Sub Theme 2 - Full Paper

INTERNATIONAL SYMPOSIUM ON
Bali, Indonesia, June 1ST – 6TH , 2014
Estimation of interfacial properties

of concrete face and seismic analysis of
the highest concrete-faced rock-fill dam in South Korea
G.C. Cho 1
1
Korea Advanced Institute of Science and Technology, Daejeon, South Korea, gyechun@kaist.edu
K.I. Song 2 & H.J. Yun 3

2
Corresponding author, Assistant Professor, Inha University, Incheon, South Korea, ksong@inha.ac.kr
3
Graduate student, Inha University, Incheon, South Korea
ABSTRACT
Design and management of concrete slabs in concrete-faced rock-fill dams are crucial issues for
stability and overall dam safety since cracks in the concrete face induced by stress, shrinkage, and
deterioration can cause severe leakage from the reservoir into the dam. Especially, the increase of
dam height to a certain level to enhance the storage capacity and to improve hydraulic stability
can lead to undesirable deformation behavior and stress distribution in the existing dam body and
in the concrete slabs. In such conditions, simulation of a concrete slab with a numerical method
should involve the use of an interface element because the behavior of the concrete slab does not
follow the behavior of the dam body when the dam body settles due to the increase of dam height.
However, the interfacial properties between the dam body and the concrete slab have yet to be
clearly defined. In this study, construction sequence of a 125 m high CFRD in South Korea is
simulated with FLAC2D. The proper interfacial properties of the concrete slab are estimated based
on a comparison to monitored vertical displacement obtained from the concrete slab. Also, the
stability of the concrete slab and of the CRFD is heavily affected by the seismic load. Thus, seismic
analysis of the CFRD is carried out to examine the stability of the concrete slab with consideration
of the hydraulic pressure. Results present the significance of the interfacial properties of the
concrete slab. This study can be a useful reference for design of high CFRD dams while
considering seismic load.
Keywords: Concrete face stability, Back analysis, Interface element, Numerical analysis, Seismic
analysis
1. INTRODUCTION
Design and management of concrete slabs in concrete-faced rock-fill dams are crucial
issues for the stability and overall dam safety since cracks in the concrete face induced by
stress, shrinkage, and deterioration can cause severe leakage from the reservoir into the
dam. Once a slab has fissures, it can be easily shattered due to hydraulic pressure in the
critical level of reservoir. So, this can easily lead to stability problems. Especially, the
increase of dam height to a certain level to enhance the storage capacity and to improve
hydraulic stability can lead to undesirable deformation behavior and stress distribution in
the existing dam body and in the concrete slab. In such conditions, simulation of the
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concrete slab with numerical method should involve the use of an interface element
because the behavior of the concrete slab does not follow the behavior of the dam body
when the dam body settles due to the increase of dam height. A blended fiber has been
used to reduce cracks in the concrete slab of a CFRD (Woo and Song, 2008); concrete
mixed with polypropylene fiber was suggested by Choi et al. (2000).
The target of this study is the stability of a concrete slab of the highest CFRD under
construction in South Korea. As can be seen in Fig. 1(a), the 1st stage of an 80 m high
CFRD was constructed from 1987 to 1989. The upstream slope was covered with a 0.8 m
thick concrete slab in this stage. In 1995, the capacity of the CFRD was re-focused because
of localized heavy rainfall in the northern part of the CFRD basin. Thus, supplementary
reinforcement for the 1st construction was performed in 2002, as shown in Fig. 1(b), to
increase the height of the CFRD. In 2006, the elevation of the CFRD and the concrete slab
finally reached 125 m after the 2nd construction stage. Currently, reinforcement work (3rd
stage) is proceeding to increase the stability of the CFRD against overflow. In the 3rd stage
construction, a 1 m thick concrete face will be installed over the downstream slope.
Raising the height of a CFRD usually leads to deformation of the dam body because rock-
fill acts as a load (Shin, 2007). Thus, it is obvious that upstream concrete slabs will be
affected by any subsequent construction process. However, study of the stability of
concrete slabs due to sequential construction has been insufficient. Also, the behavior of
such concrete slabs against seismic loading has not yet been investigated. Thus, in this
study, the construction sequence of a 125 m high CFRD in South Korea is simulated using
a numerical method. Proper interfacial properties of concrete slabs are estimated based on
the vertical displacement obtained on the concrete slabs. Also, seismic analysis of the
CFRD was carried out to examine the stability of the concrete slabs with consideration of
the hydraulic pressure.
8...145.000 El.l45.000
(a) 1st stage (1987~1989): Buildup 80 m of (b) 1st reinforcement (2002~2002): Installation
dam body of Reinforcement section
a145.0c0
(c) 2nd stage (2002~2006): Elevation of CFRD (d) 3rd stage (2013~): Installation of concrete
raised from 80 m to 125 m face slab on downstream slope
Figure 1. Construction stage of the highest CFRD in South Korea
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2. BACK ANALAYSIS ON CFRD
2.1. Monitoring the vertical settlement
Figure 2 shows the vertical deformation and vertical strain obtained at the crest of the
CRFD since 1992. It can be seen that settlement and strain have linearly increased since
2006. The tracing of a triangle in Fig. 2(a), which indicates the vertical displacement after
the 2nd construction stage, is steeper than the tracing of the square, which indicates the
vertical displacement after the 1st construction stage. Interestingly, the vertical strain,
obtained after the 2nd construction stage, shows a value similar to that obtained during the
1st construction stage. This is because the elevation was increased from 80 m to 125 m.
0.00 0.0020
.... After lsi staKe construcrion(l992-2002)
g -0.03
-+- Afler 2nd slage cODstrucrion(2006-2012)
0.0015
'E
"5 ·0.06 c:
.;
0.0010
~ !:l
v:
'"
-;
·0.09
:"c 0.0005
t ·0.12
> ....._ After lst stage cODstruction{1992-2002)
-.- After 2nd stage cODstrucrioll(2006--2012)
·0.15 0.0000
0 4 6 10 0 4 10
Monitoring duration (year) Monitoring duration (year)
(a) Vertical settlement (b) Strain
Figure 2. Vertical settlement and strain history at CFRD crest
2.2. Time-dependent behavior of CFRD
Based on the monitoring data, the crest of the CFRD can be said to show time-dependent
behavior. Regularly, the long-term behavior of the CFRD can be presented as either elastic
or visco-elastic. The soil, which also shows time-dependent behavior, can be modeled by
combining the elastic model and the visco-elastic model. Elastic behavior can be simulated
with spring and viscostic behavior can be modeled with dashpot. Kelvin suggested a model
that can express visco-elastic behavior by combining a spring and dashpot, as presented in
Table 1 (Lee, 2005).
Table 1. Kelvin model

Type
Kelvin
~
Visco-elastic model
G
~f---------i;I--'f-----------r
T)
Ylc
Stress-strain curve
In this study, the Kelvin model is adopted to predict the long-term settlement behavior of
CFRD. The governing equation of the Kelvin model in the triaxial compression state can
be expressed as in Eq. (1)
() ( ) ( ) ( )
[ ] (1)
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where KK, GK, and ηK are the Kelvin model parameters and Δσ1 and K0 are the increment
of maximum principal stress and the earth pressure coefficient at rest, respectively. To
obtain the Kelvin model parameters, least square regression is carried out with the
monitoring data as presented in Fig. 3. Kelvin model parameters after the 1st construction
stage and 2nd construction stage are summarized in Table 2.
(a) After the 1st construction stage (b) After the 2nd construction stage
Figure 3. Regression analysis with least square solution
Table 2. Kelvin model parameters obtained from the least square regression
Stage Average Δσ1 (kN/m2) KK (kN/m2) GK (kN/m2) ηK
st
After 1 stage 241 5.29E7 1.40E4 5.50E7
nd
After 2 stage 390 1.11E6 2.10E4 9.41E7
2.3. Prediction of long-term behavior of CFRD with Kelvin model
The long-term strain curves after each construction stage are presented in Fig. 4 with
regressed Kelvin models. After the 1st construction stage, the dam strain (ε(t=2002)) in 2002
was estimated at 0.00175. Strain (ε(t=∞)) for the 1st body is predicted to converge to
0.002872. However, this stage was not reached due to the confining stress induced by the
2nd construction stage. After the 2nd construction stage in 2006, the strain (ε(t=2013)) in 2013
was estimated at 0.001386, at which point the 3rd construction stage started and the strain
was expected to converge to 0.003176 (ε(t=∞)). The strain level, estimated with the Kelvin
model at convergence (ε(t=∞)=0.31%), satisfies the local guideline that maximum strain of a
dam should be within the range of 0.1~0.35%, according to the “Dam design standard
(Ministry of Land, Transport and Maritime Affairs of Korea, 2011)”.
(a) After 1st stage (b) After 2nd stage
Figure 4. Prediction of long-term behavior with Kelvin model
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Variation of elastic modulus with construction stage is depicted in Fig. 5. Elastic modulus
decreases after the completion of each stage. As the vertical strain increases, the elastic
modulus decreases according to elastic theory under constant confining pressure. Although
the density of the dam body increases and interlocking stabilizes the CFRD during creep,
this cannot be expressed using numerical formulations. Elastic modulus at the initial stage
is hard to estimate since monitoring data at the initial construction stage do not exist.
However, variation of elastic modulus can be estimated based on the long-term monitoring
data and application of a proper visco-elastic model. Elevation of dam height can lead to a
rise of elastic modulus; indeed, elastic modulus was higher than that estimated from the
triaxial test results and higher than that assumed in the initial design stage.
Figure 5. Estimation of elastic modulus according to construction stages
3. NUMERICAL ANALYSIS ON CONCRETE SLAB
3.1. Use of interface element
Generally, concrete slabs in CFRDs are installed on the top of the slope, with minimum
adhesion. Adhesion between the concrete slab and the dam body normally comes from the
interfacial cementation of concrete. When the body of the CFRD deforms due to long-term
behavior, gaps can develop between the concrete slab and the dam. Thus, to analyze the
stability of a concrete slab, the interfacial behavior between the concrete slab and the dam
should be considered. FLAC2D, which is a commercial finite difference method (Itasca,
2008), is used for the simulation. In this study, an interface element, which is embedded in
the FLAC2D, is introduced to analyze the stability of the concrete slab.
Interface elements work as shown in Fig. 6. Normal and shear stiffness model the behavior
of contact between the concrete slab and the rock-fill. The interface element in FLAC2D
can also control slipping and bonding. We assume that the condition of adhesion between
the slab and the dam body is “bonded”. Axial and shear behavior of the concrete slab can
be obtained from the numerical analysis because the concrete slab is simulated with a beam
element that is attached to the grid.
Concrete slab – Beam element
CFRD body – Grid
Figure 6. Modeling of interface element in FLAC2D
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For the numerical analysis, the properties of the interface element should be derived based
on reliable experimental testing. However, it is difficult to obtain the interfacial properties
from experimental testing for CFRD. Alternatively, the interfacial properties of the
concrete slab are estimated based on comparison to the monitored vertical displacement
obtained on the concrete slab in this study.
The cross section of the highest CFRD in South Korea is shown in Fig. 7. From the large-
scale triaxial test, it was found that the rock-fill that composes the main body of the CFRD
can be considered as a non-linear elastic material (Duncan and Chang, 1970). To simulate
a non-linear material under loading and unloading conditions, a cap model (Dimaggio and
Sandler, 1971) is derived from plastic hardening theory. The Cy-soil model for the main
body of the CFRD is selected to simulate the hyperbolic stress-strain behavior.
(a) Cross-section of the highest CFRD in South Korea (b) Modelled finite grid
Figure 7. Modeling of the highest CFRD in South Korea with FLAC2D
Zones 3, 4, and 5 take a large portion of the CFRD, as shown in Fig. 7(a). Thus, we
considered that those zones are the representative CFRD bodies. Elastic modulus (E) and
hardening modulus (K), estimated using back analysis, are tabulated in Table 3.
Table 3. Material properties used in numerical analysis

1st construction stage 2nd construction stage 3rd construction stage At convergence
Zone (t=1987) (t=2002) (t=2013) (t=∞)
E(MPa) K E(MPa) K E(MPa) K E(MPa) K
Zone 3 70.0 368 137.8 1,844 281.6 2,798 122.9 1,221
Zone 4, 5 73.2 431 133.2 1,435 272.2 2,224 118.8 970
During the construction of the 2nd stage, from July 2003 to October 2005, the vertical
displacement at the upper part of the 1st concrete slab was measured; resulting values are
presented in Fig. 8. The upper part of the 1st concrete slab settled due to the 2nd
construction stage; however, the lower part of concrete slab deformed due to neglect.
Therefore, it can be inferred that the crack in the upper part of the 1st concrete slab was
caused by large deformation in that section. A numerical model was generated to simulate
the deformation behavior of the 1st concrete slab. The properties of the interface element
that provide best fitting deformation curve were obtained and data are tabulated in Table 4.
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Figure 8. Vertical displacement of the 1st concrete slab induced by the 2nd construction stage
Table 4. Estimated properties of interface element and beam element

Beam element Interface element
Elastic Tensile
Thickness Poison Cohesion Dilation Friction
modulus kn ks bond
(m) ratio (Pa) angle (°) angle (°)
(Pa) (Pa)
2.1E9 0.8 0.2 2E7 2E7 1e4 0.0 46.0 1E5
3.2. Stability analysis on concrete slabs
3.2.1. Static analysis on concrete slab

The construction sequence was simulated based on the historical record and the 3rd
construction plan. During the simulation of the construction sequence, static analysis was
conducted. To obtain the sectional force, a Fluid-Soil-Structure interaction scheme was
implemented in the numerical analysis. Thus, three different levels of the reservoir were
considered in this study, as presented in Table 5. After the 3rd construction stage, seismic
analysis was carried out at full level condition.
Table 5. Level of reservoir for hydraulic boundary condition

Classification Level of reservoir Seismic load
Design level EL. 183.0m -
Full level EL. 181.0m -
EL. 273.7m
Overflow level 0.22g
(3.7m above the crest)
Diagrams of the sectional forces, such as the axial force, bending moment, and shear force,
are summarized in Table 6; these values were determined after the construction of the
concrete slab over the downstream slope (i.e., the 3rd construction stage) at full level
condition. Stresses induced by sectional forces can be calculated and the stability of the
concrete slab can be evaluated based on a comparison with the allowable stresses. Analysis
of the stability of the concrete slab is presented in Table 7. In conclusion, stresses acting on
the concrete slab do not exceed the critical stress levels.
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JOB TITLE : . (*10^2)
FLAC (Version 6.00)
6.000
LEGEND
18-May-13 14:22
step 60263
Table 6. Sectional forces of concrete slab after the 3rd construction stage
9.940E+01 <x< 6.997E+02
7.492E+01 <y< 6.752E+02
5.000
JOB
Liner
Sectional
TITLE
Plot : . force Diagram (*10^2)
Axial Force on
FLAC (Version 6.00)
Structure Max. Value
6.000
4.000
# 1 (Liner) 3.124E+05
# 2 (Liner) LEGEND
1.151E+05
Grid plot Axial force
18-May-13 14:22
step
0 60263 1E 2 5.000
9.916E+01 <x< 7.008E+02 3.000
5.360E+01 <y< 6.553E+02
JOB TITLE : . (*10^2)
Grid plot
FLAC (Version 6.00)
4.000
0 1E 2 2.000
LEGEND
Liner Plot Bending moment 5.500
Moment on 14:21
18-May-13
Structurestep Max.
60263Value
1.018E+02
# 1 (Liner) <x< 6.026E+02
2.918E+04 3.000
1.315E+02 <y< 6.322E+02
# 2 (Liner) -4.140E+03 1.000
Liner Plot 4.500
Shear Force on
1.500 2.500 3.500 4.500 5.500 6.500
Structure Max. Value (*10^2)
# 1 (Liner) 4.293E+03 2.000
# 2 (Liner) -8.180E+02
Grid plot
Shear force 3.500
0 1E 2
1.000
2.500
1.500 2.500 3.500 4.500 5.500 6.500
Table 7. Stability analysis on concrete slab after the 3rd construction stage (*10^2)
Bending compressive Bending tensile stress Shear stress

Classification 1.500
stress (MPa) 1.500

(MPa) 2.500
(MPa) 3.500 4.500 5.500
Slab Max. Allow. Judg. Max. Allow. Judg. Max. Allow. Judg.
(*10^2)
1st 0.610 9.600 O.K. - 0.637 O.K. 0.005 0.392 O.K.

Upstream
2nd 0.220 9.600 O.K. 0.051 0.637 O.K. 0.002 0.392 O.K.
Downstream 0.084 9.600 O.K. 0.001 0.637 O.K. 0.001 0.392 O.K.
3.2.2. Dynamic analysis on concrete slab

Dynamic analysis was only performed at full level condition. The dynamic behavior of the
concrete slab was obtained with respect to three different types of seismic waves. For long-
period and short-period seismic waves, Hachinohe and Ofunato seismograms were used, as
well as artificial waves, which were generated and applied. The maximum acceleration of
the seismic waves was set at 0.22 g. The seismograms used in this study are presented in
Fig. 9. Maximum stresses measured at the 1st and 2nd upstream concrete slab and the upper
and lower parts of the downstream slab were acquired and are tabulated in Table 8. From
these results, the stresses acting on the concrete slab can be seen not to exceed the critical
stress levels, even during a strong earthquake. In conclusion, the concrete slab will be stable
during the construction and operation if the quality of the concrete slab satisfies the
specifications. To maintain the quality of the concrete slab, continuous monitoring and
maintenance should be carried out.
Artificial seismic wave Hachinohe seismic wave Ofunato seismic wave

Acceleration (g)
Acceleration (g)
Acceleration (g)
Time (sec) Time (sec) Time (sec)
Figure 9. Seismic waves used in dynamic analysis
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Table 8. Stability analysis on concrete slab against seismic waves
(a) Stability evaluation with respect to artificial waves
Classification Bending compressive Bending tensile stress Shear stress
stress (MPa) (MPa) (MPa)
Up 1st 0.440 9.600 O.K. - 0.637 O.K. 0.001 0.392 O.K.
stream 2nd 0.069 9.600 O.K. - 0.637 O.K. 0.001 0.392 O.K.
Down Up 0.052 9.600 O.K. - 0.637 O.K. 0.001 0.392 O.K.
stream low 0.066 9.600 O.K. 0.003 0.637 O.K. 0.001 0.392 O.K.
(b) Stability evaluation with respect to long- period waves

st
Up 1 0.417 9.600 O.K. - 0.637 O.K. 0.001 0.392 O.K.
stream 2nd 0.063 9.600 O.K. - 0.637 O.K. 0.001 0.392 O.K.
Down Up 0.051 9.600 O.K. - 0.637 O.K. 0.001 0.392 O.K.
(c) Stability evaluation with respect to short- period waves

Up 1st 0.401 9.600 O.K. - 0.637 O.K. 0.001 0.392 O.K.
nd
stream 2 0.059 9.600 O.K. - 0.637 O.K. 0.001 0.392 O.K.
Down Up 0.051 9.600 O.K. - 0.637 O.K. 0.001 0.392 O.K.
4. CONCLUSION
The stability of a concrete slab in a concrete-faced rock-fill dam is a crucial issue. In this
research, a numerical study was conducted to estimate the stability of the concrete slab of
the highest CFRD under construction in South Korea. The Kelvin model, which can
present hyperbolic time-dependent behavior of rock-fill, was used and model parameters
were estimated from the measured data. Especially, an interface element was introduced to
simulate the contact behavior between the concrete slab and the rock-fill. Construction
sequences were fully simulated with FLAC2D and the stability of the concrete slab was
evaluated. As a result of the numerical analysis, the stresses acting on the concrete slab
were found not to exceed the critical stress levels for all construction stages and even
during a strong earthquake. Therefore, the concrete slab will be stable during construction
and operation if the quality of the concrete slab satisfies the specifications. To maintain the
quality of the concrete slab, continuous monitoring and maintenance should be carried out.
This study can be a useful reference for the design of high CFRD dams while considering
seismic load.
ACKNOWLEDGEMENT
This research was supported by Basic Science Research Program through the National Research
Foundation of Korea (NRF), funded by the Ministry of Science, ICT & Future Planning (No. NRF-
2013R1A1A1060052).
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REFERENCES
Choi, S.H., Lim, J.Y., Kim, W.Y. and Kim, M.H. (2000): A Study on the Influence Factors
on Crack Properties of CFRD Face Slab Concrete, Journal of the Korea Concrete
Institute, 12: 6, pp. 109-117.
Cooke, J.B. and Sherard, J.L. (1987): Concrete-face rockfill dam: II, Design, Journal of
Geotechnical Engineering, 113: 10, pp. 1113-1132.
Das, B.M. (1997): Advanced Soil Mechanics, Taylor and Fransis, London, UK.
DiMaggio, F.L. and Sandler, I.S. (1971): Material Model for Granular Soils, Journal of the
Engineering Mechanics Division, 97: 3, pp. 935-950.
Duncan, J.M. and Chang, C.Y. (1970): Nonlinear analysis of stress and strain in soils,
Journal of Soil Mechanics and Foundations Division, 96: 5, pp. 1629-1653.
Itasca Consulting Group. (2008): FLAC 2D ver6.0 manual, Itasca, Minnesota, USA.
Lee, I.M. (2005): Rock Mechanics Principles, Seron, Seoul, Korea.
Lee, H.M., Lim, H.D., Cho, G.C., Song and K.I. (2013): The Stability Evaluation of
Concrete Face Rockfill Dam(CFRD) Using Settlement Measured at the Dam Crest
and Kelvin Model, Journal of the Korean Geo-Environmental Society, 14: 11, pp. 33-
46.
Ministry of Land, Transport and Maritime Affairs of Korea. (2011): Dam design standard,
Sejong, Korea.
Prevost, J.H. and Keane, C.M. (1990): Shear Stress-Strain Curve Generation from Simple
Material Parameters, Journal of Geotechnical Engineering, 116: 8, pp. 1255-1263.
Shin, D.H. (2003): Experimental study on deformation properties of bedding zone
materials bearing the concrete face Slab of CFRD, Proceedings of Annual
conference of Korean Society of Civil Engineers, pp. 3724-3727.
Shin, D.H., Cho, S.E., Jeon, J.S. and Lee, J.W. (2007): Deformation Behavior of Existing
Concrete-Faced Rockfill Dam due to Raising, Journal of the Korean Geo-
Environmental Society, 8: 6, pp. 77-83.
Woo, S.K. and Song, Y.C. (2008): Crack Analysis of CFRD Face Slab Concrete Using
Blended Fiber, Proceedings of the Korea Concrete Institute, 20: 1, pp. 653-656.
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Underground dam construction as delayed efforts
to enrichment groundwater in arid areas of Bunutan,
North East Bali, Indonesia *)
Anwar Makmur ,
Ir., Senior engineering geologists, Wiratman & Associates PT, Jakarta, and former Engineer at
the Water Resources Research Center, Bandung, West Java. E-mail: anwarmakmur@yahoo.com
F. Mulyantari ,
Dr.Ir.MEng.,Senior Hydrologist Researcher at the Water Research Center,Bandung,West Java
ABSTRACT
In general, Bali has abundant water resources to be used for the purposes of domestic water,
water for irrigation and water for tourism purposes. However, there are areas that are very dry
in the north east of Bali called the Bunutan area, Amed sub district, Karangasem regency,
Bali. This causes the local community are very water shortage in the dry season for household ,
irrigation including water for tourism.
Considering the average rainfall in this area is around 1,250 mm per year, when it rains, the
water run-off surface in this area is quite large both on the hills and in the previously dry river
channel. The surface runoff soon be dry in a few days if it does not rain
Lack of water resources due to the rocky area based on the geological conditions of the local
bedrock that is the breccia and lava flow are fairly impermeable (k in the order of 10-5 cm / sec)
with a thin layer of soil on top. This breccia outcrops widely exposed and dry river plain formed
expanse of sandy gravel and boulder. That river alluvial layer thickness between 35 to 40 m
with only thin layer of Water flows at the bottom part.
Despite the lack of water, but the Amed and Bunutan has become a bustling tourist area,
because the beach is clean and very good for sea sport and travel. In this time the raw water for
restaurants, lodging and resort hotels get the water by pumping in beach alluvial deposite. But
it’s a thin layer of fresh water (t ± 2 m) above the brackish water layer, continuous pumping will
cause sea water intrusion, this started happening at Amed area (± 4 km west of the Bunutan
village).
Construction of underground dams in Bunutan seems to be able to answer the above
requirements, in accordance with the conditions of its Geology and rainfall, an opportunity and
a challenge to get enough raw fresh water.
Keywords: Underground dam one solution to dry area at Bunutan East Bali were minimal
water resources, but when it rains the water surface flow large enough.
*) Papers on ICOLD Annual Metting, 1 to 6 June 2014 at the Bali Nusa Dua Convention Center,
Bali
II - 11
1. PRELIMINARY
1.1. General
Plans for underground dam in Indonesia first began with a survey by the Water Resources
Research Center at the DIP Fund in the year 1991/1992 with a preferred location in the River
Tukad Ketes, Bunutan, Karang Asem, Bali (Sobirin, Anwar, Rachmat, 1992) . This idea was
developed to see the success of this type of construction in Miyakojima, Okinawa , South Japan
in the early 1970.
Stages of research continues to study with the J-Green, Japan, this study took place more
intensively after review by a team of JICA & Jalda in 1998. (Anwar, Sobirin & Rachmat, 1999).
The results of the study have also been described and discussed in the joint seminar between the
J-Green and Water Resources Research and Development Center in 2004.
However, after the study to the extent of the design concept, there has been no follow-up
physical work in the field until now, on the other hand with the development of tourism in the
area Bunutan, raw water needs for residents water and tourists water such as hotels, homestays
continue to rise. Exploitation of water from the alluvial coast has sparked seawater intrusion in
Amed (Anwar, Wisjnu, Mulyantari, Martawidjaya, 2004).
1.2.Research area condition

The eastern part of Bali in the dry season water flow in the river is not watery at all, causing the
river valley turns into a hard stretch of loose stones and is assumed to be thick, it can not be used
by residents to exploitation water.
Although the river valley looks dry with a surface appearance of the loose stone plains, but
allegedly still there water flow on the boundary between the bedrock beneath the alluvial rocks.
The assumption is based on the local conditions in the upper site of the river where there are
several spring. But a few meters downstream of the water flow immediately disappeared down
the ground. Another indication is the presence of geological subsidence structures , thus leading
to thicken the alluvial deposits in the valley of the river and could serve as reservoirs of water
underground soil naturally. The water is very rough on grained alluvial can be explored directly
in order to meet the water needs of the local population, especially in the dry season, if the
underground dam has been realized, it can contribute to the need for raw water in this area,
especially in anticipation of the rapid development of tourism this location.
.
Bunutan
Denpasar
Figure.1. Subsurface Dam location in Bali Foto.1. Subsurface Dam site condition at Bunutan, Bali
II - 12
1.3.Concept of Bunutan underground Dam
The data required for the design of the underground dam water level fluctuations throughout the
year, can be done with the data collection were taken daily discharge to the decline of the
reservoir or the ability to store water.
Figure2. General Basic concept of Underground Figure 3. Classification of Vacancy

dam of Reservoir aquifer
Underground dam model in Bunutan is to inhibit the flows of ground water in the bedrock
surface in the dry season and in addition to entering the surface water during the rainy season to
the next are stored in the pores rolling expanse of rock that is thick. So that water can be
exploited to the maximum, it needs to make underground curtain along approximately 400
meters to a depth of 40 meters. To get the water stored in the subsurface grains loose stones then
made exploitation wells and installation of pumps at once. The water that comes out of these
wells can then be enjoyed by the people and for the purposes Bunutan villages surrounding the
hotel. With the water source is renewable it can be prevented taking water along the shoreline in
order to stop the intrusion of sea water that has been happen in the Amed village coast. The
construction of underground dam is suitable for areas that lack water resources and the high
seismicity as Bali island will remains safe.
AXIS OF BUNUTAN
Upstream UNDERGROUND DAM Downstream
LOKATION
Underground reservoir
Figure 4. Cross section Underground Dam at River (Sungai )Ketes, Bunutan
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AXIS OF BUNUTAN
UNDERGROUND DAM
LOKATION
Figure .5. Long section of Underground dam at River Ketes, Bunutan

2. GEOLOGICAL FEATURE
Bunutan valley is situated between two hills that extends from south to north with a slope
towards the valley 30 °, the width of the valley ranges from 200-500 m. The shape of the valley
is almost like the "U" letter ,with the relatively flat valley floor. In morfogenesa valley is thought
to be the result of the subsicence geological structure, due to the fault in this area.
Bedrock valley that occupies this is inserted by a volcanic breccia with andesite lava. Being the
center of the valley is occupied stream sediment and debris result slopes (talus).
2.1. stratigraphy
Rocks found in this area is rock breccia with andesite lava as bedrock. On top of bedrock are
stream sediment deposited in the middle of the valley and slope debris deposition section of the
valley edge. It is estimated that the river sediment here, partly derived from the slope debris.
Description of rock types as below:
a.The breccia consists of several cycles in which each cycle limited by erosion surface. Breccia
dark gray, hard and compact, the maximum diameter of 1.5 m with type fragments of andesite.
Lava as inserts found in several places with a thickness between 1.0 to 3.0 meters, dark gray,
crystalline, hard, compact to the type of andesite. On top of the rock breccia with andesite lava
contained unit inserts a talus cover and stream sediment.
b.Talus deposite, is the debris slope of the hill that is left and right of the valley, may be a lump
of andesitic debris (breccia fragments) or can be a breccia boulders with a maximum size of 2 m,
a thickness of between 2-10 m.
c. Stream sediment consists of loose stone with boulder to gravel size with a maximum size of 2
m in diameter, consisting of fragments of andesite, basalt or breccia fragments. Sediment
transported is not too far from the origin place, so a talus sediment deposited in the valley floor
where there is also a groove of River (Tukad) Ketes. This stream sediment thickness ranging
between 30-35 meters
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2.2. Groundwater Conditions
Based on information from locals that River Ketes groove on before 1942 (before the Japanese
occupation) running water throughout the day as far as 2.5 km downstream springs now, and
then disappeared beneath the surface around the location plan of the underground today. Length
of Bunutan Valley, ranging from springs in Bangle village to the waterfront in the North is about
4 Km. As far as 2 km downstream of the Bangle spring dam axis planned,
Current conditions, the spring in rainy season discharge can reach 50 l / s and the water can flow
in the river valley as far 100m from the spring, then disappeared down the alluvial surface and
will come back around the coast. In the long rainy season , this Ketes river flows, running water
even quite heavy so it could carry the rock fragments to gravel- boulder sized. It occurs mainly in
the upper reaches of the valley where the river bed gradient is large enough by 30 m/500 m. It is
very much different when viewed in the dry season, the flow at Ketes river as long as the river
valley water disappears, and appears only 30 m from the shoreline.
Given the conditions and the nature of water as above, it strengthens the case that the water from
the water source located under the surface of alluvial still flowing at all times on the base of the
valley Tukad Ketes groove and is not expected to leak into the other direction.
2.3. Reservoir rocks
Reservoir rock is a rock that is used as a storage of water in the cavity between the grains. Rocks
that can be used as a reservoir rock in this area is a valley Bunutan alluvial deposits which are a
mixture of clay, silt, sand, gravel, gravel and boulder of igneous rocks or breccias are as loose
material.
Based on the test results of water permeability test of these rocks in the field, it was found that
the permeability coefficient value ranges in the order of 10-2 - 10-4 cm / sec. It is easy to
understand considering the mixture of these rocks is generally in the form of silt to boulder. So
with the above circumstances we can estimate that these alluvial deposits can be used as a
reservoir rock to store water. Rock that serves as the bedrock is solid breccia permeability
coefficient of 10-6 cm / sec.
Several Geological
Models For
Groundwater
Accumulation
(Anwar Makmur, 2004)
Figure 6. Geological Map of Bunutan Figure 7. Several Geological Models For

Area ( Research Center for Geological Groundwater Accumulation
development, Bandung (Anwar Makmur,2004)
II - 15
3. BUNUTAN HYDROMETEOROGICAL
3.1. Rainfall data
Data for the rainfall around the study area was obtained from four rainfall stations are Kubu
Karangasem (Geophysical station), Karangasem (agriculture) and Susuan rainfall post from 1999
and 2000. Kubu station data is incomplete due to a lot of data that is empty or missing. Data on
average annual rainfall for 2 years at the station Karangasem (Sta.Geofisika) of 2585 mm, in
Karangasem Agricultural station of 2372 mm and 2243 mm at Susuan station. While the average
annual rainfall from 1916 to 1984 amounted to 1 020 mm in Kubu, Abang 1514 mm, 1293 mm
and 1678 mm kidnapped in Karangasem Geophysics (Water Resources Research Center, 2004).
Monthly average rainfall of Bunutan catchment area obtained from BMG (Meteorology and
Geophysics) based on the recorded data ranging 1931 to 1960 and compiled as annual rainfall of
1250 mm (Table.1.)
Table 1. Monthly average rainfall (mm) di Bunutan basin 1931 s/d 1960
Month J F M A M J J A S O N D
Rainfall 250 280 188 75 65 50 53 31 30 40 60 175
Supplementary Data obtained from September 1999 to May 2000 can be from simple rainfall
instruments are mounted upstream simple exiating checkdam. The amount of rainfall is seen
from the data recording that the lowest rainfall of 11.4 mm occurred on February 8, 2000 and the
highest was 110.7 mm occurred on May 21 of 2000. Rainfall potential in DPS Bunutan in one
year has a moderate value, amounting to 1250 mm / year according to BMG, so the number of
baseflow based simulation is 200-225 mm and for Bunutan basin with 1800 ha of land area, it
baseflow of 3.6 – 4.05 million m3 .
3.2. River Discharge
River flow Data from February until August of 2000 (July blank) with an average of every
month at 6:57 m3/sec, 1.62 m3/sec, 1:31 m3/sec, 3.82 m3/sec, 0:16 and 2:26 m3/sec m3/sec.
(Water Research Center, 2004).
Bunutan river discharge in the gain contribution from springs that flow from upstream. The
springs recorded in eight locations: the east, in Airmasam village two places, Bangle in two
places, one in the western part Bt.Edolang and one in the western part Bt.Bantul. From the
results of the survey conducted from September 1999 to January 2000, the contribution of
discharge into the river from the spring to the last eight of 185 l / second. According to the
residents of the spring that still flows during the dry season is Airmasam spring and Bangle
spring (permanent spring), while four other springs in the dry season completely dry
(Intermittent spring), this indicates that all four springs are not flowing in dry season water
source is rain water is not pure groundwater.
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Table .2 : Climatology Data ( average value ) at several station in East Bali
Sta J F M A M J J A S O N D
Susuan Temperatur 26.4 26.5 26.7 26.9 26.8 26.2 25.9 25.9 26.3 27.0 26.9 26.8
station (oC)
Humidity 91.5 89.1 87.6 88.1 87.4 88.7 88.1 85.7 88.5 87.0 89.5 91.9
( %)
Sunshine 32 34 40 54 52 54 59 71 67 60 45 27
( %)
Wind 63.9 91.7 77.4 59.1 41.1 44.9 36.7 36.3 40.5 40.0 48.0 63.6
(km/day)
Kr.Asem Temperatur 25.6 25.7 26 26.5 26.5 25.9 25.3 25.5 26.3 27.3 27.1 26.5
station (oC)
Humidity 87.1 90.1 86.8 83.9 78.7 80.0 81.2 78.9 74.6 82.1 82.5 85.4
( %)
Sunshine 23.9 24.2 32.6 42.0 57.0 54.8 54.4 58.9 58.2 56.2 46.3 27.4
( %)
Wind
(km/day)
4. BUNUTAN HYDROGEOLOGICAL BASIN

4.1.Sistem aquifer and Physical Characteristics
From the analysis of hydrogeological deep enough, then eventually the aquifer system in the
study area can be interpreted as follows:
4.1.1. Groundwater System at Bunutan Basin study area is located in the center of the valley,
extending from the exit springs in Airmasam village, slightly wider than the river channel, to the
waterfront at north site as along as+ 4 km. the more downstream width ranging between 200-
500 meters.
4.1.2. Groundwater Basin system is interpreted as a groundwater basin with bowl shape open
towards the north / beach, consisting of 2 layers of the aquifer, the aquifer free (unconfined),
semi-depressed (semi-confined) are not separated by impermeable layers.
4.1.3. Judging from the condition of the reservoir rock material can be categorized into two
types, first Alluvial Deposition of fine grained, the result of debris slopes (talus) thickness
between 2-10 meters, permeability ranges between 10-3 - 10 -4 cm / sec. And secondly Alluvial
deposite consisting of boulder to gravel size with fragments of andesite, basalt and breccia
II - 17
fragments that are explained maximum size of 2 meters in diammeter, thickness of 25-30 meters,
permeability ranges on the order of 10-2 - 10-3 cm / sec, categorize very permeable.
4.1.4. Judging from the sealing layer (bedrock) is a volcanic breccia intercallated with andesite
lava expressed as bedrock and boundary of rock aquifer system, because it is hard and compact,
the value of the permeability of 10-4 - 10-5 cm / sec is even smaller, is found at a depth of 37 to
41.5 meters from ground level.
4.2.Prediction of inflows and outflow

Observations made during the year (September 1999 - July 2000) at the location of the inflow
and outflow from ground water reservoir as a system has been made in the study area, in
preparation for the evaluation of soil water balance, resulting interpretation as the following:
Table .3. Spring location at upstream site of Bunutan valley
No. Location / Villages Caused of Spring Spring discharge

Spring [l /minute]
1 Timur / Ds Cangwang Topographic erosion 15
2 Air Asem Fault 25
3 Air Asem Topographic erosion 10
4 Bangle Fault 50
5 Bangle Fault 25
6 Barat Bt. Edolang Topographic erosion 15
7 Barat Bt. Bantul Topographic erosion 20
8 Barat Bt. Bantul Topographic erosion 25
4.2.1.Input of ground water basin to underground dam plan are as follows:

First, Hydrological study estimated the potential annual large inrush approximately 16-18% of
the annual rainfall. Secondly, the flow of springs in the upper reaches of the aquifer, which
generally occurs due to rainwater seepage from the aquifer system different formations in the
area upstream. February 2000 measurement data is a representation of the condition of the rainy
season in that location.
Figure .8. Topographic condition of Bunutan Figure. 9. Ground water basin of Bunutan
valley valley
II - 18
4.2.2. Estimates of groundwater balance using the above assumptions, the equivalent area of the
reservoir: 1.2 x 106 m3, Average depth: 25 - 30m, porosity reservoir rocks: 20%. Underground
reservoir capacity is estimated at about 6 x 106 m3 which is apparently large enough to
accommodate estimates of inflows as a result of subsurface flow Hidrology Study.
5.CONCLUTIONS
1.Underground construction of dams in Indonesia is still the effort. in the area such as the lack of
water in Bunutan highly feasible, because the area is dry, water value is certainly relative high.
Then if Alluvial groundwater from the coast continues in exploitation, where the sea water
intrusion that have occurred in Amed (about 4km in Bunutan west) will also be continuous to
Bunutan.
2.The main requirement of the existence of a Underground dam construction, the presence of
reservoir rocks and the presence of impermeable layers adequately met in Bunutan area.
Moreover, underground dam construction relatively safe in high seismic regions such as in
Indonesia. No land acquisition location, because the construction beneath ground surface.
3. Based on the available data, in each dry season the water in Bunutan was minimal, while the
rainy season surface water is wasted. This large Potential surface water in Bunutan in rainy
season can be used when the dry season, with the construction of underground dam.
5.To maximize of surface water infiltration in the rainy season, can be done by making a water
retention facility on the ground surface . so it can help the absorption of water to the underground
reservoir.
6.The Underground dam plan was the first time in Indonesia, and is a new innovation for the
improvement of knowledge in water resources development in Indonesia.
REFERENCES:
--,Anwar.M.,Rachmat.E.,Sobirin,S.;(1992);Penelitian Geoteknik untuk pembuatan reservoir
bawah tanah di daerah Karang Asem, propinsi Bali. Research Institute for Water Resources
(Technical report,unpublish) Bandung,Indonesia
--Anwar.M.,Mulyantari.F.,Martawidjata.J.(1999);Penelitian kemampuan Batugamping di
Kupang untuk penampung air bawah tanah dengan dinding penyekat Tanah lempung
Bobonaro.Research Institute for Water Resources; (Technical report, unpublish) Bandung,
Indonesia
--Anwar.M.,Wisjnu.YB.,Mulyantari.F.,Martawidjata.J (2004); Penerapan Geologi teknik untuk
pemanfaatan air pori batuan reservoir, rencana bendungan bawah tanah Tukad ketes, Bunutan,
Karang Asem, Bali. Research Institute for Water Resources; (Technical report, unpublish)
Bandung, Indonesia
--Japan Green (1999); Basic study on the Subsurface dam for water resources development in
Indonesia, ( Technical report, unpublish) Tokyo, Japan
--Nagata,S (1998) On implementation of study of subsurface dam in the Eastern Indonesia.,Paper
30 pages. Jakarta,Indonesia.
--RIWR in cooperation with Japan Green (2004):The Subsurface Dam technology as an
Alternative measure for water resources conservation.,Proceeding., Bandung, Indonesia
II - 19
II - 20
Impact Drilling in Embankment dams – A Comparative study between

Water-powered DTH Hammer Drilling Technology and
Hydraulic Top Hammer Drills
[Blank line 11 pt]
M. Sc. Jörg Riechers
Product Manager, Herrenknecht Formwork Technology GmbH Schlehenweg 2, 77963 Schwanau, Germany,
riechers.joerg@herrenknecht-formwork.de
[Blank Line 10 pt]
M. Sc. Michael Beas
Dam Application Responsible, LKAB Wassara AB, Rosenlundsgatan 52 SE-118 63 Stockholm, Sweden
[Blank line 10 pt]
[Blank line 10 pt]
[Blank line 10 pt]
[Blank line 10 pt]
ABSTRACT
Large geotechnical structures such as embankment dams and tailings dams are subject to high
safety requirements. One key requirement is long-term stability in order to avoid incidents and
failures and also to ensure environmental safety during/after the operational phases. To ensure
security, instrumentation of existing embankment dams and tailings dams, using drilling
technologies, is necessary for surveillance. Drilling in the structures of dams or in their
foundations, however, always entails certain risks. Therefore, the selection of drilling technologies
must be carried out carefully, taking into account the condition and sensitivity of each dam section.
Continuous evaluation and development of existing drilling requirements is an important safety
aspect.
The main objective of this study, is to analyze the influence on surrounding soil of a water powered
DTH hammer system and top hammer drillings with different setups during drilling. The study
concludes stating that for the analyzed drilling formation, average radius of influence on soil was
identical (0.49 m along the borehole axis) for both the water powered DTH and hydraulic top
hammer system with a pre-drilling protective casing. Top hammer drillings in combination with a
casing drilling system indicate an increased average zone of influence of 0.72 m around the
boreholes. Measurements collected while drilling, correlated with laboratory analyses and weight
sounding tests, reveal that the rearrangement of soil particles depends on the interaction of applied
down-thrust, the vibration of the drill string, the amount of drained flushing water towards the
adjacent soil and existing pressure conditions within the embankment structure.
[Blank line 10 pt]
Keywords: drilling embankment tailings monitoring instrumentation
[Blank line 10 pt]
[Blank line 10 pt]
1. OBJECTIVES AND STRATEGIES
[Blank line 10 pt]
• Analyze the influence of a water powered DTH hammer Lost-Hammer-Concept* (LHC)
and top hammer drillings with different setups on a sensitive soil characteristic due to the
drilling process
* from 2013 the name LHC is changed into Single-step instrumentation system
• Study in collaboration between Wassara AB and Sweco Infrastructure AB

• Construction of an artificial dam of one certain soil for test drillings
II - 21
• Drilling of one 30 m borehole with Wassara’s Lost Hammer Concept (LHC) in a tailings
dam
• Investigations on-site and in the laboratory of LTU
• Analysis and documentation at LTU
[Blank line 10 pt]
[Blank line 10 pt]

Figure 1. DTH hammer – setup: Wassara W 35
– Lost-Hammer-Concept (LHC) for geotechnical drilling application
[Blank line 10 pt]
[Blank line 10 pt]
2. TEST FIELDS AND CHARACTERISTICS
[Blank line 10 pt]
2. 1 Test Field I – Construction
[Blank line 10 pt]
• Location: Area of LKAB’s tailings impoundment in Malmberget, Sweden
• Test field: 40 m x 20 m (800 m²), > 2400 m³, height 3 m
• Dam construction: Remaining rock material from the mining process layer thickness after
compacting: 0.5 m 6 passes with a 6 t vibratory compactor
[Blank line 10 pt]
[Blank line 10 pt]

Picture 1. Creation of the test site
[Blank line 10 pt]
2. 2 Test Field I – Soil characteristics
Implemented investigations:
[Blank line 10 pt]
• Weight sounding
• Rubber balloon test
• Grain-size distribution analysis
• Proctor density
[Blank line 10 pt]
2. 3 Test Field I – Soil characteristics
Results:
• Avg. soil resistance over 3 m 125.7 ht/0.20 m (very dense)
• Specific gravity 3,02
• Max. dry density (Proctor density) 2.44g/cm³ with 6.4% (OWC)
• Avg. degree of compaction 87 %
• Avg. Specific gravity | Avg. Porosity 3 | 31 %
• Cu, Cc 79.4 | 0.79
• Soil type (triangular method) gravely Sand (gr Sa)
• Grain-size distribution (D60/D10) well graded
II - 22
[Blank line 10 pt]
[Blank line 10 pt]
Graphics 1. Water content (%)
[Blank line 10 pt]
[Blank line 10 pt]

Graphics 2. Grain-size distribution in silt, sand and gravel
[Blank line 10 pt]
2. 4 Test Field II – soil characteristics
Results:
[Blank line 10 pt]
• Location: C-D-E-F section, downstream shoulder of LKAB’s tailings dam in
Malmberget, Sweden
• Expected material: D15 > 4 mm
D50 = 20-50 mm
Dmax = 300 mm
[Blank line 10 pt]
[Blank line 10 pt]
3. USED DRILLING TECHNOLOGIES
[Blank line 10 pt]
3. 1 DTH hammer - setup 1 (W): Wassara W 35 – Lost Hammer Concept (LHC) for
geotechnical drilling application - Concept
[Blank line 10 pt]
• Drilling process = installation process
• Measurement while drilling (MWD) provide safety and information
• DTH hammer is left in the subsurface
• Subsequent use of drill rods as stand pipes
• Filter pipe enables a hydraulic connection
[Blank line 10 pt]
[Blank line 10 pt]

Figure 2. Figure 1. DTH hammer – setup: Wassara W 35
– Lost-Hammer-Concept (LHC) for geotechnical drilling application
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3. 2 DTH hammer - setup 1 (W): Wassara W 35 – Lost Hammer Concept (LHC) for
geotechnical drilling application - Performance
[Blank line 10 pt]
• Operating water pressure [bar]: 180
• Operating hammer frequency [Hz]: 110
• Rate of penetration (ROP) [m/min]: 0.6 (test drillings in Swedish and Italian granite)
[Blank line 10 pt]
[Blank line 10 pt]

Picture 2. The W35 DTH hammer at the drill rig
[Blank line 10 pt]
[Blank line 10 pt]
3. 3 Top Hammer - setup 2 (S) - Continuously casing drilling system (Symmetrix)
[Blank line 10 pt]
• Distinguished pilot bit and subsequent casing bit
• Only the pilot and casing bit are rotating
• O.D. 115 mm; continuous use of flushing water
• Flushing water is lead through the pilot bit towards adjacent soil
[Blank line 10 pt]
[Blank line 10 pt]

Figure 3. Top hammer - setup 2 (S)
[Blank line 10 pt]
3. 4 Top Hammer - setup 3 (OD) - Overburden drilling (OD), protective pre-drilling
[Blank line 10 pt]
• Drill strings are used independently; pre-drilling with casing
• Inner bit and casing are rotating
• O.D. 115 mm; no continuous use of flushing water
• Natural soil plug and casing avoid water contact to adjacent soil
[Blank line 10 pt]
II - 24
[Blank line 10 pt]
Figure 4. Top hammer – setup 3 (OD)
[Blank line 10 pt]
[Blank line 10 pt]
4. INVESTIGATIONS
[Blank line 10 pt]
4. 1 Test Field I
• 2 vertical boreholes (one with filter pipe) with each setup, 3 m
• 1 inclined borehole (18o) with each setup, 3 m
• Weight soundings after drilling
• Evaluation of MWD information
• Excavation of every borehole: Visible observation and sampling of soil adjacent to the drill
pipes
• Grain-size distribution analyses in the laboratory
[Blank line 10 pt]
4. 2 Test Field II
• 1 vertical borehole, 30 m
• Evaluation of MWD information
[Blank line 10 pt]
[Blank line 10 pt]

Graphics 3. The test field map
[Blank line 10 pt]
[Blank line 10 pt]
5. RESULTS AND ANALYSIS
[Blank line 10 pt]
[Blank line 10 pt]

5. 1. Test Field I - MWD
[Blank line 10 pt]
[Blank line 10 pt]

Graphics 4-5. Rate Of Penetration comparison (ROP) and Flow Rate comparison (FR)
II - 25
[Blank line 10 pt]
[Blank line 10 pt]

Graphics 6. Affected soil compaction in the upper layer. Soil variations cause fluctuations.
Depth (m) on X-axis
[Blank line 10 pt]
5. 2. Test Field I - Weight sounding
[Blank line 10 pt]
[Blank line 10 pt]

Graphics 7. Weight sounding results
[Blank line 10 pt]
[Blank line 10 pt]

Graphics 8. Distance to uninfluenced area (measured from bore hole center)
[Blank line 10 pt]
5. 3. Test Field I - Weight sounding
[Blank line 10 pt]
[Blank line 10 pt]

II - 26
[Blank line 10 pt]
[Blank line 10 pt]

[Blank line 10 pt]
5. 4. Test Field I - Grain-size distribution
[Blank line 10 pt]
[Blank line 10 pt]
[Blank line 10 pt]

Graphics 11. Grain-size distribution in silt, sand and gravel
[Blank line 10 pt]
• Avg. distribution curve per setup (based on 3 distribution curves per borehole)
• Shape and slope of each curve are comparable to sample 1 (represents a less affected grain-
size distribution)
• (W) and (S) show a similar pattern while (OD) indicates an increase
• Used soil subject to external influences (construction, mining process)
[Blank line 10 pt]
[Blank line 10 pt]

Graphics 12. Sum of changes: 17% (W), 15.9% (S) and 19.1% (OD)
[Blank line 10 pt]
II - 27
5. 5. Test Field II - MWD
[Blank line 10 pt]
[Blank line 10 pt]

Graphics 13. (DH1): 39 % higher ROP, 35.4 % lower DT
(DH1): Identical ROP as both vertical boreholes of Field I
[Blank line 10 pt]
[Blank line 10 pt]

Graphics 14. (DH1): 40.6 % higher OP, 12.7 % higher FR,
[Blank line 10 pt]
[Blank line 10 pt]

Graphics 15. Coarse material up to Dmax = 300mm cause ups and downs in values.
Significant increased performance in a demanding ground.
[Blank line 10 pt]
[Blank line 10 pt]
6. CONCLUSION
[Blank line 10 pt]
• Average radius of influence from the borehole: Setup 2 = 0.72 m; setup 1 & setup 3 =
0.49 m → 32 % reduction
• Soil disturbance observed (by eye) on-site differs strongly from calculations
• Setup 2 shows a very unevenly radius of disturbance with cavities, caused by highest flow
rates and vibrations
• Setup 3 indicates highest loss of larger grain-sizes and an increased share of low to fine
grain-sizes → highest values of down-thrust and casing vibration
• Setup 1 offers controlled drillings with reduced complexity (no casing, etc.) and highest
penetration rates in soft/ loose and hard/ coarse formations
• 63 % reduction in O.D. when drilling with setup 1 → reduction of penetration risks
[Blank line 10 pt]
[Blank line 10 pt]
II - 28
7. VISIBLE INFLUENCE
[Blank line 10 pt]
7. 1 SET-UP 2 (S)
• Unevenly and large radius of disturbance up to 20 cm with cavities around the pipe wall along the
borehole
• Vertical borehole with filter pipe shows large cavities, irregular filling of filter sand and soil plugs
(disjointed filter sections)
• Filter sand stuck on achieved cavities
• Inclined borehole exhibits the main upflow of water and cuttings, see Picture 4 below
• [Blank line 10 pt]
[Blank line 10 pt]

Picture 3. Influence with Top hammer – setup 2 (S)
[Blank line 10 pt]
[Blank line 10 pt]
7. 2 SET-UP 3 (OD)
• Very small proportion on loosen soil formations without noticeable cavities
• Vertical borehole with filter pipe shows a more regular filling of filter sand along the filter pipe
without soil plugs
• Only a very small share of filter sand stuck on adjacent soils => natural moisture
• Inclined borehole is comparable with vertical boreholes
7. 3 SET-UP 3 (OD)
• Straight borehole without cavities
• Less disturbed borehole alignment
• Cuttings and higher percentage of fines build a small filter zone around the borehole
• Evenly influenced radius around the pipe wall between 5 – 7 cm along the borehole
7. 4 SET-UP 1 (W)
• Evenly influenced radius of
max. 5 cm around vertical pipe walls along the borehole
• Rearrangement by acting flushing water (from the bottom to the top)
• Inclined borehole exhibits the main upflow of water and cuttings
[Blank line 10 pt]
7. 5 SET-UP 1 (W)
• Fine cuttings are building a small filter zone around the borehole
• Straight borehole without cavities
• Radius of soils disturbance is comparable with vertical test boreholes
II - 29
7. 6 SET-UP 1 (W)
• Coarse material with a lower percentage of fines along the hammer due to the operating principle
• Still a very limited influenced area around the borehole, see Picture 4 below
[Blank line 10 pt]

Picture 4. Influence with the Wassara water-powered hammer – setup 1 (W)
[Blank line 10 pt]
[Blank line 10 pt]
8. FUTURE STUDIES
[Blank line 10 pt]
• Drilling investigations in other soil properties/ formations with different water contents
• Drilling in a laboratory scale in correlation with simulations (finite element method)
• Measurement of the existing water pressure around the drill bit
• Further investigations of the effect of applied down-thrust forces
• Use of CFD (computational fluid dynamics) software for analyzing the fluid flow in
connection with different drill bits → further development of bit designs
[Blank line 10 pt]
[Blank line 10 pt]
REFERENCES
[Blank line 10 pt]
Riechers, Jörg (2012): Impact Drilling in Embankment dams – A Comparative study
between Water-powered DTH Hammer Drilling Technology and Hydraulic Top
Hammer Drills, Luleå University of Technology, Department of Civil,
Environmental and Natural resources engineering, Division of Mining and
Geotechnical Engineering, 162 pp.
[Blank line 10 pt]
Full report on:
http://pure.ltu.se/portal/files/39895213/LTU-EX-2012-39827249.pdf
II - 30
The importance of redundancy in the surveillance

of aging dams – the Cahora Bassa experience
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2(14pt) Ilídio Tembe & Ezequiel Carvalho

Hidroeléctrica de Cahora Bassa, Songo, Mosambique
ilidio.tembe@hcb.co.mz
Louis Hattingh
Hattingh Anderson Associates CC, Pretoria, South Africa
Chris Oosthuizen
DS3 Consultants Pty Ltd, Pretoria, South Africa
ABSTRACT:
The paper highlights the importance of redundancy in a large arch dam’s surveillance system
during its intended lifespan especially later in its life. Cahora Bassa Dam, a 170 m high concrete
arch dam located on the Zambezi River in Mozambique, has shown signs of alkali silica reaction
(ASR) soon after its completion in the early 1980s. This case study highlights the importance of
having redundancy in a surveillance system to develop a swelling behavior model for Cahora
Bassa Dam based on observed strains (precision levelling, rod extensometers, Carlson strain
gauges and convergence meters as well as the proper interpretation of the results). This model
includes the effect of confinement on concrete strain rates (swelling) in the different directions as
well as the effect of gallery openings on the swelling of the concrete around the galleries and the
importance of understanding this when interpreting results of observations taking in galleries.
Keywords: Cahora Bassa Dam, surveillance, redundancy, ASR.
1. INTRODUCTION
Cahora Bassa Dam, a 170 m high double curvature concrete arch dam, is located on the
Zambezi River close to Songo in the Tete Province of Mozambique (see Fig. 1).
Construction of the dam that forms part of a 2 075 MW hydro electrical scheme, was
finished in 1976. The rest of the scheme consists of an underground powerhouse on the
right flank complete with upstream intakes and penstocks, 5 power units of 415 MW/480
MVA each as well as downstream surge chambers and tail race tunnels.
An extensive monitoring system provided during construction and subsequently upgraded,

monitors either the loads on the dam or its static and/or dynamic response. See Table 1 for
the extent of the current monitoring system.
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Figure 1. Downstream view of Cahora Bassa Dam
Table 1. Extent of monitoring system of the Cahora Bassa Dam

Type of instrument Loads/responses No. of monitoring points
Staff gauges Water levels 2
Water level recorders 1
Air temperature thermometers Air temperature 2
Carlson thermometers Concrete temperature 124
Piezometers Foundation piezometric pressure 49
Rain gauge
Strong motion seismometers Ground motion response 6
Pendulums Relative horizontal displacement 28
Geodetic survey Relative horizontal displacement 49
Precision levelling Relative vertical displacement 51
Rod extensometers Relative displacements/strains 13
Convergence meters Relative displacements 8
Carlson joint meters Relative displacements 5
Deformeters Relative displacements/strains 169 groups of 3
Carlson strain gauges Strains 294
Creep cells Strains 4
Carlson stress meters Stress 11
Drainage Seepage 451
Carlson pore pressure cells Pore pressure 6
AVM Dynamic response 10
Upon close examination of the monitoring results, signs of alkali silica reaction (ASR)
were soon evident after its completion in the early 1980s. To determine the impact of the
ASR on the safety of an aging concrete arch dam it is essential to determine the present
extent of the reaction and its influence on the structure as well as to try and predict the
extent and continuity of the reaction into the future. As part of a contract to supply
technical assistance to Hidroeléctrica de Cahora Bassa, an independent assessment of the
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monitoring system including the behavior of the dam was conducted by Manitoba Hydro
International in 2013 (MHI: 2013). It is important to note that this paper will only discuss
the strain responses observed in the main body of the dam by the monitoring system.
2. STRAINS
It is clearly evident that the monitoring system provides sufficient redundancy for most of
the responses of the dam. For example strains in the concrete are monitored by precision
levelling, rod extensometers, deformeters, Carlson strain gauges and convergence meters.
It is also important to note that these different instrument systems monitor strains in
different parts of the dam. For the purposes of this paper only the results of the precision
levelling, rod extensometers and Carlson strain gauges are considered.
2.1. Precision levelling
2.1.1 Layout
Precision levelling is done in 3 galleries at levels RL 326 m, RL 296 m and RL 224.75 m
(see Fig. 2).
Right Left
flank flank
Levelling points
Figure 2. Layout of the precision levelling
2.1.2 Results
The observed annual vertical swelling strain rate of the top part of the dam (above
RL 296 m - the part where the effect of gravity is at its minimum – therefore the closest to
the “free” strain rate) is between 35 and 40 micro strain (10 -6 m/m/year) in the center and
left flank of the dam and decreases to around 22 micro strain on the right flank (see Fig. 3).
This is directly related to the relative amount of cement/alkali used in the center and left
(240 to 265 kg/m3 cement) compared to the amount used for the right flank (215 to
225 kg/m3 cement) reported by LNEC (1978). The observed strain rates from the precision
levelling in of the top part in the center of the dam (above RL 296 m) is significantly more
II - 33
than the strain rates observed with the rod extensometers (35 to 40 micro strain compared
to 30 micro strain with the rod extensometer).
The observed annual vertical swelling strain rate of the central part of the dam (between
RL 296 m and RL 224.75 m) is significantly lower - between 11.5 and 13.5 micro strain in
the center and decreases to the flanks to between 7 and 8 micro strain. These strain rates
from the precision levelling are significantly less than the strain rates observed with the rod
extensometers (13.5 micro strain compared to 17 micro strain).
However, when evaluating the total strain rate between RL 326 m and RL 224.75 m, the
same strain rates are evident for both the precision levelling and the rod extensometers
(20.5 micro strain). Finally, when considering the differences between the precision
levelling and the rod extensometers it is important to note that the precision levelling
provides displacements (especially at RL 296 m) relative to the end points where some
swelling could be expected.
50 330.00
45 320.00
40 310.00
35 300.00
Strain rate (10-6m/m/year)
Relative water level (m)

30 290.00
25 280.00
20 270.00
15 260.00
10 250.00
Bl. 20-22, 30 m, Bl. 16-18, 30 m, Bl. 10-12, 30 m,

Bl. 8-10, 30 m, Bl. 4-6, 30 m, Bl. 0-2, 30 m,
5 240.00
Bl. 1-3, 30 m, Bl. 3-5, 30 m, Bl. 7-9, 30 m,
Bl. 11-13, 30 m, Bl. 15-17, 30 m, Bl. 17-19, 30 m,
Water level
0 230.00
95 96 97 98 99 00 01 02 03 04 05 06 07 08 09 10 11 12 13 14
Time
Figure 3. Precision levelling: Annual strain rate of the concrete between RL 326 m and RL 296 m
2.2. Rod extensometers
2.2.1 Layout
A number of rod extensometer installations (4 in total) have taken place since 1998 (see
Fig. 4). In 1998, 5 vertical rod extensometers were installed into the foundation. It is
important to note these installations measure the displacements of the foundation as well as
a small section of concrete. During the second installation in 2006, 7 rod extensometers
were installed to monitor the swelling at the center of the dam. In addition 2 short rod
extensometers were also installed in Blocks 1-3 and 14-16 only in the concrete section
below the peripheral gallery to determine the swelling effect of concrete on the readings of
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the rod extensometers installed in the foundation. Finally 3 horizontal rod extensometers
(with varying lengths) were installed on the right flank as well as the left flank into the
foundation at RL 296 m from the peripheral gallery during 2008 and early 2009
respectively.
Right Left
flank flank
Figure 4. Layout of the rod extensometers
2.2.2 Results
The annual vertical swelling strain rate of the top part in the centre of the dam (above
RL 296 m - the part where the effect of gravity is at its minimum – therefore the closest to
the “free” strain rate) is around 30 micro strain (see Fig. 5). The vertical strain rate, as
expected, decreases with depth with the lowest strain rates of less than 2 micro strain
observed between RL 203.5 m to RL 171.96 m.
Of particular interest is the vertical swelling strain rates of 19 and 23 micro strain observed
at the installations between the peripheral gallery and the rock interface (EB 171 and EB
225 respectively in Fig. 5) when comparing these with strain rates observed at the different
levels in the center of the dam. For example EB 171 (which is not vertically constrained
due to the gallery opening above it) an annual strain rate in the concrete between RL 166.5
m and RL 171 m of 19 micro strain is observed compared to less than 2 micro strain
observed between RL 203.5 m to RL 171.96 m where the concrete is mainly constrained in
a vertical direction.
This provides a clear indication of the effect of gallery openings on the local strain
behavior of concrete. This must always be kept in mind when analyzing the results of the
rod extensometers, the precision levelling as well as the Carlson strain gauges.
II - 35
50.00 330.00
45.00 325.00
40.00 320.00
35.00 315.00
Strain rate (10-6m/m/year)
EB 326, Block 1-3, RL 326 m to RL 296,

EB 296, Block 0-1, RL 296 m to RL 271,
30.00 310.00
EB 271, Block 0-1, RL 271 m to RL 248.55,
EB 248, Block 0-1, RL 248.5 m to RL 227.2,
25.00 EB 224, Block 0-1, RL 224.75 m to RL 206.15, 305.00
EB 203, Block 0-1, RL 203.5 m to RL 171.96,
EB 171, Block 1-3, RL 171 m to RL 166.5,
20.00 EB 225, Block 14-16, RL 224.75 m to RL 220.83, 300.00
Water level
15.00 295.00
10.00 290.00
05.00 285.00
00.00 280.00
98 99 00 01 02 03 04 05 06 07 08 09 10 11 12 13 14
Time
Figure 5. Rod extensometers: Annual strain rate of the concrete
2.3. Carlson strain gauges
2.3.1 Layout
The Carlson strain gauges have been installed in groups of 1 (one dimensional), 5 (two
dimensional in tangential direction) and 9 (three dimensional) instruments each
respectively during construction (see Fig. 6 for the layout and Fig. 7 for the typical strain
directions for each installation). It is important to note that each of these installations
include a single “no-stress” strain gauge installed in a vertical direction.
2.3.2 Results
From the “no stress” strain gauges at the top of the wall (see Fig. 8) annual vertical
swelling strain rates of between 20 and 35 micro strain are evident (similarly to the rod
extensometer results, this is the part where the effect of gravity is at its minimum –
therefore the closest to the “free” strain rate – one could conclude a minimum “free” strain
rate). This is similar to what is observed from the rod extensometer results in the same
area.
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Right Left
flank flank
1D with vertical “no stress”

2D with vertical “no stress”
3D with vertical “ no stress”
Figure 6. Layout of the Carlson strain gauges
“no stress”
11
Left bank
1 dimensional installation of
1 instrument & 1 “no stress”
Downstream 2 dimensional installation of

5 instruments & 1 “no stress”
3 dimensional installation of
9 instruments & 1 “no stress”
Figure 7. Carlson strain gauges: Strain directions for the different installations
II - 37
1200.00 330.00
1000.00 320.00
800.00 310.00
600.00 300.00

Strain (10-6m/m)
400.00 290.00
200.00 280.00
"Free" strain rates mostly range
between 20 and 35 x 10-6
.00 G1 B 20-22 RL 319 270.00

G2 B 20-22 RL 319
G3 B 10-12 RL 320
G4 B 10-12 RL 320
-200.00 G5 B 0-2 RL 303.5 260.00
G6 B 0-2 RL 303.5
G7 B 9-11 RL 320
G8 B 9-11 RL 320
-400.00 G9 B 19-21 RL 321 250.00
G10 B 19-21 RL 321
Water level
-600.00 240.00
74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 00 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15
Time
Figure 8. Carlson strain gauges: “Stress free” strain at the top of the dam wall above RL 300 m
Table 2. Carlson strain gauges: Average strain rates excluding those around the spillway openings
Average strain rate (micro strain/year)
Strain direction (instrument number 1 m from 1 m from upstream
– see Fig. 7) downstream face Centre of block face
Vertical (3) 16.7 17.0 15.6
Upstream/downstream (Radial) (2) 25.8 9.33 26.5
“No stress” (11) 24.0 16.5 25.7
When analyzing the average “no stress” strain rates, it is evident that the average “stress
free” swelling strain rates across the dam is approximately 25 micro strain (see Table 2).
The effect of confinement/stress is also evident through the dam section with the average
radial strain rates of around 25 micro strain close to both and downstream and upstream
faces decreasing to a round only 9 micro strain at the center as well as decrease of the “no
stress” strain rates from 25 to 16 micro strain in the center of the section. It is important to
note that in general there is no significant change in the vertical strain rates through the
section of the dam.
The apparent “stress free” strain rates as expected decreases with depth to around 20 micro
strain at level RL 203 m. This most probably could be attributed to the fact that these
“stress free” strain gauges are not completely stress free due to the installation
methodology and possibly, to a lesser degree, the decrease in concrete temperature in the
central part of the dam body with a decrease in relative level (3 to 4 degrees from top to
bottom) and its influence on the rate of swelling.
Finally the same differences in strain rate at the upper levels between the right flank and
the center and left flank due to difference in cement/alkali contents of the concrete
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observed from the results of the precision levelling is also evident from the results of the
Carlson strain gauges.
3. CONCLUDING REMARKS
Using the strain results of the different monitoring systems a quite clear picture of the
strain behavior of the dam is evident. Also evident is the impact of openings on the strain
behavior of the concrete especially in the vicinity of the galleries as well as the impact of
confinement on strain (strain rates significantly decrease with an increase of confinement).
This preliminary model on the swelling behavior of Cahora Bassa Dam would not have
been possible if only one particular instrument type was used for monitoring strain.
The strain rates of the different monitoring systems correlate extremely well when
considering the impact of gallery openings on the actual strain rates and the position of the
different monitoring points relative to the different galleries. This preliminary assessment
of the expansion strain rate information does not indicate any decrease in the rate of ASR
at this time. Depending on the cement/alkali content of the concrete, annual “free” swelling
strain rates for the main body of the dam ranges between 20 and 35 micro strain.
The results of the Carlston stress gauges and strain gauges will however have to be studied
in more detail to compile a comprehensive swelling model.
ACKNOWLEDGEMENT
The authors wish to express their gratitude to all other present and past members of the Dam Safety
section of Hidroeléctrica de Cahora Bassa (HCB) that contributed in some or other way to the
development of the above-mentioned paper. The Board of Hidroeléctrica de Cahora Bassa (HCB)
are thanked for the permission to publish this paper. The opinions expressed are however those of
the authors and do not necessarily reflect the views of HCB.
REFERENCES
LNEC. (1978): O Cimento e betão das obras de Cahora-Bassa, Report, NEE, Lisbon,
Portugal.
MHI (2013): Evaluation of the monitoring system & Independent assessment of the dam
performance, Report authored by Louis Hattingh & Chris Oosthuizen, May 2013,
Hidroeléctrica de Cahora Bassa, Songo, Mozambique.
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Dam Svartevatn
An example of challenging upgrading of a large rockfill dam
2(14pt)
P. H. Hiller, L. Lia
Department of Hydraulic and Environmental Engineering,
Norwegian University of Science and Technology, NTNU
S. P. Andersens veg 5, NO-7491 Trondheim, Norway
priska.hiller@ntnu.no
P. M. Johansen
Norconsult AS,Vestfjordgaten 4, NO-1338 Sandvika, Norway
R. Guddal
Sira-Kvina Kraftselskap, Pb. 38, NO-4441 Tonstad, Norway
ABSTRACT:
Dam Svartevatn, built in 1973-1976, is the second highest rockfill dam in Norway (H = 129 m).
After a mandatory reassessment, the dam needed a major upgrading to meet the current dam safety
requirements. The main reason was that the dam crest dimensions, freeboard and width did not
satisfy the requirements for a dam in the highest consequence class.
The upgrading works included raising of the dam crest by 1.5 m, reestablishing the downstream
slope from 1:1.35 (vertical: horizontal) to 1:1.5 and hence rebuilding the downstream slope by
adding in total about 430’000 m³ of rockfill and a new riprap cover. Creative solutions were
needed, to access the downstream slope of the dam, to meet dam safety and environmental
requirements as well as to guarantee safe working conditions. The landscape in the dam area had
to remain unaffected, because dam Svartevatn is located in an environmental protected area. The
chosen solution was to construct a temporary access road with an inclination of 1:4 on the existing
dam and to place 85 000 m3 of riprap on the downstream slope, by reversing the dumpers up and
down the very steep access. The upgrading of the dam started in 2011 and is will be finished in
2014. The total cost for the works is estimated to 150 million NOK (25 million USD).
Furthermore, the Norwegian University of Science and Technology takes the opportunity to use the
facilities at the construction site for research. Full scale tests of riprap protection under
overtopping conditions were run, using the bottom outlet of the dam for discharge.
This paper gives a brief introduction to rockfill dams in Norway, describes the challenges and
solutions of the upgrading works at dam Svartevatn and specifies the research site.
Keywords: Rockfill dam, dam safety, upgrading, riprap, steep slope
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1. INTRODUCTION
In Norway, there are 182 rockfill dams higher than 15 m (NVE, 2014). 87 % of these dams
were finished before 1990 (Kjærnsli et al., 1992). Hence, the focus in Norwegian dam
engineering has shifted from construction to maintaining the existing structures. Improved
knowledge and changing politics cause adjustments in existing dam safety regulations. In
addition, basic conditions as for example precipitation might change over time. As a
consequence, some existing dams may no longer meet the current regulations. Such dams
need to be upgraded to fulfill the required level of safety.
The aim of this article is to present the upgrading of a large rockfill dam with the example
of dam Svartevatn. The chosen solution as well as experiences from the site will be
discussed. Complementary, the current dam safety regulations for rockfill dams in Norway
are presented in the first part with focus on the downstream slope protection. In accordance
to improve knowledge about riprap on rockfill dams, a research site is established close to
dam Svartevatn and described in the third part before the conclusions.
2. DAM SAFETY REGULATIONS IN NORWAY
The dam owners in Norway are fully responsible for the safety of their dams. The
Norwegian Water Resources and Energy Directorate (NVE) ensures that the owners
comply with the requirements in law and regulations. NVE is a directorate under the
Ministry of Petroleum and Energy (OED) which is the governmental authority for dam
safety. The Regulation on dam safety (OED, 2009) promotes the safety of hydraulic
structures and aims to prevent damage on life, property and environment, as described in
detail by Midttømme et al. (2010). Dams are classified into five classes according to
consequence in case of dam failure, whereof class 4 is the highest, implying to affect more
than 150 houses, important roads, railway or infrastructure for life and safety or large
damage in the environment or on property. Of the 182 high rockfill dams in Norway, 65 %
are in the two highest consequence classes, including dam Svartevatn which is placed in
class 4. The Regulation on dam safety (OED, 2009) has fully retroactive effect. This
implies that all dams, independent of the year of commissioning, have to comply with the
current regulation. Otherwise, the dams have to be upgraded. The guidelines for
embankment dams (NVE, 2012) contain recommendations on how to comply with the
requirements.
2.1. Requirements for rockfill dams
The requirements described below and in Table 1 obtain for rockfill dams in consequence
class 4 as specified in the Regulation on dam safety (OED, 2009). For embankment dams,
the water level in the reservoir is crucial for dam safety. If the water level rises above the
impervious core or if there is a substantial leakage, erosion may start and a dam break
might be the fatal consequence. Therefore, the regulation requires sufficient freeboard,
functional spillway and a spillway crest which is decisive for the flood discharge. The
required freeboard will be based on the design flood water level (DFWL), which is the
water level in the reservoir during a flood with a return period of 1000 years (Q1000). In
case of the probable maximum flood (PMF), damages on the structure are acceptable, as
long as the dam remains stable. The calculations for the design flood and the
corresponding reservoir water level have to be repeated with updated input values when
II - 41
the dams are periodically reassessed. If necessary, the dam and its related structures need
to be adapted to cope with the recalculated design flood. The design flood may increase in
some areas, because of climate change, discharge data of longer periods and more
sophisticated methods for calculations. For the region of dam Svartevatn, a study about
floods in Norway under a future climate (Lawrence and Hisdal, 2011) recommends to
assume an increase of 20% for the Q1000 due to future climate change. To adapt the
structure in case of increased DFWL, the dam owner can either expand the spillway
capacity, increase the dam height and thereby the retention of the reservoir or reduce the
full supply water level (FSWL). The FSWL is a term in the license for a hydropower plant.
It is only possible to change the FSWL if a respective revision of the license is approved
by NVE. Combinations of the mentioned measures to adapt for increased DFWL are
possible. The requirements for the dam crest, freeboard and protecting layer are
summarized in Table 1. Furthermore, sufficient camber of the dam core and crest should
compensate for settlements. Structural changes of a rockfill dam usually include major
effort. Large volumes of rockfill have to be added to the dam from bottom to top in order
to heighten the dam and widen its crest. In addition, the required riprap on the downstream
slope has to be rebuilt.
Table 1 Requirements for class 4 rockfill dams with a central moraine core according to the
Regulation on dam safety (OED, 2009) and specific on the example of dam Svartevatn before and
after upgrading.
Requirement Dam Svartevatn
before after
Width of the dam crest ≥ 6.5 m 5.5 to 7.0 m 6.5 m
Freeboard from FSWL to dam crest ≥ 6 m 2.9 to 4.2 m 6.0 + 0.4 m
Extent of the crest protecting layer ≥ 6 m below FSWL No distinct extent As required
2.2. Riprap protection of the downstream slope
The Regulation on dam safety (OED, 2009) requires an erosion protection on the
downstream slope of rockfill dams which includes placing oblong stones in an interlocking
pattern with the longest axes of the stone pointing towards the dam axes. The term “placed
riprap” will be used for riprap with interlocking between individual stones. Oblong stones
are stones with one axis that is considerably longer than the other two axes. The reason for
constructing a placed riprap on the downstream slope is to protect the dam from erosion
caused by substantial leakages or overtopping of the dam. Such explicit requirements are
unique and similar requirements from other countries have not been found so far. The
common practice in Norway is described by Lia et al. (2013).
The equation in the guidelines for embankment dams (NVE, 2012) to determine the
minimum stone size of the riprap is modified from laboratory and field test from a research
program about dam breach mechanisms (EBL, 2005). Solvik (1991) previously
investigated on small scale models the stability of stones in the dam toe and includes also
results for randomly placed riprap on the downstream slope. However, no tests included a
placed riprap protection. Therefore, a current research project aims to find the contribution
to stability from placed riprap on slopes with an inclination of up to 1:1.5 (vertical:
horizontal). Scarce literature about placed riprap on steep slopes (steeper than 1:2) has
been found. Abt et al. (2013) presented a summary about overtopping riprap design
relationships. However, the revised experimental data covers riprap without interlocking
pattern and with gentle slopes. Only 4 of the 96 data points are from slopes with an
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inclination of 1:2. Peirson et al. (2008) found an increased resistance of 30 % for placed
riprap compared to dumped one for slopes up to 1:2.5. Lia et al. (2013) presented
preliminary results which indicate a considerably increase in stability for placed riprap
with oblong stones compared to riprap with random placement. Consequently, there is a
need for quantification and verification for the stability of placed riprap of oblong stones to
determine the effective stability achieved on the downstream slope of rockfill dams.
3. EXAMPLE DAM SVARTEVATN
Dam Svartevatn was constructed during the years 1973 to 1976. The dam is a rockfill dam
with an upstream sloping core of moraine, filters of natural sandy gravel and transition
zones, supporting fill and riprap of quarried rock as shown in Figure 1 and Figure 2. The
dam has a maximum height of 129 m and a crest length of 400 m. The total volume of the
dam is approximately 4.7 million m³.
Figure 1 Photo of dam Svartevatn with its steep abutments after construction.
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Figure 2 Dam Svartevatn – cross-section. 1 – Moraine core; 2 – Filter zones; 3 -Transition zones; 4
– Supporting fill of quarried rock; 5 – Riprap; 6 – Crown cap; 7 – Grout curtain; levels in m a.s.l.
The level of the core was constructed to a height of 900.5 m a.s.l. plus a camber of 0.5% of
the dam height. The Svartevatn dam has a substantial number of measurement points, and
was by far the most monitored dam in Norway. The instrumentation includes 30 pore
pressure transducers at eight levels in the core, 141 survey monuments, 8 inclinometer
casings, 28 extensometers, 60 earth pressure cells and a seepage weir (DiBiagio, 2011).
The FSWL is at elevation 899.0 m a.s.l. The dam has a fixed crest spillway with an
effective length of 125 m. The floods are taken through a shaft, inclined at 1:1, and a
horizontal tunnel in the downstream end. The tunnel spillway has a capacity of maximum
310 m³/s. The reassessment of the dam started in 1997 by the Norwegian Geotechnical
Institute (NGI), later revised by Norconsult AS in 2003. The main deviations of the dam
compared to the present regulations were:
1. Freeboard from FSWL to crest level and from DFWL to top of core was too small
2. Riprap stones at crest were too small
3. Spillway capacity of fixed crest shall be decisive for the flood discharge, not the
shaft/tunnel
According to the regulations, the required freeboard from the FSWL to the crest shall be
minimum 6.0 m for a dam in class 4. Further, it is a general requirement that the freeboard
from the design flood level to the top of the core shall be 0.5 m. For dams in class 4 the
size of the riprap stones at the crest down to 6.0 m below the FSWL, on both up- and
downstream slopes shall be minimum 1.0 m³.
According to the Norwegian regulations for fixed crest spillways, the capacity of the fixed
crest spillway shall govern the total capacity of the spillway arrangement. As the spillway
shaft has a capacity of 310 m³/s, the crest length of the existing spillway had to be reduced
from 125 m to 48 m to adapt the capacity of the spillway to the one in the tunnel. The
resulting calculated elevations for the design flood (Q1000) and PMF will be 900.32 m and
902.14 m a.s.l. respectively. It may be indeed difficult to understand that a shortening of
the length of the spillway crest will increase the safety of the dam. Figure 3 and Figure 4
show the present upgrading of dam Svartevatn for the top and the toe of the dam.
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Figure 3 Upgrading of dam Svartevatn, cross section of the dam top. The additional rockfill is
shown in orange. 6A – New crone cap; HRV – FSWL; Thicknesses in m; Elevations in m a.s.l.
Figure 4 Upgrading of dam Svartevatn, cross section at the dam toe. 4 (orange) – Additional
rockfill; 4B (green) – Additional rockfill with higher permeability than 4; 5 – placed riprap;
Thicknesses in m; Elevations in m a.s.l.
The volume of added quarried rock exceeds 400 000 m³. Before the tendering phase,
several options were discussed for constructing the additional rockfill in the downstream
slope, as the abutments on both sides are very steep (> 1:1). An alternative with an
integrated road on berms up the slope would increase the volume by more than 50 000 m³.
The final option in the tender documents was to suggest access via a tunnel at the right
abutment, at approximately mid-height, using two elevations. However, the contractor,
given the contract, suggested to construct the dam in two "triangles"; first triangle from
approximate elevation 822 m a.s.l. to the top of the dam, using a road at the very steep
slope of 1:4 and some places of 1:3,2. The construction sequences are given in Figure 5.
The contractor, Veidekke AS, equipped the haulers with oversized brakes, and no major
accidents have been recorded.
II - 45
The riprap had to be reconstructed because of the additional rockfill on the downstream
slope. It was constructed with stones of minimum 0.25 m3 and a horizontal zone thickness
of 2.0 m for the lower part and 1.0 m3 for the upper part of the slope (horizontal zone
thickness of 3.0 m), from FSWL to 6.0 m below on both slopes. The riprap was
constructed using a backhoe machine, placing each stone individually. The outer stones
shall be placed with an inclination to the horizontal, in the inward direction.
a) b)
c) d)
Figure 5 Construction sequence, dam Svartevatn: a) Construction of dam toe up to elevation 822 m
a.s.l. (2012); b) and c) Construction to the top of the dam (elevation 905 m a.s.l., July 2013).
d) Construction from the top (from July 2013).
The remaining work is to excavate the crest of the dam down into the core at
approximately the FSWL-elevation, and to construct the new crest with the sufficient
freeboard according to the regulations. Further, the spillway crest will be reduced during
2015.
4. RESEARCH SITE AT DAM SVARTEVATN
The example of the upgrading works at dam Svartevatn shows that the construction of
placed riprap on the downstream slope is time consuming and requires selection of
adequate stones as well as careful placement one by one. Hence, resources are used to
achieve a still unknown high level of safety, as the stability gain of placed riprap is not
quantified. A recent research project aims to increase the understanding of placed riprap of
oblong stones on slopes with an inclination of up to 1:1.5. In order to get complementary
measurements to laboratory tests, a test site was established close to dam Svartevatn to do
large scale field tests. Water from the reservoir can be discharged through one of the
bottom outlets. Discharges from 0 - 150 m³/s are possible at the test site. The water enters
the river through a tunnel and a 35 m long channel which is blasted in rock and shaped like
II - 46
a flume 10 m wide and 4 - 6 m deep (Figure 6). Riprap stones are available from the quarry
and 4 m high test dams can be constructed.
In 2012 and 2013 some preliminary tests were run at the test site. The test dams built in the
channel were 3.5 m high. The slopes had an upstream inclination of 1:1 and downstream
1:1.5. In 2012 Lia et al. (2013) found that the stability of the riprap increases significantly
with increasing the inclination of the oblong stones related to the dam axis. The two test
dams with a stone inclination of 63 and 71 degree did even withstand unit discharges up to
8.3 m³/(s∙m). To achieve failure of the riprap, it was chosen to reduce the riprap size from
500 – 1100 mm to 350 – 700 mm for the tests in 2013. In addition, the dam would fail at
lower discharges and some instabilities in the flow conditions for discharges over 5
m³/(s∙m) should be avoided. Two tests were run with a stone inclination of 30 degrees. The
bottom of the dam (dam toe) and the sides were protected with larger stones to prevent
failure in the borders (Figure 6). The first dam failed at 6.5 m³/(s∙m) and the second at 2
m³/(s∙m), shown in Figure 7.
Figure 6 Start setup of test 2 in 2013. Larger Figure 7 Test dam 2 in 2013 one second after
riprap stones are used in the bottom and on the initial failure. The failure area is within the
sides of the test dam (Photo: S. R. Skilnand). yellow circle (Photo: S. R. Skilnand).
The reason for the difference in unit failure discharge was varying quality of the built
riprap. The quality depends on the shape of the available stones, the skills of the excavator
driver and if the excavator equipment is in line with the stone size. The challenge for future
field tests as well as for laboratory tests is to find a consistent way to describe the placed
riprap and the interlocking pattern as indications of the riprap quality. This is necessary to
avoid major construction issues for the stability of placed riprap and can be used as a tool
for quality control under construction.
It is planned in 2014 to test measuring equipment which can be placed inside of riprap
stones. The test rig will be optimized according to the experiences from the previous years.
The riprap stone size will be adapted to full scale or that the weight of the stones allows
final placing by hand. The research project deals with the surface protection of rockfill
dams and does not replace an additional geotechnical analysis of the whole dam.
5. CONCLUSIONS
When dam Svartevatn was built in the mid-seventies it was looked upon as the "state of the
art" and the design and specifications were in many ways a guideline to the forthcoming
Norwegian dam regulations of 1981 (Høeg et al., 1993). However, politics and the focus
on safety in the society are not as durable as rockfill dams and will change over time. NVE
II - 47
introduced a new classification system, including a new consequence class 4. As the
Norwegian dam safety regulation has fully retroactive effect, the dam Svartevatn had
deviations to the new regulations regarding freeboard and crest dimensions required for a
class 4 dam. Hence, the dam had to be strengthened by constructing a "new" downstream
slope, to be able to heighten the crest level to the required level, with the required width.
The construction work will be finished in 2014, and the construction has been carried out
very satisfactory and without any major accidents.
Dam Svartevatn is still a place for further development of knowledge. A field test site at
dam Svartevatn gives the opportunity to do large scale test which are beyond the
possibilities in indoor hydraulic laboratories. The key challenge in a recent research project
is to find a consistent way to describe the quality of placed riprap and to quantify its
stability. Preliminary results from large scale tests showed that the quality of the placement
and the inclination of oblong stones had significant effect on the stability.
ACKNOWLEDGEMENT
We will thank Sira-Kvina Power Company for the opportunity to use the test site and technical
support during the tests. We will also thank Energy Norway for funding the research.
REFERENCES
Abt, S. R., Thornton, C. I., Scholl, B. A., Bender, T. R. (2013): Evaluation of overtopping
riprap design relationships, Journal of the American Water Resources Association,
49: 4, pp. 923-937, DOI: 10.1111/jawr.12074.
DiBiagio, E. (2011): Instrumentation and Measurement in dam Engineering, Dam Safety
Program, International Center of Hydropower, Trondheim, Norway.
EBL (2005): Stability and breaching of embankment dams, Report on Sub-project 2,
Stability of downstream shell and dam toe during large through-flow, report 186-
2005, EBL Kompetanse AS, Oslo, Norway.
Høeg, K., Valstad, T., Kjærnsli, B. & Johansen, P.M. (1993): Norwegian Experience with
Embankment dams, Technical Symposium on Maintenance of older dams,
Chambery, France.
Kjærnsli, B., Valstad, T., Høeg, K. (1992): Rockfill dams: design and construction,
Norwegian Institute of Technology, Trondheim, Norway.
Lawrence, D. & Hisdal, H. (2011): Hydrological projections for floods in Norway under a
future climate, Report no. 5-2011, pp. 42-43, Norwegian Water Resources and
Energy Directorate (NVE), Oslo, Norway.
Lia, L., Vartdal, E. A., Skoglund, M., Campos, H. E. (2013): Rip rap protection of
downstream slopes of rock fill dams - a measure to increase safety in an
unpredictable future climate, 9th ICOLD European Club Symposium, ITCOLD,
Venice, Italy.
Midttømme, G. H., Grøttå, L., Hyllestad, E. (2010): New Norwegian Dam Safety
Regulations, 8th ICOLD European Club Symposium, pp. 351-355, Verlag der
Technischen Universität Graz, Graz, Austria.
NVE (2012): Guidelines for embankment dams (Veileder for fyllingsdammer), Veileder
4/2012, Norwegian Water Resources and Energy Directorate (NVE), Oslo,
Norway, (in Norwegian).
NVE (2014). Norwegian dam database (Damdatabase SIV), Norwegian Water Rescources
and Energy Directorate (NVE), [accessed 4. Feb. 2014], (in Norwegian) .
II - 48
OED (2009): Regulation on dam safety (Forskrift om sikkerhet ved vassdragsanlegg),
FOR-2009-12-18-1600, Ministry of Petroleum and Energy (OED), available at
www.lovdata.no [accessed 24. Jan. 2011], (in Norwegian).
Peirson, W. L., Figlus, J., Pelles, S. E., Cox, R. J. (2008): Placed rock as protection
against erosion by flow down steep slopes, Journal of Hydraulic Engineering, 134:
9, pp. 1370-1375, DOI: 10.1061/(ASCE)0733-9429(2008)134:9(1370).
Solvik, Ø. (1991): Throughflow and stability problems in rockfill dams exposed to
exceptional loads, 17th Congress on Large Dams, 4:67, pp. 333-343, International
Commission on Large Dams, Paris, France.
II - 49
Dynamic Analysis of Seismic Behavior of Raised Concrete Gravity Dam

hhdTTjjhkljdjjsgshjhfsdkjhskslsl;s;s;;s;;s;;sjsjkjffffrtttttttfggjfgjgkfkjkjf
during Large Earthquake fffffjfjjfkkfjjj
2(14pt)
Masafumi KONDO, Takayuki SHIDA, Yasufumi ENOMURA

Public Works Research Institute (PWRI), Tsukuba, Japan
ma-kondo@pwri.go.jp
Takashi SASAKI
National Institute of Land and Infrastructure Management (NILIM), Tsukuba, Japan
ABSTRACT:
Raising the height of existing dams can be one of the most effective solutions to meeting the
changing needs of flood control and water use in river basins. Meanwhile, evaluating the structural
safety of dams against large scale earthquakes is one of the most important issues in the
construction of new dams and the sustenance of existing dams.
In this paper, the seismic behavior of raised concrete gravity dams during large scale earthquakes
is investigated through the use of numerical simulations, including a linear analysis and a non-
linear dynamic analysis that considers the crack propagation accompanied by tension softening of
dam concrete.
The analyses revealed that the damage caused to a raised concrete gravity dam resulting from a
large earthquake is not the same as that of a newly constructed dam with the same shape. Further,
it was determined that the damage depends on the height of dam raising and the water level of the
reservoir during the raising work. Based on these results, it was pointed out that when evaluating
the effect of seismic motion on a raised concrete gravity dam through the use of dynamic analysis,
the process of raising work, including the placement of new concrete, and the actual water level of
the reservoir during the raising work should be properly taken into consideration.
Keywords: upgrading, raising, concrete gravity dam, earthquake, dynamic analysis
1. INTRODUCTION
Dams are required to maintain their functions for very long periods. As a result, dams are
sometimes required to adapt their functions to the changing situations of river basins, such
as changes in rainfall characteristics and water demand. Under such circumstances, a dam
upgrade project to enhance the functions of an existing dam may be more favorable to
constructing a new dam. Raising an existing dam to increase its reservoir capacity is one of
the most common methods to upgrade a dam. In Japan, among the options for upgrading
existing dams, raising an existing concrete gravity dam, which is the subject of this paper,
is most commonly selected.
At the same time, in Japan, ensuring structural safety against large earthquakes is a very
important issue. Therefore, for both new and existing dams, including those which were
II - 50
designed in accordance with present structural design standards, efforts have been made to
conduct seismic performance evaluations that, based on the most recent findings of
surrounding active faults and plate boundaries, consider earthquake scenarios that would
cause the strongest ground motion at each dam site. With regard to concrete gravity dams,
Japanese draft guidelines for seismic performance evaluations of dams (MLIT, 2005),
hereinafter called the Guidelines, require an estimation of earthquake induced damage,
including crack propagation of a dam's body, by using non-linear dynamic analysis that
considers tension-softening of dam concrete. Further, judgment of whether the expected
damage would cause an uncontrolled release of reservoir water is also required.
Nevertheless, the seismic behavior of raised concrete dams during large earthquakes is yet
to be fully understood. To evaluate the seismic safety of a raised dam appropriately, it is
necessary to consider several characteristics that are unique to dams of this type. Among
them is the stress distribution characteristics on the inside of a dam body under usual (non-
earthquake) conditions. In the case of a raised dam, the self-weight of the dam body as well
as the hydraulic loading increase after the raising work completes. Such changes in loading
condition produce stress redistribution within the dam body. In order to appropriately
evaluate the structural safety of a raised dam against large earthquakes, it is necessary to
consider these processes which determine the initial stress state, a factor which affects the
stress state during an earthquake.
In this research, the seismic behavior of a raised concrete gravity dam during a large
earthquake is simulated by considering the above-mentioned matters and by using linear
and non-linear dynamic analyses. Based on the results of the numerical simulations, the
stress distribution calculated by linear analysis and the damage region expected by non-
linear analysis which considers crack propagation under large seismic of a raised dam are
compared with that of a newly constructed dam with the same cross sectional shape and to
cases of different height raises.
In addition, the effect of differences in reservoir water levels during the raising work is
investigated. The water level condition is often subject to the function of the dam required
even during the raising work as well as the condition of the raising work, and also possibly
affects the stress state of a raised dam.
2. OUTLINE OF NUMERICAL ANALYSES
Assuming that a concrete gravity dam is raised directly on the same axis as the existing
dam by increasing its width on the downstream face side, both the stress state under usual
(non-earthquake) conditions and the seismic behavior during a large earthquake were
analytically investigated using the numerical simulations. The stress state under usual
(non-earthquake) conditions was simulated by using linear analysis with a two-dimensional
finite element model, consisting of a dam body, foundation and reservoir water. The
dynamic behavior of the raised dam under large earthquakes was simulated by using the
linear and non-linear dynamic analyses. The non-linear dynamic analysis was performed
using the smeared crack model by considering crack propagation caused by tension
softening of dam concrete. An analysis code of ISCEF was used for these simulations.
The analysis was performed for a total of 7 cases, as shown in Table 1. The height of the
model dam (new or raised) in each case was equal to 90 m. Case 1 is a model of a newly
constructed dam with the same height and cross section shape as the basic model of a dam
II - 51
that is raised from 70m to 90m (Case 3). The Case 2 and 4 are models of a raised dam with
different raised heights from Case 3. Another three cases (Cases 3a, 3b and 3c) are models
with different water levels during the raising works. The heights of the existing dam in
these cases are the same as Case 3.
As an example, the analysis model of Case 3 is illustrated in Fig. 1. For each case, the
slope of the upstream face is vertical. The slope of the downstream face of the existing
dam was set to the steepest ratio, a ratio at which tensile stress was not generated at the
heel of the dam body when applying a static analysis based on the beam theory by
assuming a horizontal seismic coefficient of 0.10 and an uplift coefficient of 0.33. The
slope of the downstream face for the raised part of each of the raised dam models and the
newly constructed dam model (Case 1) was set to 1:0.86. This ratio was equivalent to the
steepest slope at which the tensile stress was not generated at the heel of the dam body in
the basic model of a raised dam (Case 3), when the traditional static analysis to determine
the basic sectional shape of a raised dam by considering the increased weight of the dam
body and hydraulic loading. With these conditions, the value of the safety factor for shear
sliding along the dam base was not less than the value required by the Japanese design
standard (=4.0) when the pure shear strength of foundation rock (τ0) was greater than or
equal to 1.6 N/mm2 and the internal friction angle φ = 45°. This level of shear strength is
generally required for foundation rock of concrete gravity dams.
Table 1 Analysis cases
Dam height (m) Reservoir water level (m) Downstream surface slope
Case
Existing After During raising After After
(Model) Existing dam
dam raised works raised raised
1 Newly constructed 90 85 1:0.86
2 Raised 50 90 40(80%) 85 1:0.71 1:0.86
3 Raised 56(80%)
3a Raised 42(60%)
70 90 85 1:0.74 1:0.86
3b Raised 21(30%)
3c Raised 0(empty)
4 Raised 80 90 64(80%) 85 1:0.75 1:0.86
Raised part
Reservoir
Existing dam
A B C
Foundation rock
Fig. 1 An example of finite element model of raised dam (Enlarged view around dam body)
II - 52
The physical properties of dam concrete and foundation rock used in analyses are shown in
Table 2. The tension-softening characteristic of dam concrete that were assumed for the
non-linear dynamic analysis is shown in Fig. 2. The stress at the start of the tension
softening was assumed to be equivalent to the tensile strength of the concrete in Table 2,
and the value for fracture energy Gf was set to 300N/m, considering the experimental
formula for dam concrete proposed by Horii, et al.(2000);
G f  (0.79Gmax  80)  ( f 'ck / 10) 0.7
where f ’ck (N/mm2) is the compressive strength of dam concrete and Gmax (mm) is the
maximum aggregate size. The value of Gf shown above was set by assuming f’ck=
24N/mm2 and Gmax=150mm. The joint between existing dam body and raised part was
assumed to be well integrated and modeled by using linear joint elements with a stiffness
equivalent to dam concrete.
The horizontal and vertical components of input earthquake motion that were used for the
dynamic analysis are shown in Fig. 3. This earthquake motion was generated from a wave
form observed during the Southern Hyogo Prefecture (Kobe) Earthquake in 1995 (Mw*
6.9, *moment magnitude) at the base of a concrete gravity dam near the epicenter by
modifying its amplitude to meet the minimal acceleration response spectrum for the
seismic performance evaluation shown in the Guidelines (MLIT, 2005). Moreover, in order
to clearly understand the differences in damage (cracks) generation under the different
analysis conditions, the non-linear analysis was also performed for the earthquake motion
with twice the amplitude of the earthquake motion shown in Fig. 3.
Table 2 Physical properties used for the analysis.
Density Modulus of elasticity Poisson Tensile strength Fracture energy

(kg/m3) (N/mm2) ratio (N/mm2) (N/m)
Dam body 2,300 25,000 0.2 2.0 300
Foundation rock 2,300 25,000 0.3
Tensile stress
Fracture energy
Softening initiation
Gf (300 N/m)
stress (2.0N/mm2)
0.5 N/mm2
Crack width
0.1125 mm 0.75 mm
Fig. 2 Tension softening diagram of dam concrete assumed for non-linear analysis
400 400
Vertical input earthquake
)
(a)Horizontal
上下流方向入力地震波形direction (b)Vertical
鉛直方向入力地震波形 direction
2
2
300 300
加速度(cm/s(cm/s
加速度(cm/s(cm/s
200 200 motion profile

2)
2)
100 100
Acceleration
Acceleration
0 0
-100 -100
-200 -200
-300 Peak:341cm/s2 -300 Peak:213cm/s2
-400 -400
0 1 2 3 4 5 6 7 8 9 10 11 0 1 2 3 4 5 6 7 8 9 10 11
時間(sec)
Time (sec) 時間(sec)
Time (sec)
Fig. 3 Earthquake motion for dynamic analysis
II - 53
3. ANALYSES RESULTS AND DISCUSSIONS
3.1. Stress distribution calculated from linear analysis
The initial stress distribution inside the dam under usual (non-earthquake) conditions that
was obtained by linear analysis is shown in Fig. 4. The maximum tensile stress is
generated at the heel of the dam (indicated as point A in Fig.1) in each case, while the
maximum compressive stress is generated at the downstream face of the existing dam part
(point B in Fig.1) or at the toe of the raised dam (point C in Fig.1). However, in each case,
the maximum value of these stresses is much less than the assumed strengths of dam
concrete (24 N/mm2 in compression, 2.0 N/mm2 in tension). For the raised dam models
(Cases 2, 3 and 4), it was also found that compressive stress is maximized at point C if the
height of raising (and increment in width) is large, but the compressive stress at point B
becomes relatively larger if the height of raising is low.
主応力 Case ケース1（新設）

1 (Newly constructed) Case 2 (Raised)
ケース2（嵩上げ高40m） Case 3 (Raised)
ケース4（嵩上げ高10m） Legends
凡例
OWL OWL OWL OWL

運用時水位 1.0 引張
Tensile
運用時水位運用時水位運用時水位
WLR
施工時水位
0.5
Maximum WLR
施工時水位
最大 0.0
σ1
主応力 WLR
施工時水位
-0.5
-1.0 圧縮
Comp.
0.30 0.76 0.87 0.80 (MPa)
OWL OWL OWL OWL 3.0 引張

Tensile
運用時水位運用時水位運用時水位運用時水位
-2.45 -3.09 -3.34 1.5
WLR
施工時水位
Minimum WLR
施工時水位 0.0
最小 -3.38 -3.10 -2.50 -1.99
σ3
主応力
WLR
施工時水位
-1.5
Comp.
-3.0 圧縮
-1.29 -0.97 -0.92 -0.95 (MPa)
OWL: Operational Water Level after raised, WLR: Water Level during Raising works
Fig. 4 Stress distribution in the usual (non-earthquake) condition
Next, the linear dynamic analysis was performed to understand the characteristics of stress
distribution inside the dam body during a large earthquake. The obtained distribution of the
maximum and minimum principal stress (σ1, σ3) is shown in Fig. 5. In each case, the
maximum value of the compressive stress is smaller than the compressive strength of dam
concrete, but the value of the tensile stress locally exceeds the tensile strength of dam
concrete around the heel of the dam. In addition, the maximum value of the tensile stress at
this point is higher for the raised dam models (Case 2, 3 and 4) than the newly constructed
dam model (Case 1). Moreover, for each case, the tensile stress turns out to also be
generated around the toe of the dam, even though it is smaller than that calculated around
the heel of the dam. Its magnitude is larger in the raised dam models than the newly
constructed dam model, and almost reaches the assumed tensile strength of dam concrete if
the height of raising (and increment in width) is small (Case 4). The maximum stresses at
the points of interest (Points A, B and C in Fig.1) that were calculated under the linear
dynamic analysis are compared with values under usual conditions in Fig. 6. The increment
of maximum tensile stress during earthquakes from the usual condition becomes larger
when the height of raising becomes low. These results mean that careful attention needs to
II - 54
be paid, more in the case of raised dams than newly constructed dams to the tensile stress,
especially in the case of relatively low (or thin) raising.
主応力 Case ケース1（新設）

凡例
Operational Operational Operational
OWL
運用時水位 OWL OWL
運用時水位 OWL
water level 6.0 引張
Tensile
運用時水位
water level water level 運用時水位
1.12 1.12 1.06
WLR
施工時水位 1.06 3.0
Maximum WLR
施工時水位
最大 0.97 1.25 1.85 0.0
σ1 WLR 2.35
主応力施工時水位
-3.0
Comp.
-6.0 圧縮
5.09 5.73 5.88 5.79 (MPa)
Operational Operational Operational Operational

OWL
water
運用時水位 level OWL
water
運用時水位 level OWL
water level
OWL 8.0 引張
Tensile
運用時水位 water level
運用時水位
-3.00 -4.00 4.0
WLR
施工時水位 -4.44
Minimum WLR
施工時水位 0.0
最小 -6.64
σ3
主応力
WLR
施工時水位 -6.36 -5.76 -5.25
-4.0
Comp.
-8.0 圧縮
-8.20 -7.46 -7.28 -7.38 (MPa)
Fig. 5 Maximum stress distribution during large earthquake (341 cm/s2, linear analysis)
Fig. 6 Comparison of the maximum principal stresses at selected points (Case 1,2,3,4)
Meanwhile, one of the most significant structural characteristics of the raised dams is the
existence of a joint surface between the existing and raised part of the bodies. As to this
joint surface, in order to avoid making a weak plane, careful precautions are usually taken,
such as chipping the surface of the existing dam and then laying rich mortar before placing
the concrete of the raised part. In addition, for the sake of preventing cracks, rabers are
often inserted. In order to confirm that these design and construction procedures are
enough to integrate the joint surface well, it is considered important to investigate the
effects of large earthquake motions by focusing on this joint surface. For this purpose, the
distributions of the maximum shear stress along the joint surface and the maximum stress
perpendicular to the joint surface during a large earthquake, which are derived from the
II - 55
result of the linear dynamic analysis are shown in Fig. 7. If the height of the raised dam is
the same, the shear stress along the joint surface is increased as the height of rising
becomes high, both in the usual condition and during the earthquake, although the
maximum value of the shear stress is less than 1.0 N/mm2. This value is quite less than the
shear strength of dam concrete if it is assumed to be 20% of the compressive strength
(24N/mm2). The stress perpendicular to the joint surface is compressive in the whole
region on the joint surface in the usual condition, and in almost all regions during the
earthquake, although the tensile stress, which is quite less than the tensile strength, is
calculated at low positions only in Case 2. These results indicate that, under the conditions
assumed in this analysis, neither the shear failures nor tensile fractures along the joint
surface between the existing dam and the raised part is likely to occur, if appropriate
procedures are taken to make the joint surface well integrated.
Normalized position
Normalized position
from the dam base
from the dam base

Case 2
Model 2 (in normal condition)
CaseModel
2 2 (in normal condition)
Usual Usual
Case 3 3 (inconditions
Model normal condition)
CaseModel
3 3 conditions
(in normal condition)
Case 4
Model4 (in normal condition)
CaseModel4
4 (in normal condition)
Case 2 2 (during
Model
During
earthquake)
CaseModel
2 2 (during earthquake)
During
Case 3 earthquake
Model 3 (during earthquake)
CaseModel
3 3 earthquake
(during earthquake)
Case 4 4(during earthquake)

Model
CaseModel
4 4(during earthquake)
2 2
Shear stress (N/mm ) Perpendicular stress (N/mm )
(a) Maximum shear stress (b) Maximum vertical stress
Fig. 7 Stress distribution on the joint surface between existing dam and raised part
3.2. Simulated damage by using non-linear dynamic analysis
In the linear dynamic analysis, as shown in Fig. 5, the calculated tensile stress exceeded the
tensile strength of dam concrete, although locally around the heel of dam. This result
means there is the possibility of damage (cracks into dam body) resulting from tension
softening. Thus, a non-linear dynamic analysis accounting for crack propagation caused by
the tension softening of dam concrete as shown in Fig.2 was performed. In order to make
the differences in damage region clear between the different conditions, non-linear analysis
was performed for both the earthquake motion shown in Fig.3 (the maximum acceleration
of 341cm/s2 in the horizontal direction, hereinafter called “X1”) and also for the motion
with twice the amplitude (682cm/s2, ”X2”).
As the analysis result, the region of tension softening generation of dam concrete, together
with the distribution of the crack width for each case is shown in Fig.8. In the case of the
earthquake motion X1, it was found that a horizontal crack is generated from the heel of
the dam, where the maximum tensile stress has been calculated in the linear analysis, and
extending along the dam base. In the case of the earthquake motion X2, the crack along the
dam base form the heel of the dam extends further toward the downstream side, and new
cracks are generated in the downstream side of the dam, which includes the horizontal one
from the toe of the dam and the diagonal ones spreading in relative large area from the
downstream face.
II - 56
Earthquake
入力地震
motion Caseケース1（新設）
凡例
OWL OWL
運用時水位
OWL
運用時水位
OWL
運用時水位運用時水位
WLR
施工時水位
X1
最大水平
WLR
施工時水位
WLR
加速度施工時水位
341cm/s2 Crack
仮想
width
ひび割れ幅
8m 10m 10m 10m 1m 0.75

Operational 0.11
OWL
運用時水位 OWL
運用時水位
OWL
運用時水位 OWL
運用時水位
water level 0
WLR
X2 WLR
施工時水位
施工時水位
(mm)
最大水平
WLR
加速度施工時水位
682cm/s2
24m 14m 24m 16m 24m 20m 24m 18m
Fig. 8 Damage region due to tension softening of concrete during large earthquake (Case 1,2,3,4)
Comparing the crack propagation area in the newly constructed dam model (Case 1) and
the raised dam models (Cases 2, 3 and 4), there are no major differences between these
models. To have a detailed view, however, for the case of earthquake motion X1, the
horizontal crack from the heel of the dam, a factor which is likely to affect the stability of
the dam by triggering the increment of uplift, is slightly longer in the cases of raised dam
(Case 2, 3 and 4) than was simulated in the cases of the newly constructed dam (Case 1).
Additionally, the downstream side damage regions, simulated in the case of earthquake
motion X2, reach the joint surface between the existing dam part and the raised part when
the raising height is small.
If the dam body is not completely separated as a result of the cracks penetrating from
upstream face to the downstream face, the uncontrolled release of reservoir water caused
by damage to the dam body will not occur. According to this concept which is commonly
adopted in many guidelines for seismic safety of dams, including Japanese ones, if the joint
surface is not the potentially weak plane as a result of various precautions taken in the
raising works mentioned above, the requirement for seismic safety should be ensured even
if the cracks simulated in the analysis are actually generated. This also means if the actual
joint surface is not in good condition, the effect of the damage on the stability of the raised
dam should be considered carefully.
3.3. Effect of differences in water level conditions during raising works
In order to investigate the effect of differences in water level conditions during the raising
works, stress distribution, both in the usual condition and during the large earthquake (X1)
that was calculated from the linear analysis for cases in which only the condition of
temporary water level during the raising works is different (Cases 3, 3a, 3b, and 3c), were
compared together in Fig.9.
II - 57
Fig. 9 Comparison of the maximum principal stresses at selected points (Case 3,3a-c)
It was found that, both under usual conditions and during the earthquake, the maximum
tensile stresses calculated form linear analyses at the heel of dam (point A in Fig.1), which
affects the stability of the dam the most, and the maximum compressive stress at the
surface of the existing dam part (point B), are increased as the water level during the
raising works becomes high, while the compressive stress at the toe of the dam (Point C) is
decreased.
In Fig.10, an estimation of damage regions, where tensile cracks may propagate during the
large earthquake (X1, X2), are indicated as results of the non-linear dynamic analysis for
the same cases. The result shows that the horizontal cracks generated from the heel and toe
of the dam become slightly deeper with increasing water levels during raising works.
Earthquake
入力地震
motion Case 3
ケース3（施工時水位0.8h） Case 3a
ケース3a（施工時水位0.6h） Case 3b
ケース3b（施工時水位0.3h) Case 3c
ケース3c（施工時水位0）凡例
Legends
OWL OWL OWL OWL

運用時水位運用時水位運用時水位運用時水位
X1 WLR
施工時水位
最大水平
WLR
施工時水位
加速度
341cm/s2 WLR
施工時水位
仮想
Crack
ひび割れ幅
width
WLR
施工時水位
10m 9m 8m 8m 0.75
0.11
OWL OWL OWL OWL
運用時水位運用時水位運用時水位運用時水位 0
X2 WLR
施工時水位 (mm)
最大水平
WLR
施工時水位
加速度
682cm/s2 WLR
施工時水位
WLR
施工時水位
24m 20m 24m 17m 23m 15m 23m 14m
Fig. 10 Damage region due to tension softening of concrete during large earthquake (Case 3,3a-c)
II - 58
Based on these results, in estimating the seismic behavior during large earthquakes to
evaluate the seismic safety of a raised dam, it would be preferable to consider the actual
water level during the raising work. In addition, if the sectional shape of a raised dam has
to be checked before the actual reservoir operation rule to be effected during raising works
is determined, it would basically be a safe-side condition to perform the analysis assuming
the operational water level of the existing dam.
4. CONCLUSION
The stress state of the raised concrete gravity dam in the usual (non-earthquake) condition
and the seismic behavior during large earthquakes were investigated by linear and non-
linear analyses. Through the study based on these analyses, several important
characteristics which should be considered when designing or conducting seismic safety
evaluation of a raised concrete gravity dam were pointed out, as shown below:
1) The stress state inside a raised dam is different from a newly constructed dam with the
same cross section shape, both under usual conditions and during earthquakes. Careful
attention needs to be paid to the tensile stress generated during large earthquakes more
in the case of raised dams than newly constructed dams.
2) The stress state inside a raised dam also varies depending on the raising height, even
the cross sectional shape of the raised dam is same. Careful attention to tensile stress
needs to be paid, especially in the case of a relatively small (or thin) raising project.
3) The water level condition during the raising works also affects the stress state inside a
raised dam. When estimating the seismic behavior during large earthquakes to evaluate
the seismic safety of a raised dam, it would be preferable to consider the actual water
level under the construction, or assume the operational water level of the existing dam.
Finally, though not considered in the analyses, the seismic behavior of a raised dam would
be affected by differences in physical properties of the dam concrete and foundation rock
of the existing part and raised part. The thermal stress of dam concrete would also have an
affect on it. The actual design or seismic safety evaluation of a raised dam should be
conducted by considering these aspects as much as possible.
REFERENCES
Horii, H., Uchita, Y., Kashiwayanagi, M., Kimata, H. and Okada, T.(2000):Investigation
on tension softening characteristics for the purpose of evaluating ultimate capacity
of concrete dams (in Japanese), Electric power civil engineering, No.286, pp.113-119.
River Bureau of Ministry of Land, Infrastructure Transport (MLIT) (2005):
Guidelines for Seismic Performance Evaluation of Dams during Large Earthquakes
(in Japanese, The outline was introduced by Shimamoto et al. (2007))
Shimamoto, K., Sasaki, T. and Kondo, M. (2007), Trial implementation of a Japanese new
guideline for seismic performance evaluation of dams during a large-scale
earthquake, The 75th Annual Meeting of ICOLD, Paper No.4-33, St. Petersburg,
Russia
II - 59
Seismic Analysis of Concrete Gravity Dam Installing New Outlet Conduit

into Existing Dam Body
T. SHIDA, M. KONDO & Y. ENOMURA

ma-kondo@pwri.go.jp
T. SASAKI
National Institute for Land and Infrastructure Management, Tsukuba, Japan
ABSTRACT
To meet changing needs for flood control or water supply in river basin with effective use of
existing stock, installing new or additional outlet works into existing dam body by drilling can be
one of the most effective solutions in terms of both cost and impact on natural environment.
Meanwhile, seismic safety of existing dam against large earthquakes has become to be required
more strongly in Japan.
In this paper, seismic behavior of a concrete gravity dam during large earthquakes is investigated
focusing on damage to dam body around new or additional outlet conduit which is installed into
existing dam body by using numerical simulations including non-linear dynamic analysis
considering crack propagation accompanied with tension softening of dam concrete.
The analyses revealed that the estimated damage into dam body around the new or additional
conduit is not the same as the case of newly constructed dam with conduits. It means that when
evaluating the seismic safety of dams installing conduit into existing dam body by using numerical
analyses, construction process that includes drilling and lining, as well as reservoir water level
during and after construction works should be taken into consideration. From the analyses, it was
also revealed that rebars around the new conduit are effective in reducing crack opening and
extension into existing dam body.
Keywords: upgrade, drilling, outlet conduit, earthquake, dynamic analysis.
1. INTRODUCTION
In Japan, there are some existing dams upgraded by installing a new or additional outlet
conduit into the dam body instead of constructing a new dam to meet changing needs for
flood control or water supply in river basin with effective use of existing stock. When
designing an upgrade dam by drilling its dam body, structural stability equal to that of a
new dam is ensured by methods such as a theoretical solution based on a perforated infinite
plate, 2-dimensional finite element model (hereafter called “FE model”) analysis (method
based on combining two types of 2-dimensional analysis; for the cross-section and for
longitudinal section) or 3-dimensional FE model analysis for the conduit drilled block.
II - 60
On the other hand, in response to growing public concern regarding the safety of civil
engineering structures against large-scale earthquakes, trials of seismic the performance
evaluation of dams hypothesizing the maximum class of earthquake that can be predicted
at the site of each dam have begun in Japan. In the case of concrete gravity dams, the
Japanese draft guidelines for seismic performance evaluation of dams (MLIT, 2005, called
“the Guidelines” hereafter and introduced by Shimamoto, et al. 2007), require to estimate
damage processes of dams and judge whether the expected damage will not cause the
uncontrolled release of reservoir water. The Guidelines are intended for both existing and
newly constructed dams. However, the evaluation method which considers structural
characteristics unique to dams with added or newly installed conduit by drilling has not
been fully established. The stress state inside dam body, especially inside the monolith
which is drilled to install the new conduit will differ from that of a newly constructed dam.
This is because the stress around a new conduit is redistributed when infilled concrete is
placed after drilling to install a new conduit. The reservoir water level during drilling
works would also affect the stress state around the new conduit. Therefore, to evaluate
seismic safety of dams installed a new conduit, it is necessary to estimate the stress state in
the usual condition (non-earthquake) considering the actual process of dam upgrading
works by drilling an existing concrete dam.
In this research, stress analyses are conducted by using the FE model of a monolith in
which a new conduit is installed considering the actual process of upgrading works by
drilling. And seismic response analyses hypothesizing a large-scale earthquake are also
conducted in order to help establish a seismic performance evaluation method for dams
upgraded by drilling their dam bodies and installing an additional conduit. From these
analyses, the characteristics of the stress state in the usual (non-earthquake) condition and
during a large-scale earthquake are investigated. The possibility of damage to a dam
installed a new conduit are also investigated.
2. ANALYSIS METHOD AND ANALYSIS CONDITIONS
The stress state in an upgraded concrete gravity dam drilled through its dam body from the
downstream side to the upstream side to install an additional conduit (hereafter called “a
drilled dam”) in usual condition, differs from that in a newly constructed dam (hereafter
called “a newly constructed dam”) when considering its construction process including
drilling the dam body, lining, and raising the water level to the operating water level after
installing the new conduit. Therefore, static analyses were first conducted to calculate the
initial stress state. Next, dynamic analyses considering large earthquakes were conducted
to investigate the stress state and damage area around new conduits. In the dynamic
analyses, the effect of rebars which are often installed around the conduit of actual
upgraded dams in order to reduce the damage to concrete around the conduit caused by
tension cracking was also investigated.
2.1. Analysis method
In order to investigate behavior in a drilled dam during a large-scale earthquake, numerical

analysis using a 3-dimensional FE model consisting of dam body, foundation and reservoir
was conducted. Firstly, static analysis considering the actual process of upgrading works
which includes drilling, lining and raising the reservoir water level was conducted to
simulate stress in the usual condition. After that, linear dynamic analysis was conducted to
II - 61
simulate stress when a large-scale earthquake has struck after operation of the dam has
restarted. The stress calculated from this static analysis was used for the following dynamic
analysis as the initial stress. Next, linear dynamic analysis was conducted to calculate the
stress distribution around the conduit. And non-linear dynamic analysis considering the
tension cracking of concrete was also conducted to investigate the state of damage around
the conduit by using the smeared crack model which can simulate a state of crack
generation and extension, without setting positions of crack beforehand. An analysis code,
“ISCEF” was used for these simulations.
2.2. Analysis model and material properties values
Fig. 1 and Fig. 2 show the shape and meshing of the analysis model. Half of the monolith
in which a new conduit was installed by drilling was modeled considering the symmetry of
model shape. The diameter of the hole drilled for the conduit and the internal diameter of
conduit in this model were set considering past works on actual dams in Japan. Reservoir
was modeled using incompressible fluid elements. Hydrostatic and hydrodynamic
pressures acting on the dam body from reservoir were considered. Those in the conduit
were not considered.
Operational water Half of monolith
level after upgrading was modeled.
100m
Water level during Conduit

upgrading 7.5m Thickness of
(drilling) works infilled concrete
56m
0.6m
33m
Z
Drilled hole
Diameter of
diameter
Conduit
5.0m
3.8m
X
85m Transverse
(1) Dam body joint
100m
Z Z Symmetry
axis
Y
X 300m 300m
Rebars elements inside
infilled concrete were
200m
modeled in some
analysis cases.
(2) Overall (dam body, foundation, reservoir) (3) Drilled monolith (1/2 model)
Figure 1. Shape of the analysis Model
Z
Y X
1.5m
100m
1m
85m 0.5m 1.2m
Figure 2. Meshing of the Analysis Model (dam body)
In the analysis cases of drilled dams, for the usual condition, a series of steps upgrading
works process which consists of drilling a hole slightly larger than the diameter of the
conduit that will be installed, installing rebars, then lining by concrete were set, while the
analysis case for comparison, hypothesizing a new dam with an installed conduit of which
diameter equal to that of a drilled dam.
II - 62
In some drilled dam cases, the rebars were modeled by rod elements and were arranged
longitudinally along the full length of the conduit. The required quantity of rebars was set
by the traditional design method based on the condition that rebars bear the tensile force
generated when a void with conduit diameter is formed, assuming the horizontal seismic
coefficient of 0.15. The total section area of rebars per unit length (upstream-downstream
direction) in this analysis model is constant. The steel conduit pipe is not modeled.
Table 1 shows the material property values for the analysis. When conducting non-linear
dynamic analysis, the material property values in Table 2 and the tensile softening model
shown in Fig. 3 were also used. The stress at the start of the tension softening was assumed
to be equivalent to the tensile strength of the concrete (2.0N/mm2). The value for fracture
energy Gf was set as 300N/m considering Eq. 1, the experimental formula for dam concrete
proposed by Horii, et al. (2000);
.
0.79 80 ′ /10 (1)
Where f’ck (N/mm2) is the compressive strength of dam concrete and Gmax (mm) is the
maximum aggregate size. The value of Gf shown above was set by assuming f’ck=
24N/mm2 and Gmax=150mm. For infilled concrete, Gf was set as 90N/m based on Eq. 2,
formula for ordinary concrete which is shown in the Japanese standard (JSCE, 2012) under
the condition that dmax(=Gmax in Eq. 1) is 40mm and f’ck =2.0N/mm2.
/ /
10 ∙ ′ (2)
For tensile softening properties, bi-linear type diagram (JSCE, 2012) was assumed.
Table 1. Physical Property Values

Density Modulus of elasticity
Model Poisson ratio
(kg/m3) (N/mm2)
Dam body concrete 2,300 25,000 0.2
Infilled concrete 2,300 25,000 0.2
Rock foundation 2,300 25,000 0.3
Rebars - 200,000 0.3
Table 2. Material Property Values for Non-linear Dynamic Analysis

Tensile strength Fracture energy Gf Tensile softening
Model
(N/mm2) (N/m) properties
Dam body concrete 2.0 300 Fig. 3
Infilled concrete 2.0 90 Fig. 3
Rebars 345(*Yield stress) - -
2.5
Dam concrete
Tensile stress（N/mm2）
2.0 Infilled concrete

1.5 0.225mm 0.75mm
1.0
0.5
0.0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
Crack width（mm）
Figure 3. Tensile Softening model in Non-linear Dynamic Analysis
II - 63
2.3. Input earthquake motion
The horizontal and vertical components of input earthquake motion basically used for the
dynamic analysis are shown in Fig. 4. This earthquake motion was generated from a wave
form observed during Southern Hyogo Prefecture (Kobe) Earthquake in 1995 (Mw* 6.9,
*Moment magnitude) at the base of a concrete gravity dam near the epicenter by
modifying its amplitude to meet the minimal acceleration response spectrum for the
seismic performance evaluation shown in the Guidelines (Fig . 5, MLIT, 2005).
400 400
Max. acceleration 341 cm/s2 300 Max. acceleration 213 cm/s2
300
Acceleration(cm/s2)
Acceleration(cm/s2)
200 200
100 100
0 0
-100 -100
-200 -200
-300 -300
(1) Horizontal direction (2) Vertical direction
-400 -400
0 1 2 3 4 5 6 7 8 9 10 11 0 1 2 3 4 5 6 7 8 9 10 11
time(sec) time(sec)
Figure 4. Input Earthquake Motion
Horizontal direction Vertical direction

Accseleration response
1000
spectrum(cm/s2)
100
10
0.01 0.1 1 10
frequency(sec)
Figure 5. The minimal acceleration response spectrum in the Guidelines
2.4. Analysis cases
Table 3 shows analysis cases in this investigation. Five analysis cases were performed for
different combinations of quantities of rebars for a drilled dam model and a newly
constructed dam model.
Table 3. Analysis case

Case Rebars quantity* Remarks
1a 1a:Linear dynamic analysis
Drilled dam
1b 1b:Non-linear dynamic analysis
0 (none)
Newly constructed dam
2b 2b:Non-linear dynamic analysis
Drilled dam
3b 100% 3b:Non-linear dynamic analysis
4 Newly constructed dam Linear dynamic analysis
5 Drilled dam 50% Non-linear dynamic analysis
*Percentage of quantity of rebars to required one in newly constructed dam (quantity of rebars
based on condition that rebars bear the entire tensile force generated when a void with conduit
diameter is formed).
II - 64
3. ANALYSIS RESULTS
3.1. Comparison between drilled dam and newly constructed dam
Based on the results of the linear dynamic analysis, Fig. 6 shows the distribution of values
of principal stress inside the dam body (center section of drilled monolith) in the usual
condition and during a large-scale earthquake in a drilled dam (Case 1a) and a newly
constructed dam (Case 2a). The values in the figure are the simulated local maximum or
minimum principal stress values and their locations.
Looking at the stress distribution in the usual condition, in the drilled dam (Case 1a), the
tensile stress of infilled concrete near the upstream surface is higher than that in the newly
constructed dam (Case 2a) and its value is almost comes near the assumed tensile strength
of dam concrete. And the stress distribution during a large-scale earthquake shows that the
tensile stress around the conduit in the drilled dam (Case 1a) becomes larger than the
tensile strength of dam concrete both around upstream face and downstream face side,
while in the newly constructed dam (Case 2a), the tensile stress during a large-scale
earthquake is larger than the tensile strength only near the downstream face side.
Case 1a (Drilled) Case 2a (Newly constructed)
During large-scale earthquake During large-scale earthquake
Case
In the usual condition (Max. horizontal acceleration In the usual condition (Max. horizontal acceleration Legends
341 cm/s2) 341 cm/s2)
or
Tensile
Max. 5.0
principal
stress
0.0
Min.
principal
stress -5.0
Comp
(N/mm2)
*The values in the figure are the simulated local maximum or minimum principal values (N/mm2) and their locations.
Figure 6. Maximum and Minimum Principal Stress inside Dam Body (Linear Dynamic Analysis)
The simulated compressive stress inside the dam body is sufficiently small under the
assumed compressive strength of dam concrete even during a large-scale earthquake in
both Case 1a and Case 2a. Therefore, the following discussion focuses on tensile stress.
Fig. 7 enlarges the maximum principal stress σ1 around the conduit based on the same
analysis results shown in Fig. 6.
In the drilled dam (Case 1a), the tensile stress value is highest on the upstream side of the
dam body concrete, and also tends to be concentrated at the top edge and the lateral side of
the conduit void on the downstream side. And at these locations, the tensile stress value
exceeds the assumed tensile strength of the dam concrete over a wide range. On the interior
surface of the drilling hole (dam body concrete), the tensile stress is also concentrated near
the downstream surface of the dam body. And its value almost nears the tensile strength of
the dam concrete.
II - 65
In contrast, in the newly constructed dam (Case 2a), the tensile stress is highest at the top
edge of the conduit void near the downstream surface, and its value exceeds the assumed
tensile strength of the dam concrete. In addition, the tensile stress is also a little high at the
top of the conduit void on the upstream side and the lateral side of the conduit void on the
downstream side. These tensile stress values exceed the tensile strength of the dam
concrete.
Case Case 1a (Drilled) Case 2a (Newly constructed) Legends
5.0 Tensile
Interior surface of
the conduit void
(infilled concrete)
0.0
*2
Interior surface of
drilling hole (dam
body concrete) -5.0 Comp
(N/mm2)
*1 The values in the figure are the simulated local maximum or minimum principal values (N/mm2) and their locations.
*2 Stress distribution on the cylindrical cross section with the diameter equivalent to that of drilling hole in the drilled dam (Case 1a).
Figure 7. Maximum Principal Stress σ1 around Conduit during Large-scale Earthquake (Linear
Dynamic Analysis)
Judging from above mentioned results, in evaluating the seismic safety of dams against a
large-scale earthquake, it would be preferable to conduct a static analysis to simulate the
initial stress state, for not only a drilled dam, but also the monolith with a conduit in a
newly constructed dam.
As a result of linear dynamic analysis, the simulated tensile stress value exceeds the
assumed tensile strength of the concrete locally, so non-linear dynamic analysis was
conducted considering tension softening of the concrete. Fig. 8 shows the estimated
damage areas around the conduit according to the analysis results. The length of tension
softening areas from the upstream or downstream face along the conduit into the dam body
were longer in the drilled dam (Case 1b) than in the newly constructed dam (Case 2b). The
tension softening areas of the dam concrete were also wider in the drilled dam (Case 1b)
than in the newly constructed dam (Case 2b). The tension softening from the upstream
surface occurred at the lateral side of the conduit in the drilled dam (Case 1b), while above
and below the conduit in the newly constructed dam (Case 2b). From the downstream face
around the conduit, the tension softening areas occurred in both cases.
Case Case 1a (Drilled) Case 2a (Newly constructed) Legends
Crack width
Interior surface of
the conduit void
0.75
0.225
(infilled concrete)
0.0
(mm)
Tensile stress
Interior surface of 0.225mm

drilling hole (dam
0.75mm
body concrete)
Crack width
Figure 8. Estimated Damage areas around the Conduit during a Large-scale Earthquake (Non-
linear Dynamic Analysis)
II - 66
The above mentioned results show that it is necessary to pay attention to the fact that
tension cracking of concrete around a conduit occurs more easily in case of an existing
drilled dam than a newly constructed dam with a conduit.
3.2. Effects of rebar installation
Fig. 9 shows the maximum principal stress of concrete around the conduit calculated from
linear dynamic analysis for the case of the drilled dam with modeling rebars around the
conduit (Case 3a). Almost no difference can be seen in the maximum principal stress of
concrete around a conduit compared with the case without rebars (Case 1a). This is
presumably a result of the fact that the effect of rebar installation around the conduit to
reduce the tensile stress generated around conduit is not very high.
Case Case 3a (Drilled) Legends
5.0 Tensile
Interior surface of
the conduit void
(infilled concrete)
0.0
Interior surface of
drilling hole (dam
body concrete) -5.0 Comp
(N/mm2)
*The values in the figure are the simulated local maximum or minimum principal values (N/mm2) and their locations.
Figure 9. Maximum Principal Stress σ1 around Conduit during Large-scale Earthquake (Case 3a,
Linear Dynamic Analysis)
Fig. 10(1) shows the tensile stress which act on rebars around the conduit calculated from
the same analysis. The result of the case of a newly constructed dam modeling rebars (Case
4) is showed in Fig. 10(2) for comparison. When comparing with the analysis results for
both cases, the tensile stress of the rebars in the drilled dam (Case 3a) is higher than the
newly constructed dam (Case 4) on the upstream side, although the value of tensile stress is
much smaller than the assumed yield stress (345N/mm2) of the rebars.
(1) Case 3a (A drilled dam) (2) Case 4 (A newly constructed dam)
Figure 10. Tensile Stress acting on Rebars around the Conduit during Large-scale Earthquake
(Linear Dynamic Analysis)
Additionally, in order to investigate the possibility of damage around the conduit caused by
a large-scale earthquake and the effect of rebars in reducing the opening of tension cracks,
non-linear dynamic analysis considering tension softening of concrete and yield of
reinforcing rebars was conducted. Fig. 11 shows the estimated damage areas around a
conduit in the case of drilled dam without rebars (Case 1a), with rebars (Case 3b) and with
half rebars (Case 5).
II - 67
Looking at Fig. 11, the estimated areas of damage accompanied with tension softening of
concrete are almost unchanged by differences in the quantity of rebars. This is presumably
a result of the fact that rebars have a greatly effect of reducing the opening of tension
cracks into concrete although the effects of having tension stress before cracking is limited
as mentioned above. When focusing on the width of tension crack openings in the
upstream-downstream direction section, the maximum opening of the simulated tension
cracking around the conduit was reduced. In addition, by considering the rebars in the
analysis model, the increase of the quantity of rebars reduced the opening and propagation
of tensile cracks into the existing dam body. This means that it is necessary to consider the
effect of rebars installed around the conduit when estimating the damage to dam concrete
around the conduit for the purpose of seismic safety evaluation against large-scale
earthquakes.
Upstream-downstream direction section Section1: Section2:

