape—
zoidal banks are given in appendix 1 .
This stress function does not include a term for
stresses in the ground due to its own weight. As the state
of stress in natural ground depends largely on its previous
geological history, and as this solution is concerned
primarily with stresses consequent on the construcI
the dam, the ground will be assumed to be initially free
from shear stresses.
 - 27 -

Hence, from equation 3:4., if y = 0 is taken as the

free surface, we have:-

a 2'\/*
= cr3i eY 3:6a

() 2V
+1Y = crY = 61° Y 316b
ax
. -‘•.‘ 2
= °MY = °
3:6c

These equations are satisfied by the stress function (x)

V = j 3 3:7

The stress function for the stresses in the ground of

density beneath a triangular strip load of breadth. 2b and
having a peak value of ')/ H is
2 2 2.
V li-13 loge (x + b + y2 2 Xtai x),
-.67 (x2 + y2) 2 Y.

3
( b + 3 y2 (x + b) ) tan-1 x + b

(x o3 .1. 3 y 2 (x - b) ) tan-1 x - b + 2102 y]

-J
y
+. y3 3. 8

(
x) It should be noted that this is consistent with zero
residual stresses on the removal - of the gravity field
only if Poissont s ratio is. equal to 2 9 as by symmetry
the lateral strains beneath the horizontal free surface
are zero.
 - 28-

I.; remains, therefore, to determine the boundary values

of V along the free surfabe of the dam and the adjacent

ground. Consideration of the equilibrium of a surface ele-
ment (see Appendix i.) 31-lbws that in passing from xo , yo to
x, y along a straight section of the surface free from normal
pressure or tangential shear the changes in V satisfy the
following relationships:-
17,
constant = 6V!
oy
I '6Yi0 3:9
f)v ,Sc,„1/71
6x 177 yo)
L.)i o
3:10
r.
V = Vo ± (x

xo)2
xo ) 16—Y1 (y -
Lox. 0 ei 0

Y 2y0)

3:11

These equations enable any surface to be dealt with by

a step-by-step, method, the present case being particularly
simple.
Boundary values and gradients can thus be determined
around the whole of the section of the dam and its foundation
under consideration. Within this area arithmetical values of
V are then found by the Relaxation method of successive
approximations at a series of tmesh pointst so that the


- 29 -
4
equation v V = 0, expressed as a finite difference approxi-
mation, is satisfied throughout. For a mathematical justi-
fication of this method, and a discussion of the errors
involved in the use of a finite mesh, reference should be
made to papers by Southweil et al (1938 seq) and Zienkiewicz
(1945)•
The method may be understood by reference to Fig. 3:5.
If values of V are plotted 22 ordinates on a suction parallel
to the x axis, 23 a first approximation.

= V2 - Vi
L J12 d 3 : 12
1
-(.,V
S
'6x( - V2
J 23 d 3:13

and v v!
.__..1 6v __,.r -'
= V3 - 2V2 4-- V1
.1...6x
i 23 r b xj 2
1
a 4 d2
3:4

It follows directly that, if V has the values Vo , V1 etc.

as the intersections of• a square mesh as shown in Fig. 3:6
the stresses can be expressed as a finite difference approxi-
mation from equation 3:4. For the intersection 0, we have:-

V V2 V4 - 2Vo
3 1 3a
Y2
\ 0/1.
L' v A V- - 2V
w);c,
, Y71.1-. V
" 'y'
2 4 ° Y' 3:15b
d
 V3

FIG, 3 5 .

V V V
o 41

V 6 V V6-

V, 0 1

FIG. 3.: 6.
 - j0 —
, V
—' 5 — 6 -r 7 —V8 \
iv v

14. (12 I 3:15c

Similarly the equation \--114V 0 is written

20 (Vo ) E3(,V1 -1-V2+V3+V14) 2 (V5+V6+V7+V8) + V9+V1 0 +Vi +V,2. 0

Ecivations of the form of equation 3:16 can be written

for ovary point within the dam , and together with the boundary
conditions- , represent a set of simultaneous equations whose
solution gives the required. stress distribution.
Relaxation Method
As an accurate solution necessitates the use of a c.-iesh
involving a large number of intersections (c.170 in this c:_-.3e),
the corresponding number of simultaneous equations prs:-.J1ts
too formid.ablo a. problem for the use of ordinary methods.
If arbdtrary values are given to the stress function at
the points under consideration, equation 3:16 will in gen ral
not be satisfied, but the corresponding relationship can
be written:-
20(V0 ), 8(V1+V2+V3+V4) + 2(V5+V6+V7+V8) + V9+V1 o+V1 --N12

3:17
The equation V 11. V 0 min only be satisfied when
Ro 0, and this condition can be reached by successively
 - 31 -

a d j us t i n g the v alues of V. If unit change i s made i n the .

~alue of Vo' ~he
value of Ro will be changed by 20, and the
values ~f R at adjace~t points by smaller amounts as s ho m
in Fig. 3:7, Which is termed the relaxation patt ern.

FI C, .3: 7.
-8
2
1"-,
-8

20: - 8
- l ~ ·- · · -
2

, :-
2'
I
I

"The v aiue~.tlrl:I~~du al a t any point can be' r e duc e d to

.'\ " zero by the appropriate adjustment of the vaiue of the st ~ ~~
'1:. _,.

,':, t"
. function at that point, and is redistributed amon g t he
~ , .. '

adjacent points as shown. The successive elimination of

I
the largest residual is a convergent p r o ce ss , hi ch c an,
however, be great ly speeded up i f gr oups of poin t s lines
- . or block s) hav i n g r e sidua l s of' p redon in ent l y the 8 6..1 e si z
are treat e d as units. The r e Lax at i on pat t e r n s r e q u :..l. e
for t he s e c an be simply derived frau I"':' r: .. 3: 7 b y S"

tion.
In orde r to en s ur e t e spe ci~i e d v ~ l u e or t he ~t~e ~ ,

f unc t i on an d it s gr a dien t al ong the bo u i c ar Le ,val ue 0

are calculate d f or thre e l in e s in dep t h 0~ t he bo un da r y

!
wi t hin :the .g.ro un d , Alon g :'t he · r e e s ur-t'ace s use i s .nc c, . . .... -
II
a l i n e of i magi nar y poin t s , o ut s i de the sur f a ce S0 t lat
urface g z-ad.i.en t s whac h t he y define s a t i s :;:'y t e va L ue
gi ven by e~ ati on s 3~9, 1 ), 11 (F i g . 3: 8 _


STRESSES FOR A DAM OF UNIT HEIGHT AND UNIT DENSITY.

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------- -----
.

I.

•11021/, 4066/7 _103061 99_5/9 96007 923511 89123 85 762 60461 76.?76 76160 73164 62689 602431 590&4 57600
47 6 .56418 55166 55.44391_14
.424e2

FIG.3:8. RELAXATION SOLUTION FOR A DAM OF TRIANGULAR CROSS SECTION.

 -32-

The relaxation process is continued until the indivi-

dual residuals and their sum over any area is negligible,
and the calculated values of stress are not significantly
altered by further adjustment.
Discussion of Results..
The final values of the stress function are given in
Fig. 3:8. As the bank is symmetrical the detailed results
are presented for one slope only. In Fig. 3:8 the values
of the calculated stresses are given, numerical values being
shown for the vertical and horizontal normal stresses and
shear stress, the maximum shear stress and the inclination
of the planes on which it acts.
The interesing features of the results may be illustra-
ted in several ways.
(a) Distribution of Maximum Shear Stress.
Contours of the values of maximum shear stress through-
out the dam and its foundation are shown in Fig. 3:9; and
in Fig. 3:10 a comparison is made with.the values obtained
by Jurgenson (1934). While it is interesting to note that
the zone of maximum stress still lies below the level of the
base of the dam, the neglect of the base shear implied in
Jurgenson's solution leads to very serious error in the
strata lying immediately below the dam where the'greatest
uncertainty usually lies. For strata lying deeper than
iH (where H the height of the dam), Jurgenson's solution
3 9 t.c.
SHEAR STRESS

ghl of the dam

FIG. 3:10. CONTOURS OF MAXIMUM SHEAR STRESS — A COMPARISON OF VALUES

TABULATED BY JURGENSON WITH RELAXATION SOLUTION .

VALUES OF 7 MAX RELAXATION SOLUTION

ey- H JURGENSON 0934
 -33-

involves an error of 20 per cent or less and may be

acceptable.(x)
A closer approximation in some respects is provided by
Middlebrooks' type of analysis. While this method involves
a great deal of computation to determine the complete stress
distribution, the values of maximum shear stress on the axis
of symmetry are easily obtained. In Fig. 3:11 the maximum
shear stress at the centre line is plotted against depth
below the crest of the dam for the different methods of
analysis. The values are obtained by a graphical integra-
tion corresponding to the use of an infinite number of hori-
zontal slices.
Comrarison with the results of the Relaxation solution
Midaleo:;,00:::.6 :1 method gives a muoh more
realistic picture of the shear stresses it beneath
the dam than Jurgonson's method, it underestimates the shear
stresses in the bank by up to about 40 per cent. While
Bennett (1951) suggests that the errors involved in this
method are negligible for slopes flatter than 3 to 1, he
does not give any quantitative evidence. A method involving
a possible error of L.0 per cent. in the shear stresses cannot

be considered a reliable basis for design, though it may

(x)
These comparisons are for banks whose slopes approximate
to 3 to 1, though they will be qualitatively correct for
other slopes.
 T MAX
/s" H

0 2
CREST
LEVEL

DEPTH
RELAXATION SOLUTION

MIDDLEbR OOKS' METHOD

JURG ENSON
GROUND -------.
LEVEL

F OUNDAT ION _...

2H

---1

FIG. 3: II . VALUES OF MAXIMUM SHEAR STRESS

ON THE AX IS OF A TRIANGULAR DAM.

serve as an approximate guide in checking stress distribu-
tiOns. Middlobrooks and Bertram (1948) suggest as a
typical case to which it is applicable that a strong .
embankment constructed on a foundation of soft clay, the
design criterion being local overstress in the soft clay.
Here the method due to Middlebrooks gives a maximum error
of 30 per cent on the low side; though redistribution of
stressiedue to the stronger bank might lead to shear stress
lower than those based on the assumption of a homogenous
material throughout.
(b) Distribution of Stress at Base of Dam.
The distribution of horizontal shear is given in
Fig. 3:12. It is interesting to note that its maximum
value 0.083 H occurs almost exactly under the mid-point
of each slope, and that the distribution is approximately
parabolic except near the toe. The distribution of verti-
cal normal stress is given in Fig. 3:13, and this corres-
ponds closely to the vertical 'head' of soil above any given
point. • In this latter respect especially it agrees well
with the type of distribution..axpected by Terzaghi
(1943, p. 407 - 409) 'regardless of the value of the factor
of safety', although the solution he quoted was obtained
by Rendulic's method for plastic equilibrium in a sand fill.
It will be seen that the idea suggested by the use of
the semi-infinite elastic wedge solution, both that shear and


xy
y H

3H 2H

TOE

FIG. 3 12. O IS TR IBU TI ON OF HORIZONTAL SHEAR ACROSS BASE

AND INTERMEDIATE HORIZONTAL SECT IONS OF DAM

I. 0
.."-'
,•••'.

.----
..---' .,--

H .--''
,..-' .--------c-- -1
0..5 --- i
---- ..-----
..--- -.
0' 2
----
----- . 50 i
-----
----• 0'22 itA -.--

0

3H 2H H

TOE

FIG. 3 :13. DISTRIBUTION OF VERICAL STRESS ACROSS BASE

AND INTERMEDIATE HORIZONTAL SECTIONS.
 -35-
normal stresses are distributed linearly over the cross
section, is misleading both at the base of the dam, and at
its mid height as well (Fig. 3:12). The method of analysis
used by Baumann (1942 - 1948) is based on linear distribu-
tions in an elastic triangular section and must therefore be
considered of very doubtful validity(c.f. Zienkiewicz,1945).
(c) Trajc6ories of Principal Shear Stress.
Two orthogonal sets of lines can be drawn representing
continuous planes on which the shear stress has its maximum
value at each point. One set of these trajectories is
shown in Fig. 3:14, and it will be seen that they correspond
to the type of slip surface generally observed in a relatively
homogeneous system. They do not in fact represent probable.
slip surfaces in detail, as the shear stress distribution
along them is not uniform (Fig. 3:15) and even if local
failure were to occur in the most highly stressed zone, the
average stress would be much below the strength. This
average is about 75 per.cent of the peak value for shallow
trajectories and 56 per cent for the deep trajectory which
shows the highest average shear stress (= 0.1375r).
It is interesting to compare these results with .the
slip surface obtained using the circular arc analysis, which
is alsci shown in Fig. 3:14. The average shear on the most
probable slip surface (assuming a cohesive soil of uniform
strength) is 0.1481(H. The average values are thus in close .
agreement. .
 H

5,
FIG. 3:14. TRAJECTORIES OF PRINCIPAL SHEAR STRESS AND SLIP CIRCLE FROM 0 ANALYSIS.


. ,

. , .1f-'61
'3'3 /5 •
- (
pi, - .I.j
13 ,p
.103
'--)1
i - 1 3 .0 Aci
!i!EC' '3'

is

.25

h .9 3 7 S S

/0 3 2 ' O
Pi3A-0.7:7e cr/or7g 1-rgyectoPy mecrsui-ed J2 -o/77 4oper

FIG. 3:15. DISTRIBUTION OF SHEAR STRESS ALONG TRAJECTORIES OF

PRINCIPAL SHEAR STRESS.
 -36-
It is also clear from the contours of maximum shear
that a bank designed just to avoid overstress would require
a strength of 0.258)(H. Its factor of safety against comp-
lete failure by the circular arc method would therefore be
0.258`(H 1.75. Thus for banks with a factor of safety of
0.148 xEL
less than 1.8 on limit design methods the stress distribution
from elastic theory can at best be an approximation (even
assuming ideal materials), as some local overstress is
bound to occur.
(d) Distribution of Major Principal Stress.

In order to make an estimate of excess pore-pressures

set up during construction it is theoretically necessary to
know both major and minor principal stresses, and these can
be calculated for any point in the dam and foundation strata
from the values tabulated in Fig. 3:8. There is at present,
however, insufficient experimental data on the pore-pressures
induced by various combinations of stress to justify this.
procedure in practice.c4Ourrent design methods imply that
the excess pore-pressure is primarily controlled by the
major principal stress and this is equated to the vertical
head of soil above the point under consideration (Bishop
1948, Hilf 1948, Lee 1948, Daehn and Hilf 1951). The.
approximations involved in the' first assumption will be
(x) The requirement of plane strain presents special
experimental difficulties (Kjellman 1936, 1951).

120 115 110 105 100 95 90 I 90
1

FIG. 3 16. MAJOR PRINCIPAL STRESS AS PERCENTAGE OF y h .

 -37-
discussed in Chapter 6, but it is appropriate hero to con-
sider the accuracy of the second.
In Fig. 3:16 the major principal stress is plotted as
a percentage of the vertical height of dam above the point,
multiplied by its density. It will be seen from the con-
tours that this method of estimating major principal stress
is _a good first approximation for much of the central zone
of the embankment, but would lead to errors near the toes.
As the pore-pressures are of greatest importance where the
stresses are high this is not a very serious objection.
 CHAPTER 44.

LIMIT DESIGN METHODS OF STABILITY ANALYSIS

These methods represent the classical approach in soil

mechanics. Coulomb's work on earth pressure and on the
critical height of a vertical bank, published in 1776, was
based on the consideration of the statical equilibrium of a
wedge of soil above an assumed plane slip surface. Francais
(1820) extended this method to the case of a sloping bank.
It was realised that the plane slip surface was not a very
close approximation in the case of slopes and Collin (1846),
on evidence obtained by measuring actual slips in clay banks
and in the Cercey dam, used.a cycloid instead. This proved
mathematically difficult, and he was only able to present
an approximate method.
Collin was, however, the first engineer to carry out
shear tests on clay and measure the effect of variation in
water content on shear strength. This realistic approach
was not followed up, and little advande took place in methods
of analysis for slopes or embankments until
Petterson suggested the circular arc approximation (c. 1916).
This alloWd aradLcal simplification of the applied mechanics
of the problem and is widely accepted. But it is only the
starting point of any analysis, and different treatments of
the mechanics of shear failure and the influence of pore—
pressures have led to procedures which differ not merely in
detail but in principle.
39,
 _39-
The logarithmic spiral has received serious consideration
from a number of investigators (Rendulic 1935, 1940, Taylor
1937, Odenstad 1944) as it avoids the difficulty of making
an additional assumption about the distribution of normal
stress on the slip surface. But Taylor has shown that the
result given by such an analysis is not significantly diffe-
rent from that of the circular arc method, while the work of
computation is greatly increased.
It is necessary, hoWever, to consider other forms of
failure surface in the case of banks constructed on relatively
weak foundation strata, especially if the central core of the
dam is soft puddle clay, as is common in British practice.
Several alternative approaches are available, such as the
use of composite surraces of circular arcs or planes, or the
use of plastic theory. As this treatment is"csually limited
to conditions under which the 0 = 0 analysis is applicable
it will not be used to illustrate general principles, and
will be dealt with in a separate chapter.
Two problems must be faced at the present stage .of
development of the subject.. While it is necessary to dis-
cuss the mechanics' of stability analyses in terms of funda-
mental soil properties in order to examine their validity,
the measurement of these properties is outside the scope
of ordinary testing practice, especially in relation to the
less important jobs. 'Satisfactory approximate methods are
therefore of great practical importance. Can their
accuracy be assessed?
How should 'factor of safety' be defined, so as to
present a realistic picture to the engineer and yet avoid
inconsistencies where several alternative methods of analy-
sis can be used?
In any treatment of stability analysis in which the
pore-pressures along the failure surface are considered, two
classes of problem must be distinguished:-
(a)cases in which the pore-pressure is a function of
the state of stress in the soil at the time under
consideration;
(b)cases in which the pore-pressure is independent of
the state of stress in the soil.
Glass (a) includes the cases in which excess pore-
pressures are set up either in foundation strata or bank fill
during construction due to the low permeability of the soil,
and the case of rapid drawJwith a compressible fill. In
the first two cases the 0 = 0, or c, 0 analysis with respect
to total stresses may be used (depending on whether or not
the soil is saturated), and in .the case of rapid draw down
consolidated undrained tests are sometimes used. In all
three procedures the excess pore-pressure is not determined
explicitly, but is implied in the shear strength characteris-
tics used. •
 - 41 -
These procedures cannot be considered as rigorous,
however, as the location of the failure surface is not
determined by the angle of shearing resistance, but by the
true angle of internal friction, which is not taken into
consideration. Field evidence (Skempton and Golder 19481
Ladling and Odenstad 1950)i indicate that, in spite of this
limitation, a reliable estimate of stability is given in the
limiting case (when the factor of safety = 1) for saturated
clays where Ou O.
A rigorous analysis, indeed, raises two major diffi-
culties. In a plane strain problem the pore-pressure due
to the application of stresses can only be determined if the
changes in major and minor principal stresses are known, or
alternatively the major principal stress and the state of
shear. In relation to limit design this will be so if the
limiting condition has in fact been reached, and if the
boundary conditions correspond to one of the known solutions
by plastic theory (unless a step by step elastic-plastic
solution is used). In design problems where the factor of
safety is greater than unity a wholly 'plastic' solution is
in any case inadmissible. In practice those difficulties
are avoided by assuming that, as far as its effect on pore-
pressure is concerned, the state of stress corresponds either
to no lateral yield (Bureau of Reclamation, Hilf 1948, 1951)
or to complete failure (Clarke 1948, Glynn 1948). Further;
 the major principal stress (total) is taken to be equal to
the vertical head of soil above the point considered. It
will be seen from Fig. 3:16 that this latter approximation
. is within ± 15 per cent for most of the central zone of a
dam, where such pore-pressures are likely to be high.
Class (b) includes those cases in which the pore-pres-
sures are due to steady seepage and are determined by the
boundary conditions and permeability characteristics of the
dam; and the case in which partial or total submergence of
the bank causes pore-pressures with no flow. The case of
rapid draw down with an 'incompressible' fill is included in
this category by Terzaghi-(1948), Reinius (1948) and otherp,
but the implied neglect of the tendency of a compact fill of
sand or gravel to dilate under shear requires justification.
The following discussion of the mechanics of the circu-
lar arc analysis is presented in relation to the requirements
of these two classes of problem. It will be given first in
terms of total stresses, and then in terms of effective ,.
stresses. The particular problems will then be discusses.
in detail.
 CHAPTER 5

The Mechanics of the Circular Arc Analysis.

x 0

/ RADIUS

(1) In relation to total stresses.

Consider the equilibrium of the mass of soil bounded
by the circular arc ABM, of radius R and centre at 0 (Fig.
5:1). In the case where no external forces act on the
surface of the dam, equilibrium must exist between the
weight of the soil above ABCD, and the resultant of the
total foces acting on ABCD.
141
 If s is the available shear strength on the element
of surface BC (of length 1), the factor of safety F
may be defined as
F = s
sm 5-1.

where sm is the shear strength required for equilibrium.

