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ROCK MASS GROUTING FOR DAMS, AN OBSERVATIONAL DESIGN APPROACH

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ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

ROCK MASS GROUTING FOR DAMS, AN OBSERVATIONAL DESIGN APPROACH

*J. A. Lopez-Molina, J. A. Valencia-Quintanar, and J. A. Espinosa-Guillen

Rock Mechanics and Grouting Division
Comisión Federal de Electricidad, México
(* jorge.lopez17@cfe.gob.mx)

S. García
Instituto de Ingeniería UNAM
Ciudad Universitaria
Coyoacán, México, DF
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

ROCK MASS GROUTING FOR DAMS, AN OBSERVATIONAL DESIGN APPROACH

ABSTRACT

The design and implementation of grouting treatments in rock masses are procedures that require
continuous adjustment of parameters and criteria to optimize the results. In this proposal we describe a set
of tools that enhance decision-making for this type of jobs particularly in dam projects. The methodology
is focused on hydrogeological zoning of the site and its constant update combining engineer’s experience
with artificial intelligence techniques to integrate the site knowledge; as well as the evaluation of grouting
results for different scrutiny scales, with special attention on the relationship between water absorption and
grout consumption.

KEYWORDS

Observational methodology, Grouting, Hydrogeology, Dams, Permeability, Artificial Intelligence

INTRODUCTION

Several methodologies for design, implementation and evaluation for grouting rock masses have
been developed for the solution of specific problems and tested in diverse geological conditions. Each of
these methodologies is focused on results evaluation for different scrutiny scales (Table 1) and is employed
to assist decision-making before or during the grouting process.

Some methods define specifications for grouting each stage of the borehole, making theoretical,
semi empirical or experience-based considerations to define basic parameters as maximum pressure,
maximum volume, grouting time, flow rate, etc. Ultimately each approach aim to optimize the injection
process, adjusting volumes or the grouting time required to obtain satisfactory results, reducing risk of
creating new flow paths or unnecessary grout travels, and enhancing the mixture properties to achieve
adequate penetrability and long-term behaviour. Some of these criteria have been widely used in dam
projects, for example the concept of Grouting Based on Facts to define the maximum pressure and volume
(Ewert, 1997), the GIN method (Lombardi & Deere, 1993; El Tani, 2012), or the North American
standards based on Apparent Lugeon measures (Naudts, 1995; Bruce 2011); on the other hand, there are
relatively new criteria that have shown good results for dam grouting as the Aperture Control Method
(Bonin et al., 2012; Carter et al., 2012) or the Real Time Grouting Control Method (Stille et al., 2012).

The results verification for a larger scale, taking into account the behavior of a group of holes
located in areas with similar geological characteristics, has been presented by several authors as Deere
(1982) and Ewert (1985, 1997), which require a statistical evaluation of the data and where generally a
reduction in consumption is expected by decreasing the distance between boreholes. This evaluation allows
the identification and correction of some results irregularities attributable to the geology or the grout
curtain characteristics (e.g., karstic areas or inadequate drilling direction).

For an evaluation scale that includes the global vision of the dam project, some recommendations
are based on the hydrogeological assessment in order to identify preferential flow paths given the structural
geology (Ewert, 1985, 1997), or the quantitative design of the grout curtain (Wilson & Dreese, 2003).

For all scrutiny scales the application of observational methodologies during the development of
the works are needed for a comprehensive setting of the grouting parameters and the geometrical project of
the grout curtain.
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

Table 1 – Scrutiny scale for different design, execution and evaluation grouting criteria
Overall
Stage Borehole Zone
project
Maximum pressure-
volume definition
Closure criteria
Statistical
evaluation
Quantitative design
Hydrogeological
evaluation
Observational methodologies

The work we present here integrates diverse design and assessment tools for a wide range of
scrutiny scales to finally obtain an optimal global solution for rock mass waterproofing in dam projects.
The approaches described have been implemented mainly in sedimentary and igneous rocks with diverse
structural conditions during studies and construction stages, and verified in operation stages by piezometric
instrumentation and seepage measurements.

One of the fundamental principles of the methodology is based on the hydrogeological knowledge
update and the identification of susceptible areas to seepage (Figure 1). Its implementation considers that in
addition to the general understanding of the water behaviour within the rock mass, the permeability
evolution in each step of the process and its relation to grout consumption for different observation scales
are essentials to define opportune strategies to design optimization.