Case upstream side Legends
downstream side
Interior
surface of Dam body concrete
the conduit
void
Case 1b (infilled
(No concrete)
rebars)
Interior
surface of
drilling hole
(dam body Infilled concrete
concrete)
Interior
surface of Crack width
the conduit 0.75
void 0.225
Case 5 (infilled 0.0
(50% concrete)
(mm)
rebars)
Tensile stress
Interior 0.225mm
surface of 0.75mm
drilling hole
(dam body Crack width
concrete)
Interior
surface of
the conduit
void
Case 3b (infilled
(100% concrete)
rebars)
Interior
surface of
drilling hole
(dam body
concrete)
Figure 11. Estimated Damage areas around the Conduit caused by a Large-scale Earthquake and
Effect of Rebars (Non-linear Dynamic Analysis)
Fig. 12 shows the simulated tensile stress acting on the rebars around the conduit from the
same analysis. The value of tensile stress acting on the rebars is much smaller than the
assumed yield stress of rebars in each case. In designing an upgrading project by drilling
an existing dam body, it would be preferable to consider the above mentioned effect of the
rebars and make their arrangement a rational one to reduce the damage to concrete around
II - 68
the conduit caused by tension cracking even if a maximum-class earthquake motion strikes
the dam.
(1) Case 5 (50%rebars） (2) Case 3b (100%rebars）
Figure 12.Tensile stress acting on Rebars around the Conduit during Large-scale Earthquake
(Non-linear Dynamic Analysis)
4. CONCLUSION
Linear and non-linear dynamic analyses for an upgrading project by drilling an existing
concrete gravity dam were conducted by FE model considering the upgrading works
process. The following is a summarization of findings from the analyses.
(1) When a new conduit is installed by drilling an existing dam body, the tensile stress
concentrated in the concrete around the conduit becomes larger than in a case of newly
constructed dam with a conduit. It is necessary to pay attention to the fact that tension
cracking of concrete around a conduit occurs more easily in the case of a drilled dam than
a newly constructed dam with a conduit.
(2)When the analysis model considers rebars installed around the conduit, the estimated
crack damage areas are almost unchanged by differences in the quantity of rebars. This is
presumably a result of the fact that while rebars have a greatly effect of reducing the
opening of tension cracks into concrete, although the effects of having tension stress before
cracking in concrete is limited.
(3) By considering the rebars in the analysis model, the maximum opening of the simulated
tension cracking around the conduitis reduced. The increase of the quantity of rebars
reduces the opening and propagation of tensile cracks into dam body.
REFERENCES
River Bureau of Ministry of Land, Infrastructure Transport (MLIT) (2005): Guidelines for
Seismic Performance Evaluation of Dams during Large Earthquakes (in Japanese).
K. Shimamoto, T. Sasaki and M. Kondo.(2007):Trial implementation of a Japanese new
guideline for seismic performance evaluation of dams during a large-scale
earthquake, the 75th Annual Meeting of ICOLD, Paper No.4-33, St. Petersburg,
Russia
H. Horie, Y. Uchida, M. Kashiwayanagi, H. Kimata, T. Okada.(2000):Investigation on
tension softening characteristics for the purpose of evaluating ultimate capacity of
concrete dams (in Japanese), Electric Power Civil Engineering, No. 286, pp.113-119,
Japan.
Japan Society of Civil Engineers (JSCE) (2013): Standard Specification for Concrete
Structures -2012 Design (in Japanese).
II - 69
Technical Issues on Detailed Design of RCC Dam for the Dasu Hydropower
J. Fukuwatari, I. Araki & M. Iijima
Nippon Koei Co., LTD., Tokyo, Japan
fukuwatari-jn@n-koei.jp
H.M. Farooq Ahmed

Pakistan Water & Power Development Authority (WAPDA), Lahore, Pakistan
ABSTRACT:
In spite of chronic load-shedding due to lack of electric power, which is one of the most serious
socio-economic issues of Pakistan, there is huge hydropower potential originating from glaciers in
the north-west region of Pakistan where the Himalayas, the Karakorams and Hindu Kush
Mountains meet. Already, Tarbela Hydopower Project (3,478 MW) built in 1976, one of the largest
hydropower stations in Pakistan, utilizes the flow of the Indus River originating in the north-west
mountainous area. Pakistan Water and Power Development Authority (WAPDA) plans Dasu
Hydropower Project located 200 km upstream of Tarbela or 350 km north of Islamabad, the
capital city. It is composed of a concrete gravity dam and an underground powerhouse with 12
generators with each 360 MW capacity, 4,320 MW in total. Main specifications of the dam are 242
m height, 570 m length and 4.1 million m3 volume of RCC. This paper describes the challenging
design concept of the RCC dam due to issues such as: i) dynamic analysis and countermeasure for
safety against large earthquakes, ii) design of flushing facility for sedimentation, iii) RCC mix
proportion with natural pozzolan. 2D/3D dynamic analyses were conducted to evaluate safety for
the maximum credible earthquake (MCE). Low Level Outlet (LLO) in the dam and two flushing
tunnels on the right bank for flushing of sedimentation was designed based on sedimentation
analysis along the Indus River. Natural pozzolan from gracial deposits will be used as the
cementitious material instead of flyash or blast-furnace slag.
Keywords: 3-Dimensional Dynamic Analysis, Dam Reservoir Sedimentation, Natural Pozzolan
1. INTRODUCTION
Pakistan has rich hydropower potential, and a total of 54,000 MW of potential power has
been identified. However, only a small proportion, about 6,500 MW (12 %), has been
developed to date. A peak power deficit reached to around 5,000 MW in 2010 due to the
rapid increase of power demand by some 10% per annum. Given such a power crisis, a
series of large hydropower developments have been studied in the northern part of Pakistan
in the Indus River, which has the greatest potential in the country to achieve energy
security and subsequent economic growth.
The Dasu Hydropower Consultants (DHC) in Lahore is undertaking the detailed design
and bid preparation services for the Dasu Hydropower Project (Dasu HPP). The services
started in September 2011 with a target completion time of 18 months.
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Dasu HPP is the third among the five major planned hydropower projects in the cascade
along the upstream stretch of the existing Tarbela HPP (Installed capacity: 3,478 MW) in
the Indus River. Ordering from the north, these are Bunji HPP (7,100 MW), Diamer-Basha
HPP (4,500 MW), Dasu HPP (4,320 MW), Pattan HPP (2,800 MW) and Thakot HPP
(2,800 MW).
The Dasu dam site is located in a deep and narrow gorge having the existing Karakoram
highway (KKH) on the left bank. The proposed RCC dam will be 242 m high and 570 m
long, will have an RCC volume of 4.1 million m3 and a reservoir capacity of 1,410 million
m3. The annual average discharge at the dam site is expected to be 2,100m3/s that will bear
an annual generation of 18,432 GWh with an installed capacity of 4,320 MW (12 x 360
MW). There will be an underground powerhouse with four 2.2 km long waterways. In
order to limit the initial costs, the Project will be phased. Each of the four Phases will
consist of one waterway and three units, thus 12-unit in total.
The paper describes the design concepts in order to overcome the major challenges of the
Project, such as (i) the dynamic analysis of the severe earthquake loading, (ii) the
installation of the low-level outlets (LLOs) and the flushing tunnels for the large
sedimentation loads, and (iii) the RCC mix design using local natural pozzolan to achieve
the high strengths required.
2. OUTLINE OF THE DASU DAM
2.1. Profile of the RCC Dam
The Project is located 7 km north of Dasu Town in the Kohistan District of the Khyber
Pakhtunkhwa Province. It is 350 km north of Islamabad, the capital city of Pakistan. The
dam site is 74 km downstream of the proposed Diamer-Basha dam site along the Indus
River, and the elevation of KKH near the dam site is about El.840 m. The Dasu reservoir
extends to just downstream of the proposed Diamer-Basha dam site.
The Dasu dam is to be constructed as a RCC dam at the middle point along a straight
stretch in a narrow valley of the Indus River. As there is no sufficient space to divert the
river through an open channel or culvert at the dam site, the flood will be diverted through
two diversion tunnels on the left bank during the dam construction period of about six and
a half years.
Fig. 1 shows the general view of the Dasu dam and the appurtenant structures. Although
the main RCC dam is of a concrete gravity type, the dam axis forms arcs of 525 m in the
overflow sections and 1,000 m in the non-overflow sections. The cross section of the dam
is composed of slopes of 1:0.72 (Vertical: Horizontal) on the downstream (d/s) face, 1:0.10
on the upstream (u/s) face and fillets with 1:0.2492 and 1:0.80 slopes, which are
determined through static stability analyses and dynamic stress analyses for the operation
based earthquake (OBE) and maximum credible earthquake (MCE).
2.2. Hydraulic Structures
As for the hydraulic design, Safety Check Flood (SCF) requires eight spillway gates and
nine low-level outlets (LLOs). Additionally, two flushing tunnels will be installed in the
right bank of the dam for sedimentation control by annual flushing operation under free-
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flow conditions. The power intake structures with four tunnels and the powerhouse cavern
will be arranged on the left bank. Table 1 also shows the salient features of the Project.
Powerhouse
Powerhouse Intake
Dam
Diversion Tunnel
Flashing Tunnel
Figure 1. General view of the Dasu dam and appurtenant structures
Table 1. Salient Features of the Project

River & Reservoir Dam & Appurtenant Structures
Catchment area 158,800 km2 Dam type Concrete gravity dam (RCC)
Average discharge at site 2,102 m3/s Dam height 242 m
Safety check flood (SCF) 51,957 m3/s Dam crest length 570 m
Basic design flood (BDF) 24,932 m3/s Dam RCC volume 4.1 million m3
Dam crest elevation El.957.0 m Spillway 8-radial gate, 16.5 m W x 22.4 m H
Flood water level under SCF El.959.46 m Low-level outlet 9-radial gate & pipe 6.4 m dia.
Flood water level under BDF El.951.28 m Flushing tunnel 2-tunnels of 9.5 m dia.
Full supply level (FSL) El.950.00 m Generator 4,320 MW (360 MW x 12)
Minimum operation level El.900.00 m
Gross reservoir storage 1,410 million m3
Three LLOs are supposed to be installed during phase 1 at first, while it depends on
finance availability, then other six sets will be installed during phases 2. The spillway with
eight radial gates is capable of releasing the SCF/PMF (51,960 m3/s) with the flood
overtopping the 1.1 m high parapet wall on the central nine RCC blocks (a length of 225
m) with a 1.4 m water depth with all the spillway gates in operation and the three LLOs but
without using the flushing tunnels. The SCF can be released from the eight spillway gates
with using all LLOs (i.e. nine LLOs) after their completion with 1.33 m freeboard from the
crest elevation of the dam at El.957.0 m. The Basic Design Flood (BDF: 26,640 m3/s) can
be released by the spillway safely with sufficient freeboard at the water level of El.951.28
m with one gate non-operational (i.e. through only seven gates) without the use of the
LLOs and flushing tunnels. As mentioned above, the LLOs will be installed to release SCF
with the spillway gates, however, can be also opened frequently during a high-flow season
in order to discharge the sediments from the reservoir.
The number of spillway gates (W16.5 m x H22.0 m) has been increased by two from the
six gates in the F/S report. The number of LLOs was also increased by two (circular:
D6.4m) from seven (rectangular: W5.0 m x H7.2 m) in the F/S report. The cross-sectional
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area of the LLOs was thus increased by 14.9 %, as the maximum total flow capacities is
required for sediment flushing under free-flow conditions.
3. COUNTERMEASURE AGAINST LARGE SCALE OF EARTHQUAKE
3.1. Requirement of Analysis against Large Scale Earthquake
The Dasu Project is located in the Kohistan Island Arc physiographic province.
Tectonically, it is classified as an active earthquake region, because it is sandwiched
between the converging Indian and Eurasian tectonic plates. According to the grouping of
the Geological Survey in Pakistan, the Project area belongs to the “Serious Seismic Danger
Zone”. The Dasu dam, which is 242 m high, is a critical component of the Project. Thus,
the dam should maintain safe under strong seismic activity based on the guidelines of
ICOLD regarding selecting seismic parameter regarding for large dams. That is large dams
must be capable of resisting severe earthquake motion without uncontrolled release of the
reservoir water, namely, damage to the dam due to the severe earthquake motion may be
acceptable as long as no catastrophic flooding occurs in the downstream river.
3.2. Selection of applied Earthquake
The acceleration time history of the earthquake ground motion by “1971 San
Fernando“ was selected for the analysis, as it has the most strong ground motion among
three alternatives, which has the longest wave motion period of h=11.28 sec and v=14.72
sec. The most severe ground motion affecting to a dam is referred as Maximum Credible
Earthquake (MCE) of which Peak Ground Acceleration (PGA) is h = 0.54 (max. 531.2 gal)
and v = 0.36 (max.354.1 gal), respectively.
3.3. Methodology of 2D/3D Dynamic Dam Analysis
The 2D and 3D dynamic FEM analyses were executed to assess the seismic risks against a
large earthquake observed in serious situations. In the case of the Dasu dam, under
consideration of the concrete gravity RCC dam with an arch shape and a height to length
(H/L) = of 0.47 locating at the narrow valley in the strong earthquake zone of Pakistan, the
analysis was applied not only for 2D but also 3D dynamic FEM. In the case of tensile
cracks opened through the whole dam body, it will require some countermeasures against
the cracks.
3.4. Results of Analysis and Countermeasures
Zoning with two grades of RCC such as “RCC1” with characteristic cylinder compressive
strength of 25 MPa in the lower zone below El.850.2 m and “RCC2” with 20 MPa strength
in the upper zone above El.850.2 m (see Fig. 2) was applied as a safe design without any
crack penetrations for MCE in the dam body through 2D dynamic analyses. However, the
response accelerations at the dam crest 3D analyses were quite different from those of the
2D analyses. As shown in Table 2, the maximum horizontal acceleration by 3D linear
analysis is 4,417.7 gal, while that of 2D analysis is 1,984.4 gal. It is considered to be
affected by the seismic motion from both abutments under the topographic condition of the
narrow gorge. As a result, the inferred cracks by 3D non-linear analyses spread over the
whole dam body of the upper zone (see Fig. 2).
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13.000
EL.957.000
FSL.950.000
Crack zone
RCC2: 20 MPa
MOL.900.000
RCC2(20Mpa,Gmax50)
EL.850.200
4.800 19.100
Change of U/S Slope
EL.831.000 Low Level Outlet
RCC1: 25 MPa
EL.783.000
RCC1(25Mpa,Gmax50)
EL.715.000
78.300 167.740
246.040
Figure 2. Initial dam shape determined through 2D stability analysis/2D dynamic analysis and
estimated crack zone for MCE by 3D non-linear dynamic analysis
Table 2. Maximum Response Acceleration at the Dam Crest for MCE

Horizontal Vertical
2D analysis 3D analysis 2D analysis 3D analysis
Acceleration at bottom of the dam 531.2 gal 421.0 gal 354.1 gal 312.2 gal
Acceleration at crest of the dam 1,984.4 gal 4,417.7 gal 996.0 gal 1,401.8 gal
Response magnification rate 3.7 10.5 2.8 4.5
The final zoning of RCCs to minimize crack penetration is proposed as shown in Fig. 3. A
high-strength 30 MPa RCC will be applied for a 10 m depth on both the u/s and d/s slopes
in above El.770.0 m and for the whole width of the dam above El.920.4 m. The shape of
the fillets is also improved from the initial shape. The estimated crack zone in the dam
body was remarkably reduced from the previous case.
High strength Crack zone

RCC: 30 MPa
RCC1: 25 MPa
Applying the
middle fillet
Figure 3. Improved dam shape and zoning of RCCs, and estimated crack zone by 3D analysis
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However, a local crack yet penetrates even for the final shape and the RCC zoning
mentioned above. The stability on the penetrated crack surface (El.890.0 m) was examined
through stability analyses by the earthquake time history mentioned below to assess a
possibility of a large collapse of separated dam body which might give catastrophic
damages to the downstream area. Fig. 4 shows the safety factors for sliding on the
penetrated crack through the time history, where seismic inertia, static/hydrodynamic water
pressures and uplift on the crack surface are given as the sliding forces, and frictions on the
penetrated crack surface and on the dam joint surfaces with both adjacent blocks act as
resistance forces. The minimum safety factor is 1.06 for Block-11, therefore the separated
dam body on the penetrated crack will not be assessed to collapse. The arc shape of the
dam will provide a effective resistance force against the seismic movement.
Safety factor Block‐10
10.0
9.0
8.0
7.0
6.0
5.0
4.0
3.0
2.0
1.0 SF=1.19
0.0
0 5 10 15 time 20
(sec)

10.0
9.0
8.0
7.0
6.0
5.0
4.0
3.0
2.0 SF=1.06
1.0
0.0
0 5 10 15 time 20
(sec)

10.0
9.0
8.0
7.0
6.0
5.0
4.0
3.0
2.0
SF=1.43
1.0
0.0
0 5 10 15 time 20
(sec)
Figure 4. Safety factor for sliding of separated dam body on the penetrated crack
4. COUNTERMEASURE AGAINST LARGE SEDIMENTATION VOLUME
4.1. Sedimentation Mechanism in the Dasu Reservoir
In order to grasp the sedimentation mechanism in the reservoir over a defined operation
period, the scour/deposition was analyzed while maintaining the reservoir water level at
FSL without any flushing operations. Fig. 5 shows the longitudinal profiles of the
sedimentation delta at each 5-year interval without flushing.
As the results of annual sediment inflow, outflow and trapped sediment in the reservoir
without flushing, the one-dimensional HEC-RAS model confirmed that the trapped
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sediment volume is 58 % of sediment inflow and 61 % by Brune’s formula. The
performances of sediment profiles suggest the following points:
 According to the longitudinal profiles of the sedimentation delta, it is expected for the
LLO inlets and the power intakes to be blocked with sediment within 20 to 25 years
after the start of operation.
 After 15 years, the foot of the sedimentation delta is developed only up to El.780 m
(50 m below LLO inlet) 9 km upstream of the dam with its El.910 m (130 m depth on
top), which conforms to the stable slope of 5.3 m/km of the Tarbela reservoir’s
guideline.
 It is likely that the sedimentation delta will rapidly approach the dam exceeding the
stable slope. This might bring the sudden collapse of the delta and could result in the
blockage of the LLO inlets.
Consequently, the non-flushing operation might be allowed for only 15 years if there will
be no dam development in the upstream river. The project may prolong flushing operation
up to 15 years after the start of operation, since it would contribute not only for
maximization of annual energy production in the 15 years but also mitigation of annual
sediment inflow in the Tarbela reservoir. After a dam development in the upstream river,
flushing operations would not be required for further 30 years.
d:\Dasu HydroPower Project 2\DASUHYDROPOWERPROJ.sed44
Indus River-Indus River
3200 Legend
After 30 yrs After 25 yrs 01JAN2027 01:00:00-Ch In

12DEC2031 01:00:00-Ch In
3100 30OCT2036 01:00:00-Ch In
22NOV2041 01:00:00-Ch In
03OCT2046 01:00:00-Ch In
14OCT2051 01:00:00-Ch In
3000
16NOV2056 01:00:00-Ch In
870 2900 After 20 yrs River bed

Ch In ve rt E l (ft)
840 2800 After 5 years
2700
810
After 10 years
2600
After 15 years
2500
0 50000 100000 150000 200000 250000
Main Channel Distance (ft)
9km
Figure 5. Longitudinal sediment profiles without flushing (Ackers-White Formula)
4.2. Design of Flushing Facilities
In general, the flushing operations are divided into two types; pressure-flow and free-flow
operation. After the hydraulic simulation regarding the moving performance of the
sediment delta profile under hydraulic conditions by both methods, the free-flow flushing
operation was judged to be adopted as the most suitable method.
Nine LLOs with 6.4 m diameter are provided under the spillway bays and their total flow
capacity is 2,280 m3/s under free-flow conditions. However, the detailed sediment
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management study reported in the previous section indicates that a larger discharge for
sediment flushing is preferable and results in maintaining the sustainability of the reservoir.
Then, the flow capacity of 4,400 m3/s through the LLOs and the flushing tunnels is
determined by the following considerations:
 The flushing discharges are generally recommended to be twice of the annual mean
flow. It is worldwide experience on the large dams being flushed at regular basis. As
the annual mean inflow is 2,102 m3/s, the required discharge capacity will become
more than 4,200 m3/s.
 It is appropriate to flush the sediment in June before entering in a peak high flow
season (July to August), since the monthly average inflow discharge of June is 4,329
m3/s. The high flow season is crucial for power generation to maximize the annual
energy outputs.
 A circular section with 6.4 m inner diameter is recommended for the LLOs as the
maximum size in a view of peripheral tensile and shear stresses around the LLO pipes.
Then, as the total discharge capacity of the nine LLOs is limited to 2,280 m3/s under
free-flow conditions, other facility is required for flushing external to the dam.
 To overcome the above situations, the balance of the required discharge, 2,120 m3/s
(i.e = 4,400 - 2,280), will be released through two flushing tunnels to be excavated in
the right bank of the dam. This is on the opposite bank to the diversion tunnels and the
power intakes.
4.4. Recommended Flushing Operation
A drawdown for flushing should be executed in May to June, since such operation will
allow refilling the reservoir immediately after the drawdown flushing in mid-June, for a
quick starting of power generation with high flows due to snow melt. A rapid refilling of
the reservoir would achieve greater power generation during the rest of the season. Once
the reservoir water level is lowered to El.842.55m by the LLOs, the free-flow flushing
operation through the LLOs and flushing tunnels should be started simultaneously.
The tentative operation manual for the flushing operations is described below: The flushing
operations are divided into the following two periods with consideration of the discharge
capacities of the LLOs and the flushing tunnels, and the indispensable period for an annual
inspection at the flushing tunnels:
 1st flushing schedule: May 20 to June 20 operated together with LLOs and flushing
tunnels, and
 2nd flushing schedule: Sep.10 to Oct.10 operated by LLOs only.
When no flushing is being undertaken, the flushing tunnels should be closed by both the
guard and the main gates in the gate chamber at just d/s of dam axis, whilst the stoplogs at
the tunnel inlets are removed. Just after starting of LLOs operation under free-flow
conditions, the flushing tunnels are closed by stoplogs and the inside of the tunnels is dryed
by opening the guard and main gates. The inspection of the flushing tunnels would then
immediately be started. If significant damages were to be found in the flushing tunnels,
necessary repair and remedial works should then be commenced. Conversely, if no damage
was observed, the stoplogs should be removed for flushing operation through the flushing
tunnels.
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5. RCC MIX DESIGN USING LOCAL NATURAL POZZOLAN
5.1. Development of the Mixture Proportion for the RCC
The only practical pozzolans that are available in any quantities in Central and Northern
Pakistan are natural pozzolans; flyash and blast-furnace slag are only available in small
quantities and only in Southern Pakistan and are too far from the Dasu site. It is also not
practical to import materials in the quantities required for the Dasu dam.
An extensive search was made for natural pozzolans within an accessible range from the
Dasu site. Although six different locations were investigated as sources of natural
pozzolans, only one was proved to be practical in terms of quality, availability and distance
from the site, which is located in Gini, around 128 km upstream from the Dasu site along
the KKH. Several Portland cements were also tested, however, only two productions were
proved to be practical at this moment. The aggregate is quarried from a diorite area which
is located at around 8 km upstream from the Das site within the dam reservoir area.
The Trial Mix Programme was undertaken in three stages, Stage 1 in April 2012 to assess
the performance of the various cementitious materials, Stage 2 in September 2012 to refine
the mixture proportions of the RCC and to develop the leveling concrete (that will be used
to create a platform onto which the RCC can be placed) and Stage 3 to study the high-
strength RCC (see Section 3) applied for the surface of the dam. Fig. 6 shows the 182- and
365-day best-fit relationships from the Stage 1 and Stage 2 Trial Mix Programmes (both
Stages were used to develop the 182-day relationship, Stage 1 was used for the 365-day
relationship). Also shown in the Fig. 6 are the design strengths required for the RCC1 (25
MPa) and RCC2 (20 MPa).
Figure 6. Relationship between 182- and 365-day cylinder compressive strength and Portland
cement and natural pozzolan contents of RCC
The determined mixture proportions of these RCCs are shown in Table 3, although those
for RCC5 (30 MPa) will be refined after the Stage 3 Trial Mix Programme. Although the
natural pozzolan from Gini does not have a particularly good performance in concrete, it
has proved to be possible to develop high-strength RCCs.
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Table 3. Proposed Mixture Proportion of RCC for the Dasu Dam
Characteristic Mixture Proportion (kg/m3)
cylinder compressive
Portland Natural Note
strength @356 days
Cement Pozzolan
(MPa)
Used for lower part of the dam body
RCC1 25 150 60
(below El.850.2 m)
Used for upper part of the dam body
RCC2 20 120 90
(above El.850.2 m)
U/S and D/S surface of the dam body
High strength RCC 30 260 50
(Under mixture test)
5.2. Proposed Simple Construction Methodology for the Placement of RCC
Due to the power crisis in Pakistan, the construction of the Dasu Project is implemented as
rapidly as possible. It is intended that the 4.1 million m3 of RCC in the dam body be placed
in 27 months at an average rate of 150,000 m3/month. This would be slightly faster than
the fastest average placement rate yet achieved in an RCC dam (142,750 m3/month at the
Longtan dam in China). In order to achieve this rate of placement, the concrete and other
plant will have to have sufficient capacity and the method of construction will have to be
as simple as possible, because with simplicity will bring speed and speed will bring quality
and economy. Consequently at Dasu, it is proposed that the layers of RCC will be placed
horizontally from one abutment to the other on a continuous basis.
The defining factor that can determine the placement rate in the Dasu dam may be the
delivery rate of materials such as cement, aggregate and natural pozzolans. During the
peak months, maximum placement of RCC per month might be expected to be 300,000 m3,
or even more (less than the 400,000 m3: peak at the Longtan dam) and this will require
some 650,000 tonnes of aggregate and 65,000 tonnes of cementitious materials (over 100
trucks per day) to be delivered to the site. Essentially the Project will become a material-
handling exercise.
6. CONCLUSION
A challenging seismic design using 2D/3D dynamic analyses was adopted on the design of
the Dasu dam. Different response accelerations were seen in the results between the 2D
and 3D analyses, considered to be caused by the topographic condition at the site. Though
crack penetration was supposed in the upper zone of the dam body, it is verified that safety
will be maintained without any collapses on the dam body. As for the hydraulic structures,
model tests especially for the flushing tunnels are being undertaken at present to ensure the
well performances of their functions. As for the RCC, further test mix for high strength
RCC will be also undertaken. After the finalization of the design based on these studies,
the procurement process is going to start in 2014.
REFERENCES
I. Araki, H. M. Farooq Ahmed, M. R. H Dunstan (2013): The Dasu Hydropower Project, A

simple high RCC dam in Pakistan, : Hydro 2013 International Conference and
Exhibition, International Journal on Hydropower & Dams, Innsbruck, Austria.
ICOLD (2010): Selecting Seismic Parameters for Large Dams, : Bulletin 72, 2010
Revision
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Effects of limited number of slip circles and arbitrary slip circles

on sliding deformation of embankment dams due to earthquakes
Sho FUJIKAWA, Hiroyuki SATO & Yasufumi ENOMURA

Public Works Research Institute, Tsukuba, Japan
s-fujikawa44@pwri.go.jp
ABSTRACT:
Evaluation of seismic performance of dams is important. According to “Guidelines for Seismic
Performance Evaluation of Dams against Large Earthquakes (Draft)” issued by the River Bureau
of the Ministry of Land, Infrastructure, Transport and Tourism in Japan in March 2005, sliding
deformation is identified one of the most important issues in the evaluation of seismic performance
of embankment dams.
To calculate sliding deformation, static analysis of embanking and impounding processes is firstly
performed to evaluate static stress distribution. Seismic response analysis is secondly performed
and finally sliding deformation analysis is conducted.
To evaluate sliding deformation of embankment dams due to earthquakes, Newmark’s method is
widely used. In the sliding deformation analysis, number of slip circles is generally restricted due
to capacity of computer and a few dozens of slip circles has been used in many previous researches.
However, similar to the static sliding stability analysis, method for arbitrarily searching a circle of
maximum sliding deformation is also desirable in Newmark’s method. Therefore, we conducted a
research to investigate the effects of the limited number of slip circles and the arbitrary slip circles
on sliding deformation of embankment dams based on Newmark’s method due to earthquakes for a
model dam of an earth core rockfill dam.
We compared the results between the limited number of slip circles and the arbitrary slip circles,
and we confirmed that the maximum sliding deformation of the arbitrary slip circles was larger
than that of the limited number of slip circles.
Keywords: Rockfill dam, Newmark’s method, sliding deformation, arbitrary slip circles
1. INTRODUCTIONS
The evaluation of seismic performance of dams plays an important role in dam risk
management. “Guidelines for Seismic Performance Evaluation of Dams against Large
Earthquakes (Draft)” issued by the River Bureau of the Ministry of Land, Infrastructure,
Transport and Tourism in Japan in March 2005, (hereinafter, “The Guidelines (Draft)”)
stipulates that the seismic performance of a dam must maintain its reservoir functions,
because when an uncontrollable release of reservoir water is caused by large earthquake
motion, the region along the downstream river is in danger of disastrous damage.
According to the Guidelines (Draft), the seismic performance of an embankment dam is
evaluated by sliding deformation as a basic evaluation index to confirm that there is no
danger of reservoir water overflowing the dam and that there is no danger of seepage
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failure of embankment dams. Therefore, the sliding deformation during a large earthquake
is an important index for the evaluation of seismic performance of embankment dams.
A method widely used to calculate the sliding deformation of an embankment dam during
an earthquake is to firstly perform static analysis considering the embanking and
impounding processes to calculate the static stress before the earthquake, then performing
seismic response analysis and using the results of the seismic response analysis to calculate
the sliding deformation by the Newmark’s method. (Yamaguchi et al., 2009)
Regarding the method used to set the slip circles to calculate the sliding deformation based
on the Newmark’s method, because the number of slip circles is generally restricted due to
capacity of computer, a few dozens of slip circles has been used in many previous
researches. (Yamaguchi et al., 2005) However, similar to the static sliding stability analysis,
the method for arbitrarily searching a circle of the maximum sliding deformation is also
desirable in the Newmark’s method.
Therefore, in this paper, we conducted a research to investigate the effects of the limited
number of slip circles and the arbitrary slip circles on the sliding deformation of
embankment dams based on the Newmark’s method due to earthquakes for a model dam of
an earth core rockfill dam.
2. SLIDING DEFORMATION ANALYSIS DURING AN EARTHQUAKE BASED

ON THE NEWMARK’S METHOD
2.1 Outline of the analysis method
Embanking analysis and impounding analysis were done to obtain the static stress before
the earthquake, then seismic response analysis was performed based on the equivalent
linearization method.
In order to account for the non-linear properties of embankment dam body materials in the
embanking analysis, non-linear elastic analysis based on the Duncan-Chang model was
performed. (Duncan et al., 1970) Next, the impounding analysis was conducted to obtain
the seepage force and buoyancy in the embankment dam body during impounding. The
embanking analysis results and impounding analysis results were superimposed to
calculate the static stress and deformation before the earthquake. The initial shear modulus
calculated based on the initial stress of the embankment dam body and the dynamic
deformation properties were used to perform the seismic response analysis, calculating the
response acceleration of the embankment dam body caused by the earthquake.
Later, the time history of average values of the response acceleration of the sliding soil
mass inside a circle was used to calculate the sliding deformation during the earthquake
based on the concept of the Newmark’s method. (Newmark, 1965) Hereinafter, this series
of analysis methods will be called the Newmark’s method.
2.2 Analysis Model
The analysis model of an earth core rockfill dam with a height of 100m and the crest width
of 10m shown in Figure 1 is used. The upstream and downstream slope gradients of the
core and filter zones were 1:0.2 and 1:0.35, respectively. The upstream and downstream
slope gradients of the rock zones were decided according to the static sliding stability
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analysis based on the seismic coefficient method. The seismic coefficient k of 0.15 and
reservoir water level which was 92% of the dam height are used and the minimum safety
factor is 1.2 in the seismic coefficient method. As a result of the static sliding stability
analysis, the slope gradients on the upstream and the downstream sides of the rock zones
were 1:2.7 and 1:1.9, respectively. Table 1 shows the physical properties of the dam body
materials used for the static sliding stability analysis. The shear strength was evaluated
based on the c-φ method and the cohesion, c, of the materials was set as zero using the
design values of an existing earth core rockfill dam.
6
m
H：Dam Height
2
m
2
m
h：Reservoir Water Level
h(=0.92H)=92m
1
5
:
7
1
. 3
.
2
:
9
.
1
1
H=100m
0
:
:
0
1
.
3
5
Rock 2
.
1
Rock
ロック 0 コア
Core
: ロック
:
0
1
.
2
フFilter
ィルタフFilter
ィルタ
Figure 1. Analysis model (dam body part)
Table 1. Input physical properties for static sliding stability analysis

Wet Density Saturated Density Cohesion Internal Friction Angle
M aterial
ρ t (t/m3) ρ sat (t/m3) c (kN/m2) φ (ﾟ )
Core 2.07 2.10 0 36.0
Filter 2.08 2.15 0 37.0
Rock 2.01 2.11 0 41.5
Figure 2 shows the elements of the embanking analysis model. The modeling range of the
foundation was approximately 3 times the dam base length in the horizontal direction and
approximately 2 times the dam height in the vertical direction. For the embanking analysis,
the dam body and foundation were modeled. For the seepage flow analysis, the core zone
and upstream rock and filter zones was modeled. For the seismic response analysis and the
sliding deformation analysis, the dam body was modeled.
Figure 2. Elements for embanking analysis
2.3 Embanking analysis
Table 2 shows the parameters of the Duncan-Chang model and the material properties used
for the embanking analysis. The material properties were the design values of an existing
earth core rockfill dam in Japan. The foundation was presumed to have linear deformation
properties. Boundary conditions of the foundation were vertical roller for the side
boundaries and fixed for the bottom.
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Table 2. Material properties for the embanking analysis
Physical properties Static deformation properties Shear strength properties
Elastic M odulus E t Poisson’s Ratio ν t Internal
Wet Saturated
M aterial Cohesion Friction
Density Density
K n Rf G F D c (kN/m2) Angle φ
ρ t (t/m3) ρ sat (t/m3)
(ﾟ )
Core 2.07 2.10 281.6 0.564 0.785 0.342 0.1 8.3 15.2 36.0
Filter 2.08 2.15 947.2 0.317 1.042 0.303 0.344 7.21 23.5 37.0
Rock 2.01 2.11 1073.5 0.131 0.744 0.24 0.183 10.68 64.7 41.5
Foundation ― 4,312 M N/m2 0.25 ―
2.4 Impounding analysis
Table 3 and Figure 3 show the properties of the core material used for seepage analysis.
The water level was assumed to be 92% of the dam height. The seepage force and
buoyancy obtained by the seepage analysis were caused to act on the core, upstream sides
both filter and rock zones. For upstream rock and filter zones, which are higher than the
seepage surface, the stress was assumed to be unchanged from the embanking analysis.
Table 3. Material properties for seepage analysis

Water Level Permeability Coefficient Porosity
M aterial
(m) k (m/s) n
Core 92 1.E-07 0.338
150 1
ψ
135 0.9
K
120 0.8
Relative Permeability K
Suction Pressure（m) ψ
105 0.7
90 0.6
75 0.5
60 0.4
45 0.3
30 0.2
15 0.1
0 0
0 0.1 0.2 0.3 0.4
Water Content by Volume
Figure 3. The unsaturated seepage properties of the core material
2.5 Seismic response analysis
Table 4 and Figure 4 show the dynamic deformation properties and the strain dependency
properties of the materials used for the seismic response analysis. The dynamic
deformation properties were decided based on the dynamic deformation test results
obtained from laboratory tests using dam body materials of an existing earth core rockfill
dam in Japan. In this paper, elements above the seepage line were considered to be the
unsaturated parts, and elements below the seepage line were considered to be the saturated
parts. For the saturated part, the material properties of the dynamic deformation properties
of the saturated conditions in Table 4 and Figure 4 were used. For the unsaturated part, the
properties of unsaturated conditions were used in Table 4 and Figure 4. For the dynamic
Poisson’s ratios, Sawada’s formula was used. (Sawada et al., 1977) In this paper, because
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the dam body was only considered for the seismic response analysis, the energy dissipation
in the foundation was considered as the equivalent dissipation damping ratio by increasing
the material damping ratio uniformly by 15% and the boundary condition of the bottom
was fixed.
Table 4. The dynamic deformation properties used for the seismic response analysis
Dynamic deformation properties
M aterial Initial Shear M odulus G 0*1 Strain dependency properties*2 Poisson’s
(M N/m ) 2
γ ～G /G 0 γ ～h Ratio ν
saturated 335σ´ m 0.496 γ r =6.52×10-4 h max =15.6%
Core 0.444 -3
unsaturated 295σ´ m γ r =1.06×10 h max =18.0%
saturated 523σ´ m 0.580 γ r =4.20×10-4 h max=16.4% Sawada’s
Filter
unsaturated 628σ´ m 0.665
γ r =4.74×10 -4
h max=15.6% formula*3
0.479 -4
saturated 474σ´ m γ r =4.45×10 h max=13.9%
Rock
unsaturated 737σ´ m 0.680 γ r =4.80×10-4 h max=14.0%
*1) ´ : Average effective stress after seepage analysis ´ 1 /3
*2) / 1 1 / , 1 /
*3) ν 0.450 0.006 . : core material
ν 0.375 0.006 . : filter and rock materials (shallower than the seepage line)
ν 0.490 0.001 . : filter and rock materials (depper than seepage line)
Z : depth from the surface of the dam body (m)
Shear Modulus(saturated) Shear Modulus(unsaturated) Damping Ratio(saturated) Damping Ratio(unsaturated)

G/G0 : Shear Modulus h : Damping Ratio γ : Shear Strain
1.0 20 1.0 20 1.0 20
0.8 16 0.8 16 0.8 16
0.6 12 0.6 12 0.6 12

G/G0
G/G0
h(％)
h(％)
G/G0
h(％)
0.4 8 0.4 8 0.4 8
0.2 4 0.2 4 0.2 4
0.0 0 0.0 0 0.0 0

1.E-6 1.E-5 1.E-4 1.E-3 1.E-2 1.E-1 1.E-6 1.E-5 1.E-4 1.E-3 1.E-2 1.E-1 1.E-6 1.E-5 1.E-4 1.E-3 1.E-2 1.E-1
γ γ γ
(a)Core (b)Filter (c)Rock

Figure 4. The strain dependency properties of shear modulus and damping ratios
As the input seismic motion, the seismic record observed in the inspection gallery of the
Minoogawa dam of an earth core rockfill dam during the Southern Hyogo prefecture
earthquake in 1995 was used. Figure 5 shows the seismic motion observed at the
Minoogawa dam. In this paper, the maximum acceleration of the time history in the
upstream-downstream direction of the seismic motion at the Minoogawa dam was
amplified to 1,000gal. The vertical seismic motion at the Minoogawa dam was also
amplified using the same multiplier for the upstream-downstream direction seismic motion.
The input seismic motion was input from the bottom of the dam body.
1.5 1.5
Acceleration (m/s2)
Acceleration (m/s2)
1.0 1.0
0.5 0.5 0.80m/s 2
0.0 0.0
-0.5 -0.5
-1.0 -1.0
-1.5 -1.35m/s 2 -1.5
0 2 4 6 8 10 12 14 16 18 20 0 2 4 6 8 10 12 14 16 18 20
Time (sec) Time (sec)
(a)Upstream-Downstream Direction (b)Vertical Direction

Figure 5. Acceleration time histories of the seismic motion observed at the Minoogawa dam
II - 84
2.6 Method of setting the hypothetical slip circle
The circle used for the sliding deformation analysis during the earthquake was set using the
methods of setting the limited number of slip circles and the arbitrary slip circles.
2.6.1 Method of setting the limited number of slip circles

Figures 6 and 7 show a limited number of slip circles that were set in the sliding
deformation analysis. A total of 4 circle groups was set, with the circles on the upstream
side set as 2 circle groups—shallow circles [1] to [5] and deep circles [6] to [10] as circles
which passed only through the rock zone, and at the same time, 2 circle groups—deep
circles [11] to [15] and deep circles [16] to [20] as circles which passed through the core
zone. The values of y/H were used for the decision of the depths of the circles, where y
represents circle depth and H represents dam height. The values of y/H were set at 0.2, 0.4,
0.6, 0.8, and 1.0. A total of 20 circles were used in the upstream side shown in Figure 6.
Circles were set similarly for the downstream side so a total of 20 circles were set for the
downstream side. The circle groups are called the limited number of slip circles in this
paper.
⑤
④ ⑳
③ ⑲
⑱
②
⑩ ⑮
⑨ ⑭ ⑰
① ⑧ ⑬
⑦ ⑫ ⑯
⑥ ⑪
y H
天端上流端始点の浅いすべり天端上流端始点の深いすべり天端下流端始点の深いすべり天端下流端から天端幅下がり始点の深いすべり
Figure 6. Upstream side slip circles of the limited number of slip circles
⑤
④ ⑳
⑲
③ ⑱
② ⑩ ⑮ ⑰
⑧⑨ ⑬⑭
① ⑥⑦ ⑪⑫ ⑯
天端下流端始点の浅いすべり天端下流端始点の深いすべり天端上流端始点の深いすべり天端上流端から天端幅下がり始点の深いすべり
Figure 7. Downstream side slip circles of the limited number of slip circles
2.6.2 Method of setting the arbitrary slip circles

Figure 8 is a diagram of the grid partitions, which are the center points of the arbitrary slip
circles. Figure 8 also shows an example of circles at one center point. As shown in Figure
8, the center points of the arbitrary slip circles were distributed including all center points
of the limited number of slip circles. Next, for one grid point of one center point of circles,
a minimum thick circle with radius 5m from the dam body surface was prepared as shown
on the right side of Figure 8. Next, the radius of a circle was increased in increment of 5m.
The circles were set in a range that does not exceed the maximum depth of the dam bottom.
Approximately 2,600 and 2,200 circles were prepared in the upstream and downstream
sides, respectively. In this paper, these circle groups are called the arbitrary slip circles.
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Minimum thick circle
Minimum thickness：5m
Increment thickness：5m
Figure 8. Explanatory diagram of the arbitrary slip circles
2.7 Sliding deformation analysis
Sliding deformation analysis was done using the strength material properties in Table 1
using the Newmark’s method. The strength physical properties were set based on the c-φ
method and the cohesion, c, was set as zero.
2.8 Analysis results
Figure 9 is a diagram showing the maximum response acceleration distribution in the

upstream-downstream direction based on the seismic response analysis. Overall, the
maximum response acceleration tends to decrease from the dam body bottom towards its
surface. This is presumed to be a result of the non-linearity of the dynamic deformation
properties of the dam body materials.
(m/s 2 )
Figure 9. Maximum acceleration distribution in the upstream-downstream direction
The sliding deformation analysis results obtained by the Newmark’s method are shown in
Table 5 and circles on which the maximum sliding deformations are produced on the
limited number of slip circles and the arbitrary slip circles are shown in Figure 10. The
contour figure of Figure 10(b) shows the maximum sliding deformations by the arbitrary
slip circles at all grid points.
In the limited number of slip circles on the upstream side, the maximum sliding
deformation is produced on the shallow circle [1] that passes through only the rock zone,
and the sliding deformation is 0.19m. In the arbitrary slip circles on the upstream side, the
maximum sliding deformation is produced at the circle number 1590 in the high elevation
on the slope surface, and the sliding deformation is 0.33m, which is 1.7 times larger than
that of the circle [1] of the limited number of slip circles. It is assumed that the maximum
sliding deformation based on the arbitrary slip circles is larger than that of the limited
number of slip circles because among the limited number of slip circles on the upstream
side, shallow small circles are not set on the high elevation of the saturated part with
II - 86
smaller strength properties.
Among the limited number of slip circles on the downstream side, the maximum sliding
deformation is produced on the shallow circle [5] that passes through only the rock zone,
and the sliding deformation is 0.03m. Among the arbitrary slip circles on the downstream
side, the maximum sliding deformation is produced at the circle number 2142 in the
middle elevation of the slope surface, and the sliding deformation is 0.37, which is 12
times larger than that of the circle [5] of the limited number of slip circles. Similarly to the
upstream side, the circle at which the maximum sliding deformation of the arbitrary slip
circles on the downstream side is a shallow small circle on the middle elevation of the
slope surface, which is not considered by the limited number of slip circles.
Table 5. The maximum sliding deformation by the limited number of slip circles
and the arbitrary slip circles
Upstream side Downstream side
Method of setting slip circles Circle Maximum Circle Maximum
number sliding deformation（m） number sliding deformation（m）
limited number of slip circles ① 0.19 ⑤ 0.03
arbitrary slip circles 1590 0.33 2142 0.37
Maximum sliding formation (m)

⑤
1590
2142
( a) limited number of slip circles ( b) arbitrary slip circles
Figure 10. Circles of the maximum sliding deformation
2.9 Considerations of the effects of the arbitrary slip circles and the limited number
of slip circles on the sliding deformations by the Newmark’s method
The circles where the maximum sliding deformations occurred on the arbitrary slip circles
are shallow circles on the slope surfaces both upstream and downstream. Here, the effects
of the arbitrary slip circles on the maximum sliding deformation are considered.
Figures 11 and 12 show the results of the sliding deformations of the arbitrary slip circles
with the horizontal axis of the circle number and the vertical axis of the sliding
deformation of the circle categorized by the depth of the circles. The red lines shown in
Figures 11 and 12 represent the maximum sliding deformation by the limited number of
slip circles. Figures 11 and 12 show that the circles where the sliding deformations are
larger than the red lines are often the minimum thick circles with depth from the dam body
surface of 5m. This is assumed to be partly a result of using the strength physical
properties at which cohesion is zero according to the c-φ method.
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Figure 13(a) shows circles for which the sliding deformations by the arbitrary slip circles
on the upstream side are 0.19m or larger. Figures 10(b) and 13(a) show that there are many
shallow circles on the middle and high elevation of the slope surface, and there are also
circles on the high elevation at the almost same location of the circle [1] where the
maximum sliding deformation is produced by the limited number of slip circles. As shown
in Figure 13(a), it is confirmed that even among circles in the middle and high elevation,
the sliding deformation produced by the arbitrary slip circles is larger than that by the
limited number of slip circles. On the downstream side, there are many circles where the
maximum slip deformations exceed 0.03m as shown in Figure 13(b). Figure 13(c), which
shows the circles at which the sliding deformations on the downstream side are 0.2m or
larger, reveals that the circles are all concentrated at the middle elevation on the slope
surface, and the maximum sliding deformations of the circles on the high elevation of the
slope surface on the downstream side are between 0.03 and 0.2m.
0.35
Upstream side
depth堤体表面からの深度
from the dam body surface
0.3
Sliding deformation (m)
5m 10m 20m～95m
15m 20m～95m
0.25
0.2
0.15
0.1
0.05
0
0 200 400 600 800 1000 1200 1400 1600 1800 2000 2200 2400 2600
Circle number
Figure 11. Sliding deformations of all circles prepared as arbitrary slip circles
0.4
Downstream side
depth堤体表面からの深度
from the dam body surface
0.35
5m 10m 15m 20m～95m
Sliding deformation (m)
0.3
0.25
0.2
0.15
0.1
0.05
0
0 200 400 600 800 1000 1200 1400 1600 1800 2000 2200
Circle number
Figure 12. Sliding deformations of all circles prepared as arbitrary slip circles
(a) Larger than 0.19m (b) Larger than 0.03m (c) Larger than 0.2m
Figure 13. Circles larger than a certain deformation (arbitrary slip circles)
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3. CONCLUSIONS
The effects on the sliding deformation of the limited number of slip circles and the
arbitrary slip circles were studied concerning the sliding deformation during a large
earthquake at an earth core rockfill model dam by the Newmark’s method. With both the
limited number of slip circles and the arbitrary slip circles, the maximum sliding
deformations were produced by shallow circles on the slope surfaces. The differences
between the sliding deformations based on the limited number of slip circles and the
arbitrary slip circles were about 1.7 times on the upstream side and about 12 times on the
downstream side. It is assumed that one reason for the effects is the fact that shallow
circles were not set in the saturated part at the middle and high elevation of the slope
surfaces in the limited number of slip circles. Among circles which pass through the high
elevation of the slope surfaces, sliding deformations calculated based on the arbitrary slip
circles were larger than the maximum sliding deformations calculated based on limited
number of slip circles.
In the future, analysis varying conditions such as slope gradient, maximum acceleration,
input wave forms and material properties will be performed to further study on the effects
of the limited number of slip circles and the arbitrary slip circles on the maximum sliding
deformation.
REFERENCES
River Bureau, Ministry of Land, Infrastructure, Transport and Tourism (MLIT), (2005):
Guidelines for Seismic Performance Evaluation of Dams during Large Earthquakes
(Draft), Japan. (in Japanese)
Y. Yamaguchi, N. Tomida, and M. Mizuhara, (2009): Influence Analysis and Simplified
Estimation Method of Sliding Deformation of Rockfill Dams due to Large
Earthquakes, Research Report of Public Works Research Institute, No.212, pp.1-31,
Public Works Research Institute, Japan. (in Japanese)
Y. Yamaguchi, N. Tomida and M. Mizuhara, (2005): Effects of Sliding Circle on the
Maximum Sliding Deformation of Rockfill Dams due to Large Earthquakes,
Engineering for Dams, No.229, pp.13-23, Japan Dam Engineering Center, Japan. (in
Japanese)
Duncan, J. M. and Chang, C. Y., (1970): Nonlinear analysis of stress and strain in soils,
Journal of the Soil Mechanics and Foundations Division, 96(SM5), pp.1629-1653,
ASCE, USA.
Newmark, N.M., (1965): Effects of earthquakes on dams and embankment, Geotechnique,
Vol.15, No.2, pp.139-173, USA.
Y. Sawada, T. Takahashi, A. Sakurai, and H. Yajima, (1977): The Distribution
Characteristics of The Material Properties and The Dynamic Behaviors of Rockfill
Dams, CRIEPI Research Report, 377008, pp.67-68, Central Research Institute of
Electric Power Industry, Japan. (in Japanese)
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Cracking on Embankment Dams due to Recent Large Earthquakes

and Direct and Splitting Tensile Strength Tests for Core Material
H. SATO & Y. ENOMURA

h-sato@pwri.go.jp
Y. YAMAGUCHI
Japan Dam Engineering Center (JDEC), Tokyo, Japan
ABSTRACT
The 2011 Tohoku Earthquake and other large earthquakes in recent years in Japan have caused
relatively large cracks on the crests of some embankment dams. Immediately after the 2011 Tohoku
Earthquake, special safety inspections were carried out at over 300 dams in the affected area. As a
result of these inspections, more than 10% of all inspected dams reported some damages. This
ratio rose to 18% for embankment dams. Damage to embankment dams included relatively wide
and/or long cracks mainly on the crests of earthfill dams. After the 1995 Kobe Earthquake, cracks
were also observed on the crest of the Kinjoike dam, an old earthfill dam with a height of 15m
located about 30km from the epicenter. The width of the crack on the crest was narrow about 1cm,
but the crack extended deep into the dam when the dam was excavated to perform repairing work
while checking the crack extension. However, no sliding deformation was observed at the Kinjoike
dam. Results of safety inspections of embankment dams after large earthquakes in Japan have
raised awareness of the importance of evaluating cracks of embankment dams. It is necessary to
evaluate tensile strengths of materials of embankment dams, but almost no tensile strength tests
using materials of embankment dams have been carried out. In this paper, we firstly introduce
cracking generated on embankment dams due to recent large earthquakes. Next, we report the
results of laboratory direct and splitting tensile tests using core material of an existing rockfill dam.
Keywords: Embankment Dam, Earthquake, Cracking, Tensile Strength.
1. INTRODUCTION
When designing embankment dams, levees, and other structures made of soil or other
geotechnical materials, the tensile strength of the materials is normally ignored. It is
ignored, presumably because the tensile strength of geotechnical material is much lower
than its compressive strength and it is not easy to measure the tensile strength of
geotechnical materials. But, it is believed that one cause of phenomena such as slope
failure or hydraulic fracturing of geotechnical materials during construction of levees etc.
and/or during excavation of a slope is cracking caused by tension, and it is important to
evaluate the tensile strength of geotechnical materials in order to evaluate the occurrence
and progress of cracking.
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Results of the safety inspections of embankment dams after the large earthquakes have
raised awareness of the importance of evaluating crack extension of embankment dam
body crests and local failure of the boundaries of embankment dam bodies and concrete
structures. It is necessary to evaluate the tensile strength of dam body material of
embankment dams. But almost no tensile strength tests using construction materials of
embankment dams have been carried out. In this research, core material of an existing
rockfill dam was used to perform direct and splitting tensile tests, to study the impact of
degree of compaction and other test conditions on tensile strength.
2. CRACKING ON EMBANKMENT DAM BODIES DUE TO RECENT LARGE

EARTHQUAKES IN JAPAN
Japan is one of the most prone countries to large earthquakes. Based on the results of post-
earthquake investigations on embankment dams and “Tame-ike”, small agricultural pond,
in Japan, there are three typical damage types of embankment dams due to recent large
earthquakes shown in Figure 1. In this paper, we focus on the third damage type of cracks
on the crest without sliding in Figure 1. Some technical papers of cracking on embankment
dams have been reported after some large earthquakes in Japan.
(1) Sliding (2) Deformation (3) Cracks on crest

without sliding without sliding
Figure 1. Typical damage types of embankment dams due to recent large earthquakes
In 1923, because the Great Kanto earthquake hit around Tokyo area, some earthfill dams
including the Oono dam and the Murayama upper and lower dams were cracked on the
dam body crests. (Okamoto, 1985)
In 1964, after the Niigata earthquake hit around Niigata city, safety inspections for
agricultural earthfill dams were conducted and the number of damaged earthfill dams was
146 among about 8700 inspected earthfill dams. No earthfill dams were failed during the
earthquake, but 7 earthfill dams were collapsed after some days later than the earthquake
day because of such as late seepage failure through cracks in the dam body due to the
earthquake. Cracking on the crests and upstream surfaces of earthfill dams was the main
damage due to the earthquake and cracking were observed in about 80 % of the 146
damaged earthfill dams. (Takase, 1966)
Figure 2 is a photo of the Kinjoike dam, an agricultural old eathfill dam where the crest of
the dam was cracked by the Kobe earthquake in 1995. The Kinjoike dam is an earthfill
dam with a central core about 15 m high and 176 m long located about 30 km from the
epicenter. The construction year of the Kinjoike dam has been unknown, but it was
redeveloped around 1960. It was confirmed that the Kobe earthquake in 1995 generated a
75m long crack in the center of the crest of the Kinjoike dam. As shown in Figure 2, the
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width of the crack on the crest was small at about 1cm. However, when the dam body was
excavated to perform repairing works while checking the depth of the cracks, it was
confirmed that cracking from the crest extended deep into the dam body as shown in the
left side of Figure 3 (Hyogo Prefecture, 1996). The right side of Figure 3 shows the
location of the Kinjyoike dam.
Figure 2. Crack on the crest (left) and repairing work (right) of the Kinjoike dam
after the Kobe earthquake in 1995 (Hyogo Prefecture, 1996)
Kinjyoike dam Kyoto

confirmed crack depth
30km
Osaka
Epicenter of the 1995 Kobe Earthquake
Figure 3. Crack depth of the Kinjoike dam after the Kobe earthquake in 1995 (left)
and location of the Kinjyoike dam (Hyogo Prefecture, 1996)
Cracking on dam body*
Increased leakage
Cracking on dam body* Total number of

and increased leakage damaged dams = 24
Damages to spillway
or intake facilities
0 5 10 15
Number of dams
* Includes minor cracking within pavement on dam
Figure 4. Damage types of embankment dams after the Tohoku earthquake in 2011
(Yamaguchi et al., 2012)
The Tohoku earthquake in 2011 and other large earthquakes which have occurred in recent
years in Japan have caused relatively large cracks on the crests of many embankment dams.
Immediately after the 2011 Tohoku Earthquake, special safety inspections were carried out
at over 300 dams in the affected area. As a result of special safety inspections, more than
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10% of all inspected dams reported some damages. This ratio rose to 18% for embankment
dams. Damage of embankment dams included relatively wide and/or long cracks mainly
on the crests of earthfill dams. 133 embankment dams were inspected, and 24 embankment
dams were reported some minor damages, mainly cracking on dam body shown in Figure 4.
At several dams, reservoir drawdown was necessary to ensure safety and enable
investigations to identify the area and cause of the damage. (Yamaguchi et al., 2012)
3. FUNDAMENTAL PHYSICAL PROPERTIES OF CORE MATERIAL FOR

TENSILE STRENGTH TESTS
3.1. Test Material
Test material was core material of an existing rockfill dam with a center core. The core
material was a mixed material including coarse and fine grain material. The coarse-grain
material was obtained from alternating layers of mudstone, sandstone, and lapilli tuff,
while the fine grain material was talus and deposited sediment. The material was prepared
by mixing at the on-site stockpile, then maximum grain size was adjusted to 2 mm. Figure
5 shows the grain size distribution of the test material.
percentage passing (%)
grain size (mm)
Figure 5. Grain size distribution of test material
Table 1. Results of unconfined compression tests

unconfined
degree of
specimen compression
compaction
strength
2
(%) No. qu(kN/m )
1 281.9
2 282.6
95
3 278.2
average 280.9
1 372.4
2 361.8
100
3 381.8
average 372.0
3.2. Unconfined Compression Tests for Core Material
The unconfined compression tests were conducted according to the Unconfined

Compression Test Method of Soil (JIS A1216). The columnar specimens were height of
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100 mm and diameter of 50 mm. The degree of compaction was set for 2 cases of 95 %
and 100 % and they were prepared at the optimum water content. Specimens were
compacted devided in five layers. The strain ratio of the unconfined compression tests was
set at 1 % per minute. Three specimens were tested for each case. Table 1 shows the results
of the unconfined compression tests.
The result show that the higher the degree of compaction, the higher the unconfined
compressive strength.
4. SPLITTING TENSILE STRENGTH TESTS FOR CORE MATERIAL
4.1. Test Method
The splitting tensile strength tests were conducted according to Concrete Splitting Tensile
Strength Test Method (JIS A1113). The splitting tensile strength is calculated according to
Eq. 1, theoretically.
2P
ft  (1)
dl
Where, ft: splitting tensile strength, P: maximum compressive load, d: diameter of the
specimen, and l: length of the specimen. The dimensions of the specimens were both
diameter and height of 50 mm. The specimens were compacted by five compaction layers.
To study the effects of the degree of compaction and the loading velocity, the splitting
tensile strength tests were conducted for the test cases shown in Table 2. Three specimens
were tested for each case in Table 2. Regarding the compression ratio, the maximum and
the minimum compression ratios of the test equipment were 5 mm/min and 0.05 mm/min
respectively, and a medium value of 0.5 mm/min was also set.
Figure 6 shows a photo of the test. To measure displacements in the tensile direction, as
shown in Figure 6, pushpins were placed at the sides of the specimens, and displacement
gauges were attached to them to measure the displacements in the orthogonal direction to
the compression direction.
4.2. Test Results
Figures 7 and 8 show the specimens after the tests. Although the specimens after the tests
are, as shown in the photos, considered to be slightly affected by the loading plate, cracks
formed vertically in almost the center of the specimens in every case.
Table 3 shows the results of the splitting tensile strength tests. Like the results of the
unconfined compression tests, variations of the splitting tensile strengths were small
among the three specimens in each case.
5. DIRECT TENSILE STRENGTH TESTS FOR CORE MATERIAL
5.1. Test Method
The test device was developed by Tamrakar (Tamrakar, 2004) shown in Figures 9. The test
II - 94
Table 2. Cases for the splitting tensile tests
maximum degree of water compression
number
grain size compaction content ratio
of tests
(mm) (%) (%) (mm/min)
2 95 wopt 0.5 3
2 100 wopt 0.05 3
2 100 wopt 0.5 3
2 100 wopt 5 3
pushpin
画鋲
Figure 6. Photo of the splitting tensile test
Figure 7. Specimens after the splitting tensile tests (D=95%)
Figure 8. Specimens after the splitting tensile tests (D=100%)
Table 3. Results of the splitting tensile tests

displacement orthogonally to loading
dry density
degree of compression direction at maximum compression
compaction ρd ratio stress (mm) splitting tensile strength (kPa)
D(%) (g/cm3 ) (mm/min) No1 No2 No3 average No1 No2 No3 average
95 1.413 0.5 0.458 0.396 0.634 0.496 22.7 23.3 22.4 22.8
100 1.487 0.5 0.260 0.152 0.248 0.220 24.4 26.0 26.2 25.5
100 1.487 0.05 0.224 0.194 0.346 0.255 22.7 22.9 21.8 22.5
100 1.487 5 0.210 0.334 0.194 0.246 30.7 27.5 30.4 29.5
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device is made up of two parts, a fixed part and a movable part. The movable part can
move freely in the tensile direction using a linear slide under the movable part. The
frictional resistance during slide is almost zero because of the linear slide under the
movable part. The surface area of the mold is 38.5 cm2, its depth is 5cm and the width of
the contact part of the mold is 3 cm as shown in the right side of Figure 9. The tensile force
is measured by a load cell on the movable side in Figure 9.
The test material was adjusted to the optimum water content, then placing the material
necessary for the target degree of compaction inside the mold, placing a collar on the top
of the mold, and statically pressing the collar from above with a loading plate of the same
shape as the mold cross section to compact the specimen. The mold with depth of 5 cm
was compacted divided into four layers.
fixed part moving part
5cm
3cm
Figure 9. The direct tensile test equipment (left) and the test mold (right)
5.2. Test Conditions
The test conditions were set at two degrees of compaction: 95 % and 100 %. The tensile
strain ratio was set at three values: 0.01 mm/min, 0.1 mm/min, and 1 mm/min. Three
specimens were tested under each test case of a total of 6 sets of test conditions set
combining 2 degrees of compaction and 3 tensile strain ratios.
5.3. Test Results
Figure 10 shows the specimens for the direct tensile strength tests before and after the tests.
On the specimens after the tests, the crack that formed at the time of failure was straight
line in the center of the specimens in every test case.
Figure 11 shows the relationship of displacement and tensile stress at the degrees of
compaction of 95 % and 100 %. Tensile stresses show clear peaks, and when
displacements were higher than about 1 mm, tensile stresses were almost zero.
Figure 12 shows the relationship of tensile strain ratio and tensile strength. The tensile
strength at the degree of compaction 100% is about 10 kPa larger than the tensile strength
of the degree of compaction of 95 %. The larger the tensile strain ratio, the larger the
tensile strength tends.
Figure 13 shows the relationship of displacement at the failure and tensile strength. The
displacement at the failure means the displacement value when the tensile stress has peak
II - 96
value in Figure 11. Figure 13 shows the result for each degree of compaction and for each
tensile strain ratio. The displacement at the time of failure was distributed roughly from
0.05 mm to 0.1 mm. The displacements at the time of failure at the degree of compaction
of 100 % tend to be slightly larger than those of 95 %, but it is not very clear.
Figure 10. Specimen before (left) and after (right) the direct tensile test
40 50
1.0mm/min 1.0mm/min
40
30 0.01mm/min 0.01mm/min
tensile stress (kPa)
tensile stress (kPa)
0.1mm/min 30 0.1mm/min
20
20
D=95% D=100%
10
10
0
0
0 0.5 1 1.5 0 0.5 1 1.5
displacement (mm) displacement (mm)
Figure 11. Relationships between displacement and tensile stress
50
40
tensile strength (kPa)
30
20 D=95%
D=100%
10
0
0.001 0.01 0.1 1 10
tensile strain rate (mm/min)
Figure 12. Relationships between tensile strain ratio and tensile strength
Figure 14 shows both the splitting tensile strengths and the direct tensile strengths. Figure
14 categorizes the tensile strain ratio based on degree of compaction as the horizontal axis
and shows the direst and splitting tensile strengths. Figure 14 shows that the direct tensile
strengths tend to be higher than the splitting tensile strengths, and that the direct tensile
strengths at the degree of compaction of 100% in particular, are larger from 10 to 20 kPa
than the splitting tensile strengths. Like the direct tensile strength, the splitting tensile
strength increases as the tensile strain ratio rises.
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Table 4 shows the results of the direct tensile strength tests and the unconfined
compressive strength tests. When the degree of compaction is 95 %, the ratio of the direct
tensile strength to the unconfined compressive strength ranges from 9.1 % to 10.6 %.
When the degree of compaction is 100 %, the ratio of the direct tensile strength to the
unconfined compressive strength ranges from 9.4 % to 11.8 %. As the ratio of the direct
tensile strength to the unconfined compressive strength is within the range of values in the
tensile strength test results based on existing core materials or soil materials (Sato, 2008).
Because the ratio is similar to that of concrete, tensile strength of soil material and other
core materials of rockfill dams may be able to be estimated with a certain degree of
precision based on unconfined compressive strength.
50
40
30 D95%(0.01mm/min)
D95%(0.1mm/min)
20 D95%(1.0mm/min)
D100%(0.01mm/min)
10
D100%(0.1mm/min)
D100%(1.0mm/min)
0
0.00 0.05 0.10
displacement at tensile fracture (mm)
Figure 13. Relationships between displacement at failure and tensile strength
50
45
40
35
30
25
20
D95% direct tensile test
15
D100% direct tensile test
10
D95% splitting tensile test
5
D100% splitting tensile test
0
0.01 0.1 1 10
tensile stress ratio (mm/min)
Figure 14. Comparison of results of splitting and direct tensile tests
Table 4. Relationship between direct tensile strength and unconfined compressive strength
degree of tensile strain direct tensile unconfined compressive direct tensile strength/unconfined
compaction ratio （mm/min） strength （kPa） strength （kPa） compressive strength
0.01 25.72 0.092
95% 0.1 25.56 280.9 0.091
1 29.77 0.106
0.01 38.21 0.103
100% 0.1 34.78 372.0 0.093
1 43.72 0.118
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6. CONCLUSIONS
In this paper, we focus on cracking on embankment dams due to large earthquakes. We

introduce some examples of cracking on embankment dams due to large earthquakes in
Japan. Because tensile properties of embankment materials are important, the splitting and
direct tensile tests were conducted using core material of an existing rockfill dam. During
the tests, straight tension cracks at the center of the specimens were observed. Based on the
results of the splitting and direct tensile tests, the tensile strength of the specimen with the
higher degree of compaction tended to be larger. And if the tensile strain ratio was larger,
the tensile strength also tended to be larger. These tests revealed that the ratio of the direct
tensile strength to the unconfined compressive strength is about 0.1, which is within the
range of the results of the existing tensile tests of soil materials.
As Sherard pointed out in his paper (Sherard, 1973), the tensile strengths of the core
material have some relationships to the degree of compactions. Tatsuoka also pointed out
in his paper (Tatsuoka, 2006) that the better the degree of compaction of embankment
dams, the better the performance of embankment dams against sliding deformation,
settlement and cracking due to earthquakes. The results in this paper agree with these
opinions of the specialists.
In the future, we wish to conduct research to evaluate tensile strength of core materials
using other embankment dams and to clarify the mechanism of cracking and evaluate the
crack depth on the crest of embankment dams during earthquakes. We also wish to conduct
analysis which can reproduce cracks due to earthquakes and develop a method to evaluate
safety of embankment dams during large earthquakes based on the results of crack analysis.
REFERENCES
S. Okamoto (1985): Design of Structures considering Seismic Forces, 226p., Japan (in
Japanese).
K. Takase (1966): Damage to Earthfill Dams due to Earthquakes, Soil mechanics and
foundation engineering, the Japanese Geotechnical Society, Vol.14, No.10, pp.3-9,
Japan (in Japanese).
Hyogo Prefecture (1996): Records of Damages to Agricultural Facilities during the Kobe
Earthquake, Japan (in Japanese).
Y. Yamaguchi, M. Kondo and T. Kobori (2012): Safety Inspections and Seismic Behavior
of Embankment Dams during the 2011 off the Pacific Coast of Tohoku Earthquake,
Soils and Foundation, the Japanese Geotechnical Society, Vol.52, Issue5, pp.945-955,
Japan.
S. B. Tamrakar, Y, Toyosawa and K. Itoh (2004): Tensile Strength of Compacted and
Saturated Soils using Newly Developed Tensile Strength Measuring Apparatus, 39th
Japan National Conference of Geotechnical Engineering, pp.251-252, Japan.
H. Sato and Y. Yamaguchi (2008): Effect of Consolidation on Split Tensile Strength of
Core Materials after Cracking, Engineering for dams, Japan Dam Engineering
Center, vol.262, pp.28-35, Japan (in Japanese).
Sherard, J. L. (1973): Embankment dam cracking, Embankment Dam Engineering, pp.271-
353, New York.
F. Tatsuoka (2006): Visions for Seismic Design of Rockfill Dams, Engineering for Dams,
Japan Dam Engineering Center, No.243, pp.1-2, Japan (in Japanese).
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Effects of reservoir water level and temperature on

Vibration characteristics of concrete gravity dam
Takeshi KASHIMA, Masafumi KONDO & Yasufumi ENOMURA
Public Works Research Institute
ma-kondo@pwri.go.jp
Takashi SASAKI
National Institute for Land and Infrastructure Management
ABSTRACT
To evaluate seismic performance of dams against large earthquakes, it is necessary to select
physical properties of each dam and its foundation appropriately so that their actual dynamic
behaviors during earthquakes are accurately estimated. Focusing on vibration characteristics such
as natural frequencies obtained from analysis results of earthquake motion records observed at
each dam are one of the most popular and practical way to identify values of various properties
such as the elastic modulus of dam body. The values estimated in this way, however, may be
affected by fluctuations of the reservoir water level and the temperature.
The vibration characteristics, that reflect the stiffness of a dam, may also provide an effective
barometer to monitor the structural soundness of the dam body. But the factors effecting the
vibration characteristics, such as reservoir water level should be adequately considered to detect
the sign of deterioration of the dam due to aging.
In this paper, the effect of reservoir water level and temperature on the vibration characteristics of
a dam body such as natural frequency is investigated by analyzing seismic motion records
including those obtained at the time of a large-scale earthquake and microtremor measurement
result at a concrete gravity dam.
As a result, it is revealed that the natural frequencies of the dam are obviously affected by
fluctuation of not only the reservoir water level but also the temperature. In addition, the reason
for these behaviors is discussed based on analysis of displacement measurement data of
transversal joints of a dam and numerical analysis of a model dam considering transversal joints.
Keywords: vibration characteristics, earthquake, microtremor, natural frequency, concrete dam
1. INTRODUCTION
Including The 2011 Tohoku Earthquake, large earthquakes occurs frequently in Japan.
After The 1995 Kobe Earthquake of January 17, 1995, the seismic performance of various
civil engineering structures including dams have been actively evaluated. To evaluate the
seismic performance of dams against large earthquakes, it is necessary to appropriately
reproduce the actual seismic behavior of each dam, and therefore also necessary to
appropriately select dynamic material properties of the dam body. The identification of
values of various properties such as the elastic modulus of the dam body to reflect in the
analysis model is often conducted using seismic records actually observed at the dam.
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However, these vibration characteristics are probably affected by fluctuations of reservoir
water level and the temperature.
The vibration characteristics, that reflect the structural stiffness of a dam, may also provide
an effective barometer to monitor the structural soundness of the dam body. The effects of
reservoir water level and temperature should be taken adequately into consideration to
detect the sign of deterioration due to aging.
Therefore, the effect of reservoir water level and temperature on the vibration
characteristics of a dam body such as natural frequency was investigated by analyzing
seismic motion records and microtremor measurement results at a concrete gravity dam,
where many earthquakes had been observed.
2. OUTLINE OF ANALYSIS
Seismic motion records and microtremor measurement results obtained at a concrete

gravity multipurpose dam with height of 65m completed in 1998 were analyzed. At this
dam, which is located in the Tohoku Region of Japan, The 2011 Tohoku Earthquake and
other many earthquakes including aftershocks of the earthquake were observed. Table 1
shows the specification of the dam.
Table 1. Specification of the Dam

Height 65 m
Crest Length 174 m
Catchment Area 226.4 km2
Total Storage Capacity 42,800,000 m3
Effective Storage Capacity 36,000,000 m3
2.1 Seismic motion records
Seismometers were installed at the crest (inside gate room) and bottom (foundation
inspection gallery) of the highest monolith (BL.6) as shown in Fig.1. Sampling frequency
is 100Hz. 113 seismic motion records in total including The 2011 Tohoku Earthquake were
analyzed.
BL.6
Figure 1. Location of seismometers
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2.2 Microtremor measurement records
Microtremors of the dam were measured four times as shown in Table 2. The measurement
locations were near above-mentioned seismometers, at the crest (inside gate room) and
bottom (foundation inspection gallery) of the highest monolith. The sampling frequency
was 250Hz.
Table 2. Dates and conditions of microtremor measurement

Date Reservoir water level (EL.m) Temperature* (°C)
1st 2013/3/12 325.60 3.50
2nd 2013/6/20 317.79 21.60
3rd 2013/8/22 318.04 25.90
4th 2013/10/17 316.94 12.1
*At nearest Meteorological Agency observation station
2.3 Vibration characteristics analysis method
The analysis of vibration characteristics was conducted in the following steps: [1]
collecting vibration data, [2] calculating the Fourier amplitude spectra, [3] calculating the
frequency response function (FRF), and [4] estimating the natural frequency.
FRF between the dam crest and the foundation was calculated as the ratio of the Fourier
Spectra obtained from the acceleration time history at the dam crest and dam foundation by
using Eq.(1).

(1)

Where, Z(ω): FRF, ω: frequency, f(t): acceleration time history at the dam crest, g(t):
acceleration time history at the dam foundation
The natural frequencies of the dam body were estimated based on the lowest frequency at
which the dam shows the resonant behavior of the FRFs.
3. ANALYSIS RESULTS
3.1 Relationship of reservoir water level and temperature with natural frequency
It has already been pointed out that the natural frequency of the dam body of a concrete
gravity dam changes under the effects of the reservoir water level and temperature because
the higher the reservoir water level, the greater the added mass effects, and the temperature
can change the state of transversal joints as the volume of the concrete changes (Kondo.
et.al, 2013). To confirm this, the relationship between first-order (lowest) natural
frequency estimated at the dam and reservoir water level were analyzed as shown in Fig.2.
It reveals that as the reservoir water level rises, the natural frequency tends to decrease,
although even at almost identical reservoir water levels, near reservoir water level EL.
326m and EL. 318m, scattering of about 1.0Hz are seen, and near reservoir water level of
EL. 320m, scattering of about 1.5Hz are seen. In addition, no clear difference was revealed
between the first-order natural frequencies estimated based on seismic motion records and
based on the microtremor measurement records.
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Reservoir water level (EL. m)
328
326
324
322
320
318
316
314
6 7 8 9 10
first-order natural frequency (Hz)
The 2011 Tohoku Earthquake
other seismic motion records
microtremor measurements
Figure 2. Relationship of reservoir water level and first-order natural frequency
Fig.3 shows the relationship of first-order natural frequency and the daily average
temperature at the nearest Meteorological Agency observation station. It reveals that as the
temperature declines, first-order natural frequency tends to decrease although both the
seismic motion records and the microtremor measurement records are scattered overall.
Here too, no clear difference was revealed between first-order natural frequencies
estimated based on seismic motion records and based on the microtremor measurement
records.
As shown above, a certain level of correlation of reservoir water level and air temperature
with first-order natural frequency can be seen at the dam which was analyzed.
Daily average air temperature *
30
25
20
15
10
(°C)
5
0
-5
-10
6 7 8 9 10
*At nearest observation station of the Meteorological Agency
The 2011 Tohoku Earthquake
other seismic motion records
Figure 3. Relationship of the temperature and first-order natural frequency
3.2 Separation of the effects of reservoir water level fluctuation and temperature
change
As stated above concerning the relationship of the reservoir water level and temperature
with the natural frequency, as the temperature declines, the natural frequency tends to
decrease. However, in the summer, when the temperature at the dam is high, at the same
time there is a period when the reservoir water level is lowered to prepare for flood control,
and these combine to have effects in a direction which increases the natural frequency.
Inversely, in the winter when the temperature is low, the reservoir water level is high, and
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its effect decreases the natural frequency. Therefore, a study was conducted to separate the
effects of each of these factors on change of the natural frequency.
First, eigenvalue analyses (natural vibration analyses) using the 2D-FEM model
considering of the reservoir water were conducted to estimate the effects of water level on
the natural frequency. The highest monolith (BL6) has spillway, but analysis model
ignored it as shown in Fig.4. With seismic motion records obtained at the time of
measurement in the summer (August 12, 2012), when it is assumed that the temperature
was high and transversal joints were adequately closed, the elastic modulus of an analysis
model that reproduces first-order natural frequency (8.64Hz) was identified. As a result of
a trial calculation, the elastic modulus of the dam concrete was estimated to be
54,000N/mm2. This value might be higher than the elastic modulus of usual dam concrete.
However, when considering the effects of constraint by adjoining monoliths, which cannot
be represented by two-dimensional definition analysis, the result can be recognized to be
not necessarily contradictory.
Properties
Elastic modulus 54,000 N/mm2
Poisson’s ratio 0.2
H= 65.0m Unit weight 2.3 t/m3
XY fixed
Figure 4. Eigen Value analysis model (2D)
Fig.5 shows the relation between reservoir water levels and the first-order natural
frequency of the dam obtained from measurement and calculation (eigenvalue analysis).
According to results of the analysis, from the water level rate of 0% to 50%, the
frequencies are almost equal. But, from the ratio of 50%, as the water level becomes larger,
the frequency rapidly becomes smaller. The diminution range in the value of natural
frequency is about 1.5Hz. The range of fluctuation of the natural frequency obtained by
actual measurements (about 2.0Hz) is larger than the range of fluctuation according to the
analysis (1.5Hz). This suggests the existence of some other factor effecting the natural
frequency of the dam.
100%
80%
Water level rate
60%
40%
20%
Calculations
Measurements
0%
6 7 8 9 10
first-order Natural Frequency （Hz）
Figure 5. Comparison of Calculated and Measured natural frequency
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Fig.6 shows the time series fluctuation of the measured value of first-order natural
frequency. In the figure, "〇" (without considering reservoir water level fluctuation) show
the first-order natural frequency estimated by seismic motion records and microtremor
measurement records , "×" (considering reservoir water level fluctuation) show the
first-order natural frequency ignoring the effect of the reservoir water level fluctuation
according to the eigenvalue analysis results (Fig. 5). It hypothesizes change of the natural
frequency as a sine curve based on the temperature change curve, and also shows the
approximate curves obtained by the least square method. This reveals that the change of
the natural frequency considering reservoir water level fluctuation also correlates closely
with change of the temperature. It also reveals a phase difference of about 1 month
between temperature change and change of first-order natural frequency.
In addition, the maximum fluctuation range of 8m of the reservoir water level at the dam
(reservoir water level rate: 85%ー73%) corresponds to the range of fluctuation of 0.35Hz
of the natural frequency according to the eigenvalue analysis results (Fig. 5). The range of
fluctuation of the natural frequency caused by change of temperature corresponds to about
1.16Hz according to the amplitude of the approximate curve that considered reservoir
water level. This means the temperature has a greater effect on the natural frequency than
the reservoir water level at this dam.
Natural frequency (without considering reservoir water level fluctuation)

The 2011 Tohoku Earthquake other seismic motion records
Natural frequency (considering reservoir water level fluctuation)
The 2011 Tohoku Earthquake other seismic motion records
approximation (without considering reservoir water level fluctuation) approximation (considering reservoir water level fluctuation)
10.0
2011/3/11 Main shock of The 2011 Tohoku Earthquake

9.5
9.0
8.5
8.0
7.5
7.0
334 Reservoir water level Air temperature Approximate air temperature value 35
332 30
2011/9/22 Typhoon 15
Reservoir water leve (EL.m)
330 25
Temperature (℃)
328 20
326
15
324
10
322
320 5
318 0
316 -5
314 -10
Nov-10
Jan-11
Mar-11
May-11
Jul-11
Sep-11
Nov-11
Jan-12
Mar-12
May-12
Jul-12
Sep-12
Nov-12
Jan-13
Mar-13
May-13
Jul-13
Sep-13
Nov-13
Figure 6. Seasonal Change of first-order natural frequency
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4. CAUSES OF VIBRATION CHARACTERISTICS CHANGE DUE TO
TEMPERATURE FLUCTATION
The analysis of the seismic motion records and the measurements of microtremors have
shown that the temperature clearly effects the natural frequency of the dam body. In order
to clarify the cause of this phenomenon, the relationship between the temperature of dam
concrete and displacement of transversal joints was investigated. In addition, three-
dimensional FEM analysis considering the transversal joints was performed to study the
effect of change of constraint conditions of transversal joints on the natural frequency of
the dam body.
4.1 Analysis of measured behavior
At the dam, transversal joint displacement gauges with thermometer functions are installed
at joints between monoliths in the inspection gallery. Near the highest monoliths, they are
installed in the middle level inspection gallery, and at the monoliths near the left and right
banks, they are installed in the upper inspection gallery. Displacement data measured by
the transversals joint displacement gauge 5JD6, which is installed in the middle level
inspection gallery and 9JD10, which is the one located in the upper inspection gallery as
shown in Fig.7 to the analysis.
9JD10
9JD10
5JD6
5JD6
Figure 7. Locations of the selected joint displacement gauges
Fig.8 shows the time histories of joint displacement, outside air temperature and dam body
temperature. Fig.9 is a figure which shows the relationship between the dam body
temperature and joint displacement at the locations of the joint displacement gauges. At the
location of 9JD10 joint displacement gauge installed at the upper inspection gallery
relatively close to the dam body surface, temperature of the dam concrete fluctuates in
almost the same phase as the outside air temperature, and the joint displacement tends to
open at the time the dam body temperature is low. At 5JD6 displacement gauge installed
near the center of the dam body on the other hand, the temperature and displacement both
fluctuate cyclically, but the dam body temperature is about 3 months behind the outside air
temperature fluctuation, and the fluctuation range of inside temperature of about 5°C is
narrower than the range of fluctuation of the outside air temperature, which is about 30°C.
The joint displacement is also far smaller than that at the upper inspection gallery, and is
almost constant. Even a correlation chart of the temperature and joint displacement at the
location of the joint gauge shown in Fig.9 indicates high correlation with 9JD10 joint
displacement gauge in the upper inspection gallery. And at 5JD6 installed in the middle
level inspection gallery, the correlation of the temperature and joint displacement at the
installation locations is not high. Near the dam body surface, the opening and closing of
transversal joints is closely linked to the outside air temperature, and there is a strong
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possibility that the effect of seasonal fluctuation of the natural frequency is governed by
the opening/closing of transversal joints that are near the dam body surface.
35
30 Temperature (°C) "T5JD6" "T9JD10"
Temperature (°C)
25
20
15
10
5
0
-5
-10
6.0
"5JD6"
Joint displacement (mm)
5.0
"9JD10"
4.0
3.0
2.0
1.0
0.0
-1.0
Figure 8. Time History of Transversal Joint Displacement
35
"5JD6"
Temperature (°C)※ Joint gauge location
"9JD10"
30
25
20
15
10
0
-2.0 0.0 2.0 4.0 6.0
Joint displacement (mm) Opens
Figure 9. Temperature of dam concrete and Transversal Joint Opening/Closing
4.2 Numerical analysis
Three-dimensional dynamic analysis considering transversal joints in the model dam (dam
height 100m, reservoir water level at 90% of dam height) was conducted to clarify the
effects of the state of transversal joints on the natural frequency.
Analysis conditions were set for three cases: Model 1 hypothesizing a high temperature
state with the dam body concrete expanded so the transversal joints are tightly closed and
transversal joints are not modeled in the FE model, Model 2 and Model 3 hypothesizing
low temperature and considering the opening of transversal joints. Transversal joints are
considered by using joint elements. The stiffness of the joint elements are considered to be
equal that of the concrete in Model 2. In Model 3, the stiffness of the joint elements are
considered for the perpendicular direction of the joint surface, but not considered in the
shear direction (sliding in the upstream-downstream direction was considered).
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The analysis model and the values of material properties are shown in Table 3 and Fig.10
respectively. The input seismic motion records were set for two cases—an inland
earthquake and a subduction-zone earthquake—and for 3 direction shaking (2 horizontal
directions and 1 vertical direction).
Table 3. Input Material Properties

Item Value
Dam body
Unit weight 2.3 t/m3
Model
Damping constant 10 %
1, 2, 3
Foundation
Unit weight 2,300
Damping constant 5%
Tensile strength 0 N/mm2
Stiffness perpendicular to surface 29,000 N/mm2
Model2 Shear stiffness 12,000 N/mm2
Transversal Pure shear strength 0 N/mm2
joint Internal friction angle 45°
(Non-linear Tensile strength 0 N/mm2
joint) Stiffness perpendicular to surface 29,000 N/mm2
Model3 Shear stiffness 0 N/mm2
Pure shear strength 0 N/mm2
Internal friction angle 0°
Axial non-linear characteristic Shear direction non-linear characteristic

σn σn
<Tensile>
δｎ C0 = 0 τm
σｔ = 0
Kｎ
φ0
•<compressive>
τt
τ’
transversal joint
Ks
(Non-linear joint element)
τs
Analysis Model (Dam Body)
δｓ
C0+σn×tanφ0
Non-linear joint element (Model 2)
Figure 10 3D Analysis Model
Fig. 11 shows the frequency response functions between the crest and foundation of the
highest monolith as obtained from analysis. It shows that the effect of the input earthquake
motion on the frequency response function is small, and for all input earthquake motions,
considering the transversal joints reduces the natural frequency of the dam body, and if
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sliding of the joint is allowed, the natural frequency is further decreased. For these reasons,
it is considered highly possible that the opening of the transversal joints due to decline of
the concrete temperature, following decline of air temperature lowers the natural frequency
of the dam body.
25
model1（inland earthquake）
20 model1（subduction-zone earthquake ）
model2（subduction-zone earthquake ）
Fourier Amplitude ratio
model3（subduction-zone earthquake ）
15
10
0
0 2 4 6 8 10
Frequency(Hz)
Figure 11. Differences in Frequency response functions

(With/without of Transversal Joints)
5. CONCLUSIONS
Seismic motion records and microtremor measurement records obtained at concrete gravity
dam were analyzed. From the results of the analysis, the following knowledge was
obtained.
1) According to the analysis of natural frequency, the vibration characteristics of the dam
are affected both by reservoir water level fluctuation and temperature change.
2) According to the analysis of transversal joint displacement and temperature inside the
dam body, as well as the three-dimensional FEM analysis considering transversal joints,
the factor causing the natural frequency to fall as the temperature declines is highly likely
to be the fall of stiffness caused by opening of the transversal joints due to contraction
(shrinkage) of dam concrete.
To establish a method of accurately separating the effect of various factors on the vibration
characteristics of a dam, performing similar studies of other dams shown in this paper,
would help accurately identify properties of the dam body for seismic performance
evaluation, and to evaluate structural soundness of aging dam in the future.
REFERENCES
Masafumi Kondo ,Takashi Sasaki ,Toshihide Kobori ,Takeshi Kashima (2013)：

Soundness evaluation of existing gravity dams focusing on change of vibration
characteristics, ICOLD 2013 International Symposium, Paper No.4-49, Seattle, USA
II - 109
Evaluation of Embankment Material Properties Affected

by Circular Slip Failure Mode due to a Large-Scale Earthquake
Tomohiro Shiono, Akira Takahashi & Kazunori Takasawa
Tokyo Electric Power Co Inc, Tokyo, Japan
shiono.tomohiro@tepco.co.jp
Tomokazu Suzuki
Tokyo Electric Power Services Co., Ltd, Tokyo, Japan
ABSTRACT:
There is a keen interest in dam stability against a large-scale earthquake. In case of an
embankment dam, embankment plastic deformation may occur in the event of a large-scale
earthquake. Failures to be considered are mainly reservoir overtopping and seepage of an
embankment dam. Embankment dam is required to maintain a reservoir during and after the
earthquake. For the overtopping failure mode, dam stability can be evaluated by comparing the
dam’s freeboard and the settlement examined by an analysis. On the other hand, evaluation of the
stability against seepage is rather complex in case a circular slip is predicted in the embankment.
The circular slip may cause the positive dilatancy of the embankment material along the circular
shear plane. The positive dilatancy increase permeability which may affect pore pressures and dam
stability after the earthquake. The seepage stability, therefore, should be evaluated in
consideration of such property change by the circular slip. As to laboratory tests, ring shear test
method is applicable to measure a permeability coefficient along the shear plane. We conducted
ring shear tests to examine the permeability of embankment material which is subject to a circular
slip due to the earthquake. Furthermore, box shear tests were additionally conducted since it
represents more accurate shear mechanism. According to the material used for this study, the ring
shear test method is practical to evaluate the permeability up to 8% strain level, where both the
ring shear tests and the box shear tests showed the consistent dilatancy characteristics. The
coefficient of the permeability is approximately 1 to 3 times when the shear strain becomes 8%.
The test results did not show a significant permeability change in such shear strain level. It
indicates the predicted strain in the embankment material up to approximately 8% is unlikely to
cause a seepage failure just after the earthquake excitation.
Keywords: Fill dam, circular slip, dilatancy, permeability property along a shear plane.
1. INTRODUCTION
Ministry of Land, Infrastructure and Transport of Japan released a guideline to examine

seismic resistant performance of dams against a large-scale earthquake (MLIT, 2005).
Dams are required to maintain reservoirs during and after an earthquake from the
downstream safety view point. In case of an embankment dam, plastic deformation may
occur in the event of a large-scale earthquake. Stability against seepage of the embankment
dam should be examined in case the following failures are predicted.
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- A circular slip in a homogeneous earthfill dam. And the upstream side of the circular
plane is below reservoir water level.
- A circular slip crossing a center core of the rockfill dam
In case of the circular slip, it will cause positive or negative dilatancy of the embankment
material along the shear plane. The positive dilatancy increases permeability which may
affect pore pressures and dam stability after the earthquake. This study was aimed to
examine such property changes affected by a circular slip, which is applicable to examine
the seepage stability of the embankment dam.
2. APPLIED SHEAR TEST METHOD
The shear tests are generally divided into indirect or direct shear tests. The indirect shear
test is a test to examine the shear strength from compressive strength indirectly, such as
triaxial compression test. A shearing plane is formed in [45 degrees +φ/2] in the test
material, which causes difficulty to measure the permeability along the shear plane.
On the other hand, the direct shear test is a test to examine the shear strength along a
specific shear plane directly, such as box shear test and torsion shear test. The box shear
test, however, causes a gap between upper part and lower part of a test specimen due to the
shear strain, which causes difficulty to maintain water tightness for conducting a
permeability test.
Firstly, both torsion shear tests and box shear tests were conducted under several
conditions. Results of the torsion shear tests were compared with the box shear tests which
are considered to represent more accurate shear mechanism. And, applicable conditions of
the torsion shear test were identified to examine the permeability along the shear plane.
Later, permeability coefficients along the shear plane were examined during a shear
process by the torsion shear tests.
2.1. Ring shear test, shearing torsionally
A holly cylindrical specimen was used for a ring shear test. The shearing devise was
modified with reference to the applicable study paper, Matsui et al in 1978, so that water
permeability could be directly measured along a shear plane as shown in Fig.2. The ring
shear tests were conducted as following manners.
1) Make a test specimen.
2) Mount a specimen in a ring shear test instrument, and compact it by loading.
3) Measure permeability before shearing
4) Rotate the ring device to shear the specimen torsionally.
5) Measure permeability coefficient along the shear plane.
The torsion shear stress, strain and permeability along the shear plane were expressed by
Eq.1, Eq.2, and Eq.3 respectively.
2.1.1 Torsion shear stress

２２
τ Q＝ 2 2
Q
A π（r3 －r1 ）
２ r
　　　＝ 2 2
 4  F　 (1)
π（r3 －r1 ） r2
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Where:
τ : Shear stress
A : Area of the shear plane
r3 : Outer radius of the specimen
r1 : Inner radius of the specimen
Q : Shear stress at the center of the specimen of gravity position
r4 : Gyration radius of the test devise
r2 : Gyration radius at the test specimen center of gravity position
F : Arm tip reaction by the torsion
2.1.2 Torsion shear strain

Δθ r3  r1
r   100 (2) (EPCEA, 1981)
2H 2
Where:
r : Torsion shear strain
Δθ : Rotation angle
H : Height of the specimen
2.1.3 Permeability coefficient

a r   h2 
k  0.842   log 3   log　
  (3)
H（ｔ2－ｔ1）  r1   h1 
Where:
k : Permeability coefficient
a : Inner area of the standpipe
h1 : Water pressure at time t1
h2 : Water pressure at time t2
H : Height of the specimen
Osmotic pressure
Torque arm Shear plane

Loading
(b) Detail of A part
2 x r4 = 800 mm
Test specimen:
A 2 x r3 = 100 mm
Outer dia. 100 mm 2 x r1 = 60 mm
Inner dia. 60 mm
Height 40 mm Q
Shear plane
Displacement gage Osmotic pressure
P
r2
Test specimen
(a) Layout of the test instrument (c) Cross section of the specimen
Figure 1. Ring shear test instrument
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Upper part of the ring specimen
Osmotic pressure Shear plane
Lower part of the ring specimen
Figure 2. Image of the permeability measurement by the ring shear test
2.2. Box shear test, shearing directly
The size of the specimen is 20 cm-long and 10 cm of diameter. A test specimen was set in
a shear box as shown in Fig.3. The box shear test is generally applicable to measure the
shear strain up to 5 cm by using a shear box. The box shear tests were conducted as
following manners.
1) Make a test specimen, and set the specimen in a shear box.
2) Mount the shear box in a test instrument.
3) Compact the specimen by loading.
4) Strain the shear box horizontally.
Direct shear
30 cm-cube
Shear box
Test specimen, 10 cm diameter and 20 cm-long
Figure 3. Box shear test
3. IDENTIFICATION OF THE DILAYTANCY CHARACTERISTICS BY

DIFFERENT SHEAR TESTS, AND CONDITIONS
3.1. Shear test conditions and test materials
Earthquake causes a load for a short term by excitation. Therefore, the shear strain due to
the earthquake could be considered under the un-drained and constant volume condition. In
this study, the shear tests were conducted under the un-drained and constant volume
condition with loading control. Shear strain rate was determined to be 0.3% per minutes
referring to the guideline (JGS, 2010).
Properties of the original material used for the tests, fine and sand material, were tabulated
in Table 1. The sand material was prepared for 2 types. One is the original material which
grain distribution has 37.5 mm of maximum grain, and the other is the material that the
grain greater than 2.0 mm was excluded from its grain distribution. Those materials were
mixed in order to adjust the grain distribution for the tests. The test materials were
prepared for fine, average and coarse in consideration of a typical grain distribution of a
homogeneous earthfill dam. The grain distribution considered in this study as a typical
homogeneous earthfill dam is shown in Fig.4.
Table 2 shows the mixing ratio to obtain the adjusted test materials. Since instruments of
the torsion shear test and the box shear test are applicable to the material composed of the
II - 113
grain smaller than 4.75 mm or 19 mm respectively, gravel fractions of the test materials
were modified so that the grain greater than 4.7 mm or 19 mm were excluded. Dry density
and water content of the modified test materials were determined as shown in Table 3
based on Eq.4 and Eq.5 proposed by Waller-Holtz. The grain distribution of the test
materials were adjusted to the target distribution as shown in Fig.5
1
ρ  (1－P） 1＋w   　 (4)
＋
d
G 2 s2
ρ G ρ d1 S2 w
w  w（
1 1－P）＋w 2 P　 (5)
Where:
ρd : Dry density after modification of gravel fraction
w : Water content after modification of gravel fraction
ρd1 : Dry density of soil, 0.71 g/cm3 of fine material
P : Gravel ratio
Gs2 : Gravel density, 2.66 g/cm3 of sand
ρw : Water density
w1 : Water content of soil, 96.2 % of fine material
w2 : Water content of gravel, 3.9 % of sand
Table 1. Properties of the test material Table 2. Mixing ratio of the adjusted materials
Material Dry weight ratio
Item
Fine Sand Test materials
Fine Sand -1 Sand-2
Density (g/cm3) 2.64 2.71
Water content (%) 88.8 3.7 Fine material 1.0 - -
Liquid limit (%) 122.7
Plasticity limit (%) 71.1 Average embankment material 1.0 0.70 0.20
Plasticity index 51.6 Coarse embankment material 1.0 2.50 0.20
Absolute dry density (g/cm3) 2.66
Water absorption rate (%) 0.7 Coarse foundation 1.0 5.00 0.20
Fine Average embankment material Average embankment material

100
Passage mass ratio [%]
100
90
Passage mass ratio [%]
80
80
70
60
60
50 40
40
20
30
20
0 Coarse foundation
10 Coarse foundation 0.010 0.100 1.000 10.000 100.000
0 Grain size (mm)
0.001 0.010 0.100 1.000 10.000 100.000
Grain size (mm) Coarse embankment material

Adjusted test materail
Coarse embankment material Target distribution by Eq.4 & 5
Figure 4. Grain size distribution of Figure 5. Grain size distribution of

a homogenous earthfill dam the adjusted test materials
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Table 3. Dry density and water content of the modified test materials
Test material, Reference,
Item
determined based on Eq.4 and 5 material shown in Fig. 4
Sand rate Dry density Water content Dry density Water content
Material
(%) (g/cm3) (%) (g/cm3) (%)
Average, fill embankment 45 1.04 55.0 1.12 51.7
Coarse, fill embankment 70 1.40 32.0 1.70 21.3
Coarse, foundation 80 1.67 22.0 1.47 25.3
3.2. Identification of the dilatancy characteristics by different shear tests
Test conditions are tabulated in Table 4. Each shear test was conducted under the un-
drained and constant volume condition with loading control. Fig.6 shows comparison
between the box shear tests and the ring shear tests, and relations between shear strain,
stress and vertical loading.
In case that the vertical loading trend during a shear process shows a change of plus or
minus sign of the inclination in Fig.6, it means the dilatancy of the material changes from
negative to positive or from positive to negative. Test results are summarized as followings.
- As to the fine and the average embankment materials, vertical loading values
continued to decrease gradually during a shear process as shown Fig.6 (a) and (b).
The material continues to show the negative dilatancy during a shear process by both
the ring shear tests and the box shear tests.
- As to the coarse grain materials, a discrepancy of the dilatancy characteristics was
observed between the ring shear tests and the box shear tests as shown in Fig.6 (c) and
(d). Results of the box shear tests show negative dilatancy up to approximately 5 % of
the shear strain, and then it turns to positive dilatancy. On the other hand, the ring
shear tests continued to show negative dilatancy during a shear process.
Table 4. Test cases

Max. grain Constant volume
Test case Test method Material
size (mm) condition
D-1 Fine material
Constant volume
D-2 Box shear test Average embankment material condition by
19
D-3 (Direct shear test) Coarse embankment material loading control.
D-4 Coarse foundation Initial loading was

R-1 Fine material set to 100 kN/m2
R-2 Average embankment material

Ring shear test 4.75
R-3 Coarse embankment material
R-4 Coarse foundation
Note: Shear strain rate is 0.3% per minute.
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400 1 400 1
Vertical loading ratio Vertical loading ratio
Shear stress [kN/m2]

Vertical loading ratio

to the initial value

200 0.5 200 0.5
Shear stress
Shear stress
0 0 0 0
0 10 20 0 10 20
Shear strain [%] Shear strain [%]
(a) Fine material, (b) Average embankment material,
Test cases: D-1 and R-1 Test cases: D-2 and R-2
400 1 400 1



200 0.5 200 0.5
Shear stress Shear stress

0 0 0 0
0 10 20 0 10 20
(c) Coarse embankment material, (d) Coarse foundation,

Test cases: D-3 and R-3 Test cases: D-4 and R-4
Figure 6. Results of the ring shear tests and the box shear tests,
Red: Box shear test, Black: Ring shear test
4. INDENTIFICATION OF THE DYLATANCY CHARACTERRISTICS BY

DIFFERENT VERTICAL LOADING AND DENSITY CONDITIONS
Additional ring shear tests were conducted in order to examine difference of the dilatancy
characteristic by test conditions, such as loading condition and density of the material. The
additional test cases are tabulated in Table 5. The high compacted test specimens were also
prepared in order to examine the dilatancy characteristic under different density conditions.
The test results were shown in Fig.7. The positive dilatancy characteristic is more distinct
under the conditions that the test specimen was high density or the initial vertical loading
value was set to be smaller. The results of the ring shear tests were compared with the box
shear tests in Fig.8. It was identified that the ring shear tests could simulate the dilatancy
characteristics obtained by the box shear test up to approximately 8 % shear strain, when
the initial loading value was set to be 50 kN/m2 and the test specimen was high compacted.
Table 5. Additional test cases

Max. grain size
Test case Test method Material Constant volume condition Note
(mm)
R-5 Average embankment material Constant volume condition by
R-6 Coarse embankment material loading control.
R-7 Coarse foundation Initial loading was set to
Ring shear test 4.75
R-8 Average embankment material
50kN/m2 Additional,
R-9 Coarse embankment material
high compacted
R-10 Coarse foundation
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400 1 400 1



200 0.5 200 0.5
Shear stress
Shear stress
0 0 0 0
0 10 20 0 10 20
(a) Average embankment material, (b) Coarse embankment material,
Test cases: R-2, R-5 and R-8 Test cases: R-3, R-6 and R-9
400 1
Test conditions are:


Initial vertical
Note
200 0.5 loading
Black with marks: 100 kN/m2
High compacted
Blue with marks: 50 kN/m2
Shear stress specimen
0 0
0 10 20 Blue without marks: 50 kN/m2
Shear strain [%]
(c) Coarse foundation material,
Test cases: R-4, R-7 and R-10
Figure 7. Results of the additional ring shear tests
400 1 400 1



200 0.5 200 0.5
Shear stress Shear stress

0 0 0 0
0 10 20 0 10 20
(a) Coarse embankment material (b) Coarse foundation
Figure 8. Comparison of the ring shear tests and the box shear tests,
Red: Box shear test, Blue: Ring shear test under the indentified condition
5. EXAMINATION TO UNDERSTAND THE PERMEABILITY CHANGE AT

THE FORMED SHAER PLANE
Permeability change during a shear process was examined by ring shear tests. The tests
were conducted under the identified condition which could simulate the dilatancy
characteristics obtained by the box shear tests as mentioned in chapter 4. Test cases and
results are summarized in Table 6.
The each test shows negative dilatancy up to approximately 3 % of shear strain. As the
shear process proceeds with the negative dilatancy, permeability coefficient gradually
decreases up to 60-90 % of the initial coefficient. Later, the dilatancy turns into positive,
II - 117
and the permeability coefficient gradually increases. The permeability coefficients reach
approximately 1 to 3 times of the initial values when the shear strains become 8 %. The
more decrease of the permeability was observed for the smaller grain materials when the
dilatancy characteristic was negative. And, the more permeability increase was observed
for the coarse particle materials when the dilatancy characteristic was positive.
Table 6. Permeability measurements by the ring shear tests

Ratio
Max. Constant Shear Permeability coefficient (cm/s)
Test
Material grain size volume Note strain
case after/
(mm) condition (%) Before shear After shear
before
R-11 Constant 2 2.90 x 10-7 2.90 x 10-7 0.52
Average grain volume
R-12
distribution
5 2.10 x 10-7 2.10 x 10-7 0.95
condition by -7 -7
R-13 20 2.70 x 10 2.70 x 10 2.19
loading
R-14 Coarse, control. High 2 7.00 x 10-7 7.00 x 10-7 0.84
R-15 embankment 4.75 compacted 5 4.40 x 10-7 4.40 x 10-7 0.59
R-16 material Initial specimen 20 5.60 x 10 -7
5.60 x 10 -7
1.63
loading was -6 -6
R-17 2 1.20 x 10 1.20 x 10 0.92
Coarse, set to
R-18 5 8.50 x 10-7 8.50 x 10-7 1.15
foundation 50kN/m2
R-19 20 9.10 x 10-7 9.10 x 10-7 5.71
6 1 6 1
Permeability coefficient

ratio to the initial value



4 4
0.5 0.5
2 Permeability coefficient ratio 2
Permeability coefficient ratio
0 0 0 0
0 10 20 0 10 20
(a) Average embankment material (b) Coarse embankment material
6 1 4

Coarse foundation
4 Coarse embankment material

0.5 2
2
Permeability coefficient ratio
Average embankment material

0 0 0
0 10 20 0 5 10 15 20
(c) Coarse foundation (d) Difference by grain sizes
Figure 9. Permeability measurements by the ring shear tests
6. CONCLUSION
This study was aimed to examine the embankment material properties subject to a circular
slip, which is applicable to evaluate embankment stability against seepage. Results of this
study are summarized as follows.
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The circular slip may cause positive dilatancy of the embankment material along the shear
plane. The positive dilatancy increases the permeability which may affect pore pressures
and dam stability after the earthquake. The permeability coefficients of the embankment
materials were examined by shear tests.
The ring shear test was applicable to measure the permeability along the shear plane. The
applicable ring shear test condition was identified by comparison with the box shear test
results focusing on dilatancy characteristic. As to the material used for this study, it was
evaluated that the ring shear tests with the high compacted specimen could simulate the
dilatancy characteristic obtained by the box shear test up to 8 % shear strain. The ring
shear test is practical up to 8 % shear strain for the test material to evaluate the
permeability along the shear plane. The permeability coefficient is approximately 1 to 3
times when the shear strain is 8 %. The test results did not show a significant permeability
increase. It may indicate that the predicted strain in the embankment material up to
approximately 8 % is unlikely to cause a seepage failure just after the earthquake.
Equivalent linearization method is widely adopted for a seismic response analysis in order
to examine seismic resistant performance of an embankment dam. The equivalent
linearization method is generally considered to be applicable to the seismic response up to
approximately 0.1% of strain level, Nakamura et al in 2002. The indentified strain range
for evaluation of the permeability by the shear test is greater than the strain level,
according to the material used for this study.
REFERENCES
1. Ministry of Land, Infrastructure and Transport (2005): Guideline to examine seismic

resistant performance of dams against large-scale earthquake, Ministry of Land,
Infrastructure and Transport, Tokyo, Japan.
2. I. Matsui, M. Ikemi, and T, Okamoto (1978): An analysis on Stability of Core Zone
Adjoining with Foundation, and an Experimental Study on the Properties of Contact
Clay, CRIEP Research Report, No. 378008, Central Research Institute of Electric
Power Industry, Tokyo, Japan.
3. Japanese Geotechnical Society (2010): Ground material examination method and
interpretation, Japanese Geotechnical Society, Tokyo, Japan
4. Electric Power Civil Engineering Association (1981): New edition of fill dam
engineering, revised edition, Electric Power Civil Engineering Association, Tokyo,
Japan
5. S. Nakamura, N. Yoshida (2002): The proposed non-linear dynamic seismic response
analysis method based on a dynamic deformation characteristic of the ground
material in a frequency domain, Proceedings of the Japan Society of Civil Engineers,
No.772/III-61, pp. 169-187, Japan Society of Civil Engineers, Tokyo, Japan.
II - 119
Capacity of Passive Rock Bolts in Concrete Dams

Improved Design Criteria
C. Thomas-Lepine
Norwegian University of Science and Technology, Trondheim, Norway
Present address: Sweco Norge AS, Trondheim, Norway
capucine.thomas-lepine@sweco.no
L. Lia
ABSTRACT:
In the hydraulic structures profession the design principles for use of passive rock bolts in concrete
dams have been under discussion for a long time. On the basis of this discussion, field research has
been initiated at the Norwegian University of Science and Technology (NTNU) in Trondheim,
Norway. Through the years 2010-12 several field test programs on the subject have been
conducted at the NTNU. The field tests took place in a rock quarry with a wide variation in rock
quality. The results of literature studies and field tests are presented in several reports. The
presented studies and the connected field research on passive rock bolts have revealed a much
higher capacity than the prevailing design guidelines for hydraulic structures allows to be utilized.
Based on the results from the extensive field test program and findings in other referred studies a
new formula for design of the anchoring length of passive rock bolts is to be proposed. This
formula will be in accordance with existing design standards when it comes to anchoring lengths of
reinforcement bars in concrete structures, which indicating that the capacity is not influenced by
behavior of proper rock mass.
Keywords: rock bolts, passive rock bolts, grouted rock bolts, rock bolt capacity, concrete dams.
1. INTRODUCTION
Fully grouted rock bolts are used in dam engineering to increase the safety of concrete
dams and have a major contribution on dams that have low weight. Design
recommendations are published by the Norwegian Water Resources and Energy
Directorate (NVE) in Dam Safety Regulation (2010), and Guidelines for Concrete Dams
(2005). Regulation applies for both new and existing dams. The latest regulation (2010)
required an increase in anchoring length of grouted rock bolts. There are today more than
3000 dams in Norway, including 350 large dams. The current design for rock bolts in dams
is based on methodology used for deeply grouted rock anchors. An improved design would
also be useful for concrete hydraulic structures such as intakes, spillways and outlets or
energy dissipation structures.
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This paper presents the result of research on passive (no pre-stressing) rock bolts design
carried out from 2010 to 2012 at the Norwegian University of Science and Technology
(NTNU), Norway.
2. CURRENT DESIGN OF PASSIVE ROCK BOLTS
A grouted rock bolt can fail for different reasons: failure in rock, failure in steel or failure
in mortar. Reinforcement steel capacity is calculated according to NS 3473 and Eurocode
2. Field experiments performed by Kvien (Guttormsen and Lia, 2014) showed yield stress
up to 650 MPa before break for rock bolts of yield criterion 500 MPa. Mortar capacity is
given between steel and concrete by characteristic bonding strength for concrete from 3.0
to 3.5 MPa for C30 and C35 concretes. Mortar capacity is given between mortar and rock
for different rock types from 0.5 to 2.5 MPa. Material factor 2.0 is used for mortar
capacity. Failure in rock remains as the less documented break mode (Stjern, 1995), and is
the subject of this research.
2.1. Current design principle: rock weight
The current design principle considers rock capacity as the weight of a rock cone around
the bolt as shown in Figure 1. This is based on widely used conservative design principle
for large anchors. The shape is not necessarily a cone in reality but defined by cracks
pattern, the equivalent volume is approximated by a cone.
The guidelines accept maximum 180 MPa per bolt to limit stresses concentration in the
structure and then avoid joints and cracks in the concrete structure. Unlikely pre-stressing
anchors, grouted bolts capacity is not always mobilized, but only enabled when the
structure is starting to move. Deformations (lifting of upstream heel due to pore pressure or
overturning moment from the ice) are not acceptable in normal service conditions. Bolts
provide extra safety but still gravity from the dam brings the major contribution. Dams are
designed to have an accepted safety factor against sliding and overturning without bolts
(safety factor S = 1.1). Another reason to limit the capacity to 180 MPa is that grouted rock
bolts capacity cannot be verified when installed, unlike pre-stressed anchors where load
can be measured and verified continuously. A defect in grouting will expose the bolt to
corrosion and loss of capacity.
Figure 1. Anchoring length (NVE, 2005)
Figure 1 illustrates the geometry of the design. L is the required anchoring length from
bonding strength, and the center of the grout is placed at a depth D ensuring a sufficient
weight of rock (88 kN corresponds to 180 MPa for ø25 mm).
II - 121 2
Figure 2. Stress distribution along a grouted bolt (Neby, 2011)
Stress measurements along the bolt in Figure 2 illustrates that load is transferred from the
center of the grout and the most active part of the bolt is the upper part.
2.2. Rock strength
The high capacity of short rock bolts measured in full scale illustrates that rock weight is
not necessarily the main contribution to rock capacity. Cohesion and shear strength of
discontinuities were already mentioned in the literature as major contributions (Wyllie,
1992).
Table 1. Required anchor length from different designs (Neby, 2011)

Necessary anchor length for 88 kN from: Grouted length (mm)
Regulation for concrete dams 2400
Hobst 100
Heimli 1400
Canadian portland cement ass. 900
Wyllie 1400
Table 1 shows a wide span of values, indicating lack of compliance in different methods.
2.3. Eurocode 2
The current regulation for concrete dams is based on the Norwegian standard NS 3473,
now replaced by NS EN 1992-1-1 Eurocode 2 (EC 2). Necessary anchoring length is
calculated in EC 2 with the same method as in the current regulation. The difference is that
EC 2 calculation is based on the design stress in reinforcement bars, while the current
regulation is based on steel yield limit (400 MPa included γm = 1.25). The design bonding
strength is also higher in EC 2 than in the current regulation. EC 2 uses design bonding
strength for C30 and C35 concrete 2.6 and 2.9 MPa, while the current regulation uses 1.5
and 1.75 MPa.
3. FULL SCALE FIELD EXPERIMENTS IN 2011 AND 2012
3.1. Rock classification
The most recognized classification systems for rock mass are Q, RMR, GSI and RMI
systems. They are developed to evaluate surface conditions of rock in tunnels and mines
and determine the required safety precautions. Classifications are mainly based in
parameters of the cracking pattern that illustrates the internal rock strength. The aim of the
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present research was to find a correlation between these classifications and the capacity of
grouted rock bolts.
3.2. Test program
A 50 ton excavator with a lifting capacity of 20 tons was used to test maximum capacity of
grouted rock bolts shorter than one meter. The excavator was placed 3 meters from the
bolt, the rock surface close to the bolt was not influenced. Capacity was measured with a
dynamometer. Rockbolts were common steel bars of diameter 25 mm. Holes were drilled
with a core drill of diameter 45 mm. Mortar was an expanding Mapei Nonset 50 FF with a
bonding strength measured to 14 MPa after 7 days. Curing time was 14 days in low
temperatures. Properties tested in the laboratory assessed an intact rock of high properties
(limestone with compressive strength 90 MPa). In 2011, 18 bolts were tested in rock with
different crack patterns. Every loading was documented with video, written descriptions
and photographs. Drilled cores were classified using Q and RMR system. In 2012, 48 bolts
were tested. In addition to the procedures used in 2011, the deformation on the rock
surface was measured with a laser. Ten holes were core drilled, and the rest were hammer
drilled. Drilled cores were classified using Q and RMR systems. Hammer-drilled holes
were inspected with a video camera.
Figure 3. Full scale test (Neby and Thomas-Lepine, 2011-2012)
Figure 3 presents photographs from the full scale test. Core drills were analyzed using
RMR classifications, and failures in rock occurred along the existing crack pattern.
II - 123 4
3.3. Results
Bolts were tested with length shorter than 1 meter (0.1 – 1.0 m) and in various rock
conditions, rock mass parameters was estimated with RMR value from 40 to 80. The
weight of a cone of limestone (26 kN/m3) of 0.5 m high is 2.6 kN (1 m high 26 kN). When
failure was due to the rock mass, the observed block around the bolt was not a cone but
defined by crack patterns. For all tested bolts, excepted 6 in extremely poor rock mass with
loose blocks, capacity was satisfying more than 88 kN (corresponding 180 MPa). Table 2
presents the measured loads and bonding strength for the different failure modes. It does
not include 11 bolts where mortar was not cured due to remaining frost in the rock mass.
Table 2. Summarized results from test program 2011-2012

Break type Number Max. load Max. Max. bonding Max. bonding
of bolts registered load/meter strength mortar- strength mortar-
bolt rock
No break 20 160-226 kN 170-687 kN 2,2-8,7 MPa 1,2-4,9 MPa
Bolt 2 225-255 kN 269-654 kN 3,4-8,3 MPa 1,9-4,6 MPa
Mortar 5 40-130 kN 103-923 kN 1,3-11,8 MPa 1,0-6,5 MPa
Loose 9 10-70 kN 24-150 kN 0,3-2,0 MPa 0,2-1,1 MPa
block
Rock break 19 50-226 kN 152-752 kN 1,9-9,6 MPa 1,1-5,3 MPa
TOTAL 55 10-226 kN 24-923 kN 0,3-11,8 MPa 0,2-6,5 MPa
Figure 4. Capacity of rock bolts measured (red), related to RMRRQD5 (grey) and according to
weight of cone rock (green) (Thomas-Lepine, 2012).
No obvious relationship was found between existing rock mass classifications and bolt
capacity. A linear relationship was found between capacity and rock mass classified with a
modified RMR5, where the cracks factor RQD is defined for pieces of 50 mm instead of
100 mm (Thomas-Lepine, 2012).
II - 124
4. DISCUSSION
4.1. Rock mass requirements for foundations of concrete dams
Rock mass for dam foundation is evaluated before construction work by geologists and
should have required strength to avoid failure and deformations. Guidelines for Concrete
Dams also specify that rock bolts are not suitable in rock mass with more than 20 cracks
per meter (NVE, 2005). In addition foundations are closely prepared. No loose blocks are
allowed to remain in dam foundation. The research examined a wide scale of rock mass
quality including very poor rock mass quality. For all tested bolts, the capacity measured
was higher than calculated by only the contribution of rock weight. Rock mechanisms
measured over one meter are complex. The research illustrated that in good rock mass
quality, which is required for dam foundations, the capacity of a rock bolt is at least 10
times higher than the weight of a rock cone around the bolt.
4.2. Influence of anchoring length
The results illustrate that the capacity of a bolt is not directly related to its length.
Accumulated %
Bolt length (m)
Figure 5. Percentage of bolts with capacity greater than 180 MPa in function of bolt length
(Havrevoll, 2012)
The graph in Figure 5 shows that 90% of the tested bolts of length one meter satisfied a
capacity of at least 180 MPa. The bolts were tested in poor rock with lower parameters
than required for concrete dam foundation.
4.3. Eurocode 2 - Anchoring length for steel reinforcement
Havrevoll (2012) compared the calculation of the necessary anchoring length according to
Eurocode 2 and Guidelines for Concrete Dams. Eurocode 2 (EC 2), used in Europe
including Norway, gives the following expression to calculate the length lb for rebar where
σsd is the design stress level in the steel bar. For C30 the design bonding strength is fbd =
2.6 MPa and for C35 concrete fbd = 2.9 MPa.
lb,rqd = (ϕ/4)(σsd / fbd) (1)
For example, if the characteristic bonding mortar strength is given as fb= 3.0 MPa for C30
and 3.5 MPa for C35 and the material factor γm= 2.0, the design bonding strengths are
respectively, fbd= 1.5 MPa for C30 and fbd = 1.75 MPa for C35. This applies for bonding
strengths between bolt and mortar. The bonding strength between mortar and rock is
II - 125 6
described separately. A commonly used mortar in Norway is Nonset 50 that has a
compressive strength of 50 MPa after 28 days. The technical data for Nonset 50 does not
specify bonding strength. Bonding strength is often considered conservatively as a tenth of
the compressive strength (Neby, 2010); for Nonset 50 that means 5 MPa. With material
factor γm = 2.0 the design bonding strength is then 2.5 MPa. The mobilized bonding
strength between steel and mortar in the field test program was calculated on average as
4.8 MPa (Havrevoll, 2012). In NTNU-laboratory the Nonset 50 bonding strength was
measured up to 14 MPa after 7 days of curing (Neby, 2010).
In EC 2 the design stress σsd in reinforcement is the main input for calculation of anchoring
length. The maximum allowdable stress in a bolt in Guidelines for Concrete Dam is 180
MPa. In pull out tests the bolt should have twice this capacity, 360 MPa. The yield
criterion of steel 400 MPa included γm is the input for design of the anchoring length.
Table 3 presents the required relative anchoring length in EC 2.
Table 3. Ratio of anchoring length over diameter for different values of fbd and σsd (Guttormsen and
Lia, 2014)
For the required capacity 180 MPa the length is 18 times the diameter of the bolt for a
design bonding strength between mortar and steel of 2.5 MPa.
4.4. Bonding strength between mortar and rock
Bonding strength between mortar and rock may vary for different rock types (Stjern,
1995). Values are recommended between 0.5 MPa for shale to 2.5 MPa for quartzite and
gabbro. In 2011 Norconsult conducted an experiment by grouting 25 mm bolts in weak
alum shale. With an assumption of uniform strength on the contact surface of mortar/rock,
the bonding strength was estimated between 0.8 to 1.8 MPa (Havrevoll, 2012). Assuming
that drilled holes are at least 1.8 time the bolt diameter (45 mm hole for 25 mm rebar), the
required relative anchoring length is presented in Table 4.
Table 4. Ratio of anchoring length over diameter for different values of ffd and σsd (Guttormsen and
Lia, 2014)
For the required capacity 180 MPa the length is 17 times the diameter of the bolt for a
design bonding strength between mortar and rock of 1.5 MPa.
II - 126
5. CONCLUSION
The research conducted from 2010 to 2012 at NTNU performed full scale tests of rock
bolts, literature study on rock bolt design and on anchoring length design in Eurocode 2. It
concluded with the following recommendation for rock bolt anchoring lengths in
foundation of concrete hydraulic structures.
5.1. Anchoring length
Required anchoring length for grouted rock bolt in hydraulic structures in concrete can be
calculated from the formula below, where lb is the anchoring length, ϕ the diameter of the
bolt, σsd the design stress of the bolt and fbd the design bonding strength of the grouting
mortar.
lb = (ϕ/4)(σsd / fbd) (2)
If there is no information on mortar bonding strength, the necessary anchoring length can
be defined by 50 times the diameter of the bolt in good rock,
lb = 50·ϕ (3)
For existing structures, the anchoring length can be accepted as reduced to 40 times the
diameter of the bolt in good rock,
lb = 40·ϕ (4)
5.2. Installation of rock bolts
The following parameters are vital for rock bolts capacity:

− The dam foundation should be cleared of loose blocks with a sufficient excavator.
− Bolts grouted in cracked and schisty rock mass (shale, alum shale) should have
increased anchoring length from 50% to 100% in loose rock mass.
− Rock mass should be free from frost when bolts are grouted, and grouting should
not be performed during periods of frost.
− Bore holes should be clear of water before grouting, and no running water is
allowed.
− Pulling test should be performed on a certain amount of bolts (10%). Pulling test
should be performed with equipment that is not loading the rock mass where the
bolt is grouted.
5.3. Factor of safety
If the recommended formula and execution are followed, a sufficient anchoring is

guaranteed and an eventual failure will come in the bolt itself. This gives a factor of safety
of S = 500 MPa/180 MPa = , which is satisfying for such purpose.
5.4. General conclusion and further recommendations
The research carried out from 2010 to 2012 on passive rock bolts for hydraulic structures
in concrete recommends an anchoring length calculated from steel and bonding strength
capacity without additional length for rock capacity. It is assumed that hydraulic concrete
II - 127 8
constructions have foundations on good rock mass prepared with suppression of loosen
block. Further research to document these design principles is recommended.
Figure 6. Capacity of short rock bolts measured in full scale test against capacity of weight of a
cone of rock. (Thomas-Lepine, 2012)
For passive rock bolts shorter than one meter, full scale tests illustrated that the capacity
was far higher than the weight of the cone of rock.
REFERENCES
Havrevoll O.H. (2012): Rock bolts in concrete dam, MSc. Project work, IVM, NTNU,
Trondheim, Norway (in Norwegian).
Neby L. K., Lia L. (2011): Grouted rock bolts design – Result from full scale test,
Høstkonferansen, Norsk Jord og Fjellteknisk Forbund, Oslo, Norway.
Neby L. K. (2011): Rock bolts in dams, MSc Thesis, IVM, NTNU, Trondheim, Norway (in
Norwegian).
NVE, (2005): Guidelines for concrete dams, 2. edition, Norway.
Stjern M. (1995): Practical performance of rock bolts, PHD Thesis, NTH, Trondheim,
Norway.
Thomas-Lepine C. (2012): Rock bolts – improved design and possibilities, MSc Thesis,
IVM, NTNU, Trondheim, Norway.
Guttormsen O. and Lia L. (2014): Rock bolts in concrete dams – Summary of project B3A,
IVM, NTNU, Trondheim, Norway (in Norwegian).
NS EN-1992-1-1 (1992): Eurocode 2, Europa including Norway
II - 128
Effects of Rock Mass Anisotropy on Deformations and Stresses

around Tunnels during Excavation
T.D.Y.F. Simanjuntak
UNESCO-IHE, Department of Water Science and Engineering, P.O. Box 3015, 2601 DA Delft, The Netherlands
Delft University of Technology, Faculty of CiTG, P.O. Box 5048, 2600 GA Delft, The Netherlands
y.simanjuntak@unesco-ihe.org; T.D.Y.F.Simanjuntak@tudelft.nl
M. Marence
A.E. Mynett
Delft University of Technology, Faculty of CiTG, P.O. Box 5048, 2600 GA Delft, The Netherlands
A.J. Schleiss
École Polytechnique Fédérale de Lausanne (EPFL), Laboratory of Hydraulic Constructions (LCH),
IIC-ENAC Station 18, CH-1015, Lausanne, Switzerland
ABSTRACT
The paper presents a short review on a modelling method for a circular tunnel excavated in the dry
rock mass where the in situ state of stress is uniform. The rock mass was assumed to behave elasti-
cally and two cases were examined: whether the rock mass has an isotropic elastic property or not.
A two-dimensional plain strain elastic-plastic Jointed Rock model was used to study the response
of the rock mass to excavation. The elastic behaviour of the rock mass was assured in the model by
simply providing adequate cohesion. The study reveals that the distribution of excavation-induced-
stresses and deformations in the space surrounding rock mass having anisotropic properties differs
from that obtained under the assumption of isotropic properties. The neglect of the effect of elastic
anisotropy can result in a significant underestimation of stresses and displacements in rock and
thus also in the design of support measures and the final pressure tunnel linings.
Additionally, when the tunnel geometry is circular and the rock mass contains one joint set where
the plane of elastic anisotropy strikes to the tunnel axis, the results obtained for one dip angle will
be identical to another dip angle by rotating the x- and y-axis accordingly.
Keywords: Tunnel, Rock Mass, Anisotropy, Modelling.
1. INTRODUCTION
For deep tunnels, a rock mass is often assumed as an isotropic material. This assumption
has facilitated to the understanding of the mechanical-hydraulic interaction between the
lining and the rock mass (Schleiss, 1986) and furthermore has contributed to the develop-
ment of the design of pre-stressed concrete-lined pressure tunnels (Simanjuntak et al.,
2012; Simanjuntak et al., 2013).
II - 129
However, pressure tunnels may be constructed in anisotropic rocks composed of lamina-
tion of intact rocks, such as schistosity in schists, which exhibits anisotropic strength and
deformability. Determining anisotropic deformation as a result of tunnel excavation is be-
coming complex due to the orientation of discontinuities in the rock mass (Bobet, 2011;
Hefny and Lo, 1999; Tonon and Amadei, 2002; Vu et al., 2013; Wang et al., 2012). Inevi-
tably, designing pressure tunnel linings will depend on the response of the rock mass to
excavation as well as on the behaviour of joint planes in the rock mass.
In this study, the numerical modelling of a circular tunnel excavated in an elastic rock mass
having anisotropic properties is presented. The model is representative for tunnels situated
above the groundwater level and embedded in the rock mass where the strike of the anisot-
ropy planes is parallel to the tunnel axis. Hence, the plain strain conditions apply along the
axis of the tunnel and the following assumptions are made: the tunnel is deep and subjected
to a uniform in situ stress, the cross section of the tunnel is circular, and the development
of displacements with increasing distance from the tunnel face is not covered so that results
can be obtained based on two-dimensional models.
2. ROCK MASS ANISOTROPY
The anisotropic elastic model is defined with respect to the orientation of the stratification,
in which a maximum three sliding directions can be distinguished in a rock mass (Fig. 1).
The orientation of the plane of elastic anisotropy or transverse isotropy is defined by the
dip angle, , and the dip direction angle . For each plane, plastic sliding will occur if the
maximum shear stress is reached.
Y (Up)
2
Legend:
Z (North)
 : dip angle
1  : joint strike
S3 S : joint spacing
1 : dip angle of 1st joint set

2 : strike of 2nd joint set
rd
3 Joint Set S3 : spacing of 3rd joint set
X (East)
1st Joint Set
2nd Joint Set

Figure 1. Configuration of Joint Sets in a Rock Mass
When the plane of transverse isotropy strikes parallel to the tunnel axis, two-dimensional
analyses are adequate. However, solutions of any two-dimensional problem have to satisfy
the following conditions: equilibrium, constitutive model, strain compatibility, and bound-
ary conditions (Bobet, 2011).
Fig. 2a shows the general problem of a tunnel excavated in transversely isotropic rock. If a
tunnel is excavated along the z-axis, the horizontal plane (x, z) is a plane of isotropy. In
plain strain conditions, the components εz, εyz, and εxz vanish everywhere. The constitutive
relationships can therefore be written as (Kolymbas et al., 2012; Vu et al., 2013):
II - 130
  x   C11 C12 0   x 
    
  y   C 21 C 22 0    y  (1)
    
  xy   0 0 C33   xy 
where x, y, are the total stress along the x- and y-axis respectively, xy are the shear stress
and C11, C12, C22, C33 are the compliance coefficients related to the material parameters and
can be defined using the following relations (Kolymbas et al., 2012; Vu et al., 2013):
1   x2
C11  (2a)
Ex
 yx (1   x )
C12  C 21   (2b)
Ey
1   xy  yx
C 22  (2c)
Ey
1
C33  (2d)
G yx
Y (Up)
Z (North) 
X (East)
c
 n
sliding plane t
(a) (b)
Figure 2. (a) Plane Orientation of Transverse Anisotropy, and (b) Failure Surface
The equilibrium conditions (Bobet, 2011):
 x  xy
 0 (3a)
x y
 y  xy
 0 (3b)
y x
where x and y are the Cartesian coordinates, Ex and Ey are the elastic modulus in the hori-
zontal and vertical direction respectively, νyx is the Poisson’s ratio for the effect of vertical
stress on the horizontal strain, νxy is the Poisson’s ratio for the effect of horizontal stress on
the vertical strain, νx is the Poisson’s ratio for the effect of horizontal stress on the horizon-
tal strain and Gyx is the shear modulus in vertical plane.
II - 131
It has to be noted that because of the symmetry of the strain tensor, the following relation-
ship is valid (Bobet, 2011; Vu et al., 2013) and the properties in the z and x directions are
the same.
 yx  xy
 (4)
Ey Ex
A local Coulomb condition (Fig. 2b) can be applied to limit the shear stress, while a tensile
strength criterion is used to limit the tensile stress. The formulation of plasticity on all
planes is similar, and the corresponding yield functions for each plane, i, is given as fol-
lows:
f i c     n tani  ci (5)
f it   n   t ,i (where: t,i ≤ ci cot i) (6)
The distribution of stresses and displacements of a circular tunnel excavated in transversely

isotropic or elastic anisotropy rock mass can be predicted using the Jointed Rock model
implemented in the finite element software program DIANA. In this model, different val-
ues of stiffness are applied to the corresponding stratification direction so as to describe the
elastic transversely material behaviour. The elastic compliance matrix is inverted and con-
sequently multiplied with the strain increments resulting in the elastic stress increments.
For each shear failure plane, the stress conditions are checked according to the condition as
depicted in Fig. 2b. When the stress point is beyond the failure surface, it is projected on
the failure surface resulting in plastic deformation. When simulating the elastic-plastic be-
haviour of the rock mass, the model assumes associated plastic deformations resulting in
volumetric expansion.
3. NUMERICAL RESULTS AND DISCUSSIONS
In this paper, the response of an anisotropic rock mass to excavation is studied by means of
a finite element model. Although the Jointed Rock model is an anisotropic elastic-plastic
model, the elastic behaviour of the rock mass can be simulated provided that the sliding
plane has adequate cohesion. To that end, there are two cases considered: whether rock
masses have isotropic elastic properties, or not.
For both cases, the tunnel section was assumed circular with diameter, D, of 4 m and its
axis is parallel to z-axis. The plane of transverse isotropy is horizontal or  = 0o, and it
strikes parallel to the tunnel axis (Fig. 2a). The boundary condition corresponds to a uni-
form in situ state of stress, o, equal to 40 MPa.
3.1. Circular Tunnel Excavated in Elastic Isotropic Rock Mass
Let us consider a rock mass, whose elastic properties are: E = 20.5 GPa and  = 0.25. As a
result of excavation works, the tunnel wall deformed radially as far as 4.85 mm inwards
(Fig. 3a) and this value corresponds to the scaled radial displacement, 2Gur/oR, of 1.0.
II - 132
For unsupported tunnels, the radial stress along the tunnel wall was zero (Fig. 4a). The
hoop stress along the tunnel wall was found as 80 MPa (Fig. 5a), which is in a compressive
state of stress and corresponds to the scaled hoop stress, /o, of 2.0.
When calculated using Lame’s solution (Carranza-Torres and Labuz, 2006), the radial de-
formation, ur, radial stress, r, and hoop stress, , along the tunnel perimeter were found
as 4.87 mm, 0 MPa and 80 MPa respectively. The good agreement between the analytical
and numerical results is evident (Figs. 3b, 4b and 5b).
1.5
Analytical Solution
Finite Element Model
ur / R x 2G / o
1.0
0.5
0.0
1 2 3 4 5 6 7 8
r/R
(a) (b)
Figure 3. Distribution of Radial Displacements for Elastic Isotropic Case
2.0
Analytical Solution
1.5
r / o
1.0
0.5
0.0
1 2 3 4 5 6 7 8
r/R
(a) (b)
Figure 4. Distribution of Radial Stresses for Elastic Isotropic Case
2.0 Analytical Solution