Hence for a unit width of slip, we have

S = sm = . Ail,
F 5.2
Since the line of action of all the normal forces
such as P passes through 0, they may be eliminated by
taking moments about 0, and a direct relationship bo-bw..-r,
the shear forces and the gravity forces on the soil mass
is obtained:-
4w.x S.R.
i .e . W x= zs 1R
F 5.3
where Tr is the weight of the soil above ABCD,
and x the horizontal distance of its centre of gravity
from 0. This may be written:-
. F R 2-s.1 5.4
7,7 3E

Now in general the shear strength of the soil can be

related to the total normal stress by Coulomb's equation:-
s = CA- o-
n
tan 0
.5:5


- 45 -

Here cr P and hence it follows that:-

R . 1(c 1 P tan 0)
W
5:6

In other words, the factor of safety can be calculated

without knowing or assuming the distribution of normal stress
along the slip surface only if 0 = 0 with respect to total
stresses, when equation 5:6 may be written
F - _R 5:7
N 5-c
-

This is the basic equation of the 10 = 0' analysis, which

is supported by much field evidence in cases where F = 1.
Its use is limited to saturated soils, the shear strength
being measured under undrained conditions(x); and though
not rigorous, inthEtit is not concerned with fundamental
shear strength characteristics, it has the advantage of only

requiring the simplest testing procedure.

If 0 =4 0 with respect to total stresses, but the
conditions of construction are such no drainage can be assumed,
and conditions in an undrained test correspond to those in
the fill, then this analysis may be extended as below.
Consider the equilibrium of a vertical slice of the
bank above. BC, with respect to total stresses.
(x)
Equation 5:7 then gives the factor of safety in the
absence of further consolidation or softening.


Let En , En4.1 denote the resultants of the horizontal forces

on the sections n and n + 1 respectively,

and Xn' Xn+1 denote the vertical shear forces.

Then, resolving in a direction normal to the surface

BC, we obtain an expression for P, i.e.,
P = ryi + x x
n+1 ] cos dt..- [E - E I sin
n+1.1 5'8

where -y is the angle between the normal and the vertical.

Hence, from equation 5:6, the value of F is obtained:-
F = R ,[c 1 + tan 0. Vticos 6-- tan 0 (En -
En+1) sin (5,-
+ tan 0 (Xn Xn+i ) cos

5:9
Since the forces between two slices act in equal and
opposite directions on the adjacent slices, and. since there
are no external forces,

2 (En -
En+1) = 0
and 1(Cn ;1+1 ) 0 5.10

So if tan 0 is a constant along ABCD and if (-Lis a constant,

equation 5:9_ reduces to
F R [cl W tan 0.
cos ck] 5.11
"r

In general, however, the arc does not reduce to a

straight line and. therefore not a constant; and. in
zoned fills 0 may have a significant variation along the arc.
A rigorous analysis would therefore require the evaluation
 -47-

of En and. Xn on each section. It can be seen, however,

thqt they are statically indeterminate.
Resolving tangentially, the equilibrium of the slice
requires that:-
[W + Z sin as+ [E - cos C_31/4 5.12
n Xn+1] n En+1]
and from equation 5:5
S 11 (c]. + P tan 0)

i.e. S = el +. tan (111/ + Xn Xn+i) copc-(En - En÷i )sin&

5.13
Eliminating S, we obtain
, cl tan 0. cosCL)

(En -- En+1) = (W + - Xn+1 )(sinot F

cos t an . sin c\L

5.1 4
Taking moments about the mid point of the base of the slice,
through which the resultant of the external forces may be
assumed to act,

-1 = En • Yn En44 • Yn+1 .5:15

(Xn + Xn+

where yn and yn.o are the vertical heights of the lines of

action of En and En+1 recpectively above the mid-point of

the base BO.
Two courses are open to the engineer, either to
 -48-
make same reasonable(x)assumption about En and Xn which satis-
fies equations 5:14 and 5:15 and use equations 5:9, or to
assume that the term
[tan 0 (En En+1) sin ck- tan 0 (Xn - X
n+1) cos-
5.16
may be neglected without serious loss of accuracy. The
work of Beichmann (1937)2 , Krey (1936)2 and Taylor (1 948),
indicates that the loss in accuracy is not likely to exceed
10 per cent, and may be less. On the other hand, the
labour of calculating the E and X forces is such that very
few trial circles could be attemptbd, and failure to locate
the most dangerous circle can cause a very much larger error
than 10 per cent.
Thus, for practical purposes equation 5:11 ,may be used.
It should be noted that in using this equation, we are not
neglecting the forces between the slices, as is often stated.
That would be physically meaningless. All that is implied
is that their effect on the magnitude of the resultant
restoring moment may be neglected under certain circumstances.
If external forces are present, or if a two circle analysis
is used,this assumption must be re-examined.
(x) i.e. 141 1› chn + En tan 0 where h is the vertical
height of the section, and tension avoided wherever
possible.
2 Beichmann and Krey did not include the effect of pore-
pressures or seepage forces in their analysis, and the
validity of their conclusions is therefore limited to
this particular case.
 — 49 —

(2) In relation to effective Stresses.

So far the analysis has been considered in terms of
total stresses, and corresponds, in the case of impervious
soils, to the simplest laboratory technique.
To obtain the corresponding expressions in terms of
effective stresses, the average pore-pressure along BC
may be taken as u.
Now the total normal stress on BC is
o-n -- I

Hence the effective normal stress is given by

5:17
If c' and 0' are the cohesion and angle of shearing
resistance of the soil with respect to effective stresses
s = o' - u) tan
0'
5.18
Taking moments for the equilibrium of the soil above
ABCD we obtain
R

1. • •
= R *1 1 (p- al) tan O1'] 5.1 9
W
P is given by equation 5:8 in terms of the total forces
acting on 'the slice, and may be eliminated to give:-

tan 0' EY cosci-L4H. tan 01 (En- En+i)sing

"le
tan 0' (Xn Xn+i) cosai

5.20
 - 50 -
If we neglect the term
tan 0' (En - En+i) sin Cit. - tan 0' Xn+1 ) cos Cv-

5.21
and. put W =1. b. h. where h is the average height of the
slice, and ''the bulk density of the soil
and 1 = b 2
CO

then equation 5:20 may be written:-

F = v7R3a. I[.?1 1 4. tan 01 ., b h cosA- u.b 1]

0

5:22

Further, if L is the total length of the slip surface and

average values of c' and 01 are used, we have
F CI L tan 0/2. yb h cos 0,(1 - u
177 3E ih co
5:23
Attention is drawn to the term expressing the effect
of the pore-pressure. It should be noted that for uniform
soils equation 5:23 closely approaches the rigorous solution
as the arc approaches a plane slip surface. It is equiva-
lent to that used by the Bureau of Reclamation (Daehn and
Hilf, 1951) and agrees with Taylor's second interpretation
of the Fellenius assumption (Taylor, 1948). The pore
pressure term is consistent with that used by Terzaghi
(19L3, 1948) in his consideration of slopes and the. effect
of_ seepage on earth pressure and by Fellenius, 1936.
 - 51 -

Earlier (Terzaghi 1936), he had introduced the effect of

pore-pressure due to seepage by reducing the weight of the
slice by an uplift equal to the pore-pressure, and resolving
the reduced weight normal to the slip surface to obtain the
effective normal stress. This leads to the expression

F R + tan Or21b. h., cos CL(I u )

W
5:24
This method has been followed by Cedergren (1940), and Golder
and Ward (1950). It is difficult to justify it logically,
as in the limiting case of d-being constant it is obviously
incorrect, and the errors, which become considerable as Ct-
increases 0 are not on the safe side(x) As an empirical
method it has the merit of being slightly simpler, and of
its error tending in some cases to cancel the conservative
approximation in equation 5:23. These factors are, however,
considered to weigh,lightly against the lack of generality
of the method.

(3) The Effect of External Forces.

The most important external force to be considered in
the case of earth dams is water pressure on the face of the •
(x) This point is illustrated by Fig. 5:2, taken from the
stability analysis for the Daer Reservoir Embankment,
where the relationship of factor of safety and pore-
pressure is plotted. Values of ud/N,h of from 40 to
50 per cent are typical both of construction pore-pres-
sures and those set up by rapid draw-down. The use of
equation 5:24 would lead to an over-estimate of the
factor of safety by 10 to 20 per cent in these cases.
 3.0
. .

2' 5

2.0 N._

FACTOR \ '
OF
SAFETY N
N.
N
1.5 ------\\
X
%N.
..\ FROM EQUATION
5:24
1;0
N
/ \X
FROM EQUATION 5:23
\
X
s\

O.5 X
N

0 20 40 O/ 60 BO 100
o
U,
h

FIG. 5%2. INFLUENCE OF METHOD OF ANALYSIS

ON CALCULATED FACTOR OF SAFTEY.

DAER RESERVOIR— SLIP CIRCLE 4.



-52—

dam. Although it is usually appropriate to consider the

consequences of water pressure in terms of effective stresses
in the case of a saturated soil stressed under conditions
for which the 0 = 0 analysis is valid tho analysis may still
be made in terms of total stresses.
(a) The Effect of External Water Pressure in Terms of Tetal
Stresses.
As the conditions of drainage are such that the soil has
zero angle of shearing resistance with respect to total
stresses, the presence of water pressure on CDE (Fig. 5:3)
has no effect on the strength; and hence the restoring
moment due to shear strength
R r-
7 4,c1 5:25

The total disturbing moment is now W 7 (whore W is total

weight of soil - in the section ABODE, and 1 the horizontal
distance of its centre of gravity fiiom 0)1 less the moment of
the water pressure on CDE about 0. Now if we imagine - a
section of water bounded by a free surface at BE and outlined
by BODE, and similarly take moments about 01- the normal
forces on the arc BC -all pass through 0 and the moment of the
water pressure on CDE is therefore equal to the moment of
the mass of water BODE about 0. Since _the weight of a mass
of Faturntod soil less the weight of water occupying the
same volume is equal to its submerged weight, the resultant
FIG. 5:
 - 53 -
dist irbing moment due to the mass of soil ABODE and the
water pressure on ODE is given by using the bulk density
of the soil above the level of the external free water sur-
face and the submerged density below.
It should be noted that the boundary BE implies nothing
about the pore-water pressures inside the dam, and should be
used only to obtain the statically equivalent moment in
cases where evaluating the moment of the external pressure
would involve more work.
Hence F R E-cl ' 5:26.
Vet
where rat is the weight assuming uplift below BE and x' is
the horizontal distance of the centre of gravity from 0.
(b) The Effect of External Water Pressure in Terms of
Effective Stresses.
It can be seen from Fig. 5:4 that in this class of
problem the last slice above the slip surface terminates in
a vertical water face DE, on which the E force is not zero.
This means that L. tan 01 (En - En+i) sin not approach
zero even ifban $" and sin Ci-are constant, so that it
cannot be considered a good approximation to neglect this
term.
Consider first the case with no seepage forces.
 - 54 -

FIG. 5 : 4
As in section (a) above, the disturbing moment is equal to
the moment of the full weight of the section above MN and
its reduced weight below water level, and this may be obtained
by summing the moments of the slices on this basis
= (Wi + W2) x 5:27

where W is the full weight of the section

1
of the slice above MN
(x) of the section
W2 is the reduced weight
of the slice below MN
(x)
For a fully submerged slice Wt = 0 and we are deft only
with W2


-55-

Now as before
P EW + X1 - Xn+1] co sd - [En - En+11 sin CC

5:28
and cr = u. = 1 (p ?rw • 1. b )
1 cosci.
5:29
The E forcds can, however, be conveniently expressed as the
sum of effective and. hydrostatic forces. If the small
element BC is taken as a straight line, whose mid. point is
at a depth Z below the water surface, then
E -E • = 4. y.... (Z. - tau%) 2 - Et
n n41 , n 2 * w n+1.

b' Van tc) 2

i.e. En En E1n÷1 z. tana. 5:30

Hence, from equation 5:29

,••11

n 1
= 1/
:1 11 - )/vi.zob.) cosa.- (E1 /1 - E1 n+1) sin a.

•

( Xn +1 ) cos d1/4]
5:31
It follows, therefore, that the factor of safety may be
written
[ct1 ÷ tan 0' oiv w .zb) cos a-
F
2)x
w
- tan 0t (En' 41 ) sin01.4- tan 01 (Xi - Xn+i ) cos 01]

5:32
Now E' is the effective force on a section, and this does
disappear on ED.
 -56—
Hence
E(Ein Ein+1 ) 0 • 5:33

and the term 4ban 0' - E'n4.1) - tan 01 (X1 Xn+i)

5:34

. .• •
may be neglected as being zero in the limiting case when X'
and e.are constants, and a good approximation otherwise.
Also Off -Yw Z.b) is the reduced weight of the slice,
and may be written as WI W2. Equation 5:32 reduces to
the form
F R [c'L + tan 0' Z(Vii + W2) cos ck]
Z (W1 -1-11112)i
5:35
where c' and 01 are average values and L is the length of
the slip surface.
When the whole bank is submerged, equation 5:35 simpli-
fies to an expression in terms of submerged density only,
as would have been anticipated from first principles.
When seepage pressures or excess pore-pressures due to
construction exist in the dam, they should be expressed as
an excess over the hydrostatic pressure corresponding to
the water level outside the bank. Thus if u is the total
pore-pressure on BC (Fig. 5:4) the excess pressure is
as = 11. ''''Yw•Zho 5:36
As these excess pressures die out at ED, the sum of
the E forces corresponding to them is zero, and equation
 -57-

5:35 can be extended with equal validity to the form

F = 2(W14412)x
[et L + tan 0' 1110y412) cos 01-- :41

5:37
It will be noted that this expression reduces to equation
5:23 if the oxernal water pressure is absent.
It will also be seen that in the derivation of equation
5:35, rigorous .account has been taken of the hydrostatic
forces between the slices, and this avoids one of the
approximations made in Obtaining equation 5:23.
If the distribution of pore-pressure throughout the dam
is known from a flow net or otherwise, summation of the
pressures on the sides of all the slices would make it
possible to evaluate this term in deriving equation 5:23.
An example given by Taylor (1948) indicates that under
severe seepage conditions the inclusion of this term would
increase the friction term by about 7 per cent and the
total resistance by about 4 per cent. Generally the very
considerable labour involved would not be justified by this
small gain in accuracy.
In the case of a horizontal water table intersecting the
slip surface below the level of the toe of the slip, both
equations 5:23 and 5:35 would be applicable on the assumptions
made, but as equation 5:35 involves one leas assumption its
use would be preferred, though the gain in accuracy would
not be significant.
 - 58 -
(c) The Effect of Water Pressure at the Top of a Slip.

FI G. 5 5.

The effect on the disturbing moment is simply to increase

it by an amount equal to the moment of the pressure on AB
about 0 (in Fig. 5:5).
In the case of the 0 = 0 analysis the effect on the
restoring forces is nil, but in the case of an analysis in
terms of effective stress a consistent approach is diffi-

Et
cult, as again the E forces in terms of total pressures do
not sum to zero in the limiting case. If the forces
involved are small it is simplest to ignore this fact, and
use equations 5:23 or 5:37 as given, depending on the down-
stream conditions; slices intersecting AB are taken to
include the weight of water above AB in respect of their
total weights. For important calculations the accuracy of
this assumption should be checked on the worst circles by
summing the water pressures on the sides of the slices.
This case, however, is not common in design work.
 -59-

The foregoing discussion may be summarised as follows:—

(a) If the analysis is carried out in terms of total
stresses, then equation 5:7 gives the factor of
safety if 0 = 0, and equation 5:11 gives the
corresponding result for the more general case of
a c, 0 material.
(b) If the analysis is carried out in terms of effective
stresses, the factor of safety is given by equation
5123.

(0) If water pressure is acting on the face of the dam,

the analysis should be carried out in terms of total
stresses ,only when 0 = 0, the factor of safety being
given by equation 5:26.
In general, the analysis will be carried out in
terms of effective stresses, and equation 5:37 then
gives the factor of safety.
 CHAPTER 6

Application to Specific Design Problems

(a) Stability of a Dam in which Excess Pore-pressures are

Set up during Construction.
Initial excess pore-pressures are to be expected in the
case of fills constructed of relatively impervious compressible
soil, such as clay, sandy clay or boulder clay. Even when
well-compacted, the soil structure tends to undergo further
volume change under the loads imposed by a medium or large
size dam, and any restriction on the freedom of the air and
water in the pore-space to escape results in temporary excess
pore-pressures. Their effect on stability was referred to
by Fellentils (1936) and by Terzaghi (1936) , who suggested a
method of analysis suitable for making a "crude estimate".
of stability involving a combination of drained and undrained
tests.
The field work of the Bureau of Reclamation has led to
the conclusion that no dissipation of these excess pressures
can be relied on during the construction period with. the fine
grain soils used for the impervious zone of rolled fill dams
(Walker, 1948; Hilf, 1948). Typical permeabilities of
material used for this zone in four recent dams are given by
Daehn and Hilf (1951), and are quoted in Table 6:1. The
average is about 0.1 feet per year (or 1 x 10-7 cm. per; sec.).
Hilf (1948) states that 1 ft. per year is the limit below
 TABLE, 6 :

Name of Dam Green Mountain i

Anderson Ranch Granby Alcoves i

Zone 1 2 1 2 3 1. 3 1 2 3
Clay fraction % 8.5 5.9 13.8 3.5 3.5 8.2 .:1..0 14.0 - -
- 200 mesh .% 20.7. 12.3 35.2 10.5 3.6 27.1 2.0 45.3 '38.3 -
- 14 in. % 64.8 49.2 89.9 57.5 40.1 72.8 48.0 97.2 95.1 -
Laximum size - inches 3 3 5 5 5 5 12 5 12 -

Lry density (- r) lb/cu. ft 132.2 126.6 120.4 125.4 116.2 126.8 - 122.9 122.6 126.3
Water content'7:) 8.4 9.4 12.4 10.7 9.9 9.1 .. 10.8 10.1 7.9
Permeability ft/year 0.09 35.1 0.05 177.0 240.0 0.08 163.0 0.24 6.50 50.0
Specific gravity 2.71 2.66 2.63 2.63 2.63 2.66. 2.61 2.63 2.63 -
,
Weight as placed - lb/cu. ft . 151.9 153.3 138.7 150.1 150.7 146.0 150.3 137.0 136.5 -

c' lb/sq. ft 800 800 1,280 - 930 - -

- tan 0' 0.70 0.70 0.70 0.70 0.70 0.66 0.66 0.68 0.68 -
I
k' (].surest value) 1.31 1.90 1.52 1.67
____
YOT:67";aaTsur6-as c/., of vcilz1.!-, al' pont. 45.3 38.2 - 39.1 I 35.4 - 39.2 26.0
, _ J
 - 61 -

which no dissipation of pressure occurs during the seasonal

shut-down periods in construction. Terzaghi and Peck (1948)
-6
on the other hand state that 10 cm, per sec. (1 ft. per
year) is the limit of permeability above which consolidation
can safely be assumed to be complete by the end of construct-
ion, for well compacted and practically incompressible soil.
While the evidence is not quoted, it is obvious that, among
other factors, the size of the dam to be designed will have
a great influence on the limit, Daehn and Hilf's results
refer to dams where the height of fill is up to 300 or 400
feet, and should be contrasted with those of Lee (1951),
who recorded a maximum pore-pressure of only 1 lb. per sq, in.
in a dam 55 ft. high constructed by similar methods and found
dissipation fairly rapid. The permeability in this case is
given as 0.15 ft. per year.
In' the four large dams referred to the uplift due to
pore-pressure expressed as a weighted average round the
complete slip surface varied between about 25 per sent and
50 per cent of the total weight of soil above. For several
dams the condition at the end of construction proved to be
the most critical for stability.
Even in smaller dams, however, if compaction control is
unsatisfactory or climatic conditions unfavourable, this con-
dition may still prove to be the most dangerous. The
failure of the Mairhead Dam (Banks, 1948) is an example.
 - 62 -

No actual pressure measurements were made, but the undrained

test results quoted indicate(x) an average pore-pressure

round the slip surfaces of from 40 to 50 per cent of the •

weight of soil above.
The important influence of this factor on the result of
the stability calculation hardly needs further emphasis.
Test Procedure and Analysis.
•Undrained triaxial compression tests are carried out on
the soil in the same state of compaction as it will be placed
in the bank. Unless pore-pressure measurements are made
during the tests the results will be known in terms of total
stresses only, and the analysis must similarly be limited to
a consideration of total stresses. This is the method des-
cribed by Terzaghi and Peck (1948) and Golder ,and Ward (1950)
as used for clay type fills to give the factor of safety at
the end of construction.
The alternative procedure is to carry out pore-pressure
measurements during the triaxial tests, and thus obtain the

(x)
Shear tests and the stability analysis agreed in giving the
values of shear strength mobilised round the slip surface
in the limiting condition. If the total major principal
stress is taken as being approximately equal to the verti-
cal head of soil, the Mohr circle with respect to total
stresses is given. The step back required to make this
tangential to the effective stress envelope gives the
excess pore-pressure.
 -63-

results in terms of effective stresses(x) . This method

requires more advanced laboratory technique, but has been
used in the design of many of the most recent large earth
dams (Daehn and Hilf, 1951; Glynn, 1948). If the pore-
pressure data derived from the same tests is used as the
basis for estimating the pore-pressure distribution in the
dam (Glynn, 1948), the two methods would be expected to lead
to the same result, at least in the limiting case when F = 1.
In the procedure proposed by the Bureau of Reqlamation,
however, the pore-pressure is calculated from the degree of
saturation and from the compressibility of the soil, measured
when fully restrained laterally (in an oedometer)„ as this .. is
considered to correspond to the conditions in the central
zone of a stable bank (Hilf, 1948).
The principal limitation to the accuracy of either type
of analysis lies in the difficulty of reproducing in the
laboratory the conditions under which the soil will actually,
be compacted in the embankment. There are three main factors
involved:-
1. The necessity, in the case of soils containing par-
ticles exceeding 1. in. in diameter (approximately),
of omitting the larger fraction in order to. bring the
(x)
For a soil in which 0 = 0 with respect to total stresses,a
series of triaxial tests is represented by only one
effective stress circle. The value of 01 would then
have to be based on consolidated undrained tests or, with
less accuracy, on drained tests.
 - 64 -
material within the scope of standard testing
(x)
equipment
2.The difficulty of assessing how closely the compaction
technique used in the laboratory represents field
_ conditions. This is accentuated if factor (1) is
also operative, as oven a comparison on the basis of
dry density involves further assumptions in this case.
3.The rainfall during the construction of the fill will
not only put practical limits on the moisture content
at which the fill is compacted, but will increase the
degree of saturation of the upper layers of the fill
already placed.
As the construction pore-pressures are extremely sensitive
to the initial degree of saturation, the last of these factors
is of major importance in climatic conditions such as are met
with in Britain, where the effects of wet weather cannot be
avoided by an annual 'shut-doom' period. It is interesting
in this connection to compare the distribution of rainfall
over a typical series of years at Muirhead Reservoir given by
Banks (1948) with 'that given by R. R. Proctor (1948) of the
City of Los Angeles Water Department.
The magnitude of this effect is difficult to assess

For a given set of conditions, it appears that this will

lead to a conservative estimate of pore-pressure (Walker
and Holtz, 1951,; Gibbs, 1950).
 -65-

quantitatively on the basis of laboratory data only, and,

until a sufficiently wide range of field measurements has been
made to form the basis of an empirical rule, it must be a
necessary requirement of sound practice to install pore-
pressure gauges in all important earth dams. It is note-
worthy that this practice is being widely adopted in the U.S.A.
and elsewhere even under more favourable climatic conditions.
For this reason, if for no other, it is necessary to have
shear strength data in terms of effective stress.
It is interesting to note that in cases where the design
is to be based on laboratory data only, these two methods
(i.e. the use of total and of effective stress) will, in the
limiting case, give identical results. The analysis of a
simple bank with a vertical face is illustrated in Fig. 6:1.
Here cu and sdu are the apparent cohesion and angle of shearing
cohesion and angle of shearing resistance respectively under
undrained conditions, referred to total stresses. The values
c' and git are the values given by plotting the corresponding
test results with respect to effective stresses. Since
each test in the series required to obtain the Mohr envelope
will be at a slightly different porosity, decreasing as the
average stress increases, the true cohesion ce also varies
(x) pit is not
and cannot be taken as equal to cf. Similarly
the true angle of internal friction fie.