Original
Investigation during Design Grouting
Construction

Geology Grouting
Consumption by
Survey
Stage

Evaluation of
Drilling Results by scale Grouting
Consumption
Information
Evolution
Hydrogeological (-) Stage
Zonation
Water Pressure Borehole Residual
Permeability
Tests Zone Evolution
(+) Overall
Identification of
Piezometric Vulnerable Areas Grout material
monitoring
Information to Seepage

Design
Subsequent Adjustment Subsequent
Investigation Evaluation

Figure 1 – Design methodology diagram for grouting works in dam projects

INVESTIGATION THROUGHOUT CONSTRUCTION

The research needed for proper design of grouting treatments in dams have been presented for
several authors (Ewert 1985, 1997; Weaber & Bruce 2007; Bruce 2011), among these, some are considered
specially relevant for its impact on the results and are outlined below.
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

The geological model of the site is probably the most important reference point for the
waterproofing system design, it includes the preliminary identification of potentially conductive structures
and the preferential water flow paths in the rock mass, information that needs to be updated from surface
and underground survey and verified with permeability tests.

Information obtained from exploration and grouting boreholes is sometimes underestimated,

however, it is a tool that has proved to be very useful for decision-making (Bruce 2011; Carter et al., 2012;
Høien, 2014). The information can be derived from recovered cores, or effortlessly through optical and
acoustical televiewer, alternatively Measurement While Drilling technologies have presented advantages
for identification of main geological conditions. Acquiring as much information as possible from boreholes
(mainly characteristics and spatial distribution of geological structures) becomes relevant when these data
are associated with permeability and groutability results, since this evaluation can provide knowledge to
extrapolate conditions to other zones and for early design optimization (Garcia et al. 2015a, 2015b).

Water pressure tests (WPT) are the most appropriate method to assess the injection influence in
rock mass permeability (Bruce, 2011), therefore its execution before, during and at the end of the works,
using test pressures similar to those that will be exercised by the reservoir during operation stage, is
indispensable to optimize treatments.

HIDROGEOLOGICAL ZONATION

A suitable hydrogeological model for decision-making throughout a grouting process must

contain at least the spatial distribution of hydraulic conductivity parameters in the rock mass and its
relationship to the structural geology, the identification of preferential water flow paths and groundwater
level position.

Distribution of hydraulic properties in rock masses can be performed with several approaches,
from its definition using structural geology data and the engineer’s experience, to the distribution with
geostatistical tools, however, due to the large number of variables that influence the permeability value
(aperture, spacing, filling and other discontinuities features, stress state, anisotropy, etc.), it is
recommended combining empirical criteria with tools that exploit the information obtained in investigation
and construction stages.

For this purpose Garcia et al. (2015a) have successfully implemented soft computing tools and
artificial intelligence for defining water absorption distribution in rock masses from diverse data. In this
methodology some rock mass descriptors (RQD, core recovery, number of fractures, and material type) are
modeled into a 3D–recurrent neural network that defines their spatial variation, and subsequently a
neuro/fuzzy structure for indirect estimation of water absorption employs the spatial relations obtained
from the 3D descriptors variation. In Figure 2 the synthetic process of this method of characterization is
presented, from which artificial absorption tests can be obtained at any point of the studied space.

This process helps identifying areas with higher permeability, which eventually will be of interest
for waterproofing systems design; one of the advantages of this methodology is that implicitly takes into
account the structural geology of the rock mass since information comes from conventional water pressure
tests and the respective description of discontinuities in the stage. Figure 3 shows an example of the three-
dimensional model of absorption distribution, within the abutments of a dam project founded on
sedimentary rocks with slightly developed karst (see details in Garcia et al. 2015a).

IDENTIFICATION OF SEEPAGE VULNERABLE AREAS

In order to make a simple estimation of the seepage susceptibility throughout the dam grout
curtain axis, some simplifications can be made from the basic principle of water flow, that seepage is
proportional to the ground permeability (k) and the hydraulic gradient (i).
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

Measured
Estimated

Absorption (l/min/m)
Borehole: MD-28
ABSORPTION X=482442 UTM
Y=1878112 UTM
Z = 70 to 75 m

Pressure (MPa)

Figure 2 – Synthetic example of water absorption distribution from several rock mass descriptors. Artificial
absorption test and its comparison with field results are presented.