1.5
 / o
1.0
0.5
0.0
1 2 3 4 5 6 7 8
r/R
(a) (b)
Figure 5. Distribution of Hoop Stresses for Elastic Isotropic Case
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3.2. Circular Tunnel Excavated in Elastic Anisotropic Rock Mass
For cases where the tunnel is excavated in anisotropic rock masses, the following parame-
ters were examined: Ex/Ey = 2, xy/yx = 2, and Ex/Gyx = 6. Fig. 6a suggests that when the
Young’s modulus parallel to the bedding plane is greater than that perpendicular to the
bedding plane, the displacements at the tunnel roof and invert will be higher than those at
the sidewalls. While the displacement at the tunnel roof or invert was found as 11.33 mm,
the displacement at the tunnel sidewalls was obtained as 7.59 mm.
2.5
along x-axis
2.0 along y-axis
ur / R x 2G / o
1.5
1.0
0.5
0.0
1 2 3 4 5 6 7 8
r/R
(a) (b)
Figure 6. Distribution of Radial Displacements for Elastic Anisotropic Case
2.5
along x-axis
2.0 along y-axis
1.5
r / o
1.0
0.5
0.0
1 2 3 4 5 6 7 8
r/R
(a) (b)
Figure 7. Distribution of Radial Stresses for Elastic Anisotropic Case
2.5 along x-axis

along y-axis
2.0
1.5
 / o
1.0
0.5
0.0
1 2 3 4 5 6 7 8
r/R
(a) (b)
Figure 8. Distribution of Radial Stresses for Elastic Anisotropic Case
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The corresponding scaled radial displacement, 2Gur/oR, at the tunnel roof or invert and at
the tunnel sidewalls were calculated as 2.32 and 1.56 respectively (Fig.9a), which indicates
that the shape of the excavated tunnel is oval with its major axis parallel to the direction of
the bedding planes. The response of the rock mass to excavation is comparable to those
observed by Kolymbas et al. (2012) and Vu et al. (2013).
Principally, regardless the anisotropic properties of the rock mass, the distribution of radial
stresses along the tunnel wall will remain zero when the tunnel is not supported. However,
radial stress contours in the space surrounding the excavated tunnel will have a cross shape
due to the anisotropic properties of the rock mass (Fig. 7a). The distribution of radial
stresses along x- and y-axis is shown in Fig. 7b.
90 80 90 80
a) 5 70 b) 5 70
60 60
4 50 50
o = 40 MPa o = 40 MPa 4
R =2m 40 R =2m 40
3 3
Isotropic: 30 Isotropic: 30
E = 20.5 GPa E = 20.5 GPa
 = 0.25 2  = 0.25 2
20 20
Anisotropic: Anisotropic:
ur / R x 2G / o
 = 0o 1 10  = 0o 1 10
Ex /Ey = 2 Ex /Ey = 2
 / 
xy /yx = 2 0 0 xy /yx = 2 0 0
Ex /Gyx = 6 Ex /Gyx = 6
1 -10 1 -10
2 -20 -20
2
-30 -30
3 3
-40 -40
Isotropic 4 Isotropic 4
Anisotropic -50 Anisotropic -50
-60 -60
5 -70 5 -70
-90 -80 -90 -80
Figure 9. Isotropic and Anisotropic Case: (a) Radial Displacements, (b) Hoop Stresses
Regarding hoop stresses, the numerical results for the case of anisotropic rocks are shown
in Fig. 8. While Fig. 8a shows hoop stress contours around the excavated tunnel, Fig. 8b
depicts the distribution of hoop stresses along x- and y-axis. While the predicted scaled
hoop stress, /o, at the tunnel roof or invert was obtained as 2.40, the scaled hoop stress
at the tunnel sidewalls was found as 2.30 (Fig. 8b). However, the lowest scaled hoop stress
along the tunnel wall was found as 1.69 and it was located at 50o measured from the side-
walls or at 40o measured from the tunnel roof (Fig. 9b). This also implies that if the
Young’s modulus parallel to the bedding plane is greater than that perpendicular to the
bedding plane, the maximum hoop stress will be concentrated at the roof or invert, while
the its minimum value will be at a location around 50o measured from the bedding plane.
Similar observation can be found in Tonon and Amadei (2003) and Vu et al. (2013).
In this study, the elastic-plastic Jointed Rock model was used to study the response of the
rock mass to circular excavation and the elastic behaviour of the rock mass was assured by
providing an adequate cohesion. Two cases are examined: whether the rocks have isotropic
elastic properties or not.
II - 135
As a result of circular excavation, rock masses will deform radially as long as their elastic
properties are isotropic and the principal stresses are uniform. However, if the elastic prop-
erties of the rock mass are anisotropic, the displacements along the tunnel wall will be no
longer radial. In such cases, the study shows that the highest deformation occurs in the
direction of the lowest Young’s modulus. The shape of the excavated tunnel will be oval
with its major axis parallel to the bedding plane. Also, because of elastic anisotropy or
transverse isotropy in the rock mass, the distribution of radial and hoop stresses in the
space surrounding anisotropic rock mass will be no longer uniform. Therefore, when ana-
lyzing the response of the rock mass to excavation, the effect of elastic anisotropy or trans-
verse isotropy cannot be neglected since it can result in a significant underestimation of
stresses and displacements in the design of support measures as well as the final lining.
As long as the geometry of the tunnel is circular, the principal stress of rock mass is uni-
form and the plane of transverse isotropy strikes to the tunnel axis, results obtained for the
case where dip angle  = 0o will be identical to those obtained for the case where  = 90o
by rotating the x- and y-axis to 90o. Studies on the effect of rock mass anisotropy in non-
uniform in situ stress conditions are encouraged in the future.
ACKNOWLEDGEMENTS
The work described in this paper was supported by Verbund Hydro Power AG in Austria for which
the authors are very grateful.
REFERENCES
Bobet, A. (2011): Lined Circular Tunnels in Elastic Transversely Anisotropic Rock at Depth. Rock
Mechanics and Rock Engineering, 44(2): 149-167.
Carranza-Torres, C., Labuz, J. (2006). Class Notes on Underground Excavations in Rock.
Department of Civil Engineering, University of Minnesota, USA.
Hefny, A.M., Lo, K.Y. (1999). Analytical Solutions for Stresses and Displacements around
Tunnels Driven in Cross-Anisotropic Rocks. International Journal for Numerical and
Analytical Methods in Geomechanics, 23(2): 161-177.
Kolymbas, D., Lavrikov, S.V., Revuzhenko, A.F. (2012). Deformation of Anisotropic Rock Mass in
the Vicinity of a Long Tunnel. Journal of Mining Science, 48(6): 962-974.
Schleiss, A.J. (1986). Design of Pervious Pressure Tunnels. Water Power & Dam Construction,
38(5): 21-26, 29.
Simanjuntak, T.D.Y.F., Marence, M., Mynett, A.E. (2012). Towards Improved Safety and
Economical Design of Pressure Tunnels, ITA-AITES World Tunnel Congress & 38th
General Assembly (WTC 2012), Bangkok, Thailand.
Simanjuntak, T.D.Y.F., Marence, M., Mynett, A.E., Schleiss, A.J. (2013). Mechanical-Hydraulic
Interaction in the Cracking Process of Pressure Tunnel Linings. Hydropower & Dams,
20(5): 112-119.
Tonon, F., Amadei, B. (2002). Effect of Elastic Anisotropy on Tunnel Wall Displacements Behind a
Tunnel Face. Rock Mechanics and Rock Engineering, 35(3): 141-160.
Tonon, F., Amadei, B., (2003). Stresses in Anisotropic Rock Masses: An Engineering Perspective
Building on Geological Knowledge. International Journal of Rock Mechanics and Mining
Sciences, 40(7): 1099-1120.
Vu, T., Sulem, J., Subrin, D., Monin, N. (2013). Semi-Analytical Solution for Stresses and
Displacements in a Tunnel Excavated in Transversely Isotropic Formation with Non-
Linear Behavior. Rock Mechanics and Rock Engineering, 46(2): 213-229.
Wang, S.Y., Sloan, S.W., Tang, C.A., Zhu, W.C. (2012). Numerical Simulation of the Failure
Mechanism of Circular Tunnels in Transversely Isotropic Rock Masses. Tunnelling and
Underground Space Technology, 32(0): 231-244.
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Filter Design for Wet Core Embankment Dams in Wet Climates
Abbas Soroush
Associate Professor, Amirkabir University of Technology (Tehran Polytechnic), Tehran, Iran
Member of Executive Board of Iranian National Committee on Large Dams (IRCOLD)
Member of TC210 (Dams and Embankments), ISSMGE
soroush@aut.ac.ir
Sina Shams Molavi

MSc Student, Amirkabir University of Technology (Tehran Polytechnic), Tehran, Iran
Piltan Tabatabaie Shourijeh

Assistant Professor, Department of Earth Sciences, Shiraz University, Shiraz, Iran
ABSTRACT
Construction of embankment dams in geographic regions with wet climates endures some major
practical challenges. In such humid climates, available impervious core materials usually possess
a natural water content that is considerably higher than the optimu
optimum m water conte
content
nt.. Moreover, the
dry season is significantly shor
shortt and covers only a few months. In wet under
under-compacted
compacted cores,
mechanical bonds of particles are relatively feeble, affording particles the possibility of being
eroded by seepage/concentrated le leakage.
akage. Thus, wet cores in wet climates are bothersome from the
viewpoint of internal erosion. Contemporary filter design criteria generally stem from No Erosion
Filter (NEF) tests, and make no reference to moisture content of core soils. Also, in their par parent
filtration tests, core specimens are tested at moistures close to Standard Proctor Optimum, aand nd at
high compacted densities. NEF tests were performed on three core materials with varying moisture
contents. Results
Results suggest that some filters designed bas
based
ed on known recommended criteria may
become inadequate, when the cor coree is wet. Moreover, proper filter functionality depends on the
moisture content in excess of optimum, soil Plasticity Index, and D15/d85.
Keywords: wet core, wet compaction, internal erosion, filtration, NEF test
1. INTRODUCTION
With the increase in human population and scarcity of natural resources, there is an
increasing demand for dam construction
construction, as an essential infrastructure, particularly in
developing countries. Clean hydropower energy and water storage capacity are a handful
of benefits driving dam construction campaigns. Central core earth and rockfill dams are
abundantly commissioned worldwi
worldwide.
de. For such earth
earth-fill
fill dams the
the moisture content of core
materials is an important issue in design and construction. Both the short
short-term
term (during
construction and impoundment) and long-term term (post impoundment) behavior of
embankment dams greatly depend on core water content throughout construction. An
acceptable range of core material moisture may ensure the necessary hydraulic and
mechanical performance of eembankment
mbankment dams (Fell et al., 2005
2005). In
n many instances the
required moisture content of fine grained core materials is not readily obtainable. This is a
II - 137
common case, for dams constructed in regions with humid and rainy weather conditions
(such as tropical environments of south-east Asia, Africa and South America). Owing to
undesirable weather, the natural moisture content of soils is higher than the optimum
moisture content (as defined by compaction tests such as standard Proctor). In climates
with high precipitation, and long-rainy seasons, execution and construction of core
materials with high moisture content is inevitable (Ghanooni et al., 2005). Hence, problems
are encountered with; placement and compaction of impervious core, under-compacted wet
core materials, and excessively high pore-water pressure reducing effective stress and
shear strength, etc. An inventory of earth dams built in humid and rainy weather conditions
is presented in Table 1.
Internal erosion and piping present serious risks to the stability of embankment dams. A
review of dam incidents up to 1986 by Foster et al. (1998) revealed that 48% of earth and
rockfill dam failures were caused by piping and internal erosion. Even in carefully
designed modern zoned dams, internal erosion and piping are still major threats of damage
that may eventuate to dam failure (Flores-Berrones et al., 2011). The process of internal
erosion can be broken into four phases; initiation of erosion, continuation of erosion,
progression of erosion and formation of a breach (Fell et al., 2003). While initiation of
erosion to some extent depends on characteristics of the core, filters act as barriers to stop
continuation of erosion. If the filter fails, erosion will progress and may lead to breaching.
Filters in modern dams generally respect the criteria presented in Table 2 that were
proposed by Sherard and Dunnigan (1989). Although criteria of Table 2 have led to proven
performances, filter testing still provides the most confident and reliable method for
selection of filters (USBR, 2011; Soroush et al., 2011).
In wet under-compacted cores, mechanical bonds of particles are relatively feeble,

affording particles the possibility of being eroded by seepage/concentrated leakage.
Several studies have indicated that the increase in water content of fine grained soils
beyond optimum, increases soil’s erodibility. On the contrary an increase in soil Plasticity
Index (PI) tends to reduce erodibility (Wan and Fell, 2004; Shourijeh and Soroush, 2009).
Nonetheless, filter design criteria (see Table 2) make no reference to water content or
plasticity of core materials. Moreover, filtration tests from which criteria stem are devised
and performed for core soils tested at near optimum moisture and to high compaction
degrees. Thus, for core materials wet of optimum, the filter design criteria might be unsafe
and allow erosion.
This study aims to assess the performance of filters designed based on accepted criteria in
preventing erosion from wet cores. To this end the paper first briefly reviews the special
consideration of wet core construction. Then the NEF testing procedure is described, and
finally results of NEF tests performed on core soils, having diverse geotechnical properties
(viz. plasticity index, gradation, mineralogy), are introduced and discussed. Unlike
common filtration tests, core specimens are tested at moisture contents ranging from
optimum to +20% wet of optimum; the wide range of moisture was selected based on real
cases (cf. Table 1).
II - 138
Table1. Specifications and core material properties of some embankment dams
in humid and rainy regions
Core Material Properties
Cons. Ha Rainb
Dam Location LL PI Δwc Reference
Year (m) (mm) %<75µm
(%) (%) (%)
Villegas &
Troneras Columbia 1962 37 3250 79 43 9 4.5
Mejia (1976)
NA 33- 15- Wolski et al.
Tresna Poland 1964 38 24-38 0-11
40 17 (1970)
Morpurgo &
Santa Rita I Columbia 1969 25 5350 54 38 6 5
Brezzi (1976)
Penman &
35- 15-
Scammonden England 1970 75 NA NA 7-20 Mitchell
60 30
(1970)
Villegas &
La Fe Columbia 1973 34 2320 68 40 10 6
Mejia (1976)
4000- Morpurgo &
Chivor Columbia 1975 237 45 NA NA 7-13
6200 Brezzi (1976)
Knight et al.
Monasavu Fiji 1982 82 7500 NA 107 49 20
(1985)
Punchina
Columbia 1982 70 NA 43 36 10 4 Villegas (1982)
cofferdam
Kerkes &
Wadaslintang Indonesia 1987 120 3000 74.8 71.3 29.8 10.6
Tarbox (1988)
Vorlicek
Starina Slovakia 1987 50 NA 74 NA NA 2.1
(1997)
70- 30- Jansson &
Mrica Indonesia 1988 110 3500 80-100 2-10
100 50 Nilsson (1991)
Attewill &
75- 29-
Thika Kenya 1994 70 1700 NA 4-18 Bruggemann
100 43
(1997)
Note: a) dam height; b) annual average precipitation; c) difference between compaction water
content and optimum moisture content of core; d) Not Available
Table 2. Proposed filter criteria based on NEF test- Sherard and Dunnigan (1989)
%<0.75µm* ≥85 40-85 <15 15-40
Intermediate between
Design
D15≤9d85** D15≤0.7mm D15≤4d85 value for group 2 and 3
Criterion
based on %<75μm
Notes: * % finer than 0.075 mm in the gradation with maximum size of 4.75 mm, ** d85 for gradation passing
4.75 mm
2. CONSTRUCTION CONSIDERATIONS FOR WET CORES
Various techniques have been devised to circumvent problems associated with wet core
materials. Fine grained soils could be dried to the desirable moisture by spreading in thin
layers under sunshine. This simple alternative requires enough consecutive sunny days,
and depends on several years of reliable weather monitoring (Kawakami, 1958). An
uncommon and expensive option is to set up a giant kiln, as in Mud Mountain (USA) and
Castagnara (Italy) dams, in order to reduce soil moisture (Bernell, 1967; Baldovin et al.,
1991).
Embankment dams with inclined impervious cores may increase efficiency and speed-up
construction of wet core materials. In this scheme earth-fill materials are classified in two
II - 139
groups based on thetheir
ir amenability to humid weather conditions.
conditions. Obviously, fine grained
soils (e.g. core) are significantly influenced by rainy weather,
weather, while coarse grained soils
(e.g. shell and drainage material
material)) are least sensitive to moisture. The downstream shell and
other coarse earth-fill,
fill, underlying the core, are executed during longlong-period
period rainy seasons,
and the short,
short dry times are devoted
devoted to core materials placement (Morpurgo and Brezzi,
1976). Mixing wet fine grained soil soils with coarse aggregates reduce
reduces soil’s natural
moisture, while enhancing mechanical characteristics of fine, soft core soil soils. As an
example in Miboro dam (Japan),
(Japan) 20% (based on mass) minus 150 mm disintegrated granite
particles were mixed with core materials
materia s having about 10%10 water content higher than
optimum. The mixed soil eventually had moisture content at its optimum (Asao, 1964).
The continuous
ontinuous monitor
monitoring
ing of pore-water
water pressure fluctuations,
fluctuations using piezometer
instruments installed in dam bo
body, is essential during execution of wet cores
cores.. Because of
high core moisture content and low drainage capability,
capability, there is a possibility of excessive
pore pressure increase, resulting from weight of compaction equipment and upper soil
layers.. This may lead to re
reduction
duction of effective stress and in turn shear strength that may
cause partial or deep seated slope surfaces
urfaces. Whenever pore pore-water
water pressure exceeds
exceed
permitted
permitte limits, operation speeds should be reducereduced or even stopstopped to allow
a pore
pressure dissipation and prevent probable
probable failures in dam body
body. Shorten
Shortening drainage path
paths
by reducing the core width (albeit considering allowable values) could help in precluding
high pore-water
pore water pressure
pressures (Kawakami, 1958).
The moisture
oisture content, compaction degree and permeability of soils
soil are closely interrelated.
Wet cores in humid regions; accentuate the need for frequent permeability measurements
and comparison with appropriate criteria.
criteria A challenging subject of embankment
embankment dam
constructions in humid climates is the compaction of
of wet cores. As illustrated
illustrate in Figure
igure 1
1,
increasing the compaction effort has almost no effect
ffect on soil dry density in wet side of
compaction curve. Thus, efficient and economical compaction of wet cores requires light
compactors (Kawakami, 1958).
Figure1 Compaction of Miboro Dam core material

Figure1. material;; (A) compaction curves for different efforts,
and (B) dry density vs. field compaction scheme (Asao, 1964)
II - 140
3. MATERIALS, TEST PROG RAM AND RESULTS
PROGRAM
The No Erosion Filter (NEF) test is recognized as a competent filter test especially for fine
grained soils. This test has been widely used by the authors for the design and
substantiation of filters in embankment dams ((Soroush Soroush and Shourijeh, 2009). The
apparatus for NEF testing is illustrated in Figure 2. In principal the test observes possible
erosion of the hole (usually 1 mm) performed in the base (core soil) specimen. During the
test, variations in out-coming
coming effluent flow rate and turbidity, and
an inlet pressure changes
are recorded. The test is usually continued for at least 20 minutes until flow rate and
turbidity generally stabilize. The test is judge
judged successful if there is no visible erosion in
the performed hole. Sometimes for base soils with low plastic
plasticity or high moisture content
content,
the punched hole closes during testing testing.. This phenomenon is beneficiary from the
standpoint of core self
self-healing,
healing, but from the viewpoint
point of NEF test, the filter function
functionality
ality
is not interpretable. To resolve this problem,
problem in such cases a truncated cone, like that used
in pinhole
inhole testing, in placed on top of base specimen (Soroush and Shourijeh, 2009).
This investigation focused on three core materials (i.e. base soils) obtained from
embankment dams currently under construction in Iran. Figure 3 illustrates the base soils’
gradations, and their specifications are reported in Table 3. The mineralogy of base soils
were determined via semi
semi-quantitative
quantitative X
X--Ray
Ray Diffraction (XRD) analysis, performed on
specimens passing 75μm. From comparison of Tables 3 and 4, it is apparent that the
Plasticity Index (PI) is related closely to the sum of clay minerals (i.e. chlorite, illite and
kaolinite).
aolinite). The filter materials considered for testing (cf. Figure 3) are blended from
fractions of washed, clean, rounded to sub
sub--rounded
rounded river sand.
(a) (b)
Figure 2. (a) Photograph of NEF apparatus, and (b) schematic illustration of soil layers during
NEF testing; Note:1
Note:1-air
air vent, 22-plexiglas
plexiglas cylinder, 33-base
base specimen (3 cm), 44- hole in base
specimen (1 mm), 55-- filter material (12 to 14 cm), 66- wire screen, 7-
7 outlet pipe, 8-
8 drainage layer,
9- water tight plastic ring, 10
10- wire screen, 11
11- top gravel layer, 12-
12 inlet pipe, 13
13- pressure gauge
Table 3. Specifications of base

base soil samples
Base Soil USCSa %<0.075mmb d85 (mm)b LL (%) PI (%) wopt (%)c
B1 CH 92.1 0.032 54.8 30.8 18
B2 CL 93 0.029 41.8 21.2 19
B3 CL 96.2 0.039 27.9 9.9 17
Note: a) Unified Soi
Soill Classification System; b) gradation passing 4.75mm; cc) standard
dard Proctor optimum
II - 141
Table 4. Mineralogy of base soil samples
Base Mineral (%)
soil Calcite Quartz Albite Dolomite Chlorite Illite Kaolinite Others
B1 69.9 8.6 6.9 2.3 3.8 3.4 2.8 2.4
B2 67.1 13.9 4.2 5.8 6.0 0 0 3.0
B3 40.7 29.9 18.7 6.5 2.2 0 1.8 0.2
Cobbles
Sand Gravel
Clay and Silt
Fine Medium Coarse Fine Coarse
100
90
80
70
B2
60
% Passing
50 B1
B3
40
30 F1 (D15=0.25mm)
F2 (D15=0.30mm)
20
F3 (D15=0.36mm)
10 F4 (D15=0.45mm)
F5 (D15=0.45mm)
0
0.075 0.425 2 4.75 76.2
0.001 0.01 0.1 1 10 19.05 100
Particle Size (mm)

Figure 3. Base and filter materials gradations
According to Table 2, (a)the design criterion for all three base soils is D15/d85≤9. Each base
soil was tested with two filters; one which was essentially close to D15/d85=9 satisfying the
filter criterion, and the other having D15/d85>9 (in case of B1 and B2) or D15/d85<9 (for
B3). In repetitive NEF tests on each base-soil/filter combination, Δw that is the molding
water content (in %) of the base soil in excess of standard proctor optimum, is increased in
steps. The maximum amount of Δw represents the state where NEF testing is practically
unfeasible, i.e. the hole closes, even if the truncated cone is applied. Base specimens are
compacted to 98-100% maximum dry density (as obtained in standard Proctor optimum),
irrespective of the water content. To this end specimen mass should be controlled to ensure
the target dry density, while the compaction effort is variable. In all tests tap water with
main’s pressure of 400 kPa was used, and filters had 70% relative density (Dr) which is
usual practice for embankment dams. Figure 4 depicts example base soil specimens from
NEF tests that were successful, unsuccessful and unfeasible (the hole closes during
testing).
The NEF test results visualized in Figure 5 reveal the following major points:
- Concerning the filter design criterion, tests on B1 and B2 at normal moisture content,
that is Δw≤2%, suggest that the D15/d85≤9 may be unduly conservative for some core
soils resulting in uneconomical filters.
II - 142
- For base soils with higher PI, the NEF test is feasible for higher maximum Δw. This
result seems intuitive, since PI which depends on mineralogy controls the amount of
excess moisture the soil can tolerate without softening
softening,, and hence the hole closure.
- Forr each base soil, at every D15/d85 there is a threshold Δw, after which NEF tests
become unsuccessful and the filter is unable to prevent erosierosion.
on. This implies that the
increase in Δw results in higher erodibility for the base soils.
- Thee mentioned threshold d Δw decreases with increase in D15/d85. The physical
interpretation is that lower D15/d85 reflects a finer and safer filter, which better retains
eroded particles.
- Test results on B3 show that, even a considerably safe base/filter combination, i.e.
D15/d85<8, will eventually fail if Δw is increased.
(a) (b)
(c) (d)
Figure 4. Photographs of base specimens in NEF tests; (a) 1 mm hole after successful
test, (b) enlarged hole in unsuccessful test, (c) base sspecimen
pecimen after removal of nipple in
unfeasible test, i.e. the hole is closed, and (d) reverse side of base specimen with closed
hole in unfeasible test
The forgoing suggest that safe functionally of filters for wet cores depend on; i) amount of
moisture in excess of optimum (Δw), ii) Plasticity Index (PI) of soil, and iii) D15/d85. It is
worthwhile noting that, laboratory test conditions enabled careful compaction of base
specimens. As a result base specimens of a soil with varying Δw all had identical dry
density. In field conditions however, one may anticipate difficulties in compacting the core
leading to varying and low dry densities for highly moist core soil. Since compaction
degree also influences erodibility (Wan and Fell, 2004), a lower safety margin, in
comparison to results ooff this study, may be expected in the real prototype.
II - 143
5. CONCLUSIONS
The results of this study manifest that care should be devoted to the design of critical filters
for wet cores in wet climates. Increase in core soil water content may result in erosion,
even with filters that were otherwise safe. Besides D15/d85, which is a key in filter criteria,
the plasticity of core materials and also water content in excess of optimum should be
considered in designing filters for wet cores in wet climates.
32 32
B1 & F2 (a) B2 & F1 (b)
28 B1 & F4 28 B2 & F5
24 24
20 20
∆w (%)
∆w (%)
16 16 Er
o
Ero No sion
12 sion 12 Er
No os
Ero ion
8 sion 8
4 4
0 0
7 8 9 10 11 12 13 14 15 16 17 7 8 9 10 11 12 13 14 15 16 17
D15/d85 D15/d85
32
B3 & F2 (c)
28 B3 & F3
24 Hollow Symbol: Unsuccessful Test
Filled Symbol: Successful Test
20
∆w (%)
16
12
0
7 8 9 10 11 12 13 14 15 16 17
D15/d85
Figure 5. NEF tests results for base-soil/filter combinations; (a) B1, (b) B2 and (c) B3 (Note: for
B2 in case of D15/d85=8.6 all feasible test were successful)
II - 144
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pp. 803-824.
Attewill, A.J.S and Bruggemann, D.A. (1997): Some experience with the use of Halloisitic
soil at THIKA dam, Kenya, Proceedings 19th ICOLD Congress, Florence, vol. II, pp.
227-244.
Baldovin, G., Allaria N. and Baldovin, E. (1991): The core of CASTAGNARA dam on the
Metramo River, Proceedings 17th ICOLD Congress, Vienna, vol. IV, pp. 179-205.
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ICOLD Congress, Istanbul, TURKEY, vol. IV, pp. 161-176.
Fell, R., Wan, C. F., Cyganiewicz, J., and Foster, M., (2003): Time for development of
internal erosion and piping in embankment dams, Journal of Geotechnical and
Geoenvironmental Engineering, ASCE, Vol. 129, No. 4, pp. 307–314.
Fell, R., MacGregor, P., Stapledon, D., Bell, G. (2005): Geotechnical Engineering of
Dams, Taylor & Francis Group, London, UK, p. 912.
Flores-Berrones, R., Ramírez-Reynaga, M. and Macari, E.J., (2011): Internal Erosion and
Rehabilitation of an Earth-Rock Dam, Journal of Geotechnical and
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University of New South Wales, Sydney, Australia.
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foundations at the MRICA dam, INDONESIA, Proceedings 17th ICOLD Congress,
Vienna, vol. IV, pp. 1-26.
Kawakami, F. (1958): Compaction methods and field moisture content of the earth core for
earth dams using the moist material, Proceedings 6th ICOLD Congress, New York,
USA, vol. III, pp. 165-183.
Kerkes, D. J., and Tarbox, G. S. (1988): Wet core construction (WCC) technology for
embankment dams, Proceedings 16th ICOLD Congress, San Francisco, USA, vol.
III, pp. 1237-1254.
Knight, D.J., Nailor, D.J. and Divis, P.D. (1985): Stress-strain behavior of the
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Morpurgo, S., and Brezzi, A. (1976): Influence of climate conditions on CHIVOR dam
construction, Proceedings 12th ICOLD Congress, Mexico, vol III, pp. 1209-1221.
Penman, A.D.M and Mitchell, P.B. (1970): Initial behavior of SCAMMONDEN dam,
Proceedings 10th ICOLD Congress, Montreal, vol. I, pp. 723-747.
Sherard, J. L. and Dunnigan, L. P. (1989): Critical filters for impervious soils, Journal of
the Geotechnical Engineering Division, ASCE, 1989, 115, No. 7, pp. 927–947.
Shourijeh, P.T., and Soroush, A., (2009): Statistical study of no-erosion filter (NEF) test
results, Proceedings of the Institution of Civil Engineers-Geotechnical Engineering,
ICE, 2009, Vol. 162, Issue. 3, pp. 165-174.
Soroush, A. and Shourijeh, P.T. (2009): A Review of the No Erosion Filter Test,
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Bali, Indonesia, June 1st – 6th , 2014
Prediction of Crest Settlement of Concrete-Faced Rockfill Dams

Using a New Approach
A. Noorzad
Faculty of Water and Environmental Engineering, Shahid Beheshti University &
Chairman, Iranian Committee on Large Dams (IRCOLD), Tehran, Iran
D. Behnia
Department of Mining Engineering, Science and Research Branch,
Islamic Azad University, Tehran, Iran
danial.behnia@yahoo.com
S.R. Moeinossadat
K. Ahangari
ABSTRACT:
The present study is focused to utilize intelligent methods predicting crest settlement of concrete-
faced rockfill dams (CFRDs). One of the most important concerns to understand the reasons
behind the occurrence of serious damage of embankment dams is whether the settlement is
admissible or not. Therefore, it is required to estimate dam settlement which is of essential
significance. Predicting settlement of a dam depends on various parameters and the influence of
each parameter on another has made the application of the empirical methods to be unreliable.
This research attempts to propose models to predict settlement of these dams (RSCFRD) using the
information obtained from 35 CFRDs constructed during recent years throughout the world.
Parameters such as dam height (H), shape factor (SF), void ratio (e), vertical deformation modulus
(EV) and time (T, time after first impounding) were considered as the input parameters. The
methods to analyze the dam settlements are gene expression programming (GEP) and neuro-
genetic (NG). For these two methods, the data were divided into two groups including training
phase (23/35) and test phase (12/35). In order to easily compute the settlement, a new program
has been developed. Although the empirical relations have still been used, however in the present
paper it is shown that the intelligent methods have great ability to more accurately predict RSCFRD.
The obtained results indicate that the overall behavior evaluated by this approach is consistent
with the measured data of other CFRDs.
Keywords: CFRD, GEP, NG, Settlement prediction, Web-based application.
1. INTRODUCTION
In 1985, the first Concrete face rockfill dam (CFRD) was constructed in California. The
dam construction was followed by constructing a timber faced dumped rockfill dam that
had been started in 1850 (Fell et al., 2005). Today, (embankment/concrete) dams are
1
II - 147
considered as the major hydraulic structures, which play a significant role in providing
water required for human societies. Therefore, stability of dams has particularly attracted
attention of the engineers who design these structures, especially in recent decades. This
type of dam has been constructed for almost 150 years around the world. Over the past two
decades, many of them were constructed with heights exceeding 150 m. For instance,
Shuibuya, with a height of 233 m, and Mongjiadu, with a height of 179 m (both in China)
are two examples (Zhou et al., 2011). One of the most important factors causing serious
damages to dams is settlement of crest and body. This phenomenon causes cracks along
the body and downstream slope. These cracks lead to the increase of flow rate of drains in
the heel of the dam and generally will cause heels instability and dam destruction (Dascal
1987). In typical situation, the settlement of dam crest can be considered to be 2% of the
height of the structure. In seismic areas, a value equals to 1% of the height of the dam
would also be added. Earth dam settlement continues for a long time after construction
(Behnia et al., 2013). Considering the above discussion, it is obvious that prediction of dam
crest settlement is of major importance. In most studies, one or several dams have been
considered specifically to determine the influential parameters in predicting dam settlement
(Park et al., 2005; Malla et al., 2007; Gikas and Sakellariou, 2008; Seo et al., 2009; Zhou et
al., 2011). It can be stated that the common weak point of all the presented relations is their
dependency on the single parameter of dam height. The most important factor in dam
settlement is its height. However, other parameters such as foundation conditions and
materials are effective in dam settlement.
To overcome these limitations, soft computing techniques can be used to develop a more
accurate and reliable predictive method. The soft calculations methods can be used to
overcome such constraints and to propose a simpler and more accurate method. These
methods have no limitation in applying further effective parameters. In the present
research, gene expression programming (GEP) and Neuro-Genetic (NG) are used, which
are the methods used most to solve complex and varied engineering problems. Finally, to
facilitate the use of the presented relations and to have a more convenient access, a web-
based application was prepared and was loaded on a website using hypertext preprocessor
(PHP), which is a scripting language.
2. SPECIFICATION OF THE STUDY
2.1. The Database
The present paper used the information of 35 CFRDs. The information of these dams was
collected from the earlier studies among the available documents (Kim and Kim, 2008).
Several parameters, such as height of dam, condition of the foundations, dam shape,
duration of impounding and geo-mechanical parameters of rockfills are considered
influential in settlement. For modeling, the data were divided into two groups, including
training and test in which 23/35 and 12/35 of the data were used for training and test,
respectively. Tow input parameters used were height (H), and shape factor (Sf), to
prediction of dam crest settlement (RSCFRD). Two statistical evaluation criteria were used
to assess the performance of the intelligent methods. These criteria are root mean square
error (RMSE) and correlation coefficient (R), respectively, given by the Equations (1) and
(2) (Kayadelen 2011).
1 n
RMSE  ( )( ai  pi )2 (1)
n i 1
2
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n
( p i  p )( ai  a )
R i 1
(2)
n n
( p
i 1
i  p) 2
( a
i 1
i a) 2
where a is the actual value and p is the predicted value, a and p are the mean of actual and
predicted values respectively, e is the absolute error ( ai  pi ) , e is the mean of absolute
n
1
error ( ) ( ai  pi )2 and n is the number of data sets.
n i 1
2.2. Gene Expression Programming (GEP)
Ferreira (2001) proposed a new algorithm based on the genetic algorithms (GAs) and
genetic programming (GP) called gene expression programming (GEP). The new
evolutionary algorithm was created to overcome many GA and GP limitations (Teodorescu
and Sherwood 2008; Kayadelen 2011). The GA is a model of machine learning whose
behavior was inspired by evolution mechanism in nature. This method is implemented by
creating a population of individuals; each of them is presented in the form of chromosome
(Sivanandam and Deepa 2008). In fact, GEP can be considered as a new subset of genetic
programming; the only difference between them is in providing solutions (Ferreira, 2006).
In this method, a string character with fixed length is created to present solutions. These
solutions have a tree structure, which is called “expression tree” (ET) (Figure 1) (Kose and
Kayadelen, 2010). Figure 2 shows GEP algorithm in which selection starts with 5
elements. This method consists of two main sections called chromosomes and ET. Any
mathematical information in the gene of chromosomes is coding through the method of
bilingual and definite language of Karva. Expression tree is translated using the ET
language. The selection is started by five elements, including function set, terminal set,
fitness function, control parameters, and stop conditions. GEP has four main operators that
include selection, mutation, transposition, and cross over. Each expression tree is made up
of two parts called function set and terminal set (Figure 1).
Figure 1. A sample of expression tree obtained by GEP and Corresponding mathematical equation
(Behnia et al. 2013)
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Figure 2. The algorithm of GEP (Mollahasani et al. 2011)
2.3. Neuro Genetic (NG)
Neuro-Genetic (NG) system is a combination of artificial neural network (ANN) and

genetic algorithm (GA). Having high learning capability and flexibility enables artificial
neural network to estimate and predict complicated engineering problems. On the other
hand, GA is an appropriate tool to search and optimization (Sivanandam and Deepa, 2008).
The first step in training an ANN is to design the network architecture. Design of ANN is
specified by the network topology (such as number of hidden layers, number of neurons,
type of transfer functions, etc.) and learning rules. These rules specify an initial set of
weights, biases, momentum coefficients and learning rates and indicate how they should be
adapted during training to improve network performance. Both topology and learning rules
are very important and the good selection of those will achive better performance of the
network (Majdi and Beiki, 2010). Trial and error method should be used for optimization
of network architecture. Genetic algorithm, a combination system of NG could be utilized
instead of trial and error method, which is time-consuming.
At first, genetic algorithm of a NG system works with an initial population of random
chromosomes (neural network). Then, main and sub-operators of current generation form
the next one in each stage. Chromosome eligibility for transferring to subsequent
generation is evaluated target function. By increasing the number of generations, the
number of individuals in each generation decreases. Finally, only one chromosome
remains, which has the best characteristics (Osman et al., 2004). Figure 3 shows a
mechanism of an artificial neural network and combination system of NG. Genetic
algorithm plays the optimization role for weights and biases. Hence chromosomes of
genetic algorithm form weights and biases of neural network (Cha et al., 2008).
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Figure 3. Comparison of (a) traditional artificial neural network and (b) NG system (Cha et al.,
2008)
3. INTELLIGENT MODELS
3.1. GEP Model
In this article, GeneXProTools 4.0 was used to apply GEP method. In order to develop the
prediction model for settlement of CFRDs and to find the most appropriate model, number
of chromosomes, 40, head sizes, 12, mutation rate, 0.01, and multiplication linking
function were used. One of the most important issues is to determine the number of genes
that are selected based on the precision and application of the model (The decrease or
increase of the number of genes may lower the precision of the obtained relation or
prolong it); the trial and error method is used to select the optimum number of its genes.
Considering the conditions mentioned in this paper, the number of the genes was
determined as three. As mentioned in previous sections, first, 23 datasets (23/35) were
divided for training. According to two input parameters called H (in terms of meter) and Sf
(unit less), Eq. (3) was offered for predicting settlement of CFRDs (RSCFRD) (Equation 3).
tan(sin(10(tan H  Sf 1 ) ))  sin3(sin(cos(32.13 )))
RSCFRD  ( 9.6  tan((9.6  H )( Sf  66.29 ))  Sf  H  tan 4 Sf ).( )
2
2 log H
(3)
.(tan(( ).log 3 Sf ))
Sf  49.26
Finally, 12 datasets (12/35), which were divided for the test, were used for evaluating the
achieved relation. As shown in Figure 4, the values of R for the real dam crest settlement
and GEP prediction (for training and testing phase) are equal to 0.927 and 0.924,
respectively. Table 1 shows results (Evaluation criteria: R and RMSE) of the study for this
equation to predict CFRDs settlement (RSCFRD). Finally, to use the equation extracted from
the GEP method, this equation was designed as a form using visual basic (VB) software. It
is possible to predict settlement of a dam only by inserting two pertinent inputs at the
specified place on the form. Figure 5 shows a view of the form.
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Figure 4. Correlation of Coefficient between real values of CFRDs settlement and predictions of
the GEP
(a) Training phase; (b) Testing phase
Table 1. GEP results to predict RSCFRD

RMSE R
Training phase 0.104 0.927
Testing phase 0.121 0.924
Figure 5. A profile of the form for prediction of CFRDs settlement
3.2. NG Model
The NG model was developed using MATLAB software. All data are to be normalized in
the range of [-1 1] before modeling. Using the 35 data sets a NG model has been developed
based on the two input parameters of H and Sf. In the optimization process, the settlement
of the dam was estimated by neural network after the construction of the each neural
network. Then the mean square error (MSE) of the predicted values was determined. The
process continued to achieve minimum MSE for each NG networks built in this generation.
The process was repeated for several other neural networks with different structures.
Eventually, the best network with the lowest RMSE was selected as the best NG model
(RMSE = 0.276 m). After training, seven raw data sets were used to evaluate the hybrid
model. The RMSE of the testing phase was equal to 0.205 m. This amount is very close to
the RMSE of testing phase. Figure 6 shows the neural network architecture. The network
has one hidden layer with 6 neurons. Tables 2 represent other characteristics of the hybrid
network demonstrating the specification of the genetic algorithm and the parameters of the
neural network, respectively. Table 3 represent the correlation coefficient between the
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actual values of dam settlement and the NG network prediction in training and testing
phases. Given the amount of R, the performance of the model seems to be appropriate.
Figure 6. ANN structure between input and output data
Table 2. Setting and total information about genetic algorithms and artificial neural network
Mutation percent 35
Crossover percent 50
Recombination percent 15
GA
Fitness function MSE
parameters
Selection method Tournament
Number of generations 200
Number of population 25
Training method GA
ANN Hidden layers 1
parameters Network structure 6-1
Activation function tansig-purelin
Table 3. Results of ANNGA for prediction of dam settlement

RMSE 0.276
Train results
R 0.548
RMSE 0.205
Test results
R 0. 770
4. DISCUSSION
In order to discuss and compare, all the results of this study are presented in Table 4. Based
on this, R and RMSE criteria were used. Comparing the rates of evaluation criteria (R,
RMSE) for the two intelligent methods (GEP, NG) showed that GEP’s accuracy was
higher than another method. NG method does not offer a specific equation, unlike GEP,
and it can be applied as coding on MATLAB software, it will not be applicable as much as
GEP equation. Finally, to use the equation extracted from the GEP method, these equations
were designed as a form using hypertext preprocessor (PHP). It is possible to predict
settlement of a dam only by inserting two pertinent inputs at the specified place on the
form.
Table 4. Results of R2 and RMSE of ANFIS and GEP model

R RMSE
Train 0.927 0.104
Equation (3)
Test 0.924 0.121
Train 0.548 0.276
NG Model
Test 0.770 0.205
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5. CONCLUSION
Two modern intelligent methods including gene expression programming (GEP) and
neuro-genetic (NG) were applied to predict RSCFRD. Parameters such as dam height (H) and
dam shape factor (Sf) were considered as the input parameters. Information concerning 35
dams throughout the world was used for modeling. For these two methods, the data were
divided into two groups including training phase (23/35) and test phase (12/35). The
prediction results of the two intelligent methods were favorable. GEP’s performance was
superior to another method. Undoubtedly, this equation would be useful when they are
applied by other researchers as well. A simple computer application is developed to
simplify using GEP equations especially its more detailed equations. Because, the obtained
equation involves computational complexities; to facilitate taking advantage of them, they
were presented on a web-based application. It is available through a form that can be
uploading on a website. Finally, with respect to the results obtained from the present
research, it can be stated that the intelligent methods are suitable tools to solve issues with
complex mechanism and several effective factors, such as dams’ settlement prediction.
Such feature is considered as its positive point as compared with other methods. The
available model and equation can be applied for predicting settlement of CFRDs for future
objectives.
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GEP Intelligent Methods for Prediction of MFRDs Settlement, ICOLD 2013
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DESIGN AND CONSTRUCTION CHALLENGES OF THE

CANAL BORINQUEN DAMS 1W, 2W, AND 2E
Wonnie Kim, M.S., P.E.
MWH, Denver, Colorado, USA
Wonnie.Kim@mwhglobal.com
Carlos Zambrano, M.S., P.E. & Chris Ottsen, M.S., P.E.

MWH, Chicago, Illinois, USA
Donald J. Montgomery, M.E., P.E.

MWH, Denver, Colorado, USA
ABSTRACT: DESIGN AND CONSTRUCTION CHALLENGES OF THE PANAMA

CANAL BORINQUEN DAMS 1W, 2W, AND 2E
The Panama Canal Expansion Project includes the design and construction of four dams that will
allow navigation access to the new Pacific Post-Panamax Locks (Pacific Locks). This paper
describes several design and construction challenges associated with three of the dams; Borinquen
Dams 1W, 2W and 2E. As these dams will retain Gatun Lake and the upstream waterways of the
Panama Canal, they have been designed to achieve a high degree of reliability.
The Borinquen Dams 1W, 2W, and 2E are part of the design-build contract for the Third Set of
Locks, one of several contracts under the overall Expansion Program. Several unique challenges
related to foundation conditions, tropical environment, and high seismic hazards were addressed in
the design and construction of the dams. The footprints of the dams encompass several active fault
crossings and multiple geologic formations ranging from columnar basalt to weak claystones and
shales prone to slaking and degradation. The unique nature of the tropical environment presents a
particular challenge related to the behavior of the residual soils available for the clay core and
construction impacts due to heavy precipitation and long wet seasons. In addition, the high seismic
hazard of the area leads to several challenges including design peak ground accelerations up to
0.97g and fault rupture displacements of up to 3.0m.
Keywords: Panama Canal, Borinquen Dams, Design, Construction, Tropical Soils, Seismic
1. INTRODUCTION
The Third Set of Locks Project is one of four major components of the Panama Canal
Expansion Program. The Expansion Program will create a new lane of traffic for passage
of larger Post-Panamax vessels, allowing more traffic and nearly doubling the existing
capacity of the Canal. The Third Set of Locks Project includes the design and construction
of new locks and ancillary works at the Atlantic and Pacific entrances as well as three
dams (Borinquen Dam 1W, 2W and 2E) at the Pacific site. Other major components of the
Expansion Program include improvements to the navigation channels and water supply.
The new Pacific Lock Complex is located adjacent to the existing Miraflores Locks.
Upstream of the new Pacific Locks is the new 218-m wide Pacific Approach Channel
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(PAC) formed by the Borinquen Dams (See Fig.1), which will retain Gatun Lake, the main
waterway and water source for the operation of the Panama Canal. The Borinquen Dams
will allow vessels to enter the Pacific Locks from Gatun Lake at approx. El. +27 m, which
is nearly 10 m above the Miraflores Lake entrance to the adjacent Miraflores Locks.
Figure 1. Third Set of Locks Project – Pacific Site Plan
The Borinquen Dams have a total combined length of almost 4 km, of which Dams 1W,
2W, and 2E are approximately 2.9 km. Dams 1W, 2W, and 2E, are being constructed
under a design-build contract awarded to the construction joint-venture Grupo Unidos Por
El Canal (GUPC) and the design joint-venture Consultores Internacionales LLC (CICP), of
which MWH is the lead designer. Dam 1E is being constructed under a separate contract.
The term “Borinquen Dams” from this point forward shall refer to Dams 1W, 2W, and 2E.
The Borinquen Dams have been designed and constructed to achieve an extremely high
degree of reliability since significant damage or failure of the dams could lead to the
release of Gatun Lake and interruption to the Canal operation. The performance criteria
and conceptual design of the dams were developed by the Owner, Autoridad del Canal de
Panama (ACP), and reflect the utmost importance of reliability over the 100-year design
life of the Project. Throughout the design-build process, several modifications were made
to the conceptual design in order to arrive at a final design that accommodates construction
methods, construction sequencing, material availability and site conditions. Key features
of the Borinquen Dams are summarized in Table 1 and Fig. 2.
Table 1. Summary of Key Dam Features – Borinquen Dams 1W, 2W, and 2E
Status Under Construction
Dam Type Zoned basalt rockfill dam with central clay core
Crest Elevation (without camber) El. 32 m PLD
Top of Core Elevation (without camber) El. 29 m PLD
Crest Width 30 m
Max. Dam Height (above foundation) 35 m
Dam Length 0.6 km (1W), 0.9 km (2W), 1.4 km (2E)
Dam Fill Volume 7 million m3 (approx.)
Dam/Core Freeboard (above NMOP) 4.87 m / 1.87 m
Inboard Slopes 2.87H:1V
Outboard Slopes 2.5H:1V (1W & 2W), 2.5H:1V to 3H:1V (2E)
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Figure 2. Typical Dam Section
2. GEOLOGIC CHALLENGES
The foundation geology of the dams consists of basalt rock, as well as sedimentary and
pyroclastic rocks of the La Boca and Pedro Miguel formations (see Fig. 3). The basalt rock
formations originate from lava flows and as sub-intrusive masses and generally consist of
hard and dense gabbro basalt and diabase, ranging from massive to fractured and columnar
jointed. The La Boca Formation is predominantly carbonaceous shale and siltstone with
lenses of calcareous sandstones and is a very soft to medium hard sedimentary formation
of volcanic origin. The Pedro Miguel Formation is limited to a small portion of Dam 2E
and generally composed of a sandy tuffaceous matrix with basaltic clasts. The bedrock
units are overlain by overburden consisting of fill/spoil from previous Canal excavations
and tropical residual soils. The residual soils are typically clays and silts with very low to
medium-high consistencies, high plasticity, and moderate to high water contents.
Figure 3. Borinquen Dams Geology
The dam cores are founded on sound rock and treated with slush grout, leveling concrete
and a 15-m deep double-row grout curtain. The inboard and outboard rockfill shells are
founded on moderately weathered basalt and Pedro Miguel rock, and sound La Boca. The
outboard toe area for Dam 1W and 2W is founded on overburden beyond a 1H:1V
projection drawn from the outboard edge of the dam crest (See Fig. 2).
The La Boca Formation presented several challenges due to soft materials prone to slaking
and deterioration with prolonged exposure. Several features were incorporated in the
design to mitigate deterioration of La Boca materials within the dam foundations.
 For the core foundations, an unreinforced concrete slab was immediately placed on
top of the final excavated surface. The slab serves to protect the La Boca
foundation and provides a grout cap for foundation grouting. The clay core
overlaps the upstream and downstream edges of the protection slab, allowing at
least 2 m of clay core to be placed directly on the rock foundation, mitigating the
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potential for seepage along cracks in the concrete slab.
 For the dam shell foundations, initial excavations were left above the final
foundation level. The exposed materials were later removed just prior to fill
placement and immediately covered with compacted fill.
Dam foundations on basalt were also highly variable and presented challenges due to
natural steep slopes, protrusions, large pits, and sharp drop-offs in the excavated surfaces.
The irregular foundation surface was particularly problematic due to the hardness of the
basalt rock formations which made it difficult to excavate and shape the foundations.
Foundation irregularities were mostly addressed through placement of leveling concrete to
create flatter slopes within the core foundation to facilitate placement and compaction of
the initial lifts of core material.
3. TROPICAL ENVIRONMENT CONSTRUCTION CHALLENGES
The climate in the Project area is typical of low latitude environments of the inner tropics,
characterized by high temperatures and humidity, abundant rainfall and frequent
thunderstorms throughout the rainy season. The rainy season extends from early May to
December with average monthly precipitation of approximately 217 to 373 mm. A
relatively dry season is typically experienced from December through April, with monthly
rainfall averages from approximately 36 to 122 mm (ACP, 2008).
The design of the dams accommodates many construction challenges associated with the
tropical environment; in particular, the constraints on placement and compaction of clay
core during the rainy season. In this regard, the design includes provisions for:
 Allowing construction joints perpendicular to the dam axis. This reduces the
amount of core exposed to rainfall. Slopes forming these joints are treated by
benching into the joint and scarifying to a minimum of 150 mm before compacting
new material against the joint.
 Allowing rockfill shell to be placed on the inboard and outboard toe of the dam,
separated from the core and surrounding materials. Rockfill could be placed a
minimum 5 m from the core/filter features to protect the foundation and advance
construction works during rain events.
Additionally, the core geometry was revised from that provided in the conceptual design;
primarily to reduce the volume of core material and the amount of core trench excavation
and treatment (See Fig. 4). The core was steepened below the controlling outboard water
level, without increasing maximum gradients or impacting the anticipated seepage regime
through the dams. The reduction in volume effectively reduces the time that the lower part
of the core is exposed to potential damage from weather and rainfall.
Figure 4. Refined Core Geometry
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4. TROPICAL RESIDUAL SOILS FOR CORE MATERIAL
Materials for the dam cores are obtained from several local borrow sources and stockpiles.
Two of the primary sources for clay material include Sucre Hill and Cocoli Hill, comprised
of tropical residual soils derived from basalt and andesite parent rock. These tropical
residual soils exhibit many unique engineering properties that differ from typical temperate
zone clays, necessitating an alternative approach to conventional placement and
compaction control measures.
Natural moisture contents from these sources were relatively high, generally ranging from
40 to 50%, approximately +5 to +10% above optimum moisture content (OMC, see Fig.
5). Despite the high natural moisture contents, the material appeared dry and crumbly with
appreciable clay/silt clusters. These clusters behave like coarser grained particles within
the soil mass and lead to high void ratios and low densities, but surprisingly high strengths,
relatively high permeability, and low compressibility as compared with temperate zone
materials with the similar liquid limit (LL) and plasticity index (PI). The measured
moisture content of the tropical soils would also vary by as much as +/- 1 to 8% depending
on the oven temperature used for testing, due to the irreversible loss of structural water. In
particular, the material exhibited high variability in moisture content, LL, PI, and Standard
Proctor tests based on how samples were dried. Thus, it was important to establish and
maintain a standard laboratory testing procedure to allow a more precise characterization
and comparison of materials.
Figure 5. OMC and MDD – Sucre Hill & Cocoli Hill
The variable moisture contents in the Standard Proctor tests, along with the high natural
moisture contents, complicated the application of conventional performance specifications
for density and moisture control. Conventional performance specifications typically require
moisture contents from +1% to +3% above OMC with an average of 98% of the MDD
based on Standard Proctor tests. However, the majority of borrow materials were found to
have natural moisture contents in the range of +5 to +12% above OMC. Strictly following
the conventional performance specifications would have required extensive drying and
borrow management procedures to reduce natural moisture contents to within acceptable
ranges; and with heavy precipitation during eight months of the year, this was found to be
impractical. Therefore, additional density and moisture control requirements were
developed for materials with moisture contents higher than +3% above OMC by
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conducting extensive laboratory testing programs and field trials to determine acceptable
compaction using saturation levels as a controlling placement criteria.
The laboratory testing programs were performed on compacted borrow materials by
evaluating engineering properties such as drained and undrained strengths, permeability,
and consolidation properties. Of these properties, the undrained strength and permeability
were the considered to be of primary importance. Specimens at various moisture contents
along the 85% to 90% saturation lines were tested. Undrained strength and hydraulic
conductivity at various moisture contents and saturation levels / densities are shown in Fig.
6a and Fig. 6b for the Sucre Hill materials. The plots include contour lines derived from
the laboratory data as well as projections based on observations from similar clay materials
(Seed, 1960; Mitchell et al, 1965). Testing of other borrow sources showed similar trends,
but each source exhibited unique differences to be considered in applying density and
moisture control requirements for core material placement.
Figure 6a. Undrained Strengths–Sucre Hill Figure 6b. Hydraulic Conductivities–Sucre Hill
Based on the testing program and field trials (test fills), the final compaction requirements
for the Sucre Hill and Cocoli Hill source materials were developed, as summarized in
Table 2.
Table 2. Compaction Requirements
Borrow Compaction Requirements Shear Strength
Source Moisture Content Density / Saturation Level Requirement
Sucre Hill +1% to +6% OMC 98% of MDD (average) n/a
96% of MDD (minimum)
+6 to +10% OMC Density equivalent to 87% saturation 70 kPa (shear vane)
Cocoli Hill +1% to +6% OMC 98% of MDD (average) n/a
96% of MDD (minimum)
+6 to +8% OMC Density equivalent to 90% saturation 120 kPa (shear vane)
Since the density requirements at higher moisture contents are based on saturated levels,
other measures were also specified to limit saturated or near saturated fill. Borrow areas
were managed and protected to prevent material from becoming excessively wet and were
regularly tested, as part of the quality control (QC) program, to prevent overly wet
materials from being placed in the dams. Placed materials that resulted in excessive rutting
or pumping from equipment were required to be removed or reworked within the core fill.
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5. FILTERS
The original conceptual design of the dams included four different filters placed in six
separate zones. During development of the detailed designs, an effort was made to reduce
the number of filter/transition zones to mitigate several issues related to filter material
availability and construction. The final design of the dams contained one broadly-graded
sand filter/transition zone and a zoned rockfill (i.e., “buffer”) adjacent to the
filters/transitions.
Due to a limited availability of suitable natural sands and gravels, the filter materials are
produced from basalt rock obtained from required excavations and quarries. However, the
basalt rock sources are also required for concrete aggregate production as well as rockfill
for the dams and backfill around lock structures. Therefore, not only was a shortage of
available basalt material a concern, but also the ability of the crushing plant to keep up
with the production of both concrete aggregate and filters/transition material. Another
concern was that placement of an intricate system of filters could slow the placement of
core materials. Reducing the number of filter zones allowed lifts of the dam to be
constructed quickly during intermittent “dry” working periods. This was considered
particularly important for the clay core which could not be placed and compacted during
significant rains and was often the limiting zone for advancing the dam construction.
Developing a simpler filter and transition zone would facilitate construction and allow for
more time to focus on the advancement of clay core construction.
The final design consisted of one broadly-graded, gravelly sand chimney filter/ transition
on the inboard and outboard side of the core with a zoned rockfill material adjacent to the
filter/transition zones, as illustrated on Fig. 2. The zoned rockfill consists of a coarse gravel
and cobble “buffer” material. The filters were designed using U.S. Bureau of Reclamation
guidelines (USBR, 2007). A coefficient of uniformity (cu) of less than 20 was targeted in
the filter/transition zones to reduce potential for segregation within the material. Test fills
were performed prior to construction and final approval of the materials to confirm that
placement methods and materials would not result in significant segregation. The
filter/transition zone limits are shown on Fig. 7.
Figure 7. Filter Gradations
II - 162
6. SEISMIC DESIGN
Panama is located in a high seismic hazard area predominantly controlled by crustal faults
formed by the interaction of the Cocos, Nazca, Caribbean and South America tectonic
plates. The Borinquen Dams are intersected by four active faults, including the East
Branch of Pedro Miguel fault, the Miraflores fault, and two unnamed faults (See Fig. 8).
These faults are potentially capable of producing up to 3 m of horizontal displacement and
0.5 m of vertical displacement (ACP, 2009). This challenging tectonic setting required the
development of detailed analyses and design of measures to mitigate permanent seismic
deformations induced by potential fault ruptures and to account for propagation of near-
source strong ground motions, as well as treatment of potential seepage and piping paths
created along faults.
Figure 8. Borinquen Dams 1W, 2W and 2E Faults.
6.1. Design of Fault Crossings

The faults crossing the dam footprints are approximately 5 to 35 m wide and consist of
slickensided and soft to very soft silty clay gouge material and highly to moderately
weathered and fractured rock. The fault zones transition to the adjacent sound rock over a
distance of up to 5 m. The top two meters of fault gouge and highly weathered and fracture
rock were removed and the following foundation treatments were constructed to control
seepage under the dams and protect against piping:
 Seepage control measures typically consisted of a 5-m deep plastic concrete cut-off
wall under the clay core, a 1-m thick clay blanket extending 50 to 70 m from the
core under the inboard shell, and a 15-m deep double-row grout curtain across the
fault. One grout row was extended through the cut-off wall with fan holes at the
end of the wall to seal the wall with the adjacent sound rock materials.
 Foundation piping control measures were implemented under the outboard shells
by providing a thicker filter blanket with thickness varying from 2 to 3 m.
To keep the core and filter zones intact and functioning after a fault rupture, the internal
zoning of the dam was widened within 50 m of fault crossings to provide a minimum
width/thickness of clay core and filter/transition zones of at least 1.5 times the design
horizontal and vertical fault displacements, respectively.
II - 163
6.2. Seismic Deformation Analysis
Two design basis earthquakes, each with seven ground motion time histories, were used
for the seismic design of the dams. The design earthquakes have return periods of 1,000-
years and 2,500-years with corresponding horizontal peak ground accelerations of 0.72 g
and 0.97 g, respectively (ACP, 2009). The dams and abutments were designed to withstand
the 2,500-year return period earthquakes without release of Gatun Lake or overtopping,
and the 1,000-year return period earthquakes without damage that requires emergency
repairs or interruption of the Canal operations.
The seismic performance of the dams was evaluated with nonlinear seismic deformation
analyses performed with the two-dimensional finite difference analyses (FLAC software;
Itasca, 2008) (Fig. 9). Dam foundation and embankment materials were modeled using the
Mohr-Coulomb behavior model. Static in-situ stress analyses were performed to establish
the pre-earthquake stress condition. The design rock outcropping motions were
deconvolved using the equivalent-linear SHAKE software (Shake2000, 2008) through the
rock foundation down to the bottom of the FLAC models.
The results of the analyses indicated that the Dams 1W, 2W and 2E remain functional and
retain Gatun Lake during and after the 1,000-year and 2,500-year return period earthquakes
without the need for emergency repairs. Calculated permanent settlements and
displacements are less than the available freeboard of 4.87 m, less than the minimum width
of the core (2.9 m) and chimney filter/transition zones (2.5 m), and less than the minimum
thickness of the blanket filter (1.0 m). A summary of the computed seismic displacements
for the 2,500-year earthquake motions is included in Table 3. The range of crest
settlements calculated using FLAC is in agreement with the range of settlements computed
using the empirical method developed by Bureau (2009).
JOB TITLE : Borinquen Dams (*10^2)
1.000
FLAC (Version 6.00)
LEGEND
4-Nov-11 21:37
step 6220390 0.600
Dynamic Time 3.1000E+01

1.561E+02 <x< 3.601E+02
-9.473E+01 <y< 1.093E+02
C D
User-defined Groups E
'Sound Basalt' 0.200
'Sound LaBoca'
'LaBoca R.Soil'
Disposal
'Type2b3-P.Miguel Rockfill'
Type3a/3b-Filter/Drain
'Type1a-Clay Core' -0.200
'Type2a-Basalt Rockfill'
Fill
Grid plot
0 5E 1
-0.600
Exaggerated Boundary Disp.
Magnification = 0.000E+00
Max Disp = 1.589E+00
1.800 2.200 2.600 3.000 3.400

(*10^2)
Figure 9. Deformed FLAC Mesh – Post-Earthquake Configuration
II - 164
Table 3. Calculated Permanent Seismic Displacements for 2,500-year Earthquake
Seismic Displacement
Location Displacement Direction
(cm)
30-m wide Crest El. 32.0 5 to 65 Settlement
Inboard Slope 25 to 80 Toward canal
Toward canal for the buried Dams 1W
10 to 20
and 2W slopes
Outboard Slope
Toward the outboard side for partially
25 to 45
buried Dam 2E slopes
Chimney Filter/Transitions 5 to 35 Toward canal
Outboard Blanket Filter 2 to 8 Settlement
7. CONCLUSIONS
The Borinquen Dams 1W, 2W, and 2E faced several unique technical challenges.
However, this design-build project was resourcefully designed to address difficult
conditions, which resulted in a design that exercised flexibility in construction while
meeting the strict performance requirements for a 100-year service life.
REFERENCES
ACP. (2008, 2009): Employer Requirements, The Panama Canal – Third Set of Locks
Project.
Bureau, G. (2009): Seismic Performance Review of Zipingpu Dam, China. Proceedings of
International Seminar on Earthquake and Dam Safety, March 29-April 4, Beijing
China.
Bureau of Reclamation (USBR), U.S. Department of the Interior. (2007): Design
Standards No. 13 Embankment Dams, Chapter 5, Protective Filters.
Itasca. (2008): FLAC. Fast Lagrangian Analysis of Continua, Itasca Consulting Group,
Inc., Mill Place, 111 Third Street, Suite 450, Minneapolis, Minnesota.
Mitchell, James K., Hooper, Don R., Campanella, Richard G. (1965): Permeability of
Compacted Clay. Journal of Soil Mechanics and Foundations, Proceedings of the
American Society of Civil Engineers, SM4.
Seed, Harry B., Mitchell, James K., and Chan, C.K. (1960): The Strength of Compacted
Cohesive Soils. ASCE Research Conference on the Shear Strength of Cohesive
Soils, June 13-17.
Shake2000. (2008). Computer Program for 1-D Analysis of Geotechnical Earthquake
Engineering Problems.
II - 165
INTERNA
ATIONAL SYMPOS
SIUM ON
Bali, In une 1ST – 6THH , 2014

ndonesia, Ju
ATION OF
EVALUA O FLOWW CHARA ACTERISSTICS AN
ND CAVIITATION
N
AT CHU
UTE CHAANNEL USING
U HE
EC-RAS MODEL
(CASE
E STUDYY: GERMII CHAY SPILLWA
S AY CHUUTE CHANNEL)
Sh. Parttovi Azar

Dam deppartment, Ashenab Consultiing Engineerss company, Taabriz, Iran
ashenab.icolld@gmail.com
m
A. Mih
handoost
Dam deppartment, Ashenab Consultiing Engineerss company, Taabriz,.Iran
ABSTRAC
CT
In thiis study the flow
f parameeters such ass depth, velocity and ... area calculateed through HEC-RAS
H
modeel for differennt dischargess. After invesstigation of flow
f depth annd velocity aat different seections of
chutee channel, thhe cavitation index is callculated for each
e sectionn. The risk off cavitation along
a the
chutee channel foor assumed discharges
d i evaluated and compared with Faalvey criteria
is a (1983).
Maxiimum and minimum
m veloocity calculaated for threee dischargees (338, 1699 and 67.6 m3/s) m are
24.577 and 1.65 m/s,
m respectivvely. Minimuum and maxiimum values of cavitation index calcculated at
differrent sectionss are 0.55 and
a 9.52, resspectively. The T results indicate
i thatt, cavitation will not
occurr along the sppillway chutte channel acccording to Falvey
F criterria.
Keyw
words: Spillw
way, Cavitatiion index, HEC-RAS
HE mo
odel
1. IN
NTRODUC
CTION
Spilllways are provided for f storage and deten ntion dams to releasee surplus water w or
flooddwater that cannot be contained
c inn the allotteed storage space,
s the im
mportance of o a safe
spillwway cannoot be over--emphasizedd. Many failures f of dams havee been cau used by
imprroperly desiigned spillw ways or byy spillwayss of insuffiicient capaccity. Spillw ways are
ordinnarily classiified accordding to theiir most prom minent featture, either as it pertaiin to the
contrrol, to the discharge
d chhannel, or too some other feature. Spillways aare often refferred to
as “ccontrolled” or “unconntrolled”, depending
d on
o whetherr they are gated or un-gated.
u
Com mmonly refeerred to types are the freef over-faall (straight drop), ogeee (overflow w), chute
(openn channel oro trough) sppillways. Chhute spillwaays have beeen used moore often with earth-
fill dams
d becausse of the sim
mplicity of their
t designn and constrruction. Deppending on the crest
levell and water level at upsstream side of the dam m these typees of spillwaays are gateed or un-
gatedd. Chute spillways are ordinarily consist of an a entrance channel, a control stru ucture, a
dischharge (chutee) channel, a terminall structure and a an outllet channel. If the preessure of
flowiing water isi decreasedd through inncreases in the flow velocity,
v a ccritical con
ndition is
reachhed when cavitation will
w begin. Cavitation
C iss a process that usuallyy is associaated with
damaage to a surrface. Actuaally the caviitation is deefined as thee formation of a bubblee or void
withiin a liquid.. Finally a set of critiical flow co onditions exxists for wwhich the in ndividual
II - 166
cavitation bubbles suddenly transition into one large void. If flow body is not streamlined,
the flow will separate from the body and the most negative pressure will occur within the
flow. If the pressure become less than vapor pressure of water, cavitation will begin. For
instance, irregularities and roughness of concrete surface which can be created during or
after construction cause a sudden change in flow direction and low pressure areas. To
prevent such damages the possibility of cavitation at a certain velocity should be
investigated during the design or construction. The first major failure in spillways due to
cavitation arose in 1941 [ 4 ]. Various studies have been conducted by researchers in this
field. Song and Zhou [ 5 ] used a numerical method to study the effect of geometric
problems on free-surface flows over a tunnel spillway. The equations are solved using
finite volume method and the numerical results were compared with experimental results.
Causon et al. [ 6 ] used finite volume method for analyzing supercritical flow within the
spillway channels.. They solved nonlinear equations in shallow water depth in two-
dimensional mode. Knapp et al. [ 7 ] were the first people (*pioneers) who have studied the
phenomenon of cavitation with fast imaging techniques . Falvey [ 8 ] in 1983 introduced a
criterion to prevent damages caused by cavitation . The aim of this study is to determine
the parameters such as depth, velocity and … in Germi Chay dam’s spillway chute
channnel through HEC-RAS model. After determination of flow velocity and depth in
various cross sections of chute channel, the cavitation index was calculated for each cross
section. The probability of cavitation along the chute channel for the desired discharge
were examined by Falvey criteria (1983).
1. GERMI CHAY DAM'S SPILLWAY
Germi Chay Dam in East Azarbayjan province, Iran is located at a distance of 220 km
southeast of Tabriz city and is an earth-fill dam with a vertical clay core.Germi Chay
dam’s spillway is an ogee type which is arched in plan. The effective length of spillway
curve is 34 meters in plan. The ogee curve is continued to a 20.25 meters long basin. The
flow glides over the basin and enters to a 40 meters long box with a width of 12, a length
of 8 meters and a slope of 6%. This box is attached to a 500 meters long chute channel
with a width of 12 and a slope of 6%. Flow from the chute turns into a transition which is
48.3 meters long .The bottom slope of transitions is variable and the bottom width is 20
meters at the end. The transition leads to the stilling basin. Spillway design discharge is
338 m3/s equals to one-half the Probable Maximum Flood (PMF). Fig. 1 shows a plan
view of Germi Chay Dam’s spillway.
Figure1. Plan of Germi Chay Dam's spillway
II - 167
2. FLOW CHARACTERISTICS INVESTIGATION THROUGH HEC-RAS
MODEL
In this study flow water surface profiles were obtained along the chute channel for various
discharges via HEC-RAS model. HEC-RAS model has extensive capabilities including the
simulation of steady and unsteady flows, flow around bridge piers, flow inside culverts and
over spillways and other features. Water surface profile along the chute channel was
computed through gradually varied steady flow calculations
In HEC-RAS model flow parameters are calculated based on solving energy equation in
one-dimensional mode. When the water surface profile is rapidly varied, momentum
equation is used.
2.1. Energy Equation
Energy equation for a steady flow within an open channel in a control volume based on
one-dimensional analyzes is as Eq. 1.
V P V
+Z +α −h = +Z +α (1)
Where V1 and V2 respectively are the velocity at the beginning and end of the volume
control, P1 and P2 are the pressure at the bottom of the channel at the beginning and end of
the volume control, Z1 and Z2 are channel’s bed elevation at the beginning and end of the
volume control, hf is energy loss in terms of water head and α1 and α2 are kinetic energy
correction coefficients due to one-dimensional flow assumption. Energy loss caused by
friction and energy loss due to sudden contraction or expansion of section are respectively
determined by manning's equation and a coefficient which is multiplied to velocity head
changes.
2.2. Momentum Equation
Momentum equation or the equation of motion within an open channel in a control volume
for one-dimensional flow can be written as Eq. 2.
𝐹𝑝 − 𝐹𝑝 − 𝐹 + 𝑊𝑠𝑖𝑛𝜃 = 𝜌𝑄(𝛽 𝑉 − 𝛽 𝑉 ) (2)
Where Fp1 is pressure force at the beginning of the control section, Fp2 is pressure force at
the end of control section, Ff is friction force of channel's bed which can consist of the
friction of side walls or any obstacle in flow path if the channel is non-prismatic, W is
water weight within control volume, ϴ is channel's bed angle to the horizon, ρ is the
density, Q is the discharge and β1 and β2 are momentum correction factors due to one-
dimensional flow assumption.
To analyze the flow characteristics in spillway through HEC-RAS model, the water depth
at the ogee basin was calculated for design discharge (Q), 0.5Q and 0.2Q by the continuity
equations and Eq. 3 and Eq. 4 and are shown in Table 1.
𝑉 = 2𝑔 𝑧 − (3)
𝑉 = 𝑎𝑉 (4)
II - 168
Where:
Vt is theoretical velocity at the end of reverse curvature of ogee, Z is the difference
between water surface elevation at upstream and downstream. Hd is the static head of water
over ogee’s crest calculated for design discharge, Va is actual velocity at the end of reverse
curvature of ogee and α is velocity correction factor.
Table 1. Water depth amounts at the beginning of spillway basin for Q, 0.5Q and 0.2Q
Discharge (m3/s) Water depth at the beginning of spillway basin (m)

338 0.94
169 0.50
67.6 0.21
Spillway geometry in HEC-RAS model was defined by 347 sections. To increase

reliability in determining the kinetic energy, roughness coefficient of 0.0104 is considered
for concrete surface, applying a 20% reduction in roughness coefficient of concrete
surfaces (0.013). Fig. 2 shows the two dimensional plan of Germi Chay spillway defined in
model.
Germi s pillway Plan: Plan 20 2008/07/03
Figure2. Two-dimensional plan of Germi Chay Dam's spillway in HEC-RAS Model
After defining the geometry of spillway in model and assigning the water depth amounts at
the beginning of ogge’s basin as upstream boundary conditions and Normal Depth in chute
channel as downstream boundary conditions for assumed discharges, steady flow analysis
was run in model and water surface profiles were computed.
Cavitation index is calculated for cross sections based on velocity and depth amound
which obtained from model, through Eq. 5.
𝜎= (5)
II - 169
Where, σ is cavitation index, P0 is absolute pressure at the bottom of the channel for
desired cross section, Pv is vapor pressure of water in 20° centigrade and V0 is flow
velocity in channel at desired cross section.
If there is a vertical curve at the bottom of the channel, cavitation index is determined by
the Eq. 6.
± ×
𝜎= (6)
Where, Patm is atmospheric pressure, γ is specific weight of water, y is water depth, θ is

chute channel's bed angel to the horizon, r radius of vertical curve (+ is for convex curve
and - is for concave curve).
Cavitation index values obtained for the assumed discharges are compared with Falvey
criterion (1983), which is shown in Table 2.
Table 2. Falvey criterion 1983

Cavitation Index Design Requirements
Larger than 1.8 No cavitation risk
0.25-1.8 Channel's surface can be protected by smoothening
0.17-0.25 Channel's surface can be protected by natural aeration
0.12-0.17 Channel's surface can be protected by artificial aeration
Smaller than 0.12 Should be re-designed
3. RESULTS OBTAINED FROM HEC-RAS MODEL
The results obtained from model for three desired discharges 338, 169 and 67.6 m3/s are
shown in Fig. 3, 4 and 5.

Germi spillway
1460 Legend
Crit PF 1
WS PF 1
Ground
1450
1440
Elevation (m)
1430
1420
1410
1400
0 100 200 300 400 500 600 700
Main Channel Di stance (m)
Figure 3. Water surface profile for discharge of 338 m3/s
II - 170
Germ i s pillway Plan: Plan 20 2008/07/03
Germi spillway
1460 Legend
Crit PF 2
WS PF 2
Ground
1450
1440
Elevation (m)
1430
1420
1410
1400
0 100 200 300 400 500 600 700
Figure 4. Water surface profile for discharge of 169 m3/s

Germi spillway
1460 Legend
Crit PF 3
WS PF 3
Ground
1450
1440
Elevation (m)
1430
1420
1410
1400
0 100 200 300 400 500 600 700
Figure 5. Water surface profile for discharge of 67.6 m3/s
Cavitation index calculated based on velocity and water depth amounts obtained from
model at desired cross sections for 338, 169 and 67,6 m3/s discharges is shown in Fig. 6.
II - 171
10.00
9.00
8.00
7.00
Cavitation Index
6.00 Q=338 m3/s
5.00 Q=169 m3/s
4.00 Q=67.6 m3/s
3.00
2.00
1.00
0.00
0 200 400 600 800
Distance (m)
Figure 6. Cavitation index changes along chute channel
Maximum and minimum amount of cavitation index for discharges of 338, 169 and 67.6
m3/s are as shown in Table 3.
Table3. Maximum and minimum amount of cavitation index for discharges of 338, 169 and 67.6
m3/s
Cavitation Index
Discharge (m3/s)
Maximum Minimum
338 6.67 0.55
169 9.52 0.78
67.6 1.75 1.24
4. CONCLUSIONS
The results indicate that section contraction in box inlet causes flow blockage in higher
discharges (339 and 169 m3/s) due to high flow rate and discharge per channel's bottom
width unit. Therefore there is a sub-critical flow in the upstream side of the box. The
entrance of the box will act as a control section and critical depth is formed at entrance
section of the box. The supercritical flow over the box and shot continues. For low
discharges (67.6 m3/s) due to low flow rate and discharge per channel's bottom width unit,
section contraction in box inlet causes a flow depth increment behind the contracted
section and super-critical will be maintained throughout the box and chute.
Maximum and minimum amount of velocity for discharge of 338 m3/s are 24.57 and 2.08
m/s, respectively. Maximum and minimum amount of velocity for discharge of 169 m3/s
are 22.25 and 1.65 m/s and for discharge of 67.6 m3/s are 21.65 and 2.08 m/s, respectively.
The results show that minimum cavitation index for all three assumed discharges is 0.55
and according to Falvey criterion cavitation will not occur along the spillway channel. In
critical areas, channel can be protected from cavitation by smoothening the concrete
surface.
II - 172
REFERENCES
Hoseini, S., Abrishami, J. (2001): Open Channel Hydraulics, Imam Reza University
Publications, Mashhad, Iran.
Salmaniye Jelodar, Z., Galmayi, S.H., Zia Tabar Ahmadi, M.Kh., Rahmani, A. (2008):
Water surface profile determination over Ogee spillways using finite element method,
Second National conference on Dams and Hydro-electric Power stations, Tehran,
Iran.
Mehri, M., Fathi Moghaddam, M.,Ebne Jalal, R. (2008): Investigating cavitation risk in
Bala Roud Dam’s spillway using a Physical model, 4th national congress on civil
engineering, University of Tehran, Tehran, Iran
Harrold,J.C. (1947): Cavitation in hydraulic structures, experiences of the Corps of
engineers, Transactions of the ASCE,112, pp.16-42
Song, C. and Zhou, F., (1999): Simulation of free surface flow over spillway, Journal of
hydraulic engineering, 125:9, pp.959-967.
Causon, M.D., Mingham, C.G. and Ingram, D.M., (1999): Advances in calculation
methods for supercritical flow in spillway channels, Journal of hydraulic
engineering, 125:10, p.1039-1050.
Knapp, R. T., Daily,J.W. and Hammitt,F.G. (1970): Cavitation, McGraw-Hill Book
company, Engineering Societies Monograph, New York, NY.
Falvey , H.T., (1983): Predicting cavitation in tunnel spillways, W.P & Dam Congress.
Anonymous, (2008): HEC-RAS River Analysis System User's Manual, US Army Corps of
Engineers.
Peterka, A. J. (1983): Hydraulic design of stilling basins and energy dissipators, United
States Department of the Interior Bureau of Reclamation.
Falvey, H. T. (1990): Cavitation in chutes and spillways, United States Department of the
Interior Bureau of Reclamation.
II - 173
Laboratory and Numerical Study on Design Parameters

jdjjsgshjhfsdkjhskslsl;s;s;;s;;s;;sjsjkjffffrtttttttfggjfgjgkfkjkjf
of Earth Pressure Cell fffffjfjjfkkfjjj
A. Noorzad
Faculty of Water and Environmental Engineering, Shahid Beheshti University &
Chairman, Iranian Committee on Large Dams (IRCOLD), Tehran, Iran
ircold@neda.net, a_nourzad@sbu.ac.ir
K. Ahangari
Department of Mining Engineering, Science and Research Branch, Islamic Azad University, Tehran, Iran
Head of Committee on dam surveillance, Iranian Committee on Large Dams (IRCOLD), Tehran, Iran
`
M. Golestanifar
Department of Mining Engineering, Science and Research branch, Islamic Azad University, Tehran, Iran .
ABSTRACT
Measuring total stress changes in soil mass is of great importance in large geotechnical projects
such as dams. The measured pressure might contain serious errors coming from the differences
between the stiffness of the pressure cell and its surrounding media. In the present research, design
parameters of pressure cells such as dimension and shape have been studied by using laboratory
tests and finite element modeling. The results indicate that with increasing the diameter and
decreasing the thickness of pressure cell, the difference between measured and applied pressures
will be fade out. The obtained results confirm that the influence of thickness on the cell is greater
than diameter. Finally, simultaneous effects of these factors on the cell error were investigated by
using of response surface modeling. An equation is developed in order to correct the results of
pressure cells. Based on the proposed model a practical simple graph is presented to compute the
optimum correction factor leading to actual applied pressure.
Keywords: Soil; Finite element modeling; Design parameters; Response surface methodology
1. INTRODUCTION
Stress is one of the most important factors of soil mass in geotechnical engineering.
Pressure cells can be used in order to determine the distribution, intensity and direction of
stress within soil mass, foundation and retaining walls. Since the results of pressure cell
play an effective role in evaluation of structures, precision in performance of this
instrument is very important. Thus, several investigations were carried out to modify its
performance. Differences between actual levels of stress and pressure cell results have
been reported during these studies. Searching the causes of these errors and methods of
correcting them have always been an interest topic for researchers. The studies of Selig
(1964), Hvorsiew (1976), Kullhawy and Weiler (1978, 1982) about effective factors on
measuring soil mass pressure by using pressure cell could be mentioned (Selig 1964,
Hvorslev 1976, Weiler and Kulhawy 1978, 1982). Furthermore, Dunicliff and Green
II - 174
(1988) both have described many effective factors on pressure cell results (Dunnicliff and
Green 2007). Generally, these factors could be classified as follows (Ahangari 2006):
 The way of stress distribution in pressure cell pad
 Calibration
 Aspect ratio of the pressure cell
 The size of pressure cell pad
 Specifications of the casing material
 Effects of temperature
 Embedding condition and installation method
In this research, it is attempted to study the factors involved in design of pressure cells. The
most important are diameter and thickness. At first, physical modeling of the performance
of pressure cells is done in the laboratory. Then, by the use of finite element numerical
method, ANSYS code, numerical modeling of pressure cell was developed. This model
was calibrated by the results of physical modeling in lab. After the verification of the
model, it issued for examining the changes aspect ratio of pressure cell and observing the
effect of these factors on results. The results are compared with other published results. An
equation is presented to possible correction by using response surface modeling method in
order to find errors caused by aspect ratio of pressure cell. Finally, according to the
tolerable range of the error, a graph will be drawn to find the dimension limit of cell.
2. SETTING LABORATORY TESTS
The lab model consists a steel box with dimensions of H=75cm, L=150cm, W=60cm (Fig.
1) which the cell is installed in the center of the box at the depth of 28 cm (Fig. 2). In order
to achieve uniform distribution of pressure in the test box, it is filled with coarse sand (0-4
mm).
Figure 1. Instrumented steel box enclose pressure cell
II - 175
Applied Pressure (kN/m2)
28 cm
Pressure cell
Coarse Sand (0-4 mm)
150 cm
Figure 2. Schematic of the box configuration
The pressure cells used in this test is hydraulic type which manufactured by different
companies. In order to reduce the friction effect of the box wall, it is fully covered by
grease at first and then is separated from filling materials by plastic foils. Various loading
plates were applied for exerting pressure and finally the optimum one which spread
pressure relatively uniform is utilized. In order to measure the applied pressure, three load
cells were installed beneath the box. Various pressures exerted on the cell so the results
Loading plate subsidence is measured during the tests by each loading level, using five
measuring gauges (at corners and center of loading plate).
3. NUMERICAL MODELING
3.1 Numerical Modeling Specifications
Since the purpose of this study is analyzing the performance of pressure cells in the soil
media which can be considered as continuous environment, finite element method, FEM, is
selected for this purpose. The FEM is the most acceptable method in engineering modeling
because of its high flexibility in heterogeneous and anisotropic materials modeling,
complex boundary conditions and solving dynamic problems(Jing 2003).Numerous
software applications are designed based on the FEM which ANSYS, applied in this study,
is one of them. The model includes a cross-section of the test box mentioned in previous
section as Figure 3. The specifications of input materials are according to Table 1.
It should be note that in various references, different mechanical properties have been
considered for pressure cell. In this study, we determined these properties via model
calibration using the results of the laboratory tests. Furthermore, soil mechanical properties
as the cell surrounding medium was determined via compression test. Secant modulus has
been used as the soil elasticity modulus.
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Figure 3. FEM model of encapsulated cell in the steel box
Two elements are used for meshing. The selected element for pressure cell is PLANE 42
which is a two-dimensional tetrahedral with two degrees of freedom in each node and is an
appropriate element for solid (like metals) in two dimensions. This element can be used for
both plane stress and strain.
Table 1. Specifications of materials used in the model

Type of Material E (kN/m2) ν Density (kg/m3)
Pressure Cell 6×107 0.29 7820
Coarse Sand (0-4 mm) 20 0.30 1590
PLANE 183element is also used for the soil. The element is a two-dimensional element
with 6 or 8 nodes which has 2 degrees of freedom and is suitable for granular materials
similar to soil, rock and concrete modeling. The element can also be used for both plane
stress and strain (ANSYS Manual 2010).
In order to model subsidence close to real conditions, sides and bottom segments of the
model are restrained in x and x-y, respectively. As indicated in Figure 2, the pressure is
uniformly applied from upper side of the model.
Since the behavior of the surrounding media is assumed as elastic, the model results are
compared with experimental ones in order to verification. It should be noted that the
pressure cell is modeled in case of two different diameters, 5 and 16cm, with a constant
thickness of 6mm.
As shown in Figure 4, the model results comply with experimental evidences in 5 and 16
cm cell diameters, with R squared equal to 0.994 and 0.989, respectively. It means that the
model specifications such as material characterization or boundary condition are well
considered. Also trend of the results confirm the elasticity behavior of material in applied
stress levels.
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D=5cm D=16cm
(a) (b)
Figure 4. Comparison of model and experimental results for cell with diameter of (a) D=5cm and
(b) D=16cm
3.2 Effects of the Cell Dimensions
One of the major inaccuracies in using pressure cells come from dissimilar stiffness of the
cell respect to its surrounding media. This makes the difference between measured and
actual pressures in place (Ahangari and Noorzad 2010). Consistence between stiffness of
cell pad and its surrounding media is time consuming and highly cost matter. In addition,
this is not always beneficial, because the stiffness of the environment may change. Hence,
it has been always attempted that pressure cells with no sensitivity to stiffness are designed
and constructed (Ahangari 2006). The governing parameters of the cells are diameter and
thickness, which are investigated in this study. Each of these factors are separately
considered so finally simultaneous effects
3.2.1. Effect of the cell diameter

The usual diameter of pressure cell in field works is 230-300mm (Ahangari 2006). On the
other hand, based on some of studies, it is mentioned that 120-250mm is appropriate
. It was also stated that the
measurements are almost independent of its magnitude (Dunnicliff 1993).
Different diameters of the cell by constant thickness, 6mm, are modeled in order to find the
error in the measurements. Since the soil and cell were considered as elastic in the model,
stress level has not any effect on the result. So it considered as constant parameter. Hence
the modeling is carried out in a constant pressure, e.g. 60kN. The obtained error is drawn
in Figure 5.
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Figure 5. Effect of cell diameter on result error
The increase in the cell diameter leads results to actual applied pressure. However notable
production cost and providing a uniform platform to seat the cell in place are major
limitations of large diameter cells in range of 1 to 1.2m (Mirghasemi 2006).Utilization of
cells in range of 50 to 75cmarise scale effect problem in measured pressures. Also
remaining the cell in installation direction during construction would be a point of concern
(Alberro and Borbon 1985).
3.2.2. Effect of the cell thickness

As it noted, another important factor in designing the pressure cell is its thickness. Change
of thickness is investigated in a constant diameter, 12cm, in order to study the effect of the
factor in model results. The errors are shown in Figure 6.
Figure 6. Effect of cell thickness on result error
The results show that with increasing the cell thickness, the difference will be increased
linearly. It seems that the linear increase in errors is connected to increase in stiffness ratio
between cell and surrounding material, by increasing the cell thickness its stiffness will be
increase. It should be noted that the thickness of the cell is also limited. Production of thin
cells is expensive however installation of the cells is major problem.
3.2.3. Simultaneous effects of dimension parameters on cell performance
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Following study on independent effect of cell dimensions including diameter and
thickness, their simultaneous effects are also investigated in this section. In this way,
response surface modeling, RMS, is used. The RMS employs several statistical
formulations for modeling and analyzing problems which governed by numerous
qualitative and quantitative variables(Bradley 2007).In the current study, the main goal is
to minimize the difference between measured and applied pressure on cell in a function of
thickness. This function could be formed by using response surface
modeling according to Eq. 1.
E  f ( D, T ) (1)
Where E is cell error equal to difference between measured and applied pressure, D and T
are cell diameter and thickness, respectively. In order to find the most suitable function,
response surface method needs a set of data including D, T and E. The required sets are
obtained from calibrated model (Section 3.1) as Table 2.
Table 2. Modeling results for the various diameters and thicknesses

Variables Response
Run D: Diameter T: Thickness Error
(cm) (mm) (%)
1 7.00 6.00 0.260

2 10.00 6.00 0.182
3 12.00 6.00 0.159
4 16.00 6.00 0.175
5 20.00 6.00 0.101
6 23.00 6.00 0.089
7 30.00 6.00 0.072
8 40.00 6.00 0.053
9 50.00 6.00 0.044
10 10.00 5.00 0.159
11 10.00 6.00 0.183
12 10.00 7.00 0.216
13 10.00 8.00 0.234
14 10.00 10.00 0.289
15 10.00 12.00 0.328
16 10.00 15.00 0.371
Now the response function can achieve through linear or nonlinear polynomial
multivariable regression on the variables. Since the effect of the cell diameter on results
was nonlinear (section 3.1), the response surface require a non-liner form to fit. In order to
achieve a simple linear function, the response, E, should be transform by the appropriate
function which the current study used a base 10 log transformation (Eq. 2).
Yˆ  log10 ( y  k ) ( y  k)  0 (2)
By using multivariate regression, a linear function in form of Eq. 3 is obtained in response

surface modeling. The function is between the transformed response, Eq. 2, and variables.
The fitted response surface is demonstrated in Figure 7. The result of cell performance
modeling is presented in Eq. 4 and detail of analysis of variance or ANOVA is shown in
Table 3.
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Yî  a0  a X
i i (3)
log10 ( E)  0.7799 0.0178D  0.0379T (4)
Where E is cell error in percentage, D is cell diameter (cm) and T is cell thickness (mm).
Figure 7. Simultaneous effects of thickness and diameter on cell errors
Table 3. ANOVA analysis for response (Error %)

Source Sum of Squares DF Mean Square F Value Prob > F
Model 1.11 2 0.55 152.20 < 0.0001
Residual 0.047 13 3.646E-003
Lack of Fit 0.047 12 3.950E-003 6.887E+005 0.0009
Pure Error 5.735E-009 1 5.735E-009
Adeq Precision = 40.226
R2 = 0.953
The statistical significance of the model equation was evaluated by the F-test for analysis
of variance. The ANOVA statistics for the response Y is shown in Table 3. ANOVA results
of the linear model indicate that they could be used to navigate the problem space. As can
be seen in Table 3, the prob>F-values for the E is lower than 0.05 representing that the
linear model was significant. The coefficient of determination (R2) that was found to be
close to 1 (0.95) also advocated a high correlation between observed and predicted values.
The adequate precision for Y is 40.22. These high values of adequate precision demonstrate
that model is significant for the process.
Since the cell is stiffer than the surrounding media, so the calculated error is always
positive. Hence, the actual pressure could be achieved by Eq. 5.
Pac  Pm (1  e( 0.779860.01777D0.037884T ) ) R 2  0.953 (5)
Where Pm and Pac are measured and actual pressure of cell in kN/m2, respectively.
According to Eq. 5, a straight forward graphical solution is developed to identify required

dimension of cell for given level of error (Figure 8).
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In Figure 8, horizontal axis indicates the diameter of pressure cell, while vertical shows its
thickness. Diagonal lines also demonstrate the predicted error in cell results. By indicating
the error level related dimension would be achievable.
gn-Expert® Software error
nal Scale 15
esign Points 14
371167
0.35
Thickness (mm)75 cm
13
0436939
0.3
12
Design-Expert® Software
B : th ic k n e s s
A: diameter 0.25 Original Scale 1

11
B: thickness error
Design Points 1
10
0.2 0.15 0.1
0.371167
1
9 0.0436939
1
8
B : th ic k n e s s
0.05 X1 = A: diameter
1
7
X2 = B: thickness
1
6 2
5
5.0 10.0 15.0 20.0 25.0 30.0 35.0 40.0 45.0 50.0
Diameter (cm)
A: diameter
Figure 8. Graphical solution to linking cell dimension and its predicted percentage of errors
4 CONCLUSIONS
Because of the inconsistency between the stiffness of pressure cell and its surrounding
environment, some differences are found between actual stress and the measured ones.
Hence, there is growing demand in the field of pressure cells to identifying the errors. The
current research investigated on important parameters of cell design on measured pressures
such as diameter and thickness by using finite element modeling. The numerical model
which is confirmed by experimental pilot test, show that by increasing the diameter and
decreasing the thickness, higher precision is obtained. The effect of diameter changes on
the results is logarithmic by R2 equal to 0.96, whereas the effect of thickness variations is
linear R2 equal to 0.98. The influence of thickness in cm on cell results is less than the
diameter in mm. The simultaneous effects is also studied using response surface modeling.
By using this model, an equation was suggested to calculate error caused by the cell
dimensions (R2
REFERENCES
Ahangari, K. (2006): The effects of the environmental conditions on the measurement results of
geotechnical instruments in soil and concrete, Ph.D. Dissertation, Technical University
Clausthal, Clausthal, Germany (In German).
Ahangari, K. and Noorzad, A. (2010): Use of casing and effect on pressure cell, Mining Science
and Technology (China), 20(3), 384-390, Elsevier.
Alberro, J. and Borbon, J.Z. (1985), Testing of earth pressure cells, Contribution to the 15th
ICOLD, Vol. 11, Lausanne.
ANSYS Manual. (2010): Version 13, User Guide.
Bradley, N. (2007): The response surface methodology, M.Sc. Thesis, Indiana University of South
Bend, India.
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Dunnicliff, J. (1993): Geotechnical Instrumentation for Monitoring Field Performance, John Wiley
and Sons, London, England.
Dunnicliff, J. and Green, G.E. (1988): Geotechnical Instrumentation for Monitoring Field
Performance, John Wiley and Sons, New York, USA.
Hvorslev, M. (1976): The changeable interaction between soils and pressure cells; Tests and
reviews at the Waterways Experiment Station, Technical Report S-76-7, U.S. Army Engineer
Waterways Experiment Station Soils and Pavements Laboratory Vicksburg, Mississippi.
Jing, L. (2003): A review of techniques, advances and outstanding issues in numerical modeling for
rock mechanics and rock engineering, International Journal of Rock Mechanics and Mining
Sciences, 40 (3): 283–353, Elsevier.
Mirghasemi, A.A. (2006): Karkheh dam instrumentation system – some experiences, Geotechnical
Instrumentation News (GIN), pp. 443-48, March.
Selig, E.T. (1964), A review of stress and strain measurement in soil, In Proceedings of the
Symposium on Soil Structure Interaction, pp. 172-186, University of Arizona, Tucson.
Weiler, W.A. and Kulhawy, F.H. (1978): Behavior of stress cells in soil, School of Civil and
Environmental Engineering, Cornell University, New York.
Weiler, W.A. and Kulhawy, F.H. (1982): Factors affecting stress cell measurement in soil, Journal
of the Geotechnical Engineering Division, 108 (12):1529-1548.
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Upgrading Sant Llorenç Dam´s Gates

Felipe Río Iglesias

Engineering & I+D, Endesa Generación, Madrid, Spain
felipe.rio@endesa.es
Francisco José Conesa Baños

UPH Ebro Pirineos, Endesa Generación, Lleida, Spain
Antonio Palau Ybars

Environmental & Sustainable Development, Endesa, Lleida, Spain
ABSTRACT:
The Sant Llorenç´s dam is located on the Segre River, Catalonia (Spain) and was built in 1930. It
is an earthfill dam 25 m high and 1064 m long, which generates a reservoir with a capacity of
about 9 hm3 at level of normal operation. The main uses of the reservoir are hydropower,
irrigation and water supply. Over time, the reservoir has become a protected natural space,
according to the environmental Spanish rules.
The spillway of Sant Llorenç, with a total capacity of 3820 m3/s, is governed by two sector gates 36
m long and 7 m high each that are made of concrete, and two Stoney gates. The technical features
of the sector gates, total capacity 2280 m3/s, and the lack of stoplogs for they make it necessary to
empty the reservoir almost completely, when it comes to perform the maintenance and the
supervision of the equipment of sector gates.
According to the Spanish Environmental Law, it is mandatory that the owner submit for
approbation by the Environmental Administration the Environmental Impact Assessment (EIA)
before the works are performed. The EIA defines the necessary measures in order to minimise the
effects on the environment.
This paper shows the monitoring and the supervision made before, during and after the drawdown
of the reservoir as well as during the works of maintenance, in order to prevent any environmental
damage, according to the approved Environmental Impact Assessment.
The works were carried out in six weeks in autumn 2012, and no environmental impacts were
detected, thus preserving the environmental values of the reservoir without significant changes in
comparison to the previous situation.
Keywords: Reservoir, Gates, Maintenance, Drawdown, Environment.
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1. INTRODUCTION
The Sant Llorenç dam, built in 1930, generates a multipurpose (hydropower, irrigation and
water supply) 9 hm3 reservoir on Segre River, 36km upstream the city of Lleida.
The main dam is a homogeneous embankment 164m long and 25m high over its
foundation. The spillway, regulated by floodgates, constitutes what is known as a mobile
dam or floodgate dam and is constituted by two sector gates 36m long and 6.4m high.
Between them there are two vertical Stoney floodgates. The threshold of the drum gates
when they are completely lowered is 240,67m.
Figure 1. General view of the Sant Llorenç dam
The maximum discharge that can go through the sector gates is 2280m3/s, 1140m3/s m
each one, and the total capacity of the spillway that is controlled by the Stoney floodgates
is 1540m3/s. Thus, the total capacity is 3820m3/s, equivalent to a flood with a return period
of 500 years and equal to the maximum discharge compatible with the channelling of the
river in the city of Lleida.
In 2012 it was necessary to carry out a maintenance intervention in order to grant the
serviceability and security of the sector gates. A partial drawdown of the reservoir was
needed. Given the environmental regulations and the servitudes associated to the use of the
reservoir, a long administrative process was needed.
The works were divided in two different parts: on the one hand, all the works of
maintenance and refurbishing of the automatic floodgates of the spillway of the dam, and
on the other hand, the works associated to the partial drawdown and ulterior filling of the
reservoir as well as the environmental evaluation, so that the effects on a highly valuable
environment were minimized. The next sections describe each of the mentioned parts.
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2. MAINTENANCE OF THE FLOODGATES
The sector gates, in use since the commissioning of the dam, are reliable and safe, as
demonstrated by their long life in use with no remarkable problems. Nevertheless, given its
own features and its operational system, these floodgates need strict protocols of
maintenance and conservation, as happens with the mechanisms that govern their
operation.
Given the lack of stoplogs in the sector gates, the unfeasibility of their disposition –
because of their dimensions and the features of the dam and reservoir – and the fact that
the maintenance operations need the floodgates to be lowered, a partial drawdown of the
reservoir becomes necessary so that the water reaches a level lower than that of the
lowered floodgates. This requirement does not apply to the Stoney floodgates, since they
are provided with stoplogs.
The floodgates that need maintaining and that need the partial drawdown of the reservoir
are sector gates, they made of reinforced concrete. A brief description of their operation
and features is next given.
There are two sector gates 36m long, 6,40m high and with a radius of 9,20m. Its edge in
upper position is associated to a maximum water level of 247,17m. The two floodgates
allow together a maximum discharge of 2.280m/s.
Figure 2. Cross sections and operation of the drum gates in the spillway
The floodgates are a hollow structure of reinforced concrete, so that they can float within
their flotation chamber. The level of this flotation chamber is variable according to the
position of the sector and is determined automatically by a regulation system that depends
solely on the desired water level in the reservoir.
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Figure 3. Maintenance operations performed by specialists
The works carried out can be grouped in the following operations:

Removal of deposited silts and cleaning of the flotation chambers. The sediments may
prevent the gates from completely lowering. Maximum required level: 240,0m. Duration of
the works: 2 days
Supervision and substitution of the waterproof joints of the sectors with respect to the
reservoir in the upstream side and the outermost downstream joint, since the stability and
floatability of the gates depend on them. Maximum required level: 240,0m. Duration of the
works: 30 days.
Supervision and refurbishing of the structures making up the whole of the floodgates, since
they constitute a hollow reinforced concrete float that pivots on a hinge anchored to the
body of the dam. Maximum required level: 240,0m. Duration of the works: 18 days.
Supervision and maintenance of all the mechanical equipment like fixed grids, valves,
hatches, hinges, pipes, drainages, etc. that make up the whole of the elements that allow to
manoeuvre the floodgates. Maximum required level: 240,0m. Duration of the works: 7
days.
In order to perform all this works, a partial drawdown was planned in keeping with the
Environmental Impact Assessment – once the Environmental Impact Declaration was
found successful by the Environmental Administration –, and after having obtained the
authorisation by the Hydraulic Administration.
3. ENVIRONMENTAL EVALUATION OF THE WORKS
The reservoir created by the Sant Llorenç dam is currently a protected natural area.
As mentioned above, in order to perform the maintenance operations, it was necessary to
partially drawdown the reservoir from an initial level of 246,91m, normal level of
operation, to a final level of 240m (approximately 7m of lowering).
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Figure 4. The reservoir of Sant Llorenç is a natural area of great ecological value
For this reason, Endesa wrote an Environmental Impact Assessment where issues like the
optimal timeline for the works (taking into account the risk, the touristic activities, the
reproduction periods of avifauna and ichthyofauna, etc.) or the protocol and speed of
depletion that granted an appropriate quality of downstream waters and that permitted the
rescue of fishes and molluscs in case they were trapped in isolated ponds.
All this process was governed by a strict Environmental Monitoring Plan designed for
what is described next.
3.1. Environmental Monitoring Plan
Inside the Environmental Impact Assessment, an Environmental Monitoring Plan was

established with the aim of thoroughly controlling the physicochemical and biological
parameters that ensure that the whole actuation do not cause effects on the environment.
On October 8th , 2012, at 00:00 the depletion started according to the discharge – time
curve established in the drawdown project in order to reach the level 240,0m in 36 hours.
The speed of depletion was a key issue and special attention was dedicated to it, taking
advantage of the previous experiences of Endesa in flood control by means of undersluices
as well as the experience of the French EDF in monitoring complete drawdowns (program
LIVRE) or previous similar actuations performed in our country (reservoirs of Barasona,
Doiras, Graus, Tavascan, Sant Joan de Toran, etc.).
The speed of depletion proposed in the Environmental Impact Assessment (of
approximately 20cm/h) is very low according to the specialised literature and is
appropriate from an environmental point of view.
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Figure 5. The reservoir of Sant Llorenç after its partial drawdown.
Apart from the speed of depletion, the following environmental issues were identified as
likely to provoke critical situations in some of the stages of the drawdown:
 High concentrations of suspended solids (SS) in the water flowing out of the
reservoir.
 Low concentrations of oxygen in the water flowing out of the reservoir.
 Fish trapped in ponds as the level of the water of the reservoir goes down.
 Nymphs trapped in ponds as the level of the water of the reservoir goes down.
 Presence of dead fish downstream the reservoir and in Partidor reservoir.
During the depletion of the reservoir, staff of Endesa Generación and external
environmental staff monitored the water analysis and the rescue of the trapped fauna.
3.1.1. Sampling of physicochemical parameters
The frequency of the sampling allowed an adjusted monitoring of the dynamics of the
controlled physicochemical parameters, making special attention to the sensibility of the
oxygen content to the foreseeable changes of the drawdown. In general, the sampling was
intense (minutes) during the first and last steps of the drawdown, and extensive (hours)
during the rest of the time.
The sampling period (physicochemical and biological analysis) was performed according
to the following steps:
 Initial situation: characterisation previous to the beginning of the depletion.
 Operational situation: monitoring during the depletion and the maintenance works.
 Final situation: characterisation of the situation of the environment, a while after
having performed the drawdown.
The physicochemical parameters considered as basic for the monitoring of water quality
during the drawdown were the following:
 Temperature
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 Electrical conductivity
 Dissolved oxygen (concentration and saturation)
 pH
 Ammonium
 Phosphates
 Turbidity and Suspended Solids
 Organic matter (COD/BOD)
 Iron and manganese
The physicochemical parameters proposed in the EIA to be monitored correspond to the

experience in partial and total drawdowns in our own reservoirs, as well as these proposed
by the protocol LIVRE. An essential feature of the analysis of these parameters is that it
needs to be quickly done in situ. This is the only way to ensure a proper real time
monitoring that allows the detection of deviations in the quality of the waters and to
immediately take the appropriate decisions.
3.1.2. Rescue of trapped fauna
The rescue of fish was done by means of electrofishing, provided that safe access to the
ponds was possible. In many occasions, the depth of mud made it impossible to reach
them.
The morphology of the basin of the reservoir, with gentle slopes, favoured the fact that the
fish reached the deepest areas and there were only trapped fish in small ponds that were
isolated from the main stream. The rescue works were concentrated in these cases. Periodic
inspections were done in the rest of the reservoir in search of isolated ponds by means of
binoculars and telescopes.
Figure 6. Location of isolated ponds after the partial drawdown of the reservoir.
Despite the fact that the staff in charge of the rescue of the fish was in the field since the
first moment, the rescue could not start until it was checked that walking on the mud was
safe. Nevertheless, as they approached the wet areas around the pond, in some cases the
workers sank into the mud up to their knees. This fact alongside the turbidity of the water
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and a depth of the ponds over 1m made it very difficult and hardly feasible to rescue the
fish.
Eventually, the first rescue campaign was performed on November the 15th and its output
was the following:
 Rutilus rutilus (62 specimens from 5 to 15cm)
 Tinca tinca (9 specimens from 5 to 10cm)
 Esox lucio (1 specimen of 20cm)
 Micropterus salmonoides (1 specimen of 10cm)
 Alburnus alburnus (1 specimen of 5cm)
 Gobio lozanoi (1 specimen of 5cm)
 Salaria fluviatilis (1 specimen of 5cm)
These are introduced species except for the gudgeon and a freshwater blenny, which were
freed upstream the reservoir (in Camarasa).
Given the fact that virtually all the fish were allochthonous and that the rescue works
implied a certain degree of risk for the security of the staff (soft mud), it was agreed with
the specialists of the administration in charge of the environment that it was not worth to
dedicate so much effort in order to save allochthonous fauna that would have to be
slaughtered. Furthermore, the specialists monitoring the avifauna suggested that it would
be a good idea to let birds eat them, since a great increase in piscivorous birds had been
observed. These birds would clean the emerged surface.
Figure 7. Rescue of the fish by means of electrofishing.
Nevertheless, it was also agreed to keep monitoring and controlling that no dead fish was
left in any area of the reservoir. This was done by means of periodic visual inspections. No
dead fish were observed at any stage. The aim of this intervention was to detect areas with
dead fish in order to remove them and, if possible, to detect them to be able to rescue them.
Apart from the monitoring of the fish community, to be done during the drawdown, it was
also necessary to monitor other aquatic species, especially that of nymphs, that can be
affected by the descent of the water level and thus need intervention to ensure their
protection. The rescue of nymphs was done by means of in situ inspections where the mud
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allowed them. In many cases it was impossible because the staff sank into the mud up to
their knees, which implied a risk for their safety.
Figure 8. Capture of trapped nymphs in the emerged areas.
All the rescued nymphs belonged to the species Anodonta cygnea and were freed as
indicated by the staff of the administration. Some 4000 nymphs were rescued. The first 500
were freed upstream Camarasa, the next 1000 in Pont de l’Escala, the third group of 2000
in the beaches in front of the village of Sant Llorenç de Montgai, and the remaining 500
were freed in the deepest ponds that had not been emptied. The environmental conditions,
with continuous rains, made it easy for nymphs to survive despite staying some days above
the water level. This is why on November 13th (one month after emptying) some living
nymphs were still found in places that previously had not been accessible because the mud
was too soft.
Figure 9. Rescued specimens of Anodonta cygnea.
3.2. Impact on aquatic fauna
The environmental monitoring on fish was focused on a section of the river downstream
the dam. Two inventories were done – before and after the drawdown. The season was the
same for the two of them so that the results were not affected by the biological cycles of
each species.
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To conclude, the fish population has endured the drawdown of the reservoir as well as a
flood of the Segre River, which showed discharges six times that during the drawdown.
The changes in density and biomass are in their normal order of magnitude in comparison
with the huge interannual variability of the fish population in the Spanish rivers. This is
why the drawdown of the reservoir of Sant Llorenç de Montgai has not affected the fish
population. The fact of sticking to the corrective and compensatory measures proposed
during the different stages of the environmental evaluation of the project has permitted to
achieve its objectives.
3.3.Physicochemical characterisation of the water
According to the results obtained in the different monitored points, all the physicochemical
controlled parameters were within their established reference limits. The slight variations
of these parameters are due to the effects of the drawdown on the mobilisation of the
sediments gathered at the bottom.
The attained concentration of suspended solids (SS) was not critical neither for the
dynamics of the dissolved oxygen nor for the ammonium, main parameters according to
the protocol LIVRE. The ammonium showed values a great deal under the tolerance limits
and the dissolved oxygen was always over 6mg/l (the minimum concentration compatible
with cyprinidae is half that amount).
To conclude, the environmental management performed in order to minimise the
environmental effects of the drawdown of the reservoir of Sant Llorenç was appropriate
and no significant drawbacks neither in water quality nor on the river as a natural habitat
were detected.
4. CONCLUSIONS
The maintenance interventions on hydraulic infrastructure in protected natural areas must

always be performed with a strict monitoring that ensures the minimisation of the impact
on the environment. This fact must allow to reconcile different apparently incompatible
uses in this kind of spaces.
The writing of environmental impact assessments previously to this kind of interventions is
key for the establishment of protocols of actuation and monitoring that help ensure a quick
and effective response in front of any threat or environmental contingency that could
happen during the development of the maintenance works.
In this case, the environmental monitoring has not evidenced any significant change
between the situation previous to the drawdown of the reservoir of Sant Llorenç de
Montgai and the situation one year after it. Thus, it can be concluded that these works have
not caused a significant environmental effect. Downstream the reservoir, the effects neither
were different to these forecasted by the EIA, in fact, this was likely to be this way given
the order of magnitude of the increase in the discharge caused by the depletion of the
reservoir, which was well under the floods that periodically affect this section of the Segre
River
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Flood in June 2013 and Dams.

Example of flood routing through Hostivar reservoir.
J. Riha
Institute of Water Structures, Brno University of Technology, Brno, Czech Republic
riha.j@fce.vutbr.cz
ABSTRACT:
In June 2013 the Bohemian part of the Czech Republic was exposed to an extreme flood which locally
reached the magnitude of a 500-year flood event. All affected dams, which were mostly in the Vltava
and Elbe river catchments, sustained such extreme peak discharges without any safety problems.
However the expectations of society and the affected population about the efficiency of these dams
in the flood attenuation role were not fulfilled. Subsequent studies carried out by independent experts
showed that the operation of all dams was performed according to operating rules and with
maximum possible care. Obviously, other purposes and functions of dams have to be taken into
account in the operation of dams during floods. One of such widely discussed cases is Hostivar Dam
in Prague, the capital of the Czech Republic. During the aforementioned flood, several facilities
downstream of the dam were flooded by a relatively rapid increase in the water level in the Botic
stream. The blame was placed on the improper operation of the spillway gates at the Hostivar dam.
However, a detailed study of the reliability and timeliness of the hydrological forecast and the
correctness of the operation of appurtenant works at the dam proved that proper and optimal
operation took place, with an acceptable flood attenuation effect. Some particular problems related
to the accuracy of measurements in the catchment upstream of the dam and at the reservoir itself
were identified and their effect on flood routing was assessed. Some recommendations regarding
improvements to be made to the warning system were given in the study.
Keywords: extreme flood, flood routing, dams and floods, spillway gates, operation manual.
1. INTRODUCTION
In June 2013 Central Europe was struck by heavy rainfalls which in some regions (southern
Germany, western Austria, north-west Bohemia) even exceeded a daily precipitation of 100
mm. This resulted in the Bohemian part of the Czech Republic being exposed to extreme
floods locally reaching the magnitude of a 500-year flood event. Most of the dams in the
Vltava and Elbe river catchments sustained such extreme peak discharges without any safety
problems. However the expectations of society about the efficiency of these dams in the
flood attenuation role were not fulfilled. Groundless and far-fetched judgments and
statements overestimating the flood protection potential of dam reservoirs were upheld by
the media. Subsequent studies carried out by independent experts still showed that the
operation of all dams was performed according to operating rules and with maximum
possible care. Obviously, other purposes and functions of dams have to be taken into account
in the operation of dams during floods.
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One of these widely discussed cases was the Hostivar dam in Prague, the capital of the Czech
Republic. The flood wave flooded several facilities downstream of the dam as a relatively
rapid increase in the water level in the Botic stream occurred. The blame was placed on the
improper operation of the spillway gates at the Hostivar dam. A detailed hydrological and
flood routing study was carried out to assess the reliability and timeliness of the hydrological
forecast and the correctness of the operation of appurtenant works at the dam. The study
proved that proper and optimal operation took place, resulting in an acceptable flood
attenuation effect. However some particular problems related to the accuracy of
measurements in the catchment upstream of the dam and at the reservoir itself were
identified, and their effect on flood routing was assessed. Some recommendations regarding
improvements to be made to the warning system were given in the study.
2. THE HOSTIVAR DAM
The Hostivar embankment dam is located on the territory of the city of Prague on the Botic
stream at the stationing 13.55 km. The Botic is a right bank tributary of the Vltava River in
Prague (Fig. 1). The river basin of the Hostivar Dam has an area of about 94.806 km2. In the
catchment a significant portion of the agricultural and forest land has been transformed into
industrial land and warehouse areas with impervious concrete and asphaltic surfaces and
roofs. This has probably altered runoff conditions in the area in comparison with its original
state. On the streams in the catchment there are 8 gauging stations (Fig. 2) with level
recorders indicating discharge; 3 of them are also equipped with rain gauges.
Figure 1. Map of the Czech Republic featuring the area of interest
The dam was completed in 1961. The maximum dam height is 13 m; maximum reservoir
volume is 1.845 mil. m3. The flood retention volume is only 0.375 mil. m3. The main purpose
of the dam is recreation, and flood attenuation is a supplementary purpose which is only
effective in the case of floods with a shorter return period N < 20 years. The maximum
reservoir water level of 248.00 m above sea level (ASWL) corresponds with the design flood
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discharge of 60.3 m3/s which may pass through the spillway. The maximum safety check
flood level is 249.30 m ASWL.
Figure 2. Map of the Hostivar Dam catchment area (bullet points indicate gauging stations)
The dam is equipped with two pipes of diameter 500 and 700 mm and one additional pipe
of diameter 500 mm serving as a water intake. The valves are located at the intake tower.
The maximum bottom outlet capacity is about 8.2 m3/s. The spillway is composed of four
gated sections (Fig. 3) each with a span of 2.7 m. The total spillway capacity at the maximum
reservoir water level when all gates are opened is given by the capacity of the outlet tunnel,
and is about 70 m3/s.
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Figure 3. Diagram of the spillway gates at the Hostivar Dam
3. THE FLOOD IN JUNE 2013
3.1. General information
Extreme flooding in Central Europe began after several days of heavy rainfalls in late May
and early June 2013. The flooding and damage primarily affected south and east Germany,
western regions of the Czech Republic and Austria. To a lesser extent, Switzerland, Slovakia,
Poland and other south-eastern countries were affected. The flood wave progressed down
from the tributaries to the principal receivers, which included the Danube, Vltava and Elbe
rivers.
3.2. Flood routing through the reservoir
Records show that floods in the relatively small fan-shaped Botic catchment exhibit quite a
steep front, meaning such floods can arrive in few hours. This experience was verified during
the 2013 flood at the Botic catchment, where the daily precipitation exceeded 115 mm and
the inflow to the Hostivar reservoir increased from 20 m3/s (5-year flood discharge) to 70
m3/s (200-year flood) within less than 3 hours. After another 4 hours the inflow discharge to
the reservoir had increased up to 85 m3/s, which corresponds approximately to the 500-year
discharge. The total volume of the flood wave was 8.9 mil. m3, which exceeded the flood
retention volume of the reservoir by about 24 times. Even a preliminary estimate shows the
reservoir only had a minor effect on the routing of such an extreme flood. However the
gauging station at the inflow of the Botic to the reservoir (LS Petrovice, see Fig. 2) was not
functioning during the flood; moreover, a certain part of the catchment area of the reservoir
still remains unmeasured (the area of the reservoir itself, minor tributaries to the reservoir).
The flood routing through the Hostivar reservoir was governed by the dam operation manual.
Unfortunately, the dam had not been exposed to such an extreme flood before June 2013 and
therefore it was practically impossible to execute some of the instructions in the manual as
fast as was required under the given conditions, i.e. the extremely short flood wave arrival
time. After the maximum reservoir water level was exceeded, operators managed to open
the gates relatively rapidly with the aim of not exceeding the maximum safety check flood
level of 249.30 m ASWL.
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As the warning system did not sufficiently keep up with the speed of the flood’s arrival and
the operating procedures employed to deal with it, in the area downstream of the dam some
inhabitants were endangered during the flood wave and some moveable properties such as
vehicles were not evacuated. This resulted in subsequent complaints and accusations against
the dam owner. In order to verify that the dam had been operated and maintained correctly
several hydrological and hydraulic studies were carried out including the study detailed
below.
4. HYDROLOGICAL STUDY
To verify the flood routing procedures employed during the flood in comparison with those
approved in the dam operation manual a detailed and comprehensive study of the local
rainfall-runoff process, dam operation, and the hydraulic behavior of appurtenant works was
carried out in September 2013. The main aim of the study was:
- to prove the dam was operated correctly during the flood,
- to derive and verify the hydrograph for the inflow to the reservoir,
- to assess dam safety during the flood,
- to specify weak points in flood routing and dam operation and to recommend
improvements.
The study employed all available geographical data about the catchment, data from 6
gauging stations in the reservoir catchment concerning e.g. rainfall, water stage and
discharge observations, and information about the water levels in the reservoir during the
flood. The capacity of the appurtenant works was assessed via the detailed verification of
dimensions, structures and equipment based on available drawings and on-site inspection.
The accuracy of measurements of all relevant variables at the dam site was also checked and
taken into account. The procedures adopted during the flood which were recorded in the dam
book were compared with the data from gauge stations and published weather forecasts.
Rainfall-runoff modeling was carried out using ZABAGED basic topographic data and
CORINE maps (COSMC 2009) assembled and adjusted for the Hostivar Dam catchment
area (Fig. 2). The modeling of the process was carried out by the HEC-HMS (2010) and
GeoHMS (2013) program packages. Precipitation totals were taken at 10 minute intervals
from rainfall recorders. The runoff modeling results were compared with the hydrographs
calculated at the level recording stations in the catchment and also with outflow hydrograph
from the reservoir. Another indicator was the movement of the reservoir water level. The
resulting outflow and inflow hydrographs and the behavior of the reservoir water level over
time are shown in Fig. 4.
The modeling showed that the time lag between the outflow and inflow fronts was about 4.5
hours; the flood attenuation effect was from approx. 85 m3/s (peak inflow discharge) to
approx. 76 m3/s (outflow), i.e. about 9 m3/s (Fig. 4). This relatively good effect was caused
by the delayed opening of the spillway gates and the resultant considerable rise in the
reservoir water level up to 248.98 m ASWL. In any case, the maximum safety check flood
level of 249.30 m ASWL was not reached, and at the moment when the maximum water
level occurred there was still sufficient additional spillway capacity to cope with it. It can be
stated that the operation of the spillway gates in a manner not covered by the procedures
detailed in the operation manual enabled the flood attenuation effect of the reservoir to be
increased without threatening dam safety.
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Figure 4. The hydrographs of the outflow and inflow to the reservoir, water level
Part of the study involved simulating the outflow hydrograph during dam operation when
carried out according to the operation manual. In Fig. 5 it can be seen that if the dam is
operated according the operation manual, the peak outflow discharge is about 79.5 m3/s,
which is about 4.5 m3/s higher than the real peak during the flood in June 2013. Also, the
increase in the outflow discharge is more rapid, i.e. it accelerates from 10 m3/s up to 55 m3/s
in only 5 minutes. This does not correspond with the physically practicable time required for
opening the gates. Also, downstream of the dam the arrival time of the real flood in June
2013 was approximately twice longer as that when operated according the operation manual.
Figure 5. Comparison of the real and hypothetical outflow occurring if the dam is operated
according to the operation manual (OM)
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5. CONCLUSIONS AND RECOMMENDATIONS
The study performed proved that the flood attenuation effect of dams depends strongly on
the other purposes for which they are designed, and on the corresponding available flood
retention volume at the moment of the flood’s arrival. In the case of relatively small
catchment areas like that of the Hostivar Dam, the flood intensity and arrival time is
significantly influenced by land use changes, i.e. the transformation of agricultural and forest
land into industrial areas. A certain effect can also be achieved by the operation of
appurtenant works before and during the flood. Moreover, the operation manual should
reflect the real arrangement, capacity and operational parameters of individual pieces of
equipment. In case of the Hostivar Dam the operation manual assumed a gate-opening speed
that was unattainable. The real operation of the dam during the flood, with its very short
arrival time, also brought to light some other deficiencies in the management system of the
dam, which has no permanent service personnel, and also showed that some of the gauging
stations in the catchment function unreliably. Also, the warning system does not fully
harmonize with the online forecast from gauging stations, dam operation, and warning and
rescue activities downstream of the dam.
In connection with the future performance of the dam and related flood services the
following recommendations were made in the study:
- Newly built industrial and warehouse facilities should be equipped with efficient
retention and infiltration systems which eliminate rapid runoff from solid impervious
surfaces.
- Existing gauging stations must be checked, and must be fitted with equipment that
eliminates their silting and depositing sediments during the flood. Their rating curves
should be updated by systematic hydrometric measurements. The stations should be
provided with the means to reliably transfer measured data online to the control house
to enable the timely warning of dam operating staff and also areas downstream of the
dam,
- The bathygraphy of the Hostivar reservoir should be updated with respect to the
sediment deposits at the entrance part of the backwater.
- The hydraulic characteristics of the appurtenant works (bottom outlets, spillway)
should be verified based on the careful identification of their real dimensions and the
operational capabilities of particular elements. It is strongly recommended that
hydraulic performance tests be carried out to assess spillway profile and tunnel
capacity. The real rate of gate opening and flow conditions during the combined
operation of spillway gates and bottom outlets should be ascertained.
- The measurement of the reservoir water level should be performed with reference to
the uniform altitude system corresponding with all other dam elements (appurtenant
works, dam crest, etc.), e.g. the Baltic altitude system.
- The operation manual must be rewritten and improved, taking into account the new
experience obtained during the flood in June 2013. The real state of individual dam
facilities and practicable timings for various actions taken during the operation of
equipment must be also taken into account and realistically assessed. It is known that
most of the input information used during the dam’s operation suffers from certain
uncertainties. It is recommended that these uncertainties be estimated and
implemented in the individual instructions in the operation manual.
- A warning plan should be drawn up for the Hostivar Dam and also for the area below
the dam. It should be based on the general weather forecast (which for such a small
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catchment is only of limited reliability and general significance), data obtained online
from the gauging stations in the catchment, and on the current situation at the
Hostivar Dam and anticipated operational measures to be taken, namely the operation
of the spillway gates, which can significantly increase reservoir outflow.
ACKNOWLEDGEMENT
This paper is the result of projects entitled New Progressive Rehabilitation Technologies of Dikes
and Embankment Dams, project code FR—TI4/335, and The Use of Infiltration Methods and Their
Assessment, project code TA02020386.
REFERENCES (12PT BOLD AND ALL CAPS)

COSMC. (2009): Fundamental basis of geographical data (ZABAGED).
http://www.cuzk.cz. Czech Office for Surveying, Mapping and Cadastre, Prague.
HEC-HMS (2010): Hydrologic Modeling system. Version 3.5. USACE, Washington, DC,
2010.
HEC-GeoHMS (2013): Geospatial Hydrologic Modeling Extension. Version 10.1.
USACE, 2013.
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Strengthening of the Right Abutment at a Norwegian Arch Dam
Lunde, M., Halvorsen, A., Strokkenes, S. A.

Multiconsult AS, Oslo, Norway
marie.lunde@norplan.com
Panthi, K. K., Lia, L.