(x) Canfusion of terminology exists in Daehn and Hilf (1951)

and Glynn (1948) who call 0' the true angle of internal
friction.


1 0 0
45 i• ct, , 45+ cly
/ 2 '2

0 0
Cu C / Of, C a (1)c,
and 1 U and U

C
u
Cc

n.
d3 U —0'1I\ a3 " d STRESS
'

-v C

FIG: 6:1

COMPARISON OF METHODS OF ANALYSIS.

 — 66 —

If it is assumed that over the range of the tests both.

0u end 95 are constants, it follows at once that the pore-
pressure u at failure is a linear function of stress. If u.
is plotted against total major principal Stress the relation-
ship will be as in Fig. 6:1, which can be expressed analyti-
cally as:-
u = o-{ (1 - 1 4. cosec 0')+ et cot 01 Cu. cot O u(1 cosec
+ cosec; 0u
0' \
cosec u.
6:1
In the simple case of a bank with a v6rtical face' a
plane slip surface can be assumed, and 'the stress distribution
at failure (neglecting tension cracks) can be taken as corres-
ponding to the Rankine active state. The stability may be
analysed in three ways.
1. In Terms of Total Stresses. Using equation 5:11 this
gives, for a factor of safety of 1, a vertical height of
H = Cu
cos ;a u, an u-( 1 - sin 0u) 6 :2
,o
the failure plane being inclined at (45 + Ou/2) to the

horizontal. This is the standard result, first obtained by

Coulomb.
2. In Terms of Effective Stresses. Here the total major
principal stress is taken as the head of soil above the element
under consideration and the pore-pressure u is obtained from
equation 6:1. Using equation 5:23, derived in the previous
 -67-
section, and the effective stress parameters cl and Of , an
expression is obtained for H, which, when u is eliminated,
gives the same result as that given above in equation 6:2.
The failure plane is, however, in this case inclined at
45 + W/2° to the horizontal.
3. In Terms of the Fundamental Soil Properties ce and she.
Additional tests would be required to determine ce and
(x)
ale, as outlined, for example, by Hvorslev (1957) . If
Oe is taken to be a constant over the range of porosities used,
then, if 0' is also constant, ce is a linear function of the
major effective principal stress. Using the value of u
given by equation 6:1 and consistent values of ce and she in
equation 5:23, the same value of H is again obtained; this
time the failure plane is inclined at 45 + 00/20 to the
horizontal.
Although this example represents a very simplified case,
it points to several general conclusions:-
(a)If a bank is likely to be in limiting equilibrium
when completed, this fact will be equally well indicated by
using the test data either in terms of total stresses or of
effective stresses..
(b)The location of the slip surfaces, however, will
be given more correctly by the use of effective stresses,
preferably in conjunction with the appropriate values of ce
and 0e; though as 0' will, in typical rolled fill material,

(x)Por a fuller discussion of this procedure, see Gibson,1951.

 — 68 —

bo close to Oe it should serve for practical purposes. Only

in the case of a bank with a zoned fill, or having sudden
changes in profile, should this . result, however, in a serious
error in the factor of safety.
(c)In the case of a bank in limiting equilibrium the
correct stability result is obtained only if the value of u
corresponding to failure in the laboratory tests is used.
(d)The use of a constant value of Ou implies that u
at failure is a linear function of total major principal
stress. While this is a tolerable approximation over a small
range of pressures, laboratory results show that this is not
(x) •
true over larger ranges ' (see Fig. 6:2, based on data from

Glynn, 1948). Under the range of pressure encountered in a

large dam 0u may vary from 25° to 0°. This agrees with the
author's theoretical results based on the consideration of
partial saturation in relation to compressibility (Bishop
and Eldin, 1950). It necessitates the use of varying values
of cu and 0u round the slip circle in the total stress method.
It will also be seen that the use 'of average values of
cu and OU will in some cases imply negative pore-pressures in
the upper pdrt of the dam. The use of a tension crack in
the analysis partly overcomes this objection, but the uncer-
tainty is avoided by working in terms of effective stress.

cx) Unless the clay is initially fully saturated, when it

would follow that 012. = 0 throughout.
 WITH RESPECT TO EFFECTIVE
' SIRE SS
N
WITH RESPECT TO TOTAL STRESS
cc
I-

J
100 2b0 300
STRESS
b./ sq.in.

100
RED CLAY—UPPER YARRA DAM
COMPACTED AT A.A.S.H.0
.4v• OPTIMUM MOISTURE CONTENT

a AND DENSITY.
D AFTER GLYNN. (1946)
u
LU
a

Ct
0 100 200 300
I b/ •
sq. In.
TOTAL MAJOR PRINCIPAL STRESS.

FIG. 6:2. RELATION BETWEEN TOTAL AND EFFECTIVE STRENGTH

PARAMETERS AND PORE PRESSURE AT FAILURE .
 -69-
Two further factors influence the choice of method.
If the analysis is to include the calculation of the factor
of safety under steady seepage and rapid draw-down conditions,
the shear strength data will be required in terms of effective
stresses, and no economy in the testing programme will result
from accepting the total stress method of analysis for the
construction pore-pressure case only.
On the other hand, it must be remembered that the esti-
mation of the com-;bruction pore-pressures, when based on
laboratory data, involves an estimate of the magnitude of.
the stresses throughout the dam. If the fill is placed in
a saturated condition (e.g. paddled clay), or is to be made
of borrow pit material existing at a moisture content appre-
ciably above the Proor optimum, the angle of =drained
shearing resistance Ou will be closely equal to zero. It
may then be more accurate to carry out the analysisesa 0 = 00
case, than to calculate the stability on the basis of equation
.5:23, where the effective normal stress in the friction term
would be a small difference between two large quantities,
one of which is a function of the estimated stress distribu-
tion. Apart from the case of puddled clay core walls,
however, which are discussed separately in Chapter 9, the
use of fill in this state f.s limited to small dams and road
embankments owing to the very low shear strength developed
(for example, the fill originally used at Chingf ord Reser-
 - 70 -

voir No. 2 had an undrained shear strength of only 3 lb.

pt )? square inch (Cooling and Golder, 1944
The appropriate field check in this case is to carry
out systematic undrained tests on undisturbed samples of the
compacted fill taken either from borings or trial pits at a
depth greater than that affected by seasonal moisture content
changes.
In the majority of large dams having rolled fill cores•
the pore-pressure will be measured directly by pressure cells
during construction, but the designer is faced with the
desirability of making a sufficiently good estimate in advance
to avoid a subsequent modification of the cross-section being
shown to be necessary either in the interests of safety or
economy. As the value of 1.5 usually required for the
factor of safety is partly to guard against uncertainties
in relation to calculated excess pore-pressures, a slightly
lower value would be permissible when based on measured pore-
pressures. A value of 1.31 was accepted, although considered
low, in the case of Green Mountain Dam (about 250 in 'height)
quoted by Daehn and Hiif (1951). Since it is seen from
equation 5:23 that the frictional resistance of any particu-
lar slice is proportional to the term i 2
ticos
considerable tolerance may be permitted in the estimate of
u when its value is low, but such values are only likely to
be met with in the smaller dams or under conditions very
3.0 -
CI FIELD VALUES FOR CIRCLES WITH
LOWEST FACTOR OF 'SAFE TY ON
OTHER DAMS. DAEHN AND HILF(195

saca
2.5 WHERE [-V-- *
E7h.b seem

2.0
CO ANDERSON RANCH

ALC OVA

1.5 G RANGY

GREEN MOUNTAIN

414
1.0

0.5

0
0 20 40 0/ 00 100
/0 60
AND

FIG. 6: 3. RELATIONSHIP BETWEEN FACTOR OF

SAFETY AND PORE PRESSURE .

DAE R RE SERVO! R— DOWN STREAM SLOPE.

 - 71 -

favourable to thorough compaction on the dry side of the

optimum moisture content. In general, however, the estimate
must be made within narrow limits, as shown, for example,
by Fig. 6:3, which gives the relationship between factor of
safety and pore-pressure obtained in the preliminary analysis
of the Daer Reservoir embankment.
In the preliminary analysis the pore-pressure is exp.resse
as a percentage of the stress equal to the vertical head of
soil above the element considered, and this percentage is
assumed constant throughout the dam. In the case of the
dams quoted by Daehn and Hilf (1951), the distribution of
pore-pressure has been determined by field measurements,
and this percentage is then the weighted average, i.e.
_ b .Sec Ck
sac.
6:3
It will be seen from Fig. 6:3 that if V? h is 35 per
cent or less the Daer embankment will have a factor of safety
of at least 1.5. On the other hand, if u/-, h rises to 55 por
d
cent, the bank will be on the point of failure. It is
interesting to note that a very similar relationship holds
for three of the four dams quoted by Daehn and Hilf, and •
that values of r41-1] of 40 to 45 per cent are met with
even in well compacted fills if the height is large.
The physical properties of the soil which control the
excess pore-pressure set up have been discussed by Bruggeman,
 - 72 -

‘Zanger and Brahtz (1939), Hamilton (1959), Hilf (1 948),

Bishop and Eldin (1950), and Daehn and Hilf (1951).
Briefly, an approximate solution may be based on Boyle's
law and Henry's law of solubility. Henry's law states
that, at a given temperature, the weight of gas that will
dissolve in a given volume of liquid is directly proportional
to the pressure (and hence, by Boyle's law, the volume that
would be occupied by this weight of gas is the same at all
pressures).
Let V denote the volume of an element of partly saturated
soil;
" voids;
m m degree of saturation;
m " initial pressure (absolute) in the voids
Po
(x)
when the sample is unconfined .
Henry's coefficient of solubility (= 0.02
voldros of air per unit volume'of water,
approximately, at room temperature).
the porosity of the soil.
Then the total volume of air in the unconfined sample is
(1 - s)Vv + 6:4
Hence the volume of free air at a new pressure p (abs )
((1 s) V, + s VV°H • 6:5
IfLYV is the corresponding change in volume of the
(X)

This is usually takon to be equal to atmospheric pressur

There is some evidence that in freshly compacted fill
it may be slightly higher (Hamilton, 1939).
 -73-
element,
L1V~ 1(1 - s)Vv sVv HI Po / - sVv H -(1 - s)Vv
/P 6:6
neglecting the compressibility of the water and. the soil
grains as small compared with that of the entrapped air.
i.e. GV 4P0 V
V v

Po - - n 6:7 •
p
since vv is equal to the porosity n
V
Now, if Gp is equal to p po , it follows immediately
from equation 6:7 that
_GA V
I-P/Po = AV n (1 s sH) 6:8
7r-
Hence it can be seen that, for a given change in volume,
the change in pore pressure (in the absence of drainage) is
a function of the initial pore-pressure, the degree of
saturation and the porosity. It is important to note that
this relationship holds only until all the free air has
• passed into solution. When the volume change is equal to
(1 - s)Vv9 this state will be revohed. The pore-water will
entirely fill the voids,and no further volume change can tak
place without drainage of water from' the sample. The chang
in pore-pressure after which this occurs can be denoted Lps
which corresponds to the value of
dV = -(1V- s)v = - (1 - s)n.
IF v
 - 74 -
Substituting in equation 6:8 we obtain 4bps:-
= P (1 -
- 0 7(1 - e)n + n(1 s sH)
i.e. 4ps a. pia
sH- 6:9
It Can be seen, therefore, that the change in bore-pressure
before the soil becomes fully saturated depends only on the
initial pore-pressure and the degree of saturation.
The change in effective stress, and thence of total stress,
corresponding to a given volume change depends only on the
compressibility. With this additional data the relationship
between pore-pressure and total stress can, therefore, be
plotted. The volume changes in a soil subjected to a
generalised stress system cannot, however, be expressed in
terms of any simple mathematical relationship'(see, for
example, Eldin, 1951). For the present purpose the simplest
procedure is to use a graphical method, expressing the volume
change as a function of major principal stress for a particu-
lar set of test- conditions (either equal all-round pressure,
no lateral yield, or incipient failure, for example).
This is illustrated in Fig. 6:4, where in the upper graph
the experimental relationship between volume change and major
principal stress (for no lateral yield) is plotted together
with the relationship between excess pore-pressure and volume
'change given by equation 6:7. For any given volume change
21 , the corresponding pore-pressure (Oland effective
V i
 rrrner,x, rr.r.

PRESSURE. ibisq ,n.

50 100 150 200 250 3C0 350

FULLY SATURATED

100

U 00oy
lb._
CALCULAT ION OF PORE PRESSURE
[
u] TOTAL STRESS RELATIONSHIP.
a/ I
50 DAER VALLEY.

s = 8I.3 0/0
n 25.2 °Jo
[Tit -1:+H 1 mh =10. 0/0

5 (7, : r. 200 250 300 350 400

F 6:4. RELAT1( S ST RESS VOLUME AND

PORE PRESSURE CHANGES.
 - 75
stress (c9')1, are read off(x). The relationship between
(u)1 and total stress, (0-01 + , can then be plotted
as in the lower graph. When the excess pore-pressure becomes
equal to 4ps, the sample is fully saturated, and further
increases in total stress are fully reflected by the changes
in pore-pressure.
The influence of the principal variables is illustrated
in Fig, 6:5 and 6:6 by a numerical example based on the soil
properties measured on the material for the Daer Reservoir
embankment. These are , for the material < r :-
At Proctor optimum,
Water content = 10.0 per cent
Dry density =128.0 lb. per cu. ft.
Degree of satavation = 81.3 per cent
Porosity = 25.2 per cent
When poorly compacted,
Dry density c. 118 lb. per cu. ft.
Porosity = 31.1 per cent
The compressibility (oedometer) is as given in Fig. 6:4,
based mainly on estimated poor compaction. The small
amount of other published field and laboratory data suggests

(x)
All pressures and stresses except where otherwise stated
are measured above atmospheric pressure, and pc, is
assumed to be equal to atmospheric pressure.


U I b
.in.
O 20 40 60 80 1 00 1 20
O
•
• •
• .
\
•
20 \ ..
•
A •
• •
\\ •
40
\ ••
•
\\ •
\
\ \
di 60

I b/Sq in. \ .

•
•
SO •
A•
G(4
00
si-1
&
1 \ .0o
III \
100 ---
<+"
N.5%_,
• -i„is
•C,P
9
c4%
•
•
120 •

k
\ ro.t
\
/4

-1
C.
5 7 9 0°/o
\°
O.
n.25•2 °/o
<,
140
t .
11, Still .3°Jo
\-13 T1.25.2%
- 7 0. 0 0/0 \ S :' S1.3%
• t. 25 •2 °/0 n = 31.1%
160

FIG. 6:5. EFFECT OF VAttlAT ION IN INITIAL DEGREE

OF SATURATION AND F0POSITY DAER RE SERVOIR
 o 20 40 '00 100 120

20

40

60

(f.

,
,
.. , ...

100

1401---

Io o
S. 70/0 S : BI . 3 /0 S T 90%
n:25·2°~ n:2S'2 % n = 25-2 0/0
16 0 I----..I.--- L- ~ ::..__ ____J

FIG:6:6. EFFECT OF 50% DECREASE IN COMPRESSIBILITY

 - 76 -
that even with very good compaction volume changes of about
50 per cent of these values must be expected.
Figures 6:5 and 6:6 indicate that the excess pore-pressure
is determined to a major extent by the relative values of
degree of saturation and compressibility, and to a less
important extent by the range of porosity within which the
fill can be placed. it can be seen that if the degree of
saturation approaches 90 per cent, high pore-pressures must
be expected even with the best compaction practicable. At
Daer the conditions are unfavourable to good compaction, and
the compressibility will be in the upper range, but field
measurements indicate values of n rather larger than 25.2 per
cent and a low degree of saturation ( <80 per cent). Owing
to the wide grading of the fill, which includes cobbles and
boulders, accurate field measurements of n and s are not
possible. The present construction programme, therefore,
is based on an estimated pore-pressure, of less than 40 :ent
of yh, and field measurements of pore-pressure are
taken during the placing of the fill so that the progran-J_ 3an
be modified if excessive pressures are recorded.
Field values of pore-pressure measured during construction
are given in Figure 6:7 for two dams built by the Bureau of
Reclamation. In the Green Mountain dam the zone of the dam
containing the pore-pressure gauges at locations 11 and 12 was
placed close to, or above, the optimum moisture content (based
on the Bureauts,standard compaction technique).
 U Iblsq.in.
0 20 4 0 60 80 100 120

20

40

60
a,
lb sq.in,
0
\
80

\SG
\ cc'
ENVELOPE OF HIGH
VALUES—GREEN
100
. MOUNTAIN DAM,

GREEN MOUNTAIN DAM

LOCS.1112. SEC IO *SO.
120 5- 84 °/o
11 r.r. 2 I. S °/0

•
• ANDERSON RANCH DAM
LOC.IS. SEC.IO * 66.
140 •
S 07 °/o
•
11 = 28.2 °/c.
•
•

160 .,0

F1G.6: 7. S OME FIELD MEASUREMENTS OF PORE PRESSURE

PLOTTED AGAINST' TOTAL STRESS EQUAL TO
VERTICAL HEAD OF SOIL ABOVE.
 -77-
In'the Anderson Ranch dam tie Bureauls modern practice of
placing the fill between 1-3 per cent on the dry side of the
optimum water content was only adopted for the upper layers
of the dam(x) „ but a lower rate of construction was used.
It can be seen that these curves fit in with the general
pattern suggested by Figs. 6:5 and 6:6, though the influence
of certain other factors may be seen. The results, however,
serve to. emphasise that even with the most uatisfactory com-
paction high percentage pore-pressures must be expected in
large dams, and, under less satisfactory conditions, even
beneath comparatively small depths of fill..
The relative vertical settlements at different depths
in the fill haVe been used by Hilf (1948) as a direct field
measurement of the volume change (this assumos no lateral
yield). This, together with the field measurements of
moisture content and dry density, provides the data for
making a comparison with the measured pore-pressure. The
published results indicate very satisfactory agreement in
some cases, especially in the central zones of .the Anderson
Ranch dam. In other cases, however, either due to non-
uniformity of the fill or redistribution of pore-pressure with
time, or the neglect of horizontal strains, the correlation
is only qualitative.