Figure 3 – Absorption distribution example in dam abutments

The permeability and its distribution are defined from field tests in combination with procedures
outlined in preceding sections. In Figure 4a water absorption distribution is presented in terms of Lugeon
Units (LU) throughout the axis of the grout curtain on the right abutment of a 220 m high concrete face
rock fill dam which was built on igneous rocks. In this case the absorption distribution was obtained from a
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

20x20 m grid, which was sufficient to capture the main features associated to the hydraulic conductivity of
the rock mass.

a) b)

c)

Figure 4 – Section through grout curtain axis in dam right abutment, distribution of: a) Water absorption in
terms of LU, b) Hydraulic gradient, c) Susceptible areas to seepage

Preferential water flow paths

From reservoir to grout
curtain
From grout curtain to
nearest discharge
downstream

Grout curtain axis

Figure 5 – Definition of preferential water flow paths for a specific elevation (+515)
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

Hydraulic gradient is defined from the hydrogeological model review, identifying preferential
water flow paths and reservoir operation levels. The hydraulic head differential (∆H) can be obtained for
each point of the proposed grout curtain, considering the maximum water head at that point and the
minimum level established downstream. On the other hand, the most likely water flow path from upstream
to downstream (L) is determined taking in to account the structural geology of the rock mass. An example
of this determination for a given elevation and for various points on the grout curtain is presented in Figure
5, in this case the water paths in areas close to the concrete face foundation (plinth) are very short therefore
higher hydraulic gradients are generated. The hydraulic gradient determination is also affected by the
presence of drainage curtains or underground excavations which must be considered in defining the
preferential flow paths. The ∆H/L ratio for each point on the grout curtain provides an approximate map of
equal hydraulic gradients as Figure 4b shows.

The distribution of permeability and hydraulic gradient over the grout curtain surface will allow
generating a waterproofing requirements map (Figure 4c). According to the experience from several
projects and particularly from the instrumentation data obtained during the operation stage, it is possible to
define the minimum number of grouting lines necessary to obtain adequate results for every condition
identified and the implementation of similar criteria for future projects.

GROUTING ASSESSMENT AND DESIGN AJUSTEMENT

In practice it is common to identify the lack of correlation between permeability and groutability
of a rock mass (Ewert, 1985; Houlsby, 1990), however, the evaluation of these differences can also be
employed to determine any necessary adjustment to the grouting parameters and the design of the
waterproofing treatments.

The assessment of water absorption and grout consumption relationship can be done particularly
in each grouted stage or from results evolution for a group of boreholes located in areas with similar
hydrogeological features, for the methodology suggested here some principles proposed originally by
Ewert (1985) were applied.

Stage evaluation

Each stage grouted in a borehole can be evaluated comparing the results of water pressure test and
grout takes in order to optimize the grouting parameters at other stages located in similar hydrogeological
zones or in subsequent holes.

In Figure 6 four possible combinations absorption-consumption originally proposed by Ewert

(1985) are included (I, II, III and IV) with two additional variations (IIIa and IVa). Taking in to account the
predefined parameters for grouting (pressure-volume or GIN curve), represented with continuous lines in
Figure 6, and the absorption-consumption combination in the evaluated stage, it is possible to define some
recommendations to optimize these parameters for other stages located in the same hydrogeological region
(dashed lines in Figure 6). The absorption and consumption limits suggested in Figure 6 to classify the
results are only an average value of studied cases; however, these must be fixed according to the results
obtained in each project or waterproofing requirements defined. For each case shown in Figure 6, some
general suggestions defined originally by Ewert (1997) and complemented according to results obtained in
several projects are:

I. Low Absorption and Low Consumption. Usually only selective treatment is required to obtain
residual permeability requirements.

II. Low Absorption and High Consumption. Hydraulic fracturing or hydraulic jacking may be
causing unnecessary consumptions (which can be verified for each grouted stage); it is recommendable to
reduce pressure and volume parameters. Generally only selective treatment is required.
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

III. High Absorption and High Consumption. In the first instance it may be appropriate to reduce
the maximum pressure or even apply gradual thickening of grout mix to optimize the procedure; usually it
requires more than one row of holes to obtain an acceptable residual permeability. On the other hand, to set
the optimal volume and the pattern of holes is indispensable to evaluate the sequential consumption of
contiguous boreholes.