ABSTRACT:
Concrete arch dams are sensitive to foundation abutment deformations. Excessive deformations
may lead to complete failure of the dam itself and it is therefore essential to ensure that
deformations do not exceed the capacity of the structure.
This paper deals with the behaviour of a 41 m high concrete arch dam in Norway, which was
constructed in 1983. After completion it experienced deformations that are thought to be due to
movement of its right abutment. The rock mass is mainly composed of alternating layers of meta-
sandstone and phyllite/shale. Three prominent filled joints with an opening of 50-200 mm have
been observed and the rock mass as a whole is schistose and heterogeneous.
The initial strengthening measures taken in 1992 comprised pre-stressed rock anchors and erosion
protection. The recorded deformations suggest that the movement did not cease. The reason for this
is unknown. It has been suggested that either the reinforcement of the right hand abutment is no
longer working as planned, or that the assumed failure mechanism of the abutment is different.
Details of later efforts to identify possible failure mechanisms and measures taken to prevent
further deformations are the key issues to be discussed in this paper. A new analysis of the situation
is described, including geological mapping, the stabilisation measures executed in 2012 and the
latest deformation monitoring results.
Keywords: Arch dam, abutment, reinforcement, deformation, stability
1. INTRODUCTION
Arch dams transfer a majority of the loads they are subjected to into the rock abutments by
arch action. This requires that the rock mass has to be strong enough to withstand these
forces. Any deformations in the abutments will lead to changes in the stress distribution in
the concrete arch, which in turn can lead to a dam failure as described in Ittelin et al
(2013). Understanding the behaviour of the abutment is therefore of critical importance.
The Vinkelfallet Dam is a 41 m high single curved arch dam and was constructed in a
narrow canyon in 1982, see Figure 1. The first filling of the reservoir was carried out in
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1983. The key salient features of the reservoir and the hydropower plant are given in Table
1. The plant typically operates at full supply level all year round.
Figure 1. Overview of the Vinkelfallet Dam, downstream side
Table 1. Vinkelfallet HPP, salient features

Volume of reservoir 1.5 mill. m3
Crest length 57 m
Dam thickness 1 – 1.6 m
Dam height 41 m
Head 109 m
Plant capacity flow 8.0 m2/s
Installation 7.2 MW
Mean production 25 GWh/year
The abutments are drained by drainage tunnels. A single line grout curtain was also
constructed with the length of grouting holes varying from 10 meters in the upper part to
20 meters in the lower part of the rock foundation.
2. GEOLOGY
The concrete arch dam is founded on a rock mass that mainly consists of alternating layers
of meta-sandstone and phyllite/shale. The meta-sandstone is in general of good quality
with high strength but the schistose phyllite is much weaker. Figure 2 shows the right
abutment of the dam. The rock mass is in general schistose and heterogeneous.
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Figure 2. Overview of the right abutment
Three joint sets dominate the rock mass, with the bedding joints being the most prominent
ones. The bedding dips towards the reservoir, which is favourable with respect to stability.
There are also three prominent filled joints with openings of 50-200 mm visible on the
surface. The width of these joints decreases with increasing depth.
3. MONITORING RESULTS AND INITIAL STABILISATION MEASURES
3.1. Monitoring results
Potential movements of the dam and abutments have been monitored since 1982 by five
deformation bolts on the dam crest. Figure 3 shows the location of these bolts and
registered direction of the movement. Bolt 1, 2 and 4 have experienced largest
displacement.
Figure 3. Trend of movement of the measurement bolts. Red lines indicates the in-filled
discontinuities described earlier. Grid line spacing is 20 m.
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Bolt 1, which is close to the right abutment, has shown a constant movement downstream
of about 0.5 mm per year. This behaviour is believed to be caused by movement in the
abutment. The direction of the movement coincides with the orientation of the prominent
discontinuities referred earlier and the resultant force from the dam.
3.2. Strengthening measures installed in 1992
Since considerable displacement was registered and because severe erosion had occurred
in the right abutment, strengthening measures were initiated in 1992.
It was assumed that the deformation was caused by movement along joints with the same
orientation as the infilled discontinuities. Safety factors were calculated based upon the
Rigid Block Method as described by Londe (1973), with a failure wedge limited by the
infilled discontinuities and bedding joints (Birgisson and Rohde, 1988).
Five rod anchors were installed to stop this movement. The total length of the anchors was
18.5 meters and they were dipping 45 degrees towards west-northwest. The rod anchors
were tensioned to 276 kN each.
The strengthening measures also included a concrete cap over parts of the downstream area
as well as erection of a concrete guide wall to prevent erosion in the rock mass in the
downstream area when the dam is spilling (Figure 4).
Figure 4. The photograph taken in 2010 gives an overview over the erosion protection of the
abutment.
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3.3. Effects of strengthening measures
The strengthening measures led to a reduction of water leakage through the foundation.
However, the movements of the bolts on the dam crest did not cease. There are three
possible explanations for this; the registered movements are not related to deformations in
the abutment, the rod anchors are all damaged, or the actual deformation mechanisms are
different from what was previously assumed.
4. DESIGN OF NEW STRENGTHENING MEASURES
4.1. Geological mapping
To further evaluate the stability, accurate mapping of the prominent discontinuities,

mapping of joints, core drilling and topographic scanning of the abutment was carried out.
Results from core logging included the locations of boundaries between different rock
types, RQD values, location of weakness zones and spacing between bedding/foliation
joints. From the topographic scanning, terrain profiles and volume estimations of blocks
were made.
4.2. Evaluation of possible failure mechanisms
The most important structures in the abutment were investigated during geological
mapping. A stereographic plot of the joint sets is presented in Figure 5. Figure also shows
the average direction of the resultant force from the dam, which was obtained from an
FEM analysis of the dam structure.
Figure 5. Stereographic projection plot of geological structures, direction of the resultant force
from dam and the direction of recorded movement of bolt 1.
An analysis of the orientation of the geological structures relative to the trend of movement
and dam forces suggests the possibility of a block sliding along the bedding/foliation joints
and joints belonging to joint set 1. However, the main characteristic of the rock mass is that
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it is highly anisotropic and lithologically non-uniform. This has been documented in cores
and can also be observed in-situ. Therefore it is considered more likely that subjected to
large dam forces, the rock mass will be delaminated rather than acting like a rigid block. It
is believed that a failure will involve several processes, such as shearing through intact
rock mass, sliding and toppling.
4.3. Basis for design
The most important factor in the design of the strengthening measures was to prevent
further erosion in the rock mass of the abutment. More importantly, one of the joint sets is
oriented perpendicular to the flow direction, which makes these joints especially
vulnerable for hydraulic jacking and erosion during spilling.
In addition, it was considered important to add a stabilising force. It was decided to

reinforce the abutment with rod anchors similar to those installed in 1992. This is to make
sure that stability is improved in case previously installed rod anchors are damaged or not
functioning properly.
It was also decided that two multi-point extensometers should be installed to monitor any
further movement. Accurately monitoring of the abutment is essential to check the effects
of the new strengthening measures.
4.4. Design and installation
The strengthening measures were started in August and were finished by mid November
2012. Figure 6 shows a photograph of the construction work.
Figure 6. Construction of strengthening measures, September 2012. The photograph is taken after
application of sprayed concrete and repairing of concrete cap.
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The concrete cap that was constructed in 1992 had been damaged by spilling and needed to
be repaired. It was repaired by filling it with 7.5 m3 of new concrete. Then, upper part of
the abutment was covered by the application of 28 m³ steel fibre reinforced sprayed
concrete with a thickness of 120 mm. In addition, 2 to 6 meter long grouted rock bolts
were installed systematically.
A new concrete cap, functioning as both a work platform for installation of rod anchors
and erosion protection, was cast inn on top of the existing concrete cap with a foundation
thickness of 2.5 meter. In addition, the upper part of the abutment was steel fibre
reinforced. All together approximately 80 m3 concrete was used. Since the concrete cap
was further extended, there was a need to increase the concrete guide wall which was also
heightened by one meter.
To add an extra stabilisation force, eight rod anchors were also installed. The length of the
anchors used was 18 m and they were installed in two rows. The anchors have an
orientation of 30→ 315 and these are tensioned with 347 kN each.
The most important aspect in the design of the new anchors was that there should be
possibility to check the degree of tensioning of the rod anchors in the future. Therefore, a
stainless steel cover was mounted at the end of each rock anchor to protect against
corrosion and the chamber was filled with anticorrosion grease.
Two multi-point extensometers (MPBX) were installed in the rock mass. Figure 7 shows
the location of these extensometers and installed rod anchors. MPBX no. 1 is 12 m long
with two point-anchors, and has inclination of 20 degrees towards north. MPBX no. 2 is 24
meter long with three points-anchors and is dipping 20 degrees towards south-southeast.
Figure 7. Location of top row rod anchors (green) and extensometers (lilac). The lilac dots on the
extensometers indicate the approximate location of the anchors. Red, numbered lines shows the
infilled discontinuities mentioned earlier.
The location and orientation of the rod anchors and extensometers were decided based on
the results of the geological mapping. The rod anchors are located at a lower elevation in
the abutment with a lower dip than the rod anchors that were installed in 1992. This has
been done to strengthen a larger part of the rock mass. The abutment slope is steep and any
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stabilizing solution should also take into account construction issues and implications
regarding installation and monitoring, and this influenced the detailed design significantly.
5. MONITORING RESULTS
Deformation recorded in the two extensometers over the last one and a half years indicates
that there are some movements in MPBX no. 2, and practically no movements in MPBX
no. 1. Figure 8 highlights recorded deformation at different depths of extensometer no. 2
and the temperature record.
0,5 20
18.10.2012 06.05.2013 22.11.2013
0 15
Displacement (mm)
Temperature (°C)
Anchor 1, 14 m
-0,5 10
Anchor 2, 17.5 m
-1 5
Anchor 3, 23 m
-1,5 0
Temperature
-2 -5
-2,5 -10
Figure 8. Recorded displacement at different depths of extensometer no. 2 from November 2012
till February 2014. Temperature is measured at the surface.
As can be observed in Figure 8, there has been some displacement in the abutment. The
maximum displacement was recorded in May 2013, and the displacement has since
reduced to slightly over 1 mm. This implies that the deformation is highly temperature
dependent with the largest displacement in the summertime.
It is too early to conclude on the abutment behaviour based on the deformation record of
only one and a half year. However, it is evident that these results together with the
observations of the measurement bolts on the dam crest will help to define both amount of
deformation in the abutment and where and when the deformation takes place.
In about 5 to 10 years’ time it is expected that the monitoring program will give sufficient
information to predict the future behaviour of the abutment and will also provide
information on the effectiveness of the rock anchors installed. It will also give valuable
input to a numerical modelling of the abutment so that possible failure mechanisms can be
evaluated and well understood.
5. CONCLUSION
Deformations in the abutments have been recorded since filling of the Vinkelfallet Dam’s
reservoir. Initial strengthening measures applied in 1992 did not stop the deformations and
there was a need for a second round of strengthening measures, which was carried out in
2012.
The aim of the new strengthening measures was to stop further erosion in the rock mass of
the abutment so as to improve foundation stability. Eight rod anchors were installed to add
extra stabilising force. The difficulty in predicting the failure mechanisms have been
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acknowledged and two multi-point borehole extensometers were installed for accurate
long-term monitoring in the abutment.
It is hoped that the monitoring records will give important information, which may be used
to predict behaviour of the abutment and effects of the strengthening measures undertaken.
The results will also give valuable input to a numerical modelling of the abutment.
ACKNOWLEDGEMENT
We wish to thank our colleagues Bridget Rønning and Robin Wood for their great editing
contribution of this manuscript.
REFERENCES
Birgisson, G. and Rohde, J.K.G. (1988): Stabilitetsberegninger for 15 norske
hvelvdammer. Proceedings: Norwegian national tunnelling conference
"Fjellsprengningsteknikk Bergmekanikk / Geoteknikk 1988", Oslo, Norway.
Ittelin, K.S., Strokkenes, S.A., Lia, L. (2013): Abutment Deformation of a Single Curved
Arch Dam. Proceedings: ICOLD European Club Symposium, Venice, Italy.
Londe, P. (1973). Analysis of the stability of rock slopes. Quarterly Journal of Engineering
Geology and Hydrogeology, vol. 6(1), pp. 93-124.
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The Construction of Digital Dam

Fan Qixiang, Zhou Shaowu, Wu Kun
China Three Gorges Corporation
Zhu_dan1@ctgpc.com.cn
ABSTRACT:
Along with the construction of a batch of 300m-level super-high arch dams in the new century in
China, China has become a leader in the technological progress in 300m-level super-high arch dam
after the construction and development of 200m-level arch dams in the former Soviet Union, USA
and Europe. Aiming at building high-quality safe dam, to ensure the construction quality and safe
and reliable operation in the full life cycle of the dam, the traditional extensive hydroelectric
construction management mode has developed to digitized, informationalized and refined
management mode under modern industrialized conditions. Xiluodu “Digital Dam” system is a
comprehensive man-machine interactive system integrating network, hardware, software, all parties
to the project contract and expert panel. The function modules of Xiluodu “Digital Dam” cover the
whole process of construction management including concrete construction, temperature control,
grouting, metal structure engineering, monitoring, simulation analysis, early warning and pre-
control, so as to provide quality service for project construction management. Xiluodu “Digital Dam”
is the major application innovation and progress in the full-process comprehensive management
field of engineering construction, significantly improves the management level of oversize civil
engineering works, and provides an advanced system solution for guaranteeing engineering quality,
construction process and engineering safety.
1 INTRODUCTION
With Hoover Dam built in 1930s as a sign, the construction of high dam in the world has
entered a rapid development stage and the damming technique has made continuous progress.
For a long time, the progress in damming technique is mainly embodied in the progress of
the physical means mainly depending on the large-sized equipment. Entering 21st century,
the construction of the super-high arch dam has been confronted with more complicated
natural environment and social environment, how to guarantee the safe and reliable operation
of the dam in the full life cycle depending on new technologies? It is necessary to adopt the
digitalization and information application technology to improve the construction
management level of the arch dam and carry out the refined management measures so as to
guarantee the construction quality and the safe and reliable operation of the dam in the full
life cycle.
Xiluodu dam, the concrete hyperbolic dam, with the crest level of 610m and maximum
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height of dam of 285.5m, is a super-high thin-wall arc h dam. The engineering geological
condition is complex and the construction and quality control is difficult. To realize the
effective monitoring and management of foundation treatment, concrete construction and
temperature control process for Xiluodu dam to ensure the engineering quality and the
absolute security of the dam in construction period and operation period, China Three Gorges
Corporation proposed to construct Xiluodu “Digital Dam” according to the actual
engineering construction conditions and developed the construction process monitoring and
analysis information system for Xiluodu arch dam, realized the collection, sorting and
displaying of construction data, monitoring data, temperature control data and achievements
of research units in the full construction process of the dam, realized integrated data interface,
query and analysis, early warning and intelligent control scheme, and realized effective
monitoring and analysis in the construction and operation process of the dam, so as to serve
quality and efficient engineering construction and management.
2 CONSTRUCTION OF XILUODU “DIGITAL DAM”
Regarding the challenges in construction management of the super-high dam and the
construction and management need of Xiluodu super-high arch dam, China Three Gorges
Corporation organized the construction unit, supervision unit, design unit and the specialized
software company as well as the research institutes and the universities to build Xiluodu
“Digital Dam” based on the full life cycle management theory and in accordance with the
principles of “unified model, platform and interface, accurate, full-scale, timely and shared
data, directly oriented production need, focusing on forecasting and early warning, and the
simple, direct and realistic application operation.
Xiluodu “Digital Dam” system is composed of three parts, namely construction monitoring
system, simulation analysis system and early-warning information release and decision
supporting system (see Fig. 1).
Construction Monitoring
Simulation Analysis System
System
Early warning information release and decision supporting
Arch dam and geological Concreting program and Results presentation of
geometric modeling schedule simulation data sheet
Simulation algorithm and software results
Simulation task management and results

Simulation parameters release interface
Finite element grid

sorting and conclusions and evaluation
Engineering design subdivision Process duration line

Single silo temperature
parameters displaying and
and stress simualtion
contrastive analysis
release interface
Construction process and Dynamic cutting analysis

Local temperature and
progress data acquisition Attribute of 3D data distribution
stress simulation
field
Temperature control data parameters design
acquisition of model Periodic temperature Process dynamic
(including fiber temperature and stress simualtion simulation of 3D data
measurement) field
Safety monitoring data Whole dam temperature Unstructured results
acquisition and stress simulation data management and
Boundary
and safety evaluation release
Material parameters and
conditions setting
Simulation and safety Comprehensive query
performance synthetic data evaluation of other and 3D display of
acquisition specific topic items geologic information
Grouting progress and
qualitydata acquisition Pre-processing Simulation calculation Post-processing
Fig. 1 Illustration of Model for Xiluodu “Digital Dam” System
Construction monitoring system focuses on collecting and displaying onsite design

information, schedule information, quality information and construction monitoring
information, covers all specialties and the whole process of the construction of the dam and
is the information sharing and working platform of the parties participating in construction.
Based on the construction monitoring data, simulation analysis system analyzes the overall
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safety state, stress state, cracking risks and technical difficulties in construction, and collects
and displays 3D geologic model, boundary condition, grid division, stress, stress calculation
results. Early-warning information release and decision supporting system includes software
platform and special topic consultation, the former makes the automatic early-warning and
alarming by the system according to the design indexes and the construction quality control
requirements and other threshold; as to the later, aiming at the great technical problems and
based on the construction monitoring information and simulation analysis results, China
Three Gorges Corporation shall organize the “digital dam” team to carry out early-warning
and construction decision through special topic consultation.
Construction monitoring is the basis of simulation analysis and consultation decision, the
mass data collective by construction monitoring system ensure the reliability of simulation
analysis results and the rationality of consultation decision results; simulation analysis is not
only the application extension, but also the basis of consultation decision; the systems
including construction monitoring system, simulation analysis system and early warning and
decision making system jointly serve the onsite construction quality and the safety in full
life cycle of the arch dam.
In the construction process, Xiluodu “Digital Dam” has effectively solved such key
technologies as system integration and application, data acquisition and transmission,
comprehensive query and unified graphic platform and intelligent control. After continuous
improvement, totally 14 function modules have been developed, covering all stages of the
arch dam including design and research, construction and operating and maintenance. The
14 function modules have unified 3D system model, platform and interface, so it is possible
to fully, accurately and timely collect the information data concerning all fields and whole
process of the dam construction and to query, analyze, feedback and display directly the
collected data; in the meanwhile, carry out digital simulation and analysis calculation
combining with the construction progress, make technical standards and threshold for
scientific forecasting, predicating and early warning, focus on effective monitoring on
concrete cracking risk and stress and deformation state of arch dam, so as to serve the quality
control of onsite concrete construction, temperature control and anti cracking and foundation
treatment, and to serve the judgment of safe state in all stages in construction period and
operation period for arch dam.
3 APPLICATION EFFECT OF XILUODU “DIGITAL DAM”
3.1 Providing the cooperative working platform

The platform is aimed at the following problems: the traditional information acquisition and
filing mode bears large workload, furthermore, it is difficult to ensure the accuracy and
timeliness; it is impossible to make timely judgment and decision for onsite problems.
Xiluodu “Digital Dam” provides an information sharing platform which covers all fields and
whole process of arch dam construction, including all kinds of basic information and real-
time information in design stage and construction stage, and ensures overall, accurate and
timely information acquisition; in the meanwhile, associated information can be queried,
analyzed and displayed directly, realizing real-time information sharing and cooperative
working and rapid response of design unit, construction unit, monitoring unit, scientific
research unit and project management unit.
The parties participating in the construction can visually understand the onsite construction
situation through logging in the “digital dam” system (see Fig. 2), take the corresponding
construction measures aiming at the problems in the construction site and bring into play the
promotion of the platform and the data to the onsite construction management.
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Fig. 2 Homepage of Xiluodu “Digital Dam” System
For example, through “joint grouting condition query” module (see Fig. 3) in “Digital Dam”
system, all construction parties can simply, intuitively and accurately learn the concrete
pouring state and temperature control state of all parts and can master the joint grouting
condition, avoiding a lot of tedious statistical work. There is interactive query function
between “joint grouting 2D condition query” module and “temperature control and water
supply” module; for the block not satisfying joint grouting temperature condition, it is
possible to directly enter the temperature control and water supply module to learn the water
cooling process, so as to find out the reason accurately and then settle.
Fig. 3 Joint Grouting 2D Condition Query Page of Xiluodu “Digital Dam”
3.2 Promoting refined management and ensuring construction quality
Xiluodu “Digital Dam” system develops the refined management modules for each special
and link in the construction of the arch dam. Based on the true, accurate, comprehensive,
effective and predictable construction data in time, it is possible to carry out the construction
management measures and promote the refined construction management
Take concrete temperature control as an example, the concrete water cooling process is
divided into three phase, i.e. first phase, metaphase and second phase, totally 9 stages, and
the cooling process has strict requirements (see Fig. 4) on the maximum temperature, cooling
rate, temperature fluctuation and temperature gradient of the concrete. To meet the
requirement of design temperature control technology, Xiluodu arch dam is provided with
two cooling water supply system, one set, with the cooling water temperature of 8~10℃, is
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used for temperature control in the first phase and for cooling in metaphase, while the other
set, with the cooling water temperature of 14~16℃, is used for cooling in first phase and
temperature control in metaphase. Traditional construction management tools are difficult to
satisfy large-area, multi-stage, continuous and accurate temperature control. In actual
construction process of temperature control, it is possible to master the real-time state
through the comprehensive concrete temperature analytical curve of “Digital Dam” to adjust
the water supply temperature and flow dynamically, consequently, improving the
coincidence rate of concrete temperature control (see Fig.Fig. 5).
first-phase metaphase Second-phase

cooling cooling cooling
Temp. cooling Primary temp. cooling Secondary cooling Primary Grouting Secondary
Ctrl. ctrl temp. ctrl temp. ctrl temp. ctrl temp. ctrl
Temp.
Cooling rate
Temp. variation range

Cooling rate
Cooling rate

1. super cooling not permitted in restrained zone, Temp. variation range
with the warming range ≤0.5℃
2. temperature variation range in free zone ≤±1℃ Warming range
Time
Fig. 4 Technical Requirements in Concrete Temperature Control Process of Xiluodu Arch Dam
Up to Feb. 16, 2014, totally 2052 silos of concrete had been poured for the Xiluodu arch
dam body, 3818 groups of temperature monitoring instrument had been laid, the coincidence
rate of concrete silos at maximum temperature reached up to 91.3% and the coincidence rate
of measuring points reached up to 90.3%, and the actual temperature variation curve of
concrete basically coincided with the conditional curve of design temperature.
内部温度
Internal 进口水温
Inlet water temp. 出口水温
Outlet water temp. 通水流量
Water supply flow
30 Temp. 700
25 600
500
20
流量 / (L/min)
400
温度 / ℃
15
Temp. 300
10 flow
200
5 Suspension
暂停通水 of 100
water supply
0 0
2010/11/30
2010/12/15
2010/12/23
2010/12/7
2011/1/12
2011/1/23
2011/2/17
2011/2/27
2011/3/20
2011/3/30
2011/4/20
2011/4/30
2011/5/10
2011/5/20
2011/6/10
2011/6/17
2011/6/24
2011/6/30
2011/7/13
2011/7/18
2011/7/24
2011/7/29
2011/8/11
2011/1/2
2011/2/6
2011/3/9
2011/4/9
2011/6/4
2011/7/6
2011/8/4
日期 / 年-月-日
Date/Y-M-D
Fig. 5 Water Cooling Process Control of Concrete for Xiluodu “Digital Dam”
3.3 The whole process simulation analysis guarantees the safety of arch dam
The whole process simulation analysis is to evaluate the rationality of the design scheme and
the construction measures, offer basis for the construction management decisions and
provide the suggestions to settle the engineering problems.
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(b) Simulation Calculation Network Model
(a) 3D Geologic Model and Mechanics ParametersQuery
就绪 Ready 岩体力学参数 Parameter of rock mechanics 岩级面力学参数 Mechanics parameter of riedel treppe surface 结构面力学参数
Mechanics parameter of constructional surface 岩级 Riedel treppe 亚级 Antepenultimate order 变形模量 Deformation modulus 弹性模量
Elastic modulus 岩体/岩体 Rock mass/rock mass 凝土/岩体 Concrete/rock mass 水平 Horizontal 垂直 Vertical 抗剪断强度 Shear strength
抗剪强度 Shear strength
Fig. 6 3D Geologic Model and Simulation Calculation Model
The scientific research institutes and universities carry out the temperature control
forecasting, construction scheme simulation analysis and working condition simulation
analysis of the arch dam based on the uniform 3D geologic model (see Fig. 6), arch dam
structure model, rock mechanical parameters and concrete thermodynamic parameter of
“Digital Dam”. On this basis, organized and held the special topic meetings in stages,
discussed and settled the problems in construction and optimized the design requirements
and construction scheme so as to provide the technical guaranty for the smooth construction
of Xiluodu Arch Dam.
3.4 The whole process construction monitoring data provides the conditions for the
safety monitoring and analysis in the operation period
Xiluodu “Digital Dam” establishes a real, accurate, comprehensive and whole-process

engineering information database based on advanced data acquisition methods, and creates
conditions for the working behavior simulation and safety evaluation of arm dam in
construction and operation period. In construction period, the engineering information data
collected by Xiluodu “Digital Dam” improves the construction management level and
promotes the refined construction management; the whole process and staged simulation
calculation results guide the onsite construction and is advantageous to guarantee the
construction quality and the structure safety of the arch dam. In operation period, the whole
process construction information and the safety monitoring data (Fig. 7) in the construction
of the arch dam accumulated in Xiluodu “Digital Dam” are helpful to carry out the
simulation analysis and safety evaluation of the arch dam in the operation period and
guarantee the safe and reliable operation of the arch dam in the whole lifecycle.
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(a) Related Hydrograph of Radial Deformation and Water (b) Related Hydrograph of Tangential Deformation and
Level of Riverbed Dam Body Water Level of Riverbed Dam Body
Fig. 7 Related Hydrograph of Radial Deformation and Water Level of Dam Body
4 CONCLUSIONS
Along with the development of science and technology, large equipment and automatic
control means have been applied to dam construction and the damming technique has been
continuously improved. After entering 21st century, the construction and operation of super-
high arch dam are confronted with more complex natural and social environment. Xiluodu
“Digital Dam” system established based on full life cycle management theory is a
comprehensive man-machine interactive system integrating network, hardware, software, all
parties to the project contract and expert panel, and its function modules cover the whole
process of construction management including concrete construction, temperature control,
grouting, metal structure engineering, monitoring, simulation analysis, early warning and
pre-control, consequently, providing advanced system solution for guaranteeing engineering
quality, progress and safety. Upon the completion of material dam, a digital dam has been
completed as well. Xiluodu “Digital Dam” is the major application innovation and progress
in the full-process comprehensive management field of engineering construction,
significantly improves the management level of oversize civil engineering works.
Up to now, the construction of Xiluodu arch dam has been nearly completed and the
accumulative poured concrete is 6,700,000m3. Through the construction and application of
Xiluodu “Digital Dam”, there is only one silo temperature crack in the concrete of the dam,
and the construction monitoring and simulation results in all stages show that the arch dam
is in good working state and satisfies the design requirements. In December, 2013, Xiluodu
successfully completed the impoundment target to the elevation of 560m in the first stage,
and the monitoring data has shown that the deformation, stress and seepage of the dam are
all controlled in the scope of design standard, and the actual working state of the arch dam
is satisfactory!
The construction and practice of Xiluodu “Digital Dam” provides powerful support for
construction process control and decision making and ensures that the service conditions of
arch dam in construction period and in each stage of operating period satisfy the design
requirements. A 300m level high-class high arch dam has been constructed, and related
experiences can be used for similar project construction and management for reference.
Currently, the system has been successfully promoted and applied in some hydropower
projects including Xiangjiaba, Wudongde, Baihetan and Huangdeng, and is developing
towards intelligentization.
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NTERNATIIONAL SYMPOSIUM
IN M ON
nesia, June 1ST – 6TH , 20114

Bali, Indon
Assessing
g Hydraullic Fracturing of Roockfill Dam
ms
Using Laboratory
L y Test andd Numericcal Analysiis
D. Djarwaadi,
P Pamapersaada Nusantara,, Jakarta, Indoonesia
PT
didiek.djjarwadi@pama
apersada.com
K.B. Su
uryolelono., B. Suhendrro & H.C. H
Hardiyatmoo
Civil & Environmental Engineering D
Department, Gadj
djah Mada Univeersity,Yogyakartaa, Indonesia
AB
BSTRACT:
Hydrauulic fracturingg can be occu ur on the upsttream face off clay core of the rockfill daams in case thhe
verticaal effective strress is reduceed to level thaat are enoughh to allow tennsion fracturee to occur. Thhis
situatioon may arise if the total sttress in the coore is reduceed by archingg effect. Pore water pressuure
duringg impoundmen nt will also inncrease, and tthis will furth
her reduce thee effective strress in the corre.
Wedginng due to watter pressure may m crack thee upstream faace of the clayy core. Hydraaulic fracturinng
of the rockfill
r dams can be modeeled by laboraatory tests andd numerical aanalysis. The laboratory teest
were conducted usin ng hydraulic fracturing
f teest apparatus to obtained the
t tension strress of the claay
core em mbankment, and this valu ue will be used in the num merical analyysis as a low wer limit of thhe
effectivve stress, whhere if the effective
e stresss over the tension stresss, the poten ntial hydraullic
fracturring may occu ur.
This paaper was sum mmarizing thee research onn the hydrauliic fracturing of major emb bankment dam ms
in Indoonesia. The influence of the core connfiguration and a height off the dam to o the hydraullic
fracturring were inveestigated. Tw wo model of roockfill dams with
w the ratio of height of th he dam againnst
the botttom core widdth (H/W) of 2.00 and 2.50 were analyyses. The basee width of thee upstream annd
downsttream filter was w varied from f 2 to 6 meters. The maximum hheight of the dams with no n
hydrau ulic fracturing g will be justtified as the uupper limit off the dam’s configuration.
c The hydraullic
fracturring tests in thhe laboratoryy were carriedd out on the soil
s used as cllay core for five
fi major dam ms
in Indoonesia; there are Batubulaan, Batutegi, Pelaparado, Sermo and Wonorejo. Thhe soil samplles
then modeled
m into 6 (six) differennt fine contennts, and comppacted in accordance to ASTM D-698-000
in 3 (thhree) differennt moisture coontents. Numeerical analysiis of hydraulicc fracturing wasw carried out o
using finite
f element.. Couple anallysis of the deeformation an nd seepage wiill be used.
The annalyses resultss indicated thhat the dam w which have coonfiguration ((H/D)=2 can be constructeed
safely against hyddraulic fractu uring up to the height of o 155 m, while
w the dam m which have
configu uration (H/D))=2.5 can be constructed safely s againsst hydraulic frracturing up tot the height of
140 m
Keywo
ords: hydrauliic fracturing,, rockfill dam
m, laboratory tests, numeriical analysis.
1. INT
TRODUCTIION
Hydraaulic fracturiing becomess one of the major problems in rockkfill dam, siince it playss a
signifiicant role in the initiatio
on and extennsion cracks in the clay core. Archinng in the claay
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core of rockfill dam may result in leakage and internal erosion (Loftquist, 1951). He
described vertical pressures in thin impervious cores of the 26 m high Holle dam and 34 m
high Harspranget dam as being as low as half of the normal overburden pressures. Crack
may develop in this situation in case the hydraulic pressure is higher than the vertical
pressure in the upstream face of the clay core. The incident in Hyttejuvet dam in Norway
that unexpected leakage occurred during the first filling of the reservoir (Kjaernsli and
Torblaa, 1968). Similar incidents for the unusual leakage occurred just before the reservoir
became full during the initial filling of Balderhead dam in England (Vaughan et al. 1970).
The failure of Stockton and Wister dams in USA suspected as being due to hydraulic
fracturing (Sherard, 1973). An investigation to the leakage that occurred at Viddalsvatn
dam in Norway indicated that hydraulic fracturing might be the cause (Vestad, 1976). The
failure of Teton dam in USA during the first reservoir filling also identified hydraulic
fracturing as a possible cause (Independent Panel, 1976). To enhance the understanding of
the hydraulic fracturing mechanism in the upstream face of the clay core of a rockfill dam
in general, the effects of construction time and impounding rates of the dams experiencing
hydraulic fracturing were studied. The rates of embankment and impoundment did not
affect the hydraulic fracturing on the clay core of the rockfill dam. Lo and Kaniaru (1990)
studied and compared the embankment and impoundment rates of five (5) dams;
Balderhead, Hyttejuvet, Viddalstavn, Teton and Yard’s Creek dams which experiencing
with hydraulic fracturing as shown in Table 1.
Table 1. Case records of hydraulic fracturing in dams (Lo and Kaniaru (1990).
Construction period Rate of impoundment
Dams Height (m)
(year) (m/month)
Balderhead 48 4 2
Hyttejuvet 90 1 20
Viddalsvatn 70 1 11
Teton 93 3 27
Yard’s Creek 24 2 7
It can be concluded that the slower rate of construction which may produce higher degree
of consolidation and slower rate of impoundment which may produce the steady state of
flow in the core did not affect the hydraulic fracturing, since all the dams were
experiencing hydraulic fracturing which recorded occurred on the first impounding. These
situations led to the conclusion that the primary cause of the hydraulic fracturing was
arching effect in the core of rockfill dams.
2. HYDRAULIC FRACTURING LABORATORY TEST
The mechanism of hydraulic fracture in soils has been studied in the laboratory by some
researchers (Nobari et al., 1973; Jaworski et al., 1976; Widjaja et al., 1984; Hassani et al.,
1985; Panah and Yanagisawa, 1989). Recent investigation (Ohne et al. 2005) on the
possibility of hydraulic fracturing in embankment dam during earthquake using seepage
fracture tests was carried out in various condition of pore water pressure, overburden
confining pressure and dynamic shear stress induced by earthquake. The specimens were
compacted hollow cylinder soil. The specimens were compacted inside a Proctor mould
measuring 100 mm in diameter and 120 mm high. The inner diameter of the borehole was
18 mm, based on the borehole fracturing research results by Widjaja et al. (1984). Fig.1
shows the typical soil specimen used in the hydraulic fracturing tests.
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Figure 1. Soil specimen for hydraulic fracturing test.
The development of the hydraulic fracturing test apparatus in the laboratory will mainly
focus on investigating the fracture of the soil specimen due to the wedging of the water
pressure, which may result due to reduction of the effective stress due to the increasing
pore water pressure in the specimen. The test apparatus consists of two parts namely: a
hydraulic fracturing chamber and a pressure chamber. The hydraulic fracturing chamber
consists of compacted hollow cylinder soil specimen clamped in both ends. The hole inside
and surrounding each soil specimen was then covered by sand which would function as
granular filter. The gradation was modelled using no-erosion filter criteria proposed by
Sherard and Dunnigan (1989). The outer side of hydraulic fracturing chamber was then
covered by latex membrane. The hydraulic fracturing chamber was then fixed on the
bottom platen of the pressure chamber. The pressure chamber has the same function as the
triaxial chamber, but the size was larger in order to accommodate the hydraulic fracturing
chamber dimensions. The confining stress (x) was applied by water pressure generated by
constant pressure machine, while axial stress (y) was applied by axial pressure generated
by electric motor. The initial stress state applied to the soil specimen was assumed as the
vertical and horizontal stresses at a point in the upstream face of the clay core of rockfill
dam before impounding. The hydraulic pressure to the soil specimen was increased
gradually using load control mechanism. The water flow through the soil specimen was
monitored using a micro-flow meter and a transducer, while the confining pressure which
was assumed to be uniform during the test was monitored using a pore pressure transducer.
Both transducer supplied real time data to the Automatic Data Acquisition Unit (ADU)
machine, and then using computer program the data were displayed on the screen. The
development of apparent effective stress during the test was monitored using a calibrated
proving ring. When the soil specimen reaches failure, the axial stress, the axial strain, the
pore water pressure, the effective stress, hydraulic fracturing pressure as well as the
amount of water flow into the soil specimen can be obtained. Fig.2 shows the hydraulic
fracturing test apparatus developed in the Soil Mechanic and Geotechnical Laboratory,
Civil and Environmental Engineering Department, Gadjah Mada University
The hydraulic fracturing tests in the laboratory were carried out in various conditions,
which can be grouped as follows;
a. Fine contents; 6 variation of fine contents, there are 30%, 40%, 50%, 60%, 70%
and 80%, where the original soil sample will represent the nearest fine content was
made to investigate the effect of fine content to the ultimate tensile stress at failure,
b. Compaction; 3 variation of the moisture contents were tested, there are; 1=(OMC-
3%), 2=OMC and 3=(OMC+3%),
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c. Initial stress states on the soil specimen; 3 variation of initial stress states which
may result tension failure (Djarwadi et al, 2009) were applied to the soil specimens
before the hydraulic pressure were applied through the inner hole, there are
A:(σy=160 kPa and σx=100 kPa), B:(σy=240 kPa and σx=140 kPa), and C:(σy=320
kPa and σx=180 kPa).
Figure 2. Hydraulic fracturing test apparatus
The results of the hydraulic fracturing test in the laboratory for soil materials using as clay
core from 5 (five) major dams in Indonesia (Batubulan, Batutegi, Pelaparado, Sermo and
Wonorejo dam) with all the variation (270 soil specimens) are presented in Fig 3 for
Batubulan dam, Fig 4 for Batutegi dam, Fig 5 for Pelaparado dam, Fig 6 for Sermo dam,
and Fig 7 for Wonorejo dam.
Figure 3. Relationship between fine content and tensile stress at failure for Batubulan core materials
3. ANALYSES HYDRAULIC FRACTURING USING NUMERICAL ANALYSIS
Analyses of hydraulic fracturing were carried out using finite element method. Couple
analysis between deformation & stress, and seepage was adopted. The similar method was
used previously by Cavounidis and Hoeg (1977), Ghabousi and Kim (1982), Naylor et al
(1988), Alonso et al (1988) and Ng and Small (1999). The final stresses obtained from
construction period will be used as initial stresses during impounding period. This method
was adopted considering that the hydraulic fracturing recorded mostly occurred on the first
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impoundment. The selection of soil model on the stress and deformation analyses is very
important. The soil model shall represent the actual condition and control the accuracy of
calculation the results. In the dam construction, the embankment materials were compacted
layer by layer to form the final dam configuration. In this case the non linear elastic
hyperbolic soil model suits the embankment process.
Figure 4. Relationship between fine content and tensile stress at failure for Batutegi core materials
Figure 5. Relationship between fine content and tensile stress at failure for Pelaparado core materials
Figure 6. Relationship between fine content and tensile stress at failure for Sermo core materials
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Figure 7. Relationship between fine content and tensile stress at failure for Wonorejo core materials
In the non linear elastic hyperbolic soil model, the elastic modulus was formulated as
function of the confining pressure, so at every loading step the magnitude of the elastic
modulus will be increased accordingly. The high order elements which consist of 8 nodal
points of quadrilateral and 6 nodal points of triangular were used in the element
discretization.
3.1. Preliminary attempt
In order to validate the analyses meets the required accuracy, the preliminary attempt
analyses on the Hyttejuvet dam which recorded experiencing with the hydraulic fracturing
was carried out. The embankment of the dam were modeled in 14 step loadings to
represent the construction time of Hyttejuvet dam which reported 520 days within two
consecutive years. Fig 8 shows the element discretization of the Hyttejuvet dam. The soil
model for clay core and filter embankment materials are non linear elastic hyperbolic,
while rockfill embankment material was modeled as linear elastic refer to the works of
Covarrubias (1969). The hyperbolic parameters were developed from the triaxial UU test
results using a calculation developed by Duncan et al (1980). Table 2 shows the hyperbolic
and shear strength parameters for clay core and filter, while Table 3 shows the parameters
of the rockfill.
Figure 8. Element discretization of the Hyttejuvet dam
Table 2. Hyperbolic and shear strength parameters of clay core and filter
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Table 3. Linear elastic parameters for rockfill
The numerical analysis of hydraulic fracturing using finite element method was carried out
in two steps. The first step, stress and deformation analyses was carried out modeling the
dam in the embankment process in 14 step loadings, and second step, using the final
stresses obtained in the first step as a initial stresses in the couple analyses between
deformation & stress, and seepage was carried out. The final effective stresses resulting
from the couple analyses then will be used to evaluate whether the hydraulic fracturing was
occurred. The evaluation to the final effective stresses obtained from couple analysis
described as follows;
a. The effective stresses along upstream face of the clay core obtained from couple
analysis (σy’) compared to the hydraulic pressure due to the maximum water level
in the reservoir (σw),
b. In case the effective stresses at certain points less than the hydraulic pressure (σy’<
σw), the tension stress were worked at those points,
c. In the case the tension stresses at certain points less than the ultimate tensile
stresses obtained from the hydraulic fracturing laboratory test, there were no
hydraulic fracturing may occurred,
d. In the case the tension stresses at certain points along the upstream face of clay core
over the ultimate tensile stresses obtained from the hydraulic fracturing laboratory
test, the hydraulic fracturing may occurred on those points (Djarwadi, 2010).
The hydraulic fracturing analysis on the modeled Hyttejuvet dam indicated that the
location of arching effects which leads to hydraulic fracturing was similar to the actual
location of hydraulic fracturing as reported by Kjaernsli and Torblaa (1968). Fig 9 shows
the plotting of the effective stress along the upstream face of modeled Hyttejuvet dam
against hydraulic pressure.
Figure 9. Effective stress along the upstream face of modeled Hyttejuvet dam against
hydraulic pressure
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Since the numerical analysis of the hydraulic fracturing using finite element by couple
analyses indicated the high accuracy, then the investigation of the influence of the clay
core configuration against the height of the dam with no hydraulic fraction can be
continue. Statistical analysis by Fell et al (2004) for central core rockfill dam indicated that
the dam with ratio (H/W > 2) were much more likely will experiencing with hydraulic
fracturing, while if (1 < H/W < 2) were more likely will experiencing with hydraulic
fracturing, where H was height of the dam, and W was the base width of clay core.
This condition will be investigated by numerical analysis. In the investigation of the
maximum height of the modeled dam with no hydraulic fracturing, the following
conditions are made:
a. Analyses were made on the various fine contents, and moisture contents as
described above,
b. Analyses were made on 2 (two) different ratio of height of the dam (H) against clay
core base width (W), there are H/W =2.00 and H/W=2.50, as shown in Fig. 10,
c. Analyses were also made on the 3 (three) different base width of upstream and
downstream filters, there are 2 m, 4 m and 6 m,
d. At the same fine contents and ratio of H/W, the minimum height of the dam
obtained from analyses with various variation of moisture contents and base width
of filter from 5 major dams in Indonesia with no hydraulic fracturing can be
justified as the maximum height of rockfill dams can be built with no hydraulic
fracturing.
Figure 10. Modeled dam for hydraulic fracturing analysis
The analyses results are presented on a graph as shown in Fig. 11. The abscissa indicated
the percentage of the fine contents, while the ordinate indicate the heights of the dams. The
3 (three) smoothed lines in the graph indicated the variation of the base width of the filter
used in the analyses. It shows that the wider base of the filters constructed on rockfill dams
may resulting higher dams with no hydraulic fracturing.
4. CONCLUSIONS
Analysis hydraulic fracturing in the laboratory and numerical analysis with various
variations in materials, compaction and initial stress states have been presented, and the
following conclusions are presented;
a. At the same percentage of fine contents, greater tensile stress at failure are obtained
when the specimens compacted at wet side of the compaction curve (OMC+3%),
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b. The dam modeled with greater ratio H/W have higher potential against hydraulic
fracturing.
c. The dams modeled with wider base of filter can be constructed higher with no
hydraulic fracturing.
Figure 11. The maximum height of rockfill dams with no hydraulic fracturing obtained from
numerical analysis
REFERENCES
Alonso, E.E., Battlle, F., Gens, A., and Lloret, A. 1988: Consolidation Analysis of
Partially Saturated Soil, Application to Earth Dam Construction. Proc 6th Intl Conf
on Numerical Methods in Geomechanics. Innsbruck. Vol 2. pp 1303-1308.
Cavounidis, S., and Hoeg, K. 1977: Consolidation during construction of earth dams.
Journal Geotechnical Engineering Division. ASCE. Vol 103. No 10. pp 1055-1067.
Covarrubias, S. W. 1969: Cracking of earth and rockfill dams. A theoretical investigation
by means of finite element method. PhD thesis. Harvard University. Cambridge.
Massachusset.
Djarwadi, D., Suryolelono, K.B., Suhendro, B., and Hardiyatmo, H.C. 2009: Failure
Criterion of Soils during Hydraulic Fracturing Test. Proceedings 1st International
Conference on Sustainable Infrastructure and Build Environment in Developing
Country. Bandung 2-3 November 2009. pp: G.30-G.35
Djarwadi, D. 2010: Analyses of hydraulic fracturing of the clay core of the rockfill dams
on the various fine contents. PhD thesis. Gadjah Mada University. Yogyakarta.
Indonesia (in Indonesian).
Duncan, J. M., Byrne, P., Wong, K. S., and Mabry, P. 1980: Strength, stress-strain and
bulk modulus parameters for finite element analyses of stresses and movements in
soil masses. Report no. UCB/GT/80-01, Dept of Civil Engineering. University of
California. Berkeley. USA
Fell, R., Wan, C.F. and Foster, M., 2004: Methods for Estimating the Probability of Failure
of Embankment Dams by Internal Erosion and Piping through the Embankment,
Uniciv Report R-428, May 2004, University of New South Wales, Australia, ISBN:
85841 395 7.
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Ghabousi, J., and Kim, K. J. 1982: Analysis of saturated and partially saturated soils. Proc
Intl Symp on Numerical Models in Geomechanics. Zurich. pp 377-390.
Hassani, A. W., Singh, B., Saini, S. S., and Goel, M. C. 1985: Laboratory simulation of
hydraulic fracturing. Proc 11th Intl Conf on Soil Mechanics and Foundaton
Engineering. San Francisco. Vol 2. pp 1081-1084.
Independent Panel to Review Cause of the Teton Dam Failure. 1976: Report to US
Department of the Interior and the State of Idaho on Failure of Teton Dam. US
Government Printing Office. Washington DC.
Jaworski, G. W., Duncan, J. M., and Seed, H. B. 1981: Laboratory study of hydraulic
fracturing. Journal of Geotechnical Engineering Division. Vol 107. No GT6. pp 713-
733.
Kjaernsli, B., and Toorblaa, I. 1968: Leakege through horizontal cracks in the core of
Hyttejuvet dam. Norwegian Geotechnical Institute. Publication no. 80. pp 39-47.
Lo, K. Y., and Kaniaru, K. 1990: Hydraulic Fracture in earth and rockfill dams. Canadian
Geotechnical Journal. Vol 27. No 4. pp 496-506.
Loftquis, B. 1951: Earth pressure in a thin impervious core. Transaction 4th International
Congress on Large Dams. New Delhi. Vol 1. Pp 99-109.
Naylor, D. J., Kinght, D.J., and Ding, D. 1988: Coupled Consolidation Analysis of
Construction and Subsequent Performance of Monasavu Dam. Journal of Computers
and Geotechnics. No 6. pp 95-129.
Nobari, E. S., Lee, K. L., and Duncan, J. M. 1973: Hydraulic fracturing in zoned earth and
rockfill dams. Report no. TE-73-1. US Army Engineers Waterways Experiment
Station. Vicksburg. MS.
Ng, K. L. A., and Small, J. C. 1999: A case study of hydraulic fracturing using finite
element. Canadian Geotechnical Journal. Vol 36. pp 861-875.
Ohne, Y., Narita, K., Okumura, T., and Nakamura, Y. 2004: Hydraulic fracturing of a
rockfill dam during 1995 Hyogoken-Nambu earthquake. Proc 4th Intl Conference on
New Development in Dam Engineering, Nanjing, China. pp 683-692.
Panah, A. K., and Yanagisawa, E. 1989: Laboratory Studies on Hydraulic Fracturing
Criteria in Soil. Journal Soils and Foundatins. Vol 29. No 1. pp 14-22.
Sherard, J. L. 1973: Embankment Dam Cracking. In Embankment Dam Engineering-The
Casagrande Volume. New York. John Wiley & Sons.
Sherard, J. L., and Dunnigan, L. P. 1989: Critical Filter for Impervious Soils. Journal of
Geotechnical Engineering Division. ASCE. Vol 115. No GT7. pp 927-947.
Vaughan, P. R., Kluth, D. J., Leonard, M. W., and Pradoura, H. M. M. 1970: Cracking and
erosion of the rolled clay core of Balderhead dam and the remedial works adopted
for its repair. Transaction of 10th International Congress on Large Dams. Montreal.
Vol 3. pp 73-93.
Vestad, H. 1976: Viddalsvatn dam, a history of leakages and investigations. Transactions
of 12th International Congress on Large Dams. Mexico. Vol 2. pp 369-390.
Widjaja, H., Duncan, J. M., and Seed, H. B. 1984: Scale and Time effects in hydraulic
fracturing. Miscellaneous Paper GL-84-10. US Army Engineers Waterways
Experiment Station. Vicksburg, MS.
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FINITE ELEMENT MODELING FOR ACOUSTIC
RESERVOIR-DAM-FOUNDATIOM COUPLED SYSTEM
Bakenaz A. Zeidan
Faculty of Engineering, Tanta University, Tanta, Egypt, drbakenaz@yahoo.cm
Abstract:
The need for new dam construction and retrofitting of existing dams necessitates
the use of advanced design approaches that can take realistically into account the
potential dam-reservoir-foundation interaction. Seismic design of concrete dams is
associated with difficulties to estimate the dynamic response of the dam as well as the
response of the dam reservoir-foundation system to assess the impact of the various
parameters involved. After an extensive literature review on the dynamic interaction of
concrete dams with retained water and underlying soil, results from numerical
simulations are presented. Initially, the well-known Westergard analytical closed-form
solutions for hydrodynamic pressures are outlined. Subsequently, the numerical model
based on the finite element method FEM which is widely used for complicated
geometries and /or properties of acoustic reservoir-concrete dam-mass soil foundation in
coupled systems is oriented. Emphasis is attained on FEM-based procedures for coupling
of fluid-soil-structure boundary conditions regarding formulation, accuracy and
efficiency. Numerical results are presented to illustrate the impact of various key
parameters on the response of concrete gravity dams considering dam-reservoir-
foundation interaction phenomena. In the present paper, a 2-D dam-reservoir-foundation
coupled system is analyzed using FEM via ANSYS code. Dam and foundation are
assumed to be linear and elastic while reservoir water is considered acoustic, inviscid and
incompressible. The effect of reservoir bottom sediment on the seismic response of the
dam is addressed. Absorption of radiation damping as well as foundation flexibility are
highlighted.
Key words: FEM - fluid-soil-structure interaction, concrete gravity dams, crest

displacement, hydrodynamic pressure, ANSYS.
1. Introduction
The earthquake response of concrete gravity dam-reservoir-foundation system

has been addressed to study the effect of foundation flexibility and reservoir
water body on the seismic response of concrete gravity dams. Safety evaluation
of dynamic response of dams is important for most of researchers. When such
system is subjected to an earthquake, hydrodynamic pressures are developed on
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upstream face of the dam due to the vibration of the dam and reservoir water.
Consequently, the prediction of the dynamic response of dam to earthquake
loadings is a complicated problem and depends on several factors, such as
interaction of the dam with rock foundation and reservoir, the computer modeling
and material properties used in the analysis.
2. State of Art
The hydrodynamic pressure acting on dam faces during earthquakes has been
recognized as a major loading in the design of dams. The first rigorous analysis
of hydrodynamic forces on dam faces during earthquakes was reported by
Westergaard in 1933 (1). The dam reservoir interaction problems can be
analyzed using the three famous approaches: Westergaard approach; Eulerian
approach and Lagrangian approach. Researchers treated the dam reservoir
interaction problems can be cited in references (2)-(12). Researches treated the
soil -fluid -structure interaction problems are available in the literature, among
these one can cite references (13)-(20). Some studies that present a method
called Soil Structure Interaction Method (SSI) for estimation of free field
earthquake motions at the site of dams. This method neglects the presence of
structure (Dam) during the earthquake and assumes that the relative
displacement at the truncated boundary is zero, and shows that under these
circumstances, the foundation just bears the inertia force and does not bear the
earthquake force. Recent studies on dam-reservoir-foundation interaction deal
with the boundary conditions of the foundation and foundation interaction with
both reservoir and dam bodies. However, the problem of fluid-soil-structure
interaction is a complicated problem and need more interest from researchers.
More efficient methods are required to properly assess the safety of concrete
gravity dams located in regions with significant seismicity.
3. Problem Statement
In the present study, a 2-D dam-reservoir-foundation system is analyzed linearly

using finite element method via ANSYS code. The dam-reservoir interaction is
solved by coupled solution procedure while the boundary condition is applied at
the reservoir’s far-end truncated boundary. The foundation is defined as a
different part from the structure with different modulus of elasticity. In this paper,
a time domain dynamic analysis of the dam–reservoir-foundation interaction
problem is developed by coupling the finite element method for the infinite
reservoir and foundation domains and for the finite dam domain. An efficient
coupling procedure is formulated by using the coupling coincide nodes method.
Summerfield’s boundary condition at the far end of the infinite fluid domain is
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implemented. To verify the proposed scheme, numerical examples are carried
out and compared with available exact solutions. Finally, a complete dam–
reservoir-foundation interaction problem is solved. Figure 1 shows the coupled
dam-reservoir- foundation problem idealization.
4. Governing Equations and Boundary Conditions

Assuming that water is linearly compressible and neglecting its viscosity, the
small amplitude irrotational motion of the water is governed by the two-
dimensional wave equation:
( , , )= ( , , , ) Ω (1)
where is the acoustic hydrodynamic pressure; t is time and is the two-

dimensional Laplace operator and C is the speed of pressure wave given by:
= (2)
4.1. Dam-Reservoir Boundary Condition:

At the surface of fluid-structure, there must be no flow across the interface. This
is based on the fact that face of concrete dams is impermeable. In the following
equation:
( , , , )
= − ( , , , ) (3)
where is normal acceleration of the dam body on the upstream face and n is
normal vector on the interface of the dam-reservoir outwards the dam body and
is the massdensity of the reservoir water.
4.2. Reservoir-Foundation Boundary Condition:

If there is no energy absorption on reservoir bottom, the same boundary
condition represented in equation 8 can be used. Reservoir bottom absorption
effect is implemented as:
( , ) ( , )
= − ( )− (4)
where is the damping coefficient characterizing the effects of absorption of

hydrodynamic pressure waves at the reservoir boundary and is the wave
reflection coefficient, which represents the ratio of the amplitude of the reflected
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wave to that of the normally incident pressure wave at the reservoir is related to
by the following expressions:
−
=
+
It is believed that a value from 1 to 0 would cover the wide range of materials
encountered at the boundary of actual reservoirs. The value of the wave
reflection coefficient that characterizes the reservoir bottom materials should
be selected based on their actual properties, not on properties of the foundation
rock. Materials on the reservoir bottom has great influence in absorbing of
earthquake waves and decreases the system response under the vertical
component of the earthquake and this effect is also important for horizontal
component.
4.3. Reservoir-Far-End Boundary Condition

For modeling far-end truncated boundary, viscous boundary condition (called as
Sommerfeld boundary condition) is utilized to absorb completely the outgoing
pressure waves given as Somerfield-type radiation boundary condition may be
implemented namely:
( , , ,) ( , , , )
= (5)
4.4 Free-Surface Boundary Condition

In high dams, surface waves are negligible and hydrodynamic pressure on the
free surface is set to be zero, the boundary condition is easily defined as:
P(x, y, z, t)= 0 (6)
5. Coupled Fluid-Structure-Foundation Formulation
Concrete gravity dam and mass foundation:

Application of Lagrangian method over the domains of dam and
foundation produces the following global equation [4],[8]:
̈ + ̇+ = ( ) (7)
where M, C, K and F(t) are dam and foundation mass, damping, stiffness
matrices and dynamic force vector and u is the displacement vector. The dot
represents the time derivative.
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Reservoir water body:
The equations of motion for a fluid system have the similar form to that of
the structure when the Lagrangian approach is used, but requires a different
sensitivity to determine interface condition of the coupled system. The equation
of hydrodynamic wave propagation in reservoir given by equation (1) along with
the corresponding boundary conditions given by equations (3) to (6) produce the
following global equation [10]:
̈ + ̇ + = ( ) (8)
where Mf, Cf, Kf and Ff(t) are reservoir mass, damping, stiffness matrices and
dynamic force vector and P is the hydrodynamic pressure vector. The dot
represents the time derivative.
Applying the standard Galerkin’s method to discretize equations (7) and

(8) the simulation of dam-reservoir-foundation interaction can be obtained. The
discretized structural dynamic equation including the dam and foundation rock
subjected to ground motion can be formulated using the finite-element approach
as [4],[10]:
̈ + ̇ + =− ̈ + (9)
where Ms, Cs and Ks are the structural mass, damping and stiffness matrices,
respectively, ue is the nodal displacement vector and the term QPe represents the
nodal force vector associated with the hydrodynamic pressure produced by the
reservoir. In addition, üe and üg are the relative nodal acceleration and nodal
ground acceleration vectors, respectively. The term Q is referred to as the
coupling matrix. The discretization of equations (2) - (4) to get the matrix form of
the wave equation as [4],[10]:
̈ + ̇ + + ̈ + ̈ = (10)
where Mf, Cf and Kf are the fluid mass, damping and stiffness matrices,
respectively and Pe; üe and üg are the nodal pressure, relative nodal acceleration
and nodal ground acceleration vectors, respectively. The term is also
referred to as the transpose of the coupling matrix. The dot represents the time
derivative
Equations (9) and (10) describe the complete finite-element discretized equations
for the dam-water-foundation rock interaction problem and can be written in an
assembled form as:
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̈ ̇ − ̈
̈ + ̇ + = ( )
− ̈
where Kfs= -Q and Mfs=
Equation (11) expresses a second order linear differential equation having

unsymmetrical matrices and can be solved by means of direct integration
methods.
6. Modeling and Assumptions
In the present study, in order to satisfy the continuity conditions between

the fluid and solid media at the boundaries, the nodes at the common lines of the
fluid and the plane elements are constrained to be coupled in the direction
normal to the interface, while relative movements are allowed to occur in the
tangential directions, this is implemented by attaching the coincident nodes at the
common lines of the fluid and the plane elements in the normal direction. At the
interface of the fluid-structure system, only the displacements in the direction
normal to the interface are assumed to be compatible in the structure as well as
the fluid. The fluid is assumed to be linear-elastic, incompressible, irrotational
and nonviscous. The objective of this work is to assess the impact of dam-
reservoir-foundation interaction on seismic response of high gravity dams. A
typical concrete gravity dam is chosen as a case study. The dam is 110 m high
and its thickness varies from 10 m at the crest to 100m at the foundation level.
2-D finite element model is implemented via ANSYS code version 14. No
absorption is considered at reservoir bottom. The depth of the reservoir is
considered 100 m. Since the extent of the reservoir is large, it is necessary to
truncate the reservoir at a sufficiently large distance from the dam. A length of
reservoir equivalent to one and half times its depth is chosen for adequate
representation of hydrodynamic effects on the dam body. The depth of
foundation of 150 m is taken into account in the calculations. The dam and
foundation materials are assumed to be linear-elastic, homogeneous and
isotropic. A two dimensional (2D) finite element model (PLANE 182) is used to
model dam body and foundation soil. A two dimensional (2D) finite fluid element
model (FLUID 29) is used to model the reservoir water. The employed Finite
Element mesh is shown by Figure 2.
. To investigate the seismic response of the dam, three cases of soil

foundation models are considered; the fixed support foundation, the mass soil
foundation to take into account the inertial effect of the foundation and the
massless soil foundation to neglect it.
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6.1. Material Properties:
The material properties for the concrete gravity dam, foundation soil and
reservoir water are presented as follows:
Table 1: Material Properties
Mass Isotropic Elasticity 27.58 GPa

Concrete Poisson’s Ratio 0.2
Density 2483 Kg/m3
Foundation Isotropic Elasticity 22.4 GPa
Rock Poisson’s Ratio 0.33
Density 2643 Kg/m3
Reservoir Density 1000 Kg/m3
Water Wave Velocity 1440 m/s
Wave Reflection 1.0
Bulk Modulus 2.07E+9 kg/m2
6.2. Loading History

The selected gravity dam is simulated including dam-reservoir-foundation
interaction using the Finite Element discretization shown in Figure 2. Linear
transient dynamic analysis adopted in ANSYS code version 14 is implemented.
In order to investigate the effects of dam-water-foundation on the time history
response of gravity dams, the linear earthquake response of the selected dam is
determined for the specified case. A static analysis is initially implemented and
then, the dam is subjected to the El-Centro N–S record of Imperial Valley
earthquake (1940) shown in Figure 3 in upstream-downstream direction.
7. Numerical Results & Discussions
Numerical results for the seismic response of dam-reservoir-foundation

interaction shown by Table 2 and Figures (4) to (9) are discussed in the following
sections for the following cases:
Case1: Fixed support foundation;

Case2: Massless soil foundation;
Case3: Mass soil foundation.
Table 2: Results for three cases of study

Horizontal crest Dam heel Hydrodynamic Hydrodynamic Hydrodynamic
displacement horizontal pressure at pressure at 80m pressure at 50m
m displacement m dam base KPa depth KPa depth KPa
Case1 0.0147 - -235.8 -62.15 -34.53

Case2 0.0278 0.0030 -235.79 -62.09 -31.99
Case3 0.0408 0.0146 -235.79 -62.15 -35.04
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Crest Displacement
Analysis of time history of the dam horizontal crest displacements for cases 1, 2
and 3 are shown in Fig. 4. Maximum horizontal crest displacements for all three
cases are summarized in Table 2. Peak value for case1 is 1.47 cm which occurs
at 5.5 seconds. For case2 peak value is 2.78 cm which occurs at 5.5 seconds
while peak value for case3 is 4.08 cm which occurs at 5.5 seconds. Results
indicate the significant effect of dam foundation on the time history of horizontal
crest displacement. Maximum displacements are associated with mass soil
foundation while minimum displacements re obtained for fixed foundation.
Dam Heel Displacement

Maximum horizontal displacement values at dam heel for all three cases are
summarized in Tables 2. Analysis of time history of the dam heel horizontal
displacements for cases 2 and 3 are shown in Fig. 5. While for case1 no
displacement occurs, for case2 peak value is 0.3 cm which occurs at 5.5
seconds and peak value for case3 is 1.46 cm which occurs at 5.5 seconds.
Results indicate the significant effect of dam foundation on the time history of
horizontal dam heel displacement. Maximum displacements are associated with
mass soil foundation while no displacements occur for fixed foundation.
Hydrodynamic Pressure
Figure 6 shows the time history of hydrodynamic pressure at dam base for case
3. Figure 7 shows the time history of hydrodynamic pressure at 80m reservoir
depth for case 3. Figure 8 shows the time history of hydrodynamic pressure at
50m reservoir depth for case 3. Maximum hydrodynamic pressures for cases 1,2
and 3 are summarized in Table 2. Results indicate the verification of the present
model as the values obtained are almost matching with that of Westergard (1)
analytical solution. For cases 1, 2 and 3 the results are the almost the same as
the hydrodynamic pressure is a function of the reservoir height and the
earthquake severity which are the same for the three cases. The presence of
foundation in modeling almost does not affect the hydrodynamic pressure time
history.
8. Conclusions
In the present study the problem of dam-reservoir-foundation seismic response

on concrete gravity dams has been analyzed numerically. The following
conclusions can be drawn from the obtained results. Simulation of foundation in
dam-reservoir interaction problems significantly affects the seismic response of
concrete gravity dams especially in case of mass soil foundation. Crest
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displacement as well as dam heel displacement increase significantly by
presence of mass soil foundation more than massless foundation. The presence
of foundation in modeling almost has no significant effect on hydrodynamic
pressure.
9. References
[1] Westergard, H. M. (1933). Water Pressure on Dams during Earthquakes. TRANSACTIONS ASCE
Vol.98
[2] Hall, J. F., And Chopra, A. K., (1982) .Hydrodynamic Effects in the Dynamic Response of Concrete
Gravity Dams. Earthquake Engineering and Structural Dynamics, Vol. 10, No 2, 1982, Pp. 333-345.
[3] P.G. Asteris, A.D. Tzamtzis, (2003) .Nonlinear Seismic Response Analysis of Realistic Gravity Dam-
Reservoir Systems. © Freund Publishing House Ltd. International Journal of Nonlinear Sciences and
Numerical Simulation 4 (2003) 329-338.
[4] Zienkiewicz, 0.C. And Taylor, R.L. (1991). The Finite Element Method; Volume II. Fourth Edition
First Published In I967 By McGraw-HillPp.407- 419.
[5] Seghir, A., Tahakourt, A. And Bonnet, G. (2009). Coupling FEM and Symmetric BEM for Dynamic
Interaction ofDam–Reservoir Systems” Engineering Analysis with Boundary Elements 33 (2009)
1201–1210.
[6] Akhaveissy, A.H. And Malekshahi, M. (2012). Transient Analysis Of Dam-Reservoir Interaction”
2012 IACSIT Coimbatore Conferences IPCSIT Vol. 28 (2012) © (2012) IACSIT Press, Singapore
[7] Heydari, M.M. and Mansoori, A. (2011).Dynamic Analysis ofDam-Reservoir Interaction inTime
Domain. World Applied Sciences Journal 15 (10): 1403-1408, 2011, ISSN 1818-4952 © IDOSI
Publications, 2011
[8] Chopra, A.K., (2012) .Dynamics Of Structures: Theory and Applications to Earthquake Engineering.
6th Edition, Prentice Hall.
[9] Mansouri, A. And Rezaei, R. (2010) .Considering Dynamic Analysis Results of Interactions between
Concrete Dams and Reservoirs in Time Domain and Frequency Domain for Choosing the Optimal
Model. European Journal Of Scientific Research ISSN 1450-216X Vol.46 No.4 (2010), Pp.604-615 ©
Eurojournals Publishing, Inc. 2010 Http://Www.Eurojournals.Com/Ejsr.Htm
[10] Bakenaz A. Zeidan (2013)” “Seismic Dam-Reservoir Interaction of Concrete Gravity Dams” 9th
Symposium of ICOLD European Club IECS2013, 10-12 April, Italy.
[11] Bakenaz A. Zeidan (2013)” “Hydrodynamic Analysis of Concrete Gravity Dams Subjected To
Ground Motion” 9th Symposium of ICOLD European Club.
[12] Millan, M. A., Young, Y. L. and. Prevost, J. H. (2007) “ The Effect of Reservoir Geometry
on the Seismic Response of Gravity Dams”, Earthquake Eng. Struct. Dyn. 2007; 36:1441–1459.
[13] Fenves, G., And Chopra, A. K.,(1985) .Effects Of Reservoir Bottom Absorption And Dam-Water-
Foundation Rock Interaction On Frequency Response Functions For Concrete Gravity Dams.
Earthquake Engineering &Structural Dynamics, Vol. 13, 1985, Pp. 13-31.
[14] Hamidian, D., Seyedpoor, S.M. And Salajegheh, J. (2013). An Investigation Of Dam-Water-
Foundation Rock Interaction Effects On Linear And Nonlinear Earthquake Response Of Concrete
Arch Dams” Asian Journal Of Civil Engineering (BHRC) VOL. 14, NO.1 Pp:111-122
[15] L. Khan Mohammadi, J. Vaseghi Amiri, B. Navayi Neya , M. Davoodi (2009) “Evaluation Of
Eulerian And Lagrangian Method In Analysis Of Concrete Gravity Dam Including Dam Water
Foundation Interaction” World Academy Of Science, Engineering And Technology 34 2009.
[16] Shiva Khosravi 1 And 2Mohammad Mehdi Heydari (2013) “Modelling Of Concrete Gravity Dam
Including Dam-Water-Foundation Rock Interaction” World Applied Sciences Journal 22 (4): 538-546,
2013- ISSN 1818-4952- © IDOSI Publications, 2013- DOI: 10.5829/Idosi.Wasj.2013.22.04.551
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[17] Rajib Sarkar, D.K. Paul And L. Stempniewski (2007) “Influence Of Reservoir And Foundation On
The nonlinear Dynamic Response Of Concrete Gravity Dams”ISET Journal Of Earthquake
Technology, Paper No. 490, Vol. 44, No. 2, June 2007, Pp. 377–389.
[18] Z. Heirany and M. Ghaemian (2012) “The Effect of Foundation’s Modulus of Elasticity on Concrete
Gravity Dam’s Behavior” Indian Journal of Science and Technology, Vol. 5 No. 5
[19] Singh, B. and Agarwal, P. (2009) “Seismic Response of High Concrete Gravity Dam Including Dam-
Reservoir-Foundation Interaction Effect” J. South Aisa Disaster Studies, Vol.2 No.2.pp:41-57.
[20] Burman, A., Reddy, B. V. and Maity, D. (2008) “Seismic Analysis of Concrete Gravity Dams
Considering Foundation Flexibility and Nonlinearity”, The 12th International Conference of
International Association for Computer Methods and Advances in Geomechanics (IACMAG) October,
2008 Goa, India.
100m Reservoir
m Dam
150m 150m
150m Foundation
400m
Figure 1: Dam-Reservoir-Foundation System
Figure 2: Finite Element Mesh for dam-reservoir-foundation model
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Figure 3: Horizontal Acceleration record of the El-Centro earthquake
Figure 4: Time History for Horizontal Crest Displacement for cases 1,

2 and 3.
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Figure 5: Time History for Horizontal Dam Heel Displacement for
cases 2 and 3.
Figure 6: Time History for Hydrodynamic Pressure at dam base for

case3
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Figure 7: Time History for Hydrodynamic Pressure at depth of 80m
for case3
Figure 8: Time History for Hydrodynamic Pressure at depth of 50m

for case3
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Vibration model tests on the seismic characteristics of raised fill dams

2(14pt) H. Tagashira, Y. Hayashida, S. Kuroda & S. Masukawa

Incorporated Administrative Agency National Agriculture and Food Research Organization (NARO)
National Institute for Rural Engineering (NIRE), Tsukuba, Japan
tagataga@affrc.go.jp
ABSTRACT:
Dynamic centrifuge model tests and 1g shaking table model test were carried out in order to
investigate the seismic characteristics of raised fill dams. Four types of dam body model were
made: one was an existing dam, another was a trapezoidal embankment made of the raised new
dam body material, another was a raise fill dam without the middle layer (transition layer) on the
existing dam body, and the other was a raised one with the middle layer. They were made of No.6
silica sand with 5% of water content and three kinds of relative density: 50% for the existing dam
body, 75% for the middle layer and 95% for the raised new dam body. Five sine waves with
maximum acceleration of 100, 200, 300, 400 and 500 cm/s2 were input in order. As a result, the
following characteristic phenomena were recognized; larger settlement at the raised new dam body
crest than that at the existing dam body crest, horizontal displacement of the raised new dam crest
toward the existing dam crest, local intense change of displacement and acceleration amplification
ratio at the boundary between the two dam bodies or at the middle layer, and the possibility of the
middle layer function in the reduction of response acceleration.
.
Keywords: Raised fill dam, Seismic characteristics, Centrifuge model test, 1g shaking table test
1. INSTRUCTION
Heightening of a dam is an effective means for recovery or increasing of the active storage
capacity at low cost and at relatively low environmental burden. In the case of raising of
fill dams, the newly raised part usually has higher rigidity than the existing one because of
the differences in embankment material and compaction method. The difference in rigidity
between the two parts is expected to cause the distinct behaviors in earthquakes from
unraised fill dams to raised ones. They are not sufficiently clarified, though a few studies
by numerical analysis (Tani et al., 2009) were carried out. In addition, the seismic effect of
the middle layer, or transition layer, on the existing part, intended to suppress the local
II - 241
rapid material property change, is not fully understood either. The purpose of this paper is
to elucidate the seismic characteristics of raised fill dam with particular focus on the effect
of the middle layer using vibration model tests.
2. VIBRATION MODEL TESTS PROCEDURE
2.1. Selection of dam type
The heightening design of a fill dam can be categorized by the positional relationship of
the two dam axes into three types: one is the design in which the dam axis of the raised
dam body is downstream of that of the existing dam body, another in which the former is
upstream of the latter, the other in which both the axes almost coincide with each other. In
this research, homogeneous earthfill dam of the first type was selected as the examination
target, taking into consideration that many of the aged fill dams consisted of a generally
homogeneous soil material and that the type was often adopted in the raising of water
utilization dams because of its advantage that the reservoir operation could be made during
the construction work.
The existing part, the raised part except the middle layer, and the middle layer of a raised
fill dam are reffered as "Zone Ⅰ", "Zone Ⅱ", and "Zone Ⅲ"), respectively hereafter.
2.2. Centrifuge model test
2.2.1. Specifications of the centrifuge

The centrifuge of beam type equipped with a swing up platform was used in this research.
The arm radius was 2.60 m for dynamic test. The excitation apparatus had a shaking table
of 700 mm long and 400 mm wide and could provide a maximum amplitude of ±3.0 mm, a
maximum dynamic acceleration of 25 g, a maximum shaking force of 118 kN, and a
maximum frequency of 400 Hz. The model container was shaken in the direction
perpendicular to the rotation plane, in other words, in the vertical direction. Acrylic resin
plates were fitted and fixed to the one side of the aluminum sidewall of the container so
that we may watch and take pictures of the side face of a model.
2.2.2. Model geometries

Four kinds of models shown in Figure 1 were constructed. All of them have the crest
length of 295 mm. The slope gradients are set to 1:1.5 at the upstream and the downstream
sides, which is considerably steep for fill dams, in order the deformation by shaking to
become larger. The ratio of the height of Zone Ⅱto that of Zone Ⅰ was 1.25. Case 1
simulated an existing fill dam. Case 2 corresponded to a new dam with the same height as
Zone Ⅱ. Case 3 and Case 4 had the same outer shape and imitated a raised fill dam
without Zone Ⅲ and one with Zone Ⅲ respectively.
All models consisted of No.6 silica sand with the density of soil particle of 2.653 g/cm 3,
the coefficient of curvature of 2.11, the particle size at 50% accumulated weight of 0.324
mm, and 5% of water. The minimum and maximum densities Obtained from the minimum
and maximum densities test of sands were 1.384 g/cm3 and 1.666 g/cm3 respectively.
Three kinds of relative density were prepared: 50% for Case 1 and Zone Ⅰ in Case 3 and
Case 4, 75% for Zone Ⅲ and 95% for Case 2 and Zone Ⅱin Case 3 and Case 4.
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Accelerometer
45 Laser displacement sensor
Image analyzed area
【Case 1】 30
30
30
240
30
1.5 1.5
1 1 120
A
765
45 （Unit: mm)
45
0 30
【Case 2】 30
30
30
300
30
30
1.5 1.5
1 B 120 1
945
45 （Unit: mm)
45
【Case 3】 30
0 30
30
30
300
30
Zone Ⅱ
240
1.5 30
1 1.5 1.5
45 45 45
Zone Ⅰ A 1 B 120 1
765 225
45 （Unit: mm)
45
【Case 4】 30
0 30
30
30
300
Zone Ⅱ 30
240
1.5 30
1 45 45 45 45 45 90 1.5 1.5
Zone Ⅰ 1 1
Zone Ⅲ A C B 120
765 175
50
15 （Unit: mm)
15
【Case 5】
N1 20
O1 N2 20
Zone ⅡN3
100
O2 20
80
1.5 O3 1.5 N4 1.5

1
Zone Ⅰ A 1 B’ 120 1
255 75
（Unit: mm)
（*) Dr : 50 % for A, 95 % for B, 100 % for B’, 75 % for C
Case 1~4: for centrifuge test Case5: for 1g shaking table test
Figure 1. Outline of models
2.2.3. Input motion and measurements

All models were consolidated and shaken at a 60g gravitational acceleration field. They
were subjected to similar input motion as shown in Figure 2 along the upstream and
downstream direction, which was a sine wave of 1.5Hz (converted value into a 1g field)
and 16 cycles with front and rear taper waves of 1.5 cycles. In each case, the input motion
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600
Acceleration (cm/s2)
400
200
0
-200
-400
-600
0 5 10
Time (s)
(a) Target input motion
600
Acceleration (cm/s2)
400
200
0
-200
-400
-600
0 5 10
Time (s)
(b) Observed input motion
Figure 2. Example of input motion for centrifuge tests (converted into a 1g field)
was set 100, 200, 300, 400, 500 cm/s2 (converted values into a 1g field) incrementing in
order, and the test was finished without switching to the next acceleration level if a slip
occurred in the model.
The response during shaking of the acceleration in the upstream and downstream direction
and the vertical displacement at the crests were monitored at an interval of 5 ms (converted
value into a 1g field). The transducers were installed as shown in Figure 1. After shaking at
each acceleration level, a picture of the one side of the model on the acrylic resin plates
was taken for later use in the displacement measurement by image analysis with CCIP
method (Ueno et al., 2000). Each model was cut and the outline of the central cross section
was sketched after the test finishing.
2.3. 1g shaking table test
A 1g shaking table test was performed in order to complement centrifuge tests. Centrifuge
tests have the large advantage of simulating the stress levels in real dams but have the
disadvantages that they cannot satisfy the similarity laws on the soil grain size, that they
have some difficulties in the visual inspection because of their small size and that the
number of the monitoring points is decreased by their spatial restriction. On the other hand,
1g shaking table tests are free from the problems, though they have the demerit of low
stress level.
2.2.1. Specifications of the apparatus

A triaxial shaking table of 6 m long and 4 m wide was used. In this test, the model was
shaken only in one horizontal direction. The apparatus could provide a maximum
amplitude of ±15.0 mm in the horizontal directions and a maximum frequency of 40 Hz.
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The horizontal maximum dynamic acceleration ranged from 0.5 g with a maximum load (=
50t) to 1.0 g without load.
2.2.2. Model geometries, input motion and measurements

The model for this test is shown in Figure 1. It had the cross section similar to that of Case
3 and the crest length of 400cm. The input motion was a sine wave of 10 Hz and 290
cycles with front and rear taper waves of 5 cycles. The other shaking procedures were
similar to the above centrifuge tests. The vertical displacement and horizontal displacement
in the upstream and downstream direction were monitored at an interval of 2 ms by the
transducers installed as shown in Figure 1. The model was cut and the outline of the central
cross section was sketched after finishing the test.
3. RESULTS
3.1. Deformation
Figure 3 shows the final deformed models for all cases. Slips occurred at the maximum
acceleration level of 400 cm/s2 in Case 1, Case 3 and Case 4, and at that of 500cm/s2 in
Case 2 and Case 5. In Case1 and Case 2, slips appeared in both slopes and the destruction
forms of the models were almost similar to each other. On the other hand, a slides occurred
only in Zone Ⅰ with its top being at the crest in Case 3~5, which simulated raised fill
dams.
While many cracks other than the slip line were recognized in Case 5, no cracks could be
found out in the other cases. It is thought that one of the reasons for this was the fact that
the distance between the lighting incandescent lamp and the model was short and the
surface area was heated and dried by the lamp in the centrifuge tests.
In Case 3~5, the boundary between the zones bent toward Zone Ⅰ in the upper area. The
curvature amount of the line in Case 4 was smaller than that in Case3. It indicates that
Zone Ⅲ might reduce the displacement near the boundary area. The low stress level in
Case 5 is considered to be the reason that the bending amount of the borderline in Case 5 is
smaller than that in that in Case3.
3.2. Response Displacement

Figure 4 shows the measured vertical displacements at the centers of the crests in the
centrifuge tests, converted into a 1g field. While the subsidence amount rose steeply and
became unmeasurable at the maximum acceleration level of 400cm/s2 in Case 1, those on
Zone Ⅰ in Case 3 and in Case 4 were smaller than that in Case 1. It means that the
heightening of a fill dam might decrease the settlement in Zone Ⅰ. It is consider that Zone
Ⅱ and Zone Ⅲ acted as a counterweight fill. The settlement on Zone Ⅱ was larger than
that on Zone Ⅰ in both Case 3 and Case 4. It is believed that the long distance from the
bottom to the crest of Zone Ⅰ and the sudden decrease of the sectional width at the Zone
Ⅰ crest level caused large vibration and deformation in the top area of Zone Ⅱ. From the
comparison between Case 3 and Case 4, it seems that Zone Ⅲ has the function of making
the settlement at Zone Ⅰ crest smaller and that at Zone Ⅱ one larger.
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Initial shape
Shape after all shakings
【Case 1】
Slip line Slip line
【Case 2】
Slip line Slip line
【Case 3】
Slip line
【Case 4】 Thin layer of colored sands
Slip line
【Case 5】 Crack
Slip line
Figure 3. Deformation of the central cross section
① Case 1 ③ Zone Ⅰ in Case 3 ⑤ Zone Ⅰ in Case 4

② Case 2 ④ Zone Ⅱ in Case 3 ⑥ Zone Ⅱ in Case 4
→ Up
20
100cm/s2 200cm/s2 300cm/s2 400cm/s2
0
displacement (cm)
-20
⑤
-40 ③
④
-60 ① ②
⑥
Down ←
-80
0 15 15 15 30 15 45 15 60
Time (s）
(*) The values in this figure shows the maximum input
acceleration level.
Figure 4. Observed vertical displacement at the crests in the centrifuge tests

(converted into a 1g field)
II - 246
Figure 5 and Figure 6 show the histories of the vertical and lateral displacements in the 1g
shaking table test. Moving averages for 100 data are plotted in the figures because of the
large fluctuation in a short period. The disappearance or dramatic change of the lines at the
maximum acceleration level of 500 cm/s2 means the rapid movement or removal of the
target plate for the laser displacement sensor caused by the occurrence of a slip or a crack.
In Figure 5, the settlements at all observation points increases gradually from the beginning
but decreases from the middle of the maximum acceleration level of 50 cm/s2. The target
plate mounted an inserting plate to the model surface on the rear face. It is supposed to that
there was a weak point in the integration property of the target and the surrounding soils
due to the very low lateral confining pressure, which is supported by the fact that the
fluctuation of the vertical displacement was much larger than that of the horizontal one.
Turning our attention to Figure 6, it is noted that the crest on Zone Ⅱ (N1) slightly moves
toward Zone Ⅰ side.
① O1 ② O2 ③ O3 ④ N1 ⑤ N2 ⑥ N3 ⑦ N4
→Up
5
4 50cm/s2 100cm/s2 200cm/s2 300cm/s2 400cm/s2 500cm/s2
3 ① ①,③ ②
③
displacement (mm)
2
1
0 ⑥
-1 ②
-2 ④,⑤,⑥
⑤
-3 ⑦
-4 ④
Down←
-5
0 30 30 30 60 30 90 30 120 30 150 30 180
Time (s）
(*) The values in this figure shows the maximum input acceleration level.
Figure 5. Observed vertical displacement in the 1g shaking table test

→ Zone Ⅱ side
① O1 ② O2 ③ O3 ④ N1 ⑤ N2 ⑥ N3 ⑦ N4
5
4 50cm/s2 100cm/s2 200cm/s2 300cm/s2 400cm/s2 500cm/s2
⑥
displacement (mm)
3 ①,②,③ ①
2
1 ② ⑦
⑤
0
④
-1
-2 ③
⑤,⑥,⑦
ZoneⅠ side ←
-3
-4
-5
0 30 30 30 60 30 90 30 120 30 150 30 180
Time (s）
(*) The values in this figure shows the maximum input acceleration level.
Figure 6. Observed horizontal displacement in the 1g shaking table test
3.3. Response acceleration

The observed acceleration data were corrected by the parabolic method. Figure 7 plotted
the distributions of acceleration amplification ratio at the vertical line to the crest. The
II - 247
1
(H / height of Zone Ⅱ)
Input acceleration
Normalized height
0.8
level (cm/s2)
0.6 100
200
0.4 300
400
0.2
0
0 1 2 3
Amplification ratio
(a) Case 1
1
Input acceleration
Normalized height
0.8
level (cm/s2)
0.6 100
200
0.4 300
400
0.2 500
0
0 1 2 3
Amplification ratio
(b) Case 2
Vertical line to Zone Ⅰ crest Vertical line to Zone Ⅱ crest

1 1
(H/ height of Zone Ⅱ)
(Zone Ⅱ)
Normalized height
0.8 0.8 Input acceleration

Normalized height
level (cm/s2)
0.6 0.6 100
（Zone Ⅰ) 200
0.4 0.4 (Zone Ⅰ) 300
400
0.2 0.2
0 0
0 1 2 3 0 1 2 3
Amplification ratio Amplification ratio
(c) Case 3
Vertical line to Zone Ⅰ crest Vertical line to Zone Ⅱ crest

1 1
(H/ height of Zone Ⅱ)
(Zone Ⅱ)
Normalized height
0.8 0.8 Input acceleration

Normalized height
level (cm/s2)
0.6 0.6 (Zone Ⅲ) 100
（Zone Ⅰ) 200
0.4 0.4 (Zone Ⅰ) 300
400
0.2 0.2
0 0
0 1 2 3 0 1 2 3
Amplification ratio Amplification ratio
(d) Case 4
Figure 7. Distributions of acceleration amplification ratio at the vertical line to the crest
II - 248
value at each maximum acceleration level is determined to be the largest one among the
amplification ratio at each cycle. While the acceleration amplification ratio, generally
speaking, increases gradually from the bottom to the top at the center in a homogeneous
dam body like Case 1 and Case 2, some monitoring points are not consistent with this
tendency in the two cases. There was the possibility of the local disturbance near the
sensors or stiffness dispersion.
The ratio in Zone Ⅱ increased rapidly from the crest level of Zone Ⅰ, which supported the
supposition about the large settlement of Zone Ⅱ in Figure 3. The decrease of the ratio in
Zone Ⅲ in Case 4 indicates the possibility of the response acceleration reducing function
of Zone Ⅲ, though careful attention should be paid to the influence of the local disturbance
and stiffness dispersion mentioned above.
3.4. Displacement Distribution

Figure 8 and Figure 9 show the displacement distribution near the boundary after all the
shakings obtained from image analysis in Case 3 and Case 4 respectively, converted into a
1g field. The analyzed areas are shown in Figure 1. It is clear that the local change at the
boundary is more remarkable in the upstream and downstream direction than in vertical
-36 -30
-24
-18
-12
-12
-6
Down Up
-42 0 (cm)
Vertical line to Zone Ⅱ dam axis
(a) Vertical displacement
12
-24
-18 6
-12 -6
0
Zone Ⅰ side Zone Ⅱ side
-30 18 (cm)
(b) Horizontal displacement
Figure 8. Distributions of displacement in Case 3
II - 249
-36
-30
-24
-18
Down Up
-42 -14 (cm)
(a) Vertical displacement
-30 -24 36
-18 -12 30
24
-6
0 6 12 18
Zone Ⅰ side Zone Ⅱ side

-36 42
(b) Horizontal displacement
Figure 9. Distributions of displacement in Case 4
direction and that the settlement in the upper part of Zone Ⅱ is not symmetrical with the
dam axis face as a center but larger in the Zone Ⅰ side than in Zone Ⅱ side except the
slope surface area.
4. CONCLUSIONS
In this study, some characteristics of raised fill dams and the effects of the mille layer have
been made clear by the centrifuge tests and 1g shaking table test, namely,larger settlement
at the raised new dam body crest than that at the existing dam body crest, horizontal
displacement of the raised new dam crest toward the existing dam crest, local intense
change of displacement and acceleration amplification ratio at the boundary between the
two dam bodies or at the middle layer, and the possibility of the middle layer function in
the reduction of response acceleration, and so on. It needs further investigation with
additional tests and numerical analysis in order to solve the problems found in a part of the
measured data.
REFERENCES
Tani, S., Tsukuni, S. and Shiomi, T. (2009): Performance of a Fill Dam based on the
Performance -based Design Concept and Study of a Seismic Retrofitting Method,
Soils and Foundations, 49:6, pp. 841-851. Japanese Geotechnical Society, Tokyo,
Japan.
Ueno, K., Takashima, S. Mochizuki, A. and Ma, X. (2000): Measurement of Displacement
Filed of Sand by Image Processing, Journal of Geotechnical Engineering, 666:Ⅲ-3,
pp. 339-344. Japan Society of Civil Engineers, Tokyo, Japan. (in Japanese)
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Evaluating the Drainage Condition on Seismic Behavior of Dam

Nima Tavakoli Shirazi

Msc Civil Engineering, Department of Civil Engineering, International Campus of university of Sistan and
Baluchestan, Chabahar, Iran
nima.tavakoli@gmail.com
Mahdi Azhdary Moghadam

Associate Professor, Department of Civil Engineering, Faculty of Engineering, University of Sistan and Baluchestan
Zahedan, Iran
ABSTRACT:
The paper presents a numerical analysis of the influence of the water skeleton interaction on the
response of earth dams to seismic loading. Analysis is conducted by finite difference modeling of
the earth dam using the software FLAC3D. Analysis is first conducted for a simple case which
concerns the elastoplastic behavior and drained condition of the dam. It corresponds to the
response of the dam before water filling. Also analysis is conducted under undrained condition
which corresponds to a simplified analysis of the response of the dam. This analysis does not
provide the variation of the pore water pressure it constitutes a first stage of the analysis of the
seismic response of the dam in total stresses.
Keywords: earth dam, drainage condition, seismic behavior
1. INTRODUCTION
Dams and reservoirs located near urbanized areas represent a potential risk to the
downstream population and property in the event of uncontrolled release of the reservoir
water due to earthquake damage. The first failure of a dam due to earthquake reported in
the literature is Augusta Dam, GA, during the 1886 Charleston, SC earthquake.
Worldwide, fewer than 30 dams have failed completely during earthquakes [1]. There are
more than 75,000 dams of all sizes listed in the U.S. National Inventory of Dams [2] and
thousands of large dams have been built worldwide. Hence, the record may appear
outstanding. However, except for several well-known cases, few dams have been tested by
ground motion equivalent to their Design Basis Earthquake [3]. Conversely, a few dams
have experienced significant damage under moderate shaking. Performance data and
detailed references regarding the approximately 400 dams that have been subjected to
significant earthquake shaking are provided by USCOLD [4, 5, 1]. Several authors have
used coupled approaches to analyze the dynamic response of saturated earth structures.
II - 251
Their analyses differ in the constitutive models and in the formulation of the equations of
motion.
2. DRAINED ANALYSIS
The Mohr-Coulomb plasticity model is used for materials that yield when subjected to
shear loading. The yield criterion depends on the major and minor principal stresses. It is
largely used in engineering studies. In addition the Mohr-Coulomb parameters are usually
available for geomaterials. The failure criterion used in the FLAC3D model is a composite
Mohr-Coulomb criterion with tension cutoff.
Analysis is conducted for a simple case which concerns the elastoplastic behaviour and
drained condition of the dam. It corresponds to the response of the dam before water
filling. A static analysis is performed by elastoplastic analyses and Mohr-Coulomb model.
The results of the elastoplastic analyses provide the initial state of the dynamic analyses.
This section presents analysis of a reference example, which will be followed by a
parametric study. The reference example concerns an earth dam with a clay core
constructed on a homogeneous soil layer (Figure 1). This example is a simplified
representation of typical earth dam geometry. Geotechnical properties of the dam are
summarized in table 1. They are chosen close to references cases. The foundation material
remains elastic and is assumed to be stiff with a Young's Modulus E = 1000 MPa. The
Young's modulus of the core is equal to 40 MPa, while that of the shell is equal to 60 MPa.
The Friction angle of the shell is equal to 35°. The friction angle and cohesion of the core
are equal to 15° and 100 kPa, respectively. The frequencies of the foundation-dam system
were determined by the Fourier analysis of the free response of the dam (Figure 2). It
shows a fundamental frequency fl = 0.7 Hz; the second frequency is close to f2 = 1.4 Hz.
Figurel. Geometry of dam and the shape of zones (units in meter)
II - 252
Tablel: Properties for foundation and earth dam soils.
Parameter Units Core Shell Foundation
Dry density Kg/m3 1800 2000 2200
Young ‘s
MPa 40 60 1000
modulus
Poisson ‘s ratio --- 0.3 0.3 0.25
Elastic shear
MPa 15 23 400
modulus
Bulk modulus MPa 33 50 666
0
Friction angle 15 35 ---
0
Dilation angle 3 10 ---
Cohesion Pa 0.1e6 100 ---
Poisson ratio --- 0.3 0.3 ---
Figure2. Response spectra of design free surface motion of the dam
3. RESPONSE TO A REAL EARTHQUAKE RECORD
Analysis is conducted to a real earthquake loading, which is applied at the base of the
foundation layer as a velocity excitation. The earth dam is subjected to earthquake loading
representative of the 1999 Kocaeli earthquake in Turkey with a magnitude Mw=7.4
[19].The estimated peak velocity of this record is approximately equal to 0.40 m/sec (peak
acceleration 0.247g), and its duration is approximately equal 30 sec. The record for base
acceleration, velocity, and displacement of the input motion are shown in Figure 3. The
frequency of the major peak is equal to 0.9 Hz.
Figure 4 shows the distribution of plasticity in the dam at the peak of excitation. It can be
observed that plasticity is induced in a large part of the shell and in the lower part of the
core. The upper part of the core remains in the elastic domain. Figure 5 shows the
displacement pattern in the axis and the middle height of the dam at the maximum of
seismic excitation. It can be observed that the displacement in the axis of the dam is close
to the first mode of the dam; the variation of the displacement at the middle height shows a
sharp increase at the extremities; which could indicate the imminence of soil instability in
this area. The residual (permanent) displacement is presented in the figure 6.
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Figure 3: Kocaeli earthquake record (1999):
a) Displacement, b) Velocity, c) Acceleration, d) Spectra
Figure 4: Reference example: Distribution of plasticity in the dam (Maximum excitation)
(Vertical axis of the dam) (Middle height of the dam)

Figure 5: Reference example: displacement pattern at maximum of seismic excitation

Figure 6: Reference example: Residual displacement
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4. UNDRAINED ANALYSIS
Undrained analysis is conducted in total stresses. The shell material is assumed to be

frictional, while that of the core is assumed to be purely cohesive; the undrained cohesion
is assumed to increase with the initial effective vertical stress.
The reference example concerns an earth dam with a clay core constructed on a
homogeneous soil layer (Figure 1). Geotechnical properties of the dam are summarized in
table 2. The foundation is assumed to be stiff with a Young's Modulus E = 1000 MPa. The
Young's modulus of the core is equal to 40 MPa, while that of the shell is equal to 60 MPa.
The friction angle of the shell is equal to 35°. The core is assumed to be purely cohesive;
the cohesion is assumed to increase with the initial effective vertical stress ( ) as follows:
Eq.3
Analyses were conducted with = 0.3.
Rayleigh damping is considered with a damping ratio = 0.05
Table 2. Undrained analysis: properties of the reference example
Parameter Units Core Shell Foundation

Dry density Kg/m3 1800 2000 2200
Saturated density Kg/m3 2100 2500
2500
0
Friction angle 0 35 35
Cohesion Pa 0.3* 100 0.2e6
Young ‘s 40
MPa 60
modulus 1000
Poisson ‘s ratio --- 0.3 0.3 0.25
Elastic shear
MPa 23 400
modulus 15
5. RESPONSE TO A REAL EARTHQUAKE RECORD
Analysis is conducted for the Kocaeli earthquake record (Figure 3). Figure 7 shows the
distribution of plasticity in the dam at the peak of excitation. It can be observed that
plasticity is induced in the quasi totality of dam. The residual (permanent) displacement is
presented in figure 8. It shows that the seismic loading induces a residual displacement in
the upper part of the dam and the extremities. The maximum of this displacement attains
0.95 m.
Figure 15 shows the displacement pattern in the axis and the middle height of the dam at
the maximum of seismic excitation. It can be observed that the displacement in the axis of
the dam increases first with the distance from the base of the dam up to a peak and then
decreases. This variation corresponds to a combination of the first and second modes of the
dam. The variation of the displacement at the middle height shows a sharp increase at the
extremities; which could indicate the imminence of soil instability in this area.
Figure 10 shows the seismic amplification of the velocity in the dam. It can be observed
that the amplification increases first with the distance from the base of the dam up to a
peak and then decreases. This variation corresponds to a combination of the first two
modes of the dam. Figure 11 shows a comparison between the response spectra of the dam
and the spectra of the input motion. It can be observed that the peak of the dam response
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occurs at the frequency f = 1.35 Hz which is close to the second frequency of the dam. A
less pronounced peak appears at the frequency f =0.64 Hz.
Figure 7: Undrained analysis, reference example: plasticity induced by the seismic loading

Figure 8: Undrained analysis, reference example: Residual displacement

Figure 9: Undrained analysis: displacement pattern at the maximum of the seismic excitation

Figure 10: Undrained analysis: seismic amplification of the velocity
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Figure 11: Undrained analysis: spectra of the dam response to Kocaeli earthquake record
6. COMPARISON OF DRAINED AND UNDRAINED ANALYSES

Figure 31 shows a comparison of the velocity amplifications in the axis of the dam
between the drained and undrained analyses of the dam subjected to Kocaeli earthquake
record. It can be observed that the amplification of the tow responses are very closes,
except near the top of the dam, where the amplification of the response to drained analyses
is higher than that due to undrained analyses. Both of the responses correspond to a
combination of the first and second modes, but the contribution of the second mode seems
to be more important in the case of the undrained response. Figure 13 shows analysis of the
response spectra of the dam to drained and undrained analyses. It confirms that the peak of
the response of the dam to drained and undrained analyses occurs at the frequency f = 1.35
Hz, which is close to the second frequency of the dam (f= 1.40 Hz).
Figure 12: Comparison of the drained and undrained analyses seismic amplification to the dam
subjected to the Kocaeli earthquake record
Figure 13: Comparison of the drained and undrained analyses spectra of the seismic response at the
top of the dam ( Kocaeli earthquake record)
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7. CONCLUSIONS
This paper included analysis of the seismic behaviour of earth dams in considering the
presence of the water phase. It corresponds to a more realistic analysis. Analysis was first
conducted under drained condition. It corresponds to the response of the dam before water
filling. Then, analysis was conducted under undrained condition. This response
corresponds to the rapid response of the dam in neglecting the water flow in the core. This
analysis is conducted in total stresses; it does not provide the pore pressure evolution.
Undrained analysis showed that both the Kocaeli and Tabas earthquake input motion
induce plasticity in the quasi totality of the dam. They induce an important soil
displacement and velocity near the lateral extremities of the dam, which could indicate the
imminence of instability in this area. Comparison of the drained and undrained analyses
shows that the amplification of the drained and undrained response is moderately higher
and the contribution of high modes to the drained and undrained response is more
important. This result indicates that the drained and undrained analysis could lead to an
overestimation of the natural frequency of the dam, because of the overestimation of the
dam stiffness.
REFERENCES
[I] USCOLD (U.S. Committee on Large Dams), 2000. "Observed Performance of Dams
during Earthquakes," vol. II, Committee on Earthquakes, October, Denver, CO.
[2] U.S. Army Corps of Engineers. 1989.National Inventory of Dams (NID), April 2000,
pdate, U.S. Army Corps of Engineers, Washington, D.C.
[3] USCOLD (U.S. Committee on Large Dams). 1999. "Updated Guidelines for
Selecting Seismic Parameters for Dam Projects," Committee on Earthquakes, April,
Denver, CO.
[4] USCOLD (U.S. Committee on Large Dams). 1984. "Bibliography on Performance of
Dams during Earthquakes," compiled by Philip Gregory, University of California,
Berkeley
[5] USCOLD (U.S. Committee on Large Dams), 1992b. "Observed Performance of Dams
during Earthquakes," Committee on Earthquakes, July, Denver, CO.
[6] Aubry D, Modaressi H. Un modele de sols sature's en dynamique non line'aire. Revue
Franchise de Ge'otechnique 1989;46:43-75.
[7] Ichihara K. Review of the predictions for model 1 in the VELACS program. In:
Arulanandan K, Scott RF, editors. Verification of numerical procedures for the
analysis of soil liquefaction problems. Rotterdam: Balkema; 1994. p. 1353-68. ISBN
90 5410 360 4.
[8] Lacy SJ, Pre'vost JH. Nonlinear seismic analysis of earth dams. Soil Dynamics and
Earthquake Engineering 1987;6(l):48-63.
[9] Muraleetharan KK, Mish KD, Arulanandan K. A fully coupled non linear dynamic
analysis procedure and its verification using centrifuge test results. Int J Numer Anal
Meth Geomech 1994;18:305-25.
[10] Nova R, Hueckel T. A unified approach to the modeling of liquefaction and cyclic
mobility of sands. Soils and Foundations, vol. 21(4). Japanese Society of Soil
Mechanics and Foundation Engineering; 1981. p. 13-28.
[II] Pre'vost JH. DYNA1D a computer program for nonlinear seismic site response
analysis. Technical Report of National Center for Earthquake Engineering Research,
Buffalo, New York, Report NCEER-88-0025; 1988.
[12] Popescu R, Pre'vost JH. Numerical class A predictions for models No. 1, 2, 3, 4a, 4b,
6, 7, 11 and 12. In: Arulanandan K, Scott RF, editors. Verification of numerical
II - 258
procedures for the analysis of soil liquefaction problems. Rotterdam: Balkema; 1994.
p. 1105-28. ISBN 90 5410 360 4.
II - 259
APPLICATION OF SIMPLE HYDROLOGIC MODEL
FOR RECALCULATING WATER BALANCE OF
CACABAN DAM IRRIGATION SYSTEM 1
Sukirno
Staff member at the Faculty of Agricultural Technology, Gadjah Mada University, Yogyakarta.
sukirnosiswo@yahoo.com
Sahid Susanto
Staff member at the Faculty of Agricultural Technology, Gadjah Mada University, Yogyakarta.
s_susanto@ugm.ac.id
ABSTRACT
Simple hydrologic model of Mock is basically of rainfall-run-off model containing three tanks
arranged in vertical position. Six parameters in the model were analyzed by trial and error. The
aim of study was focused in application of the model to recalculate water balance at Cacaban dam
irrigation system. Cacaban system located at Central Java was constructed mainly for supplying
water to irrigate 6628 ha of land. The period year of 2007-2008 was used for the application of the
model to predict water availability at the dam and water demand for irrigation was calculated
based on various cropping pattern.
The result shows that the model can perform well. In order to prove that values of parameter model
has correlation with land use pattern, the model was also applied at the upper watershed of
Sempor and Wadaslintang dam for comparation. Forest area was used as variable of comparation.
The result prove that the parameter of the model is in line with occupation of forest area.
Application of hydrologic model for calculating water balance at Group-1 with the first planting
season at the second week of October prove that the ability of Cacaban Dam to supply water on
irrigation system yearly was not enough
Key words: hydrologic model, water balance, water demand for irrigation
1. INTRODUCTION
Cacaban dam irrigation system is located at Tegal district Central Java Province (Figure
1). The dam is the strategic asset that play a crucial role in providing water for supplying
water irrigation (to irrigate 7439 ha of land), flood control and fisheries. Total area of the
upper watershed of Cacaban dam is 60.66 km2 . Storage capacity of the dam is 90 million
m3 .
The current condition, land degradation in the upper area of the dam has increased. The
degradation caused by excessive farming activity. Sedimentation flowing from the upper
watershed to the dam has increased significantly and it’s cause the water storage capacity
of the dam become decreasing. In the same time, water demand for irrigating land is
1
This paper is to be presented at the 82th Annual Meeting of International Commissions on Large Dams
(ICOLD) on June 1-6, 2014 at Bali Nusa Dua Conference Center, Bali
1
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getting high especially in the second planting date (PD-2) where the season is moving from
the wet season to the dry season and in the third planting date (PD-3) in dry season.
Using high variety of rice by the

farmers with shorter age and
higher water consumptive use
comparing the usual variety of
rice gives contribution in
increasing water demand of
irrigation. Therefore, recalcu-
lation of water balance of the
Cacaban dam irrigation system
is needed. The aim of study was
focused in application of the
model to recalculate water
balance at the Cacaban dam.
Figure 1. Location of Cacaban Dam
2. METHOD
2.1. The Model Structure
Simple hydrologic model of Mock was used to recalculate water balance at Cacaban dam.
The model is basically of rainfall-run-off model that containing three tanks (Mock, 1973).
The model contains six parameters. Those are infiltration in rainy season (ICw), infiltration
in dry season (ICd), initial soil moisture (ISM), soil moisture capacity (SMC), initial
groundwater storage (IGWS), and groundwater recession constant (K). The model does not
installed instrument for optimizing parameter model. Therefore trial and error approach is
applied in the optimization process (Nurrochmad, 1998). Graphical and simple statistical
measures (correlation coefficient and volumetric error) are used to prove the model
performance. Calibration and verification is needed to know model performance
(Linard.et.al., 2009). Figure 2 shows the model structure.
P AET = CF x Eto GWS = 0.5x(1+k)xI+(kxIGWS)

ER = P - AET IGWS = GWSI-1
AET WS = ER - ∆SM BF = I - ∆S
ISM = SMI-1 ∆S = GWS - IGWS
I = IC x WS QTot = DRO + BF
Where:
P = rainfall (mm)
CF = crop factor
Eto = potential evapotranspiration (mm)
WS DRO (WS-I) AET = actual evapotranspiration (mm)
∆SM ER = excess rainfall (mm)
SMC DRO = direct runoff (mm)
ISM ∆S = change of ground water volume
∆SM = change of soil moisture (mm)
SMC = soil moisture capacity (mm)
ISM = initial soil moisture (mm)
WS = water storage (mm)
I IGWS = initial ground water storage
∆S GWS = ground water storage (mm)
GWS IC = infiltration coeficient
IGWS BF = base flow
BF=I-∆S I = Infiltration
Figure 2. Structure of simple hydrologic model of Mock

2
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2.2. Calibration and verification
One years monthly basis was applied for calibration and verification process to get
optimum value of parameters model. Accuracy of model performance was calculated
statistically using correlation coefficient (R) and volumetric error (VE). Scater and time
series diagram were also applied to describe optimal model performance.
2.3. Recalculating water balance
Calculation of water balance in the dam is used with following simple formula (Xi-Bin Ji,
et al., 2007):
Ii = Vi – Vi -1 + Oi + Pi + Ei + Lpi – Hi ............................................................... (1)
Water storage in i period is calculated by:

Vi = Vi -1 + Ii + Hi - Pi - Ei - Lpi - Oi ................................................................ (2)
Where:
Ii : discharge inflow in i period Pi : percolation in reservoir inundation
Vi : water reservoir volume in i period in i period
Vi -1 : water reservoir volume before i period Ei : evaporation in i period
Oi : water supply in irrigation area from the Lpi: excess water on spillway in i period
dam in i period Hi : rainfall in i period
3. RESULTS AND DISSCUSSION
3.1. Calibration process of discharge inflow
Calibration and verification of the model was conducted by using monthly rainfall and
discharge data of 2007 and 2008, respectively. Table 1 shows optimal parameter of the
model from the result of calibration process with the value of correlation coefficient (R)
and error volume (EV) was 0.895 and 0.032. In verification result gave value of R and EV
was 0.833 and 0.10, respectively. Calibration and verification results proved that the model
is sensitive enough to simulate the discharge inflow flowing to the dam (Figure 3a, 3b and
Figure 4a, 4b).
Table 1. Optimal parameter result of the model from calibration process

Parameter Unit Symbol Range Upper
watershed of
Cacaban dam
Min Max Optimal
parameter
Infiltration coefficient in rainy season - CWS 0.5 1.0 0.5
Infiltration coefficient in dry season - CDS 0.5 1.0 0.7

Initial soil moisture (mm) ISM 10 100 150
Soil moisture capacity (mm) SMC 150 500 180
Initial groundwater storage (mm) IGWS 100 250 300
Groundwater recession constant - K 0.5 1.0 0.7
3
II - 262
Calibration Chart
12
10
Inflow, Q (m3/s)
8
Calculated Data Observed Data
6
4
2
0
Jan I Feb I Mar I Apr I May I Jun I Jul I Aug I Sep I Oct I Nov I Dec I
Time (half month)
Figure 3a. Time series diagram of calibration result in 2007
Verification Chart
10
8
Inflow, Q (m3/s)
Calculated Data Observed Data

6
Jan I Feb I Mar I Apr I May I Jun I Jul I Aug I Sep I Oct I Nov I Dec I
Time (half month)
Figure 3b. Time series diagram of verification result in 2008
Scatter Chart of Calibration Process Scatter Chart of Vefification Process

9
10
8
Q Calculated (m3/s)
Q Calculated (m3/s)
7 8
6
y = 0.782x + 0.464
5 6
R² = 0.802
4 y = 0.879x + 0.389
4
3 R² = 0.714
2 2
1
0 0
0 2 4 6 8 10 12 0 2 4 6 8 10
Q Observed (m3/s) Q Observed (m3/s)
(a) (b)
Figure 4. Scatter diagram of calibration (a) and verification (b) result
3.2. Application of the model in other watershed
From the hydrologic regime point of view and with assumtion that hydrological of three
upper watershed of dams have the same geological formation, especially in respon to the
ground water regime, discussion is directed to prove that dominated area of forest has
significant affect to temporary storage fungtion which can be reflected from the value of
paramater model.
Occupation of forest area at the upper watershed of dam is presented using the ratio of
forest area to total watershed area (%) in each upper watershed of dams. Table 2 shows
that occupation of forest area at the upper watershed of Cacaban dam is the highest
4
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(48.3%), followed by Wadaslintang (7.9%) and Sempor (3.7%). Meanwhile the parameter
of the model is presented in Table 3. From Table 2 and Table 3 prove that the parameter
of the model is in line with occupation of forest area.
Table 2. Land use pattern in each upper watershed of dam
upper watershed of
Land Use Cacaban dam Sempor dam Wadaslintang dam
Open cultivated 2,267 3,718 13,936

upland crop, ha (%) (37.4) (84.2) (72.4)
Forest land, ha (%) 2,931 164 1,524
(48.3) (3.7) (7.9)
Settlement, ha (%) 207 278 2,398
(3.4) (6.3) (12.5)
Water storage, 660 256 1,395
ha (%) (10.9) (5.8) (7.2)
Total (ha) 6,007 4,416 19,253
Table 3. Optimal parameter of the model in each upper watershed of dam
Parameter Unit Symbol Optimal Parameter at Upper Watershed

Cacaban Sempor Wadaslintang
dam dam dam
Area km2 A 60.66 44.15 192.53

Infiltration coefficient in rainy
- CWS 0.5 0.5 0.27
season
Infiltration coefficient in dry
- CDS 0.7 0.5 0.4
season
Initial soil moisture (mm) ISM 150 100 50
Soil moisture capacity (mm) SMC 180 100 140
Initial groundwater storage (mm) IGWS 300 1490 1990
Groundwater recession constant - K 0.7 0.995 0.995
3.3. Application of hydrologic model for calculating of water flowing to the dam
Using the parameter of the model at upper watershed of Cacaban dam, the model was
applied to calculate water balance containing water flowing to the dam (supply) and water
demand for irrigation for the year of 2008. Figure 5 shows observed and simulated
dischard flowing to the dam and their cumulative discharge, both simulated and observed
minus releasing for irrigation.
Design water capacity of the dams is 90 million m3. The cumulative discharge simulations
is in 2008 is 60 million m3, meaning that the actual water storage capacity is less than the
designed capacity. Those facts proved that water storage capacity of the dam is able to
receive the total runoff from upper watershed of Cacaban dam. Therefore, it is reasonable
5
II - 264
that the water flowing to the spillway has never been overflow since the dam was
constructed in 1958.
Water release for irrigation
Figure 5. Observed and simulated dischard flowing to the dam
3.4. Water balance
Water balance was calculating using year of 2008. At the Cacaban irrigation system, there
are four Group of planting date with each group has three different planting season. Those
are first planting season started second week of October, second planting season started
from first week of November then followed by third planting season started from third
week of November.
Figure 6 presents an example of calculating result for the Group-1 with the first planting
season at the second week of October. It can be understood that the ability of Cacaban
Dam to supply water on irrigation system yearly was not enough. There are two period of
deficit of water (-) from the second week of October (Oct II) to second week of December
(Dec II) and from the first week of March (Mar I) to second week of July (Jul II). Surplus
(+) of water happens from the first week of December to the first week of March.
Water Balance at Planting Group 1 Year 2008

15
Water Req Water Avail. Rainfall
10
(m3/s)
(-)
5
(+) (-)
0
Apr II
Nov I
Mar I
May I
Jun II
Aug I
Dec II
Jan II
Feb II
Sep II
Oct I
Apr I
Jul I
Nov II
May II
Jun I
Sep I
Dec I
Jan I
Aug II
Feb I
Mar II
Jul II
Oct II
Figure 6. Water balance of 2008 for planting Group-1 of first planting season
6
II - 265
4. CONCLUSION AND RECOMMENDATION
4.1. Conslusion
1. Simple hydrologic model of Mock was applied at the upper watershed of Cacaban dam
to simulate water flowing into the Dam. The result show that the model was sensitive
enough to simulate water flow.
2. In order to prove that values of parameter model has correlation with land use pattern,
the model was also applied at the upper watershed of Sempor and Wadaslintang dam
for comparation. Forest area was used as variable of comparation. The result prove that
the parameter of the model is in line with occupation of forest area.
3. Application of hydrologic model for calculating water balance at Group-1 with the first
planting season at the second week of October prove that the ability of Cacaban Dam
to supply water on irrigation system yearly was not enough. There are two period of
deficit of water (-) from the second week of October (Oct II) to second week of
December (Dec II) and from the first week of March (Mar I) to second week of July
(Jul II). Surplus (+) of water happens from the first week of December to the first week
of March
4.2. Recommendation
In supply side, to optimize the function of the Dam, its need to increase water supply using
inter watershed management. In demand side, improving efficiency of water irrigation is
required.
ACKNOWLEDGEMENT
We would like to sincerely thank to the Regional Planning Agency, Tegal districk, Central
Java Province, Indonesia for supporting the research fund in the year 2009. The research
also would not be completed without supporting our coleague namely chandra and our two
undergraduated students. For that reason, our thanks is adressed for them.
REFERENCES
Linard, Joshua I. Et.al., 2009. Identifying Hydrologic Processes in Agricultural Watersheds

Using Precipitation-Runoff Models. USGS 2009.
Mock, F.J., 1973. Land Capability Appraisal Indonesia. Water Avaibility Appraisal.
Report Prepared for the Land Capability Appraisal Project. Bogor-Indonesia. ,1973.
Nurrochmad, F. et all., 1998. Optimasi Parameter Model Hujan-Aliran Mock dengan
Solver. Media Teknik No.2. Tahun XX. Mei 1998.
Sukirno, Sahid Susanto, Sri Haryono and Noviana Miming., 2010. Recalculating Water
Balance Of Cacaban Dam System. Proceeding of the 6th Asian Regional
Conference of International Commission on Irrigation and Drainage (ICID), 10-16
October 2010, Yogyakarta, Indonesia
Xi-Bin Ji, Er-Si Kang , Ren-Sheng Chen , Wen-Zhi Zhao, Zhi-Hui Zhang and Bo-Wen
Jin, 2007. A mathematical model for simulating water balances in cropped sandy
soil with conventional flood irrigation applied. Agricultural Water Management,
Volume 87, Issue 3, 16 February 2007, Pages 337-346
7
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Reviewing necessity of consolidation grouting in Foundation of Roudbar

Lorestan Earth core Rock Fill Dam
Ali Azin: M.sc in engineering geology and expert in grouting

Head of grout group in Sakoo Consultant Engineer
Email: azin_ali_55@yahoo.com
Abstract:
Roudbar Lorestan as an earth core rockfil dam (ECRD) is being constructed on "ALKAN River" located in
southwest of Iran. It is 156m high. Length of crest is 185 m, and volume of reservoir is 228 million cubic m .it
is the first earth core rockfil dam in Iran that is constructing in narrow valley with sleep around79°.the
Roudbar Dam axis Foundation was formed by Dolomitic Lime stone their bedding dipping in
nearly vertical and the bedding strike parallel to dam axis which have the most optimum condition
related to strata formation conditions for dam sealing this bedding have regular thick to medium
thickness containing fine to medium texture without porosity .these conditions make the stone block
have a high compressive strength and low permeability. The results of Lugeon tests show that more
than 50% of water behavior in rock is laminar flow. This show that most joints have opening less
than 0.2mm.result of trial grouting of 20m depth inside layers reveals that the cement take is less
than 10kg/m.According to rock samples from dam axis shows that uniaxial compressive strength is
70 Mpa and internal friction angle is at Least 35. Whereas most strata and discontinuities are
vertical therefore massive rock behaves like a vertical beam with high strength and low
deformability and inside such a structures bobble stress have the least transversal spreading and
only negligible part of foundation will be affected besides foundation and abutment in axis zone
consist of weathered rock class WI,WII.Foundation ultimate bearing capacity is about 65
Mpa.cement take is less than 10kg/m.Therefore consolidation grouting is not economical.
Keyword: consolidation grouting, foundation, ultimate bearing capacity, compressive strength
Introduction
Roudbar Lorestan dam axis has formed of lime-Dolomitic stones. The rocks dip is more or
less vertical and its direction is parallel to dam axis. This formation of layer has made the
best conditions for dam tighting. The rock layer is regular and its thickness is high to
medium with tiny texture to medium without porosity, which belongs to Permian period.
These conditions have caused the rock mass to have high compressive strength and low
permeability. It should be mentioned three joint set with nearly vertical dip and direction
parallel to dam axis has affected the rock mass. These joints set are mainly filled by
calcium, it means the joints set have been grouted and only some fractures caused by faults
that made a hydraulic connection between upstream and downstream of dam, but Lugeon
number in fractured and fault zones locally increased. The bearing capacity of Roudbar
dam foundation is about 65 Mpa which is very higher than recommended amount. In figure
1 dam layout is shown.
II - 267
Figure 1 Roudbar Dam Layout
Rock geomechanical parameters
Discontinuities have a rough surface; therefore, it cause more friction against water flow.
Site investigations shows that more than2/3 of discontinuities have negligible opening and
nearly is zero. According to results of rock samples from dam axis, uniaxial compressive
strength is about70 Mpa, internal friction is at least 35 degree. Since the most layers and
discontinuities are vertical, therefore rock mass acts as a high strength vertical beam and
deformability in such formations is low and stress bubble has the lowest transversal spread
and only a negligible part of dam foundation will be affected Gaziev&Erlekhman1971.
Calculating bearing capacity of dam foundation
According to valid recommendation the maximum bearing capacity needed for concrete
arch dam’s foundation is 10 Mpa,but for earth dams it is 1Mpa. Based on equation 1
(Goodman 1989) the ultimate bearing capacity for Roudbar dam foundation is 65 Mpa that
is higher than recommended values. As a rule of thumb, Kutzner 1996 believed if the
weathering condition of foundation rock is in WII and WI grade grouting is not needed.
tan 2 45 1
! " # $ % 20% ()*
+ ! %
Equation 1 calculation ultimate bearing capacity
The result of water pressure tests (WPT)
The results of Lugeon tests show that more than 50% of water behavior in rock mass is
linear flow. It shows that most joints have the opening less than 0.2 mm.The result of
Lugeon tests show the Lugeon value on river bed is 6,in left abutment is 22 and right
abutment is 35.
II - 268
The results of trial grouting
The results of trial grouting in phase II studies in borehole TG-1,TG-2&TG-3 with 20

meter depth shows that the grout take is less than 10 kg/m.The arrangement of trial
grouting is according to figure 2 .Kutzner (1996) stated the grouting less than 30 kg/m is
not economical. Therefore we can say the consolidation grouting due to results of trial
grouting is wasting time and cost.
Figure 2 arrangement of trial grouting
Mix design of consolidation grouting
Water –cement ratio was 0.6 and 1.5% Rehobuild 1100 was used as a super plasticizer.
The grout was made by central unit and then was pumped into the borehole by I.T.P pump
that shown in figure 3. The used cement was puzzolanic cement type II with Blaine
between 4200- 4500 gr/cm2. Grout bleeding was less than 2% and viscosity was 32-34 and
grout compressive strength was more than 150kg/cm2. The boreholes in 5 to 10 meter was
grouted using ascending method that the minimum applied pressure 8 bar for 0-5 length
and for 5-20 length was maximum 12 bar. Grouting stages and mix properties is shown in
table 1 and 2. For pressure control in borehole the manometer installed above borehole.
Rate of flow in grouting after reaching to final pressure was less than 3 lit/min for 5
minute. More than 97 percent of sections were finished with rate of flow equal to zero.
Figure 3 I.T.P pump is a mono piston-type pump that used for consolidation grouting.
II - 269
Table 1 Grouting stage and related pressure
Depth range(m) P(bar)
0-5 8
5-20 12
Table 2 Grout mix properties

Grout mix properties
Cement type pozzolanic
W/C ratio 0.6
Blaine >4200cm2/gr
Viscosity(marsh cone) 32-34sec
Bleed Max2%after2h
USC 15mpa(28days)
Gelling time 90-160min
plasticizer 1.5%
Performing consolidation grouting in foundation
For consolidation grouting in dam foundation 268 boreholes with maximum 20 meter
depth and 4×4 arrangement was designed. Layout borehole is shown in figure 4. The
executive operations were accordance with design drawing and were conducted on 26×59
m, area of foundation. The borehole was drilled using percussion method with air method.
The borehole diameter was 76mm. Before grouting, the boreholes were flushed out with
pressure water equal to 5 bars. It is worth to be mentioned for consolidation grouting in
foundation, a concrete plinth about 5 meter thickness was placed on foundation and the
grouting operation was performed through this concrete.
Figure 4 layout of consolidation grouting under foundation dam
II - 270
Reviewing results of consolidation grouting of foundation
The conducted reviewing on 3034 meter of performed consolidation grouting showed that
the cement take per meter without considering grout inside the borehole is 5.8 kg/m.
Conducting Logeon test before grouting and after grouting also shows Logeon is less than
1; therefore the result of grouting works and water pressure test demonstrate the
correctness of theorical calculations that ultimate bearing capacity is suitable. Meanwhile it
should be mentioned that conducted reviewing is only performed on foundation not
abutments. Result grouting and cement takes in any boreholes is shown in figure 5.
result grouting in dam foundation

140.0
120.0
cement take kg/m

100.0
80.0
60.0
40.0
20.0
0.0
181
175
169
163
157
151
145
139
133
127
121
115
109
103
97
91
85
79
73
67
61
55
49
43
37
31
25
19
13
7
1
number borhole
Figure 5 result cement take per kg/m in foundation
Conclusion
1- Whereas bedding and discontinuities are near vertical and most of joints set are tight,
therefore mass rock behaves like a vertical beam with high strength and low deformability
that do not need to be consolidated.
2- Consolidation grouting with cement take less than 6 kg/m is not economical.
3- In the sedimentary rocks with weathering grades of WI and WII and bedding nearly
vertical, calculation ultimate bearing capacity according to theorecal equation by Goodman
will be very conservative.
4- When cement Blaine with aperture of joints is proportionate, therefore there are correct
relation between cement take and Lugeon.
5- In earth dam with ultimate bearing capacity about 65 Mpa, foundation is not need to be
consolidated.
Acknowledgement
Many thanks are due to En M.Katterbach for recommendation in this paper.
II - 271
Reference
1. Gaziev, E. and Erlikhman, S (1971): Stresses and strains in anisotropic foundations

proceedings, symposium on rock fracture ISRM.
2. Kutzner, K (1996): Consulting Geotechnical Engineer honorary professor, technical
university Darmstadt,hopheim,Germany.
3. Goodman, E. (1989): Introduction to rock mechanics, University of California at
Berkeley.
4. Idel,K-H and Stoehr,E. (1982): Influence of Geotechnical investigation of comparison
of Rock Fill Dam with upstream membrane and Earth fill Dam with sealing core, 14th
ICOLD-Congress,Riode janerio.
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Lessons learned and experiences from treatment works

on hydraulic structure Karolínka
E. Bednárová & D. Grambličková

Slovak University of Technology, Bratislava, Slovakia
emilia.bednarova@stuba.sk
J. Babečka & P. Glaus

Hydroconsulting, Bratislava, Slovakia
ABSTRACT:
Hydraulic structure Karolínka serves as a drinking water reservoir for residents of Vsetínsko and
Vlársko in the Czech Republic. The dam of HS Karolínka has a height of about 35.5 meters and is
built from local materials. It has a central vertical loamy core, transition layers and stabilizing
zones are of gravel. HS was built from 1977 until 1985. Increased discharges from the toe drain,
waterlogged places and boils near downstream slope appeared after putting into operation.
Seepages were collected with additionally constructed drainage ditches and wells. Seepage has
been rising steadily and significantly responded to the water level in the reservoir. Therefore, the
operator of the hydraulic structure proceeded to definitive repair of the dam. This paper describes
the analysis of the seepage causes by FEM, design of the dam remediation and its execution.
Nowadays, the dam is already after rehabilitation and reliably fulfils its function.
Keywords: earth fill dam, deformation, dam sealing failure, seepage, dam rehabilitation
1. A BRIEF CHARACTERISTICS OF THE HYDRAULIC STRUCTURE
Karolínka hydraulic structure serves as a drinking water reservoir for residents of the
northeastern region in the Czech Republic. It was built between years 1977 to 1985. Its
total capacity is 7.65 million m3 and was created by 35.5 m high earth fill dam made of
loamy gravel with thin clay sealing (Broža,V. et al.,2005). On both sides of the transition
layers, there are located transition layers of heavy gravelly loam between sealing and
stabilizing zones of the dam. Protective filters for contact seals and gravelly loam were not
designed. A crest of reservoir is at 522.70 meters above sea level (m.a.s.l.), the maximum
operating level is at 520,00 m.a.s.l. an the toe of reservoir is at 487.00 m.a.s.l. Up-stream
dam slope is 1:3.25, down-stream dam slope is of 1:2.5 and is divided by two benches.
Schematic cross section of the dam and its state are documented in Figure.1. The cross-
section displays a project design of the dam cross profile:
¾ There is a thin vertical clay sealing in the middle of the dam. Its thickness ranges from
3.0 meters below the dam crest to 7.5 meters, where it is connected to the grouting
gallery.
¾ Transition layers of gravelly loam (2b) with prescribed grain-size curve.
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¾ Stabilization prisms of gravelly loam (2a) without grain-size prescription. Built-in
drainage consolidation carpets are located in these layers.
¾ Lightly gravelly loam surface layers (3). On the down-stream toe side of the dam is
located an open drainage trench, opening into a stilling basin on both sides.
Grain-size curve values were detected from samples withdrawn throughout the dam
construction, together with the samples from exploration of well execution.
Dam material filtration coefficients arising from these documents are as follows:
¾ Sealing core: kf = 2.71x10-6 to 1.1x10-8 m.s-1
¾ Zone 2a, 2b: kf = 2.28x10-1 to 1.0x10-6 m.s-1
¾ Zone 3: kf = 2.5x10-2 to 5.0x10-7 m.s-1
Analysis of the filtration stability of individual dam zones implied that the sealing core and
gravel zone contact 2b is unstable. Gravels at seepages are filtration unstable as well.
Fluvial gravelly loam zones could be found in the dam bedrock at 7-9 m thickness. The
dam bedrock is formed of the Carpathian flysch rocks - a complex of strata clay with
fractured sandstone inlets. The bedrock of the dam is sealed by a grout curtain.
2. CHARACTERISTICS OF DAM FAILURES
Reservoir filling was initialized in 1984. At the beginning of 1986, at water level of about
518.00, there were recorded first waterlogged places on down-stream dam slope.
Subsurface drainage system with drainage tubes located below the surface (Fig.1)
mouthing into collection wells was designed as a solution. Seepages were measured and
drained out by the drainage trench into the riverbed below the dam. The measurements
confirmed that the seepages corresponded to water level deflection in the dam. Water-
level fluctuated from measuring data of 513.70 meters above sea level to 519.20 m.a.s.l., at
an average dimension of 517.27 m.a.s.l. Measurable seepage 0.30 l/s occurred at the water
level in the reservoir of 514.30 m.a.s.l. Waterlogging on downstream dam slope appeared
above the water level in the reservoir at 516.00 m.a.s.l. Seepage sharply increased the level
in the reservoir at about 517.00 m.a.s.l. Average seepage was of approximately 6.14 l/s.
The project body of dam seepage limit value at the maximum level in the reservoir (520m)
is 8.54 l/s.
Registered seepage values were not too high, however, there were aroused fears due to
volatility and problems associated with seepage monitoring. During operation of the
hydraulic structure, seepages from drainage were fluctuating; some ceased to exist, some
new appeared. Network of drainage system was constantly expanding. Levels in
observation wells indicated constant flow regime. Flow was permanently stabilized in
some wells, on the other hand some proved reaction to water level flow in the reservoir.
Fearing safety thread, the operator of the reservoir Povodie Moravy š.p. decided to proceed
with the rehabilitation of the dam, despite the fact that seepages did not exceed the
marginal values. A project company HYDROCONSULTING s.r.o. succeeded in a public
tender. The rehabilitation project was developed in 2006. The total vertical deflection of
the dam crest reached the value of 67.3 mm throughout the period from 1986 to 2003.
Vertical deformation inside the dam is not monitored.
3. GEOTECHNICAL ANALYSIS FINDINGS
In 2004, based on the initiative of hydraulic structure operator, a geotechnical survey

analysis of the sealing core was conducted. A system of drill-probe measurements was
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implemented, whereas using pore pressure sensors together with penetration probes. The
survey located layers of gravelly loam in the sealing core and immixture of the sealing core
soil materials with transition layer materials (area 2b).
Figure 1. Layout of the hydraulic structure with a dam cross-section profile
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The survey located layers of gravelly loam in the sealing core and immixture of the sealing
core soil materials with transition layer materials (area 2b).
Found water level values in observation wells were highly variable and bound to the
position of loam gravels. Penetration probes at higher core position pointed to its poor
quality (consistency index IC <1, the degree of compaction C <1, the oedometer modulus
of deformation Eoed<10 MPa). At depths exceeding 10-15 m, the quality of the sealing core
was proved satisfactory.
In 2006, based on the recommendation of the designer, an additional geotechnical survey
implementing penetration probe method along the entire length of the dam was conducted.
The survey confirmed occurrence of lower sealing core quality in the upper sector of the
dam. A weakened zone in the middle of the dam was recorded (with a safety margin) to a
depth of 19.0 meters, on the right side of the dam to a depth of 13.2 m and on the left side
to a depth of 10.5 m below the dam crest.
Part of the survey was a static expertise of the down-stream dam slope, which at the local
increase in the measured levels in wells pointed to its low security.
4. A PROPOSAL OF DAM REHABILITATION TREATMENT
In situ measurement result analysis and geotechnical survey indicated that the primary
cause of seepages and waterlogging of the down-stream dam slope is low quality sealing
core in its upper part. Observation of seepages led to the assumption that the core sealing is
broken by network of cracks which gradually opened and closed while the fluctuation of
water level in the reservoir. The primary cause of their formation may have been different
deformation of sealing system and transition zones. Deformation modulus of clay
(according to the norms about 5-15 MPa) is significantly lower than the modulus of
deformation of the surrounding gravel zone (about 60-90 MPa). Reduced vertical tension
in the area of thin vertical sealing core can be assumed, determining its suspension on
neighbouring - transition zones of gravel loam (2b). Findings detected covering of core
sealing materials by surrounding soils of gravel zones, thus favouring this hypothesis.
Moreover, this phenomenon was probably contributed by missing filters of graded material
on the sealing core contact and transition zones of gravel loam. In addition, significantly
different material permeability in stabilization prisms from gravel loam presents danger as
well. As a result of prism compaction during construction, the risk of impermeable layers
cannot be excluded, with suspended positions of seepage water in aerial stabilization
reservoir prism. After analyzing all finding, a rehabilitation of the sealing core was chosen
in order to minimize seepage throughout the cut-off wall. Optimizing of the parameters
was solved by the numerical solution method (FEM).
4.1 A method principle
To analyze the evolution of the filtration flow of the dam at the maximum operating water-
level, we used the finite element method (FEM). Choice of the respectable method resulted
from the nature of the task, which requires a detailed analysis of filtration flow parameters
(local changes in piezometric heights, filtration velocities respectively gradients and
seepage). From the theoretic point of view this is a steady state. Solution was carried out in
a vertical plane with a relatively large number of alternative solutions, taking heterogeneity
of the material in the body of the dam into consideration. Mathematical problem solving of
steady filtration flow in a vertical plane results from equation (1) derived from the equation
of continuity and Darcy's filtration law (Thomas, S.D., Yuan, F., 1996):
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∂ ⎛ ∂ h⎞ ∂ ⎛ ∂ h⎞
⎜⎜ k x ⎟⎟+ ⎜⎜ k y ⎟= −Q (1)
∂ x⎝ ∂ x⎠ ∂ y⎝ ∂ y ⎟⎠
where: h stands for piezometric height (m), kx , ky represent filtration coefficients in axis
direction x, y (m - 1) , Q (units of volume per time, e.g. m.s- 1) stands for inflow or
outflow. Q is positive for inflow and negative for outflow from the issue covered.
Uniqueness of the equation solution (1) determines the boundary conditions at the border
area.
We applied ground water software program Seftrans (SEFTRANS, 1996), which can
simulate the aforementioned problematic, employing a rectangular element with four nodes
with linear approximating polynomial specifically. In conclusion, boundary conditions of
Dirichlet and Cauchy were defined.
4.2 Calculation model
Prerequisite for a reliable solution to every problem is to create an accurate FEM numerical
model and the reliability of the input data. While resolving the problematic of filtration
tasks, we had to deal with filtration characteristics. Diffusion of filtration characteristics is
considerable on hydraulic structure Karolínka. It represents a range of 3 orders of
magnitude (kf = 2.71x10-6 to 1.1x10-8 m.s-1) for the area of the core sealing. In the inner
stabilizing zone, anticipated filtration coefficient range is of 6 orders of magnitude
(2.28x10-1 m.s- 1 to 1x10-6 m.s-1) and in the outer parts of stabilizing zones of 6 orders of
magnitude (2.5x10-2 m.s-1 to 5x10-7 m.s-1). As a result of the technological processing of
materials in the body of the dam is real and anisotropy - kf,x/kf,y = 10 (Bilík, M., et al,
1994). The issue has thus become considerably complicated. Important information about
the hydraulic structure Karolínka covered seepage data of the dam body, one of the test
criteria when debugging inverse model. The second criterion was the water level regime in
stabilization prisms of the down-stream dam slope. Notable observations were also
assigned phenomena while the dam operation and the results of the geotechnical survey,
providing information about the elevation reaching above 507 m.a.s.l., the sealing core of
the dam is more permeable. In addition, important knowledge allocated boils on the down-
stream slope, in the level of benches. Section profile parameters of the dam resulted from
the measurement are summed in drawing documentation (Fig.1). The sealing core zone (1)
of downstream stabilization prism (2a, 2b, 3) was modelled in accordance with the project.
Indicative stabilization prism was not included in the model. According to the previous
experience such simplification of the situation does not negatively impact the results of the
solution. All calculations were carried out at the maximum operating level of 520 m.a.s.l.
The above summarized findings on hydraulic structure were also accounted for alternative
solutions. The aim was to analyze the conditions under which it would be realistic to
achieve the state that boils of seepages above downstream berm of the dam body were part
of the coherent seepage regime in the study area. The results of the survey obtained pointed
out that none alternative applied led to boil occurrence above level of existing berms (as
recorded in situ method). Nor calculated seepage quantities did not correspond with
measurements in situ. Therefore, a realistic assumption to expect was to understand while
heterogeneous soils usage, built in stabilization prisms, interchange and substitution of
permeable and less permeable layers cannot be excluded. In the manner, absence of filters
on the sealing core contact and atmospheric stabilization prisms could result in the
conditions when seepage water flows through the preferred path of the sealing core and
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more permeable layers of soil in downstream stabilization prism zone ending in boils near
the down-stream slope. The proposed hypothesis was simulated in a way that alternating
low permeable and impermeable layers of soil were modelled in two height positions (at
the level of berms) in downstream stabilization prisms. Such alternative solution confirmed
the occurrence of waterlogged places on the downstream dam slope (or boils) while the
existence of several preferred seepage regimes. Positions of modelled alternating
permeable and less permeable layers were not decisive. Numerical model, the results of
which most corresponded to the in situ measurement is shown in Fig. 2. It displays a
summary of findings from the previous studies as well as findings from the latest
observations of the hydraulic structure. Considered filtration coefficients of the sealing
core are: kfx = 1x10-7 m.s-1, kfy = 1x10-8 m.s-1 - below 501 m above sea level, kfx = 5x10-7
m.s-1, kfy = 5x10-8 m.s-1- between 501-507 m.a.s.l. and kfx = 1x10-6 m.s-1, kfy = 1x10-7 m.s-1-
above 507 m.a.s.l. Elevation of 507 m.a.s.l. corresponds with the first demonstrated
correlation relation between the measured seepage and the water level in the reservoir
(Holomek, S. et. Al., 2003, 2004) and also corresponds with proven lowest positions of
bumped level (Stach, J. et al., 2004) indicating the existence of local permeable, high
encapsulated layers of soil in the body of the dam (water pressure encountered horizons).
The inner zones of stability sections (2a, 2b) were considered in the following numerical
model: kfx = 5x10-5 m.s-1, kfy = 5x10-6 m.s-1 in the part 2b and kfx = 1x10-5 m.s-1, kfy = 1x10-6
m.s-1 in the part 2a. The outer zones of stability sections (3) were considered in the
following numerical model: kfx = 5x10-5 m.s-1, kfy = 5x10-6 m.s-1. Local permeable soil
layer (with numerical modelling thickness from 0.20 m to 1.0m) above the elevation of
500.1 m.a.s.l. and 512.2 m.a.s.l., simulating preferred seepage paths was assigned the
filtration coefficient kfx = 5x10-2 m.s- 1, kfy = 5x10-2 m.s-1. Locally less permeable soil
layers (with modelling thickness about 1 m) situated below the 500.1 m.a.s.l. and 512.2
m.a.s.l., simulating possibilities of separate water level regimes in downstream
stabilization prism were given kfx value = 1x10-6 m.s-1, kfy = 1x10-7 m.s-1. In the bedrock
downstream stabilization prisms were considered loamy gravels with the filtration coefficient
kf = 1x10-6 m.s-1.
hH(m
(m n.m.)
a.s.l.)
kfx=10-6,kfy=10-7 ms -1
525
––– Water Level Horizons
hladinové horizonty
520 kfx=5.10-6,kfy=5.10-7 ms-1
515
kfx=5.10-2,kfy=5.10-2 ms -1
510
505
500
kfx=10-7,kfy=10-8ms-1
kfx =5.10 -5 ,kfy =5.10 -6 ms-1