(x) Details of pore-pressure measurements are given by Daebm

and Hilf (1951), Walker and Holtz (1951) , Hilf (1 948),
Daehn and Walker (1948).
 — 78 —

Hilf states that, in general, piezometer tips located well •

inside the zones of material whose permeability coefficients
are smaller than 1 foot per year do not show any appreciable
decrease in pore-pressure during the shut-down seasons.
Some of the readings actually increased during these periods,
which may be evidence of secondary consolidation(x) (Hilf,
1948). However, consolidation may play an important part
in reducing the pore-pressure in the upper layers of the fill
as placed, before they are buried to a depth which inhibits
further pore-pressure changes.
It will be seen from Fig. 6:8 that if the pore-pressure
is represented by a standpipe level h' greater than h, upward
flow will occur. Since u = ywhr s the corresponding value
of u is given by the expression:-
to = u/rw >b.

i.e. u > 1Ar (typically Yw = 45 per cent)

i
h
))/ T 6:10
Similarly, downward flow will occur if u < Yw .
111
a
In this latter case, either air will be dr wn in nd the
degree of saturation reduced, or a negative per° prosoure will
be set up (similar to the long term effect of drawdown

(x) A similar increase in pore-pressure under constant total

stress has been observed by the author in laboratory tests
with both saturated sands and clay. In the case of
sands, at least, incomplete primary consolidation cannot
be postulated.
 (a) UPWARD FLOW IN FILL IF U yw

(b) DOWNWARD FLOW IN FILL IF U w/ry-

FIG.6: 6 DIRECTION OV FLOW OF PORE WATER IN

UPPER LAYER dF FILL DURING CONSTRUCTION.
 -79-
suggested by Terzaghi, 1943), which will result in the
increased firmness of a fill usually noted after a rest period.
If, however, free water is allowed to stand on the fill, the
negative pore-pressure may lead to a more rapid saturation of
the fill, and ultimately to excessive pore-pressures in the
layer as construction advances.
The redistribution of pore-pressure, in cases where
u 1(w and the dam is constructed on a relatively imper-
74
eable Toundation„ will tend to increase the excess pore-
pressures near the toes of the slopes, and, even if appreci-
able changes occur only at shallow depths, the factor of
safety will be adversely affected. A quantitative estimate
of the points'noted in the last few paragraphs is at present
impracticable, and they are mentioned primarily to emphasise
the value of field measurements at the present,stage of the
subject.
The important influence of compressibility in the fore-
going analysis provides a basis for assessing which of the
alternative test procedures is the most satisfactory. It
can be assumed as a good first approximation that the major
principal stress at any point is equal to the vertical head
of soil above that point, multiplied by its density, except
near the toes of the dam (see Fig. 306). The determination
of the other principal stresses with any accuracy would
require a very detailed analysis in each particular case. It
 EFFECTIVE MAJOR PRINCIPAL STRESS.

in. V
V

1:7%
3 r
f
a3
(D* 1.-: a'
3 I

a,

_ Ay (b) LOOSE SANDS.

V
a - Cr.
rf

a3 = K,,,;a,

a.

FIG 6 : 9, RELATION 6 ET WEE tsl VOLUME CHANGE AND MAJOR

EFFECTIVE PRINCIPAL STRESS FOR VARIOUS PRINCIPAL
STRESS RATIOS.

K o t COEFFICIENT OF EAhTH PRESSURE AT REST.

rf = PRINCIPAL STRESS RATIO AT FAILURE.
 - 80 -

is desirable, therefore, to relate volume change to major

principal stress for the range of minor and intermediate
stresses likely to be met with in the dam.
The data available on rolled fill material is very limited,
but the probable range of results is illustrated in Fig. 6:9,
based on tests on 'saturated clays and sands. One extreme
is represented by normally consolidated, saturated clays,
where in many cases the volume change-major principal stress
relaionship is almost independent of the principal stress
ratio (x)(Triaxial Shear Report, 1947, Bjerrum, 1951N, and
unpublished tests at Imperial College). The deviation
increases as the clay becomes sandier. For loose saturated
sands a comparison of compressibilities measured under an
equal all round pressure with those measured under conditions
of no lateral yield (using the triaxial test procedure des-
cribed by the author at the Experimental Stress Analysis
Conference 2.1950), shows that within this range the volume
change is controlled by the average principal stress.
KJellman (1936) obtained a similar result for dry sand using
a form of triaxial machine in which the intermediate princi-
pal stress could be varied independently.. He stated that
relationship held almost until failure.
(x)
All the tests were carried out in the oedometer or in
the standard triaxial cell, and the intermediate princi-
pa6 stress is equal to the minor.


- 81 -
ti
Now if o- is the average stress corresponding to a given
vulumo change, and, if we consider a loose sand where 0 = 34°
and ko = 0.46; and a dense sand where 0 = 40 and ko = 0.35,
it follows that:-
(a) Under equal all rodild. pressure -c;-.• = o
4 (b) Under conditions of no lateral yield, -
cr- = 1(1 + 2k0)
I
6:11
i.e. 0- = .64 o— for loose sand
1
cr- = .57 o j for dense sand

(c) Under conditions in a bank where the factor'of safety

t
is 1.5, the average value 0 mobilised. is given by
tan Orn = tan 0 6:12
1.5
Since a long bank is a case of plane strain, the inter-
mediate principal stress will not be equal to the minor
as in the standard triaxial test, but may be taken as the •
mean of the major and. minor principal stresses. Hence if
r is the mobilised principal stress ratio, then
m
+
m 6:13
i.e. = 0.71 cr- for loose sand
:r = 0.67 al
7 for dense sand
(d.) Under conditions approaching failure, no data is •
available for compressibility under constant values of r.
Ordinary drained triaxial tests show that, after consolidation
 -82

under an all round pressure 0.31 , the raising of the major

principal stress to causes a decreasa in volume in loose

sands and an increase in dense sands. In the intermediate

case, i.e. when no additional volume change has occurred at
failure, the volume change will equal that due to a value of
0 .
11 1 0 t where rf is the principal stress ratio
rf
at failure. Hence, effectively, -6-1- za-- 0.25 .of For
. ,
loose sands the volume.changes will be larger, for dense
sands smaller.
Now compacted impervious rolled fills will probably have
compressibility characteristics intermediate between clays
4
and sands, and it must, therefore, be assumed that the princi-
pal stress ratio exerts a considerable influence on the volume
change-major principal stress relationship. Ideally, the
tests should be carried out under the average stress system
to be met with* and further research needs to be done on the
influence of r, especially in the range between no lateral
yield and failure. Present data indicates that for a factor
of safety of 1.5, the laterally confined test will give a
slightly conservative estimate of compressibility. The use
of an all round pressure kor consolidation will lead to a
very over-conservative estimate (i.e. a higher compressi-
bility leading to large estimated pore-pressures). The
values based on failure conditions will lead, on the other
hand, to an underestimate of pore-pressures for any condition
 - 83 -

other than failure. The differences between the methods

will decrease as the material approximates more to clay in
its behaviour.
One other important factor, however, influences the test
procedure. As described above, the initial porosity and
moisture content of the soil are determined, and the volume
change-effective stress relationship obtained under drained
conditions; the data for calculating the excess poro-pressure
in terms of the total applied stress thus being obtained. It
is more direct, and avoids the long time interval required
for drainage, if the test is run without drainage and the
excess pore-pressure measured directly. The °odometer, in
which the laterally confined drained tests are carried out,
is unsuitable for closed system tests(x) Closed system
(i.e. undrained) triaxial tests with equal all round pressure
have been used by Hamilton (1939) and Bjerrum (see Haefeli,
1951); and Glynn (1948) has used undrained triaxial test
results corresponding to failure conditions. In view of the
limitations of those two stress systems as outlined above,.
the indirect oedometer.method has much to commend it, and is
in fact used by the Bureau of Reclamation (Daehn and Hilf,
1951). A procedure is, however, being considered by which
w.
closed system tests can be run either at constant effective

(x)
Hamilton (1939) carried out a few preliminary tests in
this manner.
 ~84-

principal stress ratios, or with no lateral yield, but no

data is yet available.
It should be noted that these methods (with the possible
exception of that used by Glynn) are intended to estimate
S' the pore-pressure that will actually exist in the bank, and
can be checked by field measurement. This involves a modi-
fied conception of limit design, which would strictly imply
the use of pore-pressures corresponding to failure conditions
in cases such as this when poro-pressure is a function of
stress distribution. The practical value of the field check
is, however, ample justification for this inconsistency.
In cases where a triaxial cell of suitable size is not
available for carrying out the tests necessary to obtain cl
and 01 , it is permissible to use drained tests in a large
shear box, though if the rate of volume change at failure
is large it will be necessary to correct for this (as
explained in the author's reply to the discussion on Skempton
and Bishop, 1950) to obtain a result more closely equal to
that of the undrained tests.
Partial Consolidation,
As mentioned earlie, the range of materials and con-.
struction conditions under which no drainage can be assumed
is Dot well-definedi in doubtful cases the theory of con-
solidation can In used. Though Terzaghi (1943). considers
that the rate of consolidation can be calculated by standard
 -85-

theory if the air content is small, in this problem the

boundary conditions are difficult and change at each stage
of construction. In addition the accuracy is limited by
that of the estimate of initial excess pore-pressure.
Solutions suggested by Brahtz (Bruggeman et al - 1939) and
Rufenacht (1948) involve sweeping assumptions, and it is
probable that an arithmetical step by step method would have
to be adopted in an important case. The factor of safety
would then be.calculated on the basis of the excess pressure
remaining at the and of construction, or any more critical
(x)
intermediate stage, using equation 5:23w
It is important to note, however, that as far as the
upstream slope is concerned, excess pore-pressures set up
during construction are only of primary importance if con-
ditions do approximate to no-drainage; in other cases the
rapid draw-down condition is likely to be the more severe.
From the practical point of view, the foregoing dis- •
'oussion leads to several important conclusions:-
(a) With the possible exception of fills that are so
nearly saturated that Ou. is equal to zero, the

(x)
When full dissipation of the pore-pressure has occurred
it is usual to make use of the drained values of c and
0 in an analysis. This is not usually a critical case,
and in all other oases the undrained effective stress
parameters are to be preferred.
 -86-

analysis should be carried out in terms of effective

stresses.
The values of ct and 0' should be obtained from
undrained tests in which the pore-pressure is
measured. If the necessary laboratory equipment is
not available, the values obtained by drained tests
may be used as a first approximation, but must be
interpreted with discretion.
(b) The excess pore-pressure to be used in the effective
stress analysis should be based primarily on field
measurements under similar construction conditions.
In the absence of such data the values predicted
on the basis of laboratory tests become particularly
important. The procedures fall into two classes:-
(1) The direct measurement of excess pore-pressure
in an undrained test, using one of the alternative
stress systems possible in the triaxial machine.
(2), The indirect method based on the compressi-
bility of the soil measured either in the oedometer,
or in a drained triaxial test.
(c).As neither laboratory tests nor an empirical rule
based on the present limited amount of field measure-
ments can predict the pore-pressure with the narrow
margin required for safety and economy in a large
 -87-

dam, provision should always be made for measuring

the pore-pressure during construction and modifying
the section or rate of tipping, if necessary.

•/
 CHAPTER 7

APPLICATION TO SPECIFIC DESIGN PROBLEMS,

(b) Stability of a Dam in which Excess Pore-pressures are

set up due to Steady Seepage.
Possible dangers to stability when the reservoir behind
a dam is filled fall under four main headings:-
1. Local Piping and Internal Erosion. Any junction in the
components of a bank, such as a conduit passing through a
puddled or rolled fill core', or a cuz-off trench based on
fissured rock, which may lead to local concentrations of flow,
ie a potential danger (Justin, Hinds and Oreager, 1945;
Steer and Binnie, 1951). This category also includes the
junctions between the various types of fill in a zoned bank.
Design in such cases must be considered primarily in terms of
the best modern practice, and is outside the scope of the
present discussion.
In cases where a complete cut-off is not obtained under
the dam (this includes cases where sheet piling is used),
the •stratification of the foundation may lead to similar diffi-
culties, and a number of dams and levees have failed or been
subjected to local "boils". as a result. The factors involved
are discussed by Terzaghi (1948), Middlebrooks (1948) and Rice
and Arthur (1 948). Good practice requires the use of
inverted filters (or relief wells) in such oases. Seepage
studies based on flow nets are useful in determining the
 -89-
quantity of water likely .to be dealt with, but are not taken
to provide conclusive evidence that drainage layers are
unnecessary, owing to the difficulty of predicting actual floe,

t conditions (viz., excessive local gradients) in natural

ground.
2. Saturation of the Toe of the Fill. If the line of
saturation meets the exposed down-stream face of the bank, due
to failure to provide an adequate, free-draining toe, or under-
drainage blanket, local erosion will take place. In addition
the seepage pressures will lead to softening of the soil, and
local slumping may occur which will eventually endanger the
whole structure.
This condition is generally revealed by constructing a
flow net based on conservative assumptions with regard to
permeability, and the drainage layers modified accordingly.
A. Casagrande (1937) has worked out several illustrative
/examples.
3. Settlement of the Fill due to Saturation. If soil is
compacted on the dry side of the optimum moisture content and
loaded in an pedometer, consolidation will cease after a
certain settlement has occurred. However, when the sample
,is allowed to saturate while still under. load, additional
settlement generally occurs.
As this might lead to damage to the structure of the
dam (a corresponding phenomena in rock fills placed without
sluicing water has caused serious damage to impervious con-
crete membranes. The San Gabriel No. 2 Dam settled 12 feet
after the first heavy rain (Justin, Hinds and Oreager, 19L1.5)),
and as it is taken to be an indication of an excessive drop in
the cohesion of the fill (Dhehn and Hilf, 1951)', the low
limit of moisture content fbr a rolled fill is taken as that
under which no further consblidation occurs on saturation in
the oedometer test.
4. Softening of the Fill On Saturation. This is considered
to be due to two effects. The most important is the loss in
frictional strength due to the presence of pore-pressures,
which will be discussed in the next section. It may also be
due to a drop in the cohesion term due to internal softening
at constant volume and in the surface zones to actual swelling.
The possible magnitude of the effect is discussed in terms of
the stability analysis, and for large dams is probably not
important.
Testing Procedure and Analy sis.
To devise an appropriate test, it would be necessary to
apply total stresses corresponding to those in the fill at
the point under consideratidn, and then apply a pore-pressure
equal to the value calculatgd from a flow net, allowing a-
slight gradient through the sample to ensure the degree of
saturation likely in practide. The sample should then be
very slowly sheared, maintaining the constant applied value
 - 91 -
of pore-pressure, but at a rate which caused no excess pore-
pressure to be built up.
The shear strength characteristics in terms of effective
stress will differ very little from those obtained from either
=drained or drained tests. The angle of shearing resistahcc
should be in good agreerhen, though a drop in the cohesion
term is expected in soils which have an appreciable percentage
of air voids or lie on the dry side of the optimum moisture
content for the compaction technique used. When drained
tests are used, Terzaghi and Peck (1948) have suggested •
neglecting the' cohesion term in the design of dams. In any
case, the possible margin of error is small in a large dam
F
where the friction term predominates. Published test data
regarding this problem is at present very incomplete.
Calculation of the distribution of pore-pressure due to
seepage is mathematically relatively simple but its accuracy
is severely limited by the non-uniformity of actual rolled
.fills. The fill in each zone is assumed to be homogeneous
and generally isotropid; though in dams without a pervious
zone on the downstream side the risk of the saturation line
reaching the free surface is greatest when the horizontal
permeability is greateil than the vertical and this should
be considered in the analysis if indicated by tests.
If two dimensional flow is assumed, and Darcy's law is
taken to hold for the bang° of velocities considered, an
 — 92 —

equation of the Laplace form expresses the flow conditions

for steady seepage.
1 qe • Ou. = 0 7:1
A solution for the boundary conditions mot with in
practice can seldom be obtained analytically, and one of the
methods of successive approximation is most appropriate.
The "sketching" method devised by Richardson (1908) and
(x)
developed by A. Oasagrande (1937) obtains the solution
ao an orthogonal set of stream lines and equipotential lines
(or lines of equal head).
In this case u = )1/,Vh — y) 7:2
where h is the head
and y is the elevation of the point considered, measured
above the same base.
The relaxation method described by Shaw and Southwell
(1941) and Southwell (1946) is capable of far greater
accuracy especially where concentrations of flow or zones
of different permeabilities are involved. The solution
is generally obtained —directly in terms of pore—pressure,
though this is optional. Its use, however, requires more
time and skill than the sketching method in straightforward
cases, and the accuracy it gives is seldom justified by our
knowledge of the variability of the soil in practice. The
work can be minimised by using the relaxation method only
Tx)
Oedergren (1948) giVes a set of examples relating to dams.
 -93-
in the zones where a flow net is difficult to sketch with
the necessary detail, i.d. adjacent to a drain.
In practice, sufficient accuracy will generally be obtainei
by treating the pervious and semi-pervious zones as infinitely
permeable as compared with the impervious core (where permea-
bility is usually at lea6t 20 times smaller, and more often
several hundred times less).
The condition of anisotropy is introduced by transforming.
the'section before sketching the flow net (Samsibe, 1931),
and in the relaxation solution by changing the relaxation
pattern.
Solutions may also be obtained by electrical or membrane
analogues, and by the use of models, but these methods are
less flexible than those outlined above and require consider-
able equipment.
When the pore-pressure has been calculated it is used
directly in equation 5:23 (or equation 5:37) if there is a
tnilwater below the darn; . The lowest value of F after a
number of trial circles gives the required factor of safety.
It should be noted that if the line of saturation approaches
the face of the dam near the toe, a small slip here may show
a lower factor of safety than one involving the whole down-
stream slope.
 CHAPTER 8

APPLICATION TO SPECIFIC DESIGN PROBLEMS

(c) Stability of a Dam in which Excess Pore-pressures are

Set up due to Rapid Draw-down.

Consider the state of stress in an element at BC on a

potential slip surface. The condition can only be described
strictly if we know the three principal stresses and the value
of the pore-pressure u.
If the steady seepage condition has been reached; then
before draw-down the value of u can be determined by a flow
net. In Figo 8:1
u yw ez (w ohl
i.e. u = yw.(z 8:1
The total major principal stress can- be taken as equal
to the head of soil and water above the element as in the
estimation of constructiOn pore-pressares.

"e• = Yw•(° - h) y.(h)

or cri ye.11 Xw'a 8:2
 -95-
Hence the effective major principal stress is given from
8:1 and 8:2 as:-
, v z +Yw hi
6.7 = yb.h Ow
1
i.e. (51 = ys.h + N.121 8;5

If the line of saturation is relatively horizontal due to

the zoning of the f), I). or shape of the dam the calculation is
simplified by neglecting the 6.ht term, and the moult will
be on the conservative side.
After draw-down the total major principal stress has
dropped to (G1)1 , where approximately

(0T = r.h . 8:4

Now if full saturation and no drainage are assumed, it
has been shown by Skempton (19L1.8 a and b) that the change in
pore-water pressure can. be expressed as:-
4u= a(Li -Ada) +603 8:5
where ,6 = change in u
21aT = change in major principal stress
o-3 . change in minor principal stress
a is a parameter depending on the compressibility of the
soil such that, approximately
a = 1 in a triaxial test and
+ 2 A•
a = 1 in plane strain.
1 + A
In these equations A = ext.ansibility of the soil structure.
compressibility
 - 96 -

This May be written as

=6cri —(1 — a) - Ac 73)

Hence 0 after draw-down 1.

(u)1 u +du 8:7
and from equations 8:1, 8:2, 8:4, we get
(u)1 =41.(z - ht) + -4r.(z h) - rh. - (1 - a)(o71 -6o- )
3
i.e. (u)1 0 —Ac5-3 ) . 8:8(x)
ht) — (1 — (01
In this expression the term (1 - a)(4071 -A673) expr'esses
the effect of the increasing deviator stress in the soil,
caused by the increase in the disturbing moment as the.
water level drops (as indicated by equation 5:37).
Test data reviewed by Skempton (1948 a, b and c), Hansen and
Gibson (1949) and Bjorn= (1951) indicates that > may
approach zero in highly compressible soils, but is generally
larger, a value of 0.5 representing lightly over-consolidated
clay. The :
value of a is therefore equal to i in the
limiting case, and genei.ally smaller. Hence the effect of
the deviator stress term in equation 8:8 is under all condi-
tions to reduce the excess pore-pressure, whose upper limit
is thus
= V .(h h') 8:9
aw
Little data is available to check the accuracy of this
estimate, as the rapid-draw down condition represents an

(x) Similarly, in cases of partial draw-down above the slice,

h in eauation 8:8 ib measured from the element BC up to
the final water surface.
 - 97 -

unusual operating condition . Table 8:1 has, however,

been prepared from data given by Glover, Gibbs and Daehn
(1948) in relation to the Alcove Dam s which 1.n 1939 was sub-
jected to a draw-down ok 126.6 ft. in L.9 days.
Table 8:1

Tc
Location il (mrissured) _IL •_-.• (h-ht) a measured
. ft. ft. rif ft. head % error .
ft. head

(x) 15 52 - 29
5 52 37
6 ' 151 145 106 105 + 1
7 109 /44 65 ' 6)4 + 1,
8 77 19 58 55 + 5
(x ) 8 27
9 39, 31 4 .. 115

10 180 137 Li5 59 - 27

11 150 81 69 73 - 5

average 6/3

This good agreement between observed and predicted pore-

pressures indicates that equation 8:9 cannot be considered
over-conservative if rapid draw-down conditions occur in,
practice. It is interesting to note that the fill was well
compacted, the dry density of both. zones referred to being
about 124 lb. per cubic ft.
(x) Points (5) and (9) appear to lie in semipervious soil
adjacent to the main impervious zone. The permeabilities
of the two zones are given as 6.5 and 0.24 ft. per year
 - 98 -

It will also be seen that the values of h' play a very

considerable part in this particular case. Had measured
values not been available it would have been difficult to
check the principle involved in this method so accurately,
as the flow pattern before draw-down was rather irregular.
This will probably prove to be the limiting factor control-
ling the accuracy of the final estimate except in cases
where an impermeable membrane of puddle clay or concrete
provides a positive cut off. If h' had been neglected, the
estimated pore-pressures would have been on the average
about 70 per cent too high. In design, therefore, care
must be given to making an accurate assessment of the values
of ht based either on a flow net or field measurements.
It will be noted that for elements lying to the left of
the vertical through E in Pig. 8:1 no change in pore-pressure
is implied if a = 1, since there is no change in the vertical
head of soil and water. .The value of u is still given by
equation 8:1 as u ht ), which below E becomes equal
to that given by equation 8:9 since z = h on this vertical.
The factor of safety is worked out using equation 5:23 in
the case of complete draw-down or equation 5:37 for partial
draw-down.
 -99-
Two questions must generally be answered by the designer.
Firstly, what constitutes rapid draw-down for a given type
of fill; and secondly, when can the material be classed as
incompressible, and the pore-pressure distribution based
on this assumption be used?
The question of what constitutes rapid draw-down is
closely linked with that of construction pore-pressures.
If excess pore-pressures are considered probable after
construction 'is completed, any draw-down on a comparable
time scale must be considered rapid with respect to the same
zones of the fill. The results from the Alcova Dam indi-
cate that impervious fill and semi-pervious fill with a
permeability of 6..5 ft. per year or less must be considered
' liable to the maximum draw-down pore-pressures, for average
rates of draw-down of the magnitude of 2.6 ft. per day or
more. Modern practice favours the use of a material for
- the upstream zone (such as coboles or rock-fill), of
sufficiently high permeability to eliminate the possibility
of excass pressures (haehn and Hilf, 1951; Reinius, 1948)..
In obtaining equation 8:8 it will be seen, that no
assumption is necessary about the magnitude of the compres-
sibility of, the soil, except that it is large compared with.
that of the pore-water, E►o that an increase in all round
pressure is carried almost entirely by an increase in pore7
water•pressurow: •••Thd ac curacy of -this assumption has
been discussed
 - 100-

in detail by the author elsewhere (Bishop and Eldin, 1950).