IIIa. Moderate-High Absorption and Moderate-High Consumption. The ground can be treated
adequately with the methodology and parameters selected, however, it is recommendable to optimize the
process in accordance with the sequential grout consumption.

IV. High Absorption and Low Consumption. Selected grout mix is inappropriate and the use of
other materials with smaller particle sizes must be tested.

IVa. Moderate-High Absorption and Low Consumption. Grout mix may have limited
penetrability, therefore, the injection pressure can be increased with proper monitoring to prevent hydraulic
fracturing; reduce grout mix cohesion and viscosity and/or minimize the distance among holes must be
investigated.
More than 200 kg/m
P

P
• Hydrofracturing? • Multiple grout
Moderate-High

• Decrease curtain
parameters • Grout thickening
• Selective
grouting
II III
Grout Consumption

V V
IIIa
Low-Moderate (< 50 kg/m)

Change grout
P

Is grouting
necessary? material
• Increase
Selective parameters
grouting • Minimize
distance between
I boreholes IV
IVa
V V
V

Low (< 5 LU) Moderate (5-40 LU) High (> 40 UL)

Water Absorption

Figure 6 - Suggestions to optimize grouting parameters from stage absorption-consumption evaluation

Zone evaluation

With sufficient sequential evolution data of water absorption and grout takes, it is feasible to
establish different behaviors according to nomenclature shown in Figure 7. To employ this tool the first
step is to identify the most suitable absorption-consumption combination in primary holes taking into
account the considerations mentioned in previous section (behavior I, II, III or IV in Figure 6). The same
evaluation must be performed for secondary, tertiary, and subsequent holes; in this way behavioral vectors
can be established to describe the evolution of absorption-consumption (An, Bn, Cn, and Dn vectors in
Figure 7).
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

According to the experience obtained in different projects, the sequential evolution of

consumption and absorption provides information about actions we can take to optimize the grouting
process, considering that the ideal behavior is to get a reduction of both values. In this way with at least
one full grouted panel (group of holes between two primaries grouted in split spacing method) within a
given hydrogeological zone and defining its more accurate behavioral vector, we can adapt the grouting
parameters in accordance with the suggestions indicated in Table 2 for other boreholes in the same region.
120

100
III

High
II
Consumption (kg/m) 80

60

40
Low

20 IV
I
0
0 10
Low 20 30
Moderate 40 50
High 60
Absorption (LU)

Figure 7 – Absorption –Consumption evolution vectors

Table 2 – Suggestions to optimize grouting parameters from evolution absorption-consumption

A B C D
ABSORPTION
Low-Moderate (˂ 20 LU) Moderate-High (˃20 LU)
Decreases Increases or Remains Decreases Increases or Remains
• Sings of HF* or HJ* • Local effects**
• Reduce max pressure • Sings of HF* or HJ*
• Local effects** • Sings of HF* or HJ*
Increases or

and/or max volume • Reduce max pressure

• Reduce max pressure • Reduce max pressure
Remains

• Evaluate selective and/or max volume

Moderate-High (˃ 50 kg/m)

and/or max volume and or max volume

1

grouting from WPTs • Implement grout mix

• Optimize hole direction • Implement grout mix
and residual thickening
according geology thickening
permeability • Optimize hole direction
requirements according geology
• Local effects***
• Decrease grout mix
• Evaluate selective • Local effects*** viscosity and cohesion.
Decreases

• Decrease distance • Decrease distance

CONSUMPTION

grouting from WPTs

• Adequate behavior
and residual among holes among holes
2

permeability • Reduce injection flow • Optimize hole direction

requirements rate. according geology
• Reduce injection flow
rate.
• Sings of HF* or HJ*
• Evaluate selective • Sings of HF* or HJ*
Increases or

• Evaluate real need for • Sings of HF* or HJ*

Low-Moderate (˂ 50 kg/m)

• Reduce max pressure

Remains

grouting from WPTs

treatment from WPTs • Reduce max pressure
• Local effects** • HJ* may be adequate if
|3

and residual • Decrease grout mix

• Reduce max pressure sequential reduction of
permeability viscosity and cohesion.
permeability is observed.
requirements
• Inadequate grout mix
• Evaluate real need for • Evaluate selective
• Evaluate the use of grout
Decreases

treatment from WPTs grouting from WPTs

materials with smaller
and residual • Adequate behavior • Local effects***
4

particle sizes
permeability • Reduce injection flow
• Reduce injection flow
requirements rate.
rate.
*HF: Hydraulic Fracturing; HJ: Hydraulic Jacking. Details in Bruce (2005). Local effects (HF, HJ, faults, karst, etc.): ** Better solved
thickening grout mix, *** Better solved decreasing cohesion and viscosity of grout mix.
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