495
k fx=10-5,k fy=10-6 ms-1
490
485
kfx =5.10 -5 , kfy =5.10 -6 ms-1
480 kfx=10-6,kfy=10-6 ms-1
475
100 120 140 160 180 200 L220
(m)
Figure 2. Development of water level regime in downstream stabilization prism
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Development of water level of the dam body, marked by the appearance of alternating
permeable and less permeable layers in downstream stabilization prisms is documented in
Fig.2. Based on the predicted composition model of explored environment, it is obvious
there are conditions for formation of three separated seepage regimes at corresponding
elevation levels, namely 512.2 m.a.s.l., 500.10 m.a.s.l. and 484.3 m.a.s.l. The solution does
not exclude occurrence of even more seepage paths. Their number and position is
determined by a random occurrence of alternating permeable and less permeable soils.
In principle, it is the disparate occurrence of horizontally bedded soils in which preferred
seepage paths are activated. The water soaked by sealing core body flows through path of
least resistance horizontally along permeable layers of soil lying on less permeable soils.
This fact explains to a certain degree the occurrence of waterlogged places (boils) at higher
altitude downstream stabilization prism. In the absence of a protective filter on the sealing
core contact in downstream stabilization prism and the presence of rather heterogeneous
soils in the body of the dam, such phenomenon cannot be excluded.
Provided that the modelled composition of the explored environment is constant over the
entire length of the dam (300 m), the sealing core seepage represents 7.3 l/s. If the
modelled composition of the body of the dam assigns for a length of about 180 m, where
were approved adverse events while in situ method executing in the past (waterlogged
areas - boils, now rehabilitated by drainage ribs with water cumulative seepage), the total
seepage represents about 4.4 l/s.
Achieved results corresponded quite well with the results of in situ method and confirmed
the correctness of the chosen hypothesis. The proposed model served as a forecast to
prediction of changes in filtration flow of the body of the dam after the rehabilitation of the
sealing core through cut-off sealing wall, together with searching for optimal parameters of
the wall.
4.3 Cut-off sealing wall parameter optimization
Provided earlier debugging input data exploration of the environment, we analyzed the
effect of the sealing core rehabilitation through cut-off sealing wall, built from the crest of
the dam on filtration movement parameter change in downstream stabilization prism area.
Optimization of the sealing wall was solved by means of parametric studies, by the
following parameters (Bednárová, E., Grambličková,D., 2006):
¾ depth: 10 m, 15 m , 20 m and 25 m
¾ thickness: 0.3 m , 0.5 m, 1.0 m and 1.5 m
¾ coefficient of filtration: 5x10-8 m.s- 1, 1x10-8 m.s–1
Particular attention was paid to the occurrence of seepages above modelled, little
permeable layers and their quantities, being decisive owing to the fact they can be checked
while executing in situ method. An assessment of the filtration stability of the dam was
under the review as well.
The results indicated a minor impact on reducing seepage of the dam crest at the depth of
10 m. A 15 m depth, where there is almost entirely sealed permeable sealing core zone,
estimated reduction in seepage accounted for about 30 %.
Further deepening to a depth of 20 m, seepage ratio was reduced by 38.2 %, and at 25 m
depth it was lover by 42 %. In fact, about 80 % of the total body dam seepage accumulated
in upper, permeable sealing core, above the level of 501 m.a.s.l., respectively 507 m.a.s.l.
In total, its 40 % reduction against original condition represents a decrease of sealing core
seepage by about half, meaning the optimum depth in the given conditions is about 15-20
meters. Factor determining the depth was material composition of the sealing core, which,
was changing according to respectable profiles along the length of the dam. Therefore,
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suggested depth corresponded to the depth of the interface of material qualitative changes
incorporated into the sealing of the dam.
The cut-off sealing wall width is a determining factor of the filtration stability risk degree,
due to the possible formation of suffosion phenomenon. The critical gradient values were
determined from grain-size curve values, in the range from 12 to 28. After real probability
loose gravelly soils occurrence re-evaluation (G-F), a criterion for allowable hydraulic
gradient of 28 in the sealing core was established, owing to the fact it represents
predominant grain-size composition of loose soils in a more realistic manner, proved by
geotechnical survey documented in the study area. The comprehensive analysis aimed to
assess achieved hydraulic gradients showed that at low width value of cut-off sealing wall
(0.3 meters), their maximum values locally exceeded the value of 30. Therefore, the
minimum width of cut-off sealing wall was set at 0.5 m so the filtration stability risk
degree was thus avoided.
Filtration coefficient of the cut-off sealing wall influence on changes in the filtration mode
was analyzed at real width of 0.3 m and 0.5 m. In neither case there were completely
eliminated preferred seepage paths in the level above the upper bench at considered
seepage coefficient value kf,COW = 5x10-8 m.s- 1. Results unabiguously confirmed positive
impact of reduced filtration coefficient of the sealing wall on seepage reduction.
Furthermore, results showed that by the 0.5 m thickness of the cut-off sealing wall with the
coefficient of filtration kf,COW = 1x10-8 m.s- 1 is the reduction of respectable seepage paths
in the area of depressed sealing core efficiency sufficient.
5. THE SEALING CORE REHABILITATION
On the basis of demonstrated results, there was realized a 19.0 m deep cut-off sealing wall
in the middle of the hydraulic structure, 13.2 m on the right and 10.5 m on the left side of
the dam. Original project proposed application of injection grouting method for the cut-off
sealing wall rehabilitation. However, there was a trenched wall approximately 0.6 m thick
implemented, filled with self-hardening suspension, based on the request of the hydraulic
structure operator. Sections in tied back area of the grouting gallery fell within grouting
injection performance.
For the safe conduct of work there was carried out a temporary adjustment of the dam
crest, consisting of removal of the breakwater and railing, construction of concrete divider
walls of sealing wall and a travelling path for excavator. The dam slope stability and the
stability of the dam crest at the load weight of excavator were verified by static
calculations, considering parameters of the dam soil composition, determined by
penetration tests together with parameters taken from the standards.
Self-hardening suspension was composed of Tiwodur 272 commercial mixture of cement
and bentonite, finely ground limestone and water. The suspension was modified by the
manufacturer the way its parameters were close to quality sealing core compression
parameters.
Process of construction of the cut-off sealing wall was chosen by continuous system of
primary and secondary lamellae, with minimum overlap span of 0.25 m to not yet hardened
suspension. Sealing wall surface was covered with concrete. Grouting injection was also
carried out continuously by primary semicircular pillars with a diameter of 1.2 m,
overlapping so that the minimum thickness of the sealing wall reached not less than 0.50
m. Applied suspension with its ecological properties was suitable for drinking water
reservoirs usage, whereas were continuously monitored during construction. Deformation
of the dam crest was measured for point pairs in the profiles on both sides of the sealing
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wall. Measurements were performed at daily intervals, applying a laser gauge with an
accuracy of 1 mm. Margin of vigilance was determined for the overall deformation in 10
mm profile, not exceeded throughout the rehabilitation works. After works completion, the
crest of the dam was restored and the concrete divider walls were retained as part of the
cut-off sealing wall.
ACKNOWLEDGEMENT
This paper was supported by grant project VEGA No. 1/0318/13.
REFERENCES
Bednárová, E., Grambličková, D. (2006): Optimization of the proposed remediation

measures in sealing core of Karolínka dam. Expertise, 67 p. Bratislava, Slovakia.
Bilik, M., Mencl, V., Hálek, V. (1994): Drinking Water reservoir Karolínka. Assessment of
filtration and static stability of the downstream part of earthfill dam. 16 p. Brno,
Czech Republic.
Broža, V. et al . (2005): Dams of Bohemia, Moravia and Silesia. 251 p. 555 Books,
Liberec, Czech Republic.
Holomek , S. , Berková , E. , Sakař , K. (2003, 2004): Karolínka dam. VII Annual Report
on the technical and safety supervision, Vodní díla TBD, SpA, 31 p., Brno, Czech
Republic.
Stach, J., Rech, S., Rupp , D., Klimek L. Mazur, V. (1996): Final Report on Geotechnical
survey of Karolínka dam. GEOtest Brno, SpA, 17 p., Brno, Czech Republic.
Thomas,S.D., Yuan,F. (1996): Groundwater and the environment. The 2nd Annual
Environmental Engineering Workshop. Groundwater modelling case studies. Qxford
Geotechnika International. University of Durham, England.
SEFTRANS.(1996) A Simple and Efficient Two – Dimensional Groundwater Flow and
Transport Model. Qxford Geotechnika International. Qxford, Durham, Prague, Dublin,
England.
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Comparative Similarity Study on Hydraulic Losses of a Y-bifurcation
a Y-bifurcation
aper Title Line 1 (14pt)
U. Lasminto
Insitut Teknologi Sepuluh Nopember, Surabaya, Indonesia
umboro_hydro@yahoo.com
R. Klasinc
Graz University of Technology, Graz, Austria
ABSTRACT:
A Y-bifurcation often found in the piping system of a hydropower to divide the flow from a
penstock into two turbines in the powerhouse. Hydraulic losses in turbulent flow occurred in the Y-
bifurcation are usually estimated by investigation in a physical model based on the similarity of
the Reynolds number and the outcome of which is converted to its prototype. A problem occur
when transferring the results of the physical model to the prototype due to the fact that in the
physical model it maybe not possible to reach sufficient high flow velocity to reach the same
Reynolds number as in the prototype. Therefore, a correlation of loss coefficients between physical
model and the prototype is needed and it can be obtained by investigating a family model. Physical
model family requires expensive investigation, however it can be reduced by using an additional
numerical model.
In this paper, authors present the comparison of differential pressure, differential energy, flow
velocity and loss coefficient between result physical model and result of several turbulent numerical
models such as k-, k-, Large Eddy Simulation and Reynolds Stress. Four numerical models of Y-
bifurcation with different scale simulated using the same Reynolds number produce proportional of
differential pressure head and differential energy head, and similar of loss coefficient. Numerical
model with different scales of Y-bifurcation shows a good agreement with the physical model. The
closest result of turbulent model to the measurement was used to determine the loss coefficient of
flow through a Y-bifurcation with high Reynolds number.
Keywords: loss coefficient, Y-bifurcation, physical model, numerical model, protoype.
1. INSTRODUCTION
Electrical energy is an important energy source in human life. Energy demand continues to
increase along with increasing of the population and industry. One effort to increase the
supply of electrical energy is to develop environmentally friendly hydropower. Principally,
hydropower can produce energy if water is able to rotate turbine. The amount of energy
generated by hydropower depends on the flow, net head, and turbine efficiency. The net
head is calculated from the total head subtracted by all losses in the system. Some of the
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hydropower has more than one turbine, so that a manifold such as Y-bifurcator is needed to
divide the flow from penstock to these turbines. The division of the flow using a Y-
bifurcator will provide benefits at a smaller hydraulic loss. Hydraulic loss occurs in the
flow through a Y-bifurcator due to the shape and the friction between water and bifurcator
wall.
Estimating hydraulic losses of a manifold is usually done by investigating the physical

model (scale model). The physical model is built based on similarity with the prototype.
Besides, geometric similarity, Reynolds similarity must be fulfilled because the flow is
turbulence. Using the same viscosity of water and Reynolds similarity between prototype
and physical model, velocity of physical model is equal to the scale of model multiplied by
the velocity of prototype. In other words, flow velocity of the physical model is higher than
that of the prototype. Differential pressure in the physical model is also higher than in the
prototype. Some problems arise in the development of physical model with high velocity,
such as leakage caused by high pressure and occurrence of cavitation. Simulation flow for
high Reynolds number is very difficult to be realized in the laboratory. Thus, investigation
in the physical model can only be done until certain Reynolds number. It solely depends on
the capabilities of existing resources in the laboratory. Some engineers predict that the
energy losses in the range of prototype Reynolds numbers can be completed by
extrapolating the results of the physical model. However, previous studies show that the
extrapolation method does not universally applicable to various shape of manifold. The
result of extrapolation also depends on trend and number of data used. Therefore, studies
on the relationship between the prototype and the physical model particularly on the
transferring of model results to prototype are needed.
2. LIETRATURE REVIEW
Researches on loss coefficient of dividing flow have been conducted several years ago.
The bifurcator of Lucendro Power Station has diameter of 1.10 meter and 0.80 meter for
main pipe and branch respectively. Transition of the branch uses conical rounded
transition, and the angle between both branches is 55o. The investigation of model test
showed a good agreement with field measurement, but the model test tended to produce
loss coefficients higher than produced by field measurement (Muller, 1949). Russ
investigated the energy loss of flow through wye and manifold with bifurcator angle of
60o, 45o and 90o. The result of the study can be summarized that in the symmetrical flow,
the wye and manifold head loss can be minimized by decreasing angle of the bifurcation.
Head loss is less than 10 % of the main pipe velocity head in the symmetrical flow
bifurcator with angle less than 60o. Head loss of the prototype is likely different from those
in the physical model. Lee et al investigated loss coefficient of Y branch of pumped
storage Muju located in southern portion of the Keum River basin Republic of Korea. The
pumped storage has capacity of 600 MW generated by two turbines. A Y branch steel
penstock that located in a vertical bend was used to divide flow to the turbines. The
diameter of main pipe is 4.0 meter and diameter of each branch was 2.8 meter. In order to
know the influence of designed Y-branch to the flow and pump turbine operation, a 1:13.7
physical model made from clear acrylic pipes was constructed. Loss coefficient was
calculated from energy loss divided by velocity head in the operated branch. Loss
coefficient for symmetrical generating or pumping operation was found in range of 0.2 to
0.3 and in range of 0.3 to 0.4 for asymmetrical operation. The number of sickle plates did
not give a significant difference in loss coefficient.
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Data set of dividing and combining flow for T and Y junction for several branch angle and
area ratios were provided by ESDU. A chart with variable of relative area (A1/A3),
discharge ratio (Q1/Q3) and angle between the branches was provided to determining loss
coefficient of Y dividing and combining flow (Miller, 1978). A diagram also can be used
for estimating loss coefficient of manifolds for diverging and merging flow. Loss
coefficient was found as function of branching angle, cross section area ratio, and
discharge ratio between branch and main pipes (Idelchik, 1994).
Computational Fluid Dynamic (CFD) is a branch of science that studies the fluid flow, heat
transfer, chemical reaction and other phenomena associated with fluid motion by using an
approach of solving mathematical equations(Tuakia, 2008). The advantages using CFD are
widely understanding of model flow behavior and give possibility to look virtually deeply
into parts of the model that are difficult to be seen in the prototype. The other advantage is
that CFD can be used to predict the phenomenon caused by changes in the model geometry
and boundary conditions. Economic benefit of using CFD is saving time and cost in the
design or problem-solving process, so it enables to analyze various alternatives or
conditions to obtain the optimal solution. Investigation on loss coefficient using CFD was
done by Kuo et al, Dimitriadis et al., and Flamang and Sierens. The simulation results give
good agreement with the published measurement data. Klasinc and Bilus have obtained
reasonable agreement between experimental and numerical investigation on flow through a
nozzle of pipe-junction for different geometric scales. Klasinc et al. have also conducted
some experimental and numerical studies to observe head loss in the manifold of pump
storage system, pressure loss of a penstock bifurcator, and pressure loss of a manifold in
the hydropower scheme. The result of numerical model shows good agreement with the
measurement on the physical model.
Turbulent flow is a three dimension, time-dependent, eddying motion with many scales
and causing continuous mixing of fluid. Navier-Stokes equations are derived based on
equilibrium of force on a small volume of water in laminar flow. Reynolds average is used
in turbulent flow and the equations can also be written in form (Olsen, 2007):
( ̅̅̅̅̅) (1)
The first term on the left side is transient term and the second term is convective term. The
first term on right side is pressure term and the second term is Reynolds stress term. The k-
 model was proposed by Launder and Spalding. The Reynolds stress in the k- model is
modeled using the Bousinesq’ approximation:
̅̅̅̅̅ ( ) (2)
The Eddy viscosity is expressed as , k is turbulent kinetic energy,  is rate

dissipation of turbulence kinetic energy and is turbulent viscosity as a constant value for
standard k- model. In control volume approach, the pressure term can be solved using
Semi Implicit Method for Pressure-Linked Equation (SIMPLE). Other solvers are the
improvement of SIMPLE solver such as SIMPLEC (SIMPLE Consistent), PISO (Pressure
Implicit with Splitting of Operators) and Couple. Differential equations of fluid motion
that have been converted to numerical equations are written using a programming language
so that they become user-friendly software of Computational Fluid Dynamic (CFD).
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New models resulted by improvement of standard k- models are Re-Normalization Group
(RNG) k-and realizable k-. The equations of RNG k- model are derived by rigorous a
statistical method that is called by theory renormalizes group. This model uses equation of
standard k- with additional parameters on the dissipation rate of  that can improve the
accuracy of the model with the flow suddenly blocked. This model is able to simulate the
effect of rotation on the turbulence to improve the accuracy of swirl flow modeling. In
addition, RNG model also provides an analytical formula for turbulent Prandtl numbers
and formula for low Reynolds number. The realizable k- model was introduced by Shih et
al. The model has a new formulation in the modeling of turbulent viscosity. The equation
is derived from the standard k- equation for calculating average vortices fluctuations. One
of the advantages of this model is the ability to predict spread rate of the fluid from the jet
or nozzle more accurately. This model also produces good performance in modeling the
flow involving rotation, boundary layers which have a large pressure gradients, separation,
and recirculation.
Standard k- model is developed based on the Wilcox k- model that has been modified
to be able to calculate the flow at low Reynolds number, compressibility and shear flow
distribution (Wilcox, 1998). Shear Stress Transport (SST) k- model is also available in
FLUENT besides the standard k- model. The last model was developed by Menter in
1974 by combining the advantages equation of k- and k-. The equation of standard k-
has advantages in accuracy and stability for the flow near the wall, while the equation k-
model has an advantage in free-stream flow. When simulate flow that involves adverse
pressure gradient flows, airfoils, and transonic shock waves using SST k- then will be
obtained better result.
Reynolds Stress Model solves transport and dissipation rate equations simultaneously
using the approach of the Navier-Stokes equations (Launder et al, 1975). This model
requires four additional transport equations for 2-dimensional model and seven additional
equations for 3-dimensional model. Because the number of equations used is more, then
this model is expected to be the most accurate turbulence model but the impact is longer
computation time and larger computer memory required. Reynolds Average Navier-Stokes
(RANS) equation is an equation for time average of the flow motion. This equation
describes turbulent flow. Large Eddy Simulation only models small eddies, while the large
eddy is resolved directly.
At flow through Y-bifurcator occur loss of energy that caused by friction between water
and pipe wall and interaction of water to the shape. The total energy loss is the difference
of energy head between sections before and after bifurcator. The loss due to shape can be
obtained by subtracting the total energy loss with the friction loss. The shape/local loss is
usually expressed by loss coefficient and velocity head. Loss coefficient ( ) that caused by
the shape can be calculated as follow:
(( ) ( ) ∑ ) (3)
where P is the pressure, v is the average velocity,  is the fluid density, 1 and 2 are the
index for section before and after bifurcator. λ is the friction coefficient, L is the length of
pipe section, D is the hydraulic diameter, g is the acceleration of gravity, and i is the
number of the section of idealized pipes for calculating the friction loss. The friction
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coefficient depends on the velocity of flow (v), the pipe diameter (D), the fluid density (),
kinematic viscosity () and the roughness height of the pipe (ks).
3 Models Setup
A physical model of Pirris Y-bifurcator with scale 1:8.13 was made using Plexiglas with
diameters of 0.246 m for the main pipe and 0.123 m for each branch. The branch angle was
40o. Transition from diverging point to the branch used pipes diameter of 0.185 and 0.172
mm. Installation of the physical model in the laboratory can be seen in the Figure 1.a. Total
length of model scale was 70 meter, 50 meter for the upstream and 20 meter for the
downstream of bifurcator. A bend in the main pipe and a confusor in each branch that exist
in the prototype design were also involved in the physical model. A flow conditioner
located at the beginning of the model was used to smoothing inflow to overcome the
adverse effects of swirl and non-uniform velocity profile. Discharges were measured using
flow meter in the main pipe, left and right branches. The sample rate frequency of flow
meter was 1 kHz and the time length for each measurement is 60 seconds. Therefore, the
number of discharge rates and differential pressure for one measurement are 60,000 data
points. Principle of the flow meter in measuring velocity and discharge in the pipe is based
on the electromagnetic induction. In the measurement of high discharge, flow meter can
achieve accuracy of 0.5 to 1 % of the measured discharge rate. The discharge rate flows in
the branches are controlled by two automatic dispersion valves.
D1=246 1=138o
D2=123
mm 2=4
Y 1
mm
1 0 o 2 D1 D2
X
Z 4
3
2
1 2 3 4
a) b)
Figure 1: Y-bifurcation mofel – a) Model scale – b) Numerical model
Pressure sensors used to measure differential pressure head between two sections at
upstream and downstream of bifurcator. Pressure sensors were calibrated using pressure
head calibration tool. The calibration was done by adjusting pressure head that read by
pressure sensor to become the same with the hydrostatic head level in the calibration tool.
Differential pressures were measured using PD-23 pressure sensor at seven sections in the
main branch and six sections in each left and right branches (Figure 1.b). At each section,
the pipe was drilled to make eight holes with a diameter of 1 mm and all holes were
connected together to obtain average value of pressure in the pipe. The maximum
uncertainty of the pressure probe was 0.5% of the full range. Similar to the discharge
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measurement, sample rate frequency of pressure sensor was also 1 kHz and the time length
of each measurement was 60 seconds. Section for pressure measurement on the main pipe,
left and right branches were marked by M, L and R respectively and its index number.
Numerical model geometry of Y-bifurcator was built based on the geometry of a physical
model, including sloping pipe, horizontal pipe, bend, bifurcator, and confusor. The
geometry mesh was generated by Gambit software using grid interval of 10 mm that
consist of 1,468,487 cells, 3,862,813 faces, and 931,684 nodes (Figure 1.b). Numerical
model simulations were done using commercial software of ANSYS FLUENT 12.1. The
pressured-based was chosen as a solver and use absolute for velocity formulation. The
model used standard wall functions for near wall treatment. Water with constant density of
1000 kg/m3, constant specific head of 4182 J/kg.k, and constant viscosity of 0.00101kg/m.s
was used for fluid material type. Numerical model was simulated flow through a Y-
bifucator in 3-dimension steady and unsteady. The inflow boundary condition is mass flow
rate using turbulence specification method of intensity and hydraulic diameter. The mass
flow rates are the measurement discharges at the main pipe of physical model multiplied
by water density. The outflow boundary conditions are the weighted factor of discharge
flow to the left and right branches. The weighted factor of outflow was determined in
accordance with outflow discharge distribution measured in both branches in physical
model. The wall boundary condition used was static wall with the roughness height of
0.0187 mm for Plexy glass. The equations of flow and turbulence are used for solution
control. A SIMPLE model was used as pressure velocity coupling. The discretization of
momentum, turbulence kinetic energy, and turbulence dissipation rate used second order
upwind. The value of thermal conductivity used 0.6 W/m.k. The Reynolds numbers of
inflow were in range of 6,3x103 to 1,1x106 according to the physical model. The area
weighted average pressure and discharge were calculated in seven cross sections at the
main pipe and six cross sections at the each branch. The cross section locations for
monitoring pressure of numerical model are the same with the physical model.
4 Result and Discussion

Differential pressure head and differential velocity head between section in the main and
branch pipe are used for calculation of loss coefficient. The total loss is calculated by
applying the energy equation to the sections at upstream (M) and downstream (L/R) of
bifurcator. The local loss is obtained by subtracting total loss with friction loss. Actually,
separating friction loss from the total loss is very difficult because there is an interaction
between friction and shape. Nevertheless, to calculate friction loss, an approach was done
by calculating friction loss over an equivalent length straight pipe with assumption that the
flow in the pipe is a fully developed. For this purpose, the bifurcation is idealized into 15
cylinders with different length and diameter to enable this calculation. Calculation of
friction loss in a straight pipe for certain inflow is used to determine the friction of each
cylinder. The total friction loss is the sum of cylinders friction loss between two sections,
before and after bifurcator, is reviewed. The friction loss calculation uses Darcy-Weisbach
and Colebrook-White equations.
The loss coefficients are calculated from the local loss divided by velocity head in the
inflow section. To calculate loss coefficient, two measurement data at the point before and
after bifurcation are needed, e.g. loss coefficient of M6-L2 means that the loss coefficient
is obtained from the calculation using data at section M6 for the upstream and section L2
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for the downstream. The inflow discharge (Qin) is discharge, which is measured in the
main pipe. The inflow velocity (uin) is calculated from the inflow discharge Qin divided by
cross section area of M2. The outflow discharge (Qout) is discharge, which is measured in
the branch pipe. The outflow velocity (uout) is calculated from the outflow discharge Qout
divided by cross section area of L6. Using both velocities, the differential velocity head
(u2/2g between main and branch pipes can be calculated. The equation of Darcy-
Weisbach is used to calculate the friction loss (hf) of idealized pipe between section M2
and L6. The differential pressure head (hp) is obtained from measurement of differential
pressure head between section M2 and L6. Referring to energy equation, the local loss was
calculated by adding differential pressure head with differential velocity head and
subtracting with friction loss. Finally, the loss coefficient M6-L2 is calculated by dividing
the local loss with the velocity head in the main pipe (M2).
To compare several turbulent models in simulating flow through a bifurcator, model

geometry was simulated with inflow of 0.108m3/s in asymmetrical turbine mode using k-,
k-Reynolds Stress and Large Eddy Simulation. Comparison of differential pressure head
(P/g) among results of measurement in physical model and several numerical models
are shown in Figure 2. In the asymmetrical flow simulation, the results show that the
closest differential pressure head to the measurement are STT k-, RNG k-, LES and
realizable k- respectively. While the closest differential pressure head to the physical
model in symmetrical flow simulation is the result of RNG k-, realizable k- and standard
k-. However, if the comparison is conducted under differential energy head (P/g
+u2/2g), then the closest differential energy head are SST k-, RNG k-, and realizable k-
 for asymmetrical flow and realizable k-, SST k- and RNG k- for symmetrical flow.
The differential pressure head for various flow rates were resulted by simulations of
realizable k- model. The pressure gradually decreases near to linear from section M6 to
M1 due to the friction between water and pipe wall. In the section between M1 and L2, the
pressure decreases drastically due to the friction and the shape of bifurcator and confusor.
While in the section between L2 and L6, the pressure decreases linearly due to the friction
loss in the pipe. Pressure drop increases if the inflow discharge increases.
In the Figure 3 (section L2 to L6) can be seen that the deviation of differential energy head
between measurement of physical model and result of numerical model are higher than
deviation of differential pressure head. The difference of velocity between measurement of
physical model and result of numerical model contribute to the deviation of differential
energy head. Realizable k-produce result closest to the measurement compare to the
others model so this model is choosen as model for similarity study.
Investigation of loss coefficient of Y-bifurcator for dividing flow was done in four cases.
Each case also consists of four experiment groups and each group was conducted nine tests
with different discharge inflow. Case 1 is water flow from main pipe only to one branch
and the other branch is closed. Case 2 separates 67% of water flow to one branch and the
rest to the other branch. Case 3 divides 57% of water flow to one branch and the rest to the
other branch. Case 4 divides water in the same rate to both branches. Comparison of
normalized loss coefficients (average value) between physical model and realizable k-
numerical model for Case 1 to Case 4 are performed in Figure 4. Loss coefficient decreases
with the increasing Reynolds number. In low Reynolds region, loss coefficient resulted by
numerical model in Case 1 to Case 4 is higher than that of physical model. In the high
Reynolds region, loss coefficients of numerical model are closer to physical model. The
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symmetrical flow produces loss coefficient smaller compared with asymmetrical flow.
Numerical model has a good agreement with the physical model in term of loss coefficient
calculation.
Numerical model of prototype was made by enlarging the mesh of model scale with the
geometry scale of 8.13. The Reynolds similarity was used for the numerical model scale
and prototype. In order to simplify the calculation of friction loss, then used the same
friction loss coefficient that obtained by using the same ratio of roughness height and pipe
diameter between model scale and prototype.
a) b)
QL
QL QM
QM
QR
Figure 2: Differential pressure head refer to M1. a) asymmetrical, b) symmetrical flow
a) b)
QL
QM QL
QM
QR
Figure 3: Differential energy head refer to M1. a) asymmetrical flow, b) symmetrical flow
Comparisons of normalized coefficients of loss between numerical models with different

scale factor are shown in Figure 5. Four numerical models with different scales produce
not only similar trend of loss coefficient over Reynolds number but also almost the same
average values. In the figure can be seen that the normalized loss coefficients of Y-
bifurcator for four different numerical models are fit to each other. The Reynolds similarity
in the numerical model produces loss coefficient that is small influenced by the length
scale of model.
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QL
QM
QL
QM QR
QL QL
QM QM
QR QR
QL QL
QM QM
QR QR
Figure 4: Normalized coefficient of loss of Y-bifurcator for several cases
(a) (b)
Figure 5: Comparison of Normalized coefficient of loss between numerical model of
model scale and prototype. a) asymmetrical flow and b) symmetrical flow
6 Conclusion
Loss coefficient of physical model of a Y-bifurcator decreased with the increasing
Reynolds number of inflow. In the high Reynolds number, loss coefficient that calculated
by different two pair sections at upstream and downstream of bifurcator was close each
other. Realizable k-model produces loss coefficient that was closer to the physical model
compared with the result of other turbulent models. The fours numerical model with
different scale produce similar loss coefficient in low and high Reynolds number. With a
good correlation between numerical models with different scale, the realizable k-
turbulent model meet expectation as a tool for solving problem in scale model especially in
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transferring the loss coefficient resulted by physical model to the loss coefficient of
prototype.
References
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(1985), Computation of three dimensional flow in manifold-type junctions, ASME
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Dobler, W. (2012), Hydraulic Investigation of a Y-bifurcator, PhD Thesis, TU Graz, Graz,
Austria.
EDSU-73022 (1973), Pressure losses in three-leg pipe junctions: dividing flows,
Engineering Sciences Data Unit, London.
Flamang, P. and Sierens, R. (1989), Experimental and theoretical analysis of the flow in
exhaust pipe junctions, IMechE Conference paper C382/082.
Idelchik, I. (1994), Handbook of Hydraulic Resistance, Florida: CRC Press, Inc.
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flow modelling, Southampton, UK.
Klasinc, R., Knoblauch, H. and Dum, T. (1992), Comparison of a numerical model with a
physical model for a penstock bifurcator, IX International Conference on
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Kuo, T. W., and Chang, S. (1993), Three dimensional steady flow computations in
manifold-type junctions and a comparison with experiment," SAE paper 932511.
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London, England.
Launder, B. E., Reece, G. J. and Rodi, W. (1975), Progress in the development of a
Reynolds-stress turbulence closure, Journal Fluid Mechanic, vol. 68, no. 3, pp. 537-
566.
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branch," ASCE, New York.
Menter, F., R. (1994), Two-equation Eddy-viscosity turbulence models for engineering
applications, AIAA Journal, vol. 32, no. 8, pp. 1598-1605.
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Muller, W. (1949), Pressure loss in the high pressure pipeline and distribution system of
the Lucendro Power Station, Sulzer Technical Report No. 4, Switzerland.
Olsen (2007), Numerical Modelling and Hydraulic, Department of Hydraulic and

Environmental Engineering The Norwegian University Science and Technology,
1st edition, Norwey.
Russ, E. (1970), Head loss in Wyes and Manifolds, Journal of the Hydraulic Division, pp.
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Shih, T., Liou, W., Shabbir, A., Yang, Z. and Zhu,J. (1995), A New k-ε Eddy-viscosity
model for high Reynolds number turbulent flows - Model development and
validation, Computer Fluid, pp. 23/3:227-238.
Tuakia, F. (2008), Dasar-dasar CFD menggunakan FLUENT, Bandung, Indonesia.
Wilcox, D. C. (1998), Turbulence modeling for CFD, 1st edition," DCW Industries, La
Canada CA.
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Non Linear Seismic Analyses of Dams:

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New methods fffffjfjjfkkfjjj
2(14pt) M. Meghella & L. Furgani

RSE (Ricerca Sistema Energetico), Milano, Italy
massimo.meghella@rse-web.it
ABSTRACT:
Past experiences show that most of existing concrete dams are able to withstand with minor
damages the seismic actions due to real earthquakes. Compared to the return period commonly
used for the design seismic actions, starting from 2500 up to 10000 years, these experiences are
too short to make general conclusions. So far, Non Linear Time History Analysis, NLTH, is the
most advanced and reliable method to analyze the vulnerability of dams when subjected to
Maximum Credible Earthquake where the structural behavior is expected to go well beyond the
linear elastic limit. Nevertheless, in consideration of all possible loading combinations, the overall
number of time history to be considered, the number of results to be interpreted and managed,
makes NLTHA for the seismic safety assessment of dams a very time consuming and challenging
task.
Recently, a novel method, the Endurance Time Analysis method, ETA (Estekanchi and others,
2004), has been developed and its preliminary application to real cases (Hariri-Hardebili and
others, 2012) has shown a good agreement with NLTHA results, while also allowing a
computational effort reduction up to 90%. The ETA method can be seen as a “virtual dynamic push
over test” based on special increasing time histories able to represent seismic actions associated to
different performance limit states. In this paper the application of ETA method to a real arch dam
model is presented and results are compared with NLTHA, highlighting advantages, limitations
and further research needs. Non linearities are accounted for by means of Coulomb friction
interfaces for the joints and Lee and Fenves “Damage Plasticity Model” for the concrete behavior.
Keywords: Nonlinear analyses, Seismic assessment.
1. INTRODUCTION
The seismic response of dams to strong earthquakes represents a difficult issue to predict,
for which few experiences are available so far. Bulletin 120 of ICOLD (2001) concerning
“Design Features Of Dams To Resist Seismic Ground Motion” collects some cases of
dams shaken by past earthquakes. From these experiences embankment dams seem to be
the most vulnerable. Conversely concrete dams resisted to seismic action quite well,
specially arch dams for which no significant damages are registered. The last China (2008)
and Japan (2011) earthquakes confirm these general conclusions.
Despite that, considering the typical return period associated to earthquakes used for
seismic safety assessment, these information are not sufficient to neglect the possibility,
when subjected to strong earthquakes, the dam response may be strongly affected by non-
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linear behavior, especially in high seismicity regions. In case of existing structures, often
designed with simplified methods and seismic actions lower than current standards,
numerical analyses became essential to assess the safety of the structure. The present work
focus on some aspects of these analyses and describes new possible strategies for seismic
safety assessment of concrete dams.
Many countries have updated or are going to update their legislation on seismic safety. The
changings are both on method to be applied and seismicity to be considered. In Italy the
introduction of new specific standards requires the reassessment of all dams, most of them
not designed with seismic criteria or designed considering lower seismicity.
Simplified methods based on pseudo-static forces or response spectrum analyses are the
basis tools available to check the safety of dam. In this case the target response spectra
given by the national codes can be used as seismic input. If the concrete behavior is
modelled as linear, the assessments can be done by comparing maximum and allowable
stresses (USACE 2007). When these method are not adequate to represent the actual
response of the dam, a dynamic linear time-history analyses usually follows. In this case a
certain number of real seismic records have to be accurately selected and adjusted. As said
earlier, for seismic actions associated with strong earthquakes, existing dams can
reasonably exceed the linear behavior. In these cases nonlinear time history analysis
(NLTHA) usually provides a more realistic prediction of damages the earthquake is going
to produce. In some cases these further information may avoid decommissioning, water
level lowering and expensive structural upgrading. For events such earthquakes, with low
rate of exceeding during the life of the structure, the nonlinear behavior of concrete
represent a resource. Similar to what happened for buildings, the safety assessment and the
design of concrete dams is moving towards this approach. For frame structures push-over
analyses, based on numerically pushing the structure with increasing loads up to collapse
became common. In dam engineering similar methods are available but not easily
applicable.
Following the new Italian regulation (2008) dams have to be assessed for different seismic
scenarios, the main two are the Damage Limit State (SLD) for the Design Basis
Earthquake (DBE), associated to minor damages easily reparable, and Collapse Limit State
(SLC) for the Maximum Credible Earthquake (MCE) associated to the uncontrolled release
of water or serious damage of part of the structure that may leads to collapse. For each case
a series of analyses, ranging from simplified to advanced, have to be performed.
Considering that and the number of different loading combinations to be performed, the
numerical effort for a seismic safety assessment is a very time consuming and challenging
task.
Alternatively, the ETA method, proposed by H. E. Estekanchi in 2004, is a quite simpler
method based on classical time history analysis, with special increasing intensity
accelerograms, called ETA Functions (ETAF) that would allow a considerable reduction of
the computational effort, while providing comparable results.
As an example, the case study of a real arch dam is reported. For this structure 12 loading
combinations for each limit state were analyzed. To evaluate the DBE response, the non
linear behavior due to the joints only (concrete behavior modeled as linear) was
considered, while to evaluate the MCE response, NLTHA was adopted considering for
each seismic loading combination a set of three natural accelerograms for each motion
direction, accurately selected and adapted in order to match the reference response
spectrum. With these three set of accelerograms a total of 72 NLTHA analyses were
necessary, corresponding to 720 hours of CPU time (on a 3.1 GHz iCore5) .
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ETA method can be viewed as a virtual dynamic test with a cyclic increasing accelerogram
(Figure 1), compatible with target spectra at specific times, applied to the structure till it
collapses. In this method, structures are rated according to the time that they can endure a
standard calibrated intensifying accelerogram. To clarify the concept, in Figure 4 and
Figure 5 the comparison between DBE and MCE “target spectra” with the correspondent
“NLTH spectra” and “ETAF spectra” (evaluated from ETAF at 2.07 and 7.61 seconds) are
reported. With these special functions it is possible to evaluate the dynamic response of the
structure with respect to different limit states in a single analysis of limited duration. The
analysis execution after 7.61 seconds provides important information on the maximum
intensity the dam can withstand.
Figure 1. ETA function compatible with DBE and MCE spectra, at target times t1 and t2
respectively .
2. SEISMIC LOADING
As previously said, the new Italian seismic safety regulation requires dams to be assessed
with respect to the Design Basis Earthquake (DBE), with an associated 100 years return
period and the Maximum Credible Earthquake (MCE), with an associated 2000 years
return period. Also, for high seismicity areas, it is necessary to make a specific
seismotectonic study to evaluate the worst earthquake attended.
In this work, sets of real earthquake records (three components) were selected starting from
each target spectra. For MCE, provided in this case by the seismotectonic study, only three
natural earthquakes coherent with magnitude, distance and local seismicity of the site were
found. In the following they are identified with numbers 981, 103 and 55. The duration of
the strongest part of these accelerograms is 13 seconds. To better represent the target
spectra, these accelerograms were adjusted both in intensity and in frequency using
wavelet functions as proposed by Hancock et al. (2006). In this case each time history is
compatible with the target spectra. In the following these accelerograms are indicated with
NLTHA.
On the other hand, to use the ETA method some ETAF were selected from the function
database proposed by the method’s authors. To take into account possible differences
between ETAF, three ETAFS were chosen, called ETAF-1, ETAF-2 and ETAF-3. These
have been generated in nonlinear range to fit average response spectrum of 20 records used
in FEMA 440. Differently from a previous application of the method to dams made by
Hariri-Ardebili in 2012 taking into account ETAF in the upstream-downstream only, each
ETAF in this study is a set of three components.
In Figure 2, the accelerograms used for the MCE x-component (upstream-downstream
direction) are reported: the three matched NLTHA and the three ETAF. Three additional
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NLTHA ground motion referred to DBE were considered. In total, 6 NLTHA and three
ETAF were necessary.
Figure 2. Matched time histories (NLTHA) and ETAF for MCE.
As previously said, in the ETA method the intensity of the earthquake can be associated to
a particular ETAF duration. There are several methods to select the equivalent time
corresponding to a particular limit state. In Figure 3 a special curve, called ETA curve,
reports the Peak Ground Acceleration (PGA) during time for each ETAF.
Figure 3. ETA curve of peak ground acceleration for ETAF-1 (left) and ETA curves for all the
ETAF with their mean value curve (right).
Taking the linear interpolation of the mean PGA obtained from the three ETAF as a
reference and considering a 0.128 g PGA for DBE the equivalent time of tDBE = 2.07 sec
was obtained. Similarly, considering a 0.5 g PGA for MCE, the equivalent time of
tMCE = 7.61 sec was obtained. At the end of the transient a value of 1.5 g was reached. In
Figure 4 and 5 the target spectra together with the spectra associated to NLTHA and ETAF
for the DBE and MCE are reported. As previously said the ETAF spectra are calculated at
t=2.07 seconds for DBE and t=7.61 seconds for MCE. These figures show the good fitting
between both the NLTHA and the ETAF. It is important to highlight that the spectra
reported for each ETAF are obtained from the same function at different time steps.
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Figure 4. Target and matched spectra for DBE (left) and MCE (right) in U-D direction.
Figure 5. Target and ETAF spectra for DBE (left) and MCE (right) in U-D direction.
3. MODEL
To compare NLTHA and ETA for safety assessment with reference to DBE and MCE, the
case study of the real arch dam described in Figure 6 is reported hereafter. The soil
structure interaction is accounted for considering massless linear element for the rock
foundation. The seismic ground motion is applied to the model boundaries. Fluid structure
interaction is taken into account using acoustic element, assuming non reflection
hypothesis at the upstream boundary and adequate absorption at the bottom of the reservoir
(Chopra 1985).
The nonlinear behavior of construction joints is considered by mean of “surface to surface
interaction” with a Coulomb friction relationship between opposite faces of the vertical
blocks (ref. Abaqus), while the nonlinear behavior of concrete is modeled by means of the
“Lee and Fenves” model (1998) described in Figure 6. The damage plasticity model,
originally proposed by Lubliner (1989), consider both plasticity and damage. Thanks to
this feature it is possible to evaluate the plastic strain built up during the earthquake
transient, while taking into account the reduction of stiffness of concrete due to cyclic load.
The concept of the model is summarized by the expression of the stress:
( ) ( ) ( ) (1)
[Blank line 10pt]
where the parameter is associated to damage of the material (reduction of stiffness) and
represent the plastic strain. The Eq. (1) show how the initial stiffness is reduced by
the damage parameter. When it reaches the unity the concrete is unable to react. Lee and
Fenves model considers both tensile ( ) and compressive ( ) damage, but the latter was
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not considered in this study. So the tensile damage tension only is used to compare the
results. The main features of the case study are reported in Table 1.
Table 1. Main properties of the dam case study

Dam Crown Crown Base Max Concrete Concrete Concrete Friction
Height length thickness thickness Water density elastic Tensile angle
Level modulus strength joints
75.35 110.25 2.55 5.85 72.82 2600 38 000 2.10 37
m M m m m Kg/m3 MPa MPa -
Figure 6. Dam model and behavior of concrete in the “damaged plasticity model”.
The results reported in the next paragraph are relevant to the loading combination that
includes dead weight, hydrostatic pressure, winter seasonal temperatures and DBE/MCE
time histories, which represents the most critical out of the 12 load combinations.
4. RESULTS
Figure 7 shows the displacements in the middle of the dam crest provided by ETA and
NLTHA. In the left side the evolution of the maximum displacement during the first 10
seconds of ETAF is represented. The displacements obtained with the three NLTHA
accelerograms used for DBE and MCE occur at 2.07 sec and 7.61 sec
respectively. As seen, the ETA displacements for DBE are in good agreement, while ETA
displacements for MCE resulted more conservative. The maximum displacement was
around 40 mm for the ETAF-1, that was not considered to be able to produce an
uncontrolled release of the water.
The dam response for earthquakes stronger then the MCE target were obtained from t >
7.61 sec up to the total duration of the time histories (20 sec). To provide additional proof
of the ETA method capabilities the results comparison considering both a) the nonlinear
behavior due to both concrete and joints (ETAF-1,2,3) and b) the non linear behavior due
to joints only (ETAF-1,2,3_LIN) is reported. Figure 7 shows clearly a strong increase of
nonlinear behavior after 15 second. Considering the Figure 3, the PGA associated to this
time step is around 0.9 g corresponding to the seismic level at which nonlinear behavior
became strongly predominant. The final maximum displacement at the crest reached the
value of 670 mm, that could be possibly able to produce large damages and release of the
impounded water.
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Figure 7. Comparison of the evolution of maximum displacement at middle crest up to 10 sec
(left), up to 20 sec (right).
As a first result, ETA method provides, by just looking the crest displacement evolution,
an overview of the entire performance range of the dam in one single analysis step.
Nevertheless, that still cannot provide information on the location of the damaged areas.
For this reason the tensile damage was used to evaluate damage occurrences along with
its spatial distribution and evolution, both for NLTHA and ETA.
With reference to DBE, both methods showed no damages ( ) would occur, as tensile
stresses never overcame the equivalent strength. That means the DBE regulation
requirements are fulfilled with both methods, but, whilst NLTHA required to process
dynamic transients having a total duration of 3 x 13 = 39 sec, ETA just required to process
3 x 2.07 = 6.21 sec, correspondent to a computational effort saving of around 85%.
With reference to MCE, figure 8 and 9 show the damage maps provided by NLTHA (at the
end of the transient) and by ETA (up to the equivalent time 7.61 sec) respectively.
In this case, both methods predict quite similarly the formation of extended damaged areas
in the downstream face of the dam and very limited damaged areas in the upstream face. In
particular such damages are due to loss of “arch effect”, occurring when vertical
cantilevers move upstream, transferring horizontal arches stress to vertical cantilever
stresses.
At the end of the analyses both methods show the dam is still able, despite significant
damages, to withstand the static loads (dead weight, hydrostatic pressure, seasonal external
temperature) also providing some residual strength to withstand earthquake aftershocks.
As in Hariri-Hardebili studies, NLTHA method provided more conservative results than
ETA. That, in line to their justification, can be due to the fact that ETAFs have always
increasing demand in shaking duration, so the probable propagation of cracks within the
dam body while the shaking continues without increasing level of motion, as for real
ground motions, can not be catched by ETA method. Considering that, damage profiles can
be seen as lower boundary of the most critical damage profile the dam can experience
under real earthquakes.
Despite such limitations, ETA method provided a quite reliable safety assessment of the
dam by processing only part of ETA functions. Moreover, considering the global time
duration of the analyses, the computational effort was: NLTHA = 39 (DBE) +39 (MCE) =
78 sec; ETA = 6.21 (DBE) +22.83 (MCE)=29.04 sec. That corresponds to a 63 %
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reduction in computational effort of ETA with respect to NLTHA, which may be
significantly increased if, according with the common practice, you would consider 7
spectrum compatible natural ground motions (instead of 3). In that case, the computational
saving could reach 85%.
UPSTREAM FACE
DOWNSTREAM FACE
MS-981 (MCE) MS-103 (MCE) MS-55 (MCE)
Figure 8. Damage at the end of NLTHA.
UPSTREAM FACE
DOWNSTREAM FACE
ETAF-1 ETAF-2 ETAF-3
Figure 9. Damage at time t2 = 7.61 sec of ETAF.
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4. CONCLUSIONS
In this paper a comparison between Non Linear Time History Analyses (NLTHA) and
Endurance Time Analyses (ETA) methods for the seismic safety assessment of a real dam
model was presented. The results confirmed the main outcomes achieved in the previous
studies by the method’s authors. In particular, the ability of ETA method to provide quite
reliable results in predicting the entire range of non linear behavior of dam, whilst
drastically reducing the computational effort, has been further demonstrated.
Considering that new seismic safety standard (in particular the new Italian regulation that
requires to reassess the seismic safety of most large existing dams) are much more
demanding, both on method to be applied and seismicity level to be considered, dam
owners, in particular those managing large dam portfolios, have to cope with a very
challenging and expensive task.
In this light, even if it is still not possible to draw general conclusions and further research
is needed in particular for the selection of ETA functions, ETA method can be used for
preliminary assessment aimed to identify the most vulnerable dams, eventually to be
further analyzed with a full NLTHA.
REFERENCES
ICOLD (2001): Design features of dams to resist seismic ground motion, Bulletin 120
ICOLD, Paris, France.
ICOLD (2010): Selecting Seismic Parameters For Large Dams, Bulletin 148 ICOLD,
Paris, France.
Cons. Sup. LL. PP. (2008): Proposta Di Aggiornamento Delle Norme Tecniche Per La
Progettazione E La Costruzione Degli Sbarramenti Di Ritenuta (Dighe E Traverse),
Roma, Italia.
Hancock J., Watson-Lamprey J., Abrahamson N.A., Bommer J.J., Markatis A., McCoy E.,
Mendis R. (2006), An improved method of matching response spectra of recorded
earthquake ground motion using wavelets, Journal of Earthquake Engineering, Vol.
10 pp. 67–89.
US Army Corps of Engineers (2007): Earthquake Design and Evaluation of Concrete
Hydraulic Structures, EM1110-2-6053,Washington, United States.
H. E. Estekanchi, A. Vafai and M. Sadeghazar (2004): Endurance Time method for
seismic analysis and design of structures, Scientia Iranica, v11: n4, p361-370,
Tehran, Iran.
M.A. Hariri Ardebili, H. Mirzabozorg, R. Kianoush (2012): A Study On Nonlinear
Behavior And Seismic Damage assessment Of Concrete Arch Dam-Reservoir-
Foundation System Using Endurance Time Analysis, International Journal Of
Optimization In Civil Engineering, 2(4):573-606.
Dassault Systèmes Simulia Corp. (1993): Abaqus Analysis User's Manual, Abaqus 6.11.
J. Lee, G. Fenves (1998): A Plastic-Damage Concrete Model For Earthquake Analysis Of
Dams, Earthquake Engineering and Structural Dynamics, Vol. 27: pp. 937-956.
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PROSPECTS OF REHABILITATION OF THE VOGRŠČEK DAM

AS A SELF SUFICIENT SYSTEM
Andrej Kryžanowski & Ester Džamastagič

Faculty of civil engineering, Ljubljana , Slovenia
andrej.kryzanowski@fgg.uni-lj.si
Nina Humar
Hidrotehnik d.d., Ljubljana, Slovenia
ABSTRACT:
The Vogršček reservoir is located in the south-western part of the Vipava Valley, close to the
border with Italy. The reservoir that was built in 1989 is mainly intended for irrigation, along with
flood control and groundwater recharge. The design volume was 8.5 hm3, which should suffice for
irrigation of 3,500 ha of agricultural land; however, the development of the irrigation system over
the past years did not meet the goals set forth, and nowadays, the irrigation pipeline covers only
about 1,000 ha of land.
Since the detection of a leakage under the dam in 2007 the irrigation pipeline decommissioned and
temporary lowering of water level in the reservoir was ordered, due to the risk of internal erosion
of the dam. The water supply was organized via bottom outlet, but the farmers often complain
about the inadequate water quality (low temperature and significant content of suspended
particles). In addition, the costs of irrigation water supply are rising due to the limited operation.
However, due to the previously relatively poor exploitation of the water source and the problem of
an uneconomical system during lower water levels in the reservoir, some ideas about the
construction of a small HPP and establishment of a self-sufficient system have emerged.
Design documentation for overall dam refurbishment is being prepared, which would enable the
availability of full capacity of the reservoir and the continued expansion of the irrigation system
and preliminary concept design of an integrated water exploitation, which would ensure a self-
sufficiency of the system was elaborated, including the following aspects:
∗ water quality and the growing needs for irrigation due to the increasing frequency of dry
periods in the last decades
∗ adjusted water balance by taking into account the abstraction of water for irrigation,
ecologically acceptable flow and the possibility of energy utilization by recharging the flow
downstream
∗ optimization of operating costs by adjusting the energy balance of water pumping for irrigation
and energy generation of the water surplus from the reservoir
Keywords: Dam, climate change, hydro energy production, irrigation, multipurpose reservoirs,
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1. DESCRIPTION OF ISSUE
1.1. The dam and appurtenant structures
The Vogršček dam was completed in 1989 as a storage dam for irrigation of agricultural
land and as a flood control dam. It is located in the Vipava River catchment in western
Slovenia, i.e. a region where wine-making and fruit-growing are among the leading
industries. In the 1980s, the region underwent extensive hydro-amelioration works to
encourage production of high value-added agricultural produce. In the hinterland, the
processing industry for locally produced agricultural produce has strengthened and is today
a major contributor to employment in the region. In transition periods of spring, dry
summer and early autumn, the designed storage capacity of 8.5 hm3 should provide enough
water for irrigation and sprinkling of approx. 3,500 ha of agricultural land. To date, the
irrigation system has been partially completed and it covers only the low agricultural land.
Today, the storage facility supplies approx. 1,000 ha of agricultural land, which means on
average a volume of 1.8 hm3 of water per year.
The Vogršček dam is a zoned earth and rockfill dam. The upstream face of the dam is built
with rockfill with a slope of 1:1.5, lined with berms; the downstream face consists of
quarry stone, tailings, and clayey and silty materials, with a slope of 1:2, lined with berms.
The core of the dam consists of clayey and silty materials obtained mostly from the storage
facility area, protected with a two-layered filter on both sides. The dam is founded in
flysch foundation interbedded with permeable layers of limestone. To maintain watertight
conditions, a single-row grout curtain consisting of a cement-bentonite suspension was
used in the dam profile, extending 66 m deep into the natural ground beneath the dam. The
dam has a height of 35.40 m and a length of 174 m; the crest of dam is 5 m width, at the
base is 120 m wide. A connecting macadam road passes over the dam (Fig. 1).
Figure 1: Vogršček Dam longitudinal section A-A showing the course

of conduits under the dam (after Humar, 2008)
(1) Irrigation intake tower (9) Auxiliary conduit shaft
(2) Bottom outlet intake structure
(3) Bottom outlet (conduit) (A) Clayey – silty materials
(4) Irrigation connecting conduit (B) Rip-rap
(5) Grout courtain (C) Quarry stone, tailings,
(6) Filter clayey-silty materials
(7) Maximum operating level (D) Clay
(8) Minimum operating level (E) Impervious ground
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At the right abutment of the dam a reinforced concrete spillway structure designed to pass
1000-year floods has been built for flood evacuation. The spillway is fitted with a 1.8 m
flap gate for water regime control during floods. For flood evacuation a bottom outlet has
been designed; it consists of two concrete encased steel pipes of ∅1,200 mm, with a
capacity of 14 m3/s, which are partially buried in the natural ground beneath the dam. The
flow at the discharge from the bottom outlet pipe is controlled by Howell-Bunger valves.
An intake tower, which is situated on the upstream side of the dam, is used for the
withdrawal of water for irrigation and allows for abstraction of surface water from the
reservoir at different levels relative to the storage level. At the inlet, there are multi-level
electro-mechanically operated vertical lift gates. The intake tower is connected with the
irrigation network system main valve by an irrigation connecting conduit made of
concrete-lined steel pipes of 1000 mm in diameter. From the intake tower, the conduit is
laid along the embankment perpendicularly to the ground and then it sharply turns and
finds its way under the dam. On the downstream side of the dam it turns again and crosses
the bottom outlet pipes and proceeds towards the irrigation network system main valve
under the stilling basin of the side spillway. To ensure safe water supply for irrigation, a
secondary connection to the right pipe of the bottom outlet has been installed to enable
back-up supply of the irrigation network system in case of outage of the main supply
system. Based on the design, all conduits and flood control outlet works are under constant
hydrostatic pressure. In case of emergency, the closing of the connecting conduit using a
vertical lift gate at the inlet is possible; however, at the bottom outlet no secondary safety
gates are provided, except for the control valves at the discharge area (Fig. 2).
1.2. Detection of damage and measures taken
In 2007, on the plateau below the dam, i.e. in the area crossed by the irrigation connecting
conduit, a wet zone was identified. An inspection site visit confirmed the suspicion that the
wet zone was due to the water emerging from the area of the irrigation connecting conduit,
i.e. the result of a leak in the conduit pipeline. In the same period, wet zones along the
route of the bottom outlet also appeared, i.e. between the dam and the valve gallery. The
inspection of all steel pipes, the bottom outlet and the irrigation connecting conduit
revealed that due to wear a complete overhaul was necessary. On examination it was found
that the condition of the steel pipes of the irrigation connecting conduit was a particular
cause of concern. The condition of the welded joints on the pipes was poor and there was a
suspicion that the concrete lining was not watertight, with a high risk of seepage of water
along the contact with the steel pipe and infiltration indirectly into the body of the dam; the
latter was confirmed in the nearby piezometer monitoring boreholes. The condition of the
bottom outlet pipes was somewhat better. To allow for the reduction of hydrostatic
pressures and hence increase the operational safety it was decided to lower the operational
level in the reservoir by 6 m, i.e. an approx. 20% drop of the nominal operating pressure.
The condition of the conduit pipeline revealed that the overhaul of the existing pipe was
not possible (Humar, 2008).
In 2008, as a temporary solution to enable undisturbed supply for irrigation, the primary
conduit pipe of the irrigation network system was directly connected to the right pipe of
the bottom outlet. In the outflow part, the conduit pipe was plugged, and at the inlet side
was sealed with a vertical lift gate (Fig. 2). Due to the leaks at the inlet vertical lift gates,
the plugged pipe eventually filled with water, and in the recent period a rise in piezometer
pressures in the piezometers in the vicinity of the connecting conduit was recorded. Hence
in 2012, the conduit pipe was fully grouted with grout mix. As the conditions steadied and
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the water levels in the nearby reference piezometers decreased, it was found that the
refurbishment measures were successful (FGG, 2013).
Figure 1: Map of Vogršček Dam and its appurtenant structures (after Humar, 2008)
(1) Side spillway (10) Irrigation system main valve

(2) Bottom outlet intake structure (11) Stilling basin offside spillway
(3) Bottom outlet (conduit) (12) Auxiliary conduit
(4) Irrigation intake tower (13) Seismic circuit
(5) Irrigation connecting conduit (14) Command house
(6) Gate control house (15) Single row grout courtain
(7) Wet stain (16) Crest of the dam
(8) Access bridge to the gate house (17) Upstream face of the dam
(9) Primary irrigation conduit pipe (18) Downstream face of the dam
Currently, the irrigation network system is supplied directly via the bottom outlet pipe,
with withdrawal of water in the lower part of the reservoir area. However, such operating
conditions cause major problems in the distribution of water for irrigation to the users and
provision of proper water quality. The irrigation network system is designed in a way to
ensure that the major part of the water is distributed by gravity, while pumping is proposed
only for distant points in the distribution network. Recently, due to pumping as a result of
the lower operational level, the operating costs disproportionally increased, which suggests
that the economic viability of irrigation from the Vogršček system is questionable for
many users. The second problem is the quality of the water tapped from the lower part of
the storage. The chemical and biological condition of the water is suitable; however, the
content of suspended solids is significant, i.e. as a consequence of denudation of stripped
areas in the reservoir due to the lower water level. As the water from the irrigation system
is also intended for spray irrigation of fruits and vegetables, the producers carry additional
costs of washing the produce. Indeed, as the provision of water for irrigation is the single
most important factor to maintain stable agricultural production in the region, there is a
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general consensus that the refurbishment of the dam and the irrigation system should be
performed as soon as possible (Kompare and Kryžanowski, 2012).
Design documentation for overall dam refurbishment is being prepared, which would
enable the availability of full capacity of the reservoir and the continued expansion of the
irrigation system. Furthermore, a preliminary concept design of an integrated water
exploitation, which would ensure a self-sufficiency of the system, was elaborated,
including the following aspects (Humar, 2013):
∗ water quality and the growing needs for irrigation due to the increasing frequency of
dry periods in the last decades
∗ adjusted water balance by taking into account the abstraction of water for irrigation,
ecologically acceptable flow and the possibility of energy utilization by recharging the
flow downstream
∗ optimization of operating costs by adjusting the energy balance of water pumping for
irrigation and energy generation of the water surplus from the reservoir
2. REFURBISHMENT OF DAM STRUCTURES
2.1. Design solutions
To set up the normal operation of the irrigation system and exploit the potential of the
Vogršček reservoir, the refurbishment of deteriorated and out-of-use dam structures is
necessary. Several design solutions have been proposed; the most adequate is the variant
where the intake tower structure is reintroduced, i.e. with a new connecting conduit for
irrigation connected directly to the right pipe of the bottom outlet on the upstream face of
the dam. The refurbishment of deteriorated pipes of the bottom outlet is performed using
the technologies of internal pipe coating or relining and, additionally, a guard gate at the
inlet into the bottom outlet is introduced. The reinstating of the structures into a functional
condition ensures the operation of the reservoir and the irrigation network system under the
conditions and in the scope defined during the construction of the dam. The estimated
investment costs are around 3 million EUR. As the reservoir is defined as public water
infrastructure, the funding of the refurbishment is provided for in public funds, while the
management and operation of the irrigation network system is the subject of concession. In
the elaboration of a cost-benefit analysis the question of economically viable cost
optimization of operation of the irrigation network system – of agricultural production –
and the final price of the supplied water to the users were considered. The costs for the end
user are directly linked with the costs of pumping water into the distribution system
(Humar, 2013).
As part of the revision of the refurbishment design projects, a programme of reservoir

operation during refurbishment works had to be proposed. The irrigation network system
operator set a condition that during the entire vegetation period at least minimum water
quantity for irrigation should be ensured. In the elaboration of the programme we found
that with proper water management, there was a water surplus that could be intended for
hydropower exploitation (Kompare and Kryžanowski, 2013). The idea about hydropower
exploitation of the ecologically acceptable flow was already investigated at the dam design
stage. A small production unit at the supply irrigation system with the design flow of 30
l/s, a power of 6.4 kW, and an estimated average annual generation of approx. 40 MWh
was designed; however, cost-effectiveness proved low (IBE, 1983). The results of
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hydropower exploitation of water surpluses were more encouraging; the analysis was made
using the same assumptions and input data as the ones in the basic energy study to enable a
comparison between the results of both studies (Džamastagič and Kryžanowski, 2013).
2.2. Exploitation of water potential
2.2.1. hydrological data
At the Vogršček stream there are no flow gauging underway. In the analysis, we took into
consideration a 30-year data set recorded at nearby rain gauges, which well covered the
entire catchment area with a surface area of 11.25 km2. The same data were considered in
the initial energy study. In the calculation of the expected flows we took into consideration
the seasonal changing of the runoff coefficient, i.e. by season and by hydrological type of
the year. Based on the data on average monthly precipitation and considering the relevant
runoff coefficient, we calculated the average values of Vogršček stream flows for the data
set. Fig. 3 shows the distinct flow fluctuations over the year. A distinct peak occurs in late
autumn and lasts through the winter. During spring and particularly during summer, there
is a distinct low flow, i.e. during the irrigation season. Mean yearly flow in the period is
258 l/s. If we take a closer look at the entire data set, we find that there are major inter-
annual flow fluctuations, where flow deviations among consecutive years are as much as
60%. During the observation period, there were distinct dry periods, particularly in the
recent 6-year dry period (Fig. 4). The trend of dry periods has continued to this day with
even more pronounced extremes: dry periods are getting longer and they are followed by
distinctly wet periods (Tratnik & al., 2013).
450 450
mean monthly flow [l/s]
mean yearly flow [l/s]
400 400
350 350
300 300
Qmean=258 l/s
Qmean=258 l/s
250 250
200 200
150 150
100 100
50
50
jan feb mar apr may jun jul aug sept oct nov dec
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
1
2
3
4
5
6
7
8
9
Figure 3: Flow fluctuation of Vogršček Figure 4: Yearly flow fluctuation of Vogršček

stream over the year stream over the observed period
2.2.2. water need
Two water resources are planned for irrigation in the Vipava Valley: the Vogršček
reservoir, as a water resource for low elevation areas of the valley, and the Vipava River
supplying the areas with higher elevation. The Vogršček irrigation network system has not
been completed. Currently, the reservoir supplies water to a surface area of 981 ha; water
needs vary from 0.72 hm3 in wet years to a maximum of 3.35 hm3 in dry years.
For the purpose of the analysis, we assumed that the irrigation network system was
completed. At the same time, we took into consideration the recharge of the Vipava River
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during dry flows, when the missing water is supplemented from the Vogršček reservoir.
The recharge of the Vipava River was added to the balance as the quantity of water needed
for irrigation. By taking into consideration the aforementioned starting points, the reservoir
would need to supply a volume well over 3 hm3 on average to meet the irrigation needs in
the investigated period. Demand varies over different periods with a maximum supply of
just below 6.1 hm3 and a minimum supply of approx. 1.1 hm3 of water.
In the analysis, we also took into consideration the loss of water from the reservoir due to
evaporation, depending on the season, type of hydrological year and free surface in the
reservoir, changing as a function of water use over the year, by considering the average
monthly value calculated from the curve of water levels and the surface area of the
reservoir. To provide the proper ecological conditions in the river channel below the dam,
a minimum of 15 l/s is necessary, which is now regulated by the control valve on the pipe
of the bottom outlet.
2.2.3. Water balance
Based on the starting points, we performed a simulation of reservoir operation for a period
of 27 years; we assumed that the first filling of the reservoir starts in the first year of the
period, and, as a result, there is a shortage of water available for irrigation in the first year.
In the entire 27-year observation period the mean volume of annual inflow into the
reservoir is 8.1 hm3, of which 3.1 hm3 is intended for irrigation and recharge of low flows
of the Vipava River; 0.64 hm3 are losses due to evaporation and a volume of 0.47 hm3 is
for provision of ecological conditions. The water surplus is an average annual volume of
3.9 hm3, which can be exploited for hydropower purposes. If we also consider the
possibility of exploiting the water volume for biological minimum, then the average annual
disposable volume is around 4.4 hm3 (Fig. 5).
14
disposable volume [hm 3]
12
10
0
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27
years of operation
environmentally acceptable evaporation losses irrigation energy production

discharge
Figure 5: Water balance of the Vogršček reservoir for a period of 27 years
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2.3. Optimization of hydro power generation
In the analysis we assumed that in the first year the reservoir is filled until a normal
operational level at 98.8 m (volume 7.25 hm3) is achieved. The second condition was that
the reservoir level should not drop below the minimum operational level for withdrawal for
irrigation, i.e. 80 m. In the calculation we tried to provide the highest possible storage
water level, due to both ecological reasons and energy balance. Hence, in the analysis we
assumed that under extreme conditions the flood storage to an operational level of 100.5 m
(volume 8.5 hm3) should be exploited as much as possible. In dry conditions, the priority is
to provide ecological flow and meet the needs for irrigation. In the scenario, the maximum
storage capacity during the entire vegetation period is maintained, including the flood
storage. The risk of extremely high flows in the period is relatively small. There is no
threat to dam safety, as the capacity of evacuation structures allows conveying even
extremely high flows.
The calculation of potential energy generation was performed on a monthly basis for the
entire time period. The available water quantities were defined based on monthly water
balance of reservoir inflows and outflows, quantity of water necessary for irrigation and by
considering the loss due to evaporation. In transformation of mechanical energy into
electrical energy, we assumed a rather conservative approach to such type of power plants,
by considering a 73.5% efficiency of potential. Considering the trend of lower flows in the
recent period, these assumptions brought us nearer to the real estimate of the actual energy
generation at the site.
The operating regime was determined in a way to increase the design flow of the turbines
in a step-wise manner +15 l/s, where the ecological flow was the starting point. The
purpose of the step-wise calculation by raising the size of the design flow was to determine
a point where the available water quantity could be exploited to the highest degree
possible. Such an approach is valid, as the Vogršček reservoir is a seasonal storage; indeed,
based on its mean yearly flow it has a relatively large storage capacity. Fig. 6 shows the
average annual electricity generation in the period as a function of design flow. Maximum
annual output 7.33 GWh is achieved with operating regime with a design flow of 315 l/s;
due to poorer energy characteristics it then gradually decreases with increased design flow.
The same diagram shows the share of exploitation of all available inflow in different
operating regimes, which suggests that with optimum design flow practically all annual
runoff is exploited. The duration of energy generation depends on available water
quantities, in a range of 730 hours in a dry year to a full-year generation in a wet year
(8760 hours).
By considering the initial starting points, the average cost of generated energy is approx.
20,000 EUR per year. Based on the estimate of investment costs, with fixed prices the
return period of investment costs is in 10 years of operation. The average annual price for
pumping, which has grown in the last period due to the lower operational level, is around
50,000 EUR per year. The generated power could cover at least 40% of pumping costs. If
we also consider the fact that the reservoir is operating at a lower operational level and that
due to the unfinished irrigation system there is, in fact, twice the amount of water available
for power generation, then the ratio of coverage is even higher. In the existing situation, the
energy balance of generated and used energy is practically adjusted, which makes the
investment viable.
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0% 10
mean annual output [GWh]

share of exploitable potential
10% share of exploitable potential 9
20% mean yearly output 8
30% 7
40% 6
max output 7,33 GWh

50% 5
60% 4
70% 3
80% 2
90% 1
100% 0
15 30 45 60 75 90 105 120 135 150 165 180 195 210 225 240 255 270 285 300 315 330
installed capacity [l/s]
Figure 6: Average annual output in the period as a function of installed capacity

and the share of exploitation of all available water
3. CONCLUSIONS
The Vogršček dam was completed in 1989 as a reservoir dam for irrigation of a major part
of agricultural land in the lowlands of the Vipava River valley. Due to the unfinished
irrigation system and deterioration of structures for supply of water for irrigation, the
operation of the reservoir is limited and, as a result, the storage capacities are poorly
exploited.
At the moment, a refurbishment project is underway, which covers the reconstruction of

the irrigation conduit pipeline and flood control outlet works. These measures would
ensure a safe operation of the dam and the functionality of the reservoir for provision of
proper quality of water for irrigation and the necessary quantities of water, taking into
account the climate change trends.
As part of the cost-benefit analysis, an analysis of energy self-sufficiency of the irrigation

system was elaborated, where the available water surplus would be exploited for energy
generation, hence compensating for the costs of pumping into the irrigation system. The
analysis showed that the energy exploitation is viable. In the existing situation, the energy
balance is practically adjusted.
REFERENCES
Pirc, V., (1983): Vogršček Reservoir, Technical report, VGI, Ljubljana, Slovenia
IBE, (1983): Analysis of the possibilities for using the Vogršček reservoir for energy
purposes, IBE, Tecnical report, Ljubljana, Slovenia
Josipovič, Z. and Močnik, I. (2009) Refurbishing of Vogršček dam structures – Concept
design, Technical report, IBE, Ljubljana, Slovenia
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Humar, N., Podobnik, I. and Batič, S., (2008): The problems of seepage under the
Vogršček dam, 76th ICOLD AM, International symposium - Operation, Rehabilitation
and Upgrading of Dams, BUNCOLD, Sofia, Bulgaria
Kompare, B. and Kryžanowski, A., (2012): Checking the options filling the Vogršček
reservoir and assessment of the implementation of urgent maintenance works,
Revision Report, Faculty of civil engineering and geodesy, Ljubljana, Slovenia
Džamastagič, E. and Kryžanowski, A., (2012): The possibility of exploiting water potential
of Vogršček reservoir, Proceedings of 24th Mišičev dan Symposium, VGB, Maribor,
Slovenia
Humar, N., (2013): Refurbishing of Vogršček dam structures - Pre-feasibility study,
Report, Hidrotehnik, Ljubljana, Slovenia
Tratnik, M., Batič, S., Pintar, M., Černič-Istenič, M. and Steinman, F., (2013): Use of
multipurpose reservoir Vogršček – status and possibilities, International symposium:
Dam engineering in Southeast and Middle Europe, SLOCOLD, Ljubljana, Slovenia
FGG, (2013): Monitoring of Vogršček reservoir, Technical report; Faculty of civil
engineering and geodesy, Ljubljana, Slovenia
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THE USE OF GEOPHYSICAL METHOD GPR - GROUND

PENETRATION RADAR IN THE QUALITY ASSESSMENT
OF THE EMBANKMENT DAM
C.H. de A.C. Medeiros

State University of Feira de Santana – UEFS, Bahia, Brazil
chmedeiros@terra.com.br)
ABSTRACT:
The dam in this study showed a cavity in the approach channel area and a series of cracks with mesh
pattern, predominantly in the transverse direction as well as cavities beneath the drainage channels and its
two levels. These anomalies show undesirable behavior for an earthfill dam composed of a mixture: soil and
random materials with different geotechnical characteristics with respect to deformability plus a contact
zone with laterite layer of vulnerability and the occurrence of erosions percolations with risk of cracking and
piping mechanism. To understand this mechanism, the study was conducted with the use of geophysical tool,
in specific, the method of GPR - Ground Penetrating Radar, aiming to contribute on the detection of voids
and/or cracks in the embankment and its foundation. This study focused on evaluating the extent of these
anomalies in depth and their influences on the condition of security and integrity of the dam structure and,
somehow, to ascertain its quality highlighting the efficiency of injection works used in filling cracks and
cavities identified in the dam body. The GPR found anomalies in depth, based on radargrams plots.
Keywords: dam safety, Emergency Action Plan, risk management
1. INTRODUCTION
The dam had a cavity in the approach channel area and a series of cracks, predominantly in the
upstream to downstream direction, as well as cavities under the surface drainage channels (Figures
1 and 2). This led the company to adopt remedial measures, especially the implementation of
services to prospect the extent of cracking in the vertical direction, followed by filling with a
mixture of soil + cement + bentonite by gravity, and packing the cavities with compacted soil with
manual socket (Figure 1 and 2). These anomalies can lead to an undesirable behavior for the earth
dam based upon the cracking pattern that was observed in several cross sections through the
embankment made by compacted soil (especially susceptibility to erosion due to the predominantly
silty-clay material) under a layer of a mixture of not selected materials from compulsory excavation
of the spillway, consisting of a mixture of soil + rock blocks, very heterogeneous in terms of size
distribution and particle shape (rounded, tubular and planar) and an incorporated cofferdams
structures.
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Figure 1. Cavity identified on the Approach Channel.
Figure 2. Assessement of the cavity extention for planning the injection curtain using
slurry mixture by gravity. Launch of slurry to fill the cavities. Small holes were
executed with auger to facilitate the injection process.
1.1. Geotechnical Aspects
In the earthfill dam it was Identified several cross sections in the heterogeneous soil mass with
different geotechnical characteristics, related to deformability, due to the potential for the
occurrence of problems of stress distribution and / or stress concentration and consequently crack
formation. The central zone in the river bed, between the stations E-8 and E-12 (crest length)
comprises the threshold in soil mass with predominantly lateritic rock, which is highly permeable
and highly vulnerable to dissolution of fine soil matrix, constituent of laterite (Figure 3).
Figure 3. Different soil material extracted from the cavity: a) sandy soil (alluvial),
b) sandy soil silty / clayey silt and c) blocks of laterite rock.
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The laterite layer contributes to the development of percolations and erosions at risk of entrainment
of particulate material and problems related to the "piping" mechanism. In the left embankment,
zone between the station E-20 and E-24 there is a structure of a "cofferdam" that was incorporated
to the earthfill (see Figure 4, extracted from the document "as built") which actually corresponds to
a first construction phase of the compacted embankment. The cracks that have appeared over the
dam body, predominantly to a transverse (upstream-downstream) orientation are "very likely" due
to the expansive characteristics of the fine fraction constituent of lateritic material, used in the
material composition of the compacted embankment.
Figure 4. Dam section at station E-22, next to radargram 25
This leads us to infer that the cracks caused by expansive actions / contraction, not ruling out the
possibility of also be induced by differential settlements and/or differentiated deformations in the
related zone, causing fissures (cracks) as it was observed in earthfill (Figure 5).
Figure 5. Prospection of the extent and depth of the cracks,

followed by filling (transverse and longitudinal cracks).
The zone in between the stations E-24 and E-25 where water intake gallery was implanted, cracks
occur, predominantly to transverse direction (upstream / downstream) granted the heterogeneous
characteristics of the material used in the earthfill with a large amount of coarse fraction ranging
from the size of a boulder to hand rocks, mixed in the soil matrix with predominantly sandy silt and
its proximity to the structure of the gallery, a fact that induces stress concentration and hence the
formation of cracks (fissures).
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Figure 6. Closing or filling the cracks with a mixture of
sand + bentonite (<1% in volume) packed with manual socket.
2. TECHNICAL SOLUTION
Cavity filling observed in the approach channel area, after injection of a solution of aniline +
clothing dye, by gravity, despite the risks involved, with the worsening of the problem by washing
or carrying of fines for a cavity whose structure was unknown (Figure 7). The cavity was initially
flooded with water and then with the solution. The dye did not demonstrate the desired efficiency.
Figure 7. Addition of water (by gravity) through the cavity, with

dye (aniline + clothing dye).
This composition resulted in a slurry of good workability and especially penetrability (or
injectability, due to gravity). The mixture used for the slurry composition was:
a) for the filling of cavities:
Cement - 5%
Bentonite - 0.5%
Soil - 80%
Water - 20%
b) To fill the gaps (cracks) in the body of the landfill:
Bentonite - 0.5%
Soil - 85%
Water - 15%
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3. ADDITIONAL RESEARCH USING GPR METHOD
The study was conducted with the use of geophysical instrument, in specific, by employing the
GPR (Ground Penetrating Radar) method, aiming to contribute to the detection of voids and / or
cracks in the dam body - already identified and treatment object through its filling with a mixture
(slurry) of soil + cement + bentonite, as this is likely to be considered an emergency and
complementation with other interventions, whose decision would be taken after the results of the
GPR method - and in the surrounding area of the spillway approach channel, which registered the
occurrence of a cavity. This study focused on evaluating the extent of these anomalies in depth and
their influences on the condition of security and integrity of the parameter structure and, somehow,
to ascertain the quality of the services provided at the dam, highlighting the efficiency of injection
works with mentioned mixture (slurry) used in filling cracks and cavities identified in the dam body
and as relevant and urgent intervention, considering the proximity of rainfall in the area at the time
of completion of service.
4. STUDIES RESULTS
4.1. Approach Channel area of the Spillway
A zone with lithologies composed of ferruginous concretions distributed within the rock, on which
there are levels having a concentration of these concretions was identified. This material would
consist of laterites, which has good permeability and may constitute potential pathways for
percolation or water leak in the subsurface. The GPR found (anomalies) at an average depth of 3.0
m. The profile 34 perpendicular to the wall generated the radargram shown in Figure 8. One can
observe the indication of abnormality / discontinuity that extends along the profile 60 m, reaching
the weir wall at a depth ranging 1.0 to 4.0 m.
Profiles 031 and 032 confirm the presence of laterite shaft located below the depth of 1.0 m which
propagates with a dip to the left side slope, from the approach channel to a depth of about 4.0 m.
This layer contributes to the formation of preferential percolation path (or water leak) that focuses
likely area of occurrence of the cavity (Figure 9), laterites shaft on the spillway slab and heightens
the risks mentioned in the previous paragraph.
cavity zone
031
033
032
034
Figure 8 - The profiles 031, 033 and 032 are increasing distances from the weir wall (20, 40
and 60 m), being represented individually by light blue line.
The Profile 034, is perpendicular to the other.
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The GPR response seems to indicate a laterite level, conductor of water (or preferred path of
percolation) to the wall, which we interpret to be coincident with the lower base (slab) of the
spillway structure. This somewhat confirms the indication of infiltration observed in the spillway
slab, between 1,012 m and 1,010 m (Figures 9 and 10).
Figure 9. Spillway structure. Cracks and leakage observed in depth

of approximately 10.0 m with an evaluation corresponding to 1.005m.
lateritic layer
cavity zone
Spillway wall
Figure 10. Profile 34 whose radargram reveals the continuity of the laterite layer
laterite
layer
cavity zone
Figure 11. Radargram reveals the continuity of the laterite to the wall of the spillway
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4.2. Area of Downstream Embankment (earthfill dam)
In the Figures 12 and 13 there are indicated possible cracks (or fissures) in the embankment clay
material.
fissure
fissure
fissure
Figure 12. The profile shows 23 features with diffraction and changes
of amplitudes may be associated with cracks (fissures) in the dam.
To highlight these features, were indicated in circles.
Figure 13. Profile 24 shows features, highlighted by circles, which may be

associated with cracks in compressed mass and / or rock material from compulsory
excavation, the roots and a possible buried structure.
The profile 24 was raised at a lower level from the point where profile 23 ends, and is parallel. In
radargram 24 at positions between 30 and 38m, there are large structures to a depth of 2,5 to 3,5 m.
The radargram 30 also revealed a structure that, according to the consultant deserves careful
investigation, located at position 16 to 20 m. There is a second position between 32 and 34 m.
The results confirm that the cracks propagate to depths of about 5.0 m, a fact that raises concern
since they are transverse cracks, which can be viewed on the surface, but as they prospected, they
do not allow the visualization of the spread from 0.50 m to 1.0 m depth in the open trenches for the
purpose of filling, as a protective measure as the percolation of surface water.
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5. INTERPRETATION OF RESULTS OF GPR METHOD
The results obtained by the GPR, confirm the presence of cracks in the earthfill with depths of about
5.0 m. They are cracks with occurrence pattern with predominance for the transverse direction or
downstream - upstream. These cracks also, most already plugged in surface and depth of the order
of 1.0 m, must be plugged into the limit depths of occurrences. It was also identify the occurrence
of laterite shafts located in the approximation (area of occurrence of the cavity) in depth from 1.0 m
to 4.0 m channel and with extension under the base slab of the structure of the spillway. The profile
23 shows features with diffraction and changes of amplitudes that can be associated with cracks
(fissures) in the dam. To highlight these features, they were indicated in red circles. It coincides
with the section of the compacted landfill in station E-24, with portions involving gallery water
intake (dotted black circle), quite vulnerable to the formation of cracks due to stress concentrations
and / or change of materials (compacted soil and concrete structure). This geometry may explain the
occurrence of cracks in the body of the soil mass.
The profiles 24, 25 and 26 show features, highlighted by circles, which may be associated with
cracks in compressed and / or blocks of material from compulsory excavation, roots, rock mass and
a possible buried structure. They coincide respectively with the sections of compacted earthfill in
stations: E-22 and 20 with passages involving the "cofferdam" and a gallery of water intake, quite
vulnerable to the formation of cracks due to stress concentrations and/or change of materials
(compacted soil and concrete structure). This geometry may explain the occurrence of cracks in the
body of the massif (Figures 12 and 13).
6. RECOMMENDATIONS
The results point to a potentially significant hazardous condition to the embankment dam,
considering the occurrence of transverse cracks in the soil mass and the presence of cavities in the
approach channel and its relation to the registration of a laterite layer - with characteristics of high
permeability and vulnerability to the occurrence of entrainment of fine fraction constituent of the
matrix - which propagates under the spillway slab and / or side wall. In this case, we have a list of
immediate actions of preventive and corrective nature, especially the filling of open fissures system
through the deposition technique and / or slurry filling of soil + bentonite, together with the opening
of the trench and compression along the development of cracks; according to procedure already
used.
ACKNOWLEDGEMENT
Acknowledgement to the CERB – Environmental and Water Resource Stare Company for allowing the use
of the GPR data.
REFERENCES
CERB – Environmental and Water Resource State Company (2012): GPR test results from Apertado Dam.
Interim Report, Brazil.
Medeiros, C.H, de A.C. (2013): Special technical inspection, held on 25 and 26/01/2013, with the
objective of verifying the occurrence of a cavity in the floor of the channel surface drainage
Dam Tight. Interim Report, Brazil.
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Issues on Small Dam Development and Management in Korea
Wook Jong Ju
Korea Rural Community Corporation, Uiwang-si ,Korea
juwookjong@gmail.com
Jeon Young Ryu

Korea Rural Community Corporation, Uiwang-si ,Korea
ABSTRACT
In Korea, the staple food is rice and rice-farming has been engaged in since three hundred years
B.C. But the agricultural productivity has been limited by high seasonal variability of rainfall. In
this regards, Many small irrigation dams for the rice-farming have been constructed since the
ancient period (around 300 A.D), which presently amount to Seventeen thousand dams throughout
South Korea.
More than 85% of the small dams have passed over 30 years since the construction. And it
becomes difficult to develop a new dam because it is acknowledged that dam construction would
disrupt environment. In these situations, there are some issues and challenges raised such as 1)
dam safety management, 2) dam capacity under global climate change, 3) inflow of pollutant in the
vicinity of the dam and 4) the shortage of skilled manpower for the dam management.
The South Korea has been doing his best to overcome these issues and challenges, doing following
works; 1) periodic dam safety inspection and diagnosis and rehabilitation, 2) enhancing dam
height and constructing emergency spillway, 3) development of Emergency Action Plan 4) water
quality monitoring and water quality improvement project and 5) facilities modernization project.
In addition, the RIMS(Rural Infrastructure Management System) and FMS(Facilities Management
System) have been developed and utilized in order to manage the agricultural facilities
comprehensively and to give information to stakeholders.
Keywords: Small Dam, Irrigation, Dam safety, Agricultural Water, Dam Management
1. INTRODUCTION
It is assumed that agricultural activities started around 60th century B.C. in the Korean
Peninsula. It was 4th century B.C. when agricultural technology were improved a lot and
irrigation structures such as small dam and weir started to be constructed.
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According to the historical records, many small dams were constructed since the ancient
period and some of which still remains.
(a) Byeokgol-je (Intake gate) (b) Uirimji

Figure 1. Dams developed in ancient period
The staple food is rice in Korea, which is cultivated in paddy. Compared to other crops, the
rice-farming in paddy need much water. In Korea, the high seasonal variability of rainfall
make rice-farming hard. It has been reported that the average annual rainfall is 1,275mm in
Korea. The season that need water most for rice-farming is spring, while 50~60% of the
annual rainfall occurs in summer, which occurs recurrent drought in Spring and flood in
Summer.
In these situation, many irrigation dams have been developed to address the farming
constraints. The irrigation dams presently amount to Seventeen thousand throughout South
Korea.
Figure 2. Uneven Monthly Rainfall Distribution
This paper has been prepared to inform the issues and management on small dam
development in South Korea. The Korea Rural Community Corporation (KRC) is a public-
enterprise which contributes to increasing agricultural productivity and has played an
important roles in development and management of small dams in Korea.
2. STATUS OF IRRIGATION DAMS IN KOREA
Dams, Pumping Stations Head Works and etc. have been used as water resources for
irrigation, while the irrigation dam is the most important water resources in South Korea.
As shown in the Table 1, the total number of irrigation dam comes to 17,505, of which
3,372 dams are operated by KRC and the others are by Local Government. The service
area irrigated by small dams comes to 772,108 ha (around 77% of paddy areas in Korea)
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Even though the irrigation dams amount to over 17,000, 91.7% of the dams covers at most
50ha of service area (refer to Table 2). And most of the irrigation dams (93.1%) have
passed over 30 years. In other words, most of the irrigation dams in Korea are small size
and deteriorated.
Table 1. Water Resources Structures for Irrigation

Total Operated by KRC Operated by Local Gov.
Structures
No. Service Area No. Service Area No. Service Area
Total 71,179 772,108 13,588 517,375 57,591 254,733
Small Dam 17,505 449,105 3,372 340,998 14,133 108,107
Pump. Station 7,614 192,987 4,201 162,557 3,413 30,430
Head Works 44,449 130,016 5,862 13,820 38,587 116,196
Estuary Lake 1,611 - 153 - 1,458 -
Table 2. Status of Service Area of Irrigation Dam

Service Area Sum No area <10ha <50ha <100ha <1,000ha >1,000ha
Number 14,319 545 8,930 3,656 491 660 37
(100%) (3.8%) (62.4%) (25.5%) (3.4%) (4.6%) (0.3%)
Area (ha) 450,013 - 44,048 74,032 35,982 168,954 126,998
(100%) - (9.8%) (16.5%) (8.0%) (37.5%) (28.2%)
Table 3. Elapsed Year of Small Dams in Korea

Total below 30 years 30~50 years Over 50 years
Elapsed Year
No % No. % No. % No. %
Total 17,505 100 1,215 6.9 5,470 31.3 10,820 61.8
KRC 3,320 100 484 14.6 980 29.5 1,856 55.9
Local Gov. 14,185 100 731 5.2 4,490 31.7 8,964 63.2
3. ISSUES AND CHALLENGES
3.1. Dam safety
As described in Table 3, many small dams in Korea have passed over 30 years since their
construction. Actually, there are several dams that was collapsed in Korea. The reason of
dam collapse are mostly overflow of embankment by localized torrential rainfall and
destruction of main structures such as spillway and intakes.
According to the latest report on safety assessment on small dams, 70% of the small dams
should be repaired totally or partially (2011, National Emergency Management Agency).
To make matters worse, the lack of manpower to maintain the small dams is severer,
especially in the small dams operated by local government.
In addition to these situation, localized torrential rainfall by climate change has threaten the
safety of the small dams in Korea.
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Figure 3. Collapse of Dam (Sandae Dam, 2013)
3.2. Dam Capacity under Climate Change
A report indicates that the characteristics of climate change in Korea could be summarized
to following three points: 1) temperature variation : the mean temperature has increased
about 1.7℃ over the past 100 years (global average : 0.74℃), 2) changes in annual rainfall
and its pattern : a) the annual rainfall has increased 19% over the past 100 years and b) the
heavy rainfall (rainfall intensity over 80mm/day) has been doubled compared to that in
1970s and 3) the sea level has increased about 8cm and the temperature of sea water has
increased 1.31℃ over the 40 years.
The increase of rainfall could be a better condition for agriculture. But the matter is that the
flood becomes more severe in Summer and the drought become more severe in Spring
when transplanting in paddy is conducted.
Table 4. Irrigable Area under the drought condition

Recurrent year
Mean 3 year 5 year
Mean > 10 year
~ 3 year ~5 year ~7 year
Irrigable Area
Small Dam 71,204 30,371 13,745 7,262 327,431
Pump. Station 28,722 6,034 8,226 6,101 145,781
Head work 26,255 13,789 5,804 3,728 28,922
others 26,194 9,316 10,142 695 18,267
Sum 152,375 59,510 37,917 17,786 520,401
3.3. Water Quality of Reservoir
Because of increasing population and productive activities around the irrigation reservoir,
the water quality of the reservoir has been degenerated. According to the report on
agricultural water quality in 2013, 138 of the 814 dams whose water quality were annually
monitored was analyzed to be below the standards 1. It’s because of increase in livestock
industries, restaurants, household in the catchment area of the dams.
1
According to the water quality standard in Korea, Agricultural water should meet the following criteria
pH : 6.0 ~ 8.5, COD < 8 mg/L, SS <15 mg/L, DO < 2.0 mg/L, T-P <0.1 mg/L, T-N < 1.0 mg/L
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3.4. Shortage of Skilled Manpower for Dam Management
As shown in Figure. 3, the population in rural area has drastically decreased. The
population in rural area was 44.7% of whole population in 1970 while 5.8% in 2012. This
situation make it hard to secure enough manpower for dam management.
16,000
Total
14,000
> 60
12,000
Population (thousand)
10,000
8,000
6,000
4,000
2,000
0
1965 1970 1975 1980 1985 1990 1995 2000 2005 2010 2015
Figure 3. Population in Rural Area
4. EFFORTS TO OVERCOME THE ISSUES AND CHALLENGES
4.1. Dam safety Inspection and Diagnosis and Rehabilitation
The Korean has conducting safety inspection and diagnosis on dams and has rehabilitated
the dams according to the result of the inspection and diagnosis. The small dams were
classified into two class according to their importance degree. Generally, the class 1
involve the small dams whose effective storage are more than 300,000 ㎥ and the others
were classified into class 2. These small dams are inspected in detail every 1~3 year and
are diagnosed every 4~6 year based on the regular inspection which is conducted every six
month.
Table 5. Classification of small dams for inspection and diagnosis

KRC Local Government Total
Subsum Class 1 Class 2 Subsum Class 1 Class 2 Subsum Class 1 Class 2
Small Dam 3,372 865 2,507 14,105 19 14,086 17,477 884 16,593
25.7% 74.3% 0.1% 99.9% 5.1% 94.9%
4.2. Enhancing Dam Height and Constructing Emergency Spillway
As the consequence of climate change, the heavier rainfall in Summer has threaten the dam
safety and the severer drought in Spring has made it more difficult to irrigate enough water.
To address these problems, the project to enhancing dam height and constructing
emergency spillway was planned. The objective small dams amount to 110, of which 30
small dams have passed over 30 years since their construction and 85 small dams are
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needed to repaired as a results of inspection and diagnosis. 81 small dams of 110 have been
completed by 2013. It is evaluated that 240 million ㎥ of additional irrigation water has
been secured through this project.
Figure 4. Bird’s-eye view of the dams with enhancing dam height
4.3. Development of Emergency Action Plan (EAP)
As described in the previous chapter, the climate change has been affecting agricultural
infrastructures. Taking the current climate situation into consideration, the possibility that
the small dams could be damaged by unexpected disaster has become higher. Actually,
under the typhoon RUSA in 2002, the embankments of two small dams were collapsed,
which could have claimed thousands of lives. In this regards, the Emergency Action
Plan(EAP) has been prepared for irrigation dams. The objective irrigation dams for EAP
comes to 439 dams whose capacities are over 3,000,000 ㎥. The main contents of EAP are
as follows: 1) method to collect data and report on emergency situation, 2) Assessment
method of emergency situation, 3) countermeasures, 4) Communication networks, 5)
responsibility and obligation of related organization, 6) preparation actions and 7)
maintaining and updating EAP.
4.4. Water Quality Monitoring and Water Quality Improvement Project
Water qualities in small dams have been monitored in order to know the status of
agricultural water quality and support decision-makers with reliable and accountable data.
The number of small dams where the water quality has been monitored comes to 800
throughout South Korea. These objective dams were selected based on their importance,
possibility to be degenerated and their volume and service areas. And items that was
measured come to 16 items such as COD, T-N, T-P, SS etc.
According to the water quality monitoring result, the dams whose water quality are below
the criteria for agricultural water could be improved through water quality improvement
project. This project started with Gamdon-reservoir in 2000. As of December, 2013, 19
small dams have been started their constructions, of which 9 small dams were completed.
The main construction items of the project are construction of wetlands, setting basins,
natural stream restoration and so on.
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Figure 4. Concept of water quality improvement project in small dams
4.5. Modernization Project (TM/TC project)
TM/TC (Tele-Metering/Tele-Control) project is aimed for efficient agricultural water use,

equal distribution of agricultural water, rational management against natural disaster,
reduction of management manpower and sharing information.
The water management process of the TM/TC system is as followings: 1) monitoring water
level and water quantity, 2) transmission to the control center, 3) data analysis and decision
making, 4) control water management facilities and 5) feedback of control.
Figure 5. TM/TC project
4.6. Management Systems
KRC has been operated two systems to manage agricultural infrastructures, named RMIS
(Rural Infrastructure Management System) and FMS (Facilities Management System).
These systems are aimed for efficient operation and maintenance and information offering
on agricultural infrastructures such as irrigation dams, head works, pumping stations,
canals and etc.
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These systems linked with RAWRIS (Rural Agricultural Water Resource Information
System) which offers comprehensive information on agricultural water quantity and
quality.
Figure 6. Agricultural Infrastructure Management Systems (RIMS, FMS)
5. CONCLUSION
From the ancient time, rice for which more water is needed has been a main crop in Korea.
The small irrigation dams have been built to irrigate rice paddy field and amount to about
seventeen thousand sites throughout South Korea.
Management of these small irrigation dams is very important, not only because it supply
the irrigation water for staple crop but also because their collapse could threaten many
lives of the downstream.
The elapsed years of most dams are over 30 years. Flood in Summer and drought in Spring
become severer because of global climate change. And the increasing productive activities
make water polluted in rural area. Accordingly nowadays there are several issues and
challenges that make it difficult to manage the small dams such as 1) dam safety, 2) dam
capacity under global climate change, 3) water quality of small dams and 4) shortage of
skilled manpower for dam management.
The South Korea have tried to address these issues and challenges through 1) dam safety
inspection and diagnosis, 2) enhancing dam height and constructing emergency spillway, 3)
development of EAP, 4) water quality monitoring and improvement project, 5) facilities
modernization project and 6) Management system for agricultural infrastructures.
These efforts are evaluated to help overcome the issues and challenges. But there are still
some constraints that make these effort not effective, which include that the management
organization is not unified. Korea has been doing its best to manage irrigation small dams
safely and accountably.
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PRE ELEMENTARY EVALUATION OF OBEL-OBEL UNDERGROUND DAM
INDONESIA
Ahmad Taufiq
Recearch Center for Water Resources, Ministry of Public Works, Indonesia
ahmadrentcar@gmail.com
Deasy Rosliani
Edwin Ruswandi
ABSTRACT:
Session 2. Engineering Issues In Dam Development

Keywords: Underground dam; subsurface reservoir; groundwater
Underground dam is alternative way to store water for many purposes. This structure is
implemented without resettlement people in surrounding area and does not disturb. This reservoir
keeps subsurface water that added by recharge from surface water. This paper describes a
preliminary evaluation of the Obel Obel Underground Dam, based on limited data collecled during
the period of study, such as topographical, geological, hidrogeological data, as well as
hydrological and land use data. The comprehensive evaluation had simulated by PLAXIS program
to know the process of groundwater increasing and also to select the best workable method in
constructing. Hydrological evaluation was calculated the volume of recharge and volume of
groundwater flow with rainfall runoff NRECA model. The evaluation also shows must be careful in
elevation of spillway.
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1. GENERAL INTRODUCTION
1.1 Background
At this time there are a lot of changes such as increasing population, land use change and
the development of an area, thus resulting in the need for increasing the raw water. While
the availability of raw water in every region in Indonesia is not the same depending among
other things on the topography, geology, especially resevoir and rainfall conditions
(climatology). This can hamper the pace of establishment and regional development in the
area concerned.
This research activity is carried out in the River Lokok Rendang, Obel-Obel, Lombok
Island. At this location, we can found a condition in which the river water just exist in the
upstream not to downstream, this is due to water seeping into the alluvial soil become
groundwater (Figure 1 and Figure 2).
Figure 1. The condition of LokokRendang River in the upstream.
Figure 2. The condition of LokokRendang River in the downstream.
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Considering this underground river phenomen, then planned the application of an
underground dam technology using retaining wall design based the parameters and
subsurface conditions following simulation of the groundwater flow movement in the
alluvial soil system.
In preparing the design technology of retaining wall for underground dam, starting with the
geotechnical field data processing and topography also its parameters to analyze the
stability and seepage to design and prepare technical specifications with the help of Plaxis
program.
1.2 Aim and Purpose
The aim of this study is give pre elemntary result for Obel obel Underground dam. The
purpose of this study is to get reaining wall design technology for underground dam which
is the main component of the underground reservoir that meets the safety criteria of
stability and seepage especially in alluvial areas, so that people can take benefit from the
construction of underground dams to increase the raw water supply.
2. LITERATURE
2.1 The Underground Dam Technology
The basic theory that used to study the underground dam is using the principle of ground-
water flow with the Darcy’s Law. Groundwater flow that moves from high potential to low
potential with the balance equation and Darcy's law can be dammed at a particular
elevation or head as a backup reservoir of water beneath the surface
Underground reservoir is a reserves of raw water with a construction that is built to get the
groundwater flow from a natural aquifer or aquifer artificial, constructed with an
impermeable lining. Another definition as the wall starting from impermeable layer
extends upward to the surface layer of alluvium, causing the formation of the reservoir
basin during the rainy season. Two main types of subsurface dam are the submersible and
submerged reservoar underground dams (Santos and Frangipani, 1978; Silva and Rego
Neto, 1992), as shown in Figure 3 and Figure 4.
Figure 3. The submersible reservoar type (submerged)
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Figure 4. The submerged reservoar type (immersed)
In type 1 water stored above and below the alluvial layer, while in type 2 impermeable
wall at the submerged underground dam, covered by alluvial layer and water stored in
saturated soil layer. Advantages and disadvantages of submerged and submersible
reservoar types as in Table 1.
Table 1. Comparison type of underground dam
Factor Submerge Submersible

Water Water loss Maximal and Constant
Season Sub-Tropical (Tropical) Sub-dry area, greater
Area evaporation
Depth Unlimited Limited
Sea Water Water resources Preventing Sea Water Intrusion
Pressure Lifting Structure stability
Hydraulic Preventing gradient Easy to collapse
Cost Economic More expensive
Equiment Need embankment material Using High-Tech equipments
Biology Controlled Hard to control
Example In Japan Mexico, China, Japan
Water Control and Need Facility Need Additional Facilities
Quality
Factors that must be considered in the calculation of underground dam construction are the
average rainfall, average flow velocity of groundwater, porosity and soil texture or rock,
salinity if adjacent to the sea, aquifer capacity and impermeable bedrock depth.
The problems that commonly arise in the underground dam are water loss due to leakage,
or seepage through the impermeable wall, and not precisely drainage at the natural flow
direction.
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The selection of impermeable retaining wall construction shown in the following in Figure
5.
Figure 5. Construction type of underground dam
The selection of construction methods including the method of:

a) Cut and fill
b) Curtain Grouting
c) Combination of grouting – cut and fill
d) Soil mixing wall
e) Large diameter drilling
The cost which is used to build the underground dam depend on the dimensions of the
retaining wall, the material used, the depth of impermeable rock layers, and the availability
of human resources. Underground dam must be built with careful consideration if it is to
function effectively. For example, impermeable walls must widen toward the bottom to
prevent seepage or leaks.
2.2 Plaxis Program

A Plane strain model is used for geometries with a (more or less) uniform cross section and
corresponding stress state and loading scheme over a certain length perpendicular to the
cross section (z-direction). Displacement and starains in z-direction are assumed to be zero.
However, normal stresses in z-direction are fully taken into account.
Figure 6. Example of a plain strain.
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2.2.1 Elements
The 15-node triangular element provides a fourth order interpolation for displacements and
the numerical integration involves twelve Gauss points (stress points). It has produced high
quality stress results for difficult problems. One 15-node element can be thought of a
composition of four 6-node element, since the total nuber of nodes and stress points is
equal. Nevertheless, one 15-node element is more powerful than four 6-node elements.
Figure 7. Position of nodes and stress points in soil elements.
2.2.2 Phi-c reduction (safety analysis)

A safety analysis in Plaxis can be executed by reducing the strength parameters of the soil.
This process is termed Phi-c reduction and is available as a separate type of calculation. A
safety analysis can be performed after each individual calculation phase and thus for each
construction stage. Phi-c reduction ends in a state of failure. The total multiplier ΣMsf is
used to define the value of the soil strength parameter at a given stage in the analysis :
3. METHODOLOGY
The stages research of underground dam technology implementation, are as follows:
1) Location selection
2) Feasibility study
a. Social Survey (reviewing surrounding communities)
b. Geology survey (mapping and test pit at the dam site and reservoir area)
c. Geotechnical survey (geoelectric for soil stratigraphy and laboratory testing)
d. Topography survey (situation and cross-section measurements)
e. Hydrology survey
f. Hydrogeological survey
3) The selection of impermeable walls construction
4) The selection of material to be used in impermeable wall construction
5) The selection of construction method
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6) The design of addition facilities for controlling pollutant materials or contaminants
7) Seepage and stability analysis
8) Make pre elemnatary conclusion
4. DATA EVALUATION AND ANALYSIS

4.1 Geology Study
The geology survey result in the areas of Lokok Rendang and reservoir as follows :
a. The catchment area is quite extensive
b. In the upstream the discharge is quite large, to the downstream the water flow is
disappear
c. The rocks on the left and right cliffs relatively more resistant than the river body.
d. There are waterworks that can be functionalized again to drain the water to the
downstream.
e. The thickness of the alluvial soil is not too thick, a thickness of 12 meters
4.2 The Results of Geo-electrical Survey

From the geo-electrical survey on as of the underground dam get obtained interpretation of
geological cross section as follows:
a. Alluvial : consists of pumice tuff stone, light brownish gray to yellowish white, fine to
coarse grained, andesite boulders, loose, large porosity, with a depth of 0-12m.
b. Tuffaceous clay: impermeable clay rocks containing tuffs, and is expected to thin out
towards the downstream, with a depth of 12-50 m.
c. Breccia lava and Lava : gray, lava breccias composed of gravel and volcanic boulder
with a basic mass of volcano mud, while lave is formed of basal andesite, hollow and
structured flow.
Figure 8. Geological cross section from Geo-lectrical Interpretation Results
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4.3 Landuse
The land use condition generally include of rice fields, forests etc. Land use map derived
from Bakosurtanal with a scale of 1: 250,000 (Figure 9), this map is used to determine the
land use condition in the study area. So from the land use map and topography
characterizing its catchement area. In general, land use in the study area is still dominated
by fields, forests, plantations and the rest of the settlement. The need for land use data is
used for the dependaple flow calculation.
Figure 9. Lokok Rendang River catchment area.
4.4 Hydrological Analysis

The calculation results of the monthly discharge using Mock, presented in graphical form
in Figure 9 to Figure 11. While the results of the full calculation are presented in Table 2 to
4.
Table 2. Dependable Flow Calculation Result
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Figure 10. Dependable flow calculation result using Mock method
Table 2. Dependable Flow

Debit
No. % Terlampaui 3
(m /det)
1 4.17 1.51
2 8.33 0.84
3 12.50 0.77
4 16.67 0.64
5 20.83 0.52
6 25.00 0.20
7 29.17 0.15
8 33.33 0.11
9 37.50 0.09
10 41.67 0.09
11 45.83 0.09
12 50.00 0.07
13 54.17 0.072
14 58.33 0.063
15 62.50 0.058
16 66.67 0.048
17 70.83 0.041
18 75.00 0.040
19 79.17 0.037
20 83.33 0.034
21 87.50 0.032
22 91.67 0.026
23 95.83 0.023
24 100.00 0.019
From the analysis obtained :
a. Q90 = 0.028 m3/s
b. Q80 = 0.037 m3/s
c. Q60 = 0.061 m3/s
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Figure 11. Flow Duration Curve of dependable flow
In connection with the flow discharge limitation, dependable flow calculation is done with
a NRECA method.
Table 3. Dependable Flow Calculation Result
Figure 12. Dependable flow calculation result using NRECA method
Table 4. Dependable Flow
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Debit
No. % Terlampaui 3
(m /det)
1 4.17 1.12
2 8.33 1.54
3 12.50 0.68
4 16.67 0.51
5 20.83 0.38
6 25.00 0.29
7 29.17 0.22
8 33.33 0.16
9 37.50 0.12
10 41.67 0.09
11 45.83 0.07
12 50.00 0.25
13 54.17 0.145
14 58.33 0.122
15 62.50 0.108
16 66.67 0.091
17 70.83 0.081
18 75.00 0.068
19 79.17 0.061
20 83.33 0.046
21 87.50 0.034
22 91.67 0.029
23 95.83 0.020
24 100.00 0.015
From the analysis obtained :

a. Q90 = 0.031 m3/s
b. Q80 = 0.058 m3/s
c. Q60 = 0.116 m3/s
Figure 13. Flow Duration Curve of dependable flow
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4.5 Stability Analysis
Excavation depth of 12 m to build a dam feared could cause a landslide occurs. Thus, to
make the dam so soil excavated with certain slope and depth and to avoid sliding as in
Figure 1. The excavation is planned divided into 4 stages. In this excavation dewatering
process is carried out using pump to prevent erosion reed. Water level decrease with the
addition of excavation depth. Associated with the decline in groundwater levels in order to
do the pumping test calculations for dewatering.
In the excavation phase 1 and 2, the critical area is at the base excavation, but in the
excavation stage 3 and 4 the critical areas at the inclined plane excavated. With excavation
using geometry and construction phases obtained the value of the safety factor, SF = 1,
0854. This value approaches the critical value of SF = 1. At this stage it is recommended a
reinforcement.
Table 7. Parameters used

Depth Layer  (kN/m³) C (kN/m³) Φ (°)
0-12 Alluvial sand 18 10 35
>12 Breccia 19 50 45
Covered layer 17 30 10
*note : from the test results interpretation of permeability and sieve analysis, because can
not performed the soil test (sandy soil)
30 m
2m
1:
2
1: 12 m
4
12 m 1:
1
1m
10 m
Figure 14. Excavation stage of 1
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5. CONCLUSION
1. Pre-elementary evaluation of Obel obel underground dam based on geology study,
geo-electrical survey, hydrology survey and stability analysis
2. The results of the preparation of the engineering geological maps and plans as
Rendang Lokok inundation area is composed of members of tuff lithologies rocky
pumice, lava breccias, and -old lava quarter is the result of volcanic activity group
consisting of Lombok, Alluvial river depth of 0-12 m, tuffaceous clays depth 12-
50 m, breccia lava and Lava depths greater than 50 m.
3. From the analysis of hydrology in the axis, plan in the underground dam - Obel
Obel as follows: Q90 = 0.031 m3/second; Q80 = 0.058 m3/second; Q60 = 0.116
m3/second.
4. Based on the results of the well test interpretation of geoelectric and then the
underground dam location. The location of the dam axis is 15 feet long and 12 m
deep of alluvial.
5. Pre design of Obel Obel underground dam get the best alternative is by cut off
wall with staging contruction and concrete barrier wall. Excavation first and
second steps obtained safety factor value, SF = 1, 0854. Excavation third and
fourth at the critical field has critical value SF = 1, at this stage strenghtening is
recommended. During excavation dewatering process is required
II - 340
6. REFERENCE
Mori, K., M. Asano, and T. Shirakawa. 1996. Lithologi and Permeability of Lyukyu
Limestone in Sunagawa Subsurface Dam in Miyakojima (in Japanese). The
Japan Geology Association.
Nishigaki, M. Kankam-Yeboah, K. Komatsu, M., 2004, Underground dam technology in

some parts of the world, Journal Of Groundwater Hydrology.
Research Center for Water Resources, Ministry of Pubic Work. 2013. Final Repor,
Research of Underground Reservoir. Unpublished
Research Institute for Water Resources in cooperation with Japan Green Resources
Agency, 2004, Proceeding of the Seminar on Subsurface Dam Technology
as an Alternative Measure for Water Resources Conservation
II - 341
INTERNA
ATIONAL SYMPOS
SIUM ON

ndonesia, Ju
Leakkage Evaaluation frrom Founndation off Old

Embankment Dam by Instru umentatioon Data A
Analysis an
nd
G
Geoelectri
ic Field Tests:
T A Case
C Studyy on Mah
habad Dam m
F. Jafa
arzadeh
A
Associate Proffessor, Shariff Univ. of Techh. & Managing Director, Abbgeer Consultting Engineerrs Tehran, Irann,
fardin@
@sharif.ir
S. Yo
oosefi
M.Sc., Geotechnical Engineer,
E Abgeeer Consulting Engineers,
E Tehrran, Iran
Syoosefi@Allum.sharif.edu
M. Banikh
heir, H. Gha
asemzadeh
h, A. Akbarri
M.Sc.,, Geological Enngineer, Abgeerr Consulting Enngineers, Tehraan, Iran
M.Sc. & PhhD., Geotechniccal Engineer, Abgeer
A Consultiing Engineers, TTehran, Iran
ABSTRAC
CT:
Mahaabad Earth DamD is locateed in North West W of Iran in the upstreeam of Mahaabad city. Th his 47.5 m
high and 700 m longl zoned dam
d was buillt with inclin
ned clay coree and rockfilll shell in 19970. Dam
founddation in cenntral part consists of aboout 20 m san nd and graveel alluvium ddeposits und derlain by
shalee and limestoone. In abutmments bed rocck level is inccreasing andd thickness of alluvium decreases.
d
Instruumentation system
s of thhis dam for monitoring
m seepage
s connsists of 7 sttandpipe pieezometers
(Casaagrande) in left and rigght abutments, 16 stand dpipe piezommeters in dam m body and d also 12
standdpipe piezommeters along the longituddinal axis of the t dam locaated in dam bbody and fou undation.
Instruumentation data
d have been scrutinizeed and analyyzed in orderr to uncover aany potentia al leakage
path through dam m body or its i abutmentts. The resu ults of these piezometerss are compa ared with
seepaage numericcal analysis which was performed by Geostudiio (Seep/W) software. For F more
investigations thee Geoelectricc survey methhod as one of the surfacee geophysicaal methods, conducted
c
in 4 profiles
p coveering both abbutments andd dam body and a foundatioon. Effective depths of geeoelectric
surveeys were abbout 40 m. According to the results of prevvious and ppresent geotechnical
excavvations and geoelectric measuremennts, it was cleared c that left abutmennt mostly co onsists of
Limesstone includding karsticaal cavity annd right abu utment is composed off travertine deposits.
Accorrding to thesse results, thee potential zoones for watter leakage coincide
c withh cavities in limestone
l
and crashed
c zonee (fault and jooint) and theese are in agrreement withh instrumentaation analysiis.
Keyw
words: Embaankment Dam
m, Leakage, Instrumenta
ation Data Analysis,
A Geooelectric surrvey.
1. IN
NTRODUC
CTION
In most
m of em
mbankment dams leakage to som me extent exists
e from
m dam bod dy or its
founddation. Thee permeabiliity of most compacted earthfill core materialss is less thann 10-8 or
10-9 m/sec. By comparisonn virtually all rock fo oundations have rock mass perm meability
greatter than 1 lugeon.
l Fouundations of
o alluvial or
o deeply weathered
w aand lateritised rock,
may have mass permeabilitty as high as 10-3 – 10-5 m/sec. As a result moost of the seeepage is
throuugh the fouundation, noot the embaankment, annd significannt rates of seepage maay occur
II - 342
(R. Fell 2005). In the words of ICOLD (1989): ‘It is generally accepted that safety does not
depend only on proper design and construction, but also on monitoring actual behavior
over the service life of structure’. Excessive seepage in the foundation of the dam threatens
the reliability of the structure, so it should be monitored through the service life of dam.
ANCOLD (1983) define monitoring as the observing of measuring devices that provide
data from which can be deduced the performance and behavioral trends of a dam and
appurtenant structures, and the recording of such data. From dam safety point of view, the
amount of this leakage should be monitored and the owner of the dam must make sure that
it is not increasing or carrying fine materials. First step to stop the water escaping is
finding the leakage source(s) located in potential zones in dam body, foundation and
abutments, and then proper remedial actions must be taken in consideration. The most
common device for pore water pressure measuring and also monitoring seepage, and
effectiveness of drains, relief wells, and cutoffs is the piezometer.
Geophysical methods play an important role in mapping seepage paths and monitoring the
changes of the seepage with time. Geoelectric is an active geophysical method that
employs electrical current to examine the subsurface earth materials. Electrical prospecting
methods are particularly well adapted to geoelectrical discontinuities, faults, and water
investigation (Loke, 1995). Among these methods, Electrical Resistivity Tomography
allows to conduct fast data acquisition and to obtain underground 2D images with high
resolution suitable for fracture identification (Nguyen, 2005).
2. PROJECT DESCRIPTION
Mahabad Earth Dam is located in North West of Iran in the upstream of Mahabad city.
This 47.5 m high and 700 m long zoned dam was built with inclined clay core and rockfill
shell in 1970, see Figure 1. Dam foundation in central part consists of about 20 m sand and
gravel alluvium deposits underlain by shale and limestone. In abutments bed rock level is
increasing and thickness of alluvium decreases. Seepage from foundation is controlled by a
20 m cutoff wall below the valley ground surface into the less impervious layers and also
12 relief wells near the downstream toe of the dam. Grout certain also constructed in one
main row and series of minor rows displaced 2.5 m in both right (340 m) and left (320 m)
abutments.
Figure 1. Maximum cross section of Mahabad Embankment Dam
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Geological structure of dam area and its reservoir include anticline fold that its axis located
in Mahabad River trend, and layers lean to the river valley. In dam location beds incline to
the upstream and in reservoir incline to the downstream. Lithological sequences of dam
restriction are Mesozoic layers that belong to Cretaceous period, third era formations that
belong to Paleogene and Neogene, and, finally, there are deposits of Quaternary period
which include Pleistocene and Holocene Epoch. The underneath layer of Cretaceous period
includes shale, clay stone, sandstone and marly limestone, and the highest layer of this
period includes limestone with interlayer’s of dolomite. Paleogene and Neogene sediments
are formed by limestone Conglomeratic sandstone, pitted limestone and finally travertine.
These rocks are covered by blend of clay; sand and altered brecciate limestone which has
20m thickness. Travertine located in part of right abutment. Sediments of Quaternary
period include fine and coarse fragments and alluvial deposits that have 20m thickness.
Generally, the left abutment consists of karstic limestone, river bed covers up with fine
coarse deposits and the right abutment consists of travertine, see Figure 2.
The first remedial action for Mahabad Dam had been performed after the first
impoundment in 1970. To stop the leakage from toe of the dam on the right abutment, a
rock tunnel excavated into this area and the rock foundation had been grouted. In 2002,
some cracks viewed in the boreholes through the geotechnical investigations, but no proper
remedial action has been performed.
Dam crest
Travertine
Alluvial
Limestone & shale
Figure 2. Geological profile of Mahabad dam
3. ANALYSIS OF PIEZOMETRES DATA
Instrumentation system of this dam for monitoring seepage consists of 7 standpipe

piezometers in left and right abutments, 16 standpipe piezometers in dam body and also 12
standpipe piezometers along the longitudinal axis of the dam located in dam body and
foundation. Also, there are 9 electrical piezometers in three rows on the 0+170, 0+220 and
0+300 stations which are out of order. In order to investigate the pore water pressure in
dam body and foundation and also uncover any potential leakage path through dam body
or its abutments, instrumentation data have been scrutinized and analyzed. Furthermore,
the results of these piezometers are compared with seepage numerical analysis which was
performed by Geostudio (Seep/W) software.
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3.1. Piezometers Located on left abutment
In Figure 3 the variation of piezometers water level and reservoir water level are shown
against time. In piezometers L4 and L5 which are located in the left abutment and
downstream of grout certain, the water level is about 8 m less than reservoir water level.
1370
1360
1350 R.W.L
Water Level (masl)
L5
1340 L4
L3
1330 L2
1320
1310
0 365 730 1095 1460 1825 2190 2555 2920 3285 3650
Time (date)
Figure 3. Water level variation of L2~L5 piezometers and reservoir with time
In Figure 4 the variation of water level in piezometers is drawn against the reservoir water
level. The results for piezometer L2 which is located on the right side of the spillway show
proper function of dam for seepage control. In piezometers L3, L4 and L5 which are
located on the left side of the spillway, the piezometer water level increase as we move
further to left abutment.
1370
Piezometer in Reservior (C=100%)
L5
L4
1360
L3
Piezometer Water Level (masl)
L2
1350
1340
1330
1320
1310
1330 1335 1340 1345 1350 1355 1360
Reservior Water Level (masl)
Figure 4. Water level variation of L2~L5 piezometers with reservoir water level
These results show the possible leakage path for reservoir water to the left abutment and
indicate improper function of the grout curtain. Also, surveying the as built plans point out
that the grout curtain on the left abutment had not been completely constructed.
Unfortunately, there are no data about the bottom point installation of these piezometers,
so more discussion about these results can’t be done with certainty. Through the site
investigations a leakage observed on the right side of the spillway and downstream of grout
curtain, see Figure 5.
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Possible Water
Escaping Path Spillway
Figure 5. Wetted zone on the right side of spillway and downstream of grout curtain
3.2. Piezometers Located in Dam Foundation
In 1996 four Casagrande piezometers installed in three different sections of Mahabad Dam,
see Fig 6. Investigating the proper function of the cutoff curtain in dam foundation and
dam’s clay core has been the main purpose for installing these piezometers.
Figure 6. Typical section where Casagrande piezometers installed (Station 0+182)
The variation of water level with time in piezometers installed in station 0+182, are shown
in Figure 7. The water levels in downstream piezometers are lowered because of proper
function of cutoff curtain. Most of the piezometers installed in clay core are out of order
because they are installed in a zone with fine materials which easily plug the piezometer
and make this a very probable incident.
The results for station 0+402 shows upper water level in downstream piezometers in
comparison with the piezometers near the left abutment, See Figure 8. The water level in
piezometer D3U installed in station 0+182 is more dependent to reservoir water level than
piezometer D1U installed in station 0+402, see Figure 9. The reason for these results might
be on behalf of the water paths form the right abutment that made their way to the
downstream body of the Mahabad Dam
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1370
1360
1350
Water Level (masl)
R.W.L
1340 A1D
B1D
1330
D1U
1320
D1D
1310
1300 Time (Day)

0 365 730 1095 1460 1825
Figure 7. Reservoir water level variation and piezometers in station 0+182 with time
1360
1355
1350
1345
Water Level (masl)
R.W.L
1340
PD
1335 D3U
1330 D3D
1325
1320
1315 Time (Day)

0 365 730 1095 1460 1825
Figure 8. Reservoir water level variation and piezometers in station 0+402 with time
1370
Piezometer in Reservior (C=100%)
D3U (Station 0+402)
1360
D1U (Station 0+182)
Piezometer Water Level (masl)
1350
1340
1330 y = 0.367x + 830
1320
1310
y = 0.088x + 1194.
1300
1335 1340 1345 1350 1355 1360
Reservior Water Level (masl)
Figure 9. Water level variation of D1U & D3U piezometers with reservoir water level
II - 347
3.3. Numerical Analysis
Seepage numerical analysis was performed by Geostudio (Seep/W) software for dam
section in station 0+402 at normal reservoir water level (1358.5 masl). It should be noted
that the unsaturated soil properties for different parts of dam are chosen with the default
options available in seep/w software. The material properties are chosen based on the
geotechnical tests results that had been performed through the lifetime of the dam. These
parameters are shown in Table 1 for different parts of dam. The results show that the
downstream of Mahabad dam foundation has a total water level of 1315 (masl). However,
the results from D3U and D3D piezometers show about 15 meter higher water level, which
could be initiated from the improper function of cutoff curtain or another possible water
leakage path from right abutment, see Fig 10. More discussion about this issue is presented
in the following sections.
Table 1. Getechnical parameters of different parts of dam for seepage numerical analysis
Zone (See Figure 2) Kx/Ky Kx (cm/sec)
Clay Core 0.1 1*10-6
Downstream Shell – Coarse Materials 0.1 4*10-3
Upstream Shell - Rockfill 0.1 4*10-2
Filter 1 1*10-2
Drain 1 1*10-1
Downstream Shell – Fine materials 0.1 1*10-5
Cutoff Curtain 1 1*10-7
Upper Layer of Alluvium Foundation 0.2 2*10-3
Middle Layer of Alluvium Foundation 0.2 1*10-5
Lower Layer of Alluvium Foundation 0.2 2*10-3
Rock Foundation 0.2 1*10-6
D3U EL: 1310
D3U EL: 1300
Figure 10. Phreatic line with distribution of total water level at reservoir normal water level
4. GEOPHYSICAL INVESTIGATIONS
Recent excavated borehole logs indicated that the depth of intact rocks is located after 30m
of dam foundation. Alluvial materials (GC-GM) have 10 to 20m thickness; in some depth
such as 17m in alluvial deposits some holes have been detected. Weathered and altered
rocks with 15-20m thickness are located under alluvial. In the bottom outlet tunnel which
is located in the left abutment, it had been observed enormous caverns which were filled
II - 348
with grouting during dam construction; nonetheless geoelectrical survey could not found
these caverns obviously. A geoelectrical measurement is carried out by recording the
electrical potential arising from current input into the ground with the purpose of achieving
information on the resistivity structure in the ground.
The presence of natural voids and cavities in subsurface limestone causes severe problems
for civil engineering. The term subsurface cavity is used to denote all subsurface features
cavities, caves, caverns, voids, karst, and sinkhole. The most abundant natural cavities are
formed by dissolution processes in carbonates (e.g., limestone and dolomite) and
evaporate. In order to detecting subsurface characteristics in dam body restriction, it has
been performed some geoelectrical surveys. Seven profiles were considered to study
geological and geoelectrical properties. Three of them that are considered the most critical
ones have been used for the presented data in this article. In these three profiles the
maximum length and depth are 650 m and 39 m; respectively, see Figures 11 and 12.
Figure 11. Plan of geoelectrical profiles of dam
Analyzed data indicate that there are several fractured zones in limestone and travertine
formations under the dam body and its abutments. Some of these formations have leakage
and some of them are impermeable. According to the results of left profile (profile A),
there is a partially saturated fractured zone in upstream that has been located near the grout
curtain. In the downstream side of this abutment there are limestone formations that are
dry. It means that the grout curtain is working well in this area. In the depth of 30m, under
the grout curtain, there is a humid area that shows leakage. According to the profile
parallel with dam crest (profile C), several leakage areas can be predicted in the dam
foundation. Geotechnical surveys show some evidences of leakage between grouting
gallery and right abutment but results of geoelectrical prospects have contradictory
outcomes. It seems that water existence in this place is due to rainfall. There are also
leakage areas around bottom outlet and joint of grouting gallery. The central area of dam
foundation is approximately impermeable except the area that geotechnical excavation
showed the existence of a washed hole. Geoelectrical measurements show that dam body
does not have any leakage. Third geoelectrical profile (profile F) locates in the right
abutment, and it is perpendicular to the dam crest.
II - 349
Wener-Schlumberger configuration
curtain
Grout
Alluvial
Saturated
Limestone with dry holes (karst?)
Dry Limestone Fraction
zone
Wet Limestone
Wenner-Schlumberger configuration
Grouting
gallery
material
Shell
Shell material Shell material
Leakage area Limestone with
Hydrous dry holes
Humid alluvial Leakage area
Bottom outlet Wet alluvial Wet alluvial Limestone
Wenner-Schlumberger configuration
Alluvial
Limestone with dry holes Limestone &

Limestone with Limestone with dry holes
grout curtain
dry holes
Hydrous Limestone
Figure 12. - Results of geoelectrical profile of dam, Data pseudo section acquired in Wenner-
Schlumberger configuration
II - 350
Results of this profile data indicate that grout curtain in this area has good efficiency but it
does not have good depth, for hydrous limestone has been observed under the grout
curtain. As a result, the drained water from the downstream of right abutment should be
consequence of the water of these hydrous limestone, rainfall and finally, from surface
water of right abutment high lands.
5. CONCLUSION
Instrumentation data have been scrutinized and geophysics in situ tests have been analyzed
for a 44 years old zoned rockfill dam named Mahabad Dam. The piezometers results show
the possible leakage path for reservoir water to the left abutment. However, geophysics
analyzed data indicate that downstream side of this abutment is dry. It means that the grout
curtain is working well in this area, and the possible leakage path is formed in right side of
spillway. According to the profile parallel with dam crest, several leakage areas can be
predicted in the dam foundation. Seepage numerical analysis results compare with
piezometers data, and the results show the possible leakage path from right abutment and
Geoelectrical measurements show that dam body does not have any leakage. Results of
geophysical tests data in right abutment indicate that grout curtain in this area has good
efficiency but it does not have good depth, and the reason for this improper construction of
grout curtain is that hydrous limestone has not been observed under the grout curtain
ACKNOWLEDGEMENT
The presented results in this paper are part of a project conducted by Abgeer Consulting Engineers
Company for Azarbayejan Gharbi Province Water Company as client, which is greatly appreciated.
REFERENCES
ICOLD (1989): Monitoring of dams and their foundations. ICOLD Bulletin 68.
Wilson. S.D. (1985): Monitoring and Safety of Dams, Transactions of the Fifteenth
International Congress on Large Dams, Vol. V: p. 43, Lausanne.
Robin Fell. (2005): Geotechnical Engineering of Dams, Taylor & Francis Group plc,
London, UK.
ANCOLD (1983): Guidelines for dam instrumentation and monitoring systems, Australian
National Committee on Large Dams, Melbourne.
Butler, D.K., Llopis, (1990): Assessment of anomalous seepage conditions. In: Ward, S.H.
(Ed.), Geotechnical and Environmental Geophysics, vol. II, pp. 153-172.
Merkler, G.P., Blinde, A., Arumbruster H., Doscher, H.D., (1985): Field investigations for
the assessment of permeability and identification of leakages in dams and dam
foundations. Q 58, R. 7, Commission Internationale Des Grands Barrages.
M. H. Loke, R. D. Barker, (1995): Least-squares deconvolution of apparent resistivity
pseudo sections. Geophysics, vol. 60, no. 6, pp. 1682–1690.
F. Nguyen, S. Garambois, D. Jongmans, E. Pirard, and M. H. Loke, (2005): Image
processing of 2D resistivity data for imaging faults. Journal of Applied Geophysics,
vol. 57, no. 4, pp. 260–277.
II - 351
INTERNA
ATIONAL SYMPOS
SIUM ON

ndonesia, Ju
Analyysis of Lon
ngitudina
al and Traansverse C
Cracks
on Crest
C of Doroodzan n Earth Dam
D and Left
L Abuttment Lea akage
F. Jafa
arzadeh
A
Associate Proffessor, Shariff Univ. of Techh. & Managing Director, Abbgeer Consultting Engineerrs Tehran, Irann,
fardin@
@sharif.ir
S. Yo
oosefi
M.Sc., Geotechnical Engineer,
E Abgeeer Consulting Engineers,
E Tehrran, Iran
Syoosefi@Allum.sharif.edu
ABSTRAC
CT:
Dorooodzan embankment dam is located on o Kore River in 100 km distance from m Shiraz cityy, Iran. It
is a homogenous
h 52 m high, 750 m longg dam. Seepa age from fouundation is ccontrolled byy a 26 m
cutoff
ff wall below w the valley ground
g surfaace and also by the combbination of uupstream clayy blanket
and rows
r of relief
ef wells near the down-sttream toe of the dam. Aft fter the first iimpoundmen nt in 1973
two springs
s obseerved on doownstream of left abutm ment which haveh not beeen detected in 1954
prelimminarily studies and moost probablyy improper grouting off left bank ccould be bla amed. In
addittion, longitudde and transvverse crackss was noticed d 3to 4 yearss after the firrst impoundin ng on the
dam crest especiially near thhe left abuttment. Doroo odzan dam foundation
f (after 40 m alluvial
depossits in river bed)
b and its abutments consist
c from limestone wiith bedding llayers filled with clay
whichh has a highh potential for f leakage anda water escaping.
e Insstrumentationn of Dorood dzan dam
consiists of 14 staand-pipe pieezometers (G Gasagrande).. Instrumentaation data hhave been sccrutinized
and analyzed
a in order
o to unccover any pootential leaka
age path throough dam boody or its ab butments.
The results of thhese piezom meters are compared
c with
w seepage numerical analysis wh hich was
perfoormed by Geostudio
G (SSeep/W) softtware. Resullts uncovereed the potenntial leakag ge zones.
Furthhermore, strress-strain numerical annalysis with Plaxis-2D softwares hass been perfo formed in
orderr to discoverr the causes of transversse cracks on n crest of Dooroodzan dam. Numerica al results
showwn that the transverse cracks c are due to the differential settlements in zones which w the
founddation has stteep slope and changed from soil to o rock. Also, series equillibrium anallysis with
Slopee/W softwaree is per-forrmed to invvestigate thee downstream m body stabbility dependency to
phreaatic water levvel and otherr geotechnical parameterrs.
Keyw
words: Longiitudinal andd Transverse Cracks, Lea
akage, Instru
ument Data A
Analysis.
1. IN
NTRODUC
CTION
Exceessive seepaage in the fooundation of

o the dam threatens
t thee reliabilityy of the structure, so
it shhould be moonitored thhrough the service lifee of dam. In most of embankmeent dams
leakaage to somee extent exists from dam
d body or its foundaation. In the words off ICOLD
(1989): “It is generally accepted thatt safety doees not depennd only onn proper dessign and
consttruction, buut also on monitoring
m actual behhavior over the servicee life of strructure”.
Fromm dam safetty point of view, the amount
a of this
t leakagee should bee monitored d and the
owneer of the daam must maake sure thaat it is not in
ncreasing or
o carrying ffine materiaals. First
II - 352
step to stop the water escaping is finding the leakage source(s) located in potential zones in
dam body, foundation and abutments, and then proper remedial actions must be taken in
consideration. According to R. Fell (2005), in most cases due to higher permeability of
foundations, most of the seepage is through the foundation, not the embankment, and
significant rates of seepage may occur. Another important parameter that should be
monitored during the service life of dam is the movement and displacement of different
parts of it. So, another serious deficiency that can occur due to differential settlement or
movement of the dam body and its foundation is cracking which is a very common issue in
embankment dam because of their high amount of settlement. In old dams the raising of
the reservoir water level make the dam experience different water level and the moving
water make the fill material experience different situations during dam service life, in
which the shear strength parameters can change dramatically from their designed and
constructed ones. Anyway these defects should be inspected and causes should be defined
in order to make proper remediation action for dam safety.
2. PROJECT DESCRIPTION
Doroodzan embankment dam is located on Kore River in 100 km distance from Shiraz city
in Iran. It is a homogenous 52 m high, 750 m long dam, see Figure 1. Doroodzan dam
feasibility studies and site investigations were carried out between 1950 to 1954 and 1965
to 1966; respectively. The dam constructions started in 1966 and completed in1973.
Instrumentation system of Doroodzan dam for monitoring seepage, other than those
piezometers that are out of order, consists of 14 stand-pipe piezometers (Gasagrande).
Figure 1.Maximum typical section of Doroodzan dam and its foundation at station 0+500
Seepage from foundation is controlled by a 26 m cutoff wall below the valley ground
surface and also by the combination of upstream clay blanket and rows of relief wells near
the downstream toe of the dam. Doroodzan dam foundation after 40 m alluvial deposits in
river bed, and its abutments consist from limestone with bedding layers filled with clay
which has a high potential for leakage and water escaping. Grout curtain in right abutment
constructed in one main row between stations 0+83 to 0+275 with 6 m distance interval
and stations 0+275 to 0+335 with 3 m interval. In left abutment the grout curtain
constructed from station 0+600 further to the left side of spillway. The final depth for left
abutment was supposed to be constructed 35 meter averagely, but in the construction
process, it had been made up to 1650 (masl.) level, see Figure 2.
II - 353

Final depth of grout

curtain construction
Possible leakage path from left

abutment to downstream body
Figure 2. Longitudinal section of Doroodzan dam
3. EVALUATION OF LEAKAGE SOURCES
After the first impoundment in 1973 two springs observed on downstream of left abutment
which have not been detected in 1954 preliminarily studies and most probably improper
grouting of left bank could be blamed, see Figure 2. The variation of spring’s water flow
against time is drawn in figure 3.
450 1685
Spring water flow
400
Reservoir water level
1680
350
Spring water flow (liter/sec)
Resevoir water level (masl)
300 1675
250
1670
200
150 1665
100
1660
50
0 1655
0 1000 2000 3000 4000 5000 6000 7000 8000
1994 Time (Day) 2013
Figure 3.Variation of spring water outlet and reservoir water level vs. time
Before 2001 the spring water flow data are much higher than the results after 2001, but no
remediation action or other changes have been made between the years 1994 and 2001. So,
the changes are most probably because of the method of reading the results. However,
results show that the amount of water outlet is very sensitive to reservoir water level
change. Also, by drawing the results against reservoir water level, it can be seen that water
outlet increase much more for reservoir water level higher than 1675 (masl.). So, it can be
concluded that the water escape from the left abutment occurs for specific reservoir water
level, see Figure 4.
II - 354
400
350 Spring water flow for1994 to 2001
Spring water flow (liter/sec)
Spring water flow for 2001 to 2013
300
250
200
150
100
50
0
1655 1660 1665 1670 1675 1680
Reservior Water table (masl)
Figure 4.Variation of spring water outlet vs. reservoir water level
In order to investigate the pore water pressure in dam body and foundation and also
uncover any potential leakage path or evaluating the curtain cutoff performance,
instrumentation data have been scrutinized and analyzed. The standpipe piezometers of
Doroodzan dam are installed in three rows at 4 different stations, see Table 1.
Table 1.Installation details of Doroodzan’s stand pipe piezometers

Name Station Distance from crest Bottom installation point Location
NP1 0+400 14 1615.71 Upstream
NP2 0+400 12 1629.39 Downstream
NP3 0+400 100 1625.09 Downstream
NP4 0+490 14 1623.95 Upstream
NP5 0+490 12 1620.7 Downstream
NP6 0+490 100 1625.22 Downstream
NP7 0+560 14 1624.62 Upstream
NP8 0+560 12 1626.99 Downstream
NP9 0+560 100 1625.02 Downstream
NP10 0+630 14 1626.41 Upstream
NP11 0+630 12 1621.97 Downstream
NP12 0+630 100 1625.18 Downstream
In Figures 5 to 7 the variation of piezometers water level and reservoir water level for these
mentioned piezometers are shown against time. So, based on these results and the location
of these piezometers on dam body, function of cutoff wall and dam body performance is
not reprehensible. However, results show that, as we move to the left abutment the level of
water in piezometers increases and the dependency of the piezometers water level to the
reservoir water level increases, see Figures 8 and 9.
In the left abutment bed rock level is increasing and thickness of alluvium decreases. The
construction of curtain cutoff is restricted to alluvium foundation, and as it was said before,
proper construction of grout curtain in this abutment had been done with some level of
doubt. So, current left abutment condition can be blamed for the raising in piezometer
water level.
II - 355
1685
Reservoir water level NP1 NP4 NP7 NP10
1680
1675
Water level (masl)
1670
1665
1660
1655
1650
0 1000 2000 3000 4000 5000 6000 7000 8000
1994 Time (Day) 2013
Figure 5.Variation of NP1, NP4, NP7 and NP10 water level vs. time
1690
1680
1670
Water level (masl)
1660
1650
1640
1630
1620
0 1000 2000 3000 4000 5000 6000 7000 8000
1994 Time (Day) 2013
1690
1680
1670
Water level (masl)
1660
1650
1640
1630
1620
0 1000 2000 3000 4000 5000 6000 7000 8000
1994 Time (Day) 2013
II - 356
1637
1636
Piezometer Water level (masl)
1635 NP2 NP11
1634
1633
y = 0.122x + 1426
1632
1631
1630
y = 0.003x + 1623.
1629
1628
1627
1655 1660 1665 1670 1675 1680 1685
Reservoir water level (masl)
Figure 8.Variation of NP2 and NP11 water level vs. reservoir water level
1633
Piezometer Water level (masl)
1632 NP3 NP12

1631
1630
1629
y = 0.075x + 1500.
1628
1627
y = 0.064x + 1518.
1626
1625
1624
1623
1655 1660 1665 1670 1675 1680 1685
Reservoir water level (masl)
Figure 9.Variation of NP3 and NP12 water level vs. reservoir water level
For station 0+680 which is near to left abutment and dam foundation is completely rock,
the effect of rock foundation permeability on the amount of leakage has been investigated.
The selected section and material properties for seepage analysis with Geostudio (seep/w)
software are shown in Figure 10 and Table 2 respectively. Normal reservoir water level
1673.5 is assumed for steady state seepage analysis. It should be mentioned that the
material properties are chosen based on the Doroodzan Multipurpose Project Final Report
by Justin & Courtney Consulting Engineers (1966) and also other geotechnical
investigations that had been performed during the life of dam.
Figure 10.Station 0+680 section with normal water level and used mesh for numerical analysis
II - 357
Table 2.Material properties for steady state seepage analysis
Kx(m/sec) Hydraulic conductivity
Zone name Ky/Kx Material model
(At saturation) estimated method
Saturated /
Dam body 5e-8 0.1 Van Genuchten, 1980
Unsaturated
Saturated /
Dumped rock 5e-3 1 Van Genuchten, 1980
Unsaturated
Rock
5e-7 ~ 5e-3 1 Saturated only
foundation
There are many other parameters that can affect the water flow through dam body and
foundation, which are not in the scope of this paper. However, the results show that if the
grout curtain had been constructed only up to level 1650, the rock foundation in the left
abutment can be a very high potential zone for water leakage, in other words the amount of
water flow through dam in left abutment is very dependent on the rock foundation
permeability which is affected by grouting construction depth and method, see Figure 11.
More surveys on left abutment boreholes shows that less than 1650 (masl) level, the
limestone rock is crushed, so it is more likely to be the leakage source, see Figure 12.
4.00E‐06
Water Flow through Dam(m3/sec)
3.50E‐06
3.00E‐06
2.50E‐06
2.00E‐06 Effect of rock foundation
permeability on water flow
1.50E‐06
through dam 0+680 section
1.00E‐06
5.00E‐07
0.00E+00
1.00E‐02 1.00E‐03 1.00E‐04 1.00E‐05 1.00E‐06 1.00E‐07
Rock Foundation Permeability (m/sec)
Figure 11. Effect of Rock foundation permeability on the amount of water flow (Section 0+680)
1675
1665
1655
1645
1635 Crushed Zone
1625
Line A
1615
Figure 12. Geotechnical boreholes of left abutment
II - 358
4. TRANSVERSE AND LONGITUDINAL CRACKS
Longitude and transverse cracks had noticed 3to 4 years after the first impounding on the
dam crest, mostly near the left abutment. However, at the same time these cracks proved to
be not deep and not dangerous by putting down some test pits. During 1998up to 2001
some new longitudinal cracks had been detected on the crest of dam near the left abutment.
As stated by Moayedi (2010), grouting an impermeable vane in the left abutment in 1992
for reducing the spring leakage can be responsible for these mentioned recent cracks.
Drilling test pits and pouring coloring materials in these new observed cracks had been
done by decedent Abgeer Consulting Company in 1999. This time the investigations
showed that cracks are deep and after 3 meter drilling, crack inclination along the plumb
line was about 10 cm which indicate that these cracks stand on potential slope failure
surface, see Figure 13.Another reason for longitudinal cracking is uneven settlement
between adjacent embankment zones of differing compressibility. Further discussions
about longitude cracks can be done based on instrumentation data for dam movement but
unfortunately these kinds of data are not available at the moment.
Figure 13.Longitudinal crack on crest of Doroodzan dam (Doroodzan Dam - 1999)
Series of limit equilibrium slope stability analysis with Slope/W software is performed for
section 0+630, in which the foundation is completely consist of rock, in order to
investigate the downstream body stability dependency to pore water pressure and other
geotechnical parameters. Table 3 shows material properties for different parts of dam
based on defined zones in Figure 1. Results show that static safety factor is very sensitive
to internal friction angel and also the Ru value which represents the pore water pressure
within dam body, see Figure 15. It should be mentioned that changing material properties
is done for zone 2. The construction reports stated that the borrow material contained more
fine material than it had been expected, so it caused dam body material have lower internal
friction than the designed values.
Table 2.Material properties for equilibrium analysis

Zone Number C (kPa) φ (degree) γwet (ton/m3) γsat (ton/m3)
1 25 20 1.8 2.0
2 22 20 1.8 2.0
3 45 25 1.8 2.0
4 40 23 1.8 2.0
5 0 33 2.0 2.2
6 0 40 2.3 2.4
7 0 30 2.0 2.2
8 0 29 2.0 2.2
13 500 20 2.7 2.8
II - 359
25 Internal friction angle Ru
0.6
20 0.5
Friction angle Ø
0.4
15
0.3
10 Ru
0.2
5 0.1
0 0
0.5 0.6 0.7 0.8 0.9 1 1.1 1.2 1.3 1.4 1.5
Static Safety Factor
Figure 15. Potential failure surface with safety factors lower than 1.5 for station 0+630
As stated by Sherard (1973), steep or irregular rock foundation and also presence of
compressible material in foundation, are the frequent reasons for transverse cracking. It can
be seen in Figure 2 that near left abutment the foundation is steeper than right abutment
which might be the reason for more transverse cracking in left one. Also, after station
0+650, depth of compressible alluvium foundation decreases and completely consists of
rock. These conditions caused differential settlements and subjected some portions of
embankment to tensile strains, see Figure 16.
(a) (b) Station 0+701
Figure 16.Transverse cracks near (a) right abutment and (b) left abutment, spreading more in
transition zone of dam foundation from alluvium to rock (Doroodzan Dam - 2012)
Stress-strain numerical analysis with Plaxis-2D software has been performed in order to
discover the causes of transverse cracks on crest of Doroodzan dam, the results show that
expected zones are more susceptible to transverse cracking, see Figure 17.
Mohr-Coulomb Plastic points
Figure 17.Stress-Strain analysis performed by Plaxis 2D
II - 360
5. CONCLUSION
Monitoring and instrumentation data of Doroodzan dam, a 41 years old homogeneous earth
dam; have been scrutinized. Two main issues of dam behavior were focused on: leakage
from left abutment and longitudinal and transverse cracks on dam crest. Results showed
that the water level in piezometers near the left abutment are higher and are more sensitive
to reservoir water level. Possible leakage path encounter in left abutment and improper
function of grout curtain is responsible for this water escaping. Remediation actions must
be made in order to prevent the water flow into downstream body of dam and future
possible progressive erosion. The remedial action in 1992 was not only effective but also
put the downstream body stability at risk, because the uncontrolled water flow caused
reduction in internal friction angles in downstream body materials. So, the longitudinal
cracks are initiated form slope instability and material erosion caused by the mentioned
uncontrolled water flow from left abutment. Geotechnical and topographic conditions in
left abutment showed that the transverse cracks are due to the differential settlements in
zones which the foundation has steep slope and changed from soil to rock. Further
numerical analysis with Plaxis 2D showed the same expected condition for plastic points.
ACKNOWLEDGEMENT
The presented results in this paper are part of a Monitoring and Retrofitting Project conducted by
Abgeer Consulting Engineers for Fars Province Water Company as client, which is greatly
appreciated.
REFERENCES
ICOLD (1989): Monitoring of dams and their foundations, ICOLD Bulletin 68.
Sherard J.L, Woodward R. J. and Ginzienski S.F. (1976): Earth and Earth Rockfill Dams,
John Wiley and Sons.
Robin Fell. (2005): Geotechnical Engineering of Dams, Taylor & Francis Group plc,
London, UK.
Lee J. Y., Choi, Y. K., Kim, H. S., and Yun, S. T. (2005): Hydrologic characteristics of a
large rockfill dam: Implications for water leakage, journal of geology engineering,
vol. 82. pp. 119-126.
Butler, D.K., Llopis,(1990):Assessment of anomalous seepage conditions. In: Ward, S.H.
(Ed.), Geotechnical and Environmental Geophysics, vol. II, pp. 153-172.
Merkler G.P., Blinde, A., Arumbruster H., Doscher, H.D., (1985):Field investigations for
the assessment of permeability and identification of leakages in dams and dam
foundations, Q 58, R. 7, Commission Internationale Des Grands Barrages.
Van Genuchten, M. Th.(1980): A closed-form equation for predicting the hydraulic
conductivity of unsaturated soils. Soil Science Society of America Journal 44:892-8.
GEO-SLOPE International Ltd. (2008): Seepage Modeling with SEEP/W, Engineering
Methodology, Third Edition, GEO-SLOPE International, Ltd.
Justin & Courtney, Taleghani & Daftary (1966): Doroodzan Multipurpose Project Final
Report, Fars Province Water Company.
Moayedi H., Bujang B, K. Huat (2010): Analysis of Longitudinal Cracks in Crest of
Doroodzan Dam, Electronic Journal of Geotechnical Engineering, 15. pp. 337-347.
ISSN 1089-3032
Sherard J.L. (1973): Embankment Dam Cracking, Embankment dam engineering, John
Wiley and Sons. New York, pp. 272-353.
II - 361
The Safety Criteria for Geotechnical Instruments

on the Internal Erosion in Embankment Dams
C. Thongthamchart
2(14pt) Geotechnical Engineering Research and Development Center, Faculty of Engineering,
Kasetsart University, Bangkok, Thailand
t_chinoros@yahoo.com
P. Brohmsubha
Dam Safety Department, Civil Maintenance Division, Electricity Generating Authority of Thailand,
Nonthaburi, Thailand
ABSTRACT:
Mechanism of failure due to internal erosion in embankment dams has been continuously studied
for the last decade. The lesson learned cases, the laboratory testing and the analytical method were
reviewed. In 2013, ICOLD launched the bulletin which concludes the process of the internal
erosion in the embankment dams. The internal erosion process ICOLD mentioned consists of
initiation, continuation, progression and breach formation. This study presents the manner of
introducing the internal erosion process for the dam interpretation by geotechnical instruments in
order to evaluate the safety of embankment dam. Three levels of safety criteria, namely normal,
alert and alarm are established to indicate the safety status of the dam based on the seepage
behavior of the dam.
Keywords: Internal erosion, Dam safety criteria, Dam instruments
1. INTRODUCTION
The Electricity Generating Authority of Thailand (EGAT), one of dam owners in Thailand,
has been endeavoring to define criteria for several dam instruments in order to identify the
safety of their dams. Even the criteria for warning were mostly established based on the
design, statistical analysis or referred to the well-known researches, but these criteria could
not present the abnormal behavior of the dam which is the most important information for
identifying the safety of the dam.
The Geotechnical Engineering Research and Development Center (GERD) in cooperation

with EGAT have developed safety criteria for the dams of EGAT. Only the criteria for
embankment dams on internal erosion are selected on this paper. The purpose of these
criteria is of course used for explaining safety of dam through internal erosion process.
II - 362
2. THE CONCERNED ISSUES FOR ESTABLISHING THE SAFETY CRITERIA
2.1. Internal Erosion
In 2013, the International Commission on Large Dams (ICOLD) introduced the process of
internal erosion in embankment dams in the ICOLD Bulletin No. 164. The process consists
of initiation, continuation, progression and breach formation. The established safety
criteria for early warning, only initiation and continuation are focused on. Progression and
breach formation are not addressed in this paper. Four mechanisms of initiation and
continuation are briefly described as follows.
2.1.1. Concentrated leak

Concentrated leak occurs when water seeps through existing cracks within the
embankment or its foundation. The water flowing through the cracks causes hydraulic
shear stress on the walls of the cracks. These walls start to be eroded if critical shear stress
of the soil, which indicates value of erosion resistance, is less than hydraulic shear stress.
The critical shear stress of compacted soil is generally above 150 Pa.
The hydraulic shear stress through crack can be estimated from equation (1) where ρw =
density of water in kg/m3, Wc = width of crack in meters, H = head loss in pipe or crack
due to friction in meters, L = length of pipe or crack base in meters and g = acceleration
due to gravity (9.8 m/s2)
 w gWc H
 (1)
2L
Cracks within embankment are caused by several factors such as differential settlement,
quality of soil compaction and geographical features of dam site. Fig. 1 shows the
hydraulic gradient of 10 is critical in case of the crack width of 3 millimeter. With the
critical gradient, the seepage through the crack can generate the hydraulic shear stress
which overcomes the critical shear stress of compacted soil (150 Pa).
600
Crack width
500
3 mm
Wall shear stress, Pa
400 5 mm
10 mm
300
200
100
0
0 1 2 3 4 5 6 7 8 9 10 11
Hydraulic gradient
Figure 1. Relationship between wall shear stress and hydraulic gradient at various crack width
2.1.2. Backward erosion

Backward erosion mainly occurs in embankment or soil foundation that has Plasticity
Index below 7. When exit point is formed in the soil, pore pressure due to the seepage
located around the exit point induces zero effective stress within the soil. The low
plasticity soil particle is then brought out the soil mass. Theoretically, the backward
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erosion can result the decrease of pore pressure in the soil; there is however no monitoring
report of this phenomena.
2.1.3. Contact erosion

This kind of erosion occurs at an interface between layers that differ in their grain size.
With the high velocity of the flow parallel to the contact, the soil particles of the finer
grained layer can be eroded into the coarser grained layer. If the constriction size of the
coarse grained layer is too large for the eroded particles, the contact erosion will go on.
2.1.4. Suffusion
Suffusion is long term erosion that occurs in internally unstable soils or gap graded soils.
The fine particles of the soil can gradually migrate through the soil skeleton, even the
seepage is a low gradient flow.
The dam instruments (piezometer and weir) in present technology can detect internal
erosion only initiated by concentrated leak and backward erosion. Contact erosion and
suffusion have still been detected in the laboratory tests; therefore the safety criteria
presented in this paper is used for internal erosion initiated by concentrated leak and
backward erosion.
2.1.5. Continuation
After internal erosion has initiated, it may terminate or continue depending on
effectiveness of filters. If the constriction size of filter materials is not able to retain the
migrating soil particles, the erosion will go on. The effectiveness of filters can be
categorized as follows.
- No erosion: Filters can completely stop erosion.