In the case of rapid drag-down we are concerned with a
decrease in total stress, and thus with the expansibijity of
the soil which is in general lower than the compressibility.
The effect on the change in pore-water pressure Au, of a
change in all round total pressure Ao-, without drainage,
is given by the equation.
1 AT' 8:10
T77.77
zr;
where 07 u is the expansibility of water
and 01 s is the expansibility of the soil with respect to
off6Ctive stress changes,
and n is the porosity.
For a densely compacted sand it is unlikely that the ratio
Ct will be greater than 1 , so for a porosity of 35 per
0's 3
cent we obtain
•
-• 0-
.35 x 1
5
i.e.4u = .935 Ad- ..... . 8:11
In other words, this effect will result in a smaller drop
in pore-pressure, i.e. in a greater residual pore-pressure
after draw-down. If h small percentage of free air remains
in the soil the expansibility of the pore-fluid will be
greatly increased and dangerously high residual pore-pressure
will be recorded even in compressible soils. Pore-pressure
 - 101 -

records, however, indicate that this is rare, though the two

high values in Table 8:1 might be an indication of this effect.
The assumption of complete saturation in the steady seepage
zone is therefore probably a good approximation.
In reducing equation 8:8 to the expression in equation
8:9, a second assumption about compressibility is implied by
the use of a = i based on >\ = O. For incompressible soils a
will be less than 1. This cannot be examined in terms of
the simple " ,> theory" as the soil structure will probably
be dilatant. An extension of this theory has been discussed
by Odenstad (1949), but it is most easily illustrated by
(x)
undrained test results on sand'carried out by the author
(Bishop and Eldin, 1950); In these tests 03 is kept constant.
and so from equation 8:5 we have directly
a= du 8:12
er3)

In figure 8:2 values of a are plotted against the percen-

tage strain at which the increment of shear is applied. It
will be seen that the value of a even for very loose sand is
less than 1, and may become negative and approach a value
of about - 0.45. The value of a becomes constant once the
frictional strength is filly mobilised (i.e. the maximum
value of the effective principal stress ratio is reached),
and is given by the equation
(.)(cr" -
2 sin Oe o-r 8:13
3 1 - sinA 3
(xfi1To be completely rigolious, anisotropically consolidated
undrained tests should-be used.
 1.0

VALUES

0 s
0 10 15 „, .20 25.
OF a 10 STRAIN.

`NW
•••
411. ., soma

0.5 t

1 sO

FIG. 8:2 . TYPICAL VALUES OF CL.

MEDIUM DENSITY SAND. h.. 43 0

SI :MOP. AND
LOOSE SAND. 1,1- = 4 5 °/o EL D IN 1950.

REMOUL liED CLAY SLIGHTLY

OVERCONSOLIDAT ED TEST El—T2..} TAYLOR 1944.

FR I CT 1:7“.: FU..LY
 - 102 -

which is obtained in the paper quoted above.

If 63 is constant,
3 - CC u 8:1L
and hence c
a = u
(9 - 3) 8:15

where
e is the angle of internal friction of the sand. In
the two tests quoted the peak value of Abe was 34e, giving by

equation 8:15 a value of -0.39 for a, which is in good

agreement with the observed values. If Oti, = 300 , a = -0.5,
and this can be taken as the lower limit value, a = 1 being
the upper limit.
The effect on the residual pore-pressure of allowing for'
the change in ddviator stress is thus seen to be always a
reduction below the value given by equation 8:9, varying from
zero in very compressible soils to 1.5 .6(ol - 03) in the
case of dilatant soils at failure. As this term would then
become of the same order of magnitude for complete draw-down
as Wh ht) in equation 8:8 a strongly dilatant structure
would appear to give a greatly enhanced factor of safety
against rapid draw-down.
This, however, will only be so if the material is also
not free-draining, and saturation remains complete after
draw-down. Dilatant soils, on the other hand, are typically
free-dreining,,such as sand and gravel. In these soils the
volume of water released by stress changes in the soil and
pore-water at constant saturation is small compared with the
 - 103 -

volume draining out of the pore-space and being replaced with

air. If we neglect capillarity and the effects due to
compressibility and initial air content, the instantEnooue
flow at any time is obtained by the construction of a flow
net, as Laplace's equation can be assumed to hold; the
values of residual pore-pressure in the actual bank might
initially be lower due to the effects of dilatancy, but after
a short time interval would approximate to those given by the
flow net. If the draw-down is sudden relative to the per-
meability of the fill, the initial saturation line and the
surface of the dam exposed by draw-down will be zero pressure
lines, and a flow net can be readily constructed (Fig. 8:3).
The approximations involved in this method have been
discussed in detail by Reinius (1948). He assumes, however,
a very low value for the compressibility of the soil
(0.00003 metre2 per ton = 2.1 x 10-5 per lb. per square inch,
for one directional compression) and makes no estimate of
the effect of volume changes due to the change in deviator
stress. His results, nevertheless, represent a very care-
ful study of the limiting condition, and include an investi-
gation of the effects of different rates of draw-down. In
principle he appears to follow Terzaghi (1943).
Two conclusions are particularly noteworthy in relation
to design. In the case of cohesionless soils without slope
protection the greatest danger to stability is not an overall
failure of the whole slop, but local failure near water
FIG. 8:3. SUDDEN DRAW-DOWN TO V4 WATER LEVEL.

Impermeable base and core wall.


FIG. 8:4. FLOW PATTERN NEAR THE WATER SURFACE.
 1.50

1.25
SUR FAC E

1.00
4

tn 0.50

a.

U
0.25

A ‹. D :-- C
BELOW SURFACE A Bove SURFACE
OF WATER OF WATER

FIG. 9 : 5 VERTICAL PRESSURE GRADIENTS AT

SURFACE OF DAM ADJACENT T 0 WATER
LEVEL ON DRAW DOWN.
 - 1014. -

level during the draw-down, whether it is rapid or relatively

slow. This is in fact obvious from a flow net, which shows
that the pore-pressure at unit depth into the bank consequent
on draw-down is greater in the lower part of the bank than
near the top. Reinius states that locally at the water sur-
face the hydraulic gradient is infinite, but in the Author's
opinion this is wrong. This is supported by theoretical
argument, and by the relaxation solution obtained using a
graded net (Southwell, 1946, and Allen et a1,19451 explain the
use of graded nets in relaxation solutions). Figs. 8:3 and
8:4 illustrate the flow net bbtained, by relaxation, for draw-
down to' quarter water level. The dam is assumed to be homo-
geneous, and to have an impermeable base. The vertical
pressure gradients at the surface of the dam adjacent to the
water level (from A to 0 in Fig. 8:3)are plotted in Fig. 8:5,
and will be seen to increase from a value of 1.00 at 0 to
about 1.25 at the water surface, after which it decreases
again to 1.00 at A.
The local stability can be examined by considering the
equilibrium of a very shallow "slice", with a base parallel
to the face of the dam (Fig. 8:6).

FIG. 8 6.


- 105 -

The effects of the E and. X forces may be neglected when

dh is small compared with b, and for equilibrium, we have, per
unit length of dam:-
W sin d• S 8:16
and W cos c-1- = P 8:17
Now W = w ,13:(11,1 8:18
and S = tan 0' . _ . du) 8:19
cos (.1..

where du is the pore-pressure at a depth dh(x) .

Hence = tan O t bdu )
Ybdh cos CI
)cbdh. sin (L cos
or
F= _ 1 du.) 8;20
tan a dh
ac
The value of the angle of internal friction 0' required
for limiting equilibrium is therefore given by the expression
tan 01 = tan CL
(1 1 .du.) 8:21
co a,2)s, dh

If i is the hydraulic gradient corresponding to du,

dpi
then, du. = yw .i, and the expression becomes
dh.
tan IP = tan 6., 1
- 8:22
cos2 0-

Three values of i are of particular interest and the

corresponding values of pft are given in table 8:2.

(x)
In the case of cohesionless soils being considered here
911 Pie
 — 106 —
(1) The maximum value of i for this slope and set of draw-
down conditions is 1.25. Further draw-down will not alter
the geometry of the flow pattern around the water level to any
significant extent, and this value of i is therefore likely
to be the highest for this slope.
(2) The value of i = 1 represents the conditions in the
neighbourhood of C and is indicated by vertical equipotential
lines in the flow net. When the draw-down is complete this
condition obtains throughout the lower part of the slope.
(3) The value of i = cos2ck represents flow parallel to the
surface with no component causing water to enter or leave the
slope. It is indicated by equipotential lines normal to the
slope (Fig. 8:7), and in Fig. 8:3 it will be seen that this
occurs towards the upper part of the slope. Equation 8:22
then reduces to the form used by wird (1945).

4,,
1 dh
dhcoid FIG. B:7.

DIRECTION OF
FLOW
1
EQUIPOTENTIAL

i. e. tan 01 = tana. 8:23

T77713
or tan 01- = tan 01 . k)( = tan 01 . 2:l 8:24
P+e
where p is the specific gravity of the particles,
and a is the void ratio.
 -107-

The conditions under which flow parallel to the surface

actually represents the critical case are very limited, and
they do not correspond to the case of an unprotected [hope.
(Reinius considers that parallel flow may exist in a protective
surface if it remains saturated, but this condition should be
avoided in. design.)
It can be seen from table 8:2 that without slope pro-
tection local failure would in this case be inevitable, and
that the use of equation 8;24 as suggested by Ward would not
have led to a reliable estimate of stability. A thin free-
draining layer backed by a graded filter would be sufficient
to prevent local failure, and would in any case be necessary
to prevent erosion of the surface by the water released from
the bank running down the face.

Table 8:2

(
Vertical Hydraulic Value of Xf required for Stability

Gradient i
Dense Sand Loose Sandn
porosity 35g. porosity 4570
•
1.25 44.6° 50.0°
1.00 35.2°
o
0.900 328 3
34.7°
cosh,)
(=

Slope = 3:1
p = 2.7
 INITAL W.L.

1.0

2.5

FINAL W.L

////////////7////77777-7-777////////,-///
0.1 1.0 10 100 1000
K
ns v

FI G.
B: SATURATION LINES IN THE UPSTREAM SLOPE OF A DAM
K
AFTER COMPLETE DRAW-DOWN FOR VARIOUS VALUES OF
nv
(AFTER REI N IU S. 191.9.)•
 VALUE S OF
n
0.25 2.5 s 25
100

250

10

ce 1-
0
U. u. 1.0
0

0.I
-4 -3 -2 _1
1)(10 IMO 1)(10 1X10
PERMEABILITY IN CM. PER SEC. K

FIG. 5:9 EFFECT OF RATE OF DRAW

D OWN ON STABILITY IN TERMS OF
ns V
VA LU ES.
(n z 25°/0)
 - 108 -

The values indicate, however, that the factor of safety would

remain only a little above 1.0 unless a substantial zone of
very free-draining material were incorporated in the upstream
slope.
1 The extent to which the full "rapid draw-down" pore-
pressures are set up by different rates of draw-down is
illustrated in Fig. 8:8, which is based on Reinius (1948).
.tbro the final saturation line is shown after complete draw-
down for a series of different rates of draw-down expressed 'a
values of K

where K permeability
V = rate of draw-down
ns = volume of water draining out of unit
volume of soil on draw-down.
For any given value of K the flow pattern is similar
E-V
in similar banks, independently of their height. Fig. 8:8
assumes a 2:1 slope and an impermeable core-wall and founda-
tion, and the analysis consists of a step by step flow net
method. The results will also approximately hold for the
flatter slopes often used in practice.
Fig. 8:9 shows the significance of this result more
clearly in terms of the range of permeabilities applicable t
sands and gravels. As the value of ns varies both with gr
 - 109 -

size and porosity a representative value of 25 per cent is

taken. It will be seen that a fairly clean sandy gravel,
such as a Thames Valley gravel with a permeability of 0.065 cm.
per sec. (Glossop and Oollingridge, 1948), rates of draw-down
of up to 3 ft. per day will produce negligible excess pressures.
With a fine or well graded sand with a permeability of about
1 x 10 cm. per eec., any appreciable rate of drawdown will
set' up severe local conditions, but full draw-down pressures
in the upper part of the slope would only be set up under
extreme conditions(x) (or under tidal conditions where rates
of draw-down will reach 50 - 100 ft. per day in estuaries).
It should be noted, however, that if the line of satura-
tion meets the face of the dam even the smallest distance
above water level, locally the value of the gradient i will be
closely equal to 1, although in the slope as a whole the pore-
pressures would be negligible (Fig. 8:10). If the slope is
close to the limiting value for stability either dry or fully

FIG. s : 10.

(x)A variation in level of up to 60 ft. per day is reported

at the Lac Noir Dam (Interprise de Fondations et Travaux
Hydrauliques, 1948).
 :. :.-, 1
~ ~ ",
\
r 'I
"

--- - - - - - -- - - -- -.- - - - - ---- - _.• ---_.

P l at t; 1a . DI' uw- down })uilurc in l' /1 D.t11GS Gr ave l
ift'-'.
pS --~

; 0.

~;

~--
,~ -
;";.-. - .

~?1 .
-~ - .

" .",

r· - - - - - . .
I
Pl at e Draw- doBTI F a i l ur e i n :I.'herne s Gr s ve 1
I
. "


- 110 -
submerged (i.e. --r." gt), then a small lo cal failure may
lead to a large slide. An example is shown in Plate (1) of
a draw-down failure in Thames gravel() produced by a rate of
draw-down of the order of 1 ft. per day or less. The initial
o
slope was 33 (1.55:1) and the angle of internal friction in
the loose state 36°. This emphasises the need of slope pro-
tection to prevent local failure even in cases where it is
clear that the rate of draw-down will not produce "rapid
draw-down" conditions in' the bank as a whole.
The appropriate test from which to obtain the effective
cohesion and angle of shearing resistance is a consolidated
undrained test with pore-pressure measurement. . Strictly, the
sample should be consolidated anisotropically and then satu-
rated, to correspond to the bank condition before draw-down..
As before, however, the use of the values of c and ;01 from
=drained tests with pore-pressure measurements or from
drained tests should involve no serious error, provided the
effect of softening on the cohesion term is small and that
0', if taken from a drained test, is not influenced- by
dilatancy.
It is also possible, however, to conceive an analysis in
which the undrained test results are expressed as en apparent
cohesion and angle of shearing resistance with regard to the
changes in total stress during draw-down (Skumpton and Bishop,

(x) •
Laboratory tests indicate a permeability of about 0.05 cm.
per sec.
1950). For a saturated, non-dilating soil, this would become
on 0 = 0 analysis with values of c varying round the slip
surface, as a function of the effective stresses before draw-
down. Terzaghi (1943) describes an analysis of this type,
relating c to the normal effective stress(x) on the slip sur-
face in the "slices" method by the equation c = el tan01 .
If 0 C with respect to changes in total stress, then the
shear strength at any point is a function both of the effective
stresses before draw-down and the total stresses afterwards,
and this simple method cannot be used.
The most serious objection to this method of analysis,

apart from the confusion between effective and total stress

parameters to which it readily leads, is in relation to
testing procedure. In compressible soils the pol,a-pressure
set up during undrained shear is, from equation 8:5
u a( 4o1 Ao3

where a is approximately equal to 1. A conventional

undrained test therefore implies the use of an excess pore
pressure equal to the whole of the applied deviator stress.
The appropriate anisotropically consolidated test would imply
a pore-pressure at failure equal only to the increase in
deviator stress during draw-down, which is in general less
than half of the total deviator stress. Consequently the
use of conventional undrained test results leads to very
(x)The method used to calculate this stress leads to
"negative stresses near the tco of the slip.
(Cl) AN I SOTROP ICALLY CONSOLIDATE D
UN DRAINED TEST

FAILURE CIRCLE

INITIAL STRESS
CIRCLE
300

(0' STRESS
U

'0)) STANDARD UNDRAINED TEST 1.

FAILURE CIRCLE

INITIAL CONSOLIDATION
PRESSURE

STRE SS

FIG. 8:11.EFFECT OF AN SOTROP IC CONSOLIDATION

ON SHEAR STRENGTH IN rHE CONSOLIDATED
UNDRAINED TEST.
(a


- 11. 2 -

conservative results. This is illustrated in Fig. 8:11 ,

where the two types of test are compared for a = 1, c' = 0
and 0' = 300.
In Fig. 8:11a the sample is consolidated under principal
3)
stresses of (a- ) and (or3)o and then sheared at constan t
0,-
1 0 o 3
under undrained conditions, where E.Su = a(ZSor - 605). If
the mean of (or) and (a;) , which is also approximately the
' 0 Jo
initial effective stress on the faildre plane, is taken as the
appropriate isotropic consolidation pressure (cs) for a
standard consolidated undrained test, the result given in
Fig. 8:11b is obtained; the deviator stress at failure being
in this example 25 per cent too low(x).
This error becomes zero when a = -1. and on the unsafe side
for smaller values of a. For the same values of c' and 0',
and a = 0, the standard test would give a strength 35 per cent
too high, Fig -8:12, and for dilatant soils the error would
be larger.
It must therefore be concluded that to base an analysis on
consolidated undrained tests as at present performed is a very
unreliable procedure. In the case of compressible soils the
result can range from being overconservative on the one hand,
to being seriously in error on the unsafe side on the other.
Moreover, if the soil is free-draining the most dangerous pore-
pressures may in any case not be related to undrained shear
(x) .A similar result is implied byitwo examples giyen
Hansen and Gibson (1949) if compared on the basis of mean
consolidation pressure.
(a' ANIS° TROPICALLY CONSOLIDATED
UNDRAINED TEST.

4e...FAILURE CIRCLE

ta ) I STRESS
% 3 i
o . (Cr
I o
U=0

(b) STANDARD UN DRAINED T EST.

FAILURE
I. CIRCLE •

44
,INITIAL CON SOLIDATION PRESSURE

STRESS
(a)
u=o

FIG. 9:I2. EFFECT OF ANIS° TROPIC CONSOLIDATION

ON SHEAR STRENGTH IN THE CONSOLIDATED
UNDRAINED TEST.