To optimize the opportunity of decision making using this proposal, it is desirable to have at least
one full grouted panel and random permeability test in primary holes in each hydrogeological zone; the
main parameters than can be adjusted in holes within the same region include: maximum pressure,
maximum volume, injection flow rate, borehole pattern and grout mix rheology. Some application
examples of this methodology can be revised in Lopez-Molina & Espinosa-Guillén (2013).

Grout mix monitoring

As discussed in previous sections, the grout mix properties should be adjusted according to the
results obtained during the injection process in order to optimize results. The most appropriate materials for
each condition and the procedures to make adjustments on the rheological properties of the mix have been
discussed for several authors (De Paoli et al., 1992; Bremen, 1997; Bruce 2011). Starting from any selected
grouting criterion and once defined the most suitable mix or mixes for the works execution, assurance and
control of the grout material properties becoming essential, particularly is required the identification of
variations due to environmental changes, modifications in proportions or characteristics of the employed
materials and adjustments in fabrication process.

For this purpose the generation of behaviour maps of the grout mix has been useful, involving the
materials that compose it and the rheological properties specified. For example, Figure 8 shows the
behaviour map of two mixes, the shaded region indicates the dosages that meet the originally specified
values (Marsh viscosity less than 32 s and free water under 4%); in this case the main variables were the
cement fineness and the origin of the materials for cement fabrication, the results show that the cement
with smaller particle size meets the specification in a greater range of dosages which could also represents
lower sensitivity to external factors. These graphics must be constantly updated in order to optimize any
necessary adjustment during the grouting process.

1.25 1.25
Type II Portland Cement Type II Portland Cement Marsh viscosity
Superfluidificant additive (% by weight of cement)

Superfluidificant additive (% by weight of cement)

(Plant A) (Plant B) isocurve (s)

Fineness 5000 cm2/g Fineness 4000 cm2/g Sedimentation
1.00 1.00 isocurve
Specified
properties

0.75 0.75

0.50 0.50

0.25 0.25

0.00 0.00
0.6 0.7 0.8 0.9 1.0 0.6 0.7 0.8 0.9 1.0
W/C W/C

Figure 8 – Example of behaviour maps for two different mixes

The properties of the grout mix also must be monitored through time to identify in advance any
necessary adjustment, to this end the continuous evaluation of the properties with more variation or those
that determine to a greater extent the effectiveness of the treatment has been appropriate. For example in
Figure 9 the evaluation of viscosity and stability of a mix for a given observation time is presented, Figure
9a shows the results concentration for a period where the mix properties fluctuated significantly, Figure 9b
shows the behaviour after adjusting the proportion of additives and the fabrication process. Such controls
 ISRM Congress 2015 Proceedings - Int’l Symposium on Rock Mechanics - ISBN: 978-1-926872-25-4

have operated continuously during the execution of the work in order to identify deviation in properties and
implement prevention or correction measures.

a) b)
Marsh viscosity (s)

Accepted

Accepted
Optimal

Optimal
Sedimentation (% free water) Sedimentation (% free water)

Figure 9 – Results concentration by percentage (a) after and (b) before adjust dosages and fabrication
process. Pre-specified limits for each property are shown.

CONCLUSIONS

The design methodology for rock grouting in dam projects presented is founded on updating the
information generated at each implementation stage of the treatments, mainly that related to
hydrogeological zoning which derives from the engineer’s experience and is assisted by soft computing
and artificial intelligence to facilitate decision making.

By means of simple application criteria based on the structural geology and the identification of
potential water flow paths, vulnerable areas to seepage can be identified that allow comprehensive
waterproofing designs.

The results obtained at each treatment stage should be reviewed for several scrutiny scales in
order to perform opportune adjustments to the grouting parameters; these assessments must cover the
consumption evolution, residual permeability and the grout mixtures properties.

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Bruce, D. A. (2011). Rock grouting for dams and the need to fight regressive thinking. Geotech. News,
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