- Some erosion: Filters can stop erosion after erosion has initially occurred. Seepage
discharge may increase up to 100 liters/second.
- Excessive erosion: Filters can stop erosion after erosion has continually occurred.
Seepage discharge may be up to 1000 liters/second.
- Continuing erosion: Filters are too coarse soil to stop erosion. Seepage discharge may
be above 1000 liters/second and tends to increase.
It can be concluded that a significant indicator of continuation of erosion is an increase of

seepage discharge and turbidity of leaking water. The more turbidity is found, the more
soil particles are eroded. Therefore, the inspection should be performed in the wet areas
downstream of the embankment and turbidity of the leakage water.
2.2. Dam Instruments and their Limitations
The appropriated type, number of dam instrument and their location as well as adequate
frequency of reading data are needed for giving more opportunities of detection on the
possible internal erosion. Dam instruments widely used for detecting the internal erosion
used are piezometer and seepage measuring weir. Details of these instruments are
discussed below.
2.2.1. Piezometer
Pore pressure and piezometric head can be given by piezometers. At difference step of
internal erosion process, the pore pressure may increase or decrease depending on the
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mechanism of internal erosion. The piezometers should be located based on the previous
studies on geology and result of seepage analyses of each dam.
Fig. 2 shows the configuration of piezometers used in this paper. Even the locations of the
piezometers cover all seepage paths, though the actual seepage path may not pass or
partially through where the piezometer is installed. It seems the configuration of
piezometers sometimes may not detect seepage. Consequently, visual inspection is one of
the measures that can deal with the problem on inadequacy of piezometers.
Figure 2. Configuration of piezometer and relationship between piezometric head and reservoir
water level
During the initiation of the erosion, there is a slightly change of pore pressure which
cannot be observed by piezometer. For instance, the leakage through the crack with 3 mm
width, piezometer installed near the crack can measure an average pore pressure along the
sensing length of the piezometer. It is noted that the piezometer gives the pore pressure in
average, but it not give the exact pore pressure at the crack. When the crack propagates, the
measured pore pressure will be higher than the previous.
The sensing length of piezometer is sizable so the piezometer is unable to detect the
initiation of internal erosion process. And it is unlikely to install piezometer at the location
where the crack is. The safety criteria, therefore, cannot consider the critical shear stress as
mention above. The safety criteria will take the dam behaviors into account instead of
considering critical shear stress values. Internal erosion can be identified via piezometric
head, after the concentrated leak initiated.
For detecting the backward erosion in embankment, piezometers should be installed at

interface between clay core and filter where exit points are expected to form. The
piezometer installed within clay core cannot instantly detect the initiation of backward
erosion. But it can detect backward erosion after the erosion enlarges and the pore pressure
in that area decreased.
2.2.2. Seepage Measuring Weir

Continuation of erosion is anticipated to be detected by seepage measuring weir. The most
of seepage water is necessary to be collected to the weirs and the each weir should indicate
the source of seepage. In some cases, the obtained seepage discharge is a part of seepage
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because whole seepage water cannot be collected. Some weirs do not get only the seepage
water through the embankment, but they may not collect water from both the embankment
and the dam foundation. Therefore, only seepage measuring weir is insufficient to identify
the continuation, visual inspection should be carried out to confirm unusual behaviors of
the dam.
2.3. Safety Criteria for Identifying Safety of the Dam
ICOLD recommends two warning levels, which represent abnormal behavior of the dam,
for dam surveillance as follows.
- Alert: the measured data is out of the expected range, taking into account the common
changes due to cyclic or stationary loads.
- Alarm: the maximum level forecasted by the engineering board whereby the safety
coefficients for the structure are surpassed.
The safety criteria will be therefore established based on the behavior of dam. For instance,
Fig. 3 shows the safety criteria which are placed on the failure path of embankment dams
due to internal erosion initiated by concentrated leak. The alert level enables to indicate
unusual behaviors of the dam as well as their mechanisms of initiation. The alarm
represents the continuation of the erosion, and visual inspection is really needed to confirm
the stability and reliability of the dam.
Figure 3. Example of safety criteria for internal erosion detection
3. MONITERED DAM BEHAVIORS THROUGH INSTRUMENTS
Time history plots of piezometric head and of seepage discharge are usually used for
interpretation the safety of the dam. In the paper, cause and effect plots of them are used in
order to determine the expected range which reveals the usual behavior of the dam.
At the certain reservoir water level, piezometric head during the impounding can differ
from during lowering as shown in Figs. 4 and 5. An important factor influencing the
mentioned characteristics is an elapsed time of reservoir water level maintained. Another
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factor which affects the relationship between piezometric head and reservoir water level is
location of the piezometer. Groundwater level can raise piezometric head in the piezometer
near the abutment. But piezometer located downstream of clay core, adjacent to filters and
behind cutoff wall or grout curtain, the piezometric head in these zone is controlled.
Moreover, piezometric head can be varied due to the accuracy of measuring instruments
and human factor.
1993
145
1994
1995
140
1996
Hysteresis
1997
135
Piezometric Head (m MSL)
1998
1999
130 2000
2001
2002
125
2003
2004
120
2005
2006
115 2007
2008
110 2009
130 135 140 145 150 155 160 165 170 2010
RWL (m MSL) 2011
Figure 4. Relationship between piezometric head at the abutment and reservoir water level
1993
1994
1995
90 1996
Piezometric Head (m MSL)
1997
1998
HOPP-52 = 0*RWL + 84.230 1999
85 2000
2001
2002
HOPP-52 = 0*RWL + 82.265 2003
80
2004
2005
2006
75 2007
130 135 140 145 150 155 160 165 170 2008
2009
RWL (m MSL) 2010
2011
Figure 5. Relationship between piezometric head within the embankment and reservoir water level
Seepage discharge is generally not related to reservoir water level, when cutoff wall and
grout curtain are able to control seepage discharge effectively. However, other factors such
as groundwater or rainfall sometimes cause the fluctuation of seepage discharge. In case of
the embankment dam without cutoff wall or grout curtain, seepage discharge can be related
to reservoir water level as shown in Fig. 6.
100
1999
2000
80
2001
Seepage Discharge (l/min)
2002
60 2003
2004
40 2005
2006
20 2007
2008
2009
0
130 135 140 145 150 155 160 165 170
RWL (m MSL)
Figure 6. Relationship between seepage discharge and reservoir water level
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As mentioned previously, the seepage discharge is a key indicator for identifying the
continuation of internal erosion. The seepage discharge may be related to reservoir water
level as shown in Fig. 7. The situation of seepage discharge can be divided into 3 types
including within expected range, above upper bound and below lower bound. The expected
range represents a possible interval of seepage discharge which the seepage control system
such as cutoff system and filter functions properly. Moreover, this expected range is also
depends on accuracy of dam instruments and measuring.
In case of the measured seepage discharge is not the real one, due to the fact that seepage
water does not entirely pass into the weir. The seepage discharge may not increase
although the pore pressure increases and wet area is detected. For this reason, it is also
necessary to perform a visual inspection.
In term of practice, the piezometers are even installed for a pair. When one of them is
malfunction, another one cannot be used for determining the hydraulic gradient. The safety
criteria are simplified by introducing the relationship of reservoir water level and
piezometric head relying on the individual piezometer. This approach is also applied to
seepage measuring weir. The expected range of piezometric head or seepage discharge as
shown in Fig. 7 is determined by statistical method. The relationship between reservoir
water level and piezometric head is presented in linear function. The slope of the
relationship should decline from upstream to downstream as illustrated in Fig. 2. The slope
in the range from 0.4 to 0.8 is expected for the area upstream of seepage control system.
The slope for the area downstream of impervious element varies in 0.2 to 0.4 depending on
the effectiveness of the impervious element. The slope for the area downstream of the
embankment should be near zero. Unless either grouting curtain or filter is ineffective, the
slope for can be at certain value.
Piezometric Head (m MSL) or
Seepage Discharge (l/min)
Abnormal value
Normal value
Abnormal value
RWL (m MSL)
Figure 7. The status of piezometric head and seepage discharge
4. THE SAFETY CRITERIA
The established safety criteria can give the dam status for 3 levels consisting of normal,
alert and alarm. The normal level implies there is no sign of initiation. The alert level
indicates that initiation has just taken place, but the erosion has been under controlled. The
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alarm level warns that the continuation has occurred. This safety criteria focus on
responses of dam behaviors after the erosion initiated. For concentrated leak, initiation of
concentrated leak is dependent on the critical shear stress which is determined if width of
the crack is available. It seems to detect the initiation from increase of pore pressure or
piezometric head instead. Moreover, results of visual inspection are also considered in this
safety criteria.
The difference of piezometric head, seepage discharge from the previous shows the
behavior of the dam in difference mechanism of internal erosion. The mechanisms of
internal erosion as well as seepage path can be identified by a set of piezometers located in
a configuration in Fig. 2. Two mechanisms on seepage paths of internal erosion can be
identified comprising with 5 patterns as summarized in Table. 1.
The whole frame of safety criteria can be illustrated in Fig. 9. The values of piezometric
head from all locations are used for determining the possible seepage path and for
identifying the mechanism. While the measured seepage discharge will classify the erosion
for alert or alarm level. If the seepage discharge is above upper bound, the alarm level will
be presented. However, it needs to be confirmed by visual inspection at the downstream
area of embankment.
Table 1. The mechanisms and seepage paths of internal erosion can be detected by the system
Seepage path - Mechanism of initiation Considering Criteria
piezometer
(refer to Fig.
2)
through the embankment - concentrated leak 5 , 7 and 8th piezometric head > upper bound
th th
through the embankment - backward erosion 5th and 8th piezometric head < lower bound
through the foundation - backward erosion 4th iexit > icr or FS < 1.5
through the foundation - concentrated leak 1st, 2nd and 3rd piezometric head > upper bound
through embankment into the foundation - 5th piezometric head < lower bound
backward erosion
Furthermore, instability of the downstream slope can take place after an increase of pore
pressure within the slope is addressed. The piezometric head from piezometer No. 6 is
lower than lower bound.
The cancellation of both alert and alarm could be done, when anomalies of the
embankment are not observed and the upper and lower bounds are revised or when the
dam rehabilitation are performed.
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Start
Seepage
H4 correlates
Yes No No Discharge < Yes΅(Drainage System Clogging)
with RWL ?
Lower Bound
(r > 0.3)
?
H4 correlates
No with GWL ? Yes H6 > Upper Bound ?
No Yes
(r > 0.3) (lead to Downstream
Slope Instability)
iexit > icr ? or Backward

Yes No Downstream
FS < 1.5 ? Erosion through
Foundation Slope Instability
Seepage
Yes Discharge > No Parameters
Visual Inspection
Upper Bound Adjustment / Dam
at Downstream
? Foundation
Slope
Rehabilitation
Backward
Erosion
through
Wet Area at
No Downstream Yes
Slope ?
Backward Criterion
Seepage Discharge Yes
Erosion through Adjustment
affected by Rainfall ?
Foundation
Slope Stability
Movement at
No Yes
No Downstream
Slope ?
Visual Inspection
at Downstream Status
Area Confirmation Slope Instability
Slope Instability
Downstream
Slope
Wet Area or No Rehabilitation
Turbid Water ?
Yes
Status
Confirmation
Dam Foundation
Backward
Rehabilitation
Erosion
through Yes H5 < Lower No Yes H8 or H5 < No
Bound ? Lower Bound
Seepage Seepage
Yes Discharge > No Backward Yes Discharge > No Backward
Upper Bound Erosion through Upper Bound Erosion through
? Embankment ? Embankment
into Foundation
Backward Backward
Erosion Erosion
through Criterion through
Embankment Adjustment / Embankment Criterion Adjustment /
Dam Rehabilitation Dam Rehabilitation
Backward
Seepage Discharge Yes Erosion Backward
Seepage Discharge Yes
affected by Rainfall ? through Erosion through
affected by Rainfall ?
Embankment Embankment
No No
Visual Inspection Visual Inspection

at Downstream at Downstream
Area Area
Wet Area or No Wet Area or No

Turbid Water ? Turbid Water ?
Yes Yes
Status Confirmation Backward Status Confirmation

Dam
Erosion through Embankment Backward Erosion through Dam Rehabilitation
Rehabilitation
into Foundation Embankment
Yes H1 or H2 or H3 No Yes H5 or H7 or H8 No
> Upper > Upper
Seepage Seepage
Yes Discharge > No Yes Discharge > No
Upper Bound Concentrated Upper Bound Concentrated
? Leak through ? Leak through
Foundation
Embankment
Concentrated Concentrated
Leak through Leak through
Foundation Criterion Adjustment / Embankment
Dam Foundation Criterion Adjustment /
Rehabilitation Dam Rehabilitation
Concentrated
Seepage Discharge Yes Concentrated
Leak through Seepage Discharge Yes
affected by Rainfall ? Leak through
Foundation affected by Rainfall ?
Embankment
No
No
Visual Inspection Visual Inspection

at Downstream at Downstream
Area Area
Wet Area or No Wet Area or No

Turbid Water ? Turbid Water ? Normal
Yes Yes Alert
Status Confirmation Status Confirmation

Dam Foundation
Concentrated Leak through Concentrated Leak through Dam Rehabilitation Alarm
Rehabilitation
Foundation Embankment
Figure 9. Example of flowchart for evaluating internal erosion in embankment dam
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5. CONCLUSION AND DISCUSSION
The safety criteria are established based on behaviors of the dam due to internal erosion
process. These criteria will be used to detect abnormality and to support EGAT staffs in the
field to carry out a visual inspection. For the initial phase of development, the safety
criteria can identify only internal erosion initiated by concentrated leak and backward
erosion.
Statistical method is applied to determine the expected range that indicates the usual
behavior of the dams. The abnormal behavior is however necessarily confirmed by visual
inspection. With this method, it can also separate the fluctuations of historical data caused
by other factors.
Nevertheless, the safety criteria need to be verified. After the remote monitoring system
completed, the measured data will be compared to this safety criteria in order to provide a
suitable criteria for the dams.
ACKNOWLEDGEMENT
The authors would like to thank team of experts for their sincere discussion and valuable
recommendation including Assoc. Prof. Dr. Warakorn Mairaing, Assoc. Prof. Dr. Noppadol Phien-
wej, Assoc. Prof. Dr. Suwatthana Chittalatakon, Dr. Thanu Harnpattanapanich and Assoc. Prof. Dr.
Suttisak Soralump. The authors would like to thank Danai Wattanadilokkul for his assistance and
suggestion in editing this paper. The authors would also like to thank the Electricity Generating
Authority of Thailand for supporting the useful data and granting permission to the authors to
contribute this information.
REFERENCES
International Commission on Large Dam. (2013): Bulletin 164 Internal Erosion of Existing
Dams, Levees and Dikes, and their Foundations, pp. 151.
International Commission on Large Dam. (2010): Bulletin 158 Dam Surveillance Guide,
pp. 100.
Fell, R., MacGreger, P., Stapledon, D. and Bell, G. (2005): Geotechnical Engineering of
Dams, Taylor & Francis, UK.
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Xayaburi Hydroelectric Power Project

Status report of the implementation of this large Kaplan project
Bernhard Muehlbachler
ANDRITZ HYDRO, Lunzerstrasse 78, 4031 Linz, Austria
Bernhard.muehlbachler@andritz.com
ABSTRACT
THE XAYABURI DAM LOCATED IN LAO PEOPLE’S DEMOCRATIC REPUBLIC, IS THE
FIRST OF SEVERAL DAMS WHICH ARE PLANNED AT THE LOWER MEKONG RIVER. IN
2012 THE CONSTRUCTION OF THIS DAM STARTED AND IN 2019 THE POWER PLANT WILL
START COMMERCIAL OPERATION. IT COMPRISES SEVEN LARGE UNITS, EACH WITH A
RATING OF 182 MW AND ONE SMALLER UNIT WITH A UNIT OUTPUT OF 68.8 MW.
AT SUCH LARGE SCALE KAPLAN PROJECTS AN OPTIMIZED DESIGN OF THE
ELECTROMECHANICAL EQUIPMENT IS NECESSARY TO MINIMIZE THE CIVIL COSTS.
FOR XAYABURI HYDROELECTRIC POWER PROJECT A VERY COMPACT DESIGN WAS
DEVELOPED TO REDUCE THE POWERHOUSE DIMENSIONS FOR THE LARGE AND THE
SMALLER UNITS.
THE DEVELOPMENT OF THE FINAL HYDRAULIC CONTOUR OF THE RUNNER AND
WATER PASSAGE WAS ON THE ONE HAND DRIVEN BY THE REQUEST OF HIGH ANNUAL
ENERGY PRODUCTION AND HIGH CAVITATION MARGIN, ON THE OTHER HAND BY THE
NEED TO ENSURE ENVIRONMENTALLY FRIENDLY BOUNDARIES. TWO DIFFERENT
MODEL TESTS HAVE BEEN CARRIED OUT FOR THE LARGE AND THE SMALLER UNIT IN
ORDER TO FULFILL THE ABOVE MENTIONED REQUIREMENTS.
THIS PAPER WILL SHOW THE STATUS OF THIS REMARKABLE HYDROELECTRIC POWER
PROJECT AND HOW ANDRITZ HYDRO SOLVES THE CHALLENGES RAISED BY SUCH
LARGE SCALED KAPLAN PROJECTS.
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1. PROJECT INTRODUCTION
The Xayaburi HPP is a large run of river plant located on the Mekong River some 70 km
downstream of Luang Prabang in Lao PDR.
Xayaburi HPP
Project Site
Figure 1. Project location
While essentially conceived for a run of river operation, the plant will have the possibility
of a daily peaking operation in dry season, allowing moderate daily fluctuations of the
headwater and tail water levels. It is estimated that the plant may have a daily fluctuation
of the headwater level between 275.00 and 274.50 m asl, and a tail water level fluctuation
up to 1-1.5 m. Further, it might be necessary to lower the headwater level under flood
conditions, to avoid worsening the risk of flooding Luang Prabang.
The project consists of the following main components:
• Navigation system, with two navigation locks with 120 m net length and 12 m width, to
allow navigation of barges up to 500 t capacity between a maximum upstream water level
of 275.00 m asl and a minimum downstream water level of 236.00 m asl, and upstream and
downstream approaches.
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Figure 2. Xayaburi lock and dam (© Poyry)
• Spillway, equipped with ten (10) radial gates 19 m wide and 21 m high, upstream and
downstream stop logs and the associated cranes.
• Intermediate Block, separating the spillway from the power intake –powerhouse complex
and housing the powerhouse unloading – erection area, the Diesel building and part of the
fish passing facilities.
• Power Intake – Powerhouse Complex, including seven (7) Kaplan generating units of 182
MW nominal capacity each under a net design head of 28.5 m, for power supply to EGAT;
one (1) Kaplan generating unit of 68.8 MW nominal capacity under a net design head of
28.5 m, for power supply to EdL; and all electromechanical and hydro-mechanical
auxiliary equipment and systems. A GIS solution will be adopted for the 500 kV plant
switchyard, which will be located in the powerhouse structure. The Power Intake –
Powerhouse Complex also includes seven (7) sand flushing outlets, and part of the fish
passing facilities.
• Fish ladder developed on the left abutment.
• 500 kV double circuit transmission line to Thailand, starting on the left bank of the
Mekong River, crossing to the right bank some 5 km downstream of the Site and then
generally following the alignment of the existing road between Xayaburi Town and Kaen
Thao, near the Lao – Thai Border. This road will be the main transportation route for the
permanent equipment and for the construction materials imported from Thailand.
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2. DEVELOPING THE KAPLAN TURBINES
2.1. Optimized design
At the hydraulic layout, in a very early stage of tendering, the main parameter like runner
diameter, synchronous speed, main dimensions, etc., were determined. It turned out that
because of the huge physical size of these units, the target must be to optimize them in
terms of overall dimension to let the customer benefit from reduced civil costs.
Following the technical main data of the units
Table 1. Technical main data of generating units

EGAT units EdL unit
Number of units 7 1
Runner diameter (mm) 8600 5050
Synchronous speed (rpm) 83.33 150
Rated net head (m) 28.5 28.5
Max. net head (m) 39.0 39.0
Maximum turbine discharge (m3/s) 700 263
Max. turbine output (MW) 182 68.8
Intake width (m) 27.0 17.0
Draft tube exit width (m) 25.2 16.0
In order to reduce the overall dimensions, a small runner diameter must be selected since
all other main dimensions like width and height are related to this figure. For a constant
turbine discharge, a small diameter means higher flow velocities and therefore lower
pressure gradients at the runner blades, which increases the danger of cavitation. Thus, the
decision of the runner diameter is a very important since it must balance the advantages of
small unit dimensions and the advantage to have high cavitation margins. The runner
diameters 8600 mm for the EGAT units and 5050 mm for the EdL units are the result of
the above mentioned thoughts, whereas the dimensions of the EGAT units are the
determining factors for the powerhouse dimensions and therefore the civil costs.
So, the main potential for the Xayaburi powerhouse, meaning the possible reduction in
dimensions can be summarized as follows:
• The Intake structure could be moved downwards by approx. 1.8 m.
• The entire power house downstream structure could be moved 6.0 m to the upstream side,
while at the same time the power house interior walls on the downstream side should be
moved 4.5 m to the upstream side resulting in a minimized generator floor width of 19.7
m.
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Figure 3. Possible powerhouse dimensions
For a total powerhouse length of 302 m, it is obvious which enormous reduced concrete
quantities could be granted if the volumes indicated in blue colors in figure 3 could be
saved. Another benefit would be also the shorter construction intervals and times.
However, at Xayaburi the dam design including all calculations and safety applications had
been completed according to the original design and in order to keep the tight time
schedule the construction will be made without the suggested optimized powerhouse
layout. The conclusion here is that it is strongly recommended to involve equipment
supplier in a very early stage also of civil planning, this could result in reduced cost and a
more relaxed time schedule to the benefit of all parties involved.
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2.2. Tailor made hydraulic development
In the early months of 2013 the preparation for the model tests began. The task was on the
one hand to develop the most efficient and cavitation resistant runner blade geometry in
order to maximize the annual energy, on the other hand to finalize the hydraulic contour at
the stationary parts. Due to the fact that at Xayaburi seven EGAT units and one EdL unit
are foreseen which have different output, discharge, synchronous speed and runner
diameter, two different model developments and witness tests have been carried out. As it
is common practice, first the runner geometry and the hydraulic contour was designed by
means of CFD (Computational Fluid Dynamics).
Figure 4. Pressure distribution on runner blade by CFD
After having optimized the hydraulic shape by CFD, the complete model has been
manufactured and assembled at the ANDRITZ HYDRO hydraulic test rig in Linz / Austria.
Figure 5. Test rig no. 1 at the hydraulic laboratory in Linz / Austria
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Further slight modification at the blade shape to improve the efficiency and cavitation
behavior could be made during the model development at the test stand. Finally the witness
test in presence of the customer and consultant for the EGAT units could be successfully
finished in August 2013. In addition, for the EdL unit, the witness test has been carried out
in December 2013, to the satisfaction of the customer and consultant.
2.3. Environmentally friendly runners
Environmental aspects in the design of hydropower plants became more and more
important in the past. A key issue in this respect for run of river power plants is the mineral
oil in the Kaplan runner hub. The simplified philosophy “better the oil leaks out other than
dirty water leaks into the hub” caused thousands of liter mineral oil polluting the rivers.
And since many rivers got back their drinking water quality, the oil free runner hub is
required and a defined market need at new and rehabilitation projects. Therefore, also for
Xayaburi it was decided to design the runner without having the hub filled with oil,
improving the environmental balance of this power plant.
Instead of oil, the hub is filled with drinking water. In order to avoid corrosion, the water is
injected by a corrosion inhibitor which is similar to lemon acid. This inhibitor binds the
free oxygen in the water and therefore the corrosion can be reduced. This additive is very
well known also as food ingredient and is therefore not hazardous.
Figure 6. Kaplan hub - oil free
Due to the fact that ANDRITZ HYDRO has already more than twenty years of experience
at oil free runner Kaplan runners, also the tightness of the blade seals is provided. The
blade seals are in contact with stainless steel surfaces and very tight in order to prevent
water exchange. The arrangement consists of two seals fitted back-to-back in the housing.
This prevents the ingress of river water and abrasive particles.
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The bearings represent a key part in realizing an oil free runner hub. To find the right
solution for the bearing material, tests of different blade bearing materials have been
performed. The result is a comprehensive data base comprising coefficient of friction, wear
and allowable pressure. Out of this analysis, a bearing material was selected to become a
group standard which exhibits a very low coefficient of friction whether operating in a wet
or dry application. It is an advanced, reinforced, medium-weave polymer material
incorporating a unique low-friction bearing surface, and with the addition of solid
lubricants greatly reduces the coefficient of friction.
Figure 7. Bearing materials
The final machined bushings are glued to the hub and machined to the final dimension.
Peak pressures are analyzed by FEA to prevent overload, whereas the average pressure
should be below 40 MPa. The bearing material allows the bearing to operate effectively
under severe edge loading conditions and are also used in applications like harbor cranes
with bearing pressures at normal operation of 120 MPa.
3. SUMMARY
Xayaburi HPP is a remarkable point in the hydro landscape, since it is the first power plant
at the river Mekong outside of PR of China. Related to energy supply, it will be the third
largest project among those considered for development on the mainstream in the Lower
Mekong Basin. The project is very well known also due to complaints coming from
environmental organizations and some topics could not be touched in this paper, but are
worth to discuss them at another conferences or technical meetings.
Nevertheless, for being the supplier of the electromechanical equipment it always was and
it is still the goal to support the overall project in providing a state of the art, high efficient
and environmentally friendly equipment to generate more than 7400 GWh annual energy.
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An Example of Small Hydropower development in Italy
S. Citterio
ELC Electroconsult S.p.a., Milano, Italy
ABSTRACT
The project described in the present abstract is a “run-off river” plant constructed in the north
part of Italy.
The plant consists of a compact scheme exploiting the existing low head available for the
presence of a wide broad crested regulating weir, built by the River Authority to protect the
piers of the existing railway bridge placed about 400 m upstream. The original weir, existing
before the plant construction, partially collapsed during a flood event and its reconstruction
with a new proper structure was then envisaged, together with a new stilling basin confined by
a downstream counterweir. The central part of the main weir, 100 m wide, was designed as
gravity dam with a traditional Creager profile sized to spill out the design flood of 1,380 m 3/s
having a return period of 200 years. The external existing parts, totaling 150 m, were
maintained subject to a proper consolidation work.
The intake structure, the power canal and the power house with the tailwater canal were
designed mostly underground with the sole exception of the rooms reserved for measuring and
control.
The intake structure is equipped with two series of bulkheads and two trashracks cleaning
machines; the power canal is provided with two upstream sliding gates, whilst the power house
is equipped with a traditional Kaplan turbine 1.1 MW and a synchronous generator directly
coupled. Additional gates and conduits are adopted for the environmental release and for
dewatering the hydraulic circuit. Average yearly output of the plant is 3.5 GWh.
Keywords: Small Hydro, run-off river plant
1. INTRODUCTION
The Project described in the present abstract is a “run-off river” plant constructed in the north
part of Italy.
The plant consists of a compact scheme exploiting the existing low head made available by the
presence of a wide broad crested regulating weir, built by the River Authority mainly to protect
the piers of the existing railway bridge placed about 400 m upstream. On October 2007 the
almost finished weir (first collapse in late 2000) partially collapsed again during a flood event
and its reconstruction by means of a private investor with a new proper structure was finally
envisaged, together with a new stilling basin confined by a downstream counterweir. The central
part of the main weir, 100 m wide, was designed as gravity dam with a traditional Creager
profile sized to spill out the peak design flood of 1,380 m3/s with a return period of 200 years.
The adjacent existing parts, totalling 150 m, were maintained, subject to a proper consolidation
work.
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Due to environmental constraints, the intake structure, the headrace canal and the power house
with the tailrace canal were designed mostly underground (cut and cover technique) with the
sole exception of the rooms intended for measuring and control; also the MV connection line
was designed underground.
The intake structure is equipped with two series of bulkhead gates and two trashracks cleaning
machines; the headrace canal is provided with two upstream sliding gates, whilst the power
house is equipped with a traditional 1.1 MW Kaplan turbine and a synchronous generator
directly coupled. Additional gates and conduits are adopted for the environmental release
(realized by means of a fish ladder) and for dewatering the hydraulic circuit. Average yearly
energy production of the plant is assessed at 3.5 GWh.
After the weir collapse, a careful update of the technical, economical & financial feasibility
analyses, formerly conceived excluding the weir reconstruction, were necessary. The positive
outcome of such studies, also in virtue of the green certificate market regime and the
optimization of the detailed design, supported the Owner’s decision to proceed with the plant
construction. The additional cost of about 2 M€ is entirely borne by the Private Owner of the
HPP.
The construction of new hydroelectric power plants, exploiting existing hydraulic structures, is
one of the promising ways to produce hydro energy in most Italian territory. In the case under
examination only the public interest and the reduced environmental and social impacts allowed
the release of required authorizations.
2. BACKGROUND
The Project area is located on the in the Northern Italy. The River Authority built the original
regulation weir (about 8 m high with a crest 250 m long) with the main purpose to compensate
the slope of the upstream river stretch protecting the railway bridge piles. The weir partially
collapsed in the past with serious damages to the central part.
The following pictures illustrate the Project area location, an aerial view of the original weir
(construction stage before the second collapse) and a wide shot of the weir immediately after
the second collapse. In particular, in Figure 2 (from Google Earth, 2009) it is also visible the
railway bridge about 400 m upstream the construction site.
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Figure 1. Project Area (from Google Earth) Figure 2. Site and Railway: aerial
view
Figure 3. The collapsed original weir (October 2007)
A preliminary analysis performed by the design team on the causes of the structure failure
concluded that the original geometry did not really fit the intrinsic features of the site and the
River.
The river hydraulic regime, characterized by extremely variable seasonal flows, leads to a
torrential behavior associated with sudden increase of River flow and consequent increase of
hydraulic head on the main structure. This caused the amplification of the negative effects due
to erosion induced by seepage phenomenon with high seepage gradient under the weir bottom
foundation. The reasons of the second collapse were ascribed to: the erosion of the foundation
layer in correspondence of the downstream weir toe, the lack of a proper connection between
the foundations of the walls forming the weir, the high seepage below it.
The upstream railway bridge pier shows the evident scouring effects, demonstrating the natural
river erosion behaviour in this stretch. In close proximity to the bridge, as a consequence of the
original arrangement, the river presents kinds of rills and gullies until now and it results evident
the lowering of the talweg and the consequent lateral banks erosion.
This situation stressed the necessity to regulate and compensate the river stretch slope upstream
of the weir, with the consequent protection of the upstream bridge piers from further scour and
erosion.
The performed analyses, which included also geological and geotechnical surveys and studies,
led to a new layout, solving structural problems and complying with environmental restraints.
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It is ought to underline that the costs of rehabilitation of the original collapsed weir were entirely
borne by the Private Owner of the plant.
3. THE PLANT
The plant is a “run-off river” plant consisting of a main Weir with a traditional Creager profile,
Intake Structure, Approach Headrace Canal, Power House building and Tailrace Canal, that are
mainly underground structures, a Stilling Basin and downstream Counterweir. Table 1 gives the
main characteristics of the plant.
Table 1: plant description

Feature Characteristics Note
Main weir 8.00 m high (cut-off 4.00 m deep) Design flood 1,380 m3/s (Rp
250 m wide (including 100 m new 200 yr)
reconstruction Creager profile)
Intake structure 10.0 m wide Two series of bulkhead gates
10.0 m long Two trash racks cleaning
machines
Approach headrace canal 6.00 m wide Underground structure

5.30 m high up to 10.0 m
two upstream sliding gates
Power house 11.50 m long Underground structure

8.00 m wide Average yearly energy
17.00 m high production 3.5 GWh
1.1 MW Kaplan turbine
Synchronous generator directly
coupled
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Feature Characteristics Note
Additional gates and conduits for the environmental release and for dewatering the hydraulic circuit
Tailrace canal 6.00 m wide
2.00 m high
Stilling basin 30.00 m long Boulder protection (20 kN each

mass) with cement mortar.
Downstream counterweir 2.70 m high The counterweir guarantees the

hydraulic jump formation inside
the area covered by boulder.
Fish ladder and passage 50.00 m long Design flood 2.3 m3/s
2.5 m wide Pool and Weir type
3 Design criteria
The present chapter aims to describe the design criteria on the basis of which all the plant items
were designed taking into account the reasons that originated the collapse of the original weir.
A short list of the main aspects that were analyzed and handled is shown here below:
 protection of the river stretch downstream of the weir from erosion phenomena due to
high velocity flow;
 preventing the negative effects caused by seepage phenomena under the weir
 assuring the global stability to the system earth-structure
 optimizing the design process limiting the excavation works and concrete volume
necessary to reach all the preceding purposes
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The scheme of the system weir- counter weir and stilling basin is shown in the picture below.
Figure 4. Weir typical section – main weir, stilling basin and counterweir.
In order to protect the river stretch downstream of the main weir, a boulder protection of the
river bottom was foreseen for a distance of 30 m downstream of the weir reaching a counter
weir. The latter structure was conceived to assure the hydraulic jump formation just inside the
stilling basin, limiting the flow velocity downstream of the counterweir itself and consequently
the erosion of the natural river.
The counterweir height was thus designed in order to force the flow transition from supercritical
to subcritical regimen, locating the same transition inside the basin.
The water level upstream the main weir was calculated with the following equation:
𝑄(ℎ𝑚 ) = µ*𝐿𝑠 ∗ ℎ𝑚 ∗ √2 ∗ 𝑔 ∗ ℎ𝑚
From the above the flow discharge curve Q(hm) was plotted. The flow design assumed was
1,380 m3/s, corresponding to the flood with a Return Period T=200 years.
1600
1600
1400
1200
1000
Q ( hm) 800
600
400
200
0
0
0 0.5 1 1.5 2 2.5 3 3.5 4
0 hm 4
Figure 5. Flow discharge curve Q(hm)
The flow velocity at the toe of the weir was calculated through the Bernoulli equation solved
between the upstream and the downstream weir sections, taking conservatively in account the
kinetic term in the upstream section and assuming no energy losses along the weir profile.
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The depth of the flow after the hydraulic jump was calculated with the classic formula which
balances the total hydraulic thrust of the two sections upstream and downstream the jump.
The water depth downstream of the hydraulic jump is:
ℎ1
ℎ2 = ∗ (−1 + √1 + 8 ∗ 𝐹𝑟 2 )
2
The length of the hydraulic jump was calculated as a function of the difference of the water
depth upstream and downstream of the hydraulic jump.
In order to prevent the negative effects due to the water seepage phenomena under the main weir
concrete, a cut-off was foreseen, founded into the underneath deep clay strata characterized by
low permeability coefficient value (k < 10-11 m/s measured on site).
The concrete cut-off, in addition, has a structural purpose and contributes for the weir to satisfy
the Global stability requirements for the weir established by the Italian retaining structures
Code. The Global stability analysis, with reference to the translation on the foundation plan was
carried out both on the sloped surface described by the bottom corners of the upstream cut-off
and the downstream foundation slab and on the horizontal surface located at the bottom
elevation of the upstream cut-off.
Figure 6. Scheme of the structure
The Global Stability of the weir and the counterweir under seismic conditions was carried out
according to the Italian standards, selecting the seismic ground acceleration for a vibrating
period T=0 s (Concrete block structure) from the design spectrum calculated with reference to
the specific site position.
The seismic verification for the other concrete structures, headrace canal and powerhouse was
instead carried out taking into consideration the interaction between the concrete structures and
the backfilling soil in which the structures were embedded. The maximum actions applied to the
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structural elements during the seismic event were evaluated in relation to the actual resistance
available on the contact foundation surface. The conclusion was that seismic actions were minor
than ones resulting from the application of the most severe combination of the static loads.
4. DESIGN TOOLS
The design team has created a specific computer program in order to optimize the design and
expedite the calculation procedures, in particular related to the design and dimensioning of the
weir and, consequently, of the counterweir (Hydraulic verifications and Global Stability
verification).
The optimization of the design was obtained implementing a specific tool on the base of which
the boundary polyline of the transversal weir section was defined by different polynomial
functions connecting specific reference point with the coordinates depending from the geometric
parameters of the structure.
The connection between the Creager profile and the bottom toe circular chamfer was obtained
imposing the continuity of the polynomial function and the first derivative of the function itself.
The successful idea of the team has been the realization of a “self adapting parametric”
algorithm that, generalizing the calculation processes, allows the simulation of different
configurations for a particular structure, permitting at the same time the optimization of the
construction cost.
In this way, the calculation is speeded up guaranteeing, in any case, the optimization of the
design according to the Standard Codes in respect to the structure shape, volume and cost.
Furthermore, the possible implementation of the program to other case studies becomes easy.
5. CONSTRUCTION PHASES
The Construction of the Plant started on 2009 and finished in 2011. After the mobilization to
the site, the first phase included the controlled demolition and disposal of the existing regulating
weir. A great portion of the existing structure was subjected to demolition and disposal, totaling
125 m, with the aim to realize the new weir, and the underground power plant, indented in the
left river bank. Where required, parts of the existing structure were preserved, treated and used
back to be integrated in the new overall regulating structure. Connections between existing
elements and new ones required particular workmanship during construction phase. The
adjacent existing structures, totaling 150 m, were maintained subject to proper consolidation
works.
Foundations of new main weir and powerhouse were contextually excavated and prepared. The
weir structure was divided into 8 modular blocks, each of them being 12.5 m wide. The end
blocks on both sides, forming the abutments, were raised by the end of summer 2009.
Conversely, only the first construction stage of the intermediate blocks was completed, in order
to allow the river flow to spill during the coming rainy season. A temporary dyke along the left
bank, approx. 3 m high and 100 m long, was raised to protect by flooding the left bank area
assigned to power plant construction.
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During the autumn and winter 2009, the staged construction of powerhouse was progressively
carried out.
Several constraints impacted on the design and construction of powerhouse. As regards the
portion of existing weir to be integrated in the new structure, the exposure, stabilization and
modification of existing vertical concrete walls 6 to 12 m high imposed limitations to the layout
of the power plant, required special construction techniques and health and safety measures.
Other constraints came from the requirements on reference elevations to be maintained in

relation to the important river regulating function of the weir. Also, the necessity to keep the
scheme compact and entirely underground, with reduced power waterways development across
the weir, fish ladder adjacent to the powerhouse and narrow spaces for access, added additional
constraints to the set of the ones already to be managed. For these reasons, four stages of
construction were required, with the frequent implementation of tailored solutions.
In particular, the spiral case, concrete made, required different concreting stages for completion
of the whole water flow path from the headrace canal section up to the steel distributor. The
steel distributor device was directly embedded in the central concrete cone structure during the
1st stage concreting and the turbine pit liner was then assembled on the distributor (Figure 7).
Figure 7. Detail of the steel distributor device and the turbine pit.
In early spring 2010, a flood overtopped the temporary dike with the partial collapse of this
protection work. The flood, caused by sudden snow melting phenomenon, was estimated at
1,000 m3/s, quite similar to the design flood value.
The event did not directly affect the site works, but it caused a slowdown of the activities.
Therefore, it was required to plan a new time-schedule in order to maintain the total time
duration and the main deadlines, considering the close interference between civil and
electromechanical works.
During the Completion of the works, being the main weir already built, the managing of the dry
season flow in the main river required the embedding of five concrete pipes with discharging
bottom outlet in one weir block.
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6. CONCLUSION
The Project described in the paper represents a typical example of a promising way to produce
hydro energy financing the rehabilitation of damaged existing river training structures. The
additional cost necessary for the construction of the main weir was entirely borne by the Owner
of the HPP.
In addition, the recent hydroelectric development policy of the Country would permit the
installation of mini-hydro power plant on the national rivers mainly for projects foreseeing the
rehabilitation of already existing river regulating structures where the turbine flow is discharged
immediately downstream of the weir with limited impact on the river natural flow and wildlife.
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Reliability of conjugation of concrete and rockfill dams

of the Boguchany HPP
A. N. Volynchikov (Ph.D. Tech. Sc), Yu.B. Mgalobelov (Dr. Tech. Sc.), еng. I.V. Baklykov
JSC «Institute Hydroproject», Moscow, Russia
ABSTRACT:
Construction of the Boguchany HPP of 4 000 MW capacity is nearing completion In the East
Siberia on the Angara River. The Project consists of concrete dam. 96 m high. and rockfill dam
with asphalt-concrete diaphragm annual air temperature is 3.20С below zero. The most difficult
element of the pressure front pairing proved concrete and rockfill dam, which should provide
watertight pressure front and independence displacements dams during the construction and
operation with sharp seasonal fluctuations outside temperatures . Developed a special design
asphalt-concrete diaphragm at the junction of key concrete – rockfill dam, which successfully
operates during reservoir filling. The structures rest on rock foundation in the region featuring
severe climatic conditions where the mean.
Design substantiation reliability pairing concrete and rockfill dam was performed on spatial finite
element model «concrete dam – rockfill dam – rock foundation» based on:
• sequence of construction of the concrete dam and rockfill dam);
• sequence of reservoir impoundment;
• variations of ambient air temperature and water temperature in the reservoir;
• non-linear shear deformations at the contacts: concrete dam - rock foundation; concrete
dam - rockfill dam; concrete dam – asphalt-concrete diaphragm; concrete sections relative
to each other in intersection joints; concrete section pillars in interpillar joints.
Keywords: criterion of safety, concrete and fockfill dam, mathematical model.
Construction of the Boguchany HPP of 4 000 MW capacity is nearing completion In the

East Siberia on the Angara River. The Project consists of concrete dam. 96 m high. and
rockfill dam with asphalt-concrete diaphragm (Fig. 1).
Figure 1. Boguchany HPP on the Angara
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The structures rest on rock foundation in the region featuring severe climatic conditions
where the mean annual air temperature is 3.20С below zero.
The interface between the concrete dam and rockfill dam that should ensure
impermeability of the headworks and independent displacements thereof during
construction and operation in the area with sharp seasonal air temperature variations
appeared to be the most complicated and important part of the structure. A special design
has been elaborated for the interface between the concrete dam and the rockfill dam
asphalt-concrete diaphragm successfully functioning in the period of reservoir
impoundment (Fig. 2).
Sensors following up the mutual movements at the contact are provided to monitor the
joint operation of the concrete section and the asphalt-concrete diaphragm (Fig. 3). The
interface behavior is assessed by comparing the sensor readings with the safety criteria
Figure 2. Structural design of the interface between

the concrete dam and asphalt-concrete diaphragm
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developed in the course of designing. The initial values of the safety criteria were
identified by the results of the stress-strain state analysis of the concrete and rockfill dams.
Figure 3. Location of displacement sensors at the contact

between concrete dam and asphalt-concrete diaphragm
The stress-strain state analyses were made on a detailed 3-D FEM mathematical model
covering «concrete dam – rockfill dam – rock foundation» (Fig. 4), which took into
account:
• sequence of construction of the concrete dam and rockfill dam (Fig.5);
• sequence of reservoir impoundment;
• variations of ambient air temperature and water temperature in the reservoir;
• non-linear shear deformations at the contacts: concrete dam - rock foundation;
concrete dam - rockfill dam; concrete dam – asphalt-concrete diaphragm; concrete
sections relative to each other in intersection joints; concrete section pillars in
interpillar joints.
The mathematical model «concrete dam – rockfill dam – rock foundation» consists of 3-D
2-nd order finite elements in the form of tetrahedrons and contact elements. The total
number of finite elements made up 744661 and nodes - 1015167.
The sequence of construction of the structures and reservoir impoundment to the design
level has been simulated in 21 computational stages: first, the concrete dam and rockfill
dam were simulated in 10 stages and then consistent with design schedule impoundment of
the reservoir was simulated in 11 stages. The rockfill dam construction stages are shown in
Fig.5.
During reservoir impoundment hydrostatic load and uplift have been applied to the
concrete dam and hydrostatic pressure – to the asphalt-concrete diaphragm in compliance
with the water level in the reservoir (Fig. 6).
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Figure 4. Mathematical model of concrete dam-rockfill dam interface
Figure 5. Computational stages of rockfill dam construction
Variations of air temperature and water temperature in the reservoir were accounted with
10-day interval. Distribution of temperatures was determined by solving a non-stationary
heat-conductivity problem for which a special FEM model shown in Fig. 7 has been
developed.
The moment of complete erection of the concrete dam and asphalt-concrete diaphragm
with air temperature fluctuations (Fig.8).is considered as initial stage of heat conductivity
problem solution.
It was obtained that after three-year operation quasi-steady-state temperature distribution
mode is established in the structures. Then, consistent with the computational stage of the
reservoir impoundment the water temperature has been applied on the upstream side below
the water level elevation (Fig. 8), while on the downstream side air temperature has been
applied above the water level. After the reservoir is filled to the design elevation the heat
conductivity problem has been solved within the period of three years.
As the result of solution of non-stationary heat-conductivity problem temperature
distribution fields have been obtained with time interval of 10 days.
The water temperature in the reservoir has been accounted depending on the depth (Fig. 8).
With interaction of concrete dam sections, concrete dam pillars, concrete dam and rockfill,
concrete dam and asphalt-concrete diaphragm the forces of interaction may appear
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exceeding the friction between the surfaces. To eliminate this effect special contact
elements have been introduced in the mathematical model making it possible to take into
account non-linear shear strains at the contacts of:
• concrete dam with the rockfill;
• concrete dam with the asphalt-concrete diaphragm;
• concrete dam sections;
• concrete dam pillars in the interpillar joints.
Figure 6. Exposure to water pressure scheme
Moreover, for the possibility of opening the contact between the upstream concrete dam
face and the foundation as well as for non-linear shear strains contact elements have been
introduced at the contact between the concrete dam and foundation (Fig. 9. Table1).
Figure 7. FEM model for solving the non-stationary heat-conductivity problem
The first computational studies have shown that the values of mutual displacements of the
concrete dam and asphalt-concrete diaphragm poorly correlate with the prototype
observation data (Fig.10).
This could be expected because of the difficulties of simulation of the actual physical-
mechanical properties of the concrete dam, rockfill, asphalt-concrete diaphragm and rock
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foundation as well as force and temperature impacts on a mathematical model. Taking into
account that with water level in the reservoir under study at El. 189.5 m, the impact on the
structures is significantly lower than at the FSL elevation of 208.0 m. it was considered
feasible to adjust the physical-mechanical characteristics of the rockfill, i.e. to «calibrate»
the mathematical model.
Figure 8. Fluctuations of air temperature and water temperature in the reservoir by depth
Figure 9. Contact elements
Five calibrations of the mathematical model have been made on the basis of comparative
analysis of the prototype data and computational values of mutual displacements of the
concrete dam and asphalt-concrete diaphragm
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Table 1. Physical-mechanical characteristics of contacts
No. Description Colour tgφ C. MPa
1 contact «concrete-rock foundation» 1.00 0.21
2 contact «rockfill dam-concrete» 0.74 0.00
contact «concrete-asphaltic concrete
3 1.00 0.21
diaphragm»
4 contact «interpillar joint I-II» 1.25 1.00
5 contact «interpillar joint II-III» 1.25 1.00
6 contact «interpillar joint III-IV» 1.25 1.00
7 contact «interpillar joints» 1.25 1.00
Figure 10. Comparison of data on opening the joints in the prototype (sensor 4001001)
with the computational values obtained on uncalibrated model
. The rockfill dam makes the main contribution to opening the contact, since it is more
deformable than the concrete dam. That is why, during calibration of the model local
changes in the modulus of deformation of the rockfill have been made in four zones during
reservoir impoundment (Fig.11):
• zone No.1, which by the moment of filling the reservoir was in frozen condition
and was subject to thawing during impoundment;
• zone No.2, which suffers the action of the headwater;
• zone No.3, which undergoes the action of the ambient air temperature variations;
• zone No.4, which suffers the action of the tailwater.
The initial and revised computational values of the modulus of deformation of the above
zones are presented in Table.2.
Computations on the calibrated model showed good correlation with the data in the
prototype (Fig.12).
Fig.13 gives the results of computations of deformed state of the structure for the 21-st
computational stage after filling the reservoir to FSL 208.0 m and mean ten-day air
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temperature 4.10С below zero. Settlement (vertical movements UY) of the rockfill dam in
this case will make -934 mm in the place of adjoining the dam crest to Section No.34 and -
1058 mm at a distance of 180 m from Section No. 34. Settlement of concrete dam Section
No.34 will make -40.60 mm. So, the difference in settlements between the rockfill and
concrete dams is -893.40 mm.
Table. 2 The initial and revised computational values of the modulus of deformation
For entire height of For entire height of For entire height of
Zone No.2
zone No. 1 zone No. 3 zone No. 4 (Els.135.0
(Els.151.0 – 214.0 m)
(Els. 135.0 - 151.0 m) (Els.151.0 – 214.0 m) – 151.0 m)
Headwater
El. revised within
elevations
initial revised initial initial revised initial revised
El.151.0 – UWL –
UWL 214.0
137.0 45.0 35.0 55.0 55.0
145.0 30.0 35.0 55.0 95.0
165.0 30.0 35.0 55.0 90.0
168.0 28.2 350 55.0 85.0
182.0 26.4 35.0 55.0 80.0
185.0 45.0 24.6 55.0 35.0 55.0 55.0 75.з 45.0 45.0
189.5* 22.8 35.0 55.0 70.0
192.0 21.0 35.0 55.0 70.0
195.0 17.4 35.0 55.0 70.0
201.0 15.0 35.0 55.0 70.0
208.0 15.0 35.0 55.0 70.0
* At the moment of writing the Paper the water level in the reservoir was at El. 189.5 m. therefore, the
values of the modulus of deformation on exceeding El. 189.5 m will be revised consistent with the
prototype data.
Figure 11. Location of zones where the moduli of deformation were revised
The difference in vertical movements UZ across the river channel of the rockfill dam and
concrete dam will be: +66.0– (-7.6) = 73.6 mm (Fig.14). In other words, with the reservoir
filled to FSL elevation of 208.0 m Section No.№34 and rockfill dam crest (asphaltic
concrete diaphragm) are supposed to differ by 73.6 mm.
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Figure 12. Comparison of the contact opening values obtained in the prototype by
4001001с sensor readings with the computational values obtained on the calibrated model
Consistent with the results of computational studies the mutual displacements of the
mathematical model nodes coinciding with the readings of the installed sensors were
treated as the first level criteria К1. Fig. 15 shows the location of displacement sensors and
the values of the first level criteria К1 for them with different headwater elevations up to
the FSL.
Figure 13. Vertical displacement UY. m with FSL 208.0 m.

Viewed from upstream side. Scale of displacement 20:1
With higher values of measured displacements of the first level criteria К1 it is necessary
promptly to make check measurements of displacements and comprehensive analysis of
the behavior of the concrete and rockfill dams and computational studies on the
mathematical model with due regard to new factors identified. On analyzing all the data a
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conclusion shall be drawn with respect to the possibility of further operation of the
structures or elaboration of remedial measures.
Figure 14. Horizontal displacement across the river channel UZ, mm of Section No.34 of concrete
dam and rockfill dam (diaphragm) with FSL 208.0 m. Scale of movements 20:1
The second level criteria К2 are assigned proceeding from the condition of workability
(provision of impermeability) of the node of interface of the concrete dam with the
asphaltic-concrete diaphragm (Fig. 2) and estimated at 450 mm.
Figure 15. Location of sensors and safety criteria К1
If you exceed the measured displacements of the second level criteria К2 the measures to
restore the node of interface of the concrete dam with the asphaltic concrete diagram
should be taken immediately.
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Engineering issues in dam development
Management of aging dams
Bijan Farhangi
Senior Expert, Mahabghodss Consulting Engineers, & ICOLD Past vice-president-Iran
Farhangibijan@gmail.com
ABSTRACT
The ancient land of Iran, with its enduring civilization, is recognized by the world as a cradle of
culture and civilization. Her intellectuals founded, over the centuries, great traditions of
philosophy, science, art and craft, as well as establishing moral values that led to a long-lasting
and harmonious relationship between the individual and society. It is self-evident that in the
development of an ideology based on the three pillars of "auspicious thoughts, actions, and
dialogues", there exists and implicit set of magnificent spiritual guidelines.
The hydro-architecture of Iran has a unique characteristic that makes it different from any other
historical monuments, and this is especially attractive. The historical Fariman dam is located in
Khorasan province in northeast of Iran. The dam is about 400 years old and has since long been
used for flood control and serving the needs of irrigation and industries.
The dam, built of bricks, boulders, cobbles with lime, Sarooj (lime, ash and sand) and wood, was
originally constructed to a height of 4m, but has subsequently been heightened twice, 300 and 72
years ago. Old dam height above foundation is 25 m. The dam has been upgraded due to
overtopping occurring almost every year during the flood season and leakage through the dam
body.
The height of the dam has been increased by about 5 m together with leakage prevention
measures for its upstream face as well as strengthening the old structure in 2001. The Normal
Water Level (NWL) was found to be 72.00 for 100 years flood and the Maximum Water Level
(MWL) was calculated as 73.70 for a flood with 1000 years return period. The crest of the dam has
been kept at El. 74.00 thus keeping a 30 cm freeboard for MWL. Though, there will not be any
overtopping for NWL, but there may be some overtopping for MWL due to the formation of waves
in the reservoir. Overtopping of the dam has been allowed for 10,000 years flood.
The present paper deals with the design and construction aspects of the strengthening, heightening
and leakage control measures as well as, repair and replacement of spillway gates of an ancient
masonry dam.
Keywords: Upgrading Measures, Reinforced Concrete, General layout, Bottom outlets, Spill way
II - 1400
INTRODUCTION
The historical Fariman dam is located in Khorasan province in northeast of Iran. The dam
is about 400 years old and has since long been used for flood control and serving the needs
of irrigation and industries.
The dam, built of bricks, boulders, cobbles with lime, Sarooj (lime, ash and sand) and
wood, was originally constructed to a height of 4m, but has subsequently been heightened
twice, 300 and 72 years ago. Old dam height above foundation is 25 m. The dam has been
upgraded due to overtopping occurring almost every year during the flood season and
leakage through the dam body.
The height of the dam has been increased by about 5 m together with leakage prevention
measures for its upstream face as well as strengthening the old structure in 2001. The
Normal Water Level (NWL) was found to be 72.00 for 100 years flood and the Maximum
Water Level (MWL) was calculated as 73.70 for a flood with 1000 years return period.
The crest of the dam has been kept at El. 74.00 thus keeping a 30 cm freeboard for MWL.
Though, there will not be any overtopping for NWL, but there may be some overtopping
for MWL due to the formation of waves in the reservoir. Overtopping of the dam has been
allowed for 10,000 years flood.
Figure 1. Fariman ancient dam (before upgrading)
The present paper deals with the design and construction aspects of the strengthening,
heightening and leakage control measures of an ancient masonry dam.
UPGRADING MEASURES
Due to the leakage through the dam body, leakage prevention measures were required in
addition to the strengthening and heightening requirements of old dam. After a thorough
investigation, three alternatives were considered for the prevention of leakage through the
dam body namely Figure 2: shotcrete lining with wire mash; Figure 3: Grout curtain lining
in the dam, and Reinforced concrete (RC) lining as shown in the Figure 4. The third
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alternative was finally selected not only because of its least cost and lowest permeability
but mainly because it strengthens the dam section and provides stability as discussed in the
following:
Figure 2.Shotcrete lining with wire mash
Figure 3. Grout curtain lining in the dam
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Figure 4. Reinforced concrete (RC) lining
The dam had to resist the loads much in excess of that it had been resisting in the past
due to increase in its height, thus calling for effective measures for providing stability to
the dam. It is to be noted here that downstream view was required to be unaltered due to
the historical importance of the dam. So, only the upstream face of the dam was open for
alterations.
The measures taken for providing stability include(a) increase in the width of the dam
by providing reinforced concrete lining on the upstream;(b) increase in the weight close to
the heel because of the increase in the weight of water on upstream and weight of concrete
on the crest;(c) reducing the uplift by providing a grout curtain in concrete on the
upstream; and (d) taking the concrete on the upstream up to the firm rock thus making it
possible to have a grout curtain and also increasing the frictional resisting force. It is to be
noted here that the increase in weight close to the heel also increases the resistance of the
dam to sliding.
The concrete on the crest of the old dam has been provided with the arches on the
downstream face not only for aesthetic reasons but also for reducing the seismic stresses in
the old dam body near the crest. The general layout of the upgraded project can be seen in
Figure 5.
Figure 5. The general layout of upgraded project
The dam in the middle of its length (20 to 30 m) is resting over a relatively compressible
strata of sandy gravel, whereas, the rest of the dam is supported over firm rock. Figure 5
also shows one of the critical sections of new dam in the zone where the dam is resting
over sandy gravel, the thickness of upstream reinforced concrete lining varies between 1.2
and 2.0 m and has been lightly reinforced.
Expansion joints at a spacing of about 20 m center to center have been provided in the RC
extension. As shown in Figure 6, the RC lining has been connected to the old dam body
with help of anchors for making the RC extension a part and parcel of the old dam thus
4
II - 403
preventing any separation tendency due to the structural behavior of the dam. The
difference in the coefficient of thermal expansion and also the difference in temperature of
RC and masonry may also cause separation of RC from the old dam.
BOTTOM OUTLETS
There were two bottom outlets one each in left and right portion of the old dam. The
outlets were having radial gates at about 10 m from the upstream face. The radial gates
were manually controlled with the help of worm gear at the crest of the dam. The gear at
the crest was connected to the gate by a link rod passing through circular shaft.
Initially, it was decided to keep only the left outlet and to plug the right one. But due to
heavy sediment load in the reservoir, both the outlets have been maintained. The size of the
left outlet has been increased to 1x1.2 m and it has been provided with steel lining. The
outlet has been equipped with a fixed trash-rack, an emergency fixed wheel gate on the
U/S and a service sliding gate.
The right outlet is also being provided with steel lining and the same old sliding gate and
its control through the shaft have been retained after proper maintenance. The left shaft
originally used for the operation of gate of the outlet is also being maintained. Both the
shafts have been used intelligently for instrumentation as discussed later. In old structure,
both the outlets were having intakes at different levels. Though, these intakes have now
been closed but one of the intakes has been used for the flushing of the outlet.
The left outlet has been provided with a valve on the D/S for supplying water required for
irrigation. The discharge through the left outlet at normal reservoir level is 17.0 m3/ s and
the discharge through the valve is 5001/s.
Figure 6. Arrangements of tendons between old and new structure
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SPILL WAY
The old dam was having three manually operated gate valves (30 cm diameter) in the left
bank for the purpose of controlling the reservoir level during flood. These gates valves
have been replaced by a gate controlled ogee shaped chute spillway. The chute of the
spillway is 19 m wide and has a flip bucket at the end Figure 7. The spillway is equipped
with three gates 5x5 m in size. The spillway has been designed for 100 years flood
occurring NWL. The discharge capacity of the spillway at NWL is 276.8 m3/ s.
Figure 7. Down stream view of new spillway
GEOLOGY AND GROUTING
The bed rock is a conglomerate solid inter-bedded with some thin layers of sand stone. The
conglomerates of the bed rock are bonded together with a good cementations material.
Nine major joints were detected through geological investigation of the dam site, two on
the left and seven on the right side of the dam. Two of these joints on the right side are
intersecting the old dam and two more joints on the right side are intersecting the extended
dam crest.
In the old dam, there was a blanket of Sarooj material at the reservoir bed for controlling
the seepage of water through the base of the dam. As the RC lining on the upstream had to
rest over the firm bed rock, therefore the blanket had to be destroyed due to the excavation.
As shown in figure 8, the dam has now been provided with one row of grout curtain with
intersecting bore holes and another row of consolidation grouting. The bore holes of grout
curtain as well as consolidation grouting are spaced at a center distance of 2 m in the
extended portion of RC on the upstream.
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Figure 8: Plan and section of grout curtain
MATERIALS IN DAM SECTION
The average values of the physical and elastic properties of different materials present in
the dam section Figure 9 are given in the Table 1. The unit weight and elastic properties of
dam body material and rock have been obtained experimentally from the samples taken
from the bore hole drilled in the old dam. As seen from table 1, there are two types of soil,
sandy gravel under the dam body and alluvium on the downstream and upstream of the
dam.
Figure 9 .Materials in dam section
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Table 1.Properties of material
S.No. Material Unit Weight Elastic Modulus Poisson's
(GPa) Ratio
(kN/m3)
1. Dam Body Material 18.8 3.49 0.20
2. Soil (Sandy Gravel) 20.0 0.21 0.30
3. Soil (Alluvium) 17.0 0.10 0.30
4. Concrete(M24) 25.0 21.35 0.20
5. Rock 25.0 6.00 0.25
STATIC AND PSEUDEO-STATIC STRESS ANALYSIS
Due to irregular geometry of the old dam, three sections, expected to be critical were
selected for the purpose of stability and stress analysis. The sections are located at
STA = 0.0m (Sec. 1); STA = +14.5 m (Sec. 2); and STA = -4.8 m (sec. 3). The location of
these sections can be seen in the general layout Fig. 2,3,4. Analysis has been carried out for
all the three sections [1]. But the results of stress analysis of section 3 are presented.
CONCLUSIONS
Upgrading details for strengthening, heightening and leakage control measures of old
Fariman dam body have been discussed. The new section for strengthening, heightening
and leakage control measures of old dam body have been found to be structurally efficient
for leakage prevention and resisting the different possible load combinations.
The efficiency of the upgraded section can be seen from the results of analysis which show
only a small change in the state of stresses and displacements on the old dam body.
The maximum observed radial displacement of the dam at location of right and left shafts
are 4 and 5mm respectively, which are close to the displacements found by finite element
analysis with the same loading conditions, which is in the acceptable range. In general,
during the second half of the year, the dam moved towards the downstream due to
reduction in air/concrete temperature and increase in the lake level.
With 5 meter in heightening of old dam, the volume of the reservoir has increased from 1.5
million cubic meters to 3.8 million cubic meters
The results obtained from linear joint meters show the normal behavior of dam at the
interface of the RC extension and the old dam body. Therefore the new upgraded ancient
Fariman dam is under full operation and its over all performance is normal.
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II - 407
Fariman ancient dam after upgrading
REFERENCES
- Technical report, Strengthening and heightening of the Fariman Dam. Mahab

Ghodss Consulting Engineers Co. (1995), Tehran, Iran,
- E. Omran and H. Abbas. - Rehabilitation of 1000 years old Fariman dam, Proc. of
International Conference on Upgrading and Refurbishing Hydropower Plants,
(1997)- 1-3 Oct., Canada,.
- Indian Standard Institution. (1984)- Criteria for Earthquake Resistance Design of

Structure, N. Delhi, India,.
- M. E. Omran and H. Abbas. , 4th November (1988)- Strengthening, heightening

and leakage Control measures for an ancient Fariman dam in Iran, Symposium
on Rehabilitation of dams, New Delhi, India.
- B-Farhangi- (1993)-Ancient dams in IRAN , Iranian National Committee on Large

Dams (IRCOLD).PP 25-28. Tehran-Iran
- B-Farhangi- (2004)-Water Melody in the Passage of time. A Review of Hydro

Structures of IRAN From Ancient Era to Present Time. PP169-171 (IRCOLD).
Tehran-Iran
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A Study on a Field Application about Concrete Face Surface Inspection

of C.F.R.D(Concrete Faced Rock-fill Dam) Using the Impact Echo
Chang-Gun/Shin
Korea Infrastructure Safety and Technology Corporation, Korea
cgshin@kistec.or.kr
Minlee/Chae
Wang-gon/Lee
Young-Jung/Kim
Korea Hydro & Nuclear Power Corporation, Korea
ABSTRACT
This paper is about the use of the Impact Eco Method at the C.F.R.D.(Concrete Faced Rock Fill
Dam) in the precision safety diagnosis. The concrete face surface of the C.F.R.D. is only examined
to nondestructive inspection and precise visual survey so far. This has some limits in understanding
the stability of the inner concrete face surface. For example, the stress concentration caused by
numerous micropores of the concrete face back leads to damage of the concrete face surface like a
crack, failure. Therefore, the purpose for advancing the inspection methods and executing
appropriate repair prior to damage of the concrete face surface is conducted at the two of them by
the Impact Eco Method. In the study, for reviewing a field application and analyzing results of the
Impact Eco Method case by case are drowned a conclusion for improvement in the inspection and
maintenance method at the C.F.R.D.
Keywords: C.F.R.D, Concrete Face Surface, Impact Echo Method
1. INTRODUTION
1.1. Overview
The Concrete Faced Rockfill Dam(C.F.R.D) type can be said to be a dam in which the
function of a concrete impermeable wall is the most important. In the past, it was
impossible to grasp the pores on the back of a concrete impermeable wall and the defects
inside concrete through an appearance examination and a durability examination only, but
this paper analyzed the results of the 2 dam examples of carrying out the examination of
shock reverberations that can indirectly grasp whether there are pores on the back of a
concrete impermeable wall and defects inside concrete or not and can grasp the future
II - 409
progress trend of pores on the back, etc. by creating shock waves on the surface of a
permeable wall.
In addition, the exploration of shock reverberations has a limit of being unable to estimate
the thickness of a pore, so this paper carried out an examination at the surroundings of a
cross section where a meter is installed to derive a more reliable result through
measurement data and connection analysis.
1.2 Basic Principle
Applying a mechanical impact to a point on the surface of a specimen creates an impact-

generation stress wave, whose P-wave and S-wave having a spherical wave front are
transmitted to the inside of a specimen and whose R-wave having a cylindrical wave front
is transmitted to the surface as <Figure 1>.
Impact Impact
Receiver
Direct P-Wave Direct P-Wave
R-Wave R-Wave
d
S-Wave
Flaw
P-Wave
[Blank line 10 pt] t

Figure 1. Propagation process of an impact-generation stress wave
Displacement
Force
At this time, the P-wave creates a reflected wave when arriving at the boundary surface of
a discontinuum or heterogeneous medium such as a crack, pore, etc. The reflected
waveform is reflected again by the surface and then propagates into the inside of a
specimen again. Like this, a resonance is generated by multiple reflections between a
surface and a discontinuum, suchTime as a crack and a Time
pore, or between a surface and a
heterogeneous medium,Impact
so the Impact Echo Method carries out an examination using this
resonance phenomenon duration
as <Figure 2>.
Receiver
Impactor
Air
Vertically Propagating
Reflected stress Wave
Air
Figure 2. Schenatic diagram of the Impact Echo Method
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[Blank line 10 pt]
Figure 3. Waveform and spectrum by the Impact Echo Method
[Blank line 10 pt]
The stress wave by a mechanical impact is transmitted from a sound source and propagates
until meeting an object with an elastic property difference(acoustic impedance). The
amplitude of a reflected wave differs depending on the relative difference in elasticity
between two neighboring media. That is, the substances with a large contrast in elasticity
and density can be detected very well.
For concrete, its back is adhered to the natural ground or there exists a pore between them.
For both cases, there happens a resonance because there exists a distinct property
difference(acoustic impedance) between two neighboring media. However, as the
thickness becomes thicker, the formation of resonances becomes gradually difficult and the
corresponding frequency decreases, and as the frequency decreases, there is a disadvantage
of decreasing the accuracy in thickness calculation.
<Figure 3.> shows a waveform and a spectrum obtained from a test using the Impact Echo
Method that were measured on a homogeneous slab and on a slab with a broad range of
cracks in depth d. The waveform obtained from a homogeneous slab has a period t1 and the
spectrum shows a big peak in amplitude at a frequency f1=5.0 kHz. If the speed of a P-
 
wave in a slab is 4000 m/s, then the thickness T is calculated as T =  ×  = =
 ×
0.4  . The core frequency obtained from a slab with cracks is f2=10.0 kHz, and the depth
 
is calculated as d =  ×  = = 0.2 m. In addition, the measurement was carried
  ×
out over 5 times at the striking point, and it may be impossible to estimate the total
thickness of concrete through a waveform analysis even at a point where a deviation or
error occurred.
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2. MAIN DISCOURSE
[Blank line 10 pt]
2.1. Example of dam "A"
[Blank line 10 pt]
2.1.1. Examination position
The examination points and course positions for the Impact Echo Method of dam "A" are
as <Table 1>, and the examination position maps are shown in <Figure 4>.
[Blank line 10 pt]
Table 1. Examination points for the Impact Echo Method
Position Center(DF16) Left(DF09) Right(DF25) Remark
Number of
153 points 63 points 63 points
examination points
[Blank line 10 pt]
※ The measurement was carried out over 5 times at the striking point to secure the
reliability of examination points, and the measurement values judged to generate a
deviation or error were excluded.
[Blank line 10 pt]
[Blank line 10 pt]

Figure 4. Examination points and position maps for shock reverberations
[Blank line 10 pt]
2.1.2. Examination result
a. Division of examination results by cases

The results of prospecting in the impact echo method carried out by this examination were
divided and analyzed by cases. The structure of concrete impermeable walls for dam "A" is
composed of about 300 mm concrete and about 200 mm shotcrete at its bottom. The
forecastable reactions can be divided into 3 types as follows:
[Blank line 10 pt]
◦ Reaction by cracks in concrete(Case-1)
◦ Reaction by the boundary between concrete and shotcrete (Case-2)
◦ Reaction by the joint between shotcrete and dam body(Case-3)
[Blank line 10 pt]
Observing the resonance phenomenon on the latter part of record time can find the reaction
of pores created at the joint between concrete and dam body, but as mentioned before, the
thickness of a pore cannot be estimated.
II - 412
a) Case-1
Figure 5. Obtained data Figure 6. FFT analysis result

[Blank line 10 pt]
◦ The data in Case-1 shows a noticeable reaction at 2 points as a result of FFT analysis.
◦ The reaction around 3.2 kHz is a reaction appearing at the joint between shotcrete and
dam body, which is estimated to be relatively well adhered.
◦ The reaction with low energy around 9.0 kHz is estimated to be mechanical noises, given
that it appears even when no artificial impact is applied.
◦ As <Figure. 5> and <Figure. 6>, the point classified as Case-1 is estimated to be in a
good condition without pores on the back of a concrete impermeable wall because the
joint between concrete and shotcrete and between shotcrete and dam body is well adhered.
[Blank line 10 pt]
b) Case-2
[Blank line 10 pt]

[Blank line 10 pt]
◦ The data in Case-2 shows a noticeable reaction at 3 points as a result of FFT analysis.
dam body like Case-1, which is estimated to be relatively well adhered.
◦ The reaction around 5.0 kHz is a reaction appearing at the boundary between concrete
and shotcrete.
◦ The reaction with low energy around 9.0 kHz is estimated to be mechanical noises, given
that it appears even when no artificial impact is applied.
◦As <Figure.7> and <Figure.8>, the point classified as Case-2 is estimated to be well
adhered at the boundary between shotcrete and dam body, and estimated to be relatively
somewhat lower in adherence compared to Case-1 at the joint between concrete and
shotcrete. In general, the Case-2 is also estimated to be in a good condition without pores
on the back of a concrete impermeable wall.
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c) Case-3

[Blank line 10 pt]
◦ The data in Case-3 shows a noticeable reaction at 1 point as a result of FFT analysis.
dam body like Case-1.
◦ As <Figure. 9> and <Figure. 10>, the point classified as Case-3 is estimated to create
micropores at the joint between shotcrete and dam body as a result of FFT analysis.
[Blank line 10 pt]
b. Examination result[Blank line 10 pt]
The obtained data based on the above cases were classified, and the estimated thickness of
concrete and the total estimated thickness of concrete and shotcrete were arranged by
points. Each case was classified through the waveform and FFT analysis of the data
mentioned before.
[Blank line 10 pt]
a) Center of a concrete impermeable wall
An examination was carried out for a 20 m section three by three lines in the slope
direction from the center of a slope at the upstream. Each line was measured in a 1.0 m
interval starting with 3 m lower from the dam crest, and the C-C line was measured in a
0.25 m interval at a total of 123 points to determine the speed of concrete and check the
vertical thickness distribution of a concrete structure.
[Blank line 10 pt]
An examination was carried out for a 10m section in a ±1.0m interval with respect to the
C-C line in the dam axis direction from the 12 m(EL. 205.5 m), 13 m(EL. 204.9 m), 14
m(EL. 204.4 m) points in the downstream direction from the dam crest at the examined
point(A total of 30 points).
[Blank line 10 pt]
As a result of site examination, the speed of concrete was about 2,800 m/sec, using which
the estimated thickness of a concrete structure was calculated. For the Case-3 estimated to
contain micropores on the back, the C-C-Line was examined to have a total of 23
micropores, the C-L-Line a total of 9 micropores, the C-R-Line a total of 10 micropores,
and the H-Line a total of 6 micropores. As <Figure. 11>, the number of points estimated to
be a micropore on the back was examined to be 48(about 31%) of the total 153 points.
II - 414
Legend
Point estimated to be
a micropore
[Blank line 10 pt]
Figure 11. Points estimated to be a micropore on the back of the center of an impermeable wall
[Blank line 10 pt]
Meanwhile, the liquefied settlement gauge(EL.190.0 m) laid at the center of the back of a
concrete impermeable wall showed a constant trend of about 2.0 ㎜ until 2007 for which
there are measurement data after being immersed in water, and the impermeable wall
displacement gauge laid around also showed that the stress condition is stable. Like this,
the gauge laid near a concrete impermeable wall shows a very little settlement and no
damage was found when examining the appearance of the concrete impermeable wall, so it
is thought that there will be no problem in safety of the concrete impermeable wall due to
micropores on the back estimated as a result of shock reverberation examination.
[Blank line 10 pt]
b) Left bank of a concrete impermeable wall
An examination was carried out for a 20 m section three by three lines in the vertical
direction from the left bank of a concrete impermeable wall. Each line was measured in a
1.0m interval starting with 3 m lower from the dam crest(Total 63 Point).
[Blank line 10 pt]
For the Case-3 estimated to contain micropores on the back, the L-C-Line was examined to
have a total of 4 micropores, the L-L-Line a total of 3 micropores, and the L-R-Line none.
The settlement of the left bank is smaller than the center, the largest cross section, so it is
judged that the Case-3 has relatively smaller settlement. As <Figure. 12>, the number of
points estimated to be a micropore on the back was examined to be 7(about 11%) of the
total 63 measurement points, which is very low.
[Blank line 10 pt]
Legend
a micropore
[Blank line 10 pt]
Figure 12. Points estimated to be a micropore on the back of the left of an impermeable wall
II - 415
The liquefied settlement gauge(EL.190.0 m) laid at the left of the back of a concrete
impermeable wall showed a constant trend of about 1.3 ㎜ after being immersed in water,
and the impermeable wall displacement gauge laid around also showed that the stress
condition is stable. Like this, the gauge laid near a concrete impermeable wall shows a
very little settlement and no damage was found when examining the appearance of the
concrete impermeable wall, so it is thought that there will be no problem in safety of the
concrete impermeable wall due to micropores on the back estimated as a result of shock
reverberation examination.
[Blank line 10 pt]
c) Right of a concrete impermeable wall
An examination was carried out for a 20m section three by three lines in the vertical
direction from the right of a concrete impermeable wall as well. Each line was measured in
a 1.0 m interval starting with 3m lower from the dam crest(Total 63 Point).
[Blank line 10 pt]
For the Case-3 estimated to contain micropores on the back, the R-C-Line was examined to
have a total of 1 micropore, the R-L-Line a total of 2 micropores, and the R-R-Line none.
Like the left bank, the settlement of the right bank is smaller than the center, the largest
cross section, so it is judged that the Case-3 has relatively smaller settlement. As
<Figure.13>, the number of points estimated to be a micropore on the back was examined
to be 3(about 5 %) of the total 63 measurement points, which is very low.
[Blank line 10 pt]
Legend
a micropore
[Blank line 10 pt]
Figure 13. Points estimated to be a micropore on the back of the right of an impermeable wall
[Blank line 10 pt]
The liquefied settlement gauge(EL.190.0 m) laid at the right of the back of a concrete
impermeable wall showed a constant trend of about 1.4 ㎜ after being immersed in water,
and the impermeable wall displacement gauge laid around also showed that the stress
condition is stable. Like this, the gauge laid near a concrete impermeable wall shows a
very little settlement and no damage was found when examining the appearance of the
concrete impermeable wall, so it is thought that there will be no problem in safety of the
concrete impermeable wall due to micropores on the back estimated as a result of shock
reverberation examination.
[Blank line 10 pt]
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2.2 Example of dam "B"
[Blank line 10 pt]
2.2.1 Examination position
The examination points were examined as <Table 2> in a 200 mm interval(100 points) for
a 20 m section in the vertical direction from the upmost top of a slope at the upstream of
the No. 21span to determine the speed of concrete and check the vertical thickness
distribution of a concrete structure first. An examination was carried out in a 2.0 m interval
(230 points) for a 458 m section in the horizontal direction at the 10 m lower from the
upmost top of a slope at the upstream to grasp the overall pores and internal defects in a
concrete impermeable wall, and a total of 54 points were examined two by two points per
span in a 1.0 m interval in both directions from the center of each span at 15 m lower from
the upmost top of a slope at the upstream, whose positions are as <Figure. 14>.
[Blank line 10 pt]
Table 2. Examination points for the Impact Echo Method
Number of
Division Examination section examination
points
•Execution of an examination in a 200 mm interval for a 20
Vertical line
m section in the vertical direction with respect to the dam 100
(No. 21span)
crest from the upmost top of a slope at the upstream
•Execution of an examination in a 2.0 m interval for a 458
10m m section in the horizontal direction with respect to the dam
230
lower crest at 10m lower from the upmost bottom of a slope at the
Horizontal upstream
line •Execution of an examination two by two points per span in
15m a 1.0 m interval in both directions from the center of each
54
lower span in the horizontal direction with respect to the dam crest
at 15m lower from the upmost top of a slope at the upstream
[Blank line 10 pt]
※ The measurement was carried out over 5 times at the striking point to secure the
reliability of examination points, and the measurement values judged to generate a
deviation or error were excluded.
[Blank line 10 pt]
[Blank line 10 pt]

Figure 14. Shock reverberation examination points and position maps
[Blank line 10 pt]
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2.2.2 Examination result
a. Division of examination results by cases[Blank line 10 pt]

The structure of a slope at the upstream of dam "B" is composed of concrete of 300 mm at
the top and 550 mm at the bottom gradually thickening toward the bottom and shotcrete of
about 50 mm at the bottom, so the forecastable reactions of shock waves can be divided
into 3 types like dam "A". Other contents are similar to the procedure of "A", so they are
omitted.
b. Examination result
a) Vertical line(No. 21span)[
An examination was carried out for a total of 100 points in a 200 mm interval for a 20 m
section in the vertical direction with respect to the dam crest from the upmost top of a
slope at the upstream in the No. 21 span to determine the speed of concrete and check the
vertical thickness distribution of a concrete structure. As a result of site examination, the
speed of concrete was about 2,500 m/sec, using which the estimated thickness of a
concrete structure was calculated.
[Blank line 10 pt]
As a result of analyzing the vertical line, the Case-3 estimated to contain pores at the
boundary between shotcrete and dam body appeared at a total of 20 points, and intensively
appeared at 9.0~10.6 m and 13.4~14. 6 m lower from the upmost top of a dam slope at the
upstream. The number of points estimated to be a pore on the back was examined to be
20(20%) of the total 100 points.
[Blank line 10 pt]
b) Horizontal line(10m lower)[
A total of 230 points were examined in a 2.0 m interval for a 458 m section in the
horizontal direction at 10 m lower from the upmost top of a slope at the upstream to grasp
the overall pores and internal defects in a concrete impermeable wall.
[Blank line 10 pt]
As a result, the Case-2 containing pores at the boundary between concrete and shotcrete
appeared at a total of 27 points, and intensively appeared at a 4~16 m, 286~296 m,
352~368 m, 424~432 m section of line distance. The Case-3 showing pores at the
boundary between shotcrete and dam body appeared at a total of 39 points, and intensively
appeared at the 52~68 m, 168~176 m, 198~208 m, 220~ 234 m section of line distance.
As a result of analysis, the Case-2 was examined at a total of 27 points (11.7%) and the
Case-3 was examined at a total of 39 points(17.0%).
[Blank line 10 pt]
c) Horizontal line(15m lower)]
A total of 54 points were examined two by two points per span in a 1.0 m interval in both
directions from the center of each span at 15 m lower from the upmost top of a slope at the
upstream. As a result, the Case-2 containing pores at the boundary between concrete and
shotcrete appeared at a total of 14 points, and appeared at a 15~16, 20~21, 23~24, 27~28,
32span. The Case-3 generating micropores at the joint between shotcrete and dam body
appeared at a total of 11 points, and appeared at a 8~12, 14span. As a result of analysis, the
Case-2 was examined at a total of 14 points(31.5%), and the Case-3 was examined at a
total of 11 points(20.4%).
[Blank line 10 pt]
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3. Conclusion
[Blank line 10 pt]
3.1 Conclusion of dam "A"
[Blank line 10 pt]
As a result of carrying out the Impact Echo Method for a concrete impermeable wall, it is
judged that there are many forecasted micropores at the center and there are relatively less
forecasted micropores at the left and right bank. There is a trend that the settlement of the
liquefied settlement gauge laid on the back of a concrete impermeable wall is very
small(about 1.3~2.0 ㎜), the stress condition of the impermeable wall displacement gauge
laid around was stable as well.
[Blank line 10 pt]
Like this, the gauges laid near a concrete impermeable wall showed a very little settlement
and no damage was found when examining the appearance of a concrete impermeable wall,
so it is thought that there will be no problem in safety of a concrete impermeable wall due
to micropores on the back estimated accoridng to the result of the Impact Echo Method.
[Blank line 10 pt]
3.2 Conclusion of dam "B"
[Blank line 10 pt]
As a result of carrying out and analyzing the Impact Echo Method for a concrete
impermeable wall, the Case-3 containing pores at the joint between shotcrete and dam
body appeared at 70(18.2%) of the total 384 points as <Figure. 15>, and appeared mainly
at the left bank of the dam.
[Blank line 10 pt]
It is judged that pores in Case-3 are generated during a process of generating a certain
amount of settlement until a dam is stabilized after establishment, and as a result of
analyzing measurement data, the measurement values for the dam body after 2004 are
constantly converging, so it is judged that the dam body is stable. However, the
measurement data around the impermeable walls 11 and 12 shows a large settlement, and
the result of the Impact Echo Method shows that pores are mainly generated at Case-3, so it
is judged that periodic care and observation are necessary.
Legend
Case-2
Case-3
[Blank line 10 pt]

Figure 15. Result of the Impact Echo Method (Case-3 : Points estimated to be a micropore)
[Blank line 10 pt]
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3.3 Synthetic conclusion
[Blank line 10 pt]
Judging synthetically, it was examined that some micropores happened between concrete
impermeable wall and shotcrete around the part where the maximum settlement of a dam
body happened, but comparing with the measurement data, this is a section in which the
size of pores is minute and which is less affected by the operating water level, so it is
judged that this can be used as data for reference during maintenance.
[Blank line 10 pt]
However, it is judged that it is necessary to check and compare whether or not to expand
the micropore parts by carrying out the Impact Echo Method again when abnormal
measurement happens to the gauge laid in a concrete impermeable wall or additional
damage happens to a concrete impermeable wall in the future examination, and that it is
necessary to carry out a direct examination side by side about whether there are actually
micropores and about the size of micropores through an additional endoscopic examination,
etc.
[Blank line 9 pt]
[Blank line 9 pt]
REFERENCES
[Blank line 9 pt]
Dong-Su Kim, Hyung-Chun Park, Gwang-Myung Lee. (1997) : Nondestructive
examination of concrete members using the impact echo method, Jounal of the Korea
Concrete Institute , Vol. II: pp. 109-119. Korea Concrete Institute, Seoul, Republic
of Korea.
Dong-Su Kim, Won-Seok Seo, Gwang-Myung Lee. (2002) : Concurrent technique of
shock reverberation-surface wave for nondestructive examination of concrete ground
structure : 1. Numerical analysis study, Journal of Korean Geotechnical Society,
Volume 18: pp. 257-270. Korean Geotechnical Society, Seoul, Republic of Korea.
Dong-Su Kim, Won-Seok Seo, Gwang-Myung Lee. (2002) : Concurrent technique of
shock reverberation-surface wave for nondestructive examination of concrete ground
structure : 2. Experimental study, Journal of Korean Geotechnical Society, Volume
18: pp. 271-283. Korean Geotechnical Society, Seoul, Republic of Korea.
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Adding Extra Spillway Discharge Capacity,

a Few Dam Refurbishment Examples
James Yang
Vattenfall R&D, Älvkarleby, Sweden
Also Royal Institute of Technology, Stockholm, Sweden
jamesya@kth.se
Romanas Ascila
Dam Safety, Vattenfall Vattenkraft, Stockholm, Sweden
Carl-Oscar Nilsson
Dams and Dam Safety, E.ON Hydropower Sweden, Sundsvall, Sweden
ABSTRACT
As required by the revised dam-safety guidelines, the spillway discharge capacity of a large
number of the existing dams must be increased so as to release the higher design floods without
jeopardizing the structural safety. The extra capacity required falls usually within the scope of
2030%, but in some cases it can as high as 50%. To modify an existing spillway is often the most
inexpensive alternative to increase its capacity. When this is difficult due to practical restraints, a
new spillway, placed either separately or adjacent to the existing one, needs to be constructed. This
paper illustrates several practical examples of dam rebuilding in Sweden that involve either a new
spillway or modifications of an existing one.
Keywords: Dam safety, design flood, spillway capacity, new spillway, spillway modification
1. DAM REBUILDING BACKGROUND
In Sweden, construction of large dams dates back to as early as the 1910’s when the dams
in Porjus, Trollhättan and Älvkarleby were built. The rapid development of hydropower
began after the Second World War and reached its peak during the 1950’s and 1960’s. At
that time when the dams were built, no well-established criteria existed for determination
of the design floods. As a result, the discharge capacity of many spillways was often
underestimated. Dam safety was then not a subject of state regulatory surveillance; there
were neither national directives concerning dam design, construction and supervision. The
responsibility of dam safety rested solely with the dam developer.
With the updated design-flood guidelines released in 1990, many dams have been found to
have up to 50% higher design floods than constructed for (Yang et al. 2006). The dam-
safety guidelines (RIDAS) were first released in 1995 and have been revised several times.
The latest revision was from 2012. Many existing dams, especially high-hazard ones, have
to be upgraded, an issue that involves large capital investment and takes many years to
accomplish.
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Potential upgrade measures include modifications of existing spillway, new spillway,
raising dam crests and/or impervious cores, new erosion protection upstream of an
embankment dam, structural reinforcement of dam body and re-shaping and strengthening
of the waterway including energy dissipater. Quite often, several rebuilding measures are
combined so as to achieve a technically feasible and economical solution. A few dams are
given as examples to illustrate the rebuilding as imposed by RIDAS.
2. BERGEFORSEN DAM
Bergeforsen, commissioned in 1955, is located on the lower Indalsälven River. It consists

of left and right earth-fill dams, a three-opening spillway, a timber flume (plugged) and a
powerhouse (Fig. 1). The earth-fill dams with an impervious moraine core have a total
crest length of 400 m and a maximal height of 35 m. The dam has three 15-m wide gated
openings with upward-going radial gates. With a total width of 45 m, the spillway is
designed to discharge 2300 m3/s at the full reservoir water level (FRWL), +123.0 m.
Figure 1. Existing layout of Bergeforsen dam
Bergeforsen is one of many dams that are affected by the RIDAS. Its updated design flood
must be raised to about 3500 m3/s, an increase in magnitude by almost 50%. The existing
discharge capacity at the FRWL corresponds roughly to the 100-year flood. To finalize the
refurbishment, different technical options were evaluated (Ekström et al. 2011).
The first upgrade of the dam was during 1998-2000. The major measures were then to use
the existing spillway for flood discharges and allow 2.7 m extra water depth above the
FRWL during extreme floods (Yang et al. 2000). The embankment dams were rebuilt, with
a higher dam crest, a new riprap erosion protection upstream, a stabilizing toe berm,
concrete repairs in the spillway section and raised spillway chute guide walls.
The dam bedrock site consists of gneiss granite with dikes of alkaline and carbonate of
volcanic origin, which can dissolve rapidly if subjected to permeating water and exposed to
oxygen. A higher water level in Bergeforsen would result in an increased water circulation
in the bedrock and new seepage pathways, which would weaken the dam foundation. The
recent study has indicated that the existing spillway has structural deficiencies and needs to
be upgraded and adapted to flow impacts during large spillway discharges. It has been
decided that a new spillway should be constructed separately from the existing spillway;
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the design flood is discharged at a reservoir water level not exceeding the FRWL. This
allows also the use of the existing spillway during the construction.
The layout of the new spillway is shown in Fig. 2. The spillway is a 25 m wide, with an
upward going segment gate, which is, upon completion, the largest single spillway opening
in Sweden. With this width, it is less sensitive to floating debris during floods. The chute is
equipped with an aerator. The stilling basin is 85 m long and 35 m wide. Downstream of it,
the bend of the waterway is contained in a tunnel under the railway. The highway passes
over the lower part of the spillway. The construction will be finished during 2014.
Figure 3. Layout of the proposed new spillway
Hydraulic model studies were made to verify and optimize the spillway design (Yang and
Wänn 2010, Wänn et al. 2010). Fig. 3 shows the model in the laboratory. The major
hydraulic concerns were alignment of the somewhat complicated new spillway, spillway
discharge capacity, shaping of stilling basin and energy dissipation, waves and freeboard in
the tunnel, canal erosion downstream and laying out of the excavated rock material.
Figure 3. Hydraulic model of Bergeforsen dam
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3. HÖLJES DAM
Höljes dam on the river Klarälven, built during 1959-62, is one of the largest embankment
dams in Sweden (Fig. 4). It is an 81 m high dam of earth- and rock-fill with a crest length
of about 400 m. The flood discharge structure is composed of a bottom outlet in the left
bank and a surface spillway in the right bank. The latter has two gated openings with a
width of 14 m each. A log flume exists to the right of the spillway. At the FRWL +304 m,
its existing spillway discharge capacity amounts to about 1300 m3/s and the active
reservoir storage volume is 270 Mm3.
Figure 4. Höljes embankment dam, with the surface spillway to its right
Based on safety evaluations conducted 200708, it was stated is that rebuilding measures
were required to guarantee the safe passage of the design flood in the light of the RIDAS.
The dam owner decided that the dam is upgraded to discharge a design flood of 2000 m3/s.
As a Swedish practice, the bottom outlet is usually excluded for handling extreme floods
(Stenström et al. 2009, 2011).
Together with the insufficient discharge capacity of the spillway, the following major
deficiencies motivated the rehabilitation: the efficiency of the stilling basin was far below
the required level; the structural stability of the basin, in particular of the left sidewall, was
questionable; the rock slope on the right side of the spillway chute was heavily fractured
and floating debris in the form of 2025 m trees were expected during extreme floods.
Fig. 5 shows the final rehabilitation layout of the dam. The log flume was removed;
adjacent to the existing spillway, a new with a radial gate was constructed. The new
spillway has a width of 17 m and the same sill level as the existing one. Hydraulic model
tests showed that the discharge capacity of the new spillway was 700 m3/s, thus resulting in
a total capacity of 2000 m3/s at the FRWL. The existing spillway chute and the stilling
basin were widened proportionally at right. The stilling basin was also extended
downstream and downwards. The left sidewall of both the stilling basin and the chute were
raised to accommodate the flood of an increased magnitude.
The upgrade was associated with a few hydraulic concerns that dominate the design. Along
with other investigations, hydraulic model tests were made to provide necessary basis for
the design in terms of waterway configuration. The issues examined and finalized include:
(1) spillway discharge capacity; (2) shaping of the right rock slope upstream of the
spillway; (3) configuration of the spillway chute including left sidewall, spillway pier
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extension, cross-sectional profile, addition of partition wall etc; (4) stilling basin
enlargement and optimization of baffle blocks layout to reduce the need of enlargement;
(5) effects of wave motions and erosion protection in the river bed downstream; (6) risk of
erosion in the embankment dam toe (Yang and Andreasson 2012) and (7) handling of
reservoir floating debris in case of extreme floods.
Figure 5. Addition of a new spillway adjacent to the existing one
4. EDENSFORSEN DAM
Edensforsen, located on the river Ångermanälven, was completed in 1956. It is an

embankment dam, with a maximal height of 20 m and a crest length of 700 m. At the
FRWL +210.5 m, the active reservoir storage amounts to 4 Mm3. The spillway is
composed of four openings with two taintor gates, one sector gate and one bulkhead
gate (Fig. 6). A log flume is located to the right of the bulkhead gate.
Investigations have shown that, as contrasted with the revised design flood 20002100
m3/s, the use of the existing spillway is limited to discharges up to 1000 m3/s without
causing any safety problem. Along with other engineering measures, a significant increase
in its spillway discharge capacity is necessary in order to meet the RIDAS criteria.
Figure 6. Dam spillway at Edensforsen, looking upstream
The updated design flood is about 50% higher than the existing capacity 1400 m3/s at the
FRWL. To cost-effectively upgrade the dam, a few options have been evaluated. The final
alternative is to remove the log flume located to the right of the bulkhead gate and build a
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new spillway there. This means that a new spillway, with an opening width of 13.7 m, is
constructed by incorporating the log flume and removing part of the adjacent concrete dam
to its left. Its intake part is removed and a new spillway crest is built with a radial gate
(Fig. 7). The reason to choose this width is that the arch beam stop-logs from the 70’s and
80’s can be re-used for the waterway closure during construction. The terrain downstream
of the log flume is excavated to form the spillway channel; a new retaining wall is built at
right to enclose the water from the new spillway (Yang et al. 2010).
Figure 7. Modification of log flume into a 13.7 m spillway
Fig. 8 shows the model of the dam, the model scale is 1:50. The main hydraulic concerns
are spillway discharge capacity, erosion in the dam slope upstream close to the spillway,
flow pattern downstream and energy dissipation, shaping of the new spillway channel
including sidewalls and risk for rock erosion downstream. The new spillway contributes
with a discharge of 300 m3/s, resulting in a total capacity of 1700 m3/s at the FRWL. A
higher water level than the FRWL is required to discharge the revised design flood.
Figure 8. Model of Edensforsen dam spillway (scale 1:50)
The engineering measures include construction of a new spillway with retaining walls and
spillway channel, dam heightening to allow for surcharge, stabilization of the existing
spillway with pre-stressed tension cables, strengthening and heightening of existing left
sidewall downstream of the spillway, placement of toe berms for slope stability and
drainage system, a new riprap erosion protection on the upstream face of the dam and
installation of equipment for automatic monitoring of water leakage and water levels.
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5. HALVFARI DAM
Halvfari on the river Ljusnan was commissioned in 1978. It is an embankment dam with a
power station and a spillway structure (Fig. 9). The maximum dam height is 43 m and the
crest length is 1000 m. At the FRWL +430 m, the active reservoir storage corresponds to
25 Mm3. The spillway structure was originally composed of a siphon spillway and two
overflow openings with radial gates. The two openings have the same width, 6 m. The left
opening has a standard Ogee crest, while the middle one is of a free-drop type. The siphon
is on the right. The flood discharge capacity of the spillway is 650 m3/s at the FRWL
(exclusive of the siphon capacity). The flood water is discharged into a plunge pool in
rock. Sidewalls exist on both sides to prevent overtopping at high discharges. Downstream
of the pool, the right riverbank consists of easily erodable material.
Figure 9. Halvfari with spillway and plunge pool downstream of powerhouse
Halvfari is a high-hazard dam, with its updated design flood amounting to 1300 m3/s, twice
high as its existing discharge capacity. The main safety concern of the dam was due to this
large increase in the design flood. Due to the risk for vibrations and cavitation, the
discharge capacity of the siphon spillway 120 m3/s was excluded from the overall capacity.
One way to increase the discharge capacity was to construct a new spillway in the right
embankment dam. To add a separate spillway would unburden the exiting energy
dissipation. However, Studies showed that it was not a cost-effective solution for Halvfari.
The passage below the middle free-drop spillway opening was sealed with a concrete plug
(Fig. 10a). The adopted solution was to remove the plug and modify the passage into a
bottom outlet. This meant that the plug was dismantled and the crest of the overflow
opening was extended downstream and bent somewhat downwards. At the end of the
extension, a bulkhead gate was installed. The outlet had the same width 5 m as the free-
drop spillway at its upper part and reduced to 4.5 m at the bulkhead gate. The outlet height
was 8.5 m and reduced to 7.0 m at the bulkhead gate. With the outlet, the total discharge
became 1100 m3/s at the FRWL, as compared to the existing 650 m3/s. The design flood
was then discharged at a reservoir level 1.5 m higher than the FRWL (Amnell et al. 2007,
Yang et al. 2007).
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Figure 10. (a) Sealed passage below free-drop spillway, (b) Pier extensions & deflectors
The plunge pool was located downstream of the powerhouse. The spillway water plunged
obliquely from the right into the plunge pool of a limited size; the pool water volume was
not effectively used. The new bottom outlet aggravated the energy dissipation in such a
way that the plunging jet became more powerful if all the spillways discharged water. The
left riverbank was bounded by bedrock. However, the right riverbank consisted of loose
material sensitive to erosion.
The large increase in the design flood motivated modifications in the energy dissipation.
By means of hydraulic model testing, the modifications included heightening of right
sidewall, extension of spillway piers by 10–13 m, addition of three vertical flow deflectors
at the end of the extended piers and on the right sidewall (Fig. 10b). In the flow direction,
the deflector angle fell within 2025 and the deflector length was 2 m. With the
deflectors, the concentrated jet was avoided; the spillway flow was redirected in three
separate plunging jets, reasonably distributed over the pool area. The pool level became
also somewhat higher. The jets plunged roughly in the middle of the pool, consequently
leading to more effective energy dissipation and less impact on the river course
immediately downstream. The modifications functioned well for spillway discharges up to
the design flood. The upgrade of the dam was already completed.
5. OTHER DAM UPGRADES
The Ajaure dam is a 45 m high embankment dam, originally with two bottom outlets, each
of which was 5.0 m wide and 10.4 m high. Their total discharge capacity amounted to
950 m3/s at the FRWL. The left outlet was then modified into an overflow type spillway.
This implied that the parapet wall and the highway bridge above it were removed and a
new, much higher radial gate was installed. The spillway width and crest elevation
remained unchanged. At the design flood 1340 m3/s, the modification contributed
effectively to a 3.7 m lower reservoir water level. Owing to this, the requisite dam
heightening was about 4 m less (Yang et al. 2001).
Stenkullafors dam is of an earth-fill type, with a maximum height of 30 m. The spillway

was composed of two 10 m overflow openings. At the FRWL, the spillway discharge
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capacity was 1250 m3/s. The guidelines required that the discharge capacity should
increase by 35%. With the existing spillway, the resulting reservoir level would be 2 m
above the FRWL, which was due to limitations not permitted. The existing spillway crest
had a standard WES profile. The final decision was to rebuild the right spillway opening to
a lower sill elevation. The left opening was left untouched. After optimization by model
tests, the sill elevation was lowered by 4.3 m and a new radial gate was installed. With this
modification, the design flood can be released at the FRWL (Yang and Cederström 2007).
The Krångfors dam has three spillway openings, two with upward-going radial gates and
one with downward-going sector gate (Fig. 11). At the FRWL, the existing capacity is 850
m3/s, as compared to the design flood 1275 m3/s. As a partial measure, it is decided that the
threshold elevation of the sector opening is lowered by 3 m and an upward-going radial
gate replaces the sector gate. Due to reinforcement of the spillway piers on both sides, the
opening width reduces from 17.5 to 16.5 m. The design flood is discharged by allowing an
extra storage of flood water above the FRWL (Hellstadius 2012).
Figure 11. Krångfors dam spillway with a sector opening to be modified
The Långströmmen dam is a 29 m high embankment dam, with a crest length of 2500 m.
The spillway structure has two radial gates and one sector gate, the discharge capacity of
which is about 1700 m3/s at the FRWL. The revised design flood amounts to 2500 m3/s. In
the on-going upgrade design, an 18 m wide new spillway with an energy dissipater is
proposed; its location is separated from the existing spillway. When the design flood is
released, the discharge of the new spillway is approximately 600 m3/s and the resulting
reservoir water level is less than 1.0 m above the FRWL.
6. CONCLUSIONS
In accordance with the updated design-flood and dam-safety guidelines, many existing
dams in Sweden have been upgraded for a higher safety level; many others are undergoing
a rebuilding process or safety evaluations for an upgrade. The significant increase in the
design flood and higher safety standards stipulate that robust engineering measures should
be taken, an issue that involves large capital investment and takes many years to
accomplish.
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In this paper, a few examples are provided to illustrate engineering solutions to increase
the spillway discharge capacity and to achieve acceptable energy dissipation. The measures
in an upgrade in Sweden may include spillway modifications, new spillway, raising dam
height (even the impervious core height), repair or replacement of riprap erosion protection
upstream, toe beam reinforcement, dam body reinforcement and re-shaping of waterways
inclusive of enlargement of energy dissipater (stilling basin or plunge pool). It is common
that several rebuilding measures are combined so as to achieve a technically feasible and
cost-effective solution.
REFERENCES
Amnell, G., Yang, J. and Larsson, P. (2007): Halvfari Dam, Ljusnan – Hydraulic Model
Studies for Increased Dam Safety, Vattenfall R&D report No. U 07:21, Älvkarleby,
Sweden.
Ekström, I., Yang, J. and Berg, M. (2011): Improving spillway discharge safety at
Bergeforsen, Int. Symp. on Modern Technologies & Long-term Behavior of Dams,
Sept 2011, Zhengzhou, China.
Hellstadius, K. (2012): Krångfors dam – engineering measures for higher safety level (in
Swedish). SWECO project report, 2166160000, Stockholm, Sweden.
Stenström, P., Yang, J., Bond, H., Sjödin, A. and Steiner, R. (2009): Increasing the
discharge capacity at the Höljes dam in Klarälven, Sweden, 25th ICOLD Congress,
May 2009, Brasilia.
Stenström, P., Yang, J., Andersson, P. and Henriksson, G. (2011): Enlarging the
undersized spillway of Höljes dam, Int. Symp. on Modern Technologies & Long-
term Behavior of Dams, Sept 2011, Zhengzhou, China.
Wänn, A., Yang, J. and Frisk, A. (2010): New tunnel spillway at Bergeforsen, hydraulic
model studies summer 2010 (in Swedish). Vattenfall R&D report No. 10:140,
Älvkarleby, Sweden.
Yang, J. and Andreasson, P. (2012): Headward erosion in embankment dams caused by
spillway flood discharge, International Journal Hydropower & Dams, issue 6, 2012.
Yang, J., Billstein, M., Cederström, M., Viklander, P. and Sjödin, G. (2006). Dam safety
and rebuilding – a Swedish engineering perspective. Int. Conf. Hydropower, Oct.
2006, Kunming, China.
Yang, J. and Cederström, M. (2007): Modification of spillways for higher discharge
Capacity. Journal of Hydraulic Research, Vol. 45, No. 5.
Yang, J., Dahlbäck, N. and Johansson, N. (2001): The Ajaure Dam – Spillway
Refurbishment for Increased Design Flood, XXIX IAHR Congress, Sept. 1621,
2001, Beijing.
Yang, J., Engström, M. and Nilsson, C.-O. (2010): Hydraulic Safety of Handling Extreme
Floods of at Edensforsen Dam, Sweden. HydroVision, July 2010, Charlotte, USA
Yang, J., Gustafsson, A., Johansson, N., Johansson, G. & Mikaelsson, J. (2000):
Bergeforsen Dam – Refurbishment for Increased Design Flood, Int. Conf.
HydroVision, Charlotte, USA, August 2000.
Yang, J., Larsson, P., Dath, J. and Löwén, K.-L. (2007): Halvfari Dam – hydraulic
concerns and rebuilding for higher safety standard, Intl. Symp. on Modern
Technology of Dams, Oct. 2007, Chengdu, China.
Yang, J. and Wänn, A. (2010): Bergeforsen dam safety, hydraulic model studies (in
Swedish). Vattenfall R&D report No. 10:85, Älvkarleby, Sweden.
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Feasibility Analysis for Construction of New Dams in Rajasthan State

Mathur Pradeep & Gupta N.K.

State Water Resources Planning Department, Government of Rajasthan, Jaipur, India
nkgupta1974@gmail.com
Jethoo A.S.
Malaviya National Institute of Technology, Jaipur, India
ABSTRACT
Water resources planning & management of any state or nation depends on water availability
throughout the year as per demands with respect to time and space. We need to construct dams to
store surplus water during rainy season to meet out various types of regular demands viz. drinking,
agricultural, recreational, power generation, industrial, and municipal etc. Priorities have to be
fixed to plan and manage the available water resources. There are a total of 72569 water bodies
including 214 large dams in the Rajasthan state. Population, economic growth, and per capita
water consumption is increasing year after year. In Rajasthan state, there is a practice to construct
small Water Harvesting Structures (WHS) across rivers and their tributaries, locally named as
‘Anicut’. It has been observed that constructions of new reservoirs are obstructing the flow in the
existing dams, thereby reducing the water inflow in the existing dams. It was observed that there
should be some mechanism to check the feasibility of any new proposal for water storage so that
existing dams may not suffer and also some quantum of environmental flow can be maintained.
Feasibility of Anicut vis-à-vis large dam has also been discussed along with the catchment area
treatment and respective water management issues. A Micro Watershed Planning and Management
concept has been discussed in this paper. This paper proposes a feasibility analysis for
construction of new dams with maintaining the environmental flow and inflow in the existing dams.
Keywords: Catchment; Feasibility; Large dam; Micro Watershed; Water Management; WHS
1. INTRODUCTION
A dam is useful tool for ensuring a stable water supply and mitigating floods (Kim et al.
2012). Declining trend of water inflow in the existing dams has been observed since past
couple of years throughout the world. India is also facing the same problem. In this paper
the problem of less water inflow in the dams of Rajasthan state is being discussed. Table 1
shows the proportion of various parameters of the state in the country. State is having 5.5%
share of country‟s population, 18.7% live stock, 13.9% cultivable area, and 6.5% food
production on 10.4% land area, while surface water availability is only1.12% and ground
water availability is only 1.7% of the country‟s water availability. Western part of the state
is Thar Desert having 85 number desert blocks out of 142 total numbers in the country.
This part is having an average rainfall of 150 mm with dispersed population density. Metro
cities like Jaipur, Udaipur, Kota, and Ajmer are densely populated.
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The problem becomes two fold, water availability is declining year after year, and on other
side water demand is increasing with the every passing of day (Gupta and Jehtoo 2014).
Since the surface availability is reducing, therefore ground water exploitation is regularly
increasing to meet the demand. This has resulted in increasing dark zones in the state.
Table 2 shows the development of ground water scenario in the state. In 1998, there were
41 dark zone blocks which has increased to 172 numbers out of a total of 243 blocks. With
the regular and over exploitation of ground water, water table is going down and down
every year, resulting in poor ground water quality crossing the permissible limits of
fluoride, TDS, nitrate, arsenic, and iron etc. With the regular increase in population;
residential, cultivation, industrial, construction, and mining areas are regularly increasing.
Rapidly increasing population and economic development in many basins often constrain
the allocation of limited water supply (Teasley and Mckinney, 2011). Various factors have
resulted in declining trend of water inflow in the dams of Rajasthan state (Fig. 1). This
paper is presented to show that our first aim is to revive the existing dams and second aim
is to construct any new dam only after complete feasibility analysis. Government of
Rajasthan is very serious about removal of unauthorized constructions and any sort of
obstruction in the way of natural drainage/river. To achieve our second aim, Government
of Rajasthan has banned further new construction of dam without clearance of TAC, which
gives clearance only after complete feasibility analysis and considering integrated
approach & micro watershed planning. By this approach a step is made ahead in the path
of integrated and coordinated efforts towards efficient water resources planning and
management.
Catchment Interceptions
Low Water Level
Figure 1. Catchment Interception and Less Water Inflow in Dam
2. RAJASTHAN STATE: THE STUDY AREA

Study area for this paper comprises the complete geographical area of the Rajasthan state
in Indian sub continent. Geographical coordinates are as mentioned below:
Latitude: 23003‟00‟‟to 30012‟00” N Average Altitude: 312m ASL
Longitude: 69030‟00” to 78017‟00” E Total River Basins: 15
Total Districts: 33 Total Land Area: 34.25 million sqkm
Proportions of various parameters of the state in the country are as mentioned in Table 1.
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Table 1. State Parameters in the Country
Parameter Country (India) State (Rajasthan) Percentage (%)

Area (sqm) 3,287,300 343,000 10.40
Population 2011 (million) 1210 68.50 5.66
Live Stock (million) 292 54.7 18.70
Cultivable Area (sqkm) 1,843,700 257,000 13.90
Food Production (MT) 211 13.82 6.50
Average Rainfall (mm) 1170 531 45.38
Per Capita Water Availability (Cum) 1760 637 44.30
Total Precipitation (BCM) 4000 182 4.50
Water Availability (BCM) 1869 35.64 1.90
Utilizable Water Availability (BCM) 1121 27.20 2.42
Desert Blocks 142 85 60
Table 2. Scenario of Ground Water Development
Year Over Exploited Blocks (>100%) Critical Blocks Semi Critical Blocks Safe Blocks
1998 41 26 34 135
2004 102 82 27 25
2011 172
Study Area includes the geographical area of the state along with the 15 different river
basins, 33 districts, major & medium dams of the state (Fig. 2).
Figure 2. Study Area: Rajasthan State, India
3. WATER RESOURCES OF THE STATE

Rajasthan is the western state of the country with arid to semi arid climatic conditions.
There is no perennial river within the state; therefore whole water management plan is
dependent upon the conjunctive use of available surface, sub surface water, and interstate
water received through inter state agreement. Surface water resources of the state are
shown in Table 3.
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Table 3. Surface Water Resources of Rajasthan State
Classification Numbers Capacity (MCM) CCA (sqkm)
Major 20 6257 14176
Medium 95 2225 4421
Minor 3187 3360 6406
Total 3302 11832 25003
There are total 243 ground water blocks within the state having 11.15 BCM water
utilizable, but the with drawl is above 11.83 BCM which is 104% of the whole state
ground water availability. This ground water over exploitation is because of less water
inflow in the dams of Rajasthan state. Due to this prevailing situation, 172 blocks were
over exploited (>100% with drawl) in year 2011. Ground water table is regularly declining
resulting in with drawl of non-potable water from a depth of the level of 60m to 125m
below natural ground level. This has led to the state in severe water stress condition.
Water is also available to the state by some interstate agreements is shown in Table 4.
Table 4. Scenario of Interstate Water Agreements
River Ravi Beas Ravi Sutlej Chambal Mahi Narmada Yamuna Total
Name (Pre Beas
Partition)
Allocated 1369 10604 1739 1973 456 617 1119 17877
Share (17.88
(MCM) BCM)
Out of this total allocated share of 17.88 BCM, average annual water availability remains
12.66 BCM due to various climatic, political, institutional or hydrological reasons. In this
way total water available in the state is as mentioned below:
Surface Water: 11.83 BCM
Ground Water: 11.15 BCM
Interstate Water: 12.66 BCM
Total Water Availability: 35.64 BCM
4. ACTUAL DEPENDABILITY OF THE EXISTING DAMS

Water inflow pattern of the existing dams shows that the reliability and dependability of
the existing dams is not satisfactory. Dependability is also termed as exceedance
probability. Dependability (D in %) for any dam which is receiving water equal to or more
than its design capacity in „m‟ number of years out of a total of „n‟ number of years then
the dependability may be referred as:
𝑚
𝐷= ∗ 100 (1)
𝑛+1
We are studying 115 major and medium dams of the state for dependability analysis for
actual water inflow. Dependability at the time of design i.e. design dependability of these
dams was considered as 75%. This 75% minimum dependability is considered by the state
government for major and medium dams. Due to less water inflow in the existing dams,
actual dependability of the dams has reduced tremendously. An analysis for actual
dependability of the existing dams was carried out on the basis of actual water inflow in
the dams in 20 years and 10 years data series. Basin wise actual dependability is shown in
Table 5.
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Table 5. Abstract of Basin wise Actual Dependability
Name of Capacity Influence D D Weighted D Weighted D
S.N.
Basin (MCM) factor (20yrs) (10yrs) (20 yrs) (10 yrs)
1 Banas 2030.01 0.239 26.19 17.4 6.27 4.16
2 Shekhawati 8.31 0.001 4.76 0 0.00 0.00
3 Ruparail 24.40 0.003 4.76 0 0.01 0.00
4 Banganga 133.55 0.016 7.57 0 0.12 0.00
5 Gambhir 133.19 0.016 13.42 3.23 0.21 0.05
6 Parbati 14.25 0.002 9.52 0 0.02 0.00
7 Sabi 22.07 0.003 0 0 0.00 0.00
8 Chambal 3089.82 0.364 30.01 26.88 10.93 9.79
9 Mahi 2526.43 0.298 48.52 31.28 14.45 9.32
10 Luni 464.87 0.055 22.93 12.32 1.26 0.68
11 West Banas 35.37 0.004 33.33 18.18 0.14 0.08
Total 8482.28 1.000 33.41 24.07
5. NATURE OF PROBLEM IDENTIFIED

It is being observed that the existing dams of the state are not receiving the desired inflow
of water. Due to this condition, dependability or we can say reliability of the existing dams
is decreasing. Population of the state is increasing year after year. By 2050, India‟s
population may grow up to 1.6 billion, making it most populous nation in the world
(Debabratakar 2011). A negative correlation is shown between the state population and
water inflow in existing dam (Fig. 3). Water allocation under conditions of water scarcity
is a looming issue that threatens the economic well being and quality of life of the world‟s
people (Draper S.E. 2008).
Correlation Between State Population and Water Inflow in Dam & Rainfall
8000.00 1000
Year 1951 to 2012
Water Inflow (MCM)
y = 1.822x + 475.8
800
6000.00 R² = 0.022 Rainfall (mm)
600
4000.00
400
y = -31.73x + 2596.
2000.00 200
R² = 0.213
0.00 0
10 20 30 40 50 60 70 80
Population (millions)
Series (Population and Water Inlfow) Rainfall
Trend (Population and Water Inlfow) Linear (Rainfall)
Figure 3. Correlation between Population and Water Inflow in Dam
6. REASONS AND PREVENTIVE & CURATIVE MEASURES

Some reasons are attributed to natural changes beyond our control while some other
reasons are attributed to policy matters. There are numerous reasons for receiving less
runoff in spite of normal /good rainfall e.g. increased agricultural activities in the
catchments along with checking /harvesting of rainwater at local level by WHS & water
shed activities (field bunding), drying of surface/sub surface of catchment due to over
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exploitation of ground water, indiscriminate development, spatial & temporal distribution
of rainfall etc. Reasons along with suggested remedial measures are shown in Table 6.
Table 6. Abstract of Reasons and Remedial Measures
S.N. Reasons Remedial Measures
1 Lesser and Erratic Rainfall at Afforestation/Plantation works are being taken up to
some places. maintain the favorable climatic conditions.
2 Rise in temperature due to Plantation works are being taken up to maintain the
global warming and hence favorable climatic conditions. Temporal distribution as
evaporation and transpiration well as spatial variability of rainfall has been investigated
losses have increased. within Densu River Basin (Alfa et al. 2011).
3 Vegetation cover, hills and Plantation works are being taken up. Improved water shed
shrubs decreasing and and river basin operational decision making is an integral
responsible for less rainfall in part of improving effective use of our limited resources
the catchment. (Frevert et al. 2006)
4 Due to increased agriculture Agricultural activities have been increased due to increase
activities, built up areas, and in population. Tapping of water at field level to wet the
decreased barren & pasture land for next cultivation is good practice as it reduces the
land (Fig. 4), catchments have expenditure /efforts required for storage & distribution of
changed from good to bad water. The only mindset is to consider that the water
and hence responsible for less which was previously coming in the dams (centralized
velocity/runoff/inflow in the point) is now being utilized at local level (decentralized
dam. Municipal waste waters points) as per prevailing Government policy i.e. “Khet ka
are the major causes of the Pani Khet main” i.e. water precipitated in farm, be kept in
deterioration of water quality the farm. Furthermore efforts are being to stop
(Lee et al. 2008). unauthorized agricultural activities in the catchment and
submergence area.
5 Due to excessive withdrawal Over exploitation of ground water may be restricted.
of ground water, ground Ground water banking is one approach leading to better
water table is lowering, water management (Solis et al. 2011). History has shown
ending of base flow and that we cannot take and waste water without consequence.
hence huge runoff is Ground water pumping should be constrained by water
consumed in the charging of rights (Hernandez et al. 2011, Walker P.A. 2006).
river bed.
6 Interception by small water Major amount of water stored in small height water
bodies in free catchment area storage reservoir goes waste in evaporation/seepage losses
of existing dams. due to higher surface area/storage ratio.
8 Indiscriminate development Restriction should be imposed to establish township and
activities. residential colonies in river catchment.
9 Less number of Rain Gauge It is very important to have good data for a good
& River Gauge Stations. analysis/study. There are a total=511 RGS (some are at
Constructions of Hydrometric common/nearby places) over total geographical area of the
stations in near the lake to state i.e. 3.43 lacs sqkm. A minimum of one RGS per 500
understand exact water inflow sqkm is essential as per Indian Standards. Efforts are
to the lake (Hassanzadeh et being made to set up additional 250 RGS including 10%
al. 2012). SRRG.
It is suggested to consider sustainability and how we develop and manage our natural and
cultural resources to benefit both our and future generations. For these purposes, planning
and managing water and environmental resources with adaptable, robust and integrated
approaches are required (Saito et al. 2012). As far as water resource planning is concerned,
integrated planning along with optimum/efficient utilization of available water, checking
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ground water exploitation and transportation of water from excess storage to drought area
are possible measures for consideration.
Figure 4. Changes in Land Use Pattern
Farming increases with the increase in population, unfortunately new dams would also be
constructed in this region (Hassenzadeh et al. 2011). The major reasons for the decline of
the inflow to the Oasis area lies in excess water with drawl in the middle area of the basin.
As a result, a key to the solution will be to balance the typical upstream downstream need
(Liu et al. 2005).
8. METHODOLOGY ADOPTED: FEASIBILITY ANALYSIS FOR NEW DAMS

Large dams are necessary to have sufficient water after seepage and evaporation during hot
season. Existing dams are not getting water inflow according to their design capacities and
design dependabilities. The main reason of the less water inflow has been identified as
interception in the catchment area of the existing dams. Therefore, it is banned in the state
to construct any water storage structure in the catchment of any existing dam so that
existing dams may revive and get the desired water inflow that can be utilized through
water resources planning and management of the state. Now, competent approval is made
necessary before taking up any water storage structure. For this purpose a TAC i.e.
Technical Advisory Committee has been framed under chairmanship of Chief Engineer,
State Water Resources Planning Department of the state. The committee evaluates the
feasibility of every new proposal to construct water storage structure by keeping in mind
whether catchment of any existing dam is not being intercepted by the new proposal.
Hydrological computations are also done to assess the probable run off. Micro water shed
planning is considered at the time of this evaluation study. On the basis of this evaluation
final decision is taken up about feasibility of the new proposal. The effectiveness of any
law, regulation, contract, or legally enforceable agreement, regardless of the subject matter,
depends on how effectively it is administered and how rigorously its provisions are
enforced (Stephen E. Draper 2007). Managing water supply and irrigation, ingroducing
water market, strict water rights, modifying the farming, public awareness to conserve
water and averting new dam construction in the basin can help the lake to keep its current
level. Furthermore converging water from other basin to satisfy the agricultural demand in
this region could be a proper alternative (Hassanzadeh et al. 2012).
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8.1. Feasibility Analysis Format to Evaluate the Proposal of any Dams
8.1.1. General Information

In this section detailed information is sought about the proposed new dam e.g. name ,
locations, river/ tributary name, longitude-latitude, detail of micro water shed/ macro water
shed, GT sheet number, free/ intercept/ gross catchment area, type of catchment, storage
capacity, and estimated cost of the proposed new dam. This information is used to locate
the proposed dam on the state water resources planning map. and to study the probable
effect of ongoing micro water shed activities on it and its effect on the ongoing micro
water sheds.
8.1.2 Upstream Detail

With the help of upstream detail, thiessen polygon is drawn as shown in Fig. 5. Influence
factor (I) for every RGS are computed as shown in Eq. 2. Weighted annual mean rainfall
(WAMR) for the complete catchment is computed as shown in Eq. 3. Here ai is the
catchment area influenced by a particular RGS, A is the total catchment area of the
proposed dam, R1, R2, Rn are the annual rainfall of respective rain gauge stations.
Ii = ai /A (2)
N
WAMR = n=1 I1 R1 + I2 R 2 + ______IN R N (3)
Figure 5. Thiessen Polygon for Sabarmati Basin in Rajasthan
After completion of thiessen polygon, probable yield is computed with the help of
strange‟s table. During computation of yield, previous abstractions are subtracted to ensure
the actual water inflow as per computed yield. It is also ensured that the props
8.1.3 Downstream Detail

In this section detailed information is sought about existing/ongoing/proposed downstream
projects starting from the proposed dam to the downstream Major/Medium Project/ State
Boundary. This information is used to study the probable effect of new proposed dam on
the ongoing existing dam and micro water sheds.
8.1.4 Other Detail

In this section documents, certificates, declarations, computations are sought to assess the
various economical, social, institutional, hydrological, technical, and environmental impact
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of the proposed new dam. Integrated water resources planning and management typically
involve the considerations of multiple economic, economic, environmental, social,
financial institutions; and technical impact and the participation of multiple interest groups
and stakeholders (Takayanagi et al. 2011).
Capacity of the new proposed dam is allowed less than the 50% of the yield computed as
mentioned above considering the some downstream environmental and riparian flow.
Environmental water allocations in managed river systems are aimed at protecting or
restoring river ecosystem (Hernandez et al. 2011). A water transfer project can be executed
if it is environmentally and economically justified. Transferring water from an area may
cause a variety of negative impacts, social and environmental impacts. In order to consider
the environmental impacts of water transfer projects, a water quality simulation model may
be used (Karamouz et al. 2010). Through this procedure consensus is made between the
stakeholders like upstream and downstream local bodies/ beneficiaries.
9. RESULTS AND CONCLUSIONS

Dependability is only 33.41% against 75% design value for 20 years data series, while it is
going further down to 24.07% for last 10 years data series. It is also observed that rainfall
pattern is not declining, but it is slightly increasing. Water inflow in the dam is showing
negative correlation with the increasing population of the state; R2=0.213. This is a weak
correlation but with slightly increasing trend of rainfall this inflow trend is a sign of alarm
as shown in Fig. 2. Cultivation & Built up land increasing while Barren & Pasture land is
decreasing year after year as shown in Fig. 4. Minimum inflow in the Han River, Korea
decreased from 10.0 cumecs to 1.0 cumecs. Although this decrease represents a change in
the hydrologic properties of the basin, the exact cause is unclear (Kim et al. 2012). Model
that integrates hydrology with economic, environmental and institutional aspects into a
coherent analytical framework can be useful for managing water resources at basin level
(Hernandez et al. 2011). It is widely recognized that dams have negative impacts on the
downstream flow regimes required by riverine ecosystem. In most of the developing
countries in Asia and Africa, the development of irrigation to alleviate hunger and poverty
has primarily been the dominant goal. Because of this, there is little use of EFR at the
policy level, which has led to overdraft of rivers and aquifers and significant ecological
degradation (Liu et al. 2005). All surface water allocations are constrained by the water
available in the surface water storage systems; ground water pumping is constrained by
water rights (Hernandez et al. 2011).
Because of draughts, overuse of surface water resources and dam constructions, water level
in Urmia Lake has also decreased in such a way that one quarter of the lake has changed to
saline are in last 10 years. Simulation model, based on system dynamics method is
developed for the Urmia like basin to estimate lake‟s level (Hassanzadeh et al. 2012).
Feasibility analysis keeping in mind some down stream flow is essential for accepting the
proposal for construction of any new dam.
ACKNOWLEDGEMENT
Rainfall data, water storage data, and other relevant data for carrying out dependability analysis to
ascertain the declining trend of water inflow has been obtained from state water resources
department. Authors are thankful to Water Resources Department of Rajasthan state.
REFERENCES
II - 439
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Resources of a Coastal Basin of Ghana, Journal of Hydrologic Engineering, 16:4,
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Drapper, S.E. (2008): Limits to Water Privatization, Journal of Water Resources Planning
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Factors in Declining the Urmia Lake Level by System Dynamics Modeling, Water
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in the Han River Basin, Korea, on the Downstream Flow Regimes Using SWAT,
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Determination of Rock-fill Parameters Based on a Hardening Soil Model

Using Large Scale Triaxial Test results
A. Akhtarpour
Assistant Professor, Ferdowsi University of Mashhad, Civil Engineering Department, Mashhad, Iran
akhtarpour@um.ac.ir
M. Salari
Abpooy Consulting engineers company, Mashhad, Iran
ABSTRACT:
A large central clay core Rock-fill dam has been constructed in southwest of Iran with a height of
177 meters in 2000 (Masjed-e-soleyman rock fill dam).The main purpose of construction this dam
was generation of the electrical energy with a power of 2000 Mw. The upstream and downstream
shells in the dam body designed and constructed from query conglomerate rocks. High volume
strains can be seen in the large scale triaxial tests (32 inches diameter) performed in which
indicates that the conglomerate rock-fill shows more volume compressibility in comparison with
the other rock-fills. The particle breakage in higher level of confining stresses is the main reason
for this phenomenon. In this study the material behavior is simulated using a known material built-
in model in the FLAC software (SS Model).Investigations show that common functions suggested
by previous researchers for the mobilized dilation angles (The Yield function of the model) cannot
be used to predict the volume changes of the rock-fill material with a sufficient accuracy so some
modification was applied to the mobilized dilation angle of the model. The Results from modified
model have good agreement with the experimental data in the field of axial strains and volume
strains.
Keywords: Rock-fill material, SS model, Particle Breakage, Mobilized friction, Mobilized

dilation
1. INTROUDUCTION
Some large rockfill dams have been constructed in the world. To evaluate the behavior of
this type of dams by numerical methods we should consider a suitable material model and
determine its parameters too. There is a remarkable complexity in characterizing rockfill
materials due to their inelastic, nonlinear, and highly stress dependant behavior. Also, great
difficulties are encountered in performing significant laboratory tests on such material.
The masjed-e-soleyman rockfill dam is a high central clay core dam with a height of 177 m
from rock foundation which is located in southwest of Iran in the Khozestan province. The
construction finished in Nov.2000 and impounding of the reservoir completed in Jul. 2003.
Some large deformations have been observed and still continued with a significant rate in
the crest and dam body. Also first filling of the reservoir caused about 1.5 meters
settlements in dam crest which is due to rockfill saturation collapse. Large scale triaxial
II - 441
tests had shown some special features of the rockfill including breakage under high
confining pressure, collapse saturation and creep behavior of the material.
This research tries to model the breakage phenomenon of the rockfill using a numerical
approach. Some simulations are conducted to model non-linear stress-strain behavior of
rockfill material observed in tested specimens. Some valid equations are used for definition
of mechanical parameters in Strain-Hardening/Softening model of software FLAC [1].
Modifications were applied to the model definitions and equations to improve the ability of
the numerical model which can simulate the breakage phenomenon with high accuracy.
2. ROCK-FILL MATERIAL
Some large scale triaxial tests were carried out on conglomerate rockfill samples from
borrow area of the Masjed-Solyman embankment dam to investigate its mechanical
properties [2]. The samples were 32 inches diameter and 32 inches height with same
gradation curve which is shown in Fig. 1. Size of all particles was larger than 2 mm before
testing. Two series of test were carried out in this investigation; in the first series of tests,
initially dry samples were loaded under isotropic stress and then axial loading was applied
until axial strain reached to 12%. In other series of tests, initially saturated specimens were
consolidated under isotropic stress and then strain-controlled axial loading was applied in
draining condition, and each test was continued until the axial strain at the end of loading
reached to 12% , Tests were performed with different cell pressures for determination the
effects of confining pressure on rockfill behavior. Specifications of all tests are shown in
table1. Results of performed tests and their simulations are presented in subsequent
sections of this paper.
Table 1.Specifications of tests

No.set No.Test ( ) Density( ) Initial condition
series 1 1 0.6,1.2,1.8 2 Dry
2 0.3,0.6,1.2 2 Saturated
series 2
3 0.3,0.6,1.2 1.8 Saturated
100
90
80
70
% Finer by Weight
60
50
40
30
20
10
0
0.01 0.1 1 10 100
Grain Size (mm)
Figure 1.Grain size distribution curves of tested rockfill material
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3. MODEL SPECIFICATIONS AND IMPROVEMENTS
An appropriate model for rockfill material would be the model, which is able to predict
peak shear strength, hardening behavior, stress dependent function accurately. In fact, the
model should precisely simulate stress and strain fields either in dry condition or saturated
condition. In this study, strain hardening-softening (SS) model in FLAC is used with some
modification; For definition nonlinear behavior of rockfill material, some implementation
is developed in the modeling, which its basic features includes stress dependent modulus,
hardening and dilatancy behavior which are described in the following sections.
3.1. Stress dependent elastic modulus
Dependency of elastic modulus on confining pressure is obvious in almost all geotechnical

material. Hence, Eq.1 which was proposed in hyperbolic (nonlinear elastic) model by
Duncan and Chang [3] is applied in model for definition of this dependency. Many
researchers have found the validity of hyperbolic stress dependent modulus relationship for
various kinds of soil and rock under various test and practical conditions [4].
E = KP ( ) (1)
Where E is Young’s modulus, K is modulus number, Pa is atmospheric pressure and n is

the exponent for stress dependent modulus.
Poisson’s ratio (ν) is considered as a constant value, which associated with above
mentioned elasticity parameters results in appropriate response in the elastic domain.
3.2. Failure envelopes and potential functions
The SS model allows representation of non-linear material hardening based on prescribed

variations of the Mohr-Coulomb model properties as the function of the deviatoric plastic
strain. The failure envelopes in the model are defined by following relations:
= − +2 (2)
= − (3)
Where and are shear failure and tensile failure, respectively; and are major and
minor principal stresses, and , and are mobilized cohesion, mobilized friction
angle and mobilized tensile strength.
The model has non-associated flow rule in shear and associated flow rule in tension with
following plastic potential functions, respectively:
= − (4)
= − (5)
Where: is mobilized dilation angle.
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Thus, with above mentioned equations both hardening and softening behavior can be
modeled depends on the increase or decrease in the mobilized parameters, respectively. For
rockfill material, frictional hardening and dilatancy behavior are defined based on
mobilized friction and dilation angles, which are explained in the following sections.
3.3. Frictional hardening
Vermeer and de Borst [5] proposed Eq.6 for frictional hardening behavior of geotechnical
material, in which mobilized friction angle ( ) depends on plastic strain ( ) and
gradually increases to reach the peak friction angle:
×
=2 ≤
+
= > (6)
Where, is plastic strain at peak friction angle( ).
MahinRoosta and Alizadeh [6] proposed some modifications to the Eq. 6 as mentioned in
below( Eq.7) using a new coefficient, m and adding initial friction :
ε ×ε
sinφ = sinφ + 2 sinφ − sinφ ≤
ε +ε
= > (7)
3.4. Dilatancy behavior
An equation for presenting the variable dilation angle was put forward by Rowe [7] so-
called stress dilatancy equation. This is the desired equation between mobilized dilatation
angle and the plastic strain as follows:
−
= (8)
1−
−
= (9)
1−
Where and are mobilized dilation angle and peak dilation angle, respectively. The
parameter is the critical state friction angle or friction angle of constant volume.
Rowe ‘s relation for mobilized dilatation (E.q.8) cannot be used to predict the volume
changes of the rock-fill material due to breakage with a sufficient accuracy so in this
research some modifications were applied to the mobilized dilation angle of the model. For
Masjed-e soleyman rock fill material, mobilized dilation angle is obtained from Eq.10 using a
new coefficient, P, and adding minimum dilation angle, :
II - 444

⎧ <
⎪
−
θ= , = ≤ ≤ (10)
1− ⎨
⎪
⎩ >
In above equation −90 ≤ , , ≤ +90 and P is a positive real number.
This coefficient, P, and minimum dilation angle, , can be obtained from laboratory
triaxial tests. With using Eq.10 variation of mobilized dilation angle with plastic strain for
different values of P is shown in Fig.2.Mobilized dilation angle increases from initial value
to peak value, . Coefficient P controls the curvature of the graph as illustrated in
Fig.2. From this figure, it is noticeable that all graphs with different values of P, intersect
with the horizontal axis in a same plastic strain which depends on shear plastic strain.
40
30
20
10
0
-10 0 1 2 3 4 5 (%) 6
P=1
-20
P=2.5
-30
P=5
-40
-50
-60
-70
-80
Figure 2.Variation of mobilized friction and dilatation angle with variation of coefficient P
3.5. Stress dependent peak friction and dilation angle
Due to this fact that maximum friction and dilation angles depend upon confining pressure,
which also observed in the laboratory tests, Eq.11 and Eq.12 are implemented in the
model. These stress dependent friction and dilation angles are used as maximum friction
and dilation angle in Eq.7 to Eq.10 and:
= − ∆ log ( ) (11)
= − ∆ g ( ) (12)
In the above equations, and are maximum friction angle and maximum dilation
angle. is the minor principal stress, and are the angle of internal friction and the
II - 445
angle of dilation and at σ3= 100 KPa respectively. Pa is atmospheric pressure, ∆ and
∆ are the reduction in friction angle and dilation angle in respect to confining pressure for
each 10 time increase in .
4. NUMERICAL SIMULATING
Numerical modeling of triaxial tests has been performed using code “FLAC” with the
above mentioned modifications in strain hardening-softening model. FLAC is a bi-
dimensional finite difference code (explicit scheme) which permits simulation of the
behavior of soils, rocks, etc. The program is based on the Lagrangian calculation scheme,
and each element behaves according to a prescribed stress–strain law as a response to
applied forces and boundary restraints. Model correction in this study is done via internal
programming language (Fish) which permits definition of functions, controlling calculation
schemes and the nature of calculations (i.e., user-defined constitutive relationship). This
feature makes FLAC very powerful for research purposes. Triaxial test results are
simulated by single zone axisymmetric formulation and appropriate boundary condition.
As it was mentioned, SS model was used for simulation, which its great advantage is the
possibility that the cohesion, friction, dilation and tensile strength may harden or soften
after the onset of plastic yield. In the Mohr-Coulomb model, those properties are assumed
to remain constant, whereas in SS model it is possible to define shear strength parameters
as piecewise-linear functions of a hardening parameter, e.g. plastic shear strain.The code
measures the total plastic shear strains by incrementing the hardening parameter at each
time step and causes the model properties to conform to the user-defined functions. All
presented equations are implemented in model using some functions in the fish
environment.
Two series of triaxial tests were carried out to identify stress-strain behavior of the rockfill
material, one of them on saturated samples and another one on dry sample. Model
parameters for all samples are prepared and shown in Table 2. The parameters of table 2,
were introduced in section 3 of this paper except c which is cohesion.
5. RESULTS OF SIMULATION AND DISCUSSIONS
Deviatoric stress and volumetric strain versus axial strain curves obtained from laboratory
tests of rockfill material in various test conditions are compared with those from numerical
modeling. Results of simulation on dry samples are shown in Fig. 3. Fig.4 and Fig.5 show
results of simulation on saturated samples. Figures show how the nonlinearity of stress-
strain constitutive law is accurately followed by the rockfill behavior in laboratory tests.
Generally, elastic modulus decreases with saturating and increases with more compacting.
This is expected in granular material, also elastic modulus increases with increasing
confining pressure. It is evidence that elastic modulus increases for the saturated samples
with increasing confining stress but for the dry samples another behavior can be seen. As
elastic modulus decrease with increasing confining pressure (n is negative).This
phenomenon reported by previous researchers [8]. Particle breakage in high level causes
this uncommon behavior in the dry samples. In a same confining stress, the dry samples
II - 446
have more strength than saturated samples, and the strength decreases with decreasing
compaction.
Saturated samples show more volumetric strain than dried samples, due to weakening and
easy sliding particles on each other, also the samples with higher dry density show more
volumetric strains in lower confining in comparison with higher dry density samples.
Table 2.Model parameters for simulation

Parameter Series 1 Series 2
Test1 Test2 Test3
Density( ) 2 2 1.8
n -0.12 0.74 0.27
K 3672 556 468
0.1 0.1 0.1
C( ) 65 25 15
(%) 6 6 6
m 1 1 1
P 5 0.77( )+0.25 0.37( )-0.375
-80 -80 -80

51.3 − 7log ( ) 55 − 11.1log ( ) 52.6 − 11.3log ( )
1.5 ≤ 6 5.5 ≤ 3 2.5 ≤ 3
0 > 6 0 > 3 0 > 3
33.6 − 16.6log ( ) 41.9 − 30log ( ) 22 − 6.6log ( )
6 Axial strain (%)

laboratory test Confined stress = 0.6 MPa 0
5 Laboratory test Confined stress = 1.2 MPa -1 0 2 4 6 8 10 12
Laboratory test Confined stress =1.8 Mpa
-2
4
Deviatoric Stress (Mpa)
Proposed model
-3
Voumetric Strain (%)
3 -4
-5
2 -6
-7 laboratory test Confined stress = 0.6 MPa

1 Laboratory test Confined stress = 1.2 MPa
-8
Laboratory test Confined stress =1.8 Mpa
0 -9
Proposed model
0 2 4 6 8 10 12 -10
Axial strain (%)
Figure 3.Comparison of modeled and observed triaxial test results in test1 (Series 1)
II - 447
4
Axial strain (%)
laboratory test Confined stress = 0.3 MPa 0
Laboratory test Confined stress =0.6 MPa
-1 0 2 4 6 8 10 12
3 Laboratory test Confined stress =1.2 Mpa
-2
Proposed model
-3
Voumetric Strain (%)

2 -4
-5
-6
1
-7
laboratory test Confined stress = 0.3 MPa
-8 Laboratory test Confined stress = 0.6 MPa
0 Laboratory test Confined stress =1.2 Mpa
-9
0 2 4 6 8 10 12 Proposed model
-10
Figure 4.Comparison of modeled and observed triaxial test results in test2 (Series2)
4 Axial strain (%)

0
laboratory test Confined stress = 0.3 MPa
-1 0 2 4 6 8 10 12
Laboratory test Confined stress =0.6 MPa
3
Laboratory test Confined stress =1.2 Mpa -2
Volumetric Strain (%)
Proposed model -3
-4
2
-5
-6
1 -7 laboratory test Confined stress = 0.3 MPa
-8 Laboratory test Confined stress = 0.6 MPa
-9 Laboratory test Confined stress =1.2 Mpa

0 Proposed model
-10
0 2 4 6 8 10 12
Axial strain (%)
Figure 5.Comparison of modeled and observed triaxial test results in test3 (Series 2)
In all tests, we see, the maximum fiction angle decreases with increasing confining stress,
furthermore, peak dilation angle has a non-zero positive value in low confining stress and
it has a zero value in higher confining stresses. Also P coefficient increases with increasing
confining stress. Moreover, in a same confined stress and dry density for the dry samples
this coefficient has a higher value than the saturated samples. As a result, the rock fill
material has a high breakage potential and this phenomena causes to increase fine particles,
so, cohesion increases in the dry and high density samples. Percent of fine particles smaller
than 2 mm after testing show in table.3. Results confirm that the breakage has an important
role in the behavior of the rock fill material of masjed-e-soleyman dam.
Table 3.Percent of fine particles smaller than 2 mm after testing

Series No. Series 1 Series 2
Test
Test1 Test2 Test3
Identification
( ) 0.6 1.2 1.8 0.3 0.6 1.2 0.3 0.6 1.2
Passing%(2m
7.5 9.5 12 5 7 9 3.5 5 7
m)
II - 448
6. CONCLUSION
The paper has attempted to provide an insight into modeling the various aspects of the
engineering properties of rockfill material, with focus in breakage phenomenon. This study
allows accessing the phenomena that take place at different conditions of loading in
rockfill materials and therefore enables detailed study of breakage in such materials. This
kind of study is of immediate interest for dam engineers who wish to assess the effects are
caused the breakage. In order to model mentioned phenomenon, some features are applied
to strain hardening-strain softening model in software Flac to simulate stress dependency,
hardening behavior and in rockfill material. Results of modeling are compared with those
from physical tests; in general, it is shown that results of the simulations are in good
agreement with laboratory tests both in strength and dilation behavior. From this
adjustment this conclusion can be drawn that this modified model is appropriate to
simulate the behavior of rock fill material in inundation.
ACKNOWLEDGEMENT
The work described in this paper could not have been performed without assistance of
abpooy consulting engineers company. Special thanks to Dr. Mahinroosta for his assistance in this
research. Large scale triaxial tests on Masjed-e-soleyman Dam borrow tests were performed in
Institute of soil and rock mechanics of Karlsruhe University which was commissioned by Iran
Water and Power Resources Development Company (I.W.P.C) Ministry of Energy Iran.
REFERENCES
[1] Itasca consulting group.(1998): FLAC,Fast Lagrangian Analysis of Continua,

Minneapolis, Minnesota, USA.
[2] Moshanir Power Engineering Consultants. (1996): Review on Additional Laboratory
Tests on Materials of Masjed Soleyman Dam, Tehran, Iran
[3] Duncan, J.M. and Chang, C.Y.(1970): Nonlinear analysis ofstress and strain in soils,
Journal of Soil Mechanics and Foundation Division, ASCE, 96. No. SM5.
[4] Escuder, I., Andreu, J. and Rechea, M.(2005): An analysis of stress-strain behavior and
wetting effects on quarried rock shells, Canadian Geotech Journal, 42,pp. 51-60.
[5] Vermeer, P. A. and De Borst, R., (1984): Non-associated plasticity for soils, concrete
and rock, Heron, 29(3).
[6] MahinRoosta, R. and Alizadeh,A,(2012): Simulation of collapse settlement in rockfill
material due to saturation, International Journal of Civil Engineering, Vol. 10, No. 2.
[7] Rowe, P.W.(1963): Stress-dilatancy, earth pressure and slopes, J. soil mech. and found. Div.,
ASCE, 89(5), 37-61.
[8] Soroush, A. and Jannatiaghdam, R.,(2012): Behavior of rockfill materials in triaxial
compression testing, International Journal of Civil Engineering, Technical Note.
II - 449
Relation between Engineering Properties from Laboratory Testing of
Embankment Fill Material and Geophysics Investigation are Use for Real-time
Dam Safety Assessment for Large Dam in Northern Region of Thailand.
Chatchai Pedugsorn
Head of Dam Safety Management Branch, Engineering Management Division
Regional Irrigation Office 1, Royal Irrigation Department
chatpongnoi@hotmail.com
Noppadon Poomviset
Director of Geophysics Division, Geological and Survey Office, Royal Irrigation Department
npoomvises@gmail.com
Pearasynp Srisawat
Head of Soil Engineering and Geotechnical Group, Engineering Management Division
pearasynp@gmail.com
ABSTRACT
Geophysics investigation, Geological investigation and laboratory testing of 3
large dams, Mae-Ngat dam (60 meter height), Mae-Kwang dam (69 meter height) and
Mae-Jok-Luang dam (22 meter height) are accomplish for dynamic response analysis.
Geophysics result of shear wave velocity, shear wave modulus, Poisson’s ratio and
calculated N (Navg) and engineering properties of undisturbed sample of embankment
material by triaxial test C(cohesion)(T/m2), Ø(angle of internal friction)(degree) and γ
(unit weight)( T/m3) are derived for 3 equations.
First Equation.
γ 
( 5
) 4
( ) 3
( 2
) (
Log  t5  = 9 ×10 −11 N avg − 2 ×10 −6 N avg + 2 ×10 −6 N avg − 9 ×10 −5 N avg + 0.001 N avg − 0.008 ) ( )
C 
R2=0.902
Second Equation.
 γ t φ 3γ 6 
( ) ( )
Log  5 + 6  = 3 × 10 −12 N avg − 9 × 10 −10 N avg + 9 × 10 −8 N avg − 4 × 10 − 6 N avg
C C 
6 5 4
(3
) ( )

(
− 0.0001 N avg )2
(
− 0.001 N avg + 0.011 )
2
R =0.917
Third Equation.
(
Log (γ t1.05C 3.05φ 0.05 ) = 4 × 10 −9 N avg )
4
(
− 1 × 10 −6 N avg )
3
(
+ 0.0001 N avg )
2
( )
− 0.005 N avg + 0.0092
2
R =0.832
Benefit of 3 equations is application of geophysics investigation for assessment of
embankment in real-time properties. Engineering properties of embankment can be
calculated from geophysics investigation. Embankment dam stability analysis can be
accomplish in real-time under various critical condition, which is cheap, precise, quick
and non-destructive to dam body. Usage of 3 equations can manage dam safety more
efficient.
Keywords : Equation of Geophysics and Embankment Material Test
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PROBLEM OF RID DAM SAFETY MANAGEMENT IN NORTHERN REGION
OF THAILAND
The problem of dam safety under Royal Irrigation Department management in

northern of Thailand is about limitation of budget and manpower and following aspect.
1. Dam safety management effect from water resources management
Water resources management such as reservoir operation under flood control situation
effect stability and seepage condition such as rapid drawdown (provide storage for storm
runoff), flood detention for over maximum reservoir storage volume.
2. Dam safety effect from strong motion earthquake.
Dam site in northern region of Thailand are located in propensity area of VI to VIII
Modified Mercalli Intensity Scale. Northern region of Thailand are subjected from strong
motion earth quake epicenter in The Union of Myanmar or Lao People’s Democratic
Republic.
3. Dam safety conditions are effected from poor maintenance.
Due to government policy to reduce manpower and maintenance budget, there are not
sufficient maintenance of dam and aperture structure. Northern region dam site are in
tropical zone with abundant weed and trees rapid expand over dam and aperture structure.
Compacted fill embankment are effected from root system which induces hole, crack,
termite to embankment.
From these problems, basic investigation such as visual inspection for condition
index is not sufficient for dam safety management. There are case study of three large
dams located in northern region of Thailand, Chiangmai Province, Mae-Ngat dam, Mae-
Kwang dam and Mae-Jok-Luang dam(see Fig.1).
Mae - Ngat Dam, Chiangmai Province
Mae - Kwang Dam, Chiangmai Province
Mae - Jok-luang Dam, Chiangmai Province
Figure 1. Location map of Mae - Ngat Dam, Mae - Kwang Dam and Mae - Jok - Luang Dam
II - 451
Embankment dam detail
Mae-Ngat dam
Normal reservoir storage volume 265 million – cubic meter
Maximum reservoir storage volume 325 million – cubic meter
Dam height 60 meter
Dam crest width 9 meter
Dam length 1,950 meter
Upstream slope 1:2.5,1:3 Downstream slope 1:2,1:2.5 Zone type dam, complete construction 1986
Mae-Kwang dam (Main dam)
Normal reservoir storage volume 263 million – cubic meter
Maximum reservoir storage volume 295 million – cubic meter
Dam height 69 meter
Dam length 610 meter
Upstream slope 1:2.5,1:3 Downstream slope 1:2,1:2.5 Zone type dam, complete construction 1993
Mae-Jok-Luang dam
Normal reservoir storage volume 1.1 million – cubic meter
Maximum reservoir storage volume 1.4 million – cubic meter
Dam height 22 meter
Upstream slope 1:3 Downstream slope 1:2.5 Homogeneous dam, complete construction 1985
Most of dams which design and construct by RID have engineering properties (C,
Ø, γ) of fill material from laboratory testing of borrow area sample. Engineering
parameters of fill embankment material are dynamic from several conditions such as
degree of consolidation, moisture content, construction and maintenance condition. For
dam safety management, various conditions of embankment should have present recheck
for engineering properties for dam stability analysis. The way to get present engineering
properties (C, Ø, γ) is to collect fill material in undisturbed condition by subsoil survey and
test in laboratory. This way destruct to dam body. The concept about to make use of
geophysics investigation, geological investigation and laboratory testing relation can use in
real time assessment of dam safety aspect such as real-time stability analysis. To get
reliable relations, it is necessary to collect undisturbed sample which effect to dam body
for certain extent until relations of geophysics investigation, geological investigation and
laboratory testing are derived, geophysics can be used to investigate real time engineering
parameter of embankment.
GEOPHYSICS, GEOLOGICAL INVESTIGATION AND LABORATORY TESTING
Geophysics investigation are use of multichannel analysis surface wave (MASW)

by propagation of surface wave from dam crest to dam body. Receivers are geophones
which low frequency in range of 4-8HZ. Geophysics investigation devices compose of
seismograph, geophones, sources and computer set (see Fig.2 and Fig.3). By this approach,
shear wave modulus and N-calculated from geophysics are derived.
II - 452
Data collection by MASW (Park etal, 1999) Data process of MASW (Xia etal, 1999)
Figure 2. Data collection by MASW (Park etal, 1999) and Data Process of MASW (Xia etal, 1999)
Seismic sources Geophysics investigation devices installation
Figure 3. Seismic sources and Geophysics investigation devices installation
Geological investigation by subsurface investigation use rotary drilling machine to

collect embankment fill material. For rock sample use triple core barrel, for soil sample use
split spoon sample tube. Permeability test for rock layer use packer test or gravity test and
for soil layer use open-end test by install 1.5 inch diameter PVC pipe to check water level.
After finishing test, this investigation holes are plug by plastic concrete, this process is not
effect embankment stability and seepage. All data are record in geologic log of drill hole of
embankment dam. Undisturbed sample are collected by thin wall tube of 3 inch inside
diameter, 70 centimeters length with 1.2 inch shell thick. This thin wall tube are slowly
drill and press by hydraulic machine. When fill material sit in tube up to 50 centimeters,
soil sample are bring out and pave by paraffin and cover (see Fig.4) to protect the sample
from evaporation. This sample are arrange in steel box to preserve from disturb condition
and send to laboratory. Disturbed sample are collected by split spoon sample. Standard
Penetration Test (SPT) are test from 140 lb hammer for vertical drop 30 inch. Split spoon
tube are 2 inch outside diameter and 18 inch length. Blow count are record in every 6 inch
total number of blow count at 6 inch and 18 inch are N-value from geological investigation
of fill embankment.
II - 453
Figure 4. Geological investigation for undisturbed embankment fill sample
For laboratory testing for disturbed and undisturbed embankment samples, both
disturbed and undisturbed embankment samples are test in laboratory for engineering
properties as following (see Fig.5).
1. Gradation test (Sieve Analysis)
2. Specific Gravity test
3. Atterberg test
4. Triaxial test (Consolidated Undrain test)
Shear stress and angle of internal friction are shown in Fig.6.
Undisturb sample Triming Consolidated Untrained Test Sieve Analysis

For CU-Test (CU - Test)
Figure 5. Laboratory testing of embankment sample for engineering properties
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Triaxial Test of Mae-Ngat dam 3.20-15.00 m Triaxial Test of Mae-Ngat dam 26.00-34.00 m
Triaxial Test of Mae-Jok-Luang dam 5.25-12.80 m Triaxial Test of Mae-Kwang dam 2.50-6.00 m
Figure 6. Triaxial Test of Mae-Ngat dam, Mae-Kwang dam and Mae-Jok-Luang dam
Mae-Ngat Dam Mae-Kwang Dam
Mae-Jok-Luang Dam
Figure 7. Geophysics investigation and Geological investigation parameters
II - 455
Relation of geophysics investigation and geological investigation parameter are shown in
Fig.8 to Fig.10. From standard penetration test of geological investigation can derived for
N (Blow count from SPT) for specific depth and from geophysics investigation can derived
for N(geophysics) from shear wave velocity for specific depth. Numerical analysis can be
set in dimensionless. For ratio of N (Blow count, SPT) over N(geophysics, s-wave) and
ratio of specific depth over dam height are shown as following C and D respectively.
N(Blow count , SPT )
𝐶𝐶 = (1)
N(Geop hysics , S−Wave )
d(specific depth )
𝐷𝐷 = (2)
d(dam height )
Relation between geophysics investigation and geological investigation of Mae-Ngat dam

are as following.
For 0<D≤0.2, C = 5.356D + 0.250
0.2≤D≤1.0, C = -1.640D + 1.703, R2=0.958 (3)
R2 =0.958
Figure 8. Relation between C and D of Mae-Ngat Dam
Relation between geophysics investigation and geological investigation of Mae-Kwang

dam are as following.
For 0<D≤0.2, C = 0.187D + 0.009
0.2≤D≤1.0, C = -0.866D + 0.368, R2=0.951 (4)
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R2 =0.951
Figure 9. Relation between C and D of Mae-Kwang Dam
Relation between geophysics investigation and geological investigation of Mae-Jok-Luang

dam are as following.
For 0<D≤0.4, C = 0.397D + 0.250
0.4≤D≤1.0, C = -0.422D + 0.577, R2=0.934 (5)
R2 =0.934
Figure 10. Relation between C and D of Mae-Jok-Luang Dam
Relations between geophysics investigation and engineering properties from laboratory

testing are derived by numerical analysis in least squares regression. Geophysics
investigation and laboratory testing of 3 large dams, Mae-Ngat dam (60 meter height),
Mae-Kwang dam (69 meter height) and Mae-Jok-Luang dam (22 meter height) are
accomplish for dynamic response analysis. Geophysics result of shear wave velocity, shear
wave modulus, Poisson’s ratio and calculated N avg (N(geophysics) average in range of
specific depth) and engineering properties of undisturbed sample of embankment material
II - 457
by triaxial test C(cohesion)(T/m2), Ø(angle of internal friction)(degree) and γ (unit
3
weight)( T/m ) are derived for 3 equations.
First Equation.
γ 
( ) 5 4
( ) 3
( ) 2
( )
Log  t5  = 9 × 10−11 N avg − 2 × 10− 6 N avg + 2 × 10− 6 N avg − 9 × 10− 5 N avg + 0.001 N avg − 0.008 ( )
C 
R2=0.902
Second Equation.
γ φ 3γ 6 
( ) ( )
Log  t5 + 6  = 3 × 10−12 N avg − 9 × 10−10 N avg + 9 × 10−8 N avg − 4 × 10− 6 N avg
C C 
6 5 4
( 3
) ( )

− 0.0001 N avg( ) 2
( )
− 0.001 N avg + 0.011
2
R =0.917
Third Equation.
(
Log (γ t1.05C 3.05φ 0.05 ) = 4 × 10 −9 N avg )
4
(
− 1 × 10 −6 N avg )
3
(
+ 0.0001 N avg )
2
( )
− 0.005 N avg + 0.0092
2
R =0.832
CONCLUSION
Benefit of 3 equations is for application of geophysics investigation for assessment

of embankment in real-time properties. Engineering properties of fill material can be
calculated from geophysics investigation. Embankment dam stability analysis can be
accomplish in real-time under various critical condition such as following.
1. Rapid draw down condition
2. Steady state condition (Normal reservoir storage)
3. Over storage (Reservoir water level above planed level)
4. Strong motion earthquake
5. Poor maintenance
6. Etc. (Unexpected event)
Using geophysics investigation and relation between geophysics investigation and
engineering properties from laboratory testing is convenience and can do frequently by
non-destructive to dam body. Using of 3 equations is cheap, precise, quick and non-
destructive to dam body, suitable to large dam in northern of Thailand. Geophysics
investigation and relation of engineering properties can applied for large dams, Mae-Ngat
dam, Mae-Kwang dam and Mae-Jok-Luang dam and can use with routine visual inspection
for condition index. By this approach can achieve dam safety management most efficient.
REFFERENCE
Park, C.B., Miller, R.D., Xia J.(1999) Multi - channel analysis of surface waves.
Geophysics, Vol.64,No.3:PP.800-808
II - 458
Dam Development in Landslide and Debris Flow Disaster Area in Mae-Ngon
Basin, Fang District, Chiangmai Province, Thailand.
Chatchai Pedugsorn
ABSTRACT
Debris flow disaster occurs in Mea-Ngon basin 3 times in 40 years, recently 9
October 2006, there are 7 people death and 638 million baht loss. Flood and landslide
sediment are studied by ground survey, soil survey, geological survey and laboratory
testing for debris flow properties. Result shows that landslide sediment volume are about
343,148 m3 consisting of course particle (boulder, cobble, gravel) 47,548 m3, fine particle
(sand) 236,480 m3 and soil particle (silt & clay) 59,120 m3. Landslide sediment volume is
127.54 times of erosion sediment volume or erosion sediment is 0.78 percent of landslide
sediment. Debris flow properties such as density of debris flow 1.690 ton/m3, sediment
concentration 0.636. From X–ray diffractometer test, rock name is Carbonate alterate
Meta – pelite. Clay mineral consists of Quartz, Magnesiumcalsite and Dolomite.
Composition of clay mineral is Illite. A group name for non-expanding. Rock property is
durable from swelling and expanding under wet condition. Rock mechanic testing is
accomplished in Hoek&Brown (2006) system. Basement rock has GSI about 30 – 35.
Structural measure can control 99.22 percent of basin sediment. Slit sabo dam of Japan
are modified for Mae-Ngon basin which can reduce construction cost about 50 percent.
Openings of slit structure are follow “Mizuyama (1995)” trapping sediment corresponding
to its gradation which allows water and finer particle pass through its structure and
dissipate flow energy. Output is dam development in debris flow disaster area to protect
risk area suitable to Thailand.
Keyword : Flood and Debris flow disaster, Dam Development
PROBLEM OF FLOOD AND LANDSLIDE IN THAILAND
After 1970, Thailand is increasingly susceptible to flood and debris flow (table1).
Year after year the flood and debris flow disaster is more severely damage to property and
lives because more people settle in flood and debris flow area, land use change, climate
change from global warming. Example of damage from flood and landslide are in table1.
Flood and Landslide in Mae-Ngon basin, Fang District, Chiangmai Province

During 6-9 October 2006, there are heavy rains in Mae-Ngon basin. Rain gauge
stations at Ang – Khang, Fang District, collect the following rain fall data
6 October 2006, 3.80 millimeter 8 October 2006, 138.60 millimeter
7 October 2006, 24.60 millimeter 9 October 2006, 34.40 millimeter
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Table1. Damage from flood and landslide in Thailand
Month/Year Area Number of Death
November 1970 Tapsagae District, Prajuab Province 12
January 1975 Ronpiboon District, Nakornsritamaraj Province 58
December 1982 Sribanphot District, Patalung Province 4
November 1988 Pipoon District, Nakornsritamaraj Province >200
August 1998 Kichakood District, Juntaburi Province 1
June 2001 Vangchin District, Phrae Province >30
August 2001 Lomsak District, Petchaboon Province 135
October 2006 Fang District, Chiangmai Province 7
After 4 successive days of rain fall, flash flood and landslide occurs. Debris flow which
consists of lumber, boulder, cobble, gravel, sand and mud bring about 7 people death and
damage 13 villages. There are effected to 3,520 families and 9,390 rai of agriculture area.
Public infrastructures are widely ravaged. Evaluation of loss is totally 638,859,687 baht
(see Fig.1) Mae–Ngon basin is in Fang District north of Chiangmai city about 154 kilometers.
Mae–Ngon basin has boundary area by following direction
North: Myanmar and Mae-Eye District, Chiangmai Province
East: Mae-Suai District, Chiangrai Province
South: Chaiprakan District, Chiangmai Province West: Myanmar
Landslide area is in Mae–Ngon Subdistrict, Fang District of Chiangmai Province at 47
QNC 173 – 060 (051729 mE,2206048 mN) 4848–IV Sheet, L7017 Series by military map
Figure 1. Location of Mae-Ngon basin in Mae-Ngon subdistrict, Fang district

Chiangmai province and damages from debris flow in 9 October 2006
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OBJECTIVE OF STUDY
The objective is to study flood and landslide management of Mae-Ngon basin by

structural measure. Objective of structural measure is proposed dam development in
lanslide and debris flow disaster area for suitable structure for Mae – Ngon basin.
METHODOLOGY OF STUDY
The methodology of this study are 3 steps

1) Study the properties of landslide sediment of Mae – Ngon basin, by ground survey,
soil survey and geological survey.
1. Ground survey is investigated the depth and boundary of landslide sediment
deposition (see Fig.2)
Figure 2. Boundary of landslide sediment deposition, by ground survey
2. Soil survey and geological survey

Landslide sediment deposition is investigated by hand auger drilled
from deposition surface to original ground surface. Depth of landslide sediment
deposition is the difference between deposition surface and original ground
surface. Sample of landslide sediment are collected by test pit (see Fig.3). The
objective of soil survey and geological survey are to investigate the boundary and
depth of course sediment (boulder, cobble, gravel), fine sediment (sand, silt&clay)
and to collect sediment sample.
Figure 3. Sample of landslide sediment collected by soil survey in deposition area
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2) Study of the geological property of Mae–Ngon basin basement foundation
1. Geological survey at proposed sediment – water storage dam
Two proposed sediment – water storage dam site are bored totally 190 meters.
Location of bore hole are left abutment, river bed and right abutment.
2. Rock testing
Rock sample from dam foundation are testing in both rock mechanic laboratory
(see Fig.4) and lithology and petrography laboratory
Figure 4. Rock sample preparation for rock mechanic testing
Clay minerals are investigated by X – ray diffractometer. Engineering properties of rock

sample are tested by Hoek & Brown (2006) system to evaluate strength of rock mass from
intact rock
3) Study structural measure for flood and landslide sediment of Mae – Ngon basin
Detail designs are accomplish. Course sediment trap structure that suitable for flood and
debris flow of Mae–Ngon basin is design following criteria of physical model of
“Mizuyama at el (1995)” (see Fig.5). Relation of sediment trap and dimensionless parameters
are used equation 1.
Figure 5. Physical model study the relation of opening size and sediment trap “Mizuyama et al (1995)”
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Mizuyama et al (1995)
ST = 4.39(Vsa/ Vm)0.506 (1-Σb/B)1.0Ca0.808 (1)

(b/Dmax)0.207
ST = Vsa - Vsb (2)

Vm
Where
ST = Sediment storage rate (0 ≤ ST ≤ 1.0)
Vm = Maximum sediment deposited volume at dam upstream
Vsa = Sediment volume in the debris flow before passing through a slit dam.
Vsb = Sediment volume in the debris flow after passing through a slit dam.
Σb = Total spacing of slit dam
B = Channel width
Ca = Sediment concentration
Dmax = Maximum diameter of sediment
RESULT OF STUDY
1) Damage areas of Mae – Ngon basin, 9 October 2006, (see Fig.6) are caused by landslide
sediment. Landslide sediment composes of boulder, cobble, gravel, sand and mud flow
under non-cohesive condition. As it flows with high velocity, it has high impact force.
The debris flow has high potential of destruction. The result from laboratory test shows
that landslide sediment has 127.54 times over erosion sediment volume.
Landslide Area
Disaster Area from debris flow
Figure 6. Area of landslide and damage area by landslide sediment
2) Properties of landslide sediment of Mae – Ngon basin. From survey and laboratory
testing, the significant debris flow properties are as following.
2.1 Volume of course sediment (Boulder, Cobble, Gravel) = 47,548 m3
2.2 Volume of fine sediment (Sand, Silt & Clay) = 295,600 m3
2.3 Area of course sediment deposit (Boulder, Cobble, Gravel) = 190,790 m2
2.4 Area of fine sediment deposit (Sand, Silt & Clay) = 496,104 m2
2.5 Fine sediment is consist of Sand 80 percent and Silt & Clay 20 percent. (Gradation see Fig.7)
2.6 Density of debris flow = 1.690 ton/ m3
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The result show that density of debris flow of Mae – Ngon basin is lower than density
of debris flow in Japan river basin (Table 2)
Table 2. Density of debris flow comparison between Mae – Ngon river basin and Japan river basin
River Maximum Minimum Average
Mt Yake 2.110 1.631 1.861
Nojiri River 2.039 1.121 1.784
Mae – Ngon River basin - - 1.690
2.7 Sediment concentration, Cd = 0.636

2.8 Peak discharge of debris flow, Qs = 53.118 m3/sec
2.9 Erosion sediment = 2,690 m3/year
2.10 Ratio of landslide sediment to erosion sediment = 127.54:1
Figure 7. Gradation of fine sediment (Sand, Silt & Clay)
3) Geological and propertied foundation

3.1 Basement at sediment-water storage dam1 and dam2 are supported by sandstone
shale and altered Cambrian siltstone, named Carbonate Alterate meta–pelite (meta–
sandstone//Meta–mudstone) by testing for optical properties
3.2 Geological foundation along center line of sediment-water storage dam1 and dam2
consist of shale and altered sandstone. Weathering condition is moderately to highly
weathering. Shallow shale has high permeability while deeper have moderate to high
permeability.
3.3. Stability of abutment is susceptible to sliding. Topography of steep slope appears the
collapse of slope that characterize the rock fall and slide of soil and land mass. As a
result of landslide hazard may induce some sliding around reservoir rim.
3.4 By analysis type of clay minerals using X – ray diffractrometer, basement rock
consist of Quartz, Magnesiumcalcite, Dolomite. The composition of clay minerals is
Illite, a group name for non – expanding so properties of rock is durable to swelling and
decomposition.
3.5 Engineering and Physical properties of basement rock. The factors that affect rock
mass and rock movement are discontinuities and weathering of rock. From lithology,
basement rocks are meta– sandstone, meta–siltstone and meta–mudstone. Structure and
discontinuities of rock are estimate by GSI value as follows
3.5.1 Sediment-water storage dam No.1, sandstone siltstone and mudstone are altered.
Discontinuity is Blocky/Disturbed/Seamy – Blocky and surface is smooth to
slickenside that related high altered minerals, estimate the GSI value about 30 -55
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3.5.2 Sediment-water storage dam No.2, sandstone siltstone and mudstone are
metamorphased like phyllite. Discontinuity is Very Blocky – Blocky and surface is
smooth to slickenside and both altered minerals occurs thus the GSI value is 30 -55
4) Result of flood and landslide management of Mae–Ngon basin by structural measure.

Sediment–water storage dam for Mae – Ngon basin should compatible to steep
canyon. Sabo Dam of Japan is chosen as prototype due to similarity of dam site and
objective. Modification of sabo dam to multipurpose dam that function as water storage
and sediment trap structure can benefit both irrigation purpose and disaster management.
As debris flow occurs 3 times in 40 years, the rest of critical time the dam are used as
storage dam. The adjustment is installation of 4 gate valves at downstream opening and
operating bridge. When basin is in critical API (Antecedent Precipitation Index), gate
valves are automatically full open in that condition it work as original sabo dam. The gate
valves are control by telemettering system. Sediment-water management due to relation of
storage function and sediment concentration. Sediment deposit can be flushed out after
debris flow stop. Location of proposed structure are shown in Fig.8. Due to similarity of
dam site and river basin, sabo dam are chosen as prototype for modification. Both Japan
river basin and Mae–Ngon river basin have similarity (see Fig.9) such as steep slope of river
bed, stability of geological foundation, requirement of self cleaning. Comparisons are in table 3
Table 3 Comparison objective between original sabo dam and modification for Mae – Ngon basin
Original sabo dam Modification for Mae – Ngon basin
• For flood protection • For flood protection
• For debris flow protection • For debris flow protection
• Storage water for Irrigation purpose
• Storage water for water supply purpose
• For recreation and tourism
Catchment Area = 21.903 sq.km.

Catchment Area of Mae – Ngon Basin
River Length = 7.372 km.
Sediment trap structure in Mae – Ngon river No.2
Sediment trap structure in Mae – Ngon river No.1
Sediment – water storage dam No.2
Sediment – water storage dam No.1
Disaster Area from debris flow

9 October 2006
Sediment trap structure in Mae – Khan river No.1

Sediment trap structure in Mae – Khan river No.2
Figure 8. Location of sediment trap structure and sediment – water storage dam
Original Sabo dam of Japan is single purpose of disaster protection structure (see Fig.9 to Fig.11)
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Figure 9. Similarity of sediment – water storage dam No.1 site (left) and original sabo dam (right)
Figure 10. Sediment–water storage dam no.2 of Mae–Ngon basin
Design criteria for sediment trap structure of Mae – Ngon basin are follow “Mizuyama
(1995)” to trap course particle. The sediment that gradation matches to opening size is deposit
in front of structure. Original slit sabo dam of Japan (see Fig.11) are modified so that new
pattern (see Fig.12 and Fig.13) can save the construction cost more than 50 percent.
Figure 11. Original slit sabo dam of Japan
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Figure 12. Sediment trap structure and sediment trap behavior.
Sediment trap structure in Mae – Khan No.2
Sediment trap structure in Mae – Khan No.1

Figure 13. Sediment trap structure for Mae–Ngon basin
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CONCLUSION
1.) Damage area from flood and debris flow is in Mae–Ngon basin. The disaster occurs on
9 October 2006. 13 villages and 3,520 families effect from debris flow, 7 people death and
12 people wounded. Direct and indirect loss is totally 638,682,682 baht. The loss is cause
by debris flow which composed of lumber, boulder, cobble, gravel, sand and mud. Since
debris flow with high velocity and no cohesion, it has high potential of devastation. Ratio
of landslide sediment to erosion sediment is 127.54:1, so that land slide sediment volume is
127.54 times over erosion sediment volume (landslide sediment =99.22 percent of total
basin sediment while erosion sediment is 0.78 percent of total basin sediment ).
2.) Management of flood and landslide of Mae – Ngon basin need structural measure. Non-
structural measure can control only erosion sediment which limitation is 0.78 percent of
total basin sediment. Non-structural measure such as land cover vegetation and land use
practices cannot control landslide sediment which is 99.22 percent of total basin sediment.
3.) Relocation by moving community out of risk area is not feasible and not possible,
compare with structural measure. Relocation has social effect moreover it shift the
problem from Mae – Ngon basin to another basin. Flood and landslide management by
relocation is not sustainable.
4.) In case of limitation of budget, construction can divided in 2 phases.
First phase construction compose of sediment–water storage dam No.1 together with
sediment trap structure in Mae –Ngon No.1 and sediment trap structure in Mae–Khan No.1
Second phase construction compose of sediment–water storage dam No.2 together with
sediment trap structure in Mae –Ngon No.2 and sediment trap structure in Mae–Khan
No.2. Benefits of structural measure are flood and debris flow protection and water usage.
It is feasible when compare with investment cost.
RECOMMENDATION
API and other indicators such as stream flow turbidity, clay mineral in rock component of
landslide sediment together with debris flow should be studied with flood and landslide
management.
REFERENCE
Ashida, K. and Takahashi, T. (1980): Study on debris flow control-hydraulic function of

grid type open dam, Annuals. Disaster Prevention Res. Inst., Kyoto Univ., No. 23B-
2, .pp. 1-9, Japan.
Mizuyama, T., Kobashi, S. and Mizuno, H. (1995): Control of passing sediment with
grid-type dams. J. of the Japan Erosion Control Engineering Society, Vol. 47, No. 5,
pp. 8-13, Japan.
Hoek E, Diederichs M.S.(2006): Empirical estimation of rock mass modulus,
International Journal of Rock Mechanics and Mining Sciences, 43, PP.203-215,
England.
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Instrumentation for Aging Dam in Northern Region of Thailand for First
Case Study of Mae-Jok-Luang Dam, Chiangmai Province, Make
Changes in Dam Safety Management Policy and New Concept of Dam
Instrumentation for Aging Dams of RID (Royal Irrigation Department).
Chatchai Pedugsorn
ABSTRACT
Main problem about dam safety assessment is most of aging dam instrument are
not work or not responded to monitor conditions such as rapid drawdown, earthquakes or
seepage. By government policy to reduce manpower for financial purpose, the problem
seem worse. Mae-Jok-Luang dam is about 22 meters height, 555 meters long with
downstream high risk area. Existing dam instruments consist of open end stand pipe,
surface settlement point, seepage flow meter and reference benchmark. In 2010, new dam
instruments are installed at station 0+180 which is proposed to observed pore pressure
inside dam and foundation. Electric piezometer and water leveling are designed with
automatic system that can set at 3 second time interval to detected pore pressure and
reservoir water level and can sent real time data by VHF (Very High Frequency Wave) to
Regional Irrigation Office 1 about 11 kilometers from dam site. In 24 march 2011, strong
earthquakes (about 190 kilometers from epicenter) at Myanmar with magnitude of 6.7
Richter scale, new dam instruments can detect pore pressure of dam and foundation
responded foreshock, main shock and after shock. Pore pressure cumulative graph and
dam safety situation can be real time reported to RID director. From about 4,500 RID
dams, Mae-Jok-Luang dam is the first dam to detect embankment behavior responded
earthquake, this result make changes to policy about dam safety management and new
concept of dam instrumentation for aging dams of RID.
Keywords : Instrumentation for Aging Dam, Mae-Jok-Luang Dam
GENERAL INFORMATION
Royal Irrigation Department (RID) is the main organization in Thailand which has
main function in water resources development especially in dam construction together with
irrigation system. RID constructed about 9,000 dams for whole dam types. During 1960-
1980, there were extensive construction of dam. After 2000, RID transfer about 4,500
dams to local government, now there are about 4,500 large to small dams remain holding
by RID. The main problem about dam safety assessment is most of aging dam instruments
are not work or cannot responded to monitor conditions such as rapid draw down,
earthquakes or seepage. Moreover, government has policy to reduce manpower to save
financial budget which directly affected to dam safety management. Mae-Jok-Luang dam
is located in center of Chiangmai province, Muang district, Don-Kaew subdistrict, the
biggest province in northern region of Thailand as shown in Fig.1
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Figure 1. Location map of Mae-Jok-Luang dam, Chiangmai province, Muang district
Details of Mae-Jok-Luang dam and aperture structure

Dam
Embankment dam material: Homogeneous dam, sm - sc
Dam height 22.00 meter
Dam crest width 8.00 meter
Upstream slope 1:3 Downstream slope 1:2.5
Dam crest elevation +382.500 m MSL(W/o camber)
Maximum storage elevation + 380.800 m MSL (1.17 million cubic meter)
Normal storage elevation + 380.000 m MSL (1.10 million cubic meter)
Minimum storage elevation + 370.000 m MSL (0.06 million cubic meter)
Completed construction in 1987
Spillway
Uncontrolled spillway, Over flow ogee crest
Ogee crest length 8.00 meter
Ogee crest elevation +380.000 m MSL
Spillway discharge capacity 20.00 cubic meter per second
River Outlet
Dead storage elevation +370.000 m MSL
Conduit with steel liner 0.80 meter (I.D.)
River outlet discharge 2.5 cubic meter per second
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Downstream of Mae-Jok-Luang reservoir is location of high risk area as composed of
dense community, 18th SEA Games main stadium (capacity of 30,000) and city hall (see
Fig.2). Selection of Mae-Jok-Luang dam for first real time monitoring of dam safety
consider from strong earthquake sources in northern Thailand, border of The Union of
Myanmar and Lao People’s Democratic Republic and high risk area of downstream.
Figure 2. High risk downstream area of Mae-Jok-Luang reservoir
Existing dam instruments are open end stand pipe, observation well, surface
settlement point and reference benchmark which most of dam instruments are out of use.
Figure 3. Opend end stand pipe and Observation well are out of use
Open end stand pipe and observation well (see Fig.3) are clog and cannot renovate. After
seepage analysis, new vibrating wire piezometers are set to install at position which
indicated by level and offset distance from dam axis, there are totally 12 vibrating wire
piezometers install at depth section of sta. 0+180.
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Figure 4. Vibration wire electric piezeometer installation position
PIEZEOMETER INSTALLATION CONSIDERATION
Selection for cross-section to install vibrating wire piezometers of Mae-Jok-Luang

dam consider from following conditions.
1. Cross-section which subjected to highest pore pressure or cross-section which has
most vertical distance from dam crest to bottom of cutoff trench.
2. Cross-section of dam body which has dam axis across river channel
3. Cross-section of dam body which dam axis across geological characteristic of old
river or condition of high seepage velocity.
4. Cross-section of dam body which endanger from particle migration.
5. Cross-section which has seepage through dam and foundation problem or effect
from abutment seepage.
6. Cross-section which represent seepage behavior for over all image of dam body.
Consideration to design position (level and offset distance from dam axis) of vibrating
wire piezometers are based on following.
1. Area which subjected from high seepage pressure or high seepage velocity such as
position close to bottom of cutoff trench both upstream and downstream,
downstream toe.
2. Area which subjected from high hydraulic gradient such as position closed to
bottom of cutoff trench both upstream and downstream foundation face.
3. Filter zone or foundation zone with high permeability to observe hydraulic
gradient.
4. Area which has problem about seepage or leakage.
5. Area with high seepage discharge through dam and foundation.
Seepage analysis which accomplish both finite element by computer model and flow
net analysis by Arther Casagrand procedure. Suitable cross-section is at sta. 0+180 and
position is shown in Fig.4.
Installation of vibrating wire piezometers are accomplished in 3 inch diameter of drill
hole. Filter material cover vibrating wire piezeometer probe is 0.50 meter (instead of 1.00
meter ( U.S.B.R.)) because observed data is average pore pressure between bottom and top
elevation of filter level.
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Figure 5. Installation of vibrating wire piezeometer
This can make use of observation data to analyze for equipotential line interval of 0.50
meter better than interval of 1.00 meter. Out of filter material cover, drill hole is plugged
by impervious material such as clay mixed with bentonite. Vibration wire piezometer
contain a high tensile steel wire with a fixed anchor at one end. The wire is electrically
plucked with resonant frequency of vibration proportional to tension in the wire. This
frequency induces an alternating current in a coil which is detected by readout unit, and
can then be converted to a pressure.
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Figure 6. Vibrating wire piezeometer and cable wire
Cable wire from vibrating wire piezometer located along drill hole to data logger. The
frequency signal is exceptionally immune from cable effects, including length, splicing,
resistance, noise pickup and moisture (see Fig.6) and system diagram (see Fig.7) and data
logger is shown in Fig.8. Observation data can be collected in 3 second time step to data
logger (see Fig.8) and sent by VHF(Very High Frequency Wave)
Figure 7. Sectional view of installation vibrating wire piezeometer and system
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Figure 8. Data logger (left) and water level sensor with cable wire (right)
In 2010, new dam instrument is install at sta. 0+180 for depth section of dam which is
proposed to observe pore pressure inside dam body and foundation. Vibrating wire
piezometer and water level sensor are designed with automatic system that can set at 3
second time interval to detected pore pressure and reservoir water level. Observation data
are collected at data acquisition system installed at dam crest sta. 0+180 (see Fig.9). Real
time data are sent from Mae-Jok-Luang dam site by VHF(Very High Frequency Wave) to
regional irrigation office (see Fig.10) about 11 kilometers far away.
Figure 9. Data acquisition and ratio antenna station at sta. 0+180
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Figure 10. Receiving VHF station at Regional Irrigation Office 1
Pore air-water pressure and reservoir water level in real time data are display on
computer screen. Data are record in hard disk which can repeat to display and use for
analysis to dam safety aspect such as seepage and stability in real-time. Every point of
vibrating wire piezometer installation can show in numerical data or relation of graph ( see
Fig.11) between Y-axis of pore pressure (in KPA unit) and X-axis of time.
Figure 11. Pore pressure display in real-time graph for any point of piezometer
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REAL - TIME DAM INSTRUMENTATION CONSIDERATION
Concept for aging dam are considered to select for new dam instrumentation in real time
monitoring. Not all RID aging dam suitable for dam instrumentation in real time
monitoring. Determination and caution about dam instrumentation in real time monitoring
should be concern due to limitation of government financial budget and engineering
constrains. Determination for selection of aging dam for new dam instrumentation in real
time system should relied on following boundary condition.
1. Risk aging dam effected from earthquake or dynamic condition
2. Aging dam of reservoir management provided storage volume from flood detention
or retention more than normal water storage
3. Aging dam with risk downstream area of dense community or important place.
4. Aging dam defected from seepage through dam and foundation
5. Medium to large scale dam
6. Important aging dam which crucial to monitor closely
Caution about dam instrumentation device for real time should be carefully concern about.
1. Loss of dam instrument from bandit
2. Telecommunication system should not relied on single system such as internet
system or radio antenna alone. Telecommunication should depend on at least 2
systems prepare for critical condition such as earthquake effect.
3. Power system should provided to support for 2 systems such as solar cell with
battery together with power from electric wire system.
4. Lightning protection system should be work for critical condition.
5. Protection of insect and animal which ruin device.
CHANGE IN DAM SAFETY MANAGEMENT POLICY FOR RID AGING DAM
New set of dam instrumentation is complete installation in September 2010. Dam

safety management policy and adoption of new concept of dam instrumentation for RID
aging dam are not change until strong motion earthquake magnitude 6.7 (see Fig.12)
occurs at latitude 20o52’12’’ N longitude 99 o54’36’’, The Union of Myanmar, 20:55 pm,
24 march 2011. New set of dam instrument can detect pore pressure of dam and foundation
responded foreshock, main shock and aftershock (see Fig.13).
Figure 12. Earthquake report by Thai Meteorology Department
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Figure 13. Pore pressure cumulative graph responses earthquake
Pore pressure cumulative graph and dam safety situation can be real time reported to RID
executive. From about 4,500 RID dams, Mae-Jok-Luang dam is the first dam which can
detect embankment behavior responded earthquake. This result make change to RID policy
about dam safety management and new concept of dam instrumentation in real time system
for aging dam. Regional irrigation office all over Thailand acquiesce in new concept of
dam instrumentation and request for budget plan. In 2012, Comptroller General’s
Department approve budget plan about new dam instrumentation with real time system for
aging dam. In 2013, about 1 percent of RID aging dams are install new dam instrumentation
with real time system, up to 2 percent in 2014 and proposed 5 percent in 2015.
CONCLUSION
From about 4,500 RID dams, Mae-Jok-Luang dam is the first aging dam which can
detect embankment behavior responded earthquake in real time. This make change to RID
policy about dam safety management and new concept of aging dam instrumentation with
real time system. All organizations such as Comptroller General’s Department approve
financial plan and change idea for dam instrumentation in Thailand.
REFFERENCE
Department of the Army. (1995): Instrumentation of Embankment Dams and Lavees :

U.S. Army Corps of Engineer, USA.
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Rational allocation of funds for upgrading aging dams

I. Asman
Romanian Water Authority, Bucharest, Romania
iulian.asman@rowater.ro
C. Tudorache & D. Stematiu

Technical University of Civil Engineering Bucharest, Romania
ABSTRACT:
A decision policy is developed for planning the rehabilitation works required by safety
improvement for aging dams. The decision making strategy was required by the actual situation in
the Romanian Water authority that operates more than 100 large dams. The total annual cost of
the works imposed by providing the dams with required level of safety are quite large and is
always larger than the allocated budget. The decision making strategy takes into account the
importance of the dam in the river basin water management, the flood routing conditions during
the rehabilitation works, the financial loss and the degradation of performed works during the
postponing time interval. The rating process is based on numerical indicators that characterize
the importance, urgency and the consequences of rehabilitation works. Numerical indices for each
work package are established on the basis of design provisions, on the actual stage of
implementation, on the technical characteristics and on the contractor capabilities. The
qualitative data are converted into quantitative ones based on conversion tables. The proper
selection of the most efficient remedial actions is performed within the frame of the limited
available financial resources. The time horizon is the financial year. The objective function
concerns the benefits of allocated funds for continuing the selected rehabilitation works during
the current financial year. The procedure was used in order to establish the most rational funds
allocation among the five dam rehabilitation projects that were under different stages of
implementation.
Keywords: Aging dams, rehabilitation works, funds allocation, decision making strategy
1. INTRODUCTION
Romanian Water Authority operates some 100 large dams. Some of them are subjected to
inherent process of aging and need rehabilitation works. The total annual cost of the
works imposed by providing the dams with required level of safety are quite large and is
always larger than the allocated budget. At the time when the present paper was
elaborated five dams were under rehabilitation and the funds provided by the state budget
did not cover entirely the total cost of the works scheduled for the current year.
Consequently, a decision policy was required in order to make the best used of existing
funds.
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The decision making strategy takes into account the importance of the storage provided
by each dam in the river basin water management, the flood routing conditions during the
rehabilitation works, the financial loss and the degradation of performed works during the
postponing time interval. The rating process is based on numerical indices that
characterize the importance, urgency and the consequences of rehabilitation works
The present paper presents the proposed strategy for allocating funds and the results of
applying the procedure to the portfolio of dams under rehabilitation.
2. DAMS UNDER REHABILITATION
2.1. Sacele Dam
Săcele dam and reservoir are located on the Tărlung River approx. 3 km upstream from
the town of Sacele city and about 18 km from the Brasov municipality. The main purpose
of the storage is to supply drinking and industrial water for Brasov municipality.
The dam is a clay core earthfill dam with a height of 50 m. In the main valley towards the
right abutment and along adjacent 150 m, the dam has a central vertical clay core. Along
the terrace area, some 400 m, the maximum height of the dam is only 31 m and has an
inclined core. The clay core is founded on the bedrock. The dam shoulders are founded on
coarse alluvia l of the riverbed, after the removal of the inappropriate material. In order to
provide additional storage volume, required by the increased demand of Brasov city water
supply, the dam was heightened by 5.0 m. The initial storage volume was 22 mil m3 and it
was increased to 32 mil m3 by the new normal operation level.
The spillway is located on the left abutment and consists in a weir structure with 4 bays
equipped with 1.5 m high flap gates. The maximum discharge capacity is 800 m3/s. The
spillway chute has about 200 m and ends with a stilling basin.
The spillway chute and stilling basin were in a very bad condition due to erosion and
freezing and thawing cycles. Additionally, the stilling basin was completely blocked by a
large sliding mass. The figure 1 presents the actual damages. In order to provide the
normal flood routing the spillway has to be rehabilitated. Concrete with disperse
reinforcement is used to cover the chute. The stilling basin has to be cleaned and partly
rebuilt. The work location is shown in the lower part of figure 2.
Figure 1. Sacele dam – spillway condition
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The total cost of the rehabilitation works was 8,861,200 EURO and the cost of the
remaining ones was estimated to be 2,768,000 EURO. According to construction
schedule the works can be finished in the current year.
Figure 2. Spillway chute and stilling basin condition and rehabilitation
It is recognized that the spillway completion should be urgently solved since the safety of
flood routing depends on it.
2.2. Isalnita Dam
Isalnita intake on Jiu River provides cooling water for Isalnita and Simnic thermo power
plants and water supply for Chemical plant Craiova. The intake is associated to a gated
dam with a maximum height of 18 m and crest lengths of 129 m. Lateral dikes create the
storage contour.
The gated dam structure is divided into 6 flood - passing bays equipped with three radial
gates and with other three combined radial and flap gates. One additional 10 m wide bay
is used for regular flushing of sediments in front of the intake.
The energy dissipation was provided by a stilling basin with dental sill and a rear apron
ended by a massive concrete beam closed into foundation by steel sheetpiles. The final
river bed protection was done by the rockfill apron. The dam and all the appurtenance
structures are founded on sand and gravel deposits. The concrete weir has upstream and
downstream cut-off walls that are clamped in the marl bedrock and provide the foundation
watertightening.
The rehabilitation works were mainly imposed by two significant deficiencies (Figure 2):
- The impossibility to provide regular maintenance of gates due to impossibility of putting
the gates on dry by using the floating cofferdam;
- The significant damages of the energy dissipation system; the rear apron was completely
destroyed by regressive erosion and the concrete blocks placed in order to protect the end
of the stilling basin were moved and washed away. Deep erosion and a general river bed
lowering are also present. The rehabilitation project deals with the correction of
deficiencies presented (Figure 3):
a. The dam will be equipped with a new system of stoplogs that allows the gates
maintenance and eventual repairing. The new system is based on the current practice, with
stoplogs. Steel stoplog guidance is placed on pier inner faces, upstream off gates.
b. The old energy dissipation system will be supplemented by a new stilling basin,
some 4 m lower than the old rear apron and the new rear apron will end with a rockfill
blanket.
c. Extensive foundation treatment (piles and jet grouting) is provided to avoid further
regressive erosion and construction settlements.
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Plan view
Overflowing
bays Intake pocket
89.30 Intake
trashrack
Existing
NOL 85.50
stilling basin
25.00 23.00
Radial gate Concrete
Slabs Concrete beam
Old rear apron Fascine mattress Rockfill
fill up with rockfill
Sand and gravel Steel sheet piles
Marle
71.20
New stilling 21.75

basin
Settling basins
New rear apron
Figure 2. Isalnita Dam – deficiencies that imposeCollecting

rehabilitation
channel
Rockfill blocks
The total cost of the rehabilitation works was estimated to be 31,932,000 EURO. At the
time of the analysis the percentage of completion of the current works were:
Upstream – downstream cross section
Stoplog guidance
Overflowing Existing Old rear apron New stilling basin New rear apron
bays stilling fill up with
basin rockfill
Bedrock (marle) line

Drilled concrete piles
Drilled concrete piles
Bedrock (marle) line Grouted sand and gravel
Figure 3. Rehabilitation works
- Steel stoplog guidance placed on pier inner faces – 90%;

- Rear apron in the cofferdam protected area - completed 100%;
- Riverbed embankments - 40%;
- Breaking and concrete demolition for new stilling basin footprint - 40%;
- Drilled piles - 50%;
- Grouting inside and between columns - 60%.
The construction schedule provides the work completion in the next 14 month, with most
of the work in the current year with a cost of 22.023.800 EURO
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2.3. Mihoiesti Dam
The Mihoiesti dam was a 29 m high embankment dam made of sand and gravel, tightened
at the upstream face with a PVC sheet of 0.4 and 0.5 mm, covered by reinforced concrete
slabs (11,000 m2). The in-depth tightening was made by a grout curtain performed from
the upstream cutoff. Dam length is 250 m and storage volume is 6.25 mil. m3. Year of
commissioning was 1987. Technical deficiencies and the aging of the old impervious
facing have lead to use the dam only as a nonpermanent storage.
The rehabilitation project includes all the works required by the old dam in order to
sustain a permanent storage. One set of constructive measures concerns the
imperviousness of the dam body and of the dam foundation. The concrete slabs of the
upstream face are covered by a Carpi geomembrane improving the sealing system.
Grouting of the rock foundation is performed at the upstream toe, using the plinth as
location of the drilling rigs. The flood routing through the reservoir is enhanced by
changing the free discharge spillway to a gated spillway. The elevation of the overflowing
sill is lowered and two flap gates are installed. The spillway channel is rehabilitated, a
stilling basin is provided and additional guide walls are built (Figure 4).
The work stage in the year when the funds allocation is analyzed all the waterproofing
works for the dam are completed (geomembrane sealing and grout curtain). A small
storage is in place. The works on the spillway are in progress (some 30 % are completed).
The elevation of the overflowing sill was lowered and works are done to reinforcing
mounting for the spillway wings. The flap gates are on site and ready to be installed.
Figure 4. Mihoiesti Dam – rehabilitation works
The total cost of the rehabilitation works was estimated to be 25,818,200 EURO. The
remaining works for the spillway are estimated to be 11,024,100 EURO. If the money is
available, the works can be finished in the next 8 month.
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2.4. Clucereasa intake dam
The dam is a free flow spillway made of concrete and reinforced concrete, provided on
the left bank with a 2 span weir of 3.20 x 2.80 m which supplies the pumps loading
chamber. Dam height is 5.00 m. The design discharge capacity of the dam is Q 1% = 720
m3 / s.
Figure 5. Clucereasa intake
The deterioration of the dam, including the stilling basin and downstream protection was
caused by routing floods and by the riverbed lowering. The deterioration consists in
erosion of the spillway surface and of the overflowing profile and river bank erosions,
mainly on the right bank. The rehabilitation works of the dam consists in: - replacing of
the erosion protection layer of the weir and bays by a fiber-reinforced concrete; - covering
of the surfaces of the lateral walls and of the fish ladder with special mortars; -
rehabilitation of the protection downstream of the rear apron with artificial roughness.
The actual stage of works implementation covers only the river bed stabilization and river
bank protection. This part of the project has the largest cost but it was more easily
performed since the river flow was not affected. The remaining works are evaluated at
528,300 EURO and can be implemented in two dry seasons, one in the current year.
2.5. Mileanca Dam
Mileanca dam is a homogeneous earth dam with a height of 11 m and a crest length of
458 m. The upstream face is protected by reinforced concrete slabs. The dam was
commissioned in 1973. Reservoir volume is 14.56 mil. m3, out of which 5.76 mil. m3 are
reserved for flood attenuation – the main function of the storage.
The spillway is a side channel spillway with an overflowing crest length of 60 m. The
bottom outlet is located near the middle of the dam. The water release is controlled by the
intake tower provided with 3 plane lift gates.
During the 2005 floods induced by a heavy rainfall of 150 l/m2 the spillway stilling basin
and rear apron as well as the bottom outlet exit channel were severely damaged. The
undergoing works provide:
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Figure 6. Rehabilitation works for Mileanca dam
- Dam rehabilitation: additional earth fill to level the crest; replacement of the affected
upstream concrete slabs; cut-off wall at the upstream toe; upstream toe beam,
- Bottom outlet rehabilitation: new hydro mechanical equipment; shotcrete protection of
the intake tower and of the off take channel; - recalibration of the downstream channel.
- Spillway rehabilitation: replacement of the affected side channel concrete slabs;
construction of an interception drain on the left bank, along the spillway channel; -
rehabilitation of the chute and stilling basin; - recalibration of the downstream channel.
The total cost of the rehabilitation was estimated to be 1,672,300 EURO. At the date of
the analysis 80% of civil works were completed except the cut-off wall that was only 60%
performed. The total cost of the remaining works was about 246,000 EURO and the work
schedule provides some 16 month up to refilling the reservoir.
3. DECISION MAKING STRATEGY
3.1. The objective function
Let us assume that there are N rehabilitation works started in the previous years. The
objective function EBO represents the best use of the limited funds allocated by the
budget for the current year obtained by the proper selection of the works that are primarily
promoted. The function is:
N N
Max EBO   X i IM i II i IDi IC i   X i EB i (1)
1 1
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where;
Xi is the decision variable that can be 1 or 0 meaning
for Xi = 1, the rehabilitation works for the dam i is financed in order to achieve the
scheduled stage for the current year;
for Xi = 0, the rehabilitation works for the dam i are temporary suspended but there are
allocated the funds needed for maintenance of the constriction site;
IMi is the numerical indicator that characterizes the importance of the dam in the
water basin management;
IIi is the numerical indicator that evaluates the degree of flood risk for the
construction site of the dam i that is induced by water diversion during the rehabilitation
works at the stage achieved;
IDi is the numerical indicator that expresses the cost increase of the works required
by the dam i due to financial interest and inflation in the case of work temporary
suspension;
ICi is the numerical indicator that evaluates the degree of deterioration of the
partly completed works for the dam i if the rehabilitation works are temporarily
suspended.
The constrain is imposed by the condition that the total provided funds are in the limit of
the allocated budget BUG;
N N
 X i Ci  BUG   (1  X i ) CTi
1 1
(2)
where:
Ci is the investment cost of that rehabilitation works for the dam i that are to be
completed in the current year;
CTi is the total cost required for maintenance of the constriction site of the dam i
during the current year if the works are temporary suspended.
3.2. Values of the numerical indicators
The numerical indicator IM (importance index) quantifies the importance of the storage in
terms of water management within the hydrological basin.
Table 1. Numerical indicator IM

Storage category Storage dominant purpose Indicator
value
Permanent storage Flood control and / or water reserve to mitigate the 8 … 12
drought
Unique source the water supply for population 8 … 10
Additional water supply for human settlements and
irrigation 6
Irrigation 4
Hydropower development with additional volumes for
flood control 2…4
Run of river hydropower plants 1
Fishing, tourism 1
Non permanent storage Storage provided for flood attenuation by calibrated
spillway on the frontal dam 8
Lateral storage 4
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The maximum values IM are attribute to the storages that provides flood protection and/
or water reserves in the case of drought. The second on the scale are the storages that
provide as unique source the water supply for population, the range depending on the
number of people served. It follows the storages that provides additional water supply for
human settlements or for irrigation. The lowest values for the numerical indicator
correspond to the hydropower developments or other storage facilities that bring benefit
and can support the rehabilitation works from their own revenues.
The numerical indicator IS (stage index) quantifies the degree of risk associated to river
water diversion during the implementation of rehabilitation works due to either flooding
of the site or creating a failure wave if the cofferdam fails.
Table 2. Numerical indicator IS

Interaction between the construction site and natural flow due to diversion works Indicator
value
Diversion works disturbs significantly the natural flow creating flooded area in case
of large discharges; Flooding of the construction site may lead to very large
damages 8
Diversion works do not disturb the natural discharge except for very large floods;
Flooding of the construction site may lead to very large damages 6
Diversion works do not disturb the natural discharge; Flooding of the construction
site do not induce large costs 2
Rehabilitation works do not interfere with the river floods 1
The numerical indicator IDi (duration index) takes into account the cost increase of the
works due to financial interest and inflation in the case of work temporary suspension. It
is indirectly expressed by the number of years required to finish the rehabilitation.
Table 3. Numerical indicator ID

Duration of the remaining rehabilitation works assuming that the needed funds are Indicator
provided at the full value value
At the end of the current year 8
2… 3 years 6
3… 5 years 4
more than 6 years 1
The numerical indicator IC (deterioration cost index) evaluates the degree of deterioration
of the partly completed works if the rehabilitation works are temporarily suspended; it is
expressed as percentage of the cost of the remaining works.
Table 4. Numerical indicator IC

Deterioration cost of the partly completed works expressed as percentage of Indicator
the cost of the remaining works. value
More than 25% 10
15% … 25% 8
10% … 15% 4
5% … 10% 2
Less than 5% 1
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4. RATING OF THE DAM PORTFOLIO REHABILITATION WORKS
Rating for the rehabilitation works required by the dams presented under section 2 is
firstly evaluated.
Table 5. Rating of the dams based on the efficiency

DAM Numerical indicators
EB EBi /EBax Rating
IM II ID IC
Sacele 8 10 8 2 1200 0.555 IV
Isalnita 6 6 6 10 2160 1 I
Mihoiesti 8 6 8 4 1536 0.711 II
Clucereasa 6 2 6 1 72 0.033 V
Mileanca 10 6 6 4 1440 0.666 III
The total available budget is BUG = 18,500,000 EURO. The results of the screening
process are shown in table 6.
Table 6. Final acceptable selection characterized by Xi values

Dam Ci CTi
investment Maintenance Xi Xi C i (1-Xi) CTi Xi EBi
cost(103EURO) cost(103EURO)
Sacele 2768 578 0 0 578 0
Isalnita 17023 4840 0 0 4840 0
Mihoiesti 11024 2080 1 11024 0 0.711
Clucereasa 528.3 170 0 0 170 0
Mileanca 846 208 1 846 0 0.666
Σ Xi Ci = 11,870,100 EURO BUG - Σ (1-Xi) CTi =13,082,000 EURO EBO = 1.41
As it can be seen for the current year only the rehabilitation works for Mihoiesti and
Mileanca dams can be promoted due to low fund allocation from the state budget and
quite large values needed for maintenance of the construction sites.
The decision policy developed for planning the dam rehabilitation works in the frame of a
limited budget has lead to a rational fund allocation. As can be seen, the dams that lead to
the best use of money (table 5) can not be always included in the program.
On the other side the actual fund allocation decided by the Authority (some works for
each dam, no completion at the end of the current year) did not followed the results of the
decision making strategy due to subjective reasons, the political ones not to be neglected.
ACKNOWLEDGEMENT
The authors are grateful to Romanian Water Authority for permission to use the data
concerning the dam rehabilitation program for 2012.
REFERENCES
Stematiu, D. (2012) Observations and recommendations concerning the implementation
of the subprojects dedicated to rehabilitation and safety improvement of dams
included in the CEB Project F/P 1579. Report to CEB.
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A Practical Consideration on the Damage

to Old and Small Irrigation Dams
by the 2011 Tohoku Earthquake
K.Ueda& M.Matsuura
NTC Consultants Co., Ltd., JAPAN (NTC)
uedaka@ae.auone-net.jp
ABSTRACT:
In Japan, numerous small dams have been constructed and operated for the irrigation of paddy
since ancient times. Taking into consideration of the increase of the numbers of aging dams in the
world, the practical engineering learnt from the experience through the ages in Japan should be
placed additional emphasis. Under these circumstances, the catastrophe that is “The 2011 Tohoku
Earthquake” occurred. The agricultural facilities including small and old dams were severely
damaged although large dams adhering to the sophisticated design standard were not suffered
from severe damage. In three main disaster prefectures located in North-East of the Main Island
of Japan, about 12,521 small dams are still in use for irrigation. It is reported that approximately
1,800 dams, about 14% out of total, were damaged and about 500 dams within the 1,800 were
damaged so seriously as to need immediate care. Approximately 890 items of defects were
identified on 500 dams. Most of them are slides, cracks, openings, displacement, depressions and
settlement of embankments and failures of appurtenances. The on-site conditions and assumed
causes of these defects stated above should be practically examined and evaluated in this paper,
referring to several case studies.
The practical knowledge obtained may contribute to proper remedial designs and provide
important clue to the appropriate revision of standards or criteria of not only small old dams but
also large dams in some cases. This knowledge is also considered to be very useful for the
appropriate operation and maintenance of aging dams around the world.
Keywords: The 2011 Tohoku Earthquake, Aging dam, Seismic damage, Seismic safety examination
1. INTRODUCTION
In Japan, the small and old irrigation dams are called “TAMEIKE” that literally mean
“reserve water tank”. Whenever earthquakes occur, special attention is paid to TAMEIKE
because they are so numerous and so old that their structural and hydraulic integrity is
cause for concern. Most of TAMEIKE are constructed, at least 100 years ago or more, for
the cultivation of paddy. The embankments and appurtenances of TAMEIKE have been
damaged and collapsed several times. The remedial repairs, modifications and alternations
have been carried out repeatedly by farmer’s organizations through the ages. The 2011
Tohoku Earthquake occurred on March 11, 2011 and ensuing destructive Tsunami ,the
strongest to ever hit Japan, caused catastrophic damage mainly in three prefectures,
Fukushima, Miyagi and Iwate. The incredible and incomprehensible temblor and waves
destroyed entire towns, communities, public facilities and left death and destruction in its
wake. The horrific scenes will remain in our collective consciousness forever. TAMEIKE
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were also severely damaged although large irrigation dams which were constructed
adhering to the design standards directed by the Ministry of Agriculture, Fisheries and
Forestry (MAFF) fortunately saved many from disastrous damages and failures. It is
reported by MAFF that about 1,784 TAMEIKE, 14% out of a total of about 12,520 in the
main disaster prefectures, were damaged and four TAMEIKE collapsed. It is considered to
be the important issues to grasp the total outline of the characteristic of the damages such
as the main defects and the locations of the defects caused by the earthquake for the
appropriate seismic safety examination of TAMEIKE. The authors have tentatively tried to
figure out numerically these issues depending on the general miscellaneous data publicized
so far by the Tohoku Regional Office (TRO) of MAFF. Therefore, the numerical values
identified in this paper are not accurate at all. In due time, it is expected that the accurate
data shall be publicized by TOR of MAFF. The damage to about 500 TAMEIKE is
considered so serious as to need urgent engineering and financial assistance from local or
central governments. This paper focuses on the damages and failures of about 500
TAMEIKE on which about 890 defects are identified. The data shows that the main defects
are slides, cracks, openings, displacement, depressions and settlements in the top one-half
and on the upstream face of the embankments and failures of the appurtenances. Many
defects are interrelated mutually and plural defects are identified on one dam. The practical
engineering knowledge obtained from the on-site investigation introduced in this paper
may provide important clue to the appropriate criteria or guidelines and will help with the
seismic safety examination of about 210,000 TAMEIKE in this quake prone archipelago,
Japan.
2. BACKGROUND OF TAMEIKE
There is no clear definition of TAMEIKE. For the convenience of technical classification,

the small irrigation dams which were constructed before 1957 when the design standard of
fill-type reservoir for agriculture was directed by MAFF, are defined as TAMEIKE. Most
TAMEIKE were constructed about 100 years ago or more, for the cultivation of paddy.
Frequently, they are called superannuated dams. The construction have been encouraged in
proportion to the expansion of the paddy field since the age of around 700A.D. and
TAMEIKE have been extended all over Japan. The construction works such as remedial
repair, modification and alternation of embankments and appurtenances have repeatedly
carried out through the ages. However, very little data on the construction and materials of
TAMEIKE remain even in local archives. The types of embankments are homogeneous
earth-fill. However, strictly speaking, they are not homogeneous. Even in one embankment,
several kinds of soils from different borrow-pits were used. Several important
characteristics of the soil used, such as density, permeability, particle size, and strength
(cohesion and angle of internal friction) are different even in one homogeneous
embankment from a section to another section. The conditions of foundations are not
recorded at all. Most dimensions of embankments were decided depending on the rule of
thumb. These facts make seismic safety examination of existing TAMEIKE so difficult.
The main purpose of TAMEIKE is to supplement water for paddy field. The capacity of
TAMEIKE is usually 1,000-10,000m3. It is not enough to supplement total water
requirement of paddy field. TAMEIKE serve to supplement water only during critical
period or at the early stage of paddy cultivation. This function is similar to Waduk-
Lapangan in Indonesia and Water Tank in India and Sri Lanka. In 1995, MAFF established
a data-base of all the TAMEIKE in order to maintain TAMEIKE systematically and to
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prevent or alleviate the disaster caused by TAMEIKE. About 300,000 TAMEIKE were
registered in the data-base. Most of them are located in west Japan where paddy cultivation
is dominant. In proportion to the decrease of paddy field areas due to urbanization in recent
years, the numbers of TAMEIKE presently used for paddy fields have decreased to about
210,000. Most of them changed the main purposes and are used for water-friendly parks or
similar purposes.
The heights of embankments are almost within 10 meters with some exceptions due to
engineering and financial restrictions. Although normally they are not high enough to
cause hydraulic problems, most TAMEIKE have suffered from large amounts of leakage
or seepage of pond water through embankments, foundations or abutments because of the
lack of proper engineering. On many embankments, cement milk has been grouted at the
center of the cross-section in order to install more impervious membranes. The capacities
of appurtenances such as spillway and inlet-facilities are not sufficient for maintaining
structural and hydraulic integrity.
At present, most TAMEIKE are owned, managed and operated by farmers’ water use
organizations or land improvement districts. The appropriate engineering and financial
assistance must be required by local or central governments.
3. THE 2011 TOHOKU EARTHQUAKE AND TSUNAMI ON MARCH 11, 2011.

AT14:46
It is easy to access to the detailed and accurate data on this catastrophe by visiting the
website of the following organizations, Japan Meteorological Agency (JMA), National
Research Institute for Earth Science and Disaster Prevention. (NIED, K-net, KIK-net and
HIR-net); http://www.hir-net.com/link/quake/observe.html and Japan Science and
Technology Agency; http://www.jst.go.jp/pr/pdf/great_east_japan_earthquake/
In order to avoid duplication, these data related are not included in this paper.
It is noted that the incredible acceleration of 2,529gal was observed at Tsukidate, Miyagi
Prefecture.
It is also drawn attention that the explanation of Prof. Kojiro IRIKURA et al. in the
proceedings of international symposium, 2012 that is "Very little damage during this
earthquake is explained by spectral characteristics of ground motions with predominant
periods shorter than 0.5sec, although accelerations were so high”. This is applied for large
dams and buildings but not for such low dams as TAMEIKE.
4. DAMAGES TO TAMEIKE
As stated in the Introduction, the numerical values in the tables below are tentatively
estimated by the authors depending on the general miscellaneous data publicized by the
TRO of MAFF. The tables below are considered to be the clear compendia or delineations
about the damages to TAMEIKE caused by the giant earthquake.
The approximate numbers of damaged TAMEIKE in main disaster Prefectures are shown
in the Table 1.
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Table 1. Approximate Numbers of Damaged TAMEIKE in Main Disaster Prefectures
Prefecture
Iwate Miyagi Fukushima Total Remarks
TAMEIKE in Total 3,160 6,074 3,287 12,521
Damaged TAMEIKE 395 589 800 1,784 14.2%
(Collapsed TAMEIKE) * (1) (3 ) (4)
(Severely Damaged TAMEIKE) * (121 ) (128 ) (256) (505) (4.0%)
* included in Damaged TAMEIKE
The approximate numbers of the defects identified on 500 severely damaged TAMEIKE
are shown in Table 2.
The latent defects and the pollution of the reserved water by radioactive sedimentations are
not included in this Table.
Table 2. Approximate Numbers of Defects found on 500 Severely Damaged TAMEIKE

Prefecture
Iwate Miyagi Fukushima Total Remarks
Collapse 1 3 4
Cracks, Slides, Displacements 117 111 223 451 51%
Damages of Parapets, Walls & Erosion
4 6 140 150 17%
Protections, Fall of Trees
Settlements 20 16 138 174 20%
Piping 2 2
Tsunami 7 1 8
Damages of Spillway & Inlet Facilities 3 24 74 101 11%
Total 157 159 580 890
(Plural defects were identified and counted on one TAMEIKE and they are interrelated
mutually.)
The approximate numbers of defects identified in respective partitions of the embankments
are tentatively shown in Table 3. The numbers are limited only the defects identified on the
surface of embankments. Therefore the latent defects such as settlements and failures of
related structures such as parapets and erosion protections etc. are excluded.
Table 3. Approximate Numbers of Defects identified in respective partitions of the Embankments

(Tentative)
Upstream Face Downstream Face Total
Top 371 110 481
One-half (58%) (18%) (76%)
Lower 137 16 153
One-half (22%) (2%) (24%)
508 126 634
Total
(80%) (20%) (100%)
The main defects identified by on-site examination shall be illustrated with photographs for
the sake of clarify. The examination and evaluation shall be referred to in the chapter
below.
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Original
Original
By K.UEDA By K.UEDA
a) Fujinuma-ko b) Aotashinn-ike
Figure 1. Collapses
By K.UEDA By NTC
a) Jyanohananaka-ike b) Iwaneoo-ike
Figure 2. Slides
Cracks
Covered by sheet
By K.UEDA By K.UEDA
a) Sasahira-ike b) Mitsugamori-dam
Figure 3. Cracks and displacements
Original
By Fukushima Pref. By NTC
a) Fujinuma Auxiliary dam B) Oya-ike (Gunma Pref.)

Figure 4. Failures of parapets and retaining walls
II - 493
By NTC By K.UEDA
a) Kozuka-dam b) Jyanohanakami-ike
Figure 5. Failures of erosion protections and Fall of trees
Original
By K.UEDA By K.UEDA
a) Naka-ike b) Mega-ike
Figure 6. Piping
By NTC By T.Nagayama, Iwate Pref.
a) Aotashinn-ike b) Ozakishita-tameike
Figure 7. Settlements and Erosion by Tsunami
5. CONSIDERATIONS AND RECOMMENDATIONS
The locations of the local governments in which 500 severely damaged TAMEIKE are
concentrated, the seismic intensities(JMA) and the Max. accelerations observed are shown
in Fig.8
The seismic ground motion can be considered to be amplified in the embankments.
The observed accelerations at the crest and the foundation of a certain large irrigation dam
is shown in Fig.9.(T.Miyamori and et al.,2013) The some acceleration which were
recorded in large dams, (Surikamigawa, Miharu, Yamanoiri and Gozennyama-Dams) also
indicate amplitude motion in the embankment. The ratio of amplifications at the crest to
the foundation varies from about 2.3 to 4.8. (JSDE, 2011) Although, these data should be
used for dynamic analyses, it is important to keep in mind this characteristic for the safety
examination of TAMEIKE.
II - 494
Location of Damaged Dam
7
6 Upper
6 Lower
5 Upper Iwate Miyagi
5 Lower
4
3
2
1
* Seismic Intensity
on JMA Scale Fukushima
Miyagi
Max.Acceleration(gal)
1000 ～
900 ～ 1000
Fukushima 800 ～ 900
No.1 Nuclear 700 ～ 800
600 ～ 700
Power Plant 500 ～ 600
Ibaraki
400 ～ 500
Fukushima 300 ～ 400
200 ～ 300
100 ～ 200
0 ～ 100
Figure 8. Locations of damaged dams, Seismic Intensity and Max. Acceleration
Figure 9. Accelerations observed at the crest and foundation of the embankment
This amplitude motion and the saturated condition in the upstream face may be the main
reason that the defects are concentrated on the crest or on the top one half and the upstream
face of embankments. Even small the cracks, slides and displacements which usually
II - 495
would not be taken into consideration, may trigger next massive slides and displacements
and finally may cause overtopping as seen in Fujinuma-ko. The soil strength (sheer
strength) which are directly related to the compaction of soils on top one half and the
upstream face of the embankments may be considered to be most essential issues for
seismic safety examination. The high frequency up to 80% on the upstream face may be
caused by the settlements of the foundations, the failures of the top one half of the
embankments and the appurtenances structures. The reduction of soil strength may also be
considered under the saturated condition.
However, the authors have not yet reached definite conclusion on this subject. The further
studies and researches are keenly expected.
When this part of embankments is deteriorated, the soils should be removed and properly
compacted newly. The application of geosynthetic engineering will also be reasonable.
(F.Tatsuoka,JSDE,2013)
Prof. Dr. T.Tanaka and et al. examined the mode of failure of Fujinuma-ko in detail,
stating that “Because the shear force which acts during an earthquake is short term
response and the embankment is in undrained condition, in order to evaluate the state of
damage, it is important to perform analysis by the Modified Newmark method considering
the condition that cyclic shear loading is received in saturated undrained condition.”
(T.Tanaka,ICOLD,2012) The consideration stated may be reasonable option which should
be adopted. Various kinds of methods for safety examination should be applied for the
appropriate evaluations case by case. The correlation between the acceleration and the pore
pressure in the properly compacted clay was recorded when the earthquake occurred in
Gozenyama-dam which have recently completed in Ibaraki-Pref. The significant change of
pore pressure which could reduce the bearing capacity of the soil was not found.
(M.Iseki,JSIDRE,2012 )
The design standard of fill-type dam for agriculture directed by MAFF stipulate that
sophisticated state-of-the-art dynamic analyses have to be applied for the safety
examination of embankments. However, in case of TAMEIKE, the numbers of the
examinations concerned would be too numerous and staff resources and budget for
analyses are generally very limited. Only when TAMEIKE could pose a potential hazard to
life and important public facilities located downstream, the sophisticated dynamic analyses
for LEVEL 2 (Anticipated Maximum Probabilistic Earthquake) should be adopted. In other
case, it is adequate to examine the safety of the embankment by applying such simplified
method as the Slip Circle Method adding the regional seismic coefficient, following the
criteria and standards. (MAFF, 1943, 1957), although the defects which have taken place
in embankments by the earthquake might be apparently different from the assumed such
slip circle as the surface of rapture to be a cylindrical surface. Needless to say, when
serious defects and deterioration are identified on the dams and appurtenances, several
sophisticated methods to examine dam safety should be applied case by case .The slide
which have occurred in Fujinuma-ko Auxiliary dam was caused by rapid water drawdown.
The accurate investigation of soils by boring many test pits may not be justified in case of
TAMEIKE. The conventional low-cost methods such as Corn Penetration Test or New
Swedish Sounding Test would be adequate.
Many cracks and deteriorations of soil layers by the settlements embankments and
foundations can be found in many dams. The settlements and subsidence are latent defects.
It is assumed that liquefaction and so-called mudding might have occurred in
embankments and foundations. These defects cannot be overlooked because they
sometimes trigger the fatal consequences. When new construction may not be financially
II - 496
viable or technically feasible, the modification of slope to gentle one or placing random
materials on the both toes must be effective.(USBR,2011) The correlation between the
slopes and the damages of existing TAMEIKE when the earthquake occurred, was not
clear, because the most existing slopes are between 3:1 and 2:1.
The parapets, retaining walls, trees and appurtenances of which eigenfrequency are
different from that of the massive soils are considered to behave separately and easily to be
damaged. The inlet-conduits in the embankment cause serious piping alongside the
structures. These structures should be removed.
When it cannot be justified, some counter measures should be adopted.
The erosion protections must be the flexible structure. The protective works for TSUNAMI
overflow will not be justified because the occurrence period may be once in thousand years
or more.
The cement milk injected in embankments in order to install impervious membranes, cause
seem and openings and finally piping after earthquake. Other methods to control the
seepage should be considered.
In March, TAMEIKE are not usually being used for irrigation. This may alleviate the
damages such as piping and slides. However, it is noted that some TAMEIKE store water
fully for the aquaculture of carps.
The landslide along lakeside is reported on large irrigation dam named Aratozawa dam, in
Miyagi prefecture.
6. CONCLUSIONS
All TAMEIKE are prioritized with respect to the potential hazard and to the level of
seriousness.(USBR,1995) Considering the numerous numbers of the safety examinations
and limitations of the budget and staffs, the simplified methods such as Slip Circle Method
are recommended unless TAMEIKE could pose a potential hazard to life and important
public facilities located downstream.
When TAMEIKE could pose a potential hazard, the sophisticate state-of-the-art dynamic
analyses should be applied.
Needless to say, when the serious deterioration and unreasonable defects were identified,
the various kinds of sophisticated methods should be applied for the safety examination
case by case.
The damages by the earthquake to the embankments and appurtenances have concentrated
into the top one half and the upstream face of the embankments. This subject should be
carefully studied and researched in detail. The results also should be systematically
included in the related standards and criteria.
The deteriorated soils in these zone should be removed and newly compacted well.
The parapets and retaining walls on the crests are easily failed due to the difference of
seismic behavior. These structures are recommended to be removed.
The erosion protections should be flexible structure.
The conduits and cement grout in the embankments have provided water passes by
creating seem and opening alongside the structures. The alternation of structures to prevent
the pipings should be considered.
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When the remedial repair, modification and alternation stated above may not justified,
financially and technically, several effective countermeasures should be examined and
evaluated.
ACKNOWLEDGEMENT
The authors are grateful to Prof.Dr.T.Hasegawa, Mr.A.Kobayashi, Mr.T.Muromoto, Mr.T.Nishio
(MAFF) and Mr.H.Omura, Ms.K.Zumoto (NTC) for their help and encouragement.
REFERENCES
Design of small dams, U.S.Department of the Interior, Bureau of Reclamation (U.S.B.R.)
2011
Safety Evaluation of Existing Dams, U.S.B.R 1995
Proceedings of International Symposium on Engineering Lessons Learned from the Giant
Earthquake, 2012 March, website ;
http://www.jaee.gr.jp/seminar2012/eqsympo/proceedings.html
T. Tanaka and et al.(2012): Earthquake Induced Failure of Fujinuma Dam, Proceedings of
ICOLD 2012 Kyoto Japan
Design Standard of Fill-Type Dam for agriculture (in Japanese), The Japanese Society of
Irrigation, Drainage and Rural Engineering (JSIDRE) 1957
M. Matsuura (2012): Damages of TAMEIKE by earthquake and the appropriate
reconstruction (in Japanese), Zairyou To Sekou No.50, JSIDRE
M.Iseki and et al. et al. (2012): Influence of the earthquake on the behavior of
Gozennyama-Dam (in Japanese), JSIDRE, 80-5 2012
Guideline for the arrangement works for TAMEIKE, JSIDRE 1943(in Japanese)
Design Standard of High Dam, Japan Dam Engineering Center (JDEC), Supervised by the
Ministry of Land, Infrastructure, Transport and Tourism (in Japanese)
F.Tatsuoka The reasonable seismic design of embankment, Key note speech 2013, May,
Japan Society of Dam Engineers (JSDE) (in Japanese)
T.Miyamori and et al. (2014): The technical note and related documents, Zenkoku- Noson-
Shinko-Gijutsu-Renmei 2014,Jan. No.769 (in Japanese)
Damage of Dam by the earthquake, Japan ,JSDE. 2011 (in Japanese)
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Prediction of Concrete Frost Damage of The Nagawado Dam

Based on The Standardized Freezing and Thawing Cycle Method
Reina Doi & Takahide Kurose
Tokyo Electric Power Co Inc, Tokyo, Japan
doi.reina@tepco.co.jp
Hiroaki Noguchi
Tokyo Electric Power Services Co., Ltd, Tokyo, Japan
ABSTRACT:
The Nagawado dam is a concrete arch dam located in a cold highland district in the central Japan.
The dam was developed in 1960’s. 44 years have already passed since commencement of the dam
operation. Because of its climatic location, the dam surface is subject to cold ambient air and
frequent cycles of freezing and thawing in the winter. The safety management of the dam includes
inspections, surveys and investigations of the dam concrete surface. Some deterioration of the
concrete was observed at the concrete surface due to the frost damage in recent years. Concrete
core samples were collected from the downstream surface in order to evaluate depth of the frost
damage. Distribution of relative dynamic elastic modulus was examined by measurements of
ultrasonic wave propagation velocity for each core sample. We confirmed the deterioration is very
limited less than 1cm depth from the downstream surface. Furthermore, thermometers were newly
installed 1cm depth from the surface in order to monitor temperature history through a winter
season. Thermal distribution in the concrete depth and its time history were evaluated by an
unsteady heat conduction analysis and the monitoring data of the new and existing thermometers.
The frost damage in future was predicted based on the standardized freezing and thawing cycle
method. We judged the dam concrete will be sound and stable in the long term considering the
reliability limit interval of the prediction.
Keywords: Frost damage, dynamic elastic modulus, standardized freezing and thawing cycle
method, prediction of future deterioration.
1. INTRODUCTION
The Azusa River is the primary tributary of the Sai River, which consists of the upstream
of the Shinano River system. The upstream area is well known for cold climate, and
snowfall. The Azusa Hydropower Development Project was started in 1964 aiming for
construction of 3 major dams and hydropower stations along the river. The Nagawado dam
is located uppermost among the Project where the dam foundation has an elevation of
830m. After approximately 5-year construction period, the Nagawado dam started its
operation in 1969. Table 1 shows specification of the dam. It is severe climate condition
from December to March. Especially, the monthly mean temperatures are below 0 degree
Celsius from December to February. The dam surface is subject to frequent cycles of
freezing and thawing. The ambient temperature at the dam site becomes below 0 degree
Celsius at night thorough the winter season, while the temperature in the daytime becomes
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usually 0 degree Celsius or over. This study is aimed to evaluate the dam concrete
soundness at the present and in future from the standpoint of material engineering.
Table 1. Specification of the Nagawado dam

Item Specification
Name of River The Azusa Rive, a tributary of the Shinano River
Crest : EL. 985.0 m
Elevations
Foundation : EL. 830.0 m
Type : Concrete arch dam
Height : 155.0 m
Dam
Length of crest : 355.5 m
Volume : 660,000 m3
Completion Completion of the dam body in 1968, start power generation in 1969
Table 2. Concrete Mix Proportions

Gmax Mix Proportion(%) s/a Unit Content (kg/m3) AE Slump Air
(mm) W/(C+F) F/(C+F) (%) W C F S G (cc) (cm) (%)
150 50 25 21 100 150 50 440 1681 54 3±1 3±1
2. OBSERVATIONS THROUGH INSPECTIONS AND SURVEYS
The dam is inspected monthly and engineers take high resolution photos of the dam from
control points during the inspection. The concrete damage map was drawn from the photos
in order to evaluate the deterioration progress as shown in Fig.1. The deteriorations are
more distinct in the following areas.
・ The dam concrete around the abutments where it is exposed to rain or snow.
・ The dam concrete where water leaks are observed.
The typical deteriorations observed are exposed aggregates, cracking and scaling. The
cracks propagate diagonally around the abutments and vertically around the center area.
The scaling is confirmed widely around abutments. Photo 1 shows characteristics of the
frost damages.
Exposed aggregate Map Cracking Scaling
Photo 1. Characteristics of the frost damage of the Nagawado dam
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Right bank BL-24 BL-11 BL-8 Left bank
EL985.0m
EL953.0m
EL889.0m
Legend
Cracking Map Cracking
Leakage Exposed Aggregate EL830.0m
Free Lime Map Cracking

&
Scaling Exposed Aggregate
by the Investigation in 2007
Figure 1. Damage map of the downstream surface of the Nagawado dam
3. EVALUATION OF THE FROST DAMAGE AT THE PRESENT
3.1. Frost damage index
‘Relative dynamic elastic modulus’ is generally applied as an index to evaluate frost

damage of internal concrete. ‘Relative dynamic elastic modulus’ is defined as relative
value of the dynamic elastic modulus to the non-degraded unit. It is known that dynamic
elastic modulus of concrete is almost equivalent to the initial tangent elastic modulus of the
material, and there is a close relationship between dynamic elastic modulus and the
looseness of concrete pore structure caused by the frost damage (JCI Hokkaido, 2006).
Concrete soundness is generally evaluated to be good against the frost damage when the
relative dynamic elastic modulus is 60-80 % or over, according to the standard
specification for concrete structures (JSCE, 2001) and Japanese Concrete Institute (JCI,
2008).
The previous study, Ishii et al in 1997, examined a relationship between relative dynamic
elastic modulus and the degradation of the compressive strength of the Nagawado dam
concrete. The study provided a formula to estimate the degraded compressive strength of
the concrete. When the relative dynamic elastic modulus becomes 60 % of the non-
degraded unit, the compressive strength of the concrete is estimated to be 28.8 N/mm2
according to the formula. The estimated strength is still greater than the allowable
compressive stress considered in the design stage which was determined with a safety
factor of 4.
3.2. Core sampling and ultrasonic wave propagation velocity measurement
Concrete cores were collected from the downstream surface of the dam where the concrete
was most deteriorated by the frost damage. The size of cores is 300 mm–long and 30 mm
of diameter. The core locations are the BL-8 and the BL-24 where it has an elevation of
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953 m as shown in Photo 2. Cracks and exposed aggregates are observed in the areas. Both
areas are exposed to rain and snow. And the areas are also influenced by leaking water
from the reservoir. Ultrasonic wave propagation method was applied to evaluate the
dynamic elastic modulus of the concrete cores. Ultrasonic wave propagation velocities
were measured cross direction to the core axe line through the core length. The applied
method enables to evaluate the distribution of the dynamic elastic modulus. The measured
velocities are 4.28 km/s on average at 26-30 cm depth from the surface, the deepest part of
the cores. The values is almost same with the previous estimation. According to the
estimation with the previous study’s assumption, the velocity will be 4.26 km/s when the
Nagawado dam concrete is aged 44 years without marked frost damage.
The ultrasonic wave propagation is likely affected by existence of coarse aggregates. The
ultrasonic wave propagates faster in aggregates or propagates slowly if there are gaps
between aggregates and mortal. The measurement values which were affected by the
coarse aggregates were excluded for evaluation of the dynamic elastic modulus. Both cores
show almost equal values and similar distribution of the ultrasonic wave propagation
velocities.
Relative values of the dynamic elastic modulus were calculated to the non-degraded unit.
The relative values are smaller at the surface. The relative values at the dam surface are
74 % and 69 % in the BL-8 and the BL-24 respectively. The relative values are more than
80 % at 1 cm depth and a deeper part as shown in Fig.2. Those values exceed a criterion
generally adopted for the concrete soundness against the frost damage, 60-80 %. This
indicates the deterioration is minor and limited to the surface.
Right Bank Left Bank
BL-24 BL-8
Photo 3. Measurement of ultrasonic

wave propagation velocity
Relative dynamic elastic modulus (%)
120
BL-24 BL-8 110
Core sampling locations 100
90
80
BL-8
BL-24 BL-8 70
BL-24
Collected cores 60
0 5 10 15 20 25 30
Photo 2. Location and collected cores
Depth (cm)
Figure 2. Distribution of relative

dynamic elastic modulus
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4. PREDICTION OF CONCRETE DETERIORATION IN THE FUTURE
4.1. Standardized freezing and thawing cycle method
The standardized freezing and thawing cycle method is applicable to predict the frost
damage, Ishi et al in 1997. The concrete deterioration due to the frost damage could be
predicted quantitatively considering accumulation of the standardized freezing and
thawing forecasted.
As to the method, a freezing and thawing cycle is defined as a cycle that concrete
temperature becomes above 0 degree Celsius after negative degree Celsius. Each cycle is
converted into the standardized form of the freezing and thawing cycle. The conversion is
made considering the water cement ratio of the concrete and the minimum concrete
temperature for each cycle. Then, the degraded relative dynamic elastic modulus is
predicted against sum of the standardized freezing and thawing cycles. The deterioration
curve as Eq.1 is adopted for the prediction.
[Relative dynamicelacticmodulus]  100  exp (a  N b ) (1)

Where: 　
N : Standardized teh freezingand thawingcycles
a, b : Constantcoefficents
The previous study by Ishii evaluated the deterioration curve of the Nagawado dam
concrete as shown in Fig.3. In the previous study, the deterioration curve was indentified
by the accelerated laboratory tests and field exposure tests over 20 years. Test
pieces/blocks were made of various mix concrete proportions including the Nagawado dam
concrete design. The study concluded that the frost damage could be evaluated by the
deterioration curve and the freezing and thawing cycles which should be convereted into
the standardized form.
Modified dynamic elastic
modulus, modified*1 (%)
95%-Reliability limit
Deterioration curve
Sum of standardized freeze-thaw cycles*2

*1
Modified dynamic elastic modulus was calculated as a relative value to the concrete strength with
the subsequent strength increase.
*2
The standardized freezing and thawing cycles were calculated based on W/C+F=49%, -6 degree C. of min.
Figure 3. Deterioration curve by laboratory test pieces
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In this study, the method was applied to predict the dam concrete deterioration due to the
frost damage. The deterioration curve, however, should be reviewed for accurate
prediction with the following reasons. The deterioration curve by the previous study was
based on the acceleration laboratory tests and field exposure tests. As to the field exposure
tests, the concrete blocks were located in the reservoir area of the downstream dam. The
concrete blocks were exposed to the reservoir environment, which was submerged
sometimes in a year. Such exposed environment is different from the condition of the dam
downstream surface and may affect the deterioration curve. Also, the previous study used
resonant vibration method to measure the dynamic elastic modulus. The method is to
evaluate the modulus of the mass block, while the modulus may be different by the
concrete depth. And, the degrade surface may have smaller modulus. It indicates that the
deterioration of the internal concrete may be overestimated in case the previous
deterioration curve is adopted.
This study includes the concrete samplings as mentioned in chapter 3.2 in order to evaluate
the present concrete and review the deterioration curve. The deterioration curve was
indentified by a relation between the degraded dynamic elastic modulus of the concrete
cores and the standardized freezing and thawing cycles at the measurement points.
Thermal conduction analyses were also performed to identify the thermal distribution and
the standardized freezing and thawing cycles. The method is applicable to predict the
distribution of the deterioration in the concrete depth.
4.2.Evaluation of the future deterioration
4.2.1 Monitor the concrete temperature history through a winter season

There is a considerable difference of the solar radiation by place to place and time to time,
since the Nagawado dam is a dome arch type located at the steep valley and it faces to the
southeast. The right side of the dam gets into the shade all day, and the left side gets in the
solar radiation for few hours per day in winter. It is necessary to consider such a condition
difference to evaluate the concrete temperature history of the Nagawado dam. Photo 4
shows a state of the solar radiation in the daytime in winter.
Three thermometers were newly installed at the BL-8 and the BL-24 same as the core
locations mentioned in chapter 3.2 and the BL-11 which was additionally selected for
monitoring. The concrete temperature was monitored through a winter season from
December 2012 to March 2013. The locations of the three thermometers are shown in
Photo 4. The thermometers were installed at 1cm depth from the concrete surface, since
the direct solar radiation to the thermometers should be avoided in order to evaluate the
concrete temperature properly.
According to the monitoring records, the mean ambient temperature was below 0 degree
Celsius from December to February. The new thermometer at 1cm depth at the left side
monitored more freezing and thawing cycles during these months. The left side was
exposed to sun in the daytime, which caused more frequent thawing in the daytime and
freezing at night. In March, the mean ambient temperature became 0 degree Celsius or
over. Less freezing and thawing cycles were monitored at the left side in March, since the
concrete temperature at the left side was usually 0 degree Celsius or over all day. The sun
condition gave differences of the concrete temperature between the left and right side of
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the dam as shown in Fig.4. The difference became larger on sunny day, and the maximum
difference was observed in March.
Right Bank Left Bank

BL-24 BL-8
Solar radiation
BL-11
Photo 4. Thermometers on the surface Photo 5. Thermometer

25
Left bank（BL-8） Right bank(BL-24)
20
Temperature (℃)
15
10
-5
4-Mar 5-Mar 6-Mar 7-Mar 8-Mar 9-Mar 10-Mar 11-Mar 12-Mar 13-Mar 14-Mar
Figure 4. Monitoring the concrete temperature at 1cm depth
4.2.2 Thermal conduction analysis

At first, an unsteady heat one dimensional thermal conduction analysis was performed to
evaluate the thermal distribution in the dam concrete. The analysis was performed for the
deteriorated places, the BL-8 and BL-24 at EL.953 m and the BL-11 at EL.889 m. The
analysis object period was set to the monitoring period of the new installation at the
surface from December 2012 to March 2013. The monitored temperature data at the
surface and the internal thermometers were applied for the analysis.
Secondly, the concrete time history series from the construction to the present were
estimated by one dimensional thermal conduction analysis. Available data for the period is
limited to the internal thermometers and ambient temperature. Therefore, the analysis was
performed for the dam center where the internal thermometers was installed in the dam
body. Fig.5 shows time histories of the internal concrete temperature by the analysis and
the internal thermometer. Those values show reasonable matches. The physical properties
applied are tabulated in Table 3.
25
Result (d=3.4m)
Table 3. Physical properties 20
Temperature （℃）
Thermometer (d=3.4m)
Thermal conductivity (W/m℃) 2.7
15
Density (kg/m3) 2,390
10
Specific heat (kJ/kg℃) 1.16
Heat transfer coefficient (W/m2℃) 13 5 R2 = 0.95
0
0 5000 10000 15000 Time (hour)
Figure 5. Internal concrete temperature
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4.2.3 Freezing and thawing cycles from the construction
The standardized freezing and thawing cycles were examined for the representative point
from the thermal conduction analysis as mentioned in chapter 4.2.1. The distribution of the
cycles of each year is shown in Fig.6. The internal concrete has been experienced less
freezing and thawing cycles from the construction to the present, and the frost depth is less
than 80cm.
According to the period from December 2012 to March 2013, the thermal distribution at
the BL-8, BL-24, BL-11 and the representative point are available by the analyses. Ratio
of the standardized freezing and thawing cycles at each block to the representative point
was indentified by comparison. The annual cycles at the BL-8, BL-24 and the BL-11 were
examined applying the identified ratios to the representative point. The standardized
freezing and thawing cycles for each location were obtained as shown in Fig.7.
The more freezing and thawing cycles were monitored at the left side where the dam is
exposed to more solar radiation in the daytime in winter. The number of the standardized
freezing and thawing cycles were evaluated to be 35 cycles annually at 1cm depth at the
BL-8. According to the BL-24 and the BL-11, the number of the cycles were smaller. Such
difference is caused by the solar radiation conditions by places due to the dam site
topography and the dome-arch shape. The number of the cycles and the frost depth at the
BL-11 is far smaller due to its solar radiation condition.
35
Annual Stanadardized Freezing and Thawing Cycles
Standardized Freezing and Thawing Cycles per year
50 Left bank, BL-8

45 30 Representative point
40
35
25 Right bank, BL-24
30
25
20 20
15
10
15
5
0
1969
10
1972
1975
1978
1981
1984
0
1987
1 5
1990
3
1993
5
1996
算出年（年） 10
1999
20 深さ(cm)
2002
Year 0
2005
30 Depth
2008
0 20 40 60 80
2011
(cm)
Depth (cm)
Figure 6. Freezing and thawing cycles, Figure 7. Annual standardized freezing

from the construction to the present and thawing cycles, BL-8, BL-24
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4.2.4 Identification of the deterioration curve of the standardized freezing and thawing
cycle method, and predict the future deterioration
In this study, the deterioration curve was reviewed based on the measured dynamic elastic
modulus of the cores and the thermal conduction analysis. Fig.8 shows the data considered
to indentify the deterioration curve. The measured dynamic elastic modulus shows
degradation trend, although the data includes dispersion. The dispersion may be caused by
the influence of the coarse aggregates in the cores. Eq.2 expresses the reviewed
deterioration curve for the Nagawado dam concrete. The constant coefficients were
indentified by a regression analysis. The 95%-reliability limit interval curve was also
proposed as a conservative view point.
[Relative dynamicelacticmodulus]  100  exp (0.01  N 0.21) (2)

Where: 　
N : Standardized teh freezingand thawingcycles
Constantcoefficents are a  0.01, and b  0.21respectively.
The concrete deterioration could be predicted quantitatively with the deterioration curve
and sum of the freezing and thawing cycles forecasted. The number of the standardized
freezing and thawing cycles at 15 cm depth from the surface would be 16 cycles annually
at the BL-8 where more freezing and thawing cycles were monitored by the thermometer.
Fig.9 shows prediction of the deterioration at 15 cm depth due to the frost damage. The
relative dynamic elastic modulus will maintain approximately 90 % in 200 years according
to the prediction curve. Even 95%-reliability limit interval considered, the relative
dynamic elastic modulus will be more than 80 % in approximately 150 years. It was
concluded that the dam concrete will be sound and stable in the long term.
100
)
100
Relative dyanamic modulus of elasticity (%)
Relative dynamic modulus of elasticity (%)
90 90
80 80
70 70
60 BL-8 60
BL-24 Measurement data (modify to 15cm depth)
Deterioration curve
50 Prediction curve in 15cm depth
95% Reliability limit of the regression formula 50
Ishii's deterioration curve 95% Reliability limit of the regression formula
40
40
0 500 1,000 1,500 2,000 2,500 3,000 3,500 4,000 4,500
0 50 100 150 200
The Standardized Freezing and Thawing Cycles
Year from the construction
Figure 8. Relative dynamic modulus of Figure 9. Prediction of the relative dynamic

elasticity vs. the standardized freezing & modulus of elasticity at 15cm depth at the
thawing cycles BL-8
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5. CONCLUSION
The concrete frost damages are observed at the 44-year aged Nagawado dam. The
observed deteriorations are exposed aggregate, cracking and scaling on the dam surface.
Two concrete cores were collected from the dam surface in order to evaluate the
deterioration at the present. The core locations were selected where the concrete was most
deteriorated by the frost damage. ‘Relative dynamic elastic modulus’ was applied as an
index to evaluate the concrete deteriorations. The relative values are more than 80 % at 1
cm depth and a deeper part according to the core sampling. Those values exceed a
criterion generally adopted for the concrete soundness against the frost damage, 60-80 %.
The standardized freezing and thawing cycle method is applicable to predict the frost
damage. The concrete deterioration due to the frost damage could be predicted
quantitatively considering sum of the freezing and thawing forecasted. A freezing and
thawing cycle is defined as a cycle that concrete temperature becomes above 0 degree
Celsius after negative degree Celsius. Each cycle is converted into the standardized
freezing and thawing cycle form. The conversion is made considering the water cement
ratio and the minimum concrete temperature for each cycle.
In this study, the deterioration curve of the Nagawado dam was reviewed for accurate
prediction based on the measured dynamic elastic modulus of the cores and the thermal
conduction analysis. Three thermometers were newly installed at 1cm depth from the dam
surface in order to examine difference of the freezing and thawing by the dam places. The
more freezing and thawing cycles were monitored at the left side where the dam is exposed
to more solar radiation in the day time in winter. According to the thermal conduction
analysis, number of freezing and thawing cycles are smaller in the internal concrete, and
the frost depth of the Nagawado dam is less than 80 cm. The concrete future deterioration
was predicted based on the reviewed deterioration curve. The relative dynamic elastic
modulus will maintain approximately 90 % in 200 years. Even 95%-reliability limit
interval considered, the relative dynamic elastic modulus will be more than 80 % in
approximately 150 years. It was concluded that the dam concrete will be sound and stable
in the long term, applying the standardized freezing and thawing cycle method and the
reliability limit interval of the prediction.
REFERENCES
Japan Concrete Institute Hokkaido (2006): Prediction of frost damage and durability
design at the current state –Frost damage and Durability design study committee
report, Japan Concrete Institute Hokkaido, Sapporo, Japan.
Japan Society of Civil Engineers (2001): Standard Specification for Concrete Structure
［Maintenance］, Japan Society of Civil Engineers, Tokyo, Japan.
Japan Concrete Institute (2008): A study committee report on the evaluation method of
freezing and thawing resistance of concrete, Japan Concrete Institute, Tokyo, Japan.
Kiyoshi Ishii and Kenichirou Egawa (1997): The study on prediction of the concrete
deterioration subject to freezing and thawing cycles, Proceedings of the Japan
Society of Civil Engineers, No.564/V-35, pp. 221-232, Japan Society of Civil
Engineers, Tokyo, Japan .
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Attenuation Relationship of Earthquake Motion at Dam Foundation

in Consideration of The 2011 Tohoku Earthquake
T. ITO & T. SASAKI

Large-scale Hydraulic Structure Division, National Institute for Land and Infrastructure Management, Ministry of
Land, Infrastructure, Transport and Tourism, Tsukuba-City, Ibaraki-Prefecture, Japan
itou-t92ta@nilim.go.jp
Y. YAMAGUCHI
Japan Dam Engineering Center, Taito-Ward, Tokyo, Japan
T. ANNAKA
Tokyo Electric Power Service, Co.Ltd. ,Koto-Ward, Tokyo, Japan
ABSTRACT:
Estimation of input earthquake motion is very important aspects of the seismic design and seismic
performance evaluation of dams. Generally, characteristics of earthquake motion at some
geographical point are affected by three element combinations, which are earthquake source
mechanisms, transmission path properties, and local site conditions. There are three basic
approaches to estimate site-specific earthquake motions: theoretical, semi-empirical, and
empirical methods. The hybrid method is a combination of theoretical and semi-empirical
approaches. With enormous develop of computer simulation ability, the theoretical, semi-empirical,
hybrid approaches are rapidly evolving. However their results should still be examined by
empirical approach, that is, attenuation about seismic motions, from the viewpoint of accuracy
checking.
We have presented several papers about attenuation equations of acceleration response spectra for
the dam rock foundations in the past. In the first paper, attenuation equations were derived from
the statistical analysis of horizontal-direction ground motions recorded at 91 dams sites for 63
earthquakes occurred in Japan from 1974 to 2000. After the publication of the first paper, we have
proposed vertical-direction attenuation relationships, and made the brush-up and modification for
these attenuation relationships.
In this paper, we propose the latest attenuation relationships derived from the statistical analysis of
794 horizontal-direction and 394 vertical-direction ground motions recorded at 239 dams sites for
91 earthquakes from 1974 to April, 2011 including The 2011 Tohoku Earthquake (March 11th,
2011 Mw[moment magnitude]9.0)
Keywords: Attenuation Equation, Acceleration Response Spectra, The 2011 Tohoku Earthquake
1. INTRODUCTION
We have presented several papers about attenuation equations of acceleration response

spectra for the dam rock foundations in the past. In the first paper [N. Matsumoto et al.,
2003], attenuation equations were derived from the statistical analysis of 293 horizontal-
1
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direction ground motions recorded at 91 dams sites for 63 earthquakes from 1974 to 2000.
After the publication of the first paper, we have proposed vertical-direction attenuation
relationships, and made the brush-up and modification for these attenuation relationships
[N. Matsumoto et al., 2006]. Recently, we have revised attenuation equations in 2008 as
“the year 2008 formula” derived from the statistical analysis of 642 horizontal-directions
and 318 vertical-direction ground motions recorded at 213 dams sites for 88 earthquakes
from 1974 to 2008, then we have implemented the year 2008 formula as a principal
method for setting up input motions for seismic performance evaluation of dams in Japan
[S. Mitsuishi et al., 2009].
In this paper, we propose the latest attenuation relationships as “the year 2011 formula” in
consideration of ground motions recorded at dams sites on The 2011 Tohoku Earthquake
(March 11th, 2011 Mw9.0) and its aftershocks. In the development of the year 2011
formula, we reexamine usage of the magnitude from JMA-magnitude; MJ (defined by
Japan Meteorological Agency, and that has been used in the past attenuation equations) to
moment-magnitude; MW. Therefore, we can deal with huge earthquake scale in the
attenuation equations consistently.
Attenuation equations are affected by characteristics and quantity of acceleration records at

each earthquake. So first, we show an outline of data used for the year 2011 formula, and
then, the year 2011 formula itself, that is regressed by factors such as magnitude, distance
to epicenter and depth of fault. Furthermore, we compare response spectra estimated by the
year 2008 formula and the year 2011 formula, and inspect conformity to observed records.
Finally, we show validity of the year 2011 formula.
2. STRONG MOTION DATA SET
The strong motion data used obtained in earthquakes which magnitude (MJ) are larger than
5.0, distance from dam site to epicenter is less than 200km, and depth of fault is less than
100km is used for the analysis. A change of the number of data used for regression
analysis concerning each attenuation equations is shown in Table 1.
Table 1. The number of data used for regression analysis

Subject to regression Number of observed records
Number of Number of Horizontal- Vertical-
Period
earthquakes dams direction direction
2001 formula 1974-2000 63 91 293 -
2008 formula 1974-2008 88 213 642 318
2011 formula 1974-2011 91 239 794 394
In regression analysis concerning this paper, 794 horizontal-direction and 394 vertical-
direction ground motions recorded at 239 dam sites for 91 earthquakes from 1974 to April
2011 are used.
All foundations where the data were obtained in this study consist of rocks not including
soils and gravels. The properties of rocks vary from site to site, and the average shear wave
velocity of rock foundations ranges from 0.7 to 1.5km/s. The relationships between
magnitude, depth of fault, horizontal-direction maximum acceleration and distance of the
earthquakes used in the analysis are shown in Fig.1. Here, distance of the earthquakes is
defined as the shortest distance from the site to fault-plane.
2
II - 510
9.5 100.0
N=794(horizontal-direction) N=794(horizontal-direction)
9.0 90.0
8.5 80.0
8.0 70.0
depth of fault(km)
moment magnitude
7.5 60.0
7.0 50.0
6.5 40.0
6.0 30.0
5.5 20.0
5.0 10.0
4.5 0.0
0.0 50.0 100.0 150.0 200.0 250.0 0.0 50.0 100.0 150.0 200.0 250.0
distance of the earthquakes(km) distance of the earthquakes(km)
1000
horizontal-direction maximum
100
acceleration(gal)
10
0.1
0.0 50.0 100.0 150.0 200.0 250.0
distance of the earthquakes(km)
Figure 1. The relationships between magnitude, depth of fault, horizontal-direction maximum

acceleration and distance of the earthquakes
3. MODIFICATION OF ATTENUATION EQUATIONS
3.1. Classification of earthquakes
Each earthquake-type; shallow crustal type, inter-plate type and intra-slab type (intra-plate
type) that occur nearby Japanese Archipelago have characteristic on occurrence locations
and mechanism. At compressional subduction zones, earthquakes occur in several settings
ranging from very near surface to several hundred kilometers’ depth. In this paper the
earthquakes are classified into four types like shown in Table 2. And about the earthquakes
at eastern margin of the Sea of Japan, individual attenuation equations are not prepared
because of little and dispersion of these regression data.
Concerning intra-plate earthquakes, earthquake types are not divided by depth of fault. This
point is different from the case of the year 2011 formula and the case of the year 2008
formula.
Table 2. Classification of earthquake type and number of acceleration records

Type Classification of earthquake Number of
name type Earthquakes Horizontal records Vertical records
Type A shallow crustal earthquakes 37 456 226
Type B inter-plate earthquakes 31 200 99
Type  Intra-plate earthquakes 17 114 57
earthquakes at eastern
Type E 6 24 12
margin of the Sea of Japan
3.2. Regression model
3
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In case of regression analysis, first regression coefficients are estimated by using all
observed records without classification of earthquake types. And then, geometric average
and standard deviation of the ratio of the response spectra of observed records to the
response spectra by regression equations are estimated in the respective earthquake types.
Finally, correction factors are estimated in the respective earthquake types. That is to say,
regression model proposed in this paper is estimated through two-step calculation
processes.
And in this paper, usage of the magnitude from MJ to MW is reexamined to deal with huge
earthquake scale in the attenuation equations consistently. MJ is a JMA’s original index to
express magnitude estimated by earthquake waves which have several seconds’ period, and
can reflect damage of buildings. But it can’t reflect energy scale appropriately in case of
huge earthquake. On the other side, MW is also an index to express magnitude estimated by
earthquake waves which have dozens of seconds’ period, and has strong correlation with
scale of fault movement. So it can reflect energy scale appropriately even in case of huge
earthquake. The year 2011 formula is shown in equations (1) and (2) below. Equation (1)
is the attenuation equations using distance of the earthquakes, and equation (2) is the
attenuation equations using equivalent hypocentral distance.
.
log ∙ 10
5.0
.
∙ 10
5.0, 5.0 (1)
Where SA(T) is response spectra (gal), T is period in second, MW is moment-magnitude, R

is distance of the earthquakes (km), HC is depth of fault (km), C(T) are coefficients. In case
of HC is over 100km, 100km is applied to HC. R means the shortest distance from the site
to fault-plane like introduced in chapter 2.
log
5.0
log
5.0, 5.0 (2)
Where Xeq is equivalent hypocentral distance, and the other terms are the same as equation
(1). Xeq means one-line distance between the dam sites and virtual point epicenter that is
equivalent to earthquake energy exploded from fault-plane. It is estimated by discretizing
fault-plane into an array of many and small elements (Fig.2), and equation (3).
/ 3
Where Mok is seismic moment at a small element k in fault-plane, and Xk is distance from a
small element k in fault-plane to dam sites.
The equation (3) is transformed into the equation (4) by postulating Mok equal over the
whole fault-plane for convenience.
1
4
4
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Where N is number of partitions into small elements concerning fault-plane.
Figure 2. Schematic diagram of equivalent hypocentral distance
About the earthquakes that moment-magnitude is not estimated, transformation of MJ into

MW is depend on equation (5) in case of type A, that is used at The Headquarters for
Earthquake Research Promotion (Ministry of Education, Culture, Sports, Science and
Technology; Japanese Government) based on TAKEMURA’s formula[M. Takemura,
1990]. And in case of other earthquakes types, MW=MJ.
0.78 1.08 5
Fig.3 gives the relationship between the regression coefficients and period in equations (1)
and (2). These parameters correspond to the average of all earthquake types shown in
section 3.2. H & V in explanatory notes means horizontal-direction and vertical-direction
respectively.
Since each earthquake type has different characteristics of SA(T) attenuation, the
regression coefficients are modified considering the spectral acceleration ratio of each
earthquake type to the average (correction factor, see Fig.4). The response spectra in the
respective earthquakes types can be estimated by multiplying the average response spectra
calculated by regression coefficients shown in Fig.3 and correction factors shown in Fig.4.
Correction factor here is estimated discretely with every period, About the earthquakes of
at eastern margin of the Sea of Japan (type E), individual attenuation equations are not
prepared and attenuation equations for inter-plate earthquakes (type B) are applied for the
type B likewise the year 2008 formula.
For horizontal response spectra in Fig.4 (a), type A earthquakes (shallow crustal
earthquakes) give smaller response acceleration than average, and the ratio of response to
the average is approximately 80% to 100% along all period range. The ratio of type B
earthquakes (inter-plate earthquakes) is approximately 90% to 110% along all period range.
Type  earthquakes (intra-plate earthquakes) give largest response acceleration for all
period range, resulting in the ratio of approximately 100% to 140%.
For vertical response spectra, similar relations between correction factor and period are
found as shown in Fig.4 (b), and among them the ratio of type  earthquakes is
approximately 110% to 150%.
5
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1.4 -0.02 H: equation (1)
H: equation (1)
1.3 V: equation (1)
V: equation (1) -0.04 H: equation (2)
H: equation (2)
1.2 V: equation (2)
V: equation (2)
-0.06
1.1
Cm1(T)
Cm2(T)
1.0 -0.08
0.9 -0.10
0.8
-0.12
0.7
-0.14
0.6
0.5 -0.16
0.01 0.10 1.00 10.00 0.01 0.10 1.00 10.00
Period(sec) Period(sec)
0.030 0.006
H: equation (1)
H: equation (1)
V: equation (1)
V: equation (1) 0.005
H: equation (2)
H: equation (2)
V: equation (2)
V: equation (2) 0.004
0.020
Ch(T)
Cd(T)
0.003
0.002
0.010
0.001
0.000
0.000 -0.001
0.01 0.10 1.00 10.00 0.01 0.10 1.00 10.00
0.00007 1.0
H: equation (1) H: equation (1)
0.00006 V: equation (1) V: equation (1)
0.0 H: equation (2)
H: equation (2)
0.00005 V: equation (2) V: equation (2)
-1.0
0.00004
Co(T)
Cdh(T)
-2.0
0.00003
-3.0
0.00002
-4.0
0.00001
0.00000 -5.0
-0.00001 -6.0
0.01 0.10 1.00 10.00 0.01 0.10 1.00 10.00
0.015 12.0
H: equation (1)
V: equation (1) H: equation (2)
0.012 10.0 V: equation (2)
8.0
0.009
C1(T)
C(T)
6.0
0.006
4.0
0.003
2.0
0.000 0.0
0.01 0.10 1.00 10.00 0.01 0.10 1.00 10.00
Figure 3. Regression coefficients on attenuation equations
6
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2.0 2.0
Correction factor of response spectra for
Correction factor of response spectra for

horizontal direction
vertical direction
1.0 1.0
Type A (attenuation equation using Xeq) Type A (attenuation equation using Xeq)
Type B (attenuation equation using Xeq) Type B (attenuation equation using Xeq)
Type α (attenuation equation using Xeq) Type α (attenuation equation using Xeq)
Type A (attenuation equation using R) Type A (attenuation equation using R)
Type B (attenuation equation using R) Type B (attenuation equation using R)
Type α(attenuation equation using R) Type α(attenuation equation using R)
0.0 0.0
0.01 0.10 1.00 10.00 0.01 0.10 1.00 10.00
(a) Horizontal direction (b) Vertical direction

Figure 4. Correction factors of response spectra
4. COMPARISON BETWEEN ESTIMATED VALUE BASED ON ATTENUATION

EQUATIONS AND OBSERVED VALUE
The reliability of the year 2011 formula is checked through the comparison between
response spectra calculated by the year 2011 formula proposed in this paper and observed
records at dams sites.
To check the reliability of the year 2011 formula shown in this paper, the ratio of estimated
values of response spectra at each dam for individual earthquake and observed values is
calculated along all period. In the Fig.6 to Fig.11, conformity of estimated values based on
attenuation equations and observed values for famous earthquakes (Table 3. and Fig.5) is
shown. In Fig.6, both the graph indicated all ratio-data at each dam and the graph
indicated average and average + S.D.(standard deviation) of ratio-data at each dam along
period are shown. In Fig.7 to Fig.11, only the graph indicated average and average + S.D.
of ratio-data at each dam along period is shown. In these figures, the ratio-data between
observed data and estimated values by year 2008 formula is also shown.
Table 3. Examples of famous earthquakes in Japan

Earthquake Date of
Name Characteristic
type occurrence
hypocenter: off Sanriku, MW: 9.0, seismic
intensity: just over 7 (max), captured
The 2011 Tohoku Inter-plate March 11th,
acceleration records at many dams, for
Earthquake (B) 2011
example, Miharu Dam (gravity type, max
acc. at foundation: 195gal)
hypocenter: Inland Tottori-Pref. Yonago-
City, MW: 6.8, seismic intensity: just over 6
The 2000 Tottori Shallow crustal October 6th,
(max), captured acceleration records at many
Earthquake (A) 2000
dams, for example, Kasho Dam (gravity type,
max acc. at foundation: 531gal)
hypocenter: Inland Iwate-Pref. Ichinoseki-
City, MW: 7.0, seismic intensity: just over 6
The 2008 Iwate- Shallow crustal June 14th,
(max), captured acceleration records at many
Miyagi Earthquake (A) 2008
dams, for example, Aratozawa Dam (ECRD
type, max acc. at foundation: 531gal)
7
II - 515
Figure 5. Location of hypocenter and dams on each earthquake
The 2011 Tohoku Earthquake The 2011 Tohoku Earthquake

100 10.00
The year 2008 formula using R The year 2008 formula using R
Horizontal Earthquake Horizontal Earthquake
spectra(observed/calculated)
average + S.D.
10
average
The ratio of response
average - S.D.
1 1.00
0.1
0.01
0.10
0.01 0.10 1.00
0.01 0.10 1.00
Period (sec) Period (sec)

100
The year 2011 formula using R 10.00
The year 2011 formula using R
average + S.D.
10 average
average - S.D.
1
1.00
0.1
0.01
0.01 0.10 1.00 0.10
0.01 0.10 1.00
Period (sec) Period (sec)
Figure 6. Checking conformity of attenuation equations using R to the 2011 Tohoku Earthquake

The year 2008 formula using Xeq 10.00
The year 2011 formula using Xeq
10.00 Horizontal Earthquake Horizontal Earthquake

1.00
1.00
average + S.D.
average + S.D.
average
average
average - S.D.
average - S.D.
0.10
0.10
0.01 0.10 Period (sec) 1.00 0.01 0.10 Period (sec) 1.00
Figure 7. Checking conformity of attenuation equations using Xeq to the 2011 Tohoku Earthquake
8
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The 2000 Tottori Earthquake The 2000 Tottori Earthquake
10.00
average + S.D. average + S.D.
average average

average - S.D. average - S.D.
1.00 1.00
0.10 0.10
Figure 8. Checking conformity of attenuation equations using R to the 2000 Tottori Earthquake
The 2000 Tottori Earthquake The 2000 Tottori Earthquake

10.00 10.00
The year 2008 formula using Xeq The year 2011 formula using Xeq

1.00 1.00

average average
0.10 0.10
Figure 9. Checking conformity of attenuation equations using Xeq to the 2000 Tottori Earthquake
The 2008 Iwate-Miyagi Earthquake The 2008 Iwate-Miyagi Earthquake

10.00
spectra(observed/calculated
average average
1.00 1.00
0.10 0.10
Figure 10. Checking conformity of attenuation equations using R to the 2008 Iwate-Miyagi
Earthquake
The 2008 Iwate-Miyagi Earthquake The 2008 Iwate-Miyagi Earthquake

10.00 10.00
The year 2008 formula using Xeq The year 2011 formula using Xeq
average average
1.00 1.00
0.10 0.10
Figure 11. Checking conformity of attenuation equations using Xeq to the 2008 Iwate-Miyagi
Earthquake
9
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Fig.6 shows it’s apparent the year 2008 formula using R gives excessive values compared
with observed values for the estimation of the earthquake motions concerning the 2011
Tohoku Earthquake. On the other side, Fig.7 shows the year 2008 formula using Xeq gives
too small values compared with observed values. But the year 2011 formula gives
reasonable values in both equation forms. Similarly, Fig.8 and Fig.9 show the year 2011
formula gives reasonable values in both equation forms for the estimation of the
earthquake motions concerning the 2000 Tottori Earthquake. Fig.10 and Fig.11 show the
estimation of earthquake motions concerning the 2008 Iwate-Miyagi Earthquake. The year
2008 formula gives reasonable values in both equation forms, and this result is generally
the same for the year 2011 formula. That is to say, the year 2011 formula never makes
conformity to observed values worse concerning the 2008 Iwate-Miyagi Earthquake.
For the estimation of earthquake motions, the year 2011 formula gives better values than
the past, and it’s expected the year 2011 formula can contribute to advance in rational
estimation of earthquake motions and reliability of the attenuation equations.
5. CONCLUSION
The knowledge in this paper is shown below;
• The year 2011 formula considering additional earthquake motions of the 2011 Tohoku
Earthquake (MW9.0) and its aftershocks is proposed as the latest attenuation equation at
dams’ rock foundation.
• Usage of the magnitude in the year 2011 formula is reexamined from MJ to MW to deal
with huge earthquake scale in the attenuation equations consistently.
• The earthquakes are classified into four types: shallow crustal, inter-plate, intra-plate and
eastern margin of the Sea of Japan.
• The year 2011 formula can express the observed records on the 2011 Tohoku Earthquake
(MW9.0) and also on the other earthquakes accurately.
ACKNOWLEDGEMENT
We would like to acknowledge the researchers and engineers of Public Works Research Institute,
Japan and Japan Dam Engineering Center.
REFERENCES
N.Matsumoto, H.Yoshida, T.Sasaki, T.Annaka (2003): Response Spectra of Earthquake

Motions at Dam Foundations, 21nd Congress on Large Dams, Q.83-R.35, Vol.3,
pp.595-611, ICOLD, Montreal, Canada.
N. Matsumoto, T.Ohmachi, N.Yasuda, T.Sano, T.Sasaki, T.Annaka (2006): Acceleration
Response Spectra at Dam Foundations, 22nd Congress on Large Dams, C.9, Vol.2,
pp.727-745, ICOLD, Barcelona, Spain.
S. Mitsuishi, K. Shimamoto (2009): Seismic performance evaluation of dams during large
earthquakes, Journal of Dam Engineering (in Japanese), No.274, pp.6-35, Japan
Dam Enginnering Center, Tokyo, Japan
M.Takemura (1990): Magnitude-seismic moment relations for the shallow earthquakes in
and around Japan, Journal of Earthquake (in Japanese), Vol.43, No.2, pp.257-265,
The Seismological Society of Japan, Tokyo, Japan
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INTERNA
ATIONAL SYMPOS
SIUM ON

ndonesia, Ju
Trendss in the Annual

A Beehavior off Concretee Dams
[Blankk line 11 pt]
M. Nonaka, T.
T Sano, K. Otagaki & N. Shirak
kawa
Japaan Water Agen
ncy, Saitama, Japan
J
Mikio_nonaka
a@water.go.jpjp
[Blankk line 10 pt]
[Blankk line 10 pt]
[Blankk line 10 pt]
[Blankk line 10 pt]
ABSTRAC
CT:
This paper
p delineeates the general trends ini concrete dam
d bodies’ annual
a behaavioral chang ges based
on a large amounnt of measureement data of o dams owneed by Japan Water Agenncy. The outliine of the
paperr is as follow
ws:
Deforrmation of Dam
D Body: Relationship
R b
between dam
m heights andd the amountt of annual variations
v
in daam body dispplacements iss shown in diagrams
d bassed on the meeasurement data at sixteeen dams.
As for
fo gravity dams,
d these diagrams show s that the
t higher the
t dam heiight the greeater the
deforrmation and the closer thhe upstream water level to the dam crest c the greeater the defformation
towarrd the downsstream directtion.
Leakaage Amount:: Many dam ms showed the decreasing g trends in leakage
l amount during the t initial
operaation period of 10 years. When lookinng at the leakkage amountt variations iin one year, there are
manyy cases that showed
s the inncreasing treends in leaka
age amount during
d a certtain season.
Uplifft Pressures:: As for upliift force meaasuring meth hod, uplift pressures
p weere measured d by two
differrent methodss; one methood by closingg alternate drain
d a the otherr by closing all drain
holes and
holess. These two methods werre comparedd with each other. Uplift pressures
p meeasured by cllosing all
drainn holes showeed higher vaalues than thoose measureed by closingg alternate drrain holes beecause no
presssure reducingg effect was achieved
a when all drain holes were closed.
c
[Blankk line 10 pt]
Keyw
words: Plumbb line, Drain
n hole, Bourrdon pressuree gauge, Annual variatioon
[Blankk line 10 pt]
[Blankk line 10 pt]
1. IN
NTRODUC
CTION
[Blankk line 10 pt]
This paper delinneates the coomparative analyses off concrete dam
d bodies’ deformatio on, water
leakaage and upllift pressurees acting onn dam bodiees by focusiing on the aannual variaations in
the past
p observaation data and a generall trends in behavioral
b changes off dam bodiees. Japan
Wateer Agency owns 20 concrete
c daams whose heights raange from 24m to 15 56m and
operaation periodds from onee year to 56 years (see Fig.
F 1).
II - 519
Gravity Dam Arch Dam Arch Gravity
180
Dam Height ( m )
160
140
120
100
80
60
40
20
0
1950 1960 1970 1980 1990 2000 2010 2020
Year Completed
[Blank line 10 pt]
Figure 1. Heights and Completion Years of Concrete Dams under the Management of Japan Water
Agency
[Blank line 10 pt]
[Blank line 10 pt]
2. DEFORMATION OF CONCRETE DAMS
[Blank line 10 pt]
Deformation of a concrete dam is usually measured by separating it into two; deformation
of the dam body and displacement of the foundation. Deformations of the dam bodies of 17
dams out of 20 are measured by plumb lines. Under normal conditions, dam body
deformation is measured by suspending plumbs with wire from the dam top (normal
plumb-line). Displacement of dam foundation is measured by tensioning a plumb line fixed
on the deepest point of the shaft in the foundation rock with a float (reverse plumb-line; see
Fig. 2). Analyses of the measurement data were made by separating the dam body
deformation and the foundation displacement; The analyzed dam body deformation, that is
consisted of the deflection caused by the annual variations in hydrostatic pressures and the
expansion and contraction caused by seasonal temperature changes, is described in Section
2.1; The analyzed foundation displacement caused by the annual variations in hydrostatic
pressures is described in Section 2.2.
[Blank line 10 pt]
[Blank line 10 pt]

Figure 2. Image of the Deformation of a Concrete Gravity Dam
II - 520
2.1. Displacement of Dam Crest
[Blank line 10 pt]
In general, top of a concrete dam is displaced toward the downstream direction in
proportion to the dam height by hydrostatic pressure. In addition, when temperature
decreases it is displaced toward the downstream direction by the effect of the contraction
of the dam body’s downstream-side surface. On the other hand, lower the reservoir level
and higher the temperature, the top of a dam tends to be displaced toward the upstream
direction. The trends in the annual variation of the displacement obtained from
measurement data are described below:
[Blank line 10 pt]
2.1.1. Displacement of Dam Crest
As an example of dam crest displacement toward the upstream and downstream directions,
measurement result of “A” Dam (132.0 m high, completed in 2007) is shown in Fig. 3. The
dam crest displacement toward the upstream and downstream directions is associated with
reservoir water level ( hereinafter reservoir level ) variations and seasonal changes. By
focusing on a period of almost the constant reservoir level in Fig. 3 and comparing the
winter (February) when temperature is lowest in a year to the summer (August) when
temperature is the highest, the figure shows the displacements of 2.7 mm when the
reservoir level was low (W.L. 485.5 m) in 2006, 10.0 mm when the reservoir level was
high (W.L. 546.0 m) in 2007, and 7.8 mm when the reservoir was at an intermediate level
(W.L. 533.7 m) in 2009, that is, higher the reservoir level larger the displacement toward
the upstream and downstream directions, and the lower the winter temperature the largest
displacement toward the downstream direction.
[Blank line 10 pt]
30
Air Temperature
20
( ℃)
10
0
‐10
580 Crest Level 568.0
H.W.L.565.0 546.0
Water Level (EL.m)
533.7
530
485.5
480
Base Level 436.0

430
20
Displacement (mm)
15
Downstream
10
0
2.7 10.0 7.8
-5
2/2005
8/2005
2/2006
8/2006
2/2007
8/2007
2/2008
8/2008
2/2009
8/2009
2/2010
8/2010
2/2011
8/2011
2/2012
( Month / Year )
[Blank line 10 pt]
Figure 3. “A” Dam’s Reservoir Level Variation and Crest Displacement
II - 521
In view of above, dam crest displacement toward the upstream and downstream directions
may be explained as the superposition of the deflection caused by the hydrostatic pressures
due to the variations of reservoir level and the deflection caused by the deformation due to
temperature changes on the upstream-side and downstream-side surfaces of the dam body
in accordance with the change of seasons.
[Blank line 10 pt]
2.1.2. Displacement of Dam Crest of 16 Dams
Normal plumb lines are installed to measure dam body displacements. For those 16 dams
that have been managed for more than five years, the dam crests’ annual amount of
displacements toward the upstream and downstream directions were analyzed for the most
recent five-year period when the effects of the early impoundment periods were small. The
correlation diagrams of the maximum values and the dam heights were prepared and
shown in Fig. 4.
[Blank line 10pt]
180
Gravity
160 (9-18m)*
Gravity
140 (2-7m)*
ArchGravity
120
Arch
100
Dam Height (m)
linear G(9-18m)*
80
60 linear G(2-7m)*
40 linear Arch
20
0
0 10 20 30 40 50
Maximum Annual Variations **( mm )
* Difference between Crest and Maxmum Water Level
**In Crest Displacement during 2006 - 2011 , Upstream-Downstream Direction
[Blank line 10 pt]
Figure 4. Relationship between Dam Height and Annual Variations (Five Year Maximum)
[Blank line 10 pt]
It is clear from Fig. 4 that the higher the dam height the greater the annual displacement. In
order to show that the amount of annual displacement of the crest of a gravity dam
becomes larger when the reservoir level rises closer to the crest, correlation of the amount
of annual displacement and the distance between the reservoir level and the dam crest was
plotted in Fig. 4 by separating the distance into two groups, i.e., less than 7 m and above 9
m. As a result, it became easier to recognize the nearly linear correlation. Upper part of a
gravity dam has almost a right triangle shape with the downstream side slope of about 1 on
0.8. As the rigidity of a dam body becomes smaller when the height becomes higher, the
deflection becomes comparatively large. Thus, it is considered that the difference in the
distance between the highest reservoir level and dam crest makes a large difference in the
amount of annual displacement of the crest even for dams having the same height. As for
the deflection of a dam crest during the low water level, there are no large annual
variations every year because water pressure acts on the area of the dam-body having
relatively high rigidity and the temperature difference between the upstream-side and the
downstream-side of the dam is small.
II - 522
In addition, it is clear that such types of dams as arch-gravity and arch have larger amount
of annual displacement of their crests.
2.2. Displacement of Foundation
[Blank line 10 pt]
As not many dams’ foundation displacements are measured, the foundation displacement
data of “B” Dam (156m high, completed in 1999) measured with reverse-plumb lines for
more than 5 years are used here in order to show the trends in the foundation displacement
for the most recent 5 year period when the effects of the consolidation process of the base
ground compressed by the impoundment were small (see Figs. 5 and 6).
[Blank line 10 pt]
430
Crest Level 400.0 H.W.L.393.3
380
Water Level (EL.m)
330
280 Initial Impounding Time Most Recent Five Years

Base Level 244.0
230
15
Initial Impounding Time

Displacement
Downstream
10
(mm)
5 Most Recent Five Years
0
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
( Year )
[Blank line 10 pt]
Figure 5. “B” Dam’s Reservoir Level Changes and the History of Foundation Displacement
[Blank line 10 pt]
Initial Impounding Time Most Recent Five Years
400 400
380 380
Water Level (EL.m)
Water Level (EL.m)
360 360
340 340
320 320
300 300
280 280
0.0 2.0 4.0 6.0 8.0 10.0 4.0 6.0 8.0 10.0 12.0 14.0
Displacement (mm) Displacement (mm)
Downstream Downstream
[Blank line 10 pt]

Figure 6. Correlation between the Variation in Reservoir Level and Foundation’s
Displacement during the Initial Impounding Time and Most Recent 5 Year
Period
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These figures show the constant slope correlation of the foundation displacement toward
the downstream direction in accordance with the reservoir level rise during the initial
impoundment period of 2 years from 1997 through 1998. After that period, when the
reservoir level started to lower, the foundation started to displace toward the upstream
direction and the correlation changed creating the residual displacement of 4 mm. When
the reservoir level started to rise again, the foundation displaced toward the downstream
direction with the same degree of the correlation that appeared during the reservoir level
lowering time. Furthermore, it is understandable that the correlation between the reservoir
level rise and the foundation displacement during the most recent 5-year period became
elastic and maintained almost the same slope correlation.
[Blank line 10 pt]
As mentioned above, the foundation displacement has a high correlation with the reservoir
level variation. When the variations in the reservoir level changes are largest during the
initial impoundment period, inelastic behavior of the foundation is recognized then the
correlation gradually becomes elastic.
[Blank line 10 pt]
When equipment of a plumb-line measuring system is replaced or maintained, the zero
point tends to be changed. As a result, reading of the long-term trends in displacement
becomes difficult. Thus, it is important to give special consideration to the continuity of
data.
[Blank line 10 pt]
[Blank line 10 pt]
3. LEAKAGE OF CONCRETE DAMS
[Blank line 10 pt]
As for leakage from a concrete dam, inspection gallery is provided in the dam body.
Seepage water through the dam foundation flowing from the cut-off line toward the
downstream direction and leakage water from the reservoir through the joints in the dam
body are led into the drain holes then into the side ditches in the gallery. The leakage water
is usually measured using a triangular weir installed at the deepest point in the dam body.
Amount of leakage water measured with a triangular weir was analyzed in this paper.
[Blank line 10 pt]
3.1. Trends in Leakage since Initial Impounding
[Blank line 10 pt]
In accordance with the long-term trends in leakage amount during a ten-year period
starting from reservoirs’ test impounding time, the trends at 16 dams were clarified from
data. As a result, 12 out of those 16 dams showed decreasing trends in leakage amount
from the initial impounding time. As for other 4 dams that did not show decreasing trends,
one dam had almost no leakage from the initial impounding time and 3 dams had variable
leakage through joints depending upon reservoir levels and seasons.
[Blank line 10 pt]
As examples of decreasing trends in leakage amounts, the long-term changes in leakage
amounts of “C” Dam (106m high, completed in 2000) and “D” Dam (106m high,
completed in 1978) are shown in Fig. 7.
[Blank line 10pt]
Fig. 7 (a) shows an example of the decrease in the maximum leakage amount after ten
years comparing to that at the initial impounding time in 1999 and the variation in the
leakage amount corresponding to reservoir level changes. On the other hand, Fig.7 (b)
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shows the decrease in the maximum leakage amount after 10 years comparing to the
maximum leakage amount at the starting time of dam management in 1979. The annual
variation in leakage amount shows seasonally increasing trends. The leakage amount after
20 years became larger than that of 10 years ago. This phenomenon indicates the examples
that all dams not necessarily have decreasing trends in leakage amount.
[Blank line 10 pt]
Air Temperature Water Level
Air Temperature （ ℃ )
80 460
Water Level ( EL . m )
60
40
410
20
0
-20 360
200
150
Leakage ( L / min )
100
50
0
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
( Year )
(a) “C” Dam’s Long-term Changes in Reservoir Level, Air Temperature and Leakage Amount
Air Temperature Water Level

80 350
Air Temperature ( ℃ )
60 Water Level (EL.m)

300
40
20
250
0
-20 200
300
250
Leakage ( L / min )
200
150
100
50
0
1979
1983
1987
1991
1995
1999
2003
2007
2011
( Year )
(b) “D” Dam’s Long-term Changes in Reservoir Level, Air Temperature and Leakage Amount
[Blank line 10 pt]
Figure 7. Long-term Changes in Leakage Amount at Dams having Decreasing Trends in Leakage
Amount
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3.2. Trends in Annual Leakage
[Blank line 10 pt]
As a result of clarification of the trends in leakage amounts of 19 dams at where leakage
measurements have been recorded, seasonal changes in leakage amounts in one-year
period were recognized at 13 dams as seen in Fig. 7(b). Other dams having seasonal
changes had a small leakage amounts throughout a year.
[Blank line 10 pt]
Seasonal changes in leakage amount are mainly attributed to opening of the horizontal
joints in dam body. When the seasonal changes in leakage amount are reversible behavior
to open or close of seepage paths due to the dam body’s expansion and contraction, the
phenomenon does not lead to progressive failure of the ground. Thus, it is considered that
the phenomenon does not immediately affect the stability of the dam body.
[Blank line 10 pt]
Extraneous materials gradually accumulate on the edge of a triangular weir. When these
materials gradually develop larger, apparent leakage amount seems to increase. For this
reason, it is important to conduct periodical maintenance of weir to record accurate leakage
amount.
[Blank line 10 pt]
[Blank line 10 pt]
4. UPLIFT OF CONCRETE DAMS
[Blank line 10 pt]
Uplift pressures are kind of buoyant forces exerting on the base of a concrete dam caused
by seepage water flowing through the base ground. For a concrete gravity dam, many
foundation drain holes are installed in the gallery that is provided close to the dam base.
All drain holes are always kept open to reduce uplift pressures.
[Blank line 10 pt]
However, it is necessary to close the openings of drain holes to measure uplift pressures. A
problem arises as how many drain holes should be closed at once in order to reduce
measuring time. In order to consider this problem, uplift pressures were measured by two
different methods; one method by closing all drain holes and the other by closing alternate
drain holes (neighboring holes of each closed hole are kept open) then compared measured
values.
[Blank line 10 pt]
Uplift pressure measurement results are shown in Fig. 8 and significant differences in
measured values are listed in Fig. 9. Uplift forces are values measured at locations of
Bourdon pressure gauges.
[Blank line 10 pt]
As seen in Fig. 8, uplift pressures measured by closing alternative drain holes are smaller
than those measured by closing all drain holes. The difference is conspicuous at the left
side where leakage amount was comparatively large. Fig. 9 comprehensibly shows uplift-
pressure reducing effect caused by draining adjacent drain holes. When all drain holes
were closed, uplift pressure at drain hole D-9-1, which had the largest amount of leakage,
had the highest value of 0.18MPa and the neighboring holes showed gradually decreasing
uplift pressures in proportion to the distance. Measurement of uplift pressures by closing
alternative drain holes was conducted in two steps. When alternate drain holes were closed
first time, D-9-1 and D-9-3 were drained and, as a result, the highest uplift pressures at the
closed drain holes dropped maximum 0.02MPa, which was almost the same to the drain-
hole height. When alternate drain holes were closed second time, the uplift pressure at D-9-
3 dropped almost to the same level as the drain pipe height and the uplift pressure at D-9-1
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droppped 0.06MP Pa. As menttioned here,, effect of draining
d neigghboring hooles on uplifft
presssure measurrement is quuite large. Itt is clear thaat draining a hole havinng a large ammount
of leaakage and a high upliftt pressure, such
s as D-9-1, gives a great
g effect to the decreease in
the uplift
u pressuures in the neighboring
n holes.
[Blankk line 10 pt]
Therrefore, it is important
i too maintain draining
d fun
nction of fouundation drain holes in n order
to maaintain uplift pressure reducing
r efffect. In partticular, it is required too pay a special
attenntion whetheer concerned drain holees and neigh hboring draain holes perrforming orr not
perfoorming drainning functioon may greaatly change the uplift pressures
p exxerting on th
he dam
founddation in ann area wheree uplift presssures are esspecially hiigh.
[Blannk line 10 pt]
7-11 233-2 Upstream

m Surface
Uplift Preessure Monitoriing Span
Alternnately Pluggedd All Pluugged In May

M 2010
0.20
Gauge Pressure (MPa)
0.15
0.10
0.05
0.00
Piick up
In May
M 2010
3.0
Leakage Water (L/min)
2.5
2.0
1.5
1.0
0.5
0.0
D-7-1
1
D-7-2
D-8-1
D-8-2
D-8-3
D-8-4
D91
D-9-1
D-9-2
D-9-3
D-10-1
D-10-2
D-11-2
D-11-3
D 12 1
D-12-1
D-12-2
D-13-1
D-13-2
D-13-3
D-14-1
D-14-2
D 15 1
D-15-1
D-15-2
D-15-3
D-16-2
D-17-1
D-17-2
D 17 3
D-17-3
D-18-1
D-18-2
D-19-1
D-19-2
D-19-3
D-20-1
D 20 2
D-20-2
D-21-1
D-21-2
D-21-3
D-22-1
D-22-2
D-23-1
D 23 2
D-23-2
Drain Hole
H Number
[Blank line 10
0 pt]
Figurre 8. Compaarison of Upllift Pressuress when Alternnate Dain Hooles were Cllosed and whhen All
Drain Holes
H were Closed
C at “E”” Dam
[Blankk line 10 pt]
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All Plugged
Gauge Pressure 0.20 0.18
(MPa) 0.13 0.11 0.09 0.07
0.10
0.00
D-8-4 D-9-1 D-9-2 D-9-3 D-10-1
Alternately Plugged , First Time

0.20
Gauge Pressure
(MPa)
0.10
0.02
Drainage 0.00 Drainage 0.00
0.00
D-8-4 D-9-1 D-9-2 D-9-3 D-10-1
Alternately Plugged, Second Time

Gauge Pressure
0.20
0.12
(MPa)
0.10
Drainage Drainage 0.01 Drainage
0.00
D-8-4 D-9-1 D-9-2 D-9-3 D-10-1
[Blank line 10 pt]

Figure 9. Comparison of Measuring Conditions when Alternate Drain Holes were Closed and when
All Drain Holes were Closed.
[Blank line 10 pt]
[Blank line 10 pt]
5. CLOSING REMARKS
[Blank line 10 pt]
This paper described the analyses of measurement data related to the dam bodies’ behavior
of 20 concrete dams that Japan Water Agency owns and operates and showed the general
trends in those dams’ deformation, leakage, and uplift pressures. It is considered that the
knowledge acquired through the study will be useful for conducting safe dam management
and evaluating the safety of dam bodies during earthquakes and large floods. In addition,
trends in long-term dam behaviors will also contribute to the preparation of various plans,
such as measurement methods for safe dam operation and management, and examination
of measurement frequency. Furthermore, for safe management of dam body behaviors, it is
necessary to conduct comparative analysis of data observed for a long period of time. Thus,
it is important to periodically inspect and maintain observation instrument units, such as
plumb lines, triangular weirs, and foundation drain holes.
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Underground Dam as a technical solution for a social problem

Securing scarce water resources against mine activities
Case study: Ali-Abad copper mine - central Iran
VAFA KAMALIAN, MOHAMMAD AHMADI
Bandab Consulting Engineers, Tehran, Iran
vkamalian@bandab.com
HAMID REZA SEIF, KOUROSH SHAKERI

National Iranian Copper Industries Company, Integrated Water Master Plan, Tehran, Iran
ABSTRACT:
In relatively hot and arid regions like Yazd province in central Iran, ground water resources are
invaluable and vital resource for rural communities. Hence any change in ground water natural
regime has always been a major concern for local authorities and every project owner.
Ali Abad copper mine, located at south-west of Yazd province, approximately 60 kilometers from
the capital city of this province, is designed as an open pit mine which is planned to reach 200
meters depth. It is obvious that, the activities in this mine will alter the present natural
underground flow pattern and divert these flows into the mine pit. This will not only bring up some
difficulties for the excavation works, but also, more significantly, will adversely affect the
discharge of springs, Qantas (subterranean aqueduct) and wells in the region. In such areas,
where people’s lives are heavily dependent to water, could and will raise social problems, Where
local aquifers, formed in alluvial fluvial deposits are in use by means of Qantas and shallow wells
for local water supply of municipal and irrigational demands.
This paper deals with various studied solutions to reduce the impacts of mine excavations on local
underground water regime. Finally an underground diversion dam proved to be technically and
economically the most effective measure to maintain the underground water flow. This
underground dam will both secure the underground water resources and at the same time will
facilitate excavation works.
Keywords: Water Resources, Underground Dam, Social effects-consequences.
1. INTRODUCTION
Nowadays, More than two billion people worldwide live in regions facing water scarcity.
In Iran which is located in eastern part of Middle East (western part of Asia), there is a
major and acute crisis. In order to population growth and industrial-agricultural
developments, Iran’s demand for water is growing up; despite of mentioned growth in
water demand, Iran’s climate, is encountering with worldwide occurrence of drought and
global warming since 1995. It worth to mention that, the normal annual average
precipitation in Iran is about 250 mm, varying from more than 1000 mm (Mazandaran,
Gilan and Golestan Provinces), in northern parts of the country to less than 100 mm in
central and south-east (Yazd, Kerman, Sistan-O-Baluchistan Provinces).
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In such hot and arid region, water resources play the main rule in economy and social
developments. Meanwhile, agriculture and its related industries are the major and principle
occupation of Iranian central villagers. Yazd province and Taft city (this paper’s study
area), could not be considered as an exception in this regard, in other words, the economy
and society’s developments in Yazd province is strongly subjected to water resources. In
this way, to gain the best results and more reliable management, water resources have to be
protected against threats, mismanaged utilizations and unexpected losses. It is undeniable
that, these vital resources, especially subterranean aqueducts (qanats) and springs might be
destructed by open pit mine activities and this destruction not only could lead to major
social difficulties in such arid area, but also brings up some problems for excavation
works. Hence, in present study, by having in hand the results of underground explorations,
field investigations and related comprehensive numerical modeling, the underground dam
construction, assumed to be the best approach to protect this invaluable resource without
any water supply conflicts. In this way, to illustrate the subterranean situation, and
evaluate its complexities and vulnerability, assessment of aquifer, and, some spatial
variables (such as bedrock depth and underground water table) have been done by Geo-
Statistics in Geographic Information System (GIS) environment.
2. BACKGROUND OF STUDY
Groundwater management and sustainable development are two independent phrases which are
tied together in hot and arid regions. Underground water storage is certainly not a new concept
and recently application of these two phrases has been extended, increasingly. R. N. Gupta et
al (1987, reproduced on 2006), have studied on “Design of underground artificial dams for
mine water storage”. Based on their study, some useful criteria and factors which influence the
design of a groundwater dam have concluded. For instance, dynamic stress production through
the accumulated water due to blasting has to be estimated. Consideration of the strength of
rock mass or pillar which house the dam, estimation of thickness of dam, based on crushing
strength of dam material and a factor of safety of 8 to 10 on the ultimate strength of material,
also suggested by the authors. Metin Yilmaz (2003), studied on control of underground water
by underground dams. In his comprehensive studies, utilization of groundwater dams in the
management of groundwater resources is analyzed using the computer code, MODFLOW.
Furthermore, in his conducted studies, two different case studies are provided. He has
found that if the groundwater dam were not built, the recharged water would flow towards the
constant head boundary, which is the sea. By preventing this seaward flow, additional water
supply is provided. This is a contribution to the sustainable development. H. Onder and M.
Yilmaz (2005), studied on underground water and water resources management. In their
studies, underground dams are briefly described; detailed information regarding the design and
construction aspects is provided and; finally, various types of dam wall are discussed. A.
Nilsson (1988), studied on groundwater dam for small water supply. In his studies, various
construction materials have been used for the impermeable barrier, such as clay, concrete,
stone masonry, reinforced concrete, and brick, plastic, tarred-felt, sheets of steel, corrugated
iron and PVC.
To apply Geo-Statistics methods to estimate the target value at locations with no

measurements, many comprehensive-technical studies have been conducted and the
authors suggested this approach for spatial variables and directional estimations. Baalousha
H. (2010) assesses the groundwater quality network using vulnerability mapping and
geostatistics, his technical study is on Heretaunga Plains, New Zealand. In mentioned
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study, his methodology combines hydrogeology, as represented by vulnerability mapping
that employs the DRASTIC approach, with geostatistics as represented by spatial variance.
The results of both factors were combined, by GIS application and employing its tools, the
result was a classified map that identified optimal sampling points. Luc Feyen and Jeff
Caers study about “Multiple-point geostatistics”. Most applications of geostatistics in
hydrogeology have employed variogram-based techniques. Their study indicate that
multiple-point geostatistics is potentially a very powerful tool to characterize subsurface
heterogeneity for hydro-geological applications in a wide variety of complex geological
settings.
3. THE LOCATION OF STUDY AREA

As mentioned before, study area is located in Yazd province, in central Iran, where one has
to challenge with limitations and crisis in water resources. This study area is located
between longitudes of 53˚ 50 ΄ 20” to 53˚ 50΄ 52” eastern hemisphere and latitudes of 31˚
38΄ 13” to 31˚ 40΄ 00” northern hemispheres. Figure No. 1 shows the exact location of the
study area.
Figure1. Location of study area
4. METHODOLOGY
Logical Steps of presented study could be summarized into three main phases. The first
phase was recognition of underground dam construction necessity and its importance in
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order to secure scarce and vital groundwater and aquifer revival against mine activities and
its probable damages. Second phase was the prevention of groundwater flow into mine pit
to eliminate its problems on excavation works. The third phase was the economical priority
of groundwater dam construction versus other rehabilitation plans.
To select an appropriate location for underground dam construction, a comprehensive geo-
statistical study has been carried out. In this regard, by having in hand its basic concepts
and, employing Geographic Information Systems (GIS) environment, the variation of
bedrock depth and groundwater table has been extracted. Eventually, by having in hand the
Iso-Depth contours of bedrock and groundwater table, underground diversion dam
locations have been suggested. Relevant details and concepts have presented as following.
5. BED ROCK LOCATION (DEPTH OF ALLUVIUM) AND GROUNDWATER

TABLE EXTRACTION
5.1. Bedrock depth
In order to determine the effect of open pit mining on groundwater flow and its extracting
systems it is necessary to identify different features of aquifers in the region. To achieve
this goal, exploratory studies in the area was done on Aliabad Mine whose results are
shown in Figure 2. This figure represents two buried alluvial rivers on both sides of granite
outcrop. The highest thickness of alluvium is in the northern part of these two floodways
and about 70 m thick. Alluvium thickness gradually decreases in these two waterways
towards south. The highest rate of alluvium thickness in most parts of east floodway is
estimated to be 60 m which gradually reduces towards outcrop in both sides of the valley.
Alluvium thickness around excavation area ranges from 0 to about 60 m.
Considering geological prospecting in the studied area it could be said that the alluvium
fan of the region particularly in floodway and southern slopes is made up of sand, gravel,
and cobble which gradually gets finer towards north. It is estimated that the groundwater
reservoir alluviums in Aliabad district are a mixture of sand, gravel, and silt.
According to the results of exploratory drilling and previous studies on Aliabad mine, and
also with regard to the characteristics of water reservoir rock in Aliabad it can be said that
the region has free aquifer which is mostly developed in alluvium. Moreover, the aquifer
partially develops in weathered granite and granodiorite rocks in the region.
5.2. Underground water table change procedure and ground water flow direction
To prepare the map of ground water level and main direction of water flow the depth of
water was measured at different time intervals in exploratory drilled boreholes in the
region so that general trend of subsurface flow direction and time variations of water level
adjacent to mine pit could be determined. Accordingly, the map of contour lines of ground
water level and subsequently the map of ground water level in Aliabad area were prepared
and presented in Figure 3. It should be mentioned that to increase the accuracy and quality
of contour map of ground water level, it was attempted to make use of water surface level
at mother well of aqueducts, as well. According to Figure 3 it could be said that the depth
of ground water in different parts of the region ranges from 5 to 35 m and dominantly from
20 to 30 m with regard to the region topography. In Mining extraction area groundwater
will be found in the depth of 20 to 25 m.
Considering the contour map of ground water level it can be said that two alluvial valleys
beside the mine which join together downstream is the main place of ground water flow in
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the region. The effect of the water exploitation of aqueducts on contour lines is clearly seen
in this map. The ground water direction is from three directions (east, west and south)
toward the alluvial valley (toward the north). Most of ground water of the region is used by
subterraneous aqueducts upstream in Damak Aliabad and less amount of a less amount of
it is flowing towards north through the alluvial valley. In fact, it can be said that only
groundwater which flows into aquifer in north through slopes of west and east altitudes
and the village of Damak, Aliabad will flow towards north through the alluviums of
Damak river. All groundwater which flows here through the altitudes in south, west, and
east of the valley will be used by aqueducts. Therefore, any change in the course of such
water flow will affect the efficiency of surrounding aqueducts unless the effect is
controlled and managed through some plans.
Figure2. Bed Rock Elevation
6. EFFECT OF MINE EXCAVATION ON GROUNDWATER FLOWS
According to the depth of bedrock, ground water elevation, the location of observation
points and, the thickness of saturated layer, the effect of open pit mining on water
resources of the region could be classified as follows:
 Resources (including aqueducts and springs) which are not influenced by pit
mining.
 Resources (including aqueducts and springs) which are influenced by pit
mining (will possibly face reduction of discharge due to pit mining).
 Resources (including aqueducts and springs) which will be destructed by pit
excavations.
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According to the investigations, resources which are affected by pit mining or might be
influenced by mining activities are considered as a large portion of water resources of this
desert region. As the studied area is an arid desert and due to severe dependency of
economy of local communities around the mining area on agriculture, the importance of
ground water is quite clear to everybody. Therefore, the following options were considered
for diversion of such flows.
Figure 3 . Groundwater Elevation
7. WAYS TO PREVENT THE EFFECT OF PIT MINING ON GROUND WATER

RESOURCES IN THE REGION
The most important ways to drain Aliabad mine and to prevent water flow into it could be
classified as the following:
 Pumping out the water discharged into the mine
 Constructing underground dam (underground diversion dam)
 Constructing drainage wells near the mine outer wall
 Constructing underground drainage
Each one of above mentioned ways has some advantages and disadvantages which justify
their acceptance or rejection. To choose the best alternative among them, factors such as
easy implementation, temporal flow of water into mine workshop, changing hydraulic
conditions of aquifer, pumping requirement to distribute water, water distribution method
in future, efficiency in unusual conditions, repair and maintenance cost, making sure of
efficiency and construction cost (implementation)were considered. Then, Table 1 was
prepared for choosing the best alternatives by means of simple evaluating, and getting the
opinions and recommendations of specialists and experts in groundwater, dam, and mining.
As it is shown, the option of constructing underground diversion dam (before startup of
mining activities) was selected with the lowest cost compared to other options. The options
of constructing underground diversion dam after the mine excavation, constructing
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underground drainage, and pumping out the water discharged into the mine were ranked as
the second to fourth alternatives.
Table No. 1 Simple weighting to select the best alternative for Ali-Abad groundwater remedial
plan*
Changes Pumping The

Temporary The future
in requirements efficiency Repair and Average
Criteria The seepage natural Reliable Execution
hydraulic to convey in maintenance of
Alternative simplicity into mine distribution functionality costs
conditions the water abnormal costs grades
pit system
of aquifer flow conditions
Underground dam
5 1 1 1 1 1 1 1 5 1.89
construction at first
Underground dam
construction at the
4 5 1 1 1 1 1 1 4 2.11
end of mine
excavation
Pumping 2 2 5 3 5 5 5 4 2 3.67
Drainage network
3 3 5 5 5 3 2 2 3 3.44
construction
*
Grade = 1 means the lowest cost or highest priority and grade = 5 indicates the worst situation (highest cost
or lowest priority)
According to Table 1, it can be stated that through constructing underground diversion dam
at the beginning of mining activities, the hydraulic tie between region aquifers will be cut.
Then ground water flow in aquifers around the mine will change slightly and because of
no water flows into the pit, there will be fewer claims on the effect of pit on aqueducts of
the region.
8. SITE SELECTION FOR UNDERGROUND DIVERSION DAM

CONSTRUCTION TO CUT THE LINK BETWEEN AQUIFER AND MINE PIT
Aliabad mine is located within two floodways which join each other in the northwest of the
mine (Figures 2 and 3). Alluvial aquifer of the region is formed within the alluviums of
these two floodways whose water is utilized by several aqueducts. The eastern stream
which is smaller passes through the mine boundaries and the western stream is placed near
the west wall. The ways to cut hydraulic connection between aquifer and Aliabad mine pits
for each of these floodways are discussed below.
8.1. Major points of ground Water inflow into Aliabad Pit Mine and Location of
Underground Diversion Dam
As the hydro geologic maps of Aliabad Plain shows, the mine pit in southeast is placed on
the aqueduct stream of Anjiraneh which is one of the underground water courses which
flow into aquifer and some water from this stream will enter the pit. This stream is formed
within igneous rocks which are more or less impermeable and water can only flow into
their weathered surface and cracks. The mine pit in the west joins the east stream and also
the main sector of Aliabad aquifer where three streams join.
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In the contact area of granite and the Sangestan formation it is not anticipated to have a
major underground water flow into the mine pit. However the flow of water into cracks
between rocks is not unexpected. Therefore, in the south and in the entrance point of two
streams, and in east wall and area of its connection with alluviums necessary measures
should be taken to prevent the water flow into the mine pit. Spots which need drainage in
the first stage in Aliabad mine are the inlet of Damak stream and the west walls of mine
near the alluviums of Aliabad Stream. In Figure 4 the recommended locations of
underground diversion dam are demonstrated. These locations are the results of feasibility
studies on the construction of this underground structure and are considered as primary
suggestions. For determining accurate position and direction of construction, further
comprehensive studies are needed.
8.2. East Valley
As shown in Figure 4, Damak aqueduct is located in east valley and it will be destroyed
completely through mining operation. By constructing underground dam upstream of this
river which is as wide as 250 m, it is possible to prevent the follow of ground water of this
stream into the mine and also to adjust the water flow of this stream. At present, the
amount of water discharge during the wet season, when, less water is required, increases,
and the aqueduct flow reaches to about 5 lit/s and during the irrigation period, the amount
of water reduces to less than 3 lit/m (0.05 lit/s). By constructing underground dam the
drainage of water is prevented during unnecessary seasons and the water of wet period is
stored for dry period. Therefore, it is possible to provide three times as much as aqueduct
water during the dry period for stakeholders. A perforated pipe will be placed in the
upstream of the underground dam in the alluvium layer. In the dam axis this pipe will be
connected to a cut and cover regular pipe, which extends to consumption points at
downstream, where, a butterfly valve is installed to control the flow.
8.3. West Valley
West valley is larger and the volume of its ground water is more than east valley. Sallary
Qantas which is the most important water resource of Aliabad is located in this valley.
Alluvial thickness in the middle of the valley and near the wall of mine is up to 70 m. on
the other hand, this alluvial valley joins another alluvial valley which is derived from
Mazrae Nou (New Farm) in the northwest of Aliabad mine. Aqueducts of Cheshmeh
Bozorg, KadNou, and Abook are in the alluviums of this valley (Figure 4).
West valley has a good location for underground dam construction, and it is possible to
regulate the water flow of Sallary Qantas which fluctuates a lot over time (during the
spring of wet years it reaches over 70l/s, and during the dry period it reaches to less than
10 l/s). Moreover, it is possible to prevent drainage in unneeded periods (October to April)
and remarkably increase the usable water of this period. However, the main problem is the
connection of the third valley, in which Qantas of Cheshmeh Bozorg, KadNou, and
Abookare are located. Ground water level in this valley will drop about 15 m due to dam
construction and mining operation and certainly will affect the water yield of these three
Qantas. The effect of this project on water yield of two Qantas of KadNou and Abook
which are in a farther distance from this place is low, but it has a higher effect on water
yield of Cheshmeh Bozorg. Mentioned alternative could be outranked if the quality of
groundwater, which pumped out of mine pit, reaches the admissible and acceptable values.
In this regard, discharge of Sallary spring might be at least twice as much as its present
discharge. Otherwise, an underground dam (with approximate 1200 meters long) should be
8
II - 536
constructed in the west wall of the mine. Consequently, meanwhile excavation up to
underground water table, working on west wall of the mine should be considered.
Figure No. 4: Ali Abad Mine pit area and neighbor qanats (subterraneous aqueduct)
9. CONCLUSION AND SUMMARIZE
 In low rainfall zones, water is considered as one of the vital resources for
communities and the economy and survival of society highly depends on it.
 Through mining excavations, which could suppose to be a mine pit as deep as
about 200 m, underground flows move towards the mine and cause some social and
economic problems for the villagers (and farmers) who have rights to make use of
water. Moreover, the groundwater flow into the mine pit could lead to some
technical problems in mining activities.
 To protect this invaluable resource, some studies have been established. In
mentioned studies, in the first step, some basic studies (such as meteorology,
hydrology, geology, hydrogeology, and also economic, social and cultural studies)
have been carried out, simultaneously. Following this, some alternatives were
offered for securing ground water resources. Then, to select the best alternative,
Multi-Criteria Decision Making (MCDM) (a simple weighted approach) has been
done. Regarding to the results of MCDM, one of the alternatives, i.e. the
construction of underground diversion dam at the beginning of activities, was
selected. Through this selection, subsurface flows without being seriously
influenced by pit mining, will naturally be directed towards those who have right to
use water.
 By constructing mentioned underground structure, an effective and useful step will
be taken toward sustainable development, environmental conservation and survival
of local communities.
9
II - 537
10. REFERENCES
Dugger, Celia. (2006): “Need for Water Could Double In 50 Years, U.N. Study Finds”,
New York Times.
Manouchehri. G. H. (2000), “Water Crisis in Iran”, Iranian Water and Environmental
Journal, No. 39, Iran.
Bitaraf, H. (Minister of Energy) (2000) Protecting Water Resources in Iran. Iranian Water
and Wastewater Journal (Shahrab) No. 223, Iran.
H.Motiee, GH. Manouchehri, M.R.M. Tabatabai, “WATER CRISIS IN IRAN:
CODIFICATION AND STRATEGIES IN URBAN WATER”, Iran.
METİN YILMAZ (2003), Master of science thesis “CONTROL OF GROUNDWATER BY
UNDERGROUND DAMS”, THE MIDDLE EAST TECHNICAL UNIVERSITY,
Turkey.
Underground dam, a tool of sustainable development and management of groundwater
resources, European water 11/12: 35-42, 2005.
Nilsson, A., 1988, Groundwater dams for small-scale water supply. IT publications,
London.
Baalousha, H. (2010), “Assessment of a groundwater quality monitoring network using
vulnerability mapping and geostatistics: A case study from Heretaunga Plains, New
Zealand”, Agricultural Water Management. 97, 240-246.
L. Feyen and J. Caers, (2005), “Multiple-point geostatistics: a powerful tool to improve
groundwater flow and transport predictions in multi-modal formations”, Geostatistics
for Environmental Applications, 2005, 197-208, DOI: 10.1007/3-540-26535-X_17,
SpringerLink.
Winfried Schröder, (2006), “GIS, geostatistics, metadata banking, and tree-based models
for data analysis and mapping in environmental monitoring and epidemiology”,
International Journal of Medical Microbiology In Proceedings of the VIIIth
International Potsdam Symposium on Tick-borne Diseases (IPS-VIII), Vol. 296, No.
Supplement 1. (22 May 2006), pp. 23-36, doi:10.1016/j.ijmm.2006.02.015 Key: cite
like: 770032.
Poizot, E.; Mear, Y.; Thomas, M.; Garnaud, S., “The application of geostatistics in
defining the characteristic distance for grain size trend analysis”, Computers and
Geosciences, Volume 32, Issue 3, p. 360-370.
Beurden, S.A.H.A. van; Riezebos, H.Th., (1988), “The application of geostatistics in
erosion hazard mapping”, Soil Technology, Volume: 1, Issue: 4, pp. 349-364, ISSN
0933-3630, Elsevier.
Eulogio Pardo-Iguzquiza, Mario Chica-Olmo, (2008), “Geostatistics with the Matern
semivariogram model: A library of computer programs for inference, kriging and
simulation”, Computers & Geosciences 34, www.elsevier.com/locate/cageo, pp
1073-1079.
Krige DG., “A statistical approach to some basic mine evaluation problems on the
witwatersand”, J Chemical Metallurgical Mining Society 1951;52:119.
10
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3D Numerical Study of the Efficiency of the Grouting Curtain in an

Embankment Dam
A. Akhtarpour
Assistant Professor, Ferdowsi University of Mashhad, Civil Engineering Department, Mashhad, Iran
akhtarpour@um.ac.ir
M. Damghani
Msc. Student of International Branch of Ferdowsi University, Civil Engineering Department, Mashhad, Iran
Mhds_damghani1983@yahoo.com
ABSTRACT:
“Siahoo” Dam is a central clay core embankment dam with a height of about 32 meters from alluvium
foundation. The dam is under construction in the east of Iran (Khorasan Province).In the main design the
alluvium foundation has been removed under the core and a grouting curtain with a depth of 32 meters from
bedrock has been considered to prevent the foundation from excessive seepage. The bedrock consists of highly
fractured and weathered volcanic rocks (Andesit) with high permeability that in some cases reach to more
than 100 lugeon. Also some artesian regions were observed in the drilling and grouting stage in the
construction phase. The normal Portland cement was initially used for grouting mixture but results showed
that it has not a sufficient efficiency so the fine Portland cement (with a blain more than 7000) was used for
this purpose. The existing of micro cracks in the volcanic rocks was suggested to be the main reason for this
phenomenon. Finally after completion of the grouting curtain, some regions of the rock foundation in the
controlling drills show more permeability than design criteria. In this research the efficiency of the grouting
curtain was evaluated based on the 3D saturate/unsaturated numerical seepage analysis of the dam body and
foundation. The numerical methods with the assumption of a continuum media can be used with an adequate
accuracy for highly fractured rocks. Results show even in a case of high permeability in some regions of the
grouting curtain, the grouting curtain has a good efficiency in control the flow from the dam foundation also
gradients in the downstream are in a safe manner so the uncontrolled seepage and erosion in the foundation is
not expected after the reservoir filling.
Seepage Analysis, Volcanic Rocks

Keywords: Embankment dam, Grouting Curtain, 3D Numerical Seepage
1. INTRODUCTION
The common method for providing the sealing of rock foundation in majority of dams is to use
grouting curtain which according to the geological conditions of the dam position, design of the
curtain and specifications of the slurry will be ddifferent.
ifferent. In some positions, the common methods of
injection are with restrictions and are not the supplier of complete sealing. In this study, the efficiency
of the grouting curtain of Siahoo dam has been studied in terms of seepage rate and gradients controls
which are on the excessive fractured volcanic formations. In this dam, despite of using fine cement
(blain over 5000), in some parts of the injection curtain, the possibility of achieving complete sealing
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(lugeon 5) was not provided. In this case, there will be a concern about the efficiency of the curtain in
controlling the leakage and to prevent the erosion, which this study used the numerical method by
using the advanced Seep3D software.
2. SIAHOO EARTH DAM
Siahoo dam is under construction by the aim of haltering some water frontiers in east of the country
for the purpose of farming uses. Siahoo River is one of the frontier Iran’s rivers which flow from
north into the south and east in Doroh plain of south Khorasan Province.
Siahoo basin is over 3000 square kilometers. Siahoo reservoir dam has a height of 32.5 m from the
river bed and about 39.5 m from rock foundation, a crest length of 352 m and the reservoir volume of
17 million cubic meters. The dam is a central clay core embankment dam. Typical cross section of the
dam is shown in figure (1). The river bed alluvial is dense coarse-grained with a maximum depth of
about 7 meters which is removed only under the dam core area.
1. Clay care 2. Sand Fillet 3. Drain 4. Sand and Grave shell 5. Rip-Rup 6. Grouting Curtain
Figure 1. Typical Cross Section of the Siahoo Dam
3. MODELING AND NUMERICAL ANALYSIS
In order to model the seepage in the body and foundation of the Siahoo Birjand dam, we have used a
three dimensional finite element computer program. This analysis has done in steady seepage and the
different parts of dam sealing system including core, grouting curtain, upper and lower rock
foundation in analysis has been taken into account. Due to the extremely high permeability of alluvial
foundation and its removal under core area, we have relinquished from the modeling. Also, because
of the dam shells consist of course grained soils,
soils, they have no effect on leakage rate and they have
eliminated from the model. It should be noted that for the excessive fractured rocks which have the
same behavior as the soils in terms of hydraulic behavior, the numerical methods assuming the
continuous media can be used with reasonable accuracy.
3.1. Geometry of Numerical Model
You can see the cross-section of curtain sealing and dam axis in figure (2), and the geometry of three-
dimensional model in figure 3. Also in figure (4), you can see the way elements are generated.
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Figure 2. Longitudinal Cross Section of the dam and Grouting Curtain
Figure 3. Geometry of the 3D Model Figure 4. Mesh Generation of the Finite Element Model
3.2. Hydraulic Parameters of the Sealing System Components
• Dam core
Based on 6 permeability tests in the design stage and in order to ensure, the permeability is
considered 10-6 centimeters per second in the numerical analysis
3.2.1. Geology and permeability of bedrock

Based on the geological studies, the left abutment is igneous clastics (pyroclastic) volcanic andesite
stones and the masses of the middle part of dam are agglomerate and tracky andesite. On the right
side, the porous basaltic lavas agglomerate and above it, conglomerate has been observed. According
to this fact that Siahoo dam is located in a position with highly tectonic volcanic formations, its
sealing has been the particular interest of the design consultant from the beginning. Accordingly,
before the execution of the grouting curtain and after that, exploratory and controlled boreholes were
drilled and the water injection tests were done, which based on that, the results of that design and the
execution of dam curtain injections has been evaluated and in case of need, additional injections have
been done too. In figure (5), you can see the water seepage test results in the drilled boreholes in the
II - 541
studies stage. Statistical analysis of the obtained lugeon values from first phase exploratory boreholes
shows that 60% of permeability is less than 5 lugeon units. As presented in figure (5), the mass rock
is permeable about 35 meters from the surface of bed rock mass and 40 meters from the earth surface.
Accordingly, the proposed depth for the water dam curtain is 40 meters.
Ex series boreholes have been drilled before the execution of the injection curtain, and the water
pressure tests in exploratory boreholes have been done from EX5 to EX12. The results of these tests
have been used in burying the depth of water dam curtain. In figure (6), you can see the lugeon test
results in EX series boreholes.
As you can see, in some of the boreholes in upper part of the rock foundation, the values are about
100 lugeon, which shows the significant water permeability capability of the upper rock, and it also
shows a significant difference to the early study results. According to these results, the bedrock in
numerical analysis has been divided in to two parts.
Figure 5. Permeability (Lugeon) of the bedrock based Figure 6. Lugeon values in EX-Series of boreholes
on the permeability tests in design stage
The upper zone which extends to a depth of 40 meters and the dam injection curtain are situated in
this area, and the lower zone which is located under the injection curtain and has the lower
permeability than the upper zone. The considered lugeon values for the upper zone are between 15 to
maximum 100 lugeon, and the lower zone is 3 to 15 lugeon.
3.2.2. Permeability of the grouting curtain

In figure (7), you can see the longitudinal cross-section of water dam curtain and the injected
boreholes up to January of 2010.
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Figure 7.Longitudinal Cross section of the curtain and injected boreholes until Jan. 2010
After the initial execution of water dam curtain injections, some controlled boreholes of Co series
have been drilled and lugeon test has done on it. In figure (8), you can see the results of these tests in
the mentioned boreholes. As you can see, despite the injection of one row from assisting injected
boreholes at upper of the sealing curtain, there is a significant permeability in the upper 10 meters of
mass rock in the area situated in the bed and near the left.
So, in order to check the existence of this permeable area in seepage amount of dam foundation, for
the numerical analysis, the mentioned area has been taken into account.
Figure 8. Lugeon Tests results in Co. Series of boreholes
4. ANALYSIS RESULTS
4.1. Amount of Leakage
Figure (9) shows the same potential curves in the three dimensional model. The reservoir water level
is considered more equal than the water level normal, and in the lower area, the exit flow area is
automatically determined by the program and by considering the permeability of core and supports in
the unsaturated zone. As we have mentioned, sensitivity analyses have been done in order to examine
the role of permeability parameters of different areas in this model including upper and lower rocks,
and the permeable area of sealing curtain on the leakage amounts of the dam.
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Figure 9. Potential Curves in the 3D finite element seepage analysis
In the first series of analyses, the lugeon number of different parts is as table 1.
Table 1. Assumed permeability of sealing system parts (Lugeon)

Lower rock Upper rock Sealing curtain Left permeable area in
foundation foundation sealing curtain
9 15 6 10~25
Given that some parts of the leakage discharge from the foundation are revealed in downstream rock
abutments and are measurable by the establishment of a collection system inside the dam shell, this
amount of discharge has been presented separately. As presented in figure (10), you can see the
the amount of visible leakage in lower rock abutments. In
separate amount of total leakage and also the
order to study the influence of the lugeon number in permeable area of sealing curtain to leakage
amount, different values for permeability have been considered.
20
Total Discharge (litr/s)
15
Total Flux (Litr/s)
10 Abutment Flux (Litr/s)
0
0 5 10 15 20 25 30
Lugeon Number in the Permeable Area of the Sealing
Curtain
Figure 10. Amount of Leakage from the dam body and foundation as a function of the permeability of the
permeable area of sealing curtain
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There will be very little impact on the total amount of leakage by permeability reduction of left area
from 25 to 10 lugeon. In order to investigate the influence of the average lugeon number of the
average upper area of rock foundation on the leakage amount, the second series of analyses have been
done by the consideration of the average lugeon number of upper area of the foundation equal to 50
lugeon, and the results show as the figures of 11 and 12. In figure 12, the average of lugeon number
in lower stone is equal 9 lugeon, and in the figure 13, the average lugeon of lower area of the stone is
equal to 3 lugeon.
35 20
30

25 Total Flux (Litr/s) 15

Total Flux (Litr/s)
20
Abutment Flux (Litr/s)
15 10 Abutment Flux (Litr/s)
10
5
5
0 0
0 5 10 15 20 25 30 0 10 20 30
Lugeon Number in the Permeable Area of the Sealing Lugeon Number in the Permeable Area of the Sealing
Curtain Curtain
Figure 11. Leakage as a function of the permeability Figure 12. Leakage as a function of the permeability
of the permeable area of sealing curtain of the permeable area of sealing curtain
(considering 9 lugeon for lower stone) (considering 3 lugeon for lower stone)
As can be seen, the permeability amount of the lower part of rock foundation has significant influence
on the total values, so that the leakage rate based on the permeability of the lower rock is variable
between 33.2 to 27.8 liters per second. In this case, the ok leakage rate from downstream rock
abutments is variable between 10.3 to 12.2 liters per second.
In another analysis, in order to examine the influence of lugeon number in lower bedrock area on
leakage amount of dam foundation, a series of analysis with the similar circumstances to previous and
with different proposed values of permeability for lower bedrock has been done, then in figure (13),
the results have been showed.
As we can see, the lower area permeability has a significant impact on the leakage amount, so that as
the lugeon number increases from 3 to 15 lugeon, the total dispatch leakage lugeon increases from
29.5 to 36.5. However, the results of injection tests of lugeon in this area show that the lugeon
number is less than 5.
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40
35
30

25
Total Flux (Litr/s)
Abutment Flux (Litr/s)
20
15
10
5
0
0 5 10 15 20
Lower Rock Lugeon
Figure 13. Amount of Leakage as a function of the permeability of the lower stone
4.2. Gradients Review
In order to examine the impact of permeable area in the grouting curtain on gradients amounts in rock
foundation, the amount of exit vertical gradient from the rock foundation in the downstream of the
core have been investigated in two cases. In the first case, the permeability of the upper part of rock
foundation is assumed as equal to 50 lugeon, lower part is as equal to 9 lugeon and the grouting
curtain is uniformly as equal to 6 lugeon. Analyses in second case are similar to previous case but the
lugeon number of permeable area of the curtain is equal to 25.
In figure (14), you can see the vertical exit of gradient from the rock in downstream of the core and
near the permeable area of the grouting curtain in two cases. As we have mentioned at the start of this
paper, width of the permeable area has been assumed as equal to 70 meters and the horizontal axis in
the diagram shows this width.
0.35
0.3
0.25
Vertical Gradients
0.2
0.15
0.1 Case (1)
Case (2)
0.05
0
0 20 40 60 80
Distance (m)
Figure 14. Hydraulic Gradients in the rock foundation (downstream area of the clay core)
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As we have expected, the diagram values at the both ends are similar, because near this outer area of
the region, the situation in both cases of analysis are similar. In the mid-range of downstream
permeable curtain area, the gradients are almost uniform and a considerable remark is that in the
second case, the gradients values have been decreased. According to the Darcy’s law, increasing
permeability in one restricted area, although causes the increasing in velocities, but not necessarily
cause the increasing in the gradients, but also causes the reduction of the gradients.
If the bedrock is assumed same as the coarse grained soil, its critical hydraulic gradient can be
calculated about 1.3, and so, the safety factor in contrast to erosion in the worst area (adjacent to both
ends) is more than 4 for the both states, and therefore with this criterion, there is sufficient ensure
margin in contrast to erosion.
5. CONCLUTIONS
The results of this analysis can be summarized as follow:
1- Based on to the water permeability test results in boreholes of the study stage, the assumption
of the average permeability of the upper part of the rock foundation is equal to 15 lugeon and
the leakage amount from the body and foundation in this case is maximum 16.4 liter per
second. From this leakage amount, about its 6.7 liter per second will appear in the
downstream rock abutments.
2- Based on the results of the water injection tests before the start of the grouting activities (EX
series), the assumption of the average permeability of the stone in the upper part of the rock
foundation mass is equal to 50 lugeon, and the leakage amount from the body and foundation
is maximum 32.2 liter per second. From this leakage amount, about its 12.2 liter per second
will appear in the downstream rock abutments.
3- The sensivity of the leakage amount to permeable grouting curtain area which is located in the
left side of the grouting curtain - is small, so that increasing the permeability of this area from
5 lugeon to 25 lugeon causes the increasing of the discharge leakage about only 6 percent. So,
more injections in this area that is associated with the increasing costs of the dam
construction, seems unnecessary.
4- Performing a drainage system near the downstream abutments of the dam has been proposed,
so that we can measure separately the leakage amount of abutments from the bed leakages.
5- Increasing permeability of the permeable area of the grouting curtain in the left side, the
vertical gradients in the downstream of the core and in the bedrock show decreasing, and so
there is no worry about the corrosion.
6- The exit gradients from the rock foundation which have the safety factor of 4 against erosion
are at the safe side, and furthermore, in detailed design of the dam body, there is a
downstream fine filter on the bedrock to prevent the internal erosion and it can be assumed as
the double insurance agent against the erosion in this area.
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ACKNOWLEDGEMENT
Special thanks to Mr. Bahrami Samani and technical office of Iran’s water resource management, particularly
Mr. Shokrollahi and Dr. Javaheri.
REFERENCES:
1. Maharab Consulting Engineers Oct 2005 : “Resources and Building Material” Siahoo Dam in
Birjand, Detail design Studies phase
2. Maharab Consulting Engineers Oct 2005 : “Geology Engineering and Geotechnique” Siahoo
Dam in Birjand, Detail design Studies phase
3. Maharab Consulting Engineers March 2006 : “Technical Report,The Design of Dam Body”
Siahoo Dam in Birjand, Detail design Studies phase
4. Geo-Slope International, Ltd. Geostudio (2007) user manual, Calgary, Alberta, Canada, 1991-
2008
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INTERNA
ATIONAL SYMPOS
SIUM ON

ndonesia, Ju
DETER
RMINATIION OF CRITICA
C AL SUBM
MERGENC CE AT IN
NTAKES
USSING A CFD MOD
DEL
(CAS
SE STUD
DY: AYDOOGHMU USH DAM
M'S INTAK
KE SYSTTEM)
Sh. Parttovi Azar

Dam deppartment, Ashenab Consultiing Engineerss company, Taabriz, Iran
m
Dr. D. Farrsadizadeh
h
Asssistant professor, Faculty off Irrigation En
ngineering, University
Un of Taabriz, Tabriz, Iran
ABSTRAC
CT
In caase of insuffi
ficient submeergence vortiices may occcur in intakees. To preveent the occurrrence of
vorticces and air concentratiion in intakkes, an adeq quate submeergence whicch is named d critical
submmergence is required.
r In this
t study, floow characteristics in Aydoghmush ddam intake syystem are
investigated in diffferent hydraaulic conditioons using fin
nite volume numerical
n meethod throug gh a CFD
modeel. The resullts are comppared with physical
p model measureements. Aydooghmush da am intake
systemm consists of an intake tower whichh is 40 meterrs high. Therre are four iintake levelss namely:
1305.88, 1317.744, 1326.49 annd 1332.5 m. Operation of o intake leveels is througgh 3×3.5 m sllide gates
whichh are locatedd at conduitts inlet. Floww characterisstics in four cases (i.e. ggate No.1, gate No.2,
gate No.3 and gaate No.4 opening states)) are investiigated. Discharge valuee in all casess was 20
m3/s. The results indicate thaat, the most critical
c vortexx type for diffferent waterr surface levvels in the
reserrvoir and for gate No.1, 2,2 3 and 4 oppening statess, is vortex tyype 3 or in otther words a swirling
waterr column. No negative pressure
p obseerved in the intake systeem. The resuults of physiccal and a
CFD model show w that criticall submergencce depends on o hydraulic conditions inn intake structures.
Keyw
words: Critical submergeence, Vortex,, Intake, a CFD
C model
1. IN
NTRODUC
CTION
Intakkes are applied to diverrt water for agriculturall, urban andd industrial uuses and to produce
electtricity (Beyyrami, 20033). Determ mination of intake enntrance andd outlet an nd water
convveyance connduit levels is related too water levvel in the resservoir and other situaations. In
case of insufficcient subm mergence voortices may y occur in intakes. V Vortex form mation in
hydraulic structtures causes air conceentration, head
h losses increment, water con nveyance
efficiiency decreement, cavittation and trembling.
t To
T prevent the producttion of vorttices and
air concentratio
c on in intaakes, an adequate
a submergenc
s e, which is named critical
submmergence, iss required. Critical suubmergence is depend on physicaal characterristics of
intakke system anda hydrauulic conditiions. Determ mination ofo critical ssubmergencce needs
invesstigating floow characteristics in intake system. There are a lot oof investigaations to
deterrmine criticcal submerggence and prevent
p vorrtex formattion, whichh result in practical
p
equaations. Yilddirim and kocabash (1995) pro oposed an analytical flow soluttion, by
II - 549
combining the point sink and a uniform canal flow in ideal conditions, to determine the
critical submergence of an air-entraining vortex occurring at an intake in a uniform canal
flow. The effects of the blockage of the intake pipe and impervious flow boundaries on
critical submergence of an intake pipe have been investigated by Yildirim and kocabash
(1995). Yildirim et al. (2000) studied the effects of intake-pipe blockage and location of
impervious boundaries on critical submergence of an intake pipe. Yildirim and kocabash
(1998) also investigated the critical submergence of intakes in still water. Hite and Mih
(1994) derived formulas for tangential, radial, and axial velocities as well as the water-
surface profile of air-core vortices at hydraulic intakes. Knauss (1987) determined critical
submergence with normal approach conditions based on experiments of Gordon in 1970
and Hecker in 1981 (Shamsayi, 2004). The detailed calculation of the fluid motion within a
complex geometry is a very difficult task from the analytical point of view, since the
simultaneous solution of momentum, continuity and sometimes energy governing
equations is required under boundary and initial conditions. Many complex problems may
be satisfactorily solved using fluid dynamics through finite difference, finite element, finite
control volume and other discretization techniques. Marcano et al. (2004) investigated the
potential vortex formation at the intakes through a 3-D CFD model. In this study, flow
characteristics in Aydoghmush intake system were investigated using finite volume
numerical method through a CFD model, to determine critical submergence at several
intake levels and prevent vortex formation and negative pressure creation. The results were
compared with physical model measurements and Knauss method.
2. AYDOGHMUSH INTAKE SYSTEM
Aydoghmush storage dam is located 170 Km eastern south of Tabriz in East Azarbayjan,
Iran. It is an 87 meters high rockfill dam with a clay core. Two tunnels with inside
diameter of 4.5 meters in right abutment are used to divert streamflow through the dam site
during the construction period, which are respectively 333.7 and 313.8 meters long with an
invert slope of 0.00723 and 0.01035 (m/m). After construction of the dam body, outlet
works and intake system have been utilized in diversion plan. Intake system will supply a
maximum flow rate of 20 m3/s for agricultural water requirements. Aydoghmush intake
system is consist of an intake tower which is 40 meters high. There are four intake levels in
the tower: 1305.88, 1317.74, 1326.49 and 1332.5 m. Operation of intake levels is through
3×3.5 m slide gates which are located at conduits inlet. Tower area increases gradually
downward and at the end, through a 4.25 meter long transition with a contraction angle of
12.6 degrees, transforms to a pipe with inside diameter of 3 meters which after passing a
90 degree bend with an arc radius of 6 meters transforms to a tunnel with inside diameter
of 4.5 meters(anonymous, 1380). Fig.1 shows the longitudinal section of tower.
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Figure 1. Longitudinal section of tower
3. INTAKE SYSTEM EXPERIMENTAL MODEL SETUP
Experimental model of Aydoghmush intake system has been set up at a scale of 1:20. It
contains approaching channels to intake, tower structure, gates, rails, trashrack, tower's end
transition and a part of tunnel which is 0.8 meters long in model that equals 16 meter in
prototype. An adequate number of piezometers have been established on tower body, gate
locations, tower's end transition, bend and transition followed by, and tunnel at suitable
positions to measuring the static pressure. Micro current meters have been used to measure
velocity and water level in the reservoir has been allocated by a stage (anonymous, 1380).
4. FLOW CHARACTERISTICS INVESTIGATION IN INTAKE THROUGH A

CFD MODEL
In this study, a CFD model is used to investigate the flow conditions at the entrance of
intake and to determine the critical submergence. A CFD model is state-of-the-art
computer programming for numerical modeling fluid flow using computational fluid
dynamics (CFD) in complex geometries. A CFD model provides complete mesh
flexibility, solving flow problems with unstructured meshes that can be generated about
complex geometries with relative ease. General form of the mass conservation equation
which is valid for incompressible as well as compressible flows, can be written as Eq. 1:
∆ ……….....(1)

The source Sm is the mass added to the continuous phase from the dispersed second phase
and any user-defined sources, (Anonymous, 2001). For 2D axisymmetric geometries, the
continuity equation is given by (Anonymous, 2001) as Eq. 2.
II - 551
S ………….(2)
Where x is the axial coordinate, r is the radial coordinate, vx is the axial velocity, and vr is
the radial velocity. Conservation of momentum in an inertial (non-accelerating) reference
frame is described by (Anonymous, 2001) in Eq. 3.
. . …………(3)
Where p is the static pressure, is the stress tensor (described below), and and are the
gravitational body force and external body forces, respectively. The stress tensor is
given by Eq. 4.
. ………….(4)
Where μ is the molecular viscosity, I is the unit tensor, and the second term on the right
hand side is the effect of volume dilation.
4.1. The Standard k-ε Model
In this study, the standard k-ε model has been used to investigate the turbulent flow
conditions in intake. The standard k-ε model was proposed by Launder and Spalding at
1972(Anonymous, 2001). It is a semi-empirical model based on model transport equations
for the turbulence kinetic energy (k) and its dissipation rate (ε). In the derivation of the k-ε
model, it was assumed that the flow is fully turbulent, and the effects of molecular
viscosity are negligible. The standard k-ε model is therefore valid only for fully turbulent
flows (Anonymous, 2001). The turbulence kinetic energy, k, and its rate of dissipation, ε,
are obtained from the following transport equations, Eq. 5,6 (Anonymous, 2001):
………….(5)
And
……..….(6)
The term Gk is defined as Eq. 7.

…………..(7)
Eq 8 evaluates Gk in a manner consistent with the Boussinesq hypothesis,

……..….(8)
Where S is the modulus of the mean rate-of-strain tensor, defined as Eq. 9.
2 ………..(9)
The term Gb is defined as Eq. 10.
………….(10)
II - 552
Where Prt is the turbulent Prandtl number for energy and gi is the component of the
gravitational vector in the ith direction. For the standard and realizable k-ε models, the
default value of Prt is 0.85. In these equations, Gk represents the generation of turbulence
kinetic energy due to the mean velocity gradients, Gb is the generation of turbulence
kinetic energy due to buoyancy, YM represents the contribution of the fluctuating dilatation
in compressible turbulence to the overall dissipation rate. C1ε, C2ε, and C3ε are constants. σk
and σε are the turbulent Prandtl numbers for k and ε, respectively. Sk and Sε are defined
source terms. The turbulent (or eddy) viscosity, μt, is computed by combining k and ε as
Eq. 11:
…………..(11)
Where Cμ is a constant. The model constants C1ε; C2ε; Cμ; σk; and σε have the following
default values (Anonymous, 2001), 1.44, 1.92, 0.09, 1.0, 1.3 .
4.2. VOF model
Since there is an air-water flow to intake, a multiphase model is used to analyze flow
characteristics. Because there is a free-falling flow at intake, the most appropriate
multiphase model is Volume Of Fluid (VOF).
4.3. Meshing and Initial conditions
Geometry modeling, mesh generation and boundary types was defined in a preprocessor.
In order to perform a finer mesh and attaining more accurate results, two dimensional
geometry model's scale, same as experimental model's, is 1:20. Geometry model contains a
part of reservoir which is 10 meters long, intake tower, tower's end transition to pipe, bend,
pipe with inside diameter of 3 meters, pipe transition to tunnel and a part of tunnel which is
3 meters long. Fig.2 indicates geometry of intake system. After generating various sized
meshes with different compaction ratios and analyzing with CFD model, the optimum
mesh size in which the results are independent of mesh size and convergence rate is
appropriate, was selected.
Figure 2. Geometry of intake system defined through GAMBIT
In this study, flow characteristics and critical submergence for four intake level openings
was investigated. Three water levels were studied in each case.
II - 553
Three pressure_inlet boundary conditions at top of the reservoir, top of the tower and
inside reservoir, and a velocity_outlet boundary condition at tunnel outlet were defined in
geometry model. Pressure_inlet boundary condition inside reservoir was set through a
UDF (User Defined Function) which is a program in C language that defines trapezoidal
pressure distribution in the reservoir. In this boundary, turbulence parameters were
specified through k,ε and because of still water assumption in the reservoir, turbulence
kinetic energy k and its dissipation rate ε were set as zero. Relative pressure amount at
pressure_inlet boundary conditions at top of the reservoir and tower is zero. Because of
static air supposition at the tower and water surface top in the reservoir, turbulence kinetic
energy and its dissipation rate were assumed as zero. Velocity_outlet boundary condition
was defined through specifying the amount of tunnel outlet velocity, which was calculated
by continuity equation for 20 m3/s design discharge in intake. In this boundary, the
turbulence specification method is intensity and hydraulic diameter, where hydraulic
diameter of outlet tunnel and turbulence intensity, were set as turbulence specification
method parameters. Turbulence intensity in tunnel, calculated by Eq. 12, is 4.02%.
0.16 ………….(12)
Where I is the turbulence intensity, u' is the root-mean square of the velocity fluctuations,
uavg is the mean flow velocity and is the Reynolds number of hydraulic diameter
(DH). The default amount of concrete wall roughness is set for wall roughness in wall
boundary condition. In each case of intake level opening, for different water levels after
defining boundary conditions and solution initializing, solution performed until reaching
the convergence criterion which is 1×10-5 in this study. The results attained from model
menus in graphical or numerical amount modes. Applying Froude law and simulation
ratios which were used in experimental model, the result were changed to actual amounts
of prototype. Critical submergence for all intake levels was obtained through Knauss
criterion. Knauss determined critical submergence with normal approach conditions as Eq.
13,14:
1.5 0.25…….….(13)

2 0.25 , ……..….(14)
Fr: Froude number for intake pipe
Root mean square of error (RMSE) criterion was used to determine the estimation error of
model and comparison of the result obtained from model with measured results in
experimental model (Mendenhall and Sincich) and is defined by Eq. 15.
.
∑ ………….(15)
Where, yci and yoi respectively are the computational and observed amount in ith time step
and n is the number of observations.
5. DISCUSSION
The results attained from CFD model for different water levels in each intake level after
changing them to actual amounts of prototype are as follows:
II - 554
Contours of volume fraction, pressure and velocity were plotted for all cases and have been
showed in case of gate No.1 opening with entrance level of 1305.88m as a sample. Figures
3 to 5 indicate contours of volume fraction, pressure and velocity in case of gate No.1
opening, where water level in reservoir is 1341.5m.
Figure.3 Contours of (phases) volume fraction to air inside reservoir and intake system in case of
gate No.1 opening, where water level in reservoir is 1341.5m
Figure.4 Contours of pressure (in Pascal) inside reservoir and intake system in case of gate No.1
opening, where water level in reservoir is 1341.5m
Figure.5 Contours of velocity (in m/s) inside reservoir and intake system in case of gate No.1
opening, where water level in reservoir is 1341.5m
II - 555
Piezometric head and velocity amount measured with piezometers and micro current
meters installed on experimental model have been compared with computed ones through
CFD model in all cases. Table 2 shows the amount of velocity, measured in experimental
model and computed through CFD model, in case of gate No.1 opening, where water level
in reservoir is 1341.5, 1326 and 1310m. Only micro current meters in front of the opened
gate were measured. As a sample, piezometric head variations in experimental and CFD
model in case of gate No.1 opening, where water level in reservoir is 1341.5, 1326 and
1310m are shown in Fig. 6.
Table 2. The amount of velocity, measured in experimental model and computed through CFD
model, in case of gate No.1 opening, where water level in reservoir is 1341.5, 1326 and 1310m
Water level Micro current meter Velocity at Velocity at
at reservoir (m) No. experimental model (m/s) CFD model (m/s)
4 Not measured 0.66
1341.5
8 Not measured 2.04
4 2.20 0.73
1326
8 2.40 2.03
4 2.45 0.22
1310
8 2.67 2.21
1350.00
1340.00
piezometric head (m)
1330.00
1320.00
1310.00
1300.00
1296
1302
1308
1314
1320
1326
1332
1338
1344
Piezometer installation elevation (m)
Piezometric head at experimental model(1341.5) Piezometric head at CFD model(1341.5)

Piezometric head at experimental model(1326) Piezometric head at CFD model (1326)
piezometric head at experimental model (1310) Piezometric head at CFD model (1310)
Figure.6 Piezometric head variations in experimental and CFD model in case of gate No.1
opening, where water level in reservoir is 1341.5, 1326 and 1310m
Estimation error of piezometric head amounts computed with CFD model, through RMSE
criterion, for gate No.1, 2, 3 and 4 opening states are shown in table 3.
II - 556
Table 3. Estimation error of piezometric head amounts computed with CFD model, through RMSE
criterion, for gate No.1, 2, 3 and 4 opening states
Gate No. Water level at reservoir (m) Estimation error of model through RMSE
1341.5 0.13
1 1326 0.25
1310 0.15
1341.5 0.39
2 1324 0.15
1321.5 2.42
1341.5 0.24
3
1331 1.63
1341.5 0.57
4
1337 0.77
The results of vortex observation in experimental and CFD model for gate No.1, 2, 3 and 4
have shown in table 4.
Table 4. The results of vortex observation in experimental and CFD model for gate No.1,2,3 and 4
Water level
Gate Type of vortex observed Type of reservoir observed
at
No. at experimental model at CFD model
reservoir(m)
1341.5 No vortex No vortex
1 1326 Type 1-unsteady No vortex
1310 No vortex Type2- surface dimple with coherent swirl at surface
2 1324 Type 1-unsteady Type 1-cohernet surface swirl
1321.5 Free flow Free flow
3 1331 Type 3-steady Type 3-cohernet swirl throughout water column
1330 Free flow Free flow
1341.5 No vortex Type 3-cohernet swirl throughout water column
4 1337 Type 2-steady Type2- surface dimple with coherent swirl at surface
1335 Free flow Free flow
Table 5 indicates the critical submergence of each gate, calculated using Knauss equation
(1987) derived based on Gordon (1970) and Hecker (1981) experiments for discharge of
intake equal to 20m3/s .
Table 5. Critical submergence of each gate, calculated using Knauss equation (1987)
Gate No. Froude No. of intake Mean velocity at inlet (m/s) Critical submergence (m)
1 0.41 2.22 3.96
2 0.41 2.22 3.96
3 0.41 2.22 3.96
4 0.41 2.22 3.96
6. CONCLUSIONS
The results indicate that, the most critical vortex type for different water surface levels in
reservoir is vortex type 3 and no negative pressure observed in intake system. According to
II - 557
the results attained from experimental and CFD model, critical submergence computed
through Knauss criterion is based on analytical relations at ideal conditions, neglecting
effects of some impressive parameters on flow, and is over estimated. Because in the CFD
model fluid is analyzed in real conditions and all of the parameters which are effective on
flow are studied, the results of the CFD model are similar to real flow conditions.
Therefore, a CFD model can be used as an accurate tool to analyze the turbulent flow in
intakes. As the results show, because of expansion, contraction and friction losses and also
transformation of pressure head to velocity, piezometric head decreases downward in the
tower. In some places because of velocity increment due to sudden expansion of conduit
area in gate locations, piezometric head become stable or locally increases. Minimum
estimation error of piezometric head through CFD model is 0.13m, in case of gate No.4
opening with water surface level equal to 1341.5m and the maximum value of that is
2.42m, in case of gate No.2 opening with water surface level equal to 1321.5m by RMSE
criterion. The mean estimation error of piezometric head is 0.67m. The results indicate
that, there is a good agreement between CFD and physical model. The maximum value of
velocity measured in experimental and CFD model is respectively2.96 and 2.52 m/s. As a
result a CFD model is an appropriate tool to investigate the flow characteristics in complex
geometries. Using a CFD model, flow parameters such as velocity, pressure, … can be
determined with high and user defined accuracy in each point of geometry.
REFERENCES
Streeter, V.L., Wylie, E.B. (1966): Fluid Mechanics, McGraw-Hill.

Entezari, A. (2006): Fluid Mechanics (
Beyrami, M.K. (2003): Water Conveyance Structures, Isfahan University of Technology,
Isfahan, Iran.
Shamsayi, A. (2004): Design and Construction of Reservoir Dams, Vol. IV Hydraulic
Structures, University of Technology and Science, Tehran, Iran.
Anonymous, (2001): FLUENT 6.0 User's Guide, Fluent Inc.
Anonymous, (2001): Final report of the hydraulic model of Aydoghmush Dams's Intake
System, Water Researches Center, Tehran, Iran.
Hite, J.E. and Mih, W.C. (1994): Velocity of Air-core Vortices at Hydraulic Intakes,
Journal of Hydraulic Engineering, ASCE, Vol.120 (3): pp. 284-297.
Marcano, A., Rojas-Solorzano, L., Reyes, M., and Marin, J. (2004): 3-D CFD Modeling-
investigation of Potential Vortex Formation at the Intakes of Caruachi Powerhouse,
Hydraulics of Dams and River Structures, pp. 61-68, London.
Mendenhall, W. and Sincich, T. (1994): Statistics for Engineering and Sciences, Prentice-
Hall Pub. Co. Inc., London.
Odgaard, A.J. (1986): Free-surface Air Core Vortex, Journal of Hydraulic Engineering,
ASCE, Vol.112 (7): pp. 610-620.
Yildirim, N. and Kocabas, F. (1995): Critical Submergence for Intakes in Open Channel
Flow, Journal of Hydraulic Engineering, ASCE, Vol.121 (12): pp. 900-905.
Yildirim, N. and Kocabas, F. (1998): Critical Submergence for Intakes in Still-water
Reservoir, Journal of Hydraulic Engineering, ASCE, Vol.124 (1): pp. 103-104.
Yildirim, N., Kocabas, F. and Gulcan, S.C. (2000): Flow-boundary Effects on Critical
Submergence of Intake Pipe, Journal of Hydraulic Engineering, ASCE, Vol.126 (4):
pp. 288-297.
Yildirim, N. and Kocabas, F. (2002): Prediction of Critical Submergence for an Intake
Pipe, Journal of Hydraulic Research, Vol.40 (4): pp. 507-516.
II - 558
INTERNA
ATIONAL SYMPOS
SIUM ON

ndonesia, Ju
DURING CONSTRUCTIION BEH

HAVIOR OF
O GHER
RMI-CHA
AI DAM
S. Gho
orbany
Geotechniccal Engineerinng Departmennt, Ashenab Consulting
Co Enggineers, Iran
m
M Akbarza
M. ad Ghamarri
Geotechniccal Engineerinng Departmen
nt, Ashenab Consulting
Co Enggineers, Iran
A. Mih
handoost
Dam
m department, Ashenab conssulting engineeers company,, Iran
ABSTRAC
CT:
Instruumentation is i a useful toool for evaluaating behaviior of embannkment damss during consstruction.
This paper
p descriibes the instrrumentation program
p of Ghermi chayy dam. The sstructural beehavior of
the dam
d during constructionn is interpreeted through h the recordds gathered ffrom the monitoring
system m. Ghermi chayc dam iss an 86 m highh fill dam withh central claay core that is being
earth-fi
consttructed acrooss the Gheermi chay riiver in the north west of Iran. Th The embankm ment and
founddation grounnd are instrumented aloong 4 cross sections wiith various ttypes of insttruments,
includding vibratinng wire piezzometers, tottal stress cellls, settlemennt meters annd inclinomeeters. The
consttruction of thhe dam body was started in the early 2008. Until September 22011, 61% off the dam
body was compleeted and 45% % of the insstruments weere installed.. A review oon monitorin ng results
illustrrates that majority
m of piiezometers have
h recordeed high negaative pore pressures imm mediately
after installing, especially ones o embeddded above the groundw dwater level. The perceentage of
settleement, and also, settleement profilles during constructionn are reasoonable. Add ditionally,
probaability of crracking in thhe core andd piping is evaluated according
a too the instrum
mentation
recorrds. Archingg ratios are estimated thhrough the results
r of tottal pressure cells. Archinng ratios
durinng earth fillinng prove no abnormality
a in the core and
a shell of thet dam.
Keyw
words: Instru
umentation, Piezometer,
P Settlement meter,
m Totall Cell Pressure
1. INTR
RODUCTION
Monitorring embannkment dam ms along witth design an nd construcction is of vvital importtance for
construccting safe dams.
d Sincee, dams are built at relaatively highh cost and dduration, anyy failure
in structture may leead to consiiderable losss of lives an
nd propertiees.
In generral, instrum
mentation annd monitorinng of dams are necessaary to: 1) pprovide reliaable data
for com
mparing the dam
d perform mance withh design excceptions, 2) to provide an early waarning of
abnormmal behaviorr and 3) to inncrease knoowledge aboout dam perrformance.
II - 559
This paper describes the evaluation of behaviour and structural safety of Ghermi Chai dam
based on the field instrumentation data during construction until February 2012.
2-GHERMI-CHAI DAM
Ghermi chai dam is a multi-purpose earth-fill dam with central clay core which has been
constructed on Ghermi chai river in the northwest of Iran, some 53 km to the northwest of
Mianeh city. The main purpose of this project is to supply 16×106 m3 water for irrigation,
20×106 m3 for drinking and, also, flood control. The capacity of the dam reservoir is 40×106
m3. The construction of the dam body started in early 2008. Until February 2012, 65% of the
embankment was completed.
The embankment height from bed rock is 86 m, height from river bed is 62 m, crest length is
730 m and crest width is 10 meters. In general, the clay core material is classified as CL and
SC according to USCS. Maximum size of shell material is 80 cm in diameter. The upstream
slope is protected against the wave action with dumped rip-rap comprising stones ranging
from 20 to 85 cm in diameter which is underlain by a suitable bedding layer.
The riverbed overburden is some 20 m thick recent alluvium with scatter boulders and mica
schist fragments. In order to construct the clay core, the riverbed alluvial was removed. The
riverbed overburden is underlain by crushed and partially weathered Granite with RQD value
from 0 to 41 percent. The permeability values that were obtained through field permeability
tests are in the order of 3×10-2 cm/s. This region was treated with cement slurry grouting. The
grout curtain grouting consist of 3 grouting lines with holes 2 m apart. The foundation
grouting closure criterion was set to 3 Lu, Houlsby (1985).
At the right abutment, the Granite is overlain by a layer of tuff and then a mass of mica schist
and then a mantle of fine-grained soils. The upper layer is combination of overburden material
such as clayey sand and sandy clay with low plasticity index. The left abutment of the Ghermi
chai dam consists of mica schist mass with anisotropic nature together with several totally
crushed and weathered zones. RQD values at the left abutment are in the order of zero. Field
permeability tests indicated that the mass permeability varies from 10E-2 to 10E-7 cm/sec.
However, the foundation ground at the right and left abutments was sealed against the
underground seepage with plastic concrete cut off wall.
In order to continue foundation grouting while the embankment was being constructed, also to
carry on the foundation ground instrumentation, and to perform service time inspections, an
inspection gallery was constructed beneath the clay core along the embankment longitudinal
axis in bed rock.
2- INSTRUMENTATION SYSTEM
Every instrument installed in a project should be selected and placed to assist in answering a
specific question, if there is no question, there should be no instrumentation, (Peck, 1969).
The design or analysis of an embankment dam basically addresses five fundamental

questions, (Dunnicliff 1993):
• Will the dam be stable under all expected loads?
• Will the deformations of the dam be acceptable under all expected loads?
• Will the quantity of seepage be acceptable?
• Will seepage occur in such a manner that internal piping of embankment foundation or
abutment soils does not occur?
II - 560
• Is the freeboard adequate to prevent overtopping during inflow design flood?
To answer the above questions, it needs to measure pore water pressure, total stress,
settlement of dam body and temperature. In Ghermi chai dam, various types of instruments
are installed along 5 principal cross sections at km 0+80; 0+100; 0+180; 0+259.4 and 339.2
(see Figure 1). Section 10, which corresponds to the deepest section of the dam, is shown in
Figure 2. The main instruments are summarized in Table 1. There are some other instruments
such as accelerometers and so on, that are not interest of this paper.
Figure 1. Plan view of instrumented cross section of Ghermi-chai dam
3- PORE WATER PRESSURE
Piezometers are the most common ones among the whole monitoring instruments. Mainly,
piezometers are installed at embankment dams in order to monitor seepage pattern and uplift
pressure on the foundation ground, and estimate phreatic water level in the dam body. During
construction stage, they can be used to measure elevated pore water pressures caused by earth
filling.
In Ghermi chay dam, 45% of high air-entry vibrating wire piezometers were installed in dam
body until February 2012. Peizometers installed in the core show high negative pore water
pressure immediately after installing. Figure 3 illustrates the response of piezometric water
level to earth filling at section 6. As shown, pore water pressure at piezometer No. 5
embedded at upstream of the core experienced negative pressure down to -80 kPa.
II - 561
Figure 2. Typical instrumented section of Ghermi-chai dam
Table 1. Predicted instruments in Ghermi-chai dam
Total
Instrument Location No.
No.
Open stand pipe Core 12
16
piezometer D.S. Filter 4
Vibration wire Foundation 18
42
piezometer Core 24
Core 23
Total pressure cell D.S. Shell 1 25
D.S. transition 1
Core 5
Inclinometer D.S. Shell 3 9
D.S. transition 1
Core 5
Settlement meter D.S. Shell 3 9
D.S. transition 1
Observation Well D.S. Shell 5 5
Closed stand pipe
D.S. Foundation 7 7
piezometer
This behavior may be caused by using the core material with high PI. During a piezometer
installation, sand filter of the piezometer saturated with water. Due to high PI of clay core,
water is absorbed by the surrounding soil. This happening causes suction and high negative
pore water pressure. But, by proceeding the filling, negative pressure dissipates.
However, peizometers No. 13 and 16 installed at levels below the river bed show positive
pore water pressures (see Figure 4). Maximum pore water pressure ratio, achieved during
construction is ru = 0.08 at section 10. The low value of ru, proves that no extraordinary excess
pore water pressure is developed during construction.
II - 562
Figure 3.
3 Variation of
o pore waterr pressure at section 6
Figure 4. Variation of
o pore waterr pressure at section
s 10
4- STRESS STAT
TE AND AR
RCHING EFFECT
E
In Gherrmi chai dam m, 25 vibratting wire tottal pressuree cells were installed inn order to assess the
stress diistribution, arching ratiio and possiibility of hy
ydraulic fraccture. Most of the cell
pressurees in the corre were embbedded togeether with piezometers,
p , due to evaaluating effeective
stress sttate. They are
a scatteredd at sectionss 6, 10 and 14.
1
Figures 5 and 6 present

p the magnitude of total pressure at seection 6 annd 10, respectively,
during the
t embankkment consttruction. Ceell pressure No. 44, whhich is instaalled on thee crest of
the insppection galleery in the coore shows total pressurre more thann that of othher cells insstalled at
the sam
me levels. It can be duee to the facct that stiffnness of the inspection gallery is higher
h in
compariison to the core materrial and it affects
a mag
gnitude of thhe pressurees measured d by cell
pressuree 44. This behavior is presentedd by the otther cell prressures insstalled at th he same
II - 563
positionn during coonstruction of the dam m. Actually, theses piezometers
p s are predicted for
evaluatiing the conncentrated sttress above the inspectiion gallery.
Figurre 5. Total prressure distriibution at secction 6
Figuree 6. Total preessure distrib

bution at section 10
In a hetterogeneouss earth-fill dam, soft core

c settles more than stiffer shell. Thereforre, shear
stresses redistributte along coore-shell intterface, andd it causes arching acttion. Conseequently,
vertical componentt of stress reduces in core. Simply y, arching raatio can be calculated from
f the
ratio of the total pressure obtaiined from monitoring
m to
t the pressuure which iss expected.
II - 564
Fig. 7 illustrates
i t variatioon of archinng ratio in the cell pressures off section 10
the 0 during
construcction stage. Accordingg to this figuure, arching
g ratio valuees are high at the begin nning of
the instaallation. It is
i probably due to the fact that the soil abovee the cell prressures waas highly
consoliddated in comparison to the suurrounding soil, and it led to nnon-uniform m stress
distribuution and high arching ratio valuees. Howeverr, they havee decreasedd by proceeeding the
earth fillling. For exxample, in the
t cell presssure No. 533, arching raatio changess from 1.4 to
t 1.
Figu
ure 7. Variattion of archin
ng ratio at seection 10
5- EM
MBANKM
MENT SETT
TLEMENT
T
Settlement meteers, with cirrcular magnnets at 1.5 m intervals in

i the core aand 3 m inteervals in
the shell, were installed
i aloong inclinommeter pipes. Base magnnets were innstalled on the crest
of thhe inspectioon gallery inn the core. Due to thee rigidity off gallery, base magnett records
showw settlementt of the founndation grouund.
Referring to Figg. 8, it is seen

s that maximum
m seettlement off the core at section 6 during
consttruction unttil today is equal to 0.886 % of thee 18 m heigght of the coore and in common
c
with most of the t other embankmen
e nt dams haas occurredd at 50 % of heightt of the
embaankment froom bedrockk.
Also, accordingg to Fig. 9, maximum settlement of the coree was develloped at secction 10,
approoximately 640mm,
6 thaat is equal to
t 1.3% of the 48 m height
h of thhe core. Diffferential
settleement betweeen the coree and the roock-fill is low
w and abouut 0.3 % at this section.
Magnnitudes andd profiles off settlementss at two sections of Ghhermi-Chai ddam are accceptable.
II - 565
Figure 8. Settlement profiles
p at secction 6 durinng constructioon
Figure 9. Settlement
S prrofiles at section 10 durinng constructiion
6-CO
ONCLUSIO
ON
• Peizomeeters installled in the core show w high negative poree water pressure
immediaately after innstalling. However,
H by
y proceedingg the filling, negative pressures
p
were disappeared.
• Maximuum pore waater pressuree ratio, achieved durinng constructtion, is ru = 0.08 at

section 10.
1 The low
w value of ru, proves thee safety of thhe dam.
• Total preessure cellss which are installed on n the crest of

o the inspeection gallerry in the
core show total presssure more than
t that off other cells installed att the same leevel.
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• Arching ratio values were high at the beginning of the installation. It is probably
due to the fact that the soil above the pressure cells was highly consolidated in
comparison to the surrounding soil.
• Magnitudes and profiles of settlements of Ghermi-Chai dam are acceptable.
REFERENCES
Ashenab Cons. Eng. (2012): Monitoring report of Ghermi chai dam during construction
stage.
Dunnicliff, J. (1993): Geotechnical instrumentation for monitoring field performance, John
Wiley and Sons Inc. New York.
Houlsby, A. C. (1985): Cement grouting–water minimizing in Issues in Dam Grouting,
ASCE Geotech. Engineering Division, Denver.
Peck, R.B. (1969): Advatages and limitations of the observational method in applied soil
mechanics, Geotechnique, Vol. 19: pp. 171-187.
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Estimation of Water Balance for Maninjau Hydropower using TRMM
and Discharge Data
Bambang Istijono
Department of Civil Engineering, Andalas University
Revalin Herdianto
Department of Civil Engineering, Politeknik Negeri Padang, Corresponding author
Dalrino
Department of Civil Engineering, Politeknik Negeri Padang
Adek Rizaldi
Balai Wilayah Sungai V Sumatera
Flow from Lake Maninjau in Agam Regent, West Sumatra, is used to generate a 68
megawatt hydropower and to irrigate 4200 ha paddy field. There are 19 rivers flowing into
the lake, with main rivers being Batang Limau Sundai, Batang Maransi, Bandar Ligin,
Jembatan Ampang, Batang Kalarian and Tembok Asam. Its outflow from hydropower
station flows to Batang Antokan which ends in the Indian Ocean in the West. Water
balance for both inflow and outflow from 2009 to 2012 show an increase from an average
of 5.8 m3/second to 23.53 m3/second. This condition raised a concern that rainfall input
cannot maintain sustainable water level. In addition, an instant discharge measurement on
25 and 26 March 2013 shows that input to the lake was smaller than the output. An initial
study suggested that the discrepancy is due to an effect of ground water. However, this
study did not confirm this through a field or model study.
The Tropical Rainfall Monitoring Mission (TRMM) has long been used as an auxiliary
data for both prediction of rainfall in ungauged basins and for simulation in hydrological
models that require spatially distributed rainfall input. We use daily TRMM data over the
Lake Maninjau catchment from year 2000 to 2010 TRMM in 0.5o x 0.5o grid resolution in
order to match ground measured rainfall. DEM (Digital Elevation Model) of SRTM
(Survey Radar Topographic Mission) CGIAR-CSI in 90-m resolution. The data are
validated using ground measured rainfall data from the station. Preceding studies show
that high rainfall is over estimated and low rainfall is under estimated. In our study, we
find that raifall flow is predominant during rainy season that contributes to dams outflow.
Yet we haven’t found any data that supports the contribution of subsurface flow into the
outflow.
Keywords: TRMM, DEM, rainfall, outflow
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1. Introduction
Lake Maninjau is situated in Tanjung Raya District, Agam Regent. The type of the lake is
tectonic volcano, comprising an area of 9.500 ha, 461 m above sea level. Tanjung Raya
district surrounding the lake has a total area of 24.400,03 Ha surrounded by steep topography.
Main rivers flowing into the lake are Batang Limau Sundai, Batang Maransi, Bandar Ligin,
Jembatan Ampang, Batang Kalarian dan Tembok Asam. Outflow flows solely through
Batang Antokan that ends in the Indian Ocean in the west. The outflow is used for hydro
power of 686 MW as well as for irrigation of paddy field of 4200 ha. Topography classes
consist of flat (0 – 8% slope), mild (8– 15%), fairly steep (15–25%), steep (25–40% ) and
very steep > 40%. Topography in the North-West is fairly flat (0-2% of 115,51 ha).
Topography in the East-South is hilly with slope of >15% as much as 95.79 ha.
Table 1. Inflow and outflow of Danau Maninjau

From instant measurement, 25-26 March 2013
Discharge
No. Tributaries/Location
m3/s
1 S. Maransi, Jorong Gasang Maninjau 0,044
2 Batang Air Karambia , Bayur 0,047
3 S. Rengah, Bayur 0,573
4 S. Bandar Katik, Bayur 0,588
5 S. Batang Banduran, Bayur 0,103
6 S. Banda Koto, Bacang Koto Malintang 0,063
7 S. Languang, Koto Malintang 0,058
8 S. Bandataruka, Jorong Pauah Koto Malintang 0,135
9 S. Sape, Jorong Pauah Koto Malintang 0,345
10 S. Tan Malayu, Jorong Rambay Koto Malintang 0,117
11 S. Muara Kurambi, Jorong Baruan Koto Gadang 0,751
12 S. Muara Suau, Jorong Baruah Koto Gadang 0,690
13 S. Jaus, Koto Gadang 0,497
14 S. Asam, Pasar Rabaah Koto Kaciak 0,636
15 S. Kulirah, Pasar Rabaah Koto Kaciak 1,227
16 S. Limau Sunday, Jorong Kugu Baru Maninjau 0,147
17 S. Balok Jorong Bancah, Maninjau 0,069
18 S. Tumayo, Jorong Kukuban Maninjau 0,036
19 S. Muara Pisang, Jorong Pasar Maninjau 0,316
Sum of inflow 6,442
Outflow
1 Batang Antokan 14.13
Source: Dinas PSDA Sumbar
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Instant measurement on 25 and 26 March 2013 shows that input inflow is smaller that the
outflow (Table 1). There is a discrepancy between inflow and outflow that cannot be
explained by hydrologic measurement alone. This condition raises a concern that it may
disrupt the operation of the hydropower since the outflow into Batang Antokan does not
reflect water use by turbine, and the outflow cannot be controlled by power plant operator.
This condition raised two hypotheses. First, the difference between outflow and inflow
results from subsurface flow from soil surrounding the lake. Secondly, the difference
results from direct precipitation on the lake surface. There is no research that has been
done to answer this question due to difficulty in measuring parameters related to the
problem. Therefore, indirect method is proposed in this study by the use of satellite data.
2. Methodology
Secondary data for rainfall, discharge, and land cover are gathered from Dinas PSDA
Sumatera Barat. Quantitative analysis is employed in this study. Topographic map is
processed from DEM (Digital Elevation Model) from SRTM (Survey Radar Topographic
Mission) CGIAR-CSI in 90 m. Rainfall data are processed from TRMM over Lake
Maninjau dari tahun 2000 to 2010 TRMM in 0.5o x 0.5o resolution. Sampling points are
taken around the lake (6 points) from the TRMM and are labelled as in Fig. 1. Data are
processed to obtained daily rainfall time series for further analysis.
Figure 1. Topographic map of Lake Maninjau and TRMM sampling positions.
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3. Results and Discussion
Rainfall data from Maninjau station from 1984-2000 shows that monthly rainfall
average is 299 mm, and annual rainfall over this period is 3661 mm. The wettest month
is November and the driest month is June. Annual rainfall exhibits a decline trend over
the period. For instance, in 1984 the rainfall is 1984, but in 2000 it drops to 2000 about
50 %.
Discharge for hydro power is approximately the same with outflow into the river.
Discharge measurement from 19 rivers flowing into the lake on March 26, 2013 shows
that total discharge is 6.44 m3/s. This discharge is fairly small compared to annual
average outlfow. There is an indication that some portion in the outflow comes from direct
rainfall and subsurface flow of the catchment.
70
60
50
A1
Curah Hujan (mm)
B1
40
C1
A3
30 B3
20
10
0
0 5 10 15 20 25 30 35
Tanggal
Figure 2. TRMM in March 2013
To confirm these hypotheses, we plot TRMM data in March. TRMM data shows that on 25
March there is rain around the lake. There is no rain on 26 March. Maximum point rainfall
is 63 mm. Assuming all rainfall flows into the lake surface, maximum discharge due to the
rain can be calculated as:
Q = (63/1000)x9500x10000/(24x3600) = 69.27 m3/second.
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that comes solely from the rain. If subsurface flow is taken into account, we need to
estimate time to reach the lake from topmost ridges and retained flow by local topography
after the rainfall event.
Figure 3. Inflow and outflow of Lake Maninjau 1983-2001 (Source: Dinas PSDA Sumbar)
Fig. 3 shows that fluctuation of outflow is almost in phase with the inflow. This indicated
that both surface precipitation and surface runoff may have significant contribution to the
outflow.
Table 2. Discharge in Batang Antokan in 2009-2011
No Month 2009 2010 2011

1 January 4,72 14,00 30,00
2 February 5,01 13,20 30,50
3 March 3,84 20,80 28,20
4 April 4,71 24,30 25,60
5 May 3,15 38,70 17,70
6 June 3,34 20,40 10,60
7 July 1,82 14,60 31,80
8 Agust 5,13 17,00 18,60
9 September 9,01 17,40 19,20
10 October 7,52 20,70 31,40
11 November 11,31 17,60 18,50
12 December 10,08 20,40 20,30
Average 5,80 19,93 23,53
Source: Dinas PSDA Sumbar
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Figure 4. Flow to hydropower intake in 1984.
Source: Dinas PSDA Sumbar.
Inflow and outflow between 1983-2001 shows that outflow is smaller than inflow.
In three years, there is an increase in the outflow of the Antokan. In the mean time there is
no increase in rainfall that contributes to the flow (Table 2). Theoretically, this is only
possible by subsurface flow. Yet, retention time from rainfall events to the subsurface
flow remained questioned.
4. Conclusion
Analysis of TRMM and ground-measured rainfall shows that the difference between inflow
and outflow comes from direct rainfall over the lake. Yet, TRMM alone does not explain the
remaining flow after rainfall events. This leads to another hypothesis that subsurface flow
plays an important role in the inflow magnitude. However, we cannot prove the contribution
of the tributaries in the inflow component. This is important in water conservation i.e.
priority area among the tributary’s sub catchment. There is an opportunity to study the
contribution od subsurface flow in the difference on inflow-outflow.
II - 573
Reference
Dinas PSDA Sumatera Barat. 2013. “Studi Konservasi Kawasan Danau Maninjau di
Kabupaten Agam Propinsi Sumatera Barat”.
Grayson, R. & Bloschl, G. (eds) 2000, Spatial Patterns in Catchment Hydrology, Cambridge
University Press, Cambridge.
Singh, V. P. 1989, Hydrologic Systems, 2 vols, Prentice Hall, Inc., New Jersey.
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Multiple Water-Tightening Systems in the Foundation of
Upper Gotvand Dam, Southern Iran
S. Mohammad, S.Y. Rohani, N. Ganjian, M. Rahimi-Dizadji
TABAN Water Development Engineering Company, Tehran, Iran.
eng.rahimi@gmail.com
Abstract
Here, the multiple water-tightening systems used in the foundation of Upper Gotvand dam are
investigated. The Upper Gotvand dam is a 246 m high Rock-fill with clay core dam, constructed
on the Karun River, serves power generation, flood control and irrigation needs. This dam is a
huge structure with about 4.5 billion cubic meters of water reservoir which is the 2nd biggest dam
in Iran.
The dam site lies in the Zagros Mountains of southern Iran. The geology of the dam site mainly
consists of conglomerate layers in Bakhtiari and Aghajari formations. The Bakhtiari
conglomerate is located on the abutments at levels above the river. Slightly folded Aghajari
Formation basically includes the whole width of the river channel and the lower parts of Left and
Right Banks. But the higher and the middle sections of the Right abutment consist of dislocated
and faulted Bakhtiari formation. According to the investigations, by using a continuous grout
curtain in the Right abutment, an anti-seepage measure could not be achieved. As a result, a
decision was made to use a plastic concrete cut-off wall as the water-tightening system for the
foundation treatment at the Right abutment.
Hence, the foundation water-tightness at the Gotvand Oliya Dam is mostly consisted of a grout
curtain. Moreover, a maximum 124 m high and about 700 m wide cut-off wall was built to
prevent reservoir seepage through the Right abutment, as the region has subsequently been
faulted. The characteristics of the material (plastic concrete and grout) were designed in such a
way as to ensure the required impermeability. Based on the investigations, in the interaction of
these two different water-tightening systems, fan curtains and some other facilities were
considered to reduce drainage flows.
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1- Introduction
Foundation water- tightening is one of the most effective factors in dam layout, determining
the dam type and design of this civil enormous structure. The purpose of foundation water-
tightening is reducing the hydraulic gradient and thus reduces the rate of leakage from
foundation. Therefore, the cutoff curtain or cutoff wall system is often used. Cutoff curtain
consists of grouting boreholes at defined intervals and usually considered in rock foundation
water- tightening. At the other side, cutoff wall is a deep trench excavated using bentonite mud
(for stability during excavation) usually filled by plastic concrete, considered wherever grouting
the foundation is not possible or it is economically not acceptable. Usually in design of dams,
depending on the foundation conditions, one of the said systems may be used for foundation
water- tightening.
Gotvand Oliya (Upper) Dam is one of the few large dams where for its foundation water-
tightening, combination of cutoff curtain and cutoff wall is used (due to its special geological
conditions). Obviously, using combined water- tightening system requires meet the specific
conditions at the connection point of the two systems and taking necessary measures. Also, due
to the possibility of deformations at right abutment of the dam, some measures are considered in
excavation of this cutoff wall within the area.
In this paper (refer to condition of foundation and studies in grouting possibility), the
specification of cutoff systems used in the dam and also the measures intended to combine
various water- tightening systems are described.
2- Geographical Location of Gotvand Oliya Dam and Power Plant
Gotvand Dam is located 480km from the beginning of the Karun River, 25 km North of
Shoshtar Town, and near the Gotvand Town (Figure 1). The Dam is the last high dam on the
Karun River. Karun River is the most important and most watery river and also the most critical
source of electrical energy in Iran. The river originates from Zagros Mountain and takes an
annual volume of more than 14 billion m3.
The dam body is rock fill type with clay core and in 178m height from foundation (Fig. 2).
Crest level is 244masl; with 17m width and 760m length. Reservoir volume at the maximum
operating level is 4,500 million m3 and 90km length; it is predicted that the size of earth filled for
dam body would be 26.6 million m3. Dam power plant is an open type in 2000MW capacity
which its average annual electricity generation is estimated in 4,500 GWh.
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Considering above mentioned informations, the main objectives of the Gotvand Dam and its
Powerhouse are control destructive floods, power generation to 2450 MW, and create
employment opportunities in agriculture and industry.
Fig.1: Location of Gotvand Dam
Fig. 2: The typical Section of Gotvand Dam
3- Geological Specifications of Gotvand Dam Site
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Generally, Aghajari and Bakhtiari formations as bedrock and current era sediments as
overburden form the Gotvand Dam Foundation area (Figure 3). Following, the details of each
mentioned formations are discussed briefly.
 Aghajari Formation
Dam foundation is located in the river bed consisted of Aghajari Formation up to 120masl.
The general lithology of this formation alternatingly consists of lime sandstone (gray to brown
with streaks of red chalk and marl), mudstone and siltstone which placed on Mishan Formation.
Sandstone layers consist calcareous and siliceous grains and generally dark to light gray color.
Mudstones are red to dark brown; irregularly fracture when exposed to air and moisture
reduction. These are shown in figure 3 with dark blue color.
 Bakhtiari Formation
This formation consists of limestone conglomerate and cherts that alternatively passes via
sandstone and lichen layers as well. Erosion in highlands and accumulation in the lowland foots
cause to the formation of the sediments.
The available conglomerate is gray with thick layers. Lateral changes in face and its closing in
lens shape is actually shows face changes in both vertically and horizontally.
In dam site and powerhouse area there is the contact between Bakhtiari and Aghajari
Formations in 120m level above sea level.
 Structural Ground Features at Dam Site
Within dam axis there is a local anticline which is incompatible with the Zagros Fold. It
seems that the main stress direction is horizontal north- south which jointly to vertical depth to
surface forces (due to deformable Gachsaran Layers) is effective in creation of local east -west
anticline.
At right bank, above the level of contact of Aghajari and Bakhtiari to steep wall toe at level
180m, there are series of steep faults in east -west direction, causes tilting in the components and
change in stratification. Stratification in the lower part is towards north and in the end part is
towards south which is due to syncline shape of primary sediment basin and large parts with
different sliding mechanisms covered this part. Because of that, the section is named as the
syncline with faulted masses.
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Fig. 3: Geological Section of Gotvand Dam Foundation
4- Specifications of Water-tightening System

Right abutment at Gotvand Dam which is located in Bakhtiari Formation includes two parts;
upper unstable mass and lower faulted mass. Existing the joints and cracks in the rock mass
(Especially in upper part), possibility of constructing the cutoff curtain using grouting boreholes
was doubted, so some different methods were reviewed for water- tightening in this area.
The unstable mass at right abutment is located within galleries at levels 190 and 246m.
Development of the mentioned part is along the dam axis between 150 to 200m. Figure 4 shows
the location of the said part. In the final design presented by the consultant, proposed water
tightening element in the area was cutoff wall. Alternate of the cutoff wall instead of cutoff
curtain due to open joints and partially filled ones (by clay) in instable rock mass is raised.
However, it should be noted that the construction of cutoff walls inside the gallery as an indoor
operation is very difficult and time consuming, also requires special indoor equipment.
Not to the said problems, the subject of review the possibility of grouting in order to
construct cutoff wall within the area is raised and in continue tried to finalize the possibility of
cutoff wall construction by trial grouting results.
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Fig. 4: Unstable Mass Location and Water- tightening Element
The trial grouting station is located on unstable Bakhtiari conglomerate at right side and at
approximately 246m level, in which two rows of holes, each consists of 7 grouting boreholes are
drilled.
Results of field investigations showed that by reducing the distance between boreholes, the
average amount of cement slurry feeding are generally decreased and when the distance of
borehole is approximately 0.5m, the feeding rate trends to a relatively acceptable level.
Meanwhile, the lugeon value by the last grouted boreholes in each row reduced and its average
value is generally less than 3. Investigations show that cement feeding and lugeon value does not
regularly follow depth value (as a certain function).
Anyway, although the cement slurry feeding value in conglomerate formations is high, but
totally speaking, this may improve general thinking on quality of unstable mass, in point of water
tightening possibility view by cutoff wall. For better investigation on grouting possibility in
unstable conglomerate mass within the area, this will be reviewed in separate sections:
A) Investigation of Rock’s Grout-ability
Grout-ability of conventional cement slurry in Bakhtiari conglomerate rock is relatively low.
But if a high blaine cement (6000 or more) instead of conventional cement is used, grouting
possibility of Bakhtiari conglomerate would be improved. So, for water tightening of dam sides
in Bakhtiari formations, especially for the left side, a high blaine cement slurry is used.
B) Review the Grout-ability in Rock Mass
Available reports say that the unstable rock mass has various joints, cracks and openings,
some filled by consolidated clay materials. So, water leakage of conglomerate unstable mass via
these discontinuity surfaces is high. Obviously, for water tightening the joints, cracks and said
discontinuity surfaces, the parts shall be filled by an appropriate mortar. There is a problem in
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the this regard; remarkable opening in some joints, leads to difficulties in borehole drilling and
grouting phases due to the escape of drilling mud or cement slurry.
Finally, according to the geological conditions and the said situation at right side of Gotvand
Dam, cutoff wall construction in maximum depth of 120m in the this area was foreseen in the
final design. Volume of plastic concrete used in the cutoff walls is 43,000m3 by advanced
technology and Hydrofraise.
In figure 5, the water-tightening system, consisting of cutoff wall and curtain, is shown.
Fig. 5: Cutoff Wall Construction at Right Abutment
5- Specifications and Method Statement of Cutoff Wall at Right Abutment

Cutoff wall at right abutment of Gotvand Dam is performed in stepped form. In other words,
each working phase has difference height than the next one. To complete the wall, first, to
establish a suitable bed, plinth concrete is placed and then consolidation grouting follows to
improve the foundation quality and create symmetrical settlement conditions. Then earth filling
continues to a height of at least 2m on the bed and the guide wall whose role is to guide
hydrofraise cutter during drilling (Fig. 6).
At the end temporary earth filling follows around the guide wall to create a temporary
platform to place Hydrofraise on it. After drilling and concreting works at each phase, temporary
drilling and guide wall is treated so the bed to be ready for the next phase of operations.
 Phasing and Constructing Temporary Platform at each Phase
According to Table 1, the works continues in 12 phases and in stepped form along with clay
core earthworks progress. According to the preliminary geological studies, for additional
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investigation of the technical issues and controlling the requirements before major operations,
drilling several test panels was planned. By complete the trial phase work and preparation of
executive works arrangements for cutoff wall first phase, earth filling work is completed to
planned level and then temporary earth filling continues to height of 2m. Then guide wall of
cutoff wall phase I, begins (Figure 7). After implement the panel coordinates in phase I, the
machine starts excavating after placement on the panels. In the same way, other 12 phases of
cutoff wall has been completed.
Fig. 6: View of Guide wall Construction and Drilling by Hydrofraise
Fig. 7: Phasing the Cutoff wall Construction at Right Abutment (Gotvand Dam Project)
Table 1: different phases Specifications of cutoff Wall at right abutments (Gotvand Dam Project)
Title Specifications
Name Phase Phase Phase Phase Phase Phase Phase Phase Phase Phase Phase Phase
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1 2 3 4 5 6 7 8 9 10 11 12
Panels 7 10 11 11 11 11 11 10 12 10 10 13
107.9 70.5
105 to 104 to 117.7 120 to
Depth of Panel to to 73 83-84 95-96 89-93 89-93 100
115.7 107.9 to 119 121.5
112.5 116.3
Level of
108 116.5 128.5 142.2 154.5 166.5 178.5 190.5 202.5 218.5 230.5 244
Platform
Phase duration 17.2 24.4 26.8 30.3 26.8 26.8 26.8 24.4 28.8 24.4 24.4 31.6
 Specifications of Mix Design of Plastic Concrete

Note to the type of materials used at site and to achieve the desired mix design which meets
the specifications requirements, some trial mix designs were prepared in laboratory. So to
achieve the best results, 85 mix designs are tested for cutoff wall and at last one which meets the
relevant requirements is used.
Accordingly, the technical specifications for concrete plastic used is as follows:
1- 28 days compressive strength of plastic concrete: 40 kg/cm2
2- 28-day elasticity modulus of plastic concrete: 50,000 to 120,000 kg/cm2
3- Maximum permeability: 10-7 cm/second
6- Using Geomembrane in Cutoff Wall Panels

One of the innovations in this project is placement the geomembrane at upstream of cutoff
wall panels to increase the safety coefficient of wall, note to the critical conditions and
displacement due to maximum credible earthquakes (MCE). Geomembrane used in cutoff wall
panels in Gotvand Dam is HDPE Type and presented in table 2:
Table 2: Specifications of the Geomembrane Used for Cutoff Wall Right Abutment (Gotvand Dam Project)
Item Unit Specifications

Geomembrane length m 110 120
Geomembrane width m 2.65 2.65
Geomembrane thickness mm 1.5 1.5
Density gr/cm3 0.0948±0.004 0.0948±0.004
Volume m3 0.437 0.477
Geomembrane total weight Kg 414 452
To place the geomembrane in panels the following steps are done:

1- Preparing a platform
2- Cutting geomembrane sheets to desired width and length
3- Excavating the cutoff wall
4- Placing geomembrane on the geomembrane sheet carrying sawhorse
5- Placing steel plate and connecting towing wire to the end of geomembrane sheet
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6- Transferring steel plate and geomembrane sheet into the panel by winch (Figure 8)
7- stabilizing the geomembrane sheet after transferring it into panel at the top of it
8- Concreting the cutoff wall panel and collect the geomembrane placement equipment
To excavate the cutoff wall panels as routine method in preliminary and secondary panels,
first two preliminary panels excavation will be done and after concreting them, excavation work
for secondary panels starts. The panels overlap 40cm of the original panels. Figure 9 shows the
preliminary and secondary geomembrane panels.
Fig. 8: Placement Method of Geomembrane in Panel and Relevant Equipment
Fig. 9: Placement of Geomembrane in Preliminary and Secondary Panels
7- Connection of the Cutoff Wall to Curtain

In order to ensure complete foundation water tightening, ensure proper connection between
plastic concrete cutoff wall to cutoff curtain at both ends of the longitudinal limits of the wall
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construction and also connection between the wall at upper part of the unstable mass to bottom
cutoff curtain (Figure 10) has been necessary. Therefore, different strategies and alternatives
were reviewed and ultimately the proper connecting system is selected. How to connect the
cutoff wall and curtain directly depends on the relative position of these elements. In the this
project, the right abutment cutoff wall exactly matches on dam axis and foundation curtain is
located in a distance of about 7m to the axis (the downstream side).
Fig. 10: Layout of Cutoff Wall and Curtain in Longitude Section at Right Abutment
As you can see in Figure 11, to longitudinal connect the wall to cutoff curtain, three options
were investigated: a) connectivity by grouting (angled grouting via main gallery, b) connectivity
using vertical grouting via picket in length of about 7m, c) construct transverse cutoff wall in 7m
length.
Based on previous investigations, at last the alternative of using transverse cutoff curtain has
taken priority. It means the first alternative is not used, note to difficulty in drilling the angled
boreholes and uncertainties resulting from potential errors and the third alternative (due to the
necessity of taking measures to connect the transvers cutoff curtain wall to cutoff curtain).
To connect the lower part of the wall to the curtain, as shown in figure 12, grouting in
boreholes in about 20 degrees- angled to the vertical boreholes is used.
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Figure 11: Details on Different Alternative for Connecting the Wall to Cutoff Curtain in Section 1
Fig. 12: Details on Connection of Wall to Bottom Cutoff Curtain in Sections 3 and 5
5- Conclusion
Gotvand Oliya Dam with 178m height is one of the few dams that due to certain geological
conditions, special measures have been taken in its water-tightening system. This paper, refer to
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foundation conditions and investigation results in its grout-abibility, goes for used water
tightening systems and special measures for combining the different systems.
Although in the middle section and the left abutment, slurry grouting (cutoff curtain) is used
for foundation water tightening, but at the right abutment in faulted Bakhtiari Formation (due to
open joints and some filled ones by clay and also results of trial grouting) grouting possibility of
rock mass, faces difficulties, so here plastic concrete cutoff wall is used.
Cutoff wall at right abutment of Gotvand Dam is performed in different phases (with
different elevations). Note to the materials used at the site and also to achieve the mix design
which meets the desired specifications requirement, some trial mix designs were tested at the
laboratory, and finally optimum mix design is selected.
In order to increase the safety factor, considering the possibility of large deformations in
faulted right abutment, critical conditions and displacement caused by the earthquake, some
measures are considered for cutoff wall construction in this area. These considerations are,
somehow, innovations in this project includes place the geomembrane at upstream cutoff wall
panels.
To achieve the complete foundation water tightening, by taking measures, plastic concrete
cutoff wall is connected to cutoff curtain. Given that right abutment cutoff wall is located exactly
on dam axis and cutoff curtain in a distance of about 7m from the axis (to downstream side), for
longitudinal connecting of cutoff curtain to cutoff wall, based on previous investigations, using
transverse cutoff curtain take priority.
6- References
1- Water- tightening the right abutment unstable mass at Gotvand Dam (Second Report:
Possibility of cement slurry grouting in order to construct a cutoff wall), 1388,
Department of Engineering and Quality in Sepasad Engineering Company.
2- Coyne et Bellier/ Mahab Ghodss Consulting Engineers, Upper Gotvand Dam & HEPP:
Geology of the project area, May 2005.
3- Moshanir, Upper Gotvand Hydroelectric Power Project, Preliminary Study, Volume 3,
Appendix, Part 2 (Geology and rock Mechanics), No date
4- Moshanir, CAITEC, Upper Gotvand Hydroelectric Power Project, Feasability Study,
Appendix 1, General Information, July 1997
5- Lahmeyer International, Upper Gotvand Hydroelectric Power Project, Feasability Study,
Appendix 20, Dam Design, Interim Review, June 1999
6- Lahmeyer International, Upper Gotvand Hydroelectric Power Project, Feasability Study,
Appendix 19 (Foundaton Investigations and Geotechnical Parameters), Appendix 20,
(Dam Design), Review Mission, November 1999
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Appendix 16, Geology – General, Reservoir and dam site area, August 2000
Appendix 19, Foundation Investigation and Geotechnical Parameters, August 2000 (plus
appendices consisting in test reports)
9- SMEC International Pty Ltd., Upper Gotvand Hydroelectric Power Project, Report No.3,
Report of the Geotechnical Engineer/ Engineeering Geologist, Second Design Review of
the River Diversion Scheme, March 2001
10- Coyne et Bellier/ Mahab Ghodss, Review of the seismic hazard analysis for the Gotvand
Dam, Report No. 6, September 2003
11- Mahab Godss/ Coyne et Bellier, Current status of geological and geotechnical
investigations, Rev. A, March 2004
12- Mahab Godss/ Coyne et Bellier, Geotechnical characteristics of the dam foundation, Rev
A, May 2004 (in print)
II - 588
INTERNA
ATIONAL SYMPOS
SIUM ON

ndonesia, Ju
Studiess on Creep
p Behavioors of Lia
anghekou Rockfill b
by Triaxiial Tests
LI Haiifang, WEN
N Yanfeng,, ZHANG Yinqi&SUN
Y N Geng
Departmentt of Geotechniical Engineeriing, China Insstitute of Wateer Resources aand Hydropow
wer Research
lihf@iw
whr.com
JIN
N Wei
Cheengdu Engineeering Corporaation
ABSTRAC
CT
Liangghekou rockf kfill creep beehaviors andd model werre studied thhrough triaxiial creep tessts which
perfoormed on thee large-scalee high pressuure triaxial creep test eqquipment. Th The test resullts shown
that in
i double-logarithmic cooordinates, under
u the hiigher stress levels, associations of the
t creep
with the time cann be approxiimated in a linear functtion, so a poower functionn ⁄ was
propoosed to descrribe the creep
ep. The modeel contents tw wo parameteers, the initiaal creep and the creep
indexx, which can be obtainedd from creep tests. The ro ockfill creep mechanism and factors affecting
modeel parameterrs were anallyzed, and we w found thee initial creeep of rockfill increases with the
increease of stresss levels and the
t creep inddex decreasees with the inncrease of sttress levels due
d to the
comppaction of thee rockfill sammple. The setttlement of roockfill dams after construuction was very
v large
but could
c not be reflected byy the timely independen nt constitutivve relation. T
Then the com mparison
betweeen the creepep and the coonventional deformation n of the rockfkfill was anaalyzed. Theree are two
concllusions abouut the compaarison (1)Thee ratio of thee axial creepp to the totall strain of the rockfill
increeases as the increase
i of the
t stress levvel. (2)Both ratios for axxial and voluumetric creep p to total
strainn decrease byy the increasse of the conffining pressu
ure.
Keyw
words: soil mechanics;
m roockfill; creepp behavior; model
m param
meter; triaxiaal test
1. IN
NTRODUC
CTION
The deformationn of rockfilll dam deveelops during g and after construction

c n and generrally can
last for years. After the great
g deform mation occcurred in thhe concretee face rock kfill dam
(CFRRD) of Tiannshengqiao first level hydropoweer station soome researcchers such as Yang
Jian etc. recognized that the rockfill creep was w the main reason for its occcurrence.
Therrefore, the creep effect of the rockffill should be b paid morre attention. Shen Zhujiang etc.
condducted the creep
c test of
o the rockfill earlier and first suuggested thhe three parrameters
hypeerbolic and then the exxponential creepc modeel. Liang Juun and Liu H Hanlong coonducted
severral creep tests of the roockfill utilizzing large-sscale comprression instrruments, alsso found
the exponentiall attenuatioon charactteristics of the creepp. Wang Y Yong, Yin Zongze
form
mulated a creeep model for f the CFR RD. Cheng Zhanlin andd Ding Honngshun inveestigated
the creep
c by laarge-scale sttress controol triaxial equipment.
e Meanwhilee, for the design
d of
rockffill dam in China, moore studies have h been done
d focusiing on the creep analy yses. Mi
II - 589
Zhankuan, Shen Zhujiang, Li Guoying, Guo Xingwen, Wang Dexin, Cai Sin, Dong
Lichuan, Xie Xiaohua etc. conducted the creep analysis of several CFRD. Reiko Kuwano
etc. reported research achievements on the creep of Ham sand and glass beads.
In recent years, high rockfill dams were constructed and several 300m level rockfill dams
will be built in the recent future. With the increase of the stress level in the dams, the
long-term deformation issue of the dam becomes more prominent. It is necessary to
systematically grasp the creep under the high stress through tests and build an appropriate
model for the design of rockfill dams accordingly. Combined with the earth core rockfill
dam (the height of 293.50m) of Lianghekou hydropower station, the creep was studied
thoroughly by large-scale triaxial creep test equipment newly developed. The mechanism
of the creep was analyzed, the creep models were proposed and the factors influencing
creep parameters were also discussed.
2. EXPERIMENTAL METHOD
The creep tests were performed on the large-scale high pressure triaxial creep test
equipment newly developed by China Institute of Water Resources and Hydropower
Research. The axial load and the confining pressure were both applied by dead weight and
hydraumatic loading. The equipment could provide constant loading for a long time and
measure unsaturated sample variables. The sample size was Ф300×700mm, with maximum
soil particle diameter of 60mm. The rockfill was from Zuoxiagou material yard of
Lianghekou hydropower station and their in-site and experimental grading curves are
shown in Figure 1. The sample dry density was 2.12 g/cm3. The maximum confining
pressure was set at 3.0 MPa, and the stress levels (L) were 0.2, 0.4, 0.6 and 0.8 respectively.
The Zuoxiagou rockfill is slate and non-linear friction angles are ф0= 49.1° and Δф =
8.1°as shown in Figure 2.
Samples were saturated by hydraulic water. The confining pressure was applied to the
sample and then pore water was drained out from it. After that, the axial load was applied
on the sample and maintained stable. When the axial strain was less than 5×10-5 in 24hrs,
the next level axial load would be applied on the sample.
100
In site 90
Percentage by weight
gradation 80
Test gradation 70
smaller/%
60
50
40
30
20
10
0
1000 10 0.1
Diameter of grain/mm
Figure 1. Grading curves of in site and reduced scale rockfill
II - 590
ure 2. Strenggth curves off Zuoxiagou rockfill
Figu
3. CR
REEP BEH
HAVIORS OF ROCK
KFILL
3.1. Creep
C of Rockfill
R
Durinng the testts, sample deformationns under direct d estim

mation were total deformation.
Geneerally, the creep
c and thhe elastic-pllastic strain should be separated inn order to study the
creepp law. How wever, up too now theree is still no widely acccepted divissional stand dard yet.
Accoording to the rockfill crreep test ressults, some trends regarding the crreep were id dentified.
Withh the axial load appliedd, the rockfiill showed rapid
r deformmation, thenn slowed do own and
finallly maintainned stable. When
W the deeviatoric strress level waas high, thee strain ratess usually
tendeed to stabilize 1h afterr loading. When
W it waas low, the deformation took lesss time to
stabiilize. Thus, our study toook 1h as thhe boundary y of the elasstic-plastic aand the creeep strain.
The deformationn after 1h would
w be defined
d as th
he creep. Reference
R annd also adoopted the
samee separationn method.
The typical
t assoociations of the creep with
w the timee are shownn in Figure 3 and the beeginning
pointts are 1 houur since the axial
a load iss applied.
10
10
Volumetric creep/%
1
Axial creep/%
L=0. 2
0
0.1 L=0. 2 0.1 L=0. 4
L=0. 4 L=0. 6
L=0. 6 L=0. 8
L=0. 8
0.
. 01 0.01
1 10 100 10
0 00 10000 100000 1 10 100 1 000 10000 100000
Time/min Time/min
n
(a) Axial
A creep strain
s (b) Vollumetric creeep strain
Figgure 3. The variations
v of creep strain with time off Zuoxiagou rockfill
（L - shear
s stress level,
l confiniing pressure 1.0MPa）
3.2. The
T Creep Model of Rockfill
R
A creeep model isi a mathem matical equaation and geenerally shoould be a siimple function. The
methhod to estabblish the creeep model can
c be basiccally categoorized into two ways. One is a
theorretical apprroach, by which
w the creep mod del is repreesented by combining g several
well--known rheeological models,
m suchh as hookeer elastomeer, Newton viscous bo ody and
Saintt-Venant plaastic body etc. The othher way is an empiriccal method bby which th he creep
II - 591
model is obtained by choosing a suitable mathematical function to fit the test curve that
indicates the relationship between the creep and the time. Our study adopted the second
approach. As shown in Figure 3, in double-logarithmic coordinates, under the higher stress
levels, associations of the creep with the time can be approximated in a linear function.
For different confining pressures, these relationships were similar. Therefore, we could use
the power function to represent them,
(1)
In the equation above, , the mid-time point in the creep test, here we chose =5011min,
in order to avoid unreasonable affection of the loading. Accordingly a is the creep strain at
this time which can be called axial (or volumetric) initial creep. b is the slope of the fitting
curve from the mid-time point to the end of the test, indicating the creep rate of sample,
and can be called the axial (or volumetric) creep index.
3.3. Determination of Creep Parameters
0.3
4 CP0.5
CP0.5
3.5 CP1.0
CP1.0 0.25
Axial initial creep/%
CP2.0
CP2.0
Axial creep index
3 CP3.0
CP3.0 0.2
2.5 EXP(CP0.5) EXP(CP0.5)
EXP(CP1.0) EXP(CP1.0)
2 0.15
EXP(CP2.0) EXP(CP2.0)
1.5 EXP(CP3.0) EXP(CP3.0)
0.1
1
0.05
0.5
0 0
0 0.2 0.4 0.6 0.8 1 0 0.2 0.4 0.6 0.8 1
Stress level Stress level
(a) Axial initial creep (b) Axial creep index

Figure 4. Relationship between axial creep strain and stress level of Zuoxiagou saturated rockfill
(CP0.5-confining pressure 0.5Mpa)
Because the axial loads were applied incrementally, the stress level in the samples was
increased by grades. Thus under a stress level (L), the axial creep should be the
accumulation of the creep strains occurring at this stress level and those developed before.
Take the saturated Zuoxiagou rockfill creep test result as an example, shown in figure 4(a),
axial initial creep (the subscript a means axial) increases with the increase of the stress
level, which could be described by exponential functions approximately as following:
. .
0.076 0.01 (2)
where, L --stress level; --confining pressure, MPa.
In the loading process, some phenomena could be identified. The sharp corners of some
particles in the sample were broken and others slided. The sample density would gradually
increase under successive loadings so that its creep rates would reduce gradually. Therefore,
the axial creep index decreases with the increase of the stress level, which can be described
by exponential functions as following:
. .
0.4289 0.0798 (3)
II - 592
3.5 CP0.5 0.6
Volumetric initial creep/% CP0.5
CP1.0
3 CP1.0
Volumetric creep index

CP2.0 0.5
CP2.0
2.5 CP3.0 CP3.0
LIN(CP0.5) 0.4
EXP(CP0.5)
2 LIN(CP1.0) EXP(CP1.0)
LIN(CP2.0) 0.3
1.5 EXP(CP2.0)
LIN(CP3.0) EXP(CP3.0)
0.2
1
0.5 0.1
0 0
0 0.2 0.4 0.6 0.8 1 0 0.2 0.4 0.6 0.8 1
(a) Volume initial creep (b) Volumetric creep index

Figure 5. Relationship between volumetric creep strain and stress level of Zuoxiagou saturated
rockfill (CP0.5-confining pressure 0.5MPa）
Similarly, as shown in Figure 5, the volumetric initial creep (the subscript v means
volumetric) increases with the increase of the stress level but decreases with the increase of
confining pressure. The relationship between the volumetric initial creep and the stress
level can be represented by a liner function. However, the volumetric creep index
decreases by the increase of both the stress level and the confining pressure, and its
relationship with stress level can be represented by exponential functions as following:
3.8944 0.7152 0.2302 0.5184 (4)
. .
0.477 0.1657 (5)
Hence, the relationship among the axial creep, the volumetric creep and the time of
Zuoxiagou