(a a)
 — 113 —

test conditions, but may be determined by the gravity flow

which accompanies draw-down. This is particularly important
in the case of dilatant soils.
It should be noted that in soils which are not free-drain-
ing, draw-down initiates flow due to consolidation, the pore-
pressures given by equation 8:9 being only the initial values.
These excess pressures will dissipate on a time scale corres-
ponding to that of the construction pore-pressures. It is
possible that the redistribution of pore-pressure which
accompanies consolidation may locally give rather more severe
gradients after a time interval than the initial values,
particularly in cases of partial draw-down. This problem
has not yet been solved analytically, though it is discussed
by Terzaghi (1943). There is no evidence from published
field data that this is an important factor, and it is pro-
bable that the slope protection incorporated in most sound
designs is sufficient to stabilise any local effects. The
overall effect is, of course, a dissipation of pore-pressure
which increases the stability against a slip involving the
whole bank.
The possibility of a sudden increase in shear stress
leading, in the case of a large mass of saturated cohesionless
soil with restricted drainage, to a flow slide, has been con-
sidered by several investigators in terms of a critical density)

(X) It avoids ambiguity if this point is described by the

critical void ratio or porosity.
 - 114 -

based on shear test results. Sudden draw-down of the water

level adjacent to a poorly compacted fill would appear to
correspond most closely to this condition. Osborne Reynolds
(1885 and 1901) had drawn attention to the dilatancy exhibited
by sand subjected to a shearing strain, but Casagrande (1936)
was the first to show that the volume change in a drained
test was a decrease in the case of very loose sands and an
increase in dense sands. In a loose sand, which was saturated
and was not free to drain, the tendency to decrease in volume
under shear would throw part of the pressure onto the pore-
water and decrease the available frictional strength, possibly
leading to complete liquifaction. The critical density was
defined as that at which no volume change takes place under
shear, thus involving no loss in frictional strength.
. As the critical density as thus defined used the volume
changes measured in the drained test to predict the pore-
pressure changes in the undrained state, it was obvious that
the direct measurement of these changes in the undrained test
was preferable if technically possible. Taylor (1939)
devised the constant volume test, which gave results approxi-
mating to those of the undrained test, but avoided difficulties
relating to incomplete saturation of the samples. He defined
the critical density as that at which drained and constant
 - 115 -
(x)
volume tests gave the same strength . Comparative tests
(Taylor, 1939, Triaxial Shear Report, 1947) indicate that the
values of critical density obtainod are not in general the same,
The use of the drained direct shear test cannot in any
caw bo considered satisfactory for this purpose as an important
part of the volume change is duo to the increase of the major
(N)
principal stress during shear . This criticism also appli.2a
to the results of the ordinary drained triaxial test. A fr,;!
of drained triaxial test in which the normal stress on tho
piano of maximum shear stress is maintained at a con :tint
value has been used by Geuze (1948), and it is to that extent
more logical. The difficulty of predicting the effect of
lower densities than the "critical" on the pore-pressures
still remains.
Neither typo of test takOs account of the fact tat in
general soil is.anisotropically consolidated, and that this
condition is not reproduced in the test procoduro. Both
Taylor (Triaxial Shear Report, 1947) and Geuzo (1948) comment
on this point, and Taylor suggests a procodure by whi.:,4 only
the pore-pressure changes after reaching the principal stress

(x)Taylor (1948) redefines this critical density in terms of

the constant-volume critical void ratio - that at which the
effective minor principal stress at failuro (peak strength)
is oqual to ite initial value, in a constant volume test.
This avoids the necessity of carrying out the series cf drained
tests, and should give an almost identical value for tile
critical void ratio.
(30Tect resultsobtui.n,o d. by Hafiz (1950) indicate
that the volume changes aro also a function of the proportions
of the samplo in the case of the shear box.
 - 116 -
ratio obtaining in the fill are taken into accounix) This
neglects the fact that the stress history up to this point
will not correspond to that typical of a fill, but the proce-
dure is an important advance in principle in that it takes
account quantitatively of the state of anisotropic consolida-
tion.
The results of undrained tests carried out by Taylor
and by the author (Bishop and Eldin, 1950) indicate that
complete liquifaction does not result from rapidly applied
shear stress, even in extremely loose sands. It has been
suggested (in the Triaxial Shear Report) that this is due to
the small size of samples used, and the use of 5 ft. diameter
samples is proposed. However, field evidence (Koppejan, van
Wamelen and Weinberg, 1948; Oasagrande, 1936; ,Terzaghi and
Peck, 1948) indicates that shock waves or vibrations are
almost always a factor in actual flow slides, due to blasting,
the passage of a train, etc.; or alternatively, that the flow
slide is preceded by local failure due to erosion or dredging.
Spontaneous liquifaction is thus closely related to the
loss of strength on remoulding found in sensitive cohesive
soils, the difference lying, from the practical point of view,
in the type of disturbance required to cause it. The presence
of true cohesion in clays appears to make them insensitive to
(x)
As reported by Rutledge, this method involves the use of
the strength corresponding to the subsequent minimum value
of the minor effective principal stress, and not the maximum
deviator stress. No justification is given.
 - 117 -
vibration, and considerable strains are required to cause
structural breakdown. Border lino materials such as fine
silty sands and "clays" with negligible true cohesion show
a loss in strength under the minimum of disturbance (as
indicated by quick-sands, and by sampling difficulties in
some clays). Here a high porosity is accompanied by the
absence of strong cohesive bonds.
As in the case of clays, a shear test on the "undisturbed"
sample alone gives no indication of the magnitude of this
effect. The appropriate additional test in the case of sands
would be to allow the sample to consolidate under a represen-
tative stress system (this will in general be anisotropic) ,
and then, under undrained conditions, apply impact or vibra-
tions. The density below which flow took place would be the
limiting density. The additional deviator stress required to
cause failure at higher densities would servo as ap indication
of relative stability, and the remoulding loss and sensitivity
would be calculated as in the case of clays. The disturbing
effect would ,require correlation with known failures, but it
is probable that for any giVen mode of disturbance a range of
dangerous sensitivities could easily be. defined.
Until a detailed investigation of this kind is carried out
the problem of flow slides will remain obscure. In practice
their importance is limited mainly to hydraulic fill damS and
 - 118 -
(x)
natural foundation strata .
It will be seen from the considerations outlined in this
chapter that most practical draw-down problems will fall into
one of , two categories:
The bank fill will either be relatively impermeable and
compressible, and the residual pore-pressure will be con-
trolled by the changes in stress during draw-down, taking place
under conditions approximating to zero drainage. The magni-
tude of the pore-pressure is than given by equation 8:9.
Alternatively, the fill will be free-draining and
relatively incompressible, and the residual pore-pressure
will be controlled by the permeability, and the position of
drainage surfaces. Full 'rapid draw-down' pressures will in
most cases not be set up, and a successive flow not method
will be used. Unless detailed information about the per-
meability of the fill is available, a sufficiently accurate
solution can be obtained by interpolation from the typical
cases evaluated by Reinius.
In either case the factor of safety may be calculated
using equation 5:37; thOugh, where the draw-down is complete,
and no water pressurb acts on t;he face of the dam, equation
5:23 may be used.

(x)In other fields of soil mechanics uncompactod waste tips

(Casagrande, 1936) and embankments constructed by dumping
moist sand (Geuzo, 194.8) have suffered soriouB flow slides,
in addition to the coastal - slides described by Knppejnn ot al.
 CHAPTER 9

Stability Problems Associated with Puddled Clay Cores

In the preceding sections on limit design it has been

assumed that the materials through which the slip surface
will pass are sufficiently homogeneous for a single circular
arc or plane to be used without serious error. Zones of
low shear strength exercise a considerable influence on the
location of the slip surface; and where these zones take the
form of narrow strips, as in the case of a puddle core or
stratified foundation, the most likely slip surface does
not approximate to a single arc or plane. A factor of safe-
ty calculated on the basis of a single arc will therefore bo
in error, and will overestimate the actual value.
Experience indicates, however, that provided the circu-
lar arc having the lowest factor of safety is found, this
error may remain small even for an appreciable divergence of
shear strengths. This is illustrated by the analysis of
the failure of an earth dam carried out , by Cooling and Golder
(1942). Here the =drained shear strength of the clay core
WO8 1.4 lb. per sq. inch, while that of the bank fill was
3.0 lb. per' sq. inch, and of the foundation stratum 2.0 lb.
per sq. inch. Values of the factor of safety obtained by
using a combination. of two circular arcs or two arcs and a
plane approximating to the .observed failure surface lay
 39
r-

R OQ

B. F = 1.10.

C. F•1•14.

FIG. 9:1. SLIP CIRCLE ANALYSIS OF EARTH DAM FAILURE

AT CHINGFORD (COOLING AND GOLDER 1942.).
 - 120 -

between 0.99 and 1.10. A value of 1.14 was obtained by the

single arc method, though the location of tho circle did not
correspond to the obsorvod surface (Fig. 9:1).
In other cases whore the bank fill is'more permeable
and high construction pore-pressures are not set up, the
divergence in strength will be much greater and will lead to
serious errors if a single arc is used. This difficulty can
be mot in many cases by the use of composite slip surface°
as illustrated by Ehrenberg (1936), and Cooling and Golder
in the example quoted above. IFor narrow core-walls it is
more appropriate to consider the plastic equilibrium of the
core-wall as a whole, and compare the lateral pressure exerted
by it with the resistance of the bank fill and the foundation
strata.
Methods involving the calculatitn of the lateral pressure
due to a clay core have been described in connexion with the
examination of the failure of the Eildon Dam (Knight, 1938)
and the design of Walton ROservoir (Bishop, 1948). In the
case of the Eildon Dam the. pressure was calculated from Boll's
equation, i.e.
p = Xh tang (r/Li. - 0/2) - 2 c tan (0/4 - 0/2)
9:1
where p denotes horizontal pressure at a depth h,
denotes density of clay
V
c denotes apparent cohesion
 - 121

0 denotes angle of shearing resistance.

This equation is in fact only strictly applicable in the
case of a core-wall of infinite width, and neglects the
vertical shear forces on its boundaries. This was pointed
out by Bell himself in the discussion, but the test data was
not sufficiently complete to draw any definite conclusions
about the error involved.
In the Author's design work for Walton Reservoir the
effect of side shear was also neglected. An approximate
mothod for calculating its effect had in fact been arrived
at, but it was felt at the time that conservative design
practice could not accept the consequent reduction in calcu-
lated pressure. In discussions on the design of the pro-
posed Enborne Dam, however, Professor Torzaghi agreed that
the now method was a satisfactory basis for design and
it has since been used in the design of the proposed earth
dams at Hanningfiold, Bodmin Moor and Chow Stoke. Recent
lateral pressure measurements carried out by Lofquist (1951).
in SW9act confirm the overconservative nature of the earlier
method.
In both methods the condition of no drainage during
construction and early use of the dam has been assumed.
Evidence on this point is rather limited, but indicates that
no substantial increase in strength can be relied on. As
the paddled clay is almost fully saturated it can therefore
 -122 -

be taken to have zero angle of shearing resistance with

respect to total stresses. This permits the use of plastic
theory, a constant value of apparent cohesion being used
throughout the corewall, based on the results of undrained
tests on undisturbed samples of a number of core-walls taken.
during and after construction.
The approximate method of calculating the effect of
side shear has been replaced by a moro satisfactory method
in terms of plastic theory, which avoids the inconsistency
in stress conditions implied in the earlier method. ' For
comparison all three methods will be presented in the follow-
Jug section.
Methods of Calculating the Lateral Pressure
due to a Clay Core-Wall under Conditions of No
Drainage
(a) Neglecting the Effect of Side Shear.
This method is basically the same as that used by Bell
(1915) taking 0 = 0 under conditions of no drainage. It
is modified, however, to allow for the effect of tension
cracks in the upper zone, of the core-wall, and to include a
factor of safety on the shear strength term, in design work.
If al = vertical stress
0- = horizontal stress
2
y = depth of element below top of bank
= depth of tension crack
 - 123 -

c = apparent cohesion of clay core

= density of clay corn
W
P = factor of safety
then, in the absence of vertical shear forces,

icr•"1 Y y 9:2
and neglecting the slight difference in density of the fill
covering the core wall,

cri = 9:3

The lateral pressure 01 is given by

cr- = a- -
20
t
• 934

as in Boll's analysis.
Hence , from equations 9:3 and 9:4 we obtain
crE = y. y 2c
9:5
For a core-wall extending to a depth h, is integra- •
ted between h and z, the bottom of the tension crack, to
give the total lateral force P due to 'puddle. pressuret ,'
i.e.
r • ( h2
... 9:6'
This expression, with the terms rearranged, was used
in the Walton design (Bishop, 1948).


- 124-

It will be noted that the depth of tension crack and

the depth at which there is no lateral pressure are only
coincident if
z = 2 c
9:7
For a given value of h the use of this value of z
gives the largest value of PI as indicated by differentiating
equation 9:6 to obtain a maximum. The inclusion of F in
this term in the analysis of a design involves the solution
of a quadratic equation to obtain the value of F. This
complication is not justified in practice as the value of z
cannot be predicted with groat accuracy in any case. For
typical values of h no significant loss in accuracy in cal-
culating P is involved in using throughout the value of z
given by:-
z =
?(' 9:8
(b) Approximate Method Including Side Shear.
Using the same terminology as above, and taking the
average width of the core-wall to be 2a , then from Fig. 9:2
it will'be seen that

= (,y. 2 a. (Sy - 2 c. (Sy)

9:9
i.e. that the average vertical stress on a section increases
with depth at a rate duo to the weight of an element reduced


i'4 v/A )\-\\„A, ,NA,..,,,sw.,,

/II '\

/ 2 ,-. Jr ,..
.,. ‘
4!,- _ .... •,••

%CLAY

Y • CORE FILL
r.

C S
by F
Y

44- 2a

6'w = y. 2a. Sy per unit length.

FIG.9:2.


- 125-

by the shear force mobilised on its sides. This expression

reduces to

ci ( X - a) Sy 9:10

Integrating, taking a to be a constant, we have

°T • i) Y + A 9:11

No side shear is assumed to be mobilised within the tension

crack zone, so the average vertical stress at a depth z is
equal to y.z (ignoring the slightly higher density in the
overlying fill). This, by substitution in equation 9:11,
gives the value of A, and equation 9:11 can now be written:-

ft) Y 2z 9:12
As before, the lateral pressure is given by the,expression:—
cr = o— — 2 .
2 1
9:13
and hence, by substitution in equation 9:12

ca‘ ))/ -2
9:1L
Integrating between y = h and y = z, we obtain the total
lateral force P, .e .

0 (2-6.1) (ft z)
P = ( ( 112

9:15
Here again the value of z will be taken as equal to 20


- 12G -
unless other data is available.
It will bo soon that in typical cases tho first term
predominates and honco the value of P calculated on this
basis is very considerably loss than that given by the ori-
ginal mothod. rIn fact for narrow core-walls the coefficient
may approach zero. In such cases failure of
1/- 4. •
the bank fill would in fact be the more probable mbde of
failure, as will be discussed later.Li
In using equation 9:13 it is implied that the major
principal stress is vertical, and the minor principal stress
horizontal. This is incompatible with the mobilisation of
a shear foroo in the vortical piano, as by definition the
principal planes are those on which shear stress is absent.
The magnitude of the approximation involved is indicated by
comparison with the following analysis, in which stress
functions are found to satisfy the conditions of plastic
equilibrium throughout the whole core-wall.
Plastic Equilibrium of Coro-Wall.
x

v
- I

of Crxy ' crxy• dx

x
`',x dx
ax
Cfx y
or( Y dy

Y dY
a y F IG: 9.3.

Equilibrium of an element subject to gravity forces.

 - 127 -

The fundamental equations of plastic equilibrium for

plane strain in a gravitational field acting in the direction
of the y axis can be derived from Fig. 9:3 by resolving
parallel to the x and y axes:-
\
dx. . dy. dx = 0
Ox oy

+ 617xy = 0
i:e.
ox oy 9:16

ta . dy dx - 3x
and - (p . dx. dy + .dx. dy = 0
O y.
1/4
i.e.
ie • cLoLy. ?.) 6x,y
y Dx y= 9:17
where y denotes the density.
x2 2 2
Also (cr y 4- 4 cr = 4 0 .
x - a.)
0000 9;18
where c is the apparent cohesion, i.e. is half the undrained
compression strength.
Any system of stresses which satisfies these equations
and the boundary conditions is a solution of the problom.
In the case of limiting equilibrium of a plastic core-
wall bounded by more rigid bank fill , the full shear strength
of the core material may be taken as mobilised along the
4
contact surface. For a parallel sided core-wall this
suggests a solution of the form oly =r(x) as in the Prandt1

solution for a plastic mass pressed between two rough

 - 128 -

parallel plates (Nadal, 1931). By analogy we obtain the

stress components:-

= y c. + A - 909
a
2
= 16/. y 0. z x + A
• a a2
9:20

= c. 9:21
xy a

These satisfy equations 9:16,907,9:18, and also tht boundary

condltions that crycy = c when x a a and - gay = c when
x = -a. They therefore represent the plastic equilibrium
of a parallel sided corewall 2a in width.
v(In order to evaluate the constant A, consider the
state of equilibriumat the bottom of the tension crack
zone (Fig. 9:4). Vl it may be assumed that no side shear can
be relied on until this depth is exceeded. Hence the
average vertical stress at a depth z is z.
tj Now the average vertical stress across the width of
the corowall within the plastic zone is given by equation
9:20, i.e.

1
2a Y
FIG. 9: 4.
 - 129 -

y. x + 2c (i x 2
a
x.+ 2 sin
- -a x) +A x
i-a
a

9:22

When y = z, using Saint-Venant's principle, Ctr may

be equated to y. z. 'Taking the positive solution whioh
represents the case of active pressure we have:-
A = c (f-t -1.) 9:23

Hence from equation 9:19

=cy— ao — o "
2 a 9:24

As before the total lateral force P is given as:-

P 0- • dy .

2
i.e. P = ( -5d
2 z ) - c (15-7z)(h. - z)
(42 -
9:25
With a factor of safety of F on the shear strength this
becomes:-
P = 2 ( - P.
9:26
It is interesting to note that the only difference
between the approximate solution and this more rigorous
solution is in the coefficient of the second term, which is
reduced from (2 - ) to ( I - a). The error involved is
a "a-
only a. few per cent in typical cases. It should also be
 - 130 -

noted that in English practice the sides of the core-wall

are generally given a slight batter. R. E. Gibson has
extended the Author's solution to this case. A numerical
example shows, however, that in the case of a core-wall
100 foot high and mean width 20 feet, with a batter of
1 in 9, the error involved'in using equation 9:26 is
than 1 per cent.. The extended solution involves too much
computation for general use.
Comparison of Methods.
In order to compare the values of the lateral thrust
P per unit length of core-wall calculated by the three
methods it is convenient to express them in termstiVCA3
equivalent fluid density y, whore
2
P-276'h 9:27
In Fig. 9:5 values of yare plotted against the height
h of the bank above foundation level for a typical puddled
•
clay core, where
c = 1.4 lb. per sq. inch
11. 0 lb. per cubic foot
2a = 10ft.
The values are calculated for limiting equilibrium, i.e.

for F = 1.
It can be seen from Fig. 9:5 that the use of the
solution neglecting side shear loads to values greatly in
excess of those given by the other two methods. In the case
 120 --1

WITHOU T SIDE SHEAR

2O FORCE DUE TO ACTIVE PRESSURE Or FILL -t—WATE R PRESSURE•

••• 1 (WALTON)
EQ UI VA L ENT

WITH SIDE SHEAR — PLASTIC SOLUTION

1

1
60 --
WITH SIDE SHEAR APPROXIMATE M'ETH-OD
y

40

SHEAR STRENGTH c = 1.4

W I DT H 2 4 I 0 Pt.
DENSITY It 0 11)/tr 3
1
20

20 40 60 0 100 120 140 160
HEIGHT IN FEET = h.
•
FIG. 9 5 LATERAL PRESSURE DUE TO CORE-WALL —
COMPAR SON OF THE THREE SOLUTIONS.
 - 131 -
of thelWalton bank the value is 50 per cent in excess of the
rigorous solution; the approximate method gives a value
4 per cent too low. As the lateral thrust of the corn-wall
is a controlling factor in the design of most banks on weak
foundation strata, it is therefore a matter of primary
importance that the appropriate method should be used.
If side shear is neglected, the width of core-wall used
has no influence on the calculated lateral pressure. The
rigorous solution indicates, however, that, subject to
consideration of water-tightness, the dimensions of a core-
wall of given shear strength can be chosen so that the
lateral thrust of the core-wall at the end of construction
does not exceed the sum of the active pressure of the fill
and the water pressure when subsequently fillod9 against
which the bank must in any case be designed. It will be
soon from Figs. 9:5 and 9:6 that this result has in fact
been achieved in the Walton design with an average width of
core-wall of 10 feet. Had a greater width boon required for
other reasons, the age of a stiffer clay puddle would have
been necessary.
Field evidence, though rather limited, supports the
view that side shear has an important influence on the lateral
thrust. Though the lateral pressure should only drop to the
lactivet value given by plastic theory when limiting equili-
brium is reached, pressure cell measurements by Lofquist(1951)
 1201

FULL FLUID PRESSURE

2 a :: ce\i,

1.4 lb • 5 q.in.

SO. 2azeC
504.‘11'
2'

.7)
_J
(DUE TO ACTIVE PRESSURE
lL 60
OF FILL PLUS WATER PRESSURE
EO U:VA LENT

40 =

20

o
o 1.0 2 o feet 30 40 50
WIDTH 2 (.1 OF CORE WALL

FIG. 9:6. EFFECTS OF VARIATION IN WIDTH AND STRENGTH

OF CORE WALL h 764 ft. (WA LTON RESERVOIR.)
 - 132 -

indicate that even with the small moVements occurring in a

stable bank the side shear mobilised closely corresponds to
the shear strength mobilised throughout the core. Details
of this dam are given by Westerberg et al.(1951), and
Table 9:1 is based on the results.
The puddle clay consists of 20 per cent clay and 80 per
cent sand and gravel mixed in an ordinary concrete mixer
without additional moisture. It was deposited in layers and
compacted by vibration and working with tractors. The
initial moisture content was about 10 per cent.
It is supported by sand and gravel fill on one side, and a
thin concrete core on the downstream side.
It is interesting to note from column 4 of Table 9:1
that oven a stoney puddle of this kind, probably initially
not fully saturated, shows no increase in mobilised shear
strength with increasing total stresses over the pressure
range recorded. The average value of the apparent cohesion
is 1.33 lb. por sq. inch. Using this value in equation
9:24 the corresponding lateral pressures can be calculated
(column 5), which on the average lie within 22 per cent of
the measured valu9s. Conversely, the shear strength can be
calculated from equation .9;24 which corresponds to the
measured lateral pressure. Its average value is 1.68 lb.
per sq. inch, and no tendency to increase with increasing
total stress is indicated. The value from column (4) is


able 9:1 Holle Dam Core-Wall Pressure Measurements - Details from Lofquist (1951),
Westerberg et al.(1 951)

Readings in October, 1949

1 2 4 5 6 7 ' 8
1
)epth to Measured Values Calculated Active Pressure Total Value of
Gauges of Pressure lb/sq.inch Lateral Pressure f of fill + water Overburden Shear
y ft. in lb./sq. inch pressure.11Wsq.in. Pressure(y Strength
(using plastic lb./sq.in. Corres-
theory) ponding
a- cr-
- I to Mea-
Oa sured (Tx
y x
lb ./sq.in
•

49 24.0 20.5 3.5 27.5 21.4 146.6 1.53

64 31.6 29.4 2.2 35.7 30.2 60.9 1.66

77 40.4 38.1 2.3 42.8 37.4 73.3

ay. 2.67
i.e. c = 1.33 lb./sq. inch Average c = 1.68 lb./si.iact
= 137 lb./cu.ft. a = 3.28 ft. z = 7.22 ft. (i.e. depth to top of core)
 - 133 -

only 21 per cent lower than this, and as in that case it is

measured as a small difference of two large quantities the
agreement is good.
Additional evidence of the mobilisation of side shear
is provided by a comparison of columns (2) and (7), which
show that the measured vertical stress is only a little over
half the total overburden pressure in each case.
Interpretation of the results is somewhat complicated
by the filling of the reservoir as construction proceeded.
The records indicate that both or and or reflect changes
in water pressure against the core-wall. As, with the
reservoir full, the lateral pressure is only equal to the
calculated active pressure of the fill plus the water pressure,
it is likely that with the reservoir empty the lateral pres-
sure would drop, and give a bettor indication of the active
pressure of the core-wall.
The records of the Harspranget Dam given by the same
authors indicate considerable consolidation during con-
struction and will therefore not be discussed in detail.
They show, however, the same marked evidence of side shear as
those of the Holle Dam.
Supporting evidence is provided by the pressure cell
readings in the John Martin Dam (Pressure Distribution
Studies on Soils, Vicksburg, 1947). Hero the vertical
pressure readings, though very scattered, indicate a
 - 134 -
considerable reduction in vertical stress within the central
impervious zone of the fill. Taylor attributes this to a
transference, by shear on vertical planes, of the weight of
the more compressible central fill on to the outer sections
of the bank.
The published records of the failure of several puddle
core dams also provides some supporting evidence, but direct
von tit ativo conclusions are difficult to draw. At the
time of the failure of the Eildon Dam (Knight, 1938) site
investigation and testingtechnique was not sufficiently
advanced to show more than that any reasonable method of
analysis gave possible results. The cross section of the
'dam after failure (Fig. 9:7), however, shows that the failure
was accompanied by very considerable slumping and spreading
of the clay core, and largo relative movements between the
clay core and the concrete core wall adjacent to it.
In two more recent cases, those of Chingford Reservoir
(Cooling and Golder, 1942), and Muirhead (Banks, 1948), it is
interesting to note that the failures took place in banks in
Which the fill adjacent to the core—wall was insufficiently
strong to permit full mobilisation of shear on the sides of
the core—wall. It has been British practice since about
1850, to place a layer of clayey fill or 'select fill'
adjacent to the core—wall on each side; and owing to the
difficulty of compacting near the soft clay puddle, this
 CONCRETE CORE WALL
INITIAL POSITION OF CLAY CORE.

FINAL POST T TON CLAY CORE.

94 ft.. •
•
••
•
•
••
c ••
•

FIG. 9:7 CROSS SECTION OF EILDON DAM AFTER FAILURE (KNIGHT 1935).
 — 1 35 —

select fill often has a strength little greater than that of

the puddle clay itself. It can be seen from equations 9:19
and 9:21(x) that a zone of clay of shear strength 'el can be

in plastic equilibrium adjacent to the core—wall s from

x = a to x = b if
1 = c
b a
i c =
1 7 •
.e.

. 9:28
In the case of Muirhead the value of c was 1.5 lb, per
sq. inch in the puddle core, and 2a was about 15 feet on the
average. The adjacent zone of soft fill having cl = 4 lb.
per sq. inch extended to a total width 2b of about 45 feet.
Per failure of this zone to be avoided the value of 01 should
have boon at least:
ci = 22.5 . 1.5 = 4.5 lb. per sq. inch.
7.5
As its actual value of 4 lb. per sq. inch fell below this the
full .reduction in lateral thrust due to side shear could not
•
be expected.
In the case of Chingford Reservoir the value of c for
the puddle was measured as 1.4 lb. per sq. inch, and the
average value of a was about 5 feet. The fill had a shear
strength of 3 lb. per sq. inch, and hence the maximum
( x)
If yis assumed to be the same in the select fill.
 -136-

permissible value of b would be given as:

b = °I . a = 3 . 5_ 10.7 ft.
1.4
As in fact the strength of the bank fill backing the
'select fill' did not exceed 3 lb. per sq. inch, the failure
zone should extend beyond the clay core (as was observed)
and a higher value to lateral thrust than that given by
equation 9:26 would be operative.
In determining in this particular case whether full side
shear is likely to be mobilised an alternative method can be
used which is more appropriate when the soft zone adjacent to
the core can no longer bo considered as a narrow vertical
strip. In this method the active pressure of the bank fill
is calculated with 'negative wall cohesion' equal to c acting
on its boundary with the clay coro„ and compared with the'
active thrust of the core-wall given by equation 9:26.
Using a modified wedge analysis, Fig. 9:8, it can be
seen that the maximum value of P occurs when
2
cot G = 1 -
• 9:29
which gives
2 2
h -z) - 2c1 (h - z) c 9:30

Taking y = 110 lb. per cu. ft.

h = 29 ft.
z = 7.86 ft.
 2
1 hz
2 tan g Y tune

Fla. 9: B.

STABILITY OF FILL ADJACENT TO CORE WALL

 -137 -

c = 1.4 lb.'per sq. inch

ci = 3.0 lb. per sq. inch

we obtain from equation 9:30 a value for P of 13.1 tons per

foot run of bank.
Equation 9:26 , on the other hand, using the values
a = 5 ft.
z = 3.67 ft.
c = 1.4 lb. per sq. inch
gives a value for P of 11.0 tons per foot run.
It is obvious , therefore, that before full side shear is
mobilised the active pressure of the fill will exceed that of
the puddle core.
The lateral resistance of the bank to sliding due to
shear in the soft foundation layer and passive resistance at
the toe is approximately 12.2 tons o and as would bo expected
lies between the values given by equations. 9:26 and 9:30.
(Fig. 9:9).
It is ilitersting to note that, had side shear been
neglected and the lateral thrust calculated from equation
9:6, the value of P obtained would be 15.8 tons per foot run,
which is clearly in excess of the value obtaining at failure.
If the puddle wore is backed by free draining soil with
an angle of shearing resistance of 0, the condition that
shear can be fully mobilised is that
ak ten 0>c 9:31


I PUDDLE CLAY CORE

.Th SOFT CLAY STRATUM

C 2.01b •
/sq.in.

•11141. • W110 I •••••• • , 161 • MEM, •

••••••• • ••••• • I•MM• 1=•1011, M•••1•1 • ••••• • ••••• • SIMMS • 1

• 0 z
•
. •. .) 0 a • • c...) • ,..) 0 •
•
1 • .3
0• 0•J0• .
4.) •3 . . 0 Q • 0 a
0 0 7... ..1

. 0 0
• al
• 0 o 0 0 0 0 • I ..)
. • • 4•.. • • ••

GRAVEL

I I

0 50 100 Feet

FIG. 9:9, LATERAL RESISTANCE TO SLIDING — CHINGFORD.

 -138-

Using the value of ax obtained from equation 9:24 it

will be seen that, oven with poorly compacted non-cohesive
fill (ex., 0 = 36(3), this condition will be satisfied through-
out the full height of the core-wall, except for about 3 foot
(for the values quoted above) below the tension crack zone,
when shear will be partially mobilised. The error involved
in using equation 9:26 would be negligible in core-walls of
usual dimensions.
From the stability point of view, the practice of
backing the core-wall with weak oohesive fill must be strongly
condemned. A more appropriate type of fill such as a well
graded sand, hoggin or sandy clay, which would retain the clay
while dissipating excess pore-pressures rapidly is to be
recommended for the select fill. More economical cross-
sections would then be permissible for dams on weak foundation
strata.
Similarly, in rolled fill dams, limitation of the size
of the impervious zone will reduce vertical pressures and
consequently excess pore-pressures in this zone during
construction.
Passive Resistance of Bank Fill..
The stability of the embankment as a whole depends' on
the resistance to the lateral pressure of the core-wall (or
the pressure transmitted through it, due to the fill and
water pressure on the other side), provided by the embankment
 — 139 —

itself and by the underlying foundation strata.

The passive resistance of shoulders of pervious,
frictional soil can be readily calculated by considering the
equilibrium of the fill above a plane failure surface passing
through the bank (Figs 900).

r • .

FIG. 9:10.

In the simplest case, a vertical boundary is assumed

between the clay core and the fill s, and shear forces on this
boundary are neglected as being small compared with V1 the
weight of the wedge under consideration (the error being on
the safe side).
Let V 1 denote the density of the fill.
0 denote the angle of shearing resistance
d. denote the average inclination of the slope
Prom the furaa polygon it follows that
2
P = h :tan (0 + ta
0)
t on + n 9:32
 - 140 -
By differentiation the value of A corresponding to the
minimum value of P can be found. This gives the most likely
slip surface and the value of the passive resistance to
lateral pressure:-
2. tan 0 - tan d`
tan() =- sin 2 0 9:33

2
and P cos 0
1 sin-0-4.tanctsin 20-12sin 20(tan0-tanN.)

9:34
Equation 9:34 may be written in the form
2
P= Z. K • 1 • h.
9:35

Where K is the passive earth pressure coefficient for tho

case of a sloping surface, and ICA is the equivalent fluid
density.
In Figs. 9:11 and 9:12 values of 0 and K are given for.
various slopes for 0 = 33° and 38°.
Fig. 9:12 indicates the remarkable resistance to lateral
thrust of a frictional embankment, provided its foundation is
Fatisfactory. Sand or gravel fills are seldom constructed
at slopes steeper than 2:1; and yet for this slope with a
poorly compacted fill where )1.1 = 1051h. per cubic foot and
cif = 33°, K = 1.29 and the equivalent fluid density Ky.1 =
129 lb. por cubic foot. Comparison with the values of fluid
 300
3
_ 45'm
:12

2 6"

0
= 33
a o
;--•••""" B

0:1
3 4

--I 0

0
20'

O
- - 4 0

FIG. 9 I. ANGLE OF FA !LURE Li NE WITH HORI ZON TAL PLOT ED AGAINST SLOPE

- • :- ' .....
. •, . 0 . .
.• i , ',1•333
" ,t '• '
• • li :33{3I 1
I: 3
I '.'!•
131 'T
•
. ,
l'i'
• •
75-

: ? I ! f . i :. .
I' • I- 11' . • I
.;1r;' !t"
• ill .," :1
....r
ifili
‘1- I t f j'.. ,!:
,
! t ,
:, f
' ' i 1
,
; 1 ;
. . 1 1 — : 1
' I• 1 /1'1; • •it/
••-f 1 /I f
'' ! , • !Iii
,.!
•

i•! i • !!. - ri• . : , I

•; • ; i i ; .— I : :
I I : •'• • .
: , ; r ; •
', I I . - . ' '• ' „
• a : :
1 1 • 1! ''
1 I
, ,
• , : a •• .. ,
/ i I ' r- 11 .
1
:
• it L
i I
,, 1 . :: •.•
•
.
:.,,
;1; .
'; / a ri11 1 1 ' : , , 1I 'I ' I-.
./.
! i r i I', -! ; i I i I ; ;;/,
!!!iii , r11. :10!,
,:!./ • - , , :, ‘, i
I I! • t.
Hiffi!.. 'LW : I , I ! . 0 ,
.
I
, 1 i 1 1- r r , — i I- , 1 . r . ,
B• ,
' I '1 -) I t • , I . f.
; " i i r i i 1I!!; ' ;!;! l'tit
:, t ----7
I It ! r I: yr t I A.! i r ; 1 i ! , , , o: !
.
,i .! • I , i• i ! f fil 'III; =. 33
1 Htlii
; ; --i t- t ; , • . , , t
,0,.......
3 • 1.-'-'i 4---•
'i 1-- 71 ' ' 3- 3 I f , 431101111581"I"'' • ': :,• 1 1
• ., !Ii71 • .,
I • .•
t f • ' 11 1 t '0 I , .!ili: 1 1 73. ; i I• 1. •
1.• I ' 1 • i ' , . '
t i t
. r 1 . t : ; i i
1 I ' , 1I t
I .!
1 ; t i • , , I
! ' `, ' t 1 11 '1,,,
it f,
i. . • • : '
?Ili 311 ! il
i r ,
, , , .
'It: 1 .i, T. ';r i,
i !!Ii!I 0 1! ' iiIi• !i! !i,
I 1!!-;
. 1 1 ;1. 1 IIt 7!•11. If!
./r• /t /: //- fll
1 1 :; I. I I .1 i t. I
i i I, t I ti. 1,1t • at ! ii!it ; 1 ; I. i i I t;
11;11 ... 'it 7
; • ; ritill !! II. • Iitii, ; , If !;• !:'
/1.1 3. 1 1- !0 ' I ••'0': • ..,
:i
' 11 I :
_T •_
1 I I: 1 .0- ,
il ; 1! • 1 ' 3 . : • i , , 4 1
' ' i ; t , • I
•; SLOPE. •;if
3.1 .
•
Il
311 FIG. 9 -
12. 'Pes..SS1VE
. • •• . .
PI KES SURE COE FIC, .IEN
• ; ,AG/1.INST SLOPE. ,
• • • ; • , ' , . , •
: ; ,
; • f , . , , ,
. I ; ' ;
i I, / ; ! / , 1! • .. ; •
; ; : ; 11 1 ' ' 2 ,
:•, ! ! '• ,.. 1 1.
...
I
.
i • 1 , y .;
.. "h ' . •
• i,
. , r i 2 ° c .i ,10
 - 1 -
density equivalent to the lateral thrust of the core wall
given in Fig. 9:5 indicates that this represents a margin
of safety against even the most conservative estimate of
puddle pressure, except in the case when a clay of very high
density is used.
Banks tipped at the angle of repose of the fill will,.
however, be seen to have a very, small margin of safety
(unless the crest width or free-board is large), as even with
a well designed core-wall the lateral thrust will not be
less than the active pressure of the upstream slope plus the
water pressure when the reservoir is full. This is an
Important factor in the case of rock fill dams where slopes
of up to 1.4:1 may be used..
On the other hand, a well mlled gravel bank with a
elope to 22:1 or less, can resist the full fluid pressure
of the densest clay puddle in use; a detailed study of
puddle pressure is only necessary if the foundation is weak.
The effect of using ,a considerable batter on the sides
of the core-wall can bo seen from the more general solution
for passive pressure obtained by Gilboy (1934).
Let A rr... cot [2.) , where is the angle between the slope
of the clay core and the horizontal
(Fig. 9:13)
B = cot
0 = cot Ck
 - 142 -
R = where 'is the equivalent fluid density
of the core. which would cause the
shoulder to bo in limiting equilibrium.
Gilboy's solution, which neglects shear forces between

1s the core and the adjacent fill, is:r•

, 2
i R = (0 - A) v//1 + B2 + v/I0 - A.,./0 - B A/1 + A
1 (1 + 02) - (0 -, A)(0 - B)
I oc/L:
00000 ,... ....,..,
o
When 13 = 90 and A :is therefore zero, this equation may be
simplified, and it then becomes identical with equation 9:3L1.
The effect on the passive resistance of the frictional
fill of battering the sides of the core-wall is illustrated
in Fig. 9:13 for a bank with 22:1 slopes and a value of
0 = 38°. The batter usually adopted is 1:12 or. 1:8; and it
can be seen that this causes a. drop of 9 par cent to 14 per
cent in the fluid pressure the fill could resist. This
will generally bo unimportant in relation to the high factor
of safety against this type of failure inherent in most
puddle core dams.
Fig. 9:13 indicates that in the case of hydraulic fill
dams, to which Gilboy originally applied his analysis,
failure of the frictional shoulders represents a more critical
condition, as the batter adopted for the core may be from
1:3 to 1:1.5. There is, Lowever„ much uncertainty about
the lateral pressure exerted by a hydraulic fill core.
 2

0
0 0.25 05 0.75 1.0
Cot 13
BATTER ON CORE-WALL.

Fid. 9 1.3.
PASSIVE RESISTANCE OF A BANK WITH 22; I SLOPE )
si) = 3e
 - 143 -

Gilboy recommended designing against the full fluid pressure

of the core, but Justin, Oreager and Hinds (1945), on the
basis of admittedly erratic pressure cell results, suggest
the use of as equivalent density which is generally less than
70 per teat of the full value. This method of construction
is not used in England and is ceasing to be common c2sewhere,
and so will not be discussed in detail hero.
It is interesting to note, however, that model h osts,
carried out by Taylor and quoted by Gilboy (1934), sliowed
that if a dense fluid was used for the core, the analysis
was valid, and in addition the plane slip surface was observed.
Resistance to Failure at the Base of the Dam.
While the possibility of base failure is usually con-
sidered in relation to weak foundation strata, it is important
to note that even with a rock foundation the resistance to
sliding along the junction between the :rock surface and the
fill may be less than that within the fill itself. Tests
carried out under the Agthor's direction by Hafoz (1950) have
shown that the angle of friction of gravel particles sliding
0
on a flat surface of the same material is about 22 . Thu
angle of internal friction of the gravel, even when loosely
tipped, is 360. This is in agreement with the Author's
theoretical relationship between Intergranular friction and
the angle of internal friction of a granular
Natural rock surfaces, which are not in general flat should
 - 1144 -

give values lying between those two limits.

The resistance to sliding along the rock surface can
be seen from Fig. 9:14 to be given by the expression:-
P= :01112 cotiatan fib
9:37
where pi; is the angle of friction between the fill and the
(x)
rock .

FIG. 9:14.

Taking Ob = 22°
cot = 2.5 (i.e.. 21:1 slope)
we obtain a value of the passive earth pressure coefficient,
Ks-
K = P = cot Ck tan 0113
*tie 9:38
= 2.5 . 0.404
= 1.01
Taking 0 = 38° for the compacted fill, a value of 1.91
is obtained based on failure in the fill (Fig. 9:12).
It will be seen, therefore, that, though 0-1‘:) will usually
be somewhat larger, this method of failure must always be

(x) Assuming zero pore-pressure in the downstream slope.

 -145-
considered unless the rock lies at a sufficient depth below
ground level for the passive resistance at the too to offset
the lower angle of frictibn.
This case becomes critical for the slopes used in rock
fill dams, if the core is central. Field data on the value
of 01; is very limited. A figure of 45° is quoted by Bloo
and Riegel (1951), but is based on tests in which the normal,
pressure was only about 10 lb. per square inch, although the
average pressure under the dam would be of the order of
100 lb. per square inch, and refers to quarry—run (blasted)
rock bearing on a prepared rough rock Surface.
 CHAPTER 10

Resistance to Failure in a _Thin Soft Layer at the Base of

the Dam.
When an earth dam is not founded directly on sound rock,
the problem of soft layers in the foundation strata frequently
arises. Thu layer is sometimes a recent alluvial deposit
overlying firmer ground, as at Chingford (Cooling and Golder,
1942), but may be concealed by a dried crust, as at Chew
Stoke (x) . Alternatively, it may be the softened upper zone
of a heavily ovorconsolidatod clay, either exposed directly
at the surface, as at Hanningfield (x) , or overlain by water-
bearing gravel, as at Walton (Bishop, 1948).
If the soft layer is at the surface it will generally
be more economical to remove it by excavation 9 but if it lies
at a considerable depth, and especially if it lies below
ground water level, this procedure becomes very costly, and
the alternative of founding the dam on the soft layer must
be considered. However, even if good bank fill is availabld,
the strength of this soft layer is the principal factor in
f determining safe slopes for the dam, and it therefore
becomes of great importance to know whether. any increase in
strength due to consolidation during the Construction period
can be relied on. Field evidence that substantial increases
do in fact take place is provided by strength measurements in

(x)
t Unpublished reports by A.W. Skempton and the Author.
 - 147 -
ti

the yellow clay layer under the Chingord Daim; in the brick
earth layer under the partly completed Walton Dam, and in
the soft clay 'and peat strata under the Pen flood banks
(unpublished work by the Great Ouse Catchment Board in
cooperation with the Author).
The excess pore-pressure in the soft clay layer during
and after construction is more readily calculated than the
excess pore-pressure Jn a clay bank fill.as:

(a) The soft clay layers are generally fully saturated, and
hence increases in pore-pressure due to a superimposed
load are readily estimated.
(b) The rate of consolidation of saturated clay strata can
be estimated with considerable accuracy on the basis of
laboratory tests.

(3) Usually either ono or both sides of the soft layer are
in contact with a permeable layer, and one of the stan-
dard solutions for rate of consolidation may therefore
be used as an approximation. Where the drainage con-
ditions are doubtful, drainage layers or vertical sand
drains may be introduced into the design (as at Chew
Stoke).
Test Procedure and Analysis.
Limiting equilibrium will be reached when the horizontal
force due to the difference between the active and passive
 A

P-7-7" SOFT LAYER

FIG. 10: I.

ici) INITIAL STATE

OF STRESS•

"0
P
K P0 o

(b) FINAL STATE 1 r°+"

OF STRESS.

Po+.nip
Po + P

A P
(C) CH ANGE S IN
STRESS UN DER
UNDRA1 NE D T
CONDITIONS.
A P4 P (I-

FIG. 10 : 2.


- 14-8-

forces(x) on the element of the bank under consideration

(Fig. 10:1) is sufficient 'to cause plastic flow in the soft

clay layer. If 'T isthe average horizontal shear stress
set up in the soft layer

PA - Pp= 1-1 10:1

where 1, is the length of the plastic zone. Strictly, the

value of l should be chosen by trial and error to give the
highest valub of but if the soft layer is near the surface
it may be taken with sufficient accuracy as the base width
minus half the length of the passive wedge.
If the material above and below the soft layer is taken
to be rigid relative to the soft clay, the state of stress
corresponding to plastic flow is that off' simple shear in the
horizontal direction, i.e. with the maximum shear stress
equal to 'T . Plastic flow will thus occur when:-

"( = z (09- - 03 )± 10:2

where (o- - 3)f is, the average compression strength of the

soft stratum.
In the case of zero drainage, the undrained compression
strength of 'undisturbed samples is generally used, though
in a very sensitive clay it would be' more appropriate to use
the in situ vane test. Neither preceduve is strictly

(x)
If the bank is partially submerged the values of PA and
P must be *reduced accordingly.
 - 149 -

rigorous, as can be seen from Hansen and Gibson's theoreti-

cal study of the undrained shear strength of anisotropi-
cally consolidated clays (Hansen and Gibson, 1949). The
discrepancy is most marked in those soils in which the
coefficient of earth pressure at rest is low and the angle
of true internal friction high, as will be seen from
Table 10:1, based on their paper.
In Table 10:1 the shear strength (i.e. i(o71 c/S)f )
that would be measured in the test procedure is expressed
as a percentage of that mobilised in horizontal shear. In
the vane test it is assumed that the maximum shear stress
is mobilised on the surface of revolution, but no correction
factor is applied (see Skompton, 1948c0.
Table 10:1

Test Procedure Percentage of Mobilised Strength Measured!

Normally conso- Normally consolidated

lidated sensitive British post-glacial
silty clay clay
K = 0.50, ile= 25° 0.75, 00 = 10-

Undrained comp. 107 108

test range 73 94
Vane test 94
 - 150-

The range of strength for the undrained compression

teat represents the effect of possible variations in stress
during sampling. It appears therefore that the error
involved in normal testing procedure is likely to lie within
+ 10 per cent for clays usually encountered, and, where
larger, to liu on the conservative side.
This limitation can be avoided, in principle at least,
by carrying out the analysis in terms of effective stresses
and the fundamental soil properties. If p o and Kpo are

the existing vertical and horizontal effective stresses in

the ground, and Ap and 1-the average increases in vertical
stress and horizontal shear stress due to the weight and
lateral thrust of the bank, then the changes in stress
corresponding to final plastic equilibrium are as shown in
Fig. 10:2. The changes in stress under undrained conditions
determine the excess pore-pressure set up, and from the'
geometry of Fig. 10:2c it will be seen that, for plane strain,
the principal components of the changes are:-
Ac's 6p + p 0 11:4 +/P 2 1-k 2 1
2
10:3 •
A a. = +- 106 (1-k) 7///p +. 2
2 a 10:4
Now, as before, the change in pore-pressure in a
saturated soil under =drained conditions may be expressed
by the equation:-
 - 151

=6:5-3 a(Acr-i At 3) • 10:5

This may be written as

A u ACS + (2a - 1) 6a1 -p
2 2
.. 10;6
Hence, from equations 10:3 and 10:49 we have
lot (1.4c)2 7,2
611 =41 p p 1—k 4. (2a...0.
6 (-1!--)
t 10:7
I

For failure to take place, the corresponding effective

stress circle must be tangential to the failure envelope.
From the geometry of Fig. 10:3 it follows that
(Co cot Po +P o + .6p - Au) sin 00 =
10:8
i.e. A 11 4.1) + p c) + co cot 0e - ricosec 00
10:9
Eliminating 6-u between equations 10:7 and 10:9, the
value of at failure is obtained:-
cosec e=po 2 2
Cb
cot Pe - 1-11 +-ri,
2
10:10
For normally consolidated strata, this is more conveniently
expressed as:-

P;
t cosec Pse 4-22 cot 0e - (2a-1).
Po
(1 -k)2•rf12
( 2 ) (rj
10:11
I wg-C e cot „ u 1111•••=••••••••illbi

PO 4-4p - Au

FIG. 10 t 3.

I
C cot
(1)/ U
Po P-u

FI G. 10:4.


- 152 -

Hence agreement between a 0 = o analysis and this method

at limiting equilibrium can only be expected if the value of
-1401 - 0691, used in the former is equal to -re as given by
equal equation 10:1i. _It will otherwise lie within the
limits indicated by Table 10:1.
In the case of partial dissipation of pore-pressure
during construction, equation 10:7 gives the pore-pressure
which would be set up if the whole of the bank load and
lateral thrust were applied at once. The degree of dissi-
pation at any time during construction can be calculated
from the load-time curve in the conventional manner (Terzaghi,
1943, Terzaghi and Frohlich, 1936). The excess pre-pressure
at any time is thus equal to u, where
u =Au (1 - lf) 10:12
and liis the degree of consolidation.
This makes two principal assumptions.
(a)The-load-time curve is strictly applicable only for the
term Q p in equation 10:7. As, in a typical case, this
term represents 80 to 90 per cent of Au, the assumption
that the same load-time curve holds for the remaining
terms is a good approximation.
(b)In general, the stress distribution corresponding to
plastic failure will Lot be set up during construction.
A comparison with values based on the elastic stress
distribution indicates that, for the example chosen
(Chapter 3), the plastic method gives the more conser-
 - 153 -

vative estimate of pore pressures, but for a =

the agreement is within 5 per cent. This fact,
together with the correlation with th 0 = 0
analysis in the case of zero dissipation, makes
the plastic stress distribution the preferable
assumption in estimating pore pressures in this case.
Since u is given by equation 10:12, the factor of safety
can bo readily calculated. If F j.r.1 defined as the factor
by which the terms 00 and tan 00 am divided to bring about
limiting equilibrium, it is necessary to use a value of Ce
appropriate to the increased major effective principal
stress corresponding to the value of u. at each stage. This
may be avoided with little loss in accuracy by working
directly in terms of c' anc1•95' or cd and rod .

Fig. 10:4 illustrates the method of calculating the

factor of safety with partial dissipation of pore-pressure.
The state of stress is represented by circle I in terms of
total stresses, and circle II (displaced by the residual
pore-pressure) in terms of effective stresses. If 0 A is
1
the failure envelope in terms of effective stress, the
reduction in cl and tan 0' by the factor 1/11 gives the
envelope 01B. As the intercept 001 cl/rtrtn 01

Tiytcuo
10:13.
 - 154 -
the envelopes for all values of F pass through 01 , and the
factor of safety is given directly from the reduction in
any shear. stress ordinate.
. The fact that the envelope 01 B is tangential to the
effective stress circle can be expressed analytically by
the equation:-

6 p 1- Po - + C' cot Ot = "rcosec

10:14
which follows from the geometry of Fig. 10:4.
Since cosec 2 9 = 1 + tan
Y 20 9 this may be written as
- 2--
ZIP + pQ - u + c' cot XI = p
t
10:15
from which the value of F corresponding to any value of u
may be calculated. ' In general the value of depend

on the value of F used in calculating the active and passive

forces on the bank, and a successive approximation will be
• (x)
necessary to give the same value of F throughout
Test procedure consists of either drained or consolida-
ted undrained tests with pore-pressure measurement to
determine el and 01 , and standard one dimensional consolida-
tion tests to determine the coefficient of consolidation.

(x) Where the active and passive thrusts are calculated

on the basis of undrained tests only, an inconsistency in
the definition of factor of safety arises.
 - 155 -
For normally consolidated strata the value of K may be '
estimated from a one dimensional compression test in which
lateral and vertical stresses are measured simultaneously
(Bishop, 1950) , the test being carried out in the triaxial
machine; the value of a is obtailAed from consolidated
undrained tests with pore-pressure measurement, using a
consolidation pressure high enough to avoid the effect of
stress changes during sampling .
As both K and a depend on the previous stress history
of the soil, they cannot be estimated at all accurately on
the basis of laboratory tests for overconsolidated strata
whose stress history is uncertain. Their combined effect
is, of course s, reflected in the in situ undrained strength
of the strata, and the most direct procedure is to choose
reasonable values of K and a, whf.ch, when used in conjunction
with the effective stress failure envelope, lead to agreement
with the best estimate of the in situ undrained strength.
As this permits a great simplification in testing procedure •
it may also be used as an approximation in the case of
normally consolidated samples. If 0 is half the undrained
compression strength, and is taken to equal the shear
strength in plane strain, then, by analogy with equation
1000, K and a must satisfy the relatiOn:-

(x)Using the notation of the A'T theory, in the triaxial

test at while in plane strain a = .1 Hence
4.2),N T7-57.
for the solution of plane strain problems a value of a= 2
must be taken where at is the value of a measured 1+ 1
in the triaxial test. at
 -156-
2(
14)2 c2
c cosec = p (1 L) o' cot 0' - (2a-1)
o :42-
10:16
in which c' and 0' may bo f-eplaced by cd and 0d if no
facilities for measuring pbra-pressure are available.
It can be seen that if the applied shear stress is
equal to o, i.e. to the sttength of the stratum if no
drainage took place, this simplified method involves no
approximation other than that implied by Hansen and Gibson's
work, which is accepted in the existing 0 = 0 method.
This point may be illustrated by test data from the
investigation for the dam at Chew Stoke.
Here c = 400 lb. per square foot
130 = 1 2000 lb .
p = 1 0500 lb . It
0' = 29°
C = 0

Laboratory tests indicated a value of K = 0.L.0 for the

stratum if normally consolidated, and a value of a between
0.3 and From equation 10:16 the value of a corres-
ponding to K = 0.40 and c = 400 lb. per.square foot is
0,575. For comparison let us take a value of K = 0.80,
which is the extreme upper limit likely in this case.
Equation 10 :16 then gives a = 0.591. From equation 10:7
the pore-pressure may now be calculated for any value of T.
Values for = 1.5c, c, and 0.75c are given in Table 10:2.
 - 1 57 -

TABLE 10:l2

2
Shear Stress Pore Pressure lb/ft
riJ
K=0.40, a=0.375 K=0.80, a=0.591 rence

1.5c = 600 lityTt i 1632 1709 +5

1.0c = 400 " ± 1675 1675 0
1
0.75c= 300 1694 1656 - 2

The value u = 1675 lb. per square foot, when substituted

in equation 10:15, gives the value F = 1.0 when T'= 400,
indicating that the method checks.
Table 10:2 shows that for practical purposes the appro-
ximation involved in the simplified procedure will lie
within the limits of accuracy to which the degree of dissi-
pation can be estimated.
As the simplified method only involves the use of undrained
or in situ strength tests, the standard drained test, and
one dimensional consolidation teat, and at the same time
gives an estimate of pore-pressure which can be checked by
field measurements during construction, it has much to
commend it in comparison with the author's approximate method
(Bishop, 1948), and with that due to Skempton,(1950).
 - 158 -
The earlier method was an extension of the accepted
y1 = 0 analysis and its purpose was to estimate what average
strength would be measured for the soft layer at any time
during or after construction if samples were taken and
undrained tests performed as the basis of = 0 analysis at
the stage of consolidation then existing. The initial
excess pore-pressure was taken as equal to the vertical head
of soil added, which in the present example would lead to an'
underestimate of about 10 per cont for the residual pore-
pressure. On the other liana., the effective stress control-
ling the consolidated =drained strength was also taken as
the vortical stress, whereas the major principal stress is
about 6 per cent greater on elastic theory and may be from
10 to 20 per cunt greater in plastic equilibrium. The
degree of anisotropy existing at the end of consolidation
was taken as that corresponding to one-dimensional consolida-
tion.
As the 0 = 0 definition of factor of safety is of
limited application a more rigorous version of this method
has not been developed. The approximations involved ap:?ear
to be of the order of magnitude likely to occur of necessity
in any 0 = 0 analysis where the effects of anisotropic con-
solidation are present (sea _Table 10:1).
Ekemptonls method requires rather more elaborate testing
procedure as both drained and consolidated undrained tests -
are required. For zero dissipation of pore-pressure it is
 2.0 c

/
/
I.B .

/
/ .
/
/
1'6 /
/
0
PLASTIC EQUILIBRIUM /
METHOD\ /
/
/
1.4 / SKEMPTONIS
' / "E------... METHOD
/ •
,,,,/
U. ?"
U) / .
/
u. 1.2 .
0

0
/
U A1
O ....-
...."
.•••••
....

20 40 60 80 100
0 /o DISSIPATION OF PORE PRESSURE.

FIG. 10: 5.
COMPARISON OF METHODS — UPSTREAM BAN K
CHEW STOKE.
 - 159 -
identical with 0 = 0 method. For full dissipation of
pore-pressure the factor of safety is defined as the ratio
of the strength available do a horizontal shear surface to
the applied stress, values for intermediate degrees of con-
solidation being obtained by interpolation. Excess pore-
pressure is not determined explicitly, and the metaod ,Jr3nnot
therefore be checked against field measurements. A compari-
son of this method with that developed earlier in the chapter
on the basis of the %Jest data from Chew Stoke indicates,
however, that differences only of the order of 10 per cent are
involved (Fig. 10:5).
The results presented in Fig. 10:5 also serve to
illustrate the extreme importance of a reliable method of
estimating the effect of partial dissipation of the excess
pore-pressures. 'In this case the degree of dissipation at
the end of construction is estimated to be 60 per cent, and
the corresponding factor of safety will be 1.48. To have
obtained this value for the factor of safety on the basis
of zero dissipation would have required an increase in the
base width of the dam of 60 per cent and a proportional
tncrease in the cost of construction.
 CHAPTER 11.

Cdnclusion

The central probleM in earth dam design is that of shear

failure, either in the dam alone, or including the foundation
strata. A clear under6tanding of the factors involved is
made -possible by the principle of effective stress, and
advances in laboratory technique now enable shear strength
parameters measured in terms of effective stress to be used
as the basis of design. The principal uncertainty remaining
in large dam design flea in predicting the pore-pressure at
each stage of its construction and use.
Two classes of problem can be distinguished. The first ,
in which the pore-pressure is a function of the state of stros
in the soil, presents most difficulty. It includes excess
pore-pressures sot up during construction, and during draw-
down in fills which aro not free draining. In those cases
an estimate is made of the actual pore-pressure which is to be
expected in the soil, and which can therefore be compared with
field measurements made on completed structures. These
comparisons are of great importanco,espocially in the case of
construction pore-pressUres, where slight deviations from the
anticipated compaction donditions can radically alter the
magnitude of the pressures. In certain cases the pore-
pressure is not calculated explicitly (ex. the use of the
 - '161. -

= 0 method in calculating the lateral thrust of a puddle

coro), and horn the implied pore-pressure is a function of
the ultimate strength of the material, and not a function
of the stresses obtaining in the dam. Except in the case
of a dam in limiting equilibrium these two values of pore-
pressure will not be the same, and the corresponding factors
of safety will also differ. For soil in which shear stresses
tend to set up a positive excess pore-pressure, the value of
the factor of safety given by the Ou .1 0 method will be
numerically less than that given by the actual pore-pressures.
In the second class of problem the pore-pressure is
determined by the permeability and boundary conditions of the
various zones of the fill. Steady seepage, and drawdown in
free-draining materials are the two important cases. The
principal difficulty in these cases lies in the non-uniformity
of the fill in respect of its permeability.
Particular attention has been given in this thesis to
the design of dams having a puddlod clay core. A dam of
this type, having shoulders of sand, gravel or rockfill, is
particularly suitable for construction ander climatic condi-
tions in which the moisture content control necessary in a
rolled impervious fill is impracticable. It will be seen
that this form of construction presents no difficulties if
founded on rock or other relatively strong strata, the slopes
being controlled by practical considerations, or by rapid draw-
 - 162 -
down pore-pressures. If founded on soft strata, however,
careful design and control of the rate of construction is
necessary to avoid failure in this zone.
The method of analysis and more particularly the method
of estimating the poro-prOssure can be checked in actual
structures. A more liberal and carefully planned programme
of field measurements would do much to increase confidence
in quantitative design methods, and to narrow. the margin
of uncertainty in applying them under the conditions mot
with in practice.
 — 163 —

Acknowledonents

This thesis has been prepared during the course of the

Author's work in the Civil Engineering Department of the
Imperial College of Science and Technology.
The Author wishes to express his gratitude to
Dr. A. W. Skempton for his constant interest in the work,
and for ninny discussions during its progress.
The Author aloo wishes to express his gratitude to
Sir Richard Southwoll, F.R.S., and Mr. D. N. do G. Allen
for help and encouragement in carrying out the Relaxation
solution; and to Mr. G. Andrew Marshall, M.I.C.E. and
Mr. G. N.. Hooper, A.M.I.C.E., of the Metropolitan Water Board,
for facilitating the earlier field and laboratory investigations
 - 164 -
1
APPENDIX I

RELAXATION SOLUTION

(a) Stress Function for Triangular Loading.

The stress function for the case of uniform loading
along a portion of the bohndary of a semi-infinite elastic
plate has been given by Michell (1902). This solution may
be adapted to the case of a uniform strip load on the sur-
face of a weightless semi-infinite elastic continuum, which
is a problem in piano strhin,
Transforming from polar to rectangular coordinates, and
using the notation of Chapter 3, we obtain the stress function
V1 where:-
, r11 (y24.(x+a) 2) -1 2 , 2 -1.
tan x+a
—.• +(,x-a) tan x-a
( )

1a:1
This is the stress function corresponding to a pressure
acting on an infinitely long strip of width 2a (Fig.la:1).
By integration of the stress function for an elemental
strip load, the stress function for a symmetrical triangular
loading may be obtained. If r is the peak value of the
triangular loading, and 2b the breadth over which it acts
(Fig. 1a:2), we obtain the stress function V, whore :-
2 22 2 3 -1
V =VI -rlogs(X-1746 +y +y )-(274 +6xy2)tan x
*67113
(x2 +y2)2
3 2 -1
+(x+b + 3y (x-#-b)) tan x±b
(contd.)
 a = yh

a
a.o
1 a x

FIG. la : I . UNIFORM STRIP LOAD

(Cr ay = 0 ALONG SURFACE.)

yH

ay 0

FIG. la : 2 . TRIANGULAR STRIP LOADING .
(axy = 0 ALONG SURFACE)

FIG. Ia:3. SURFACE LOADING REPRESENTED BY

STRESS FUNCTION V.


(a)SYMMETRICAL T RIAN(,ULAR LOADING.

V -•:*- V 2V
. x+b 4- V ic -b

(b) ASYMMETRICAL T RIANGULAR LOADING.

V = b . Vx+b + Vx - b+b • V
- b
b , x
b

b
cr yH

C
Y Y

c)
SYMMETRICAL TRAPEZOIDAL LOADING.
V_ V -4- V - V - V
x 1- c x - c x + CI X —Q

(d) ASYMMETRICAL TRAP ZOI DAL LOADING.

V = b Vr / _ V1 V'
x+d x-c
' V X +C .--
b'

FIG• la :4. STRESS FUNCTIONS FOR VARIOUS STRIP LOADS

IN TERMI OF
 - 165 -
+ a=63 + 3y2(x-b)tan-l x-b + 2b2y la 2
Y 1
It is this expression which is used in Chapter 3 for
obtaining boundary valued for the relaxation solution.
When checking that the equation N74 V = 0 was satisfied,
it appeared that this stxess function could be made more
manageable if expressed in terms of a subsidiary stress
function V', where:-
V? = IL/ -y3log (x2 + y2) + (x3
y2+ 3x ) tan-1
6/b e
la:3
and
=V' x+b) + V f(x...10) - 2Vt oc la:1+

Tho stress function V' represatsR system of surface

loading which does not correspond' to any practical enginee-
ring prob;Om (Fig. 1a:3). However, a combination of such
loadings, with lateral displacement of the axes, loads to
a set of stress functions-representing symmetrical and
asymmetrical triangular and trapezoidal surface loading with
no horizontal shear. Those provide the boundary conditions
for the majority of embankment and cutting problems. Four
typical cases are given in Fig. 1a:4.
(b) Boundary Values - General Case for Free Surfaco.
For the equilibrium of a small surface element,
Fig. 1a:5, we_have:-
2 V
by4 sin CL +ftcos 0 la:5
Ox6y
 x

xo

FIG. to : 5.


- 166 -

\2
cos a- c V sin OL= 0 1a:6
e.1
-77
Now cos a a + Sin

Hence, from 1rA:5 ; , •

. =0 1 a:8
3"-73

Integrating along s we have

V = const •
WTI a-TJ 0 1a:9

From 1a:61 it follolds that:-

y Cosa.= 0 .. 1a:10
27.Z
i .0 .. 6s v =. 4/ cos (s sin -+ yo
Ti7 15- 3 la:li
Integrating,
= - cosC(.(s2 si.n +. sy ) +[Yj
; o 1a:12
0

from la:7,
= cos 0( aV sin izt.6V
'6-5-
c •

= cost (s2L sin (X+ sy ) + cos a

2 o

sinc't 1]
y
la:13
 -167-

Integrating along s,
V - rcos2 ck(Z3sin + 32y + s. cosoc
6 o
-o
4
s.
6y ) Vo
la:14

But x - x = s cos
o
and y yo s sin 0\.
1a:15
Hence :-
2
V Vo ) (y _yo ) Lby •(y+2y0)
i
)-5E
o L ..0
1a:16
4 and from equation la:12
-1
V— 'ov - v tx-x o
-2 *bx o "2--) ("To) la:17

The bOundary values and vadients of the stress

function along the free surfaces of the dam and the adjacent
ground can thus he calculated by a step-by-step method
using equations14:9 0 161 17.
 - 168 -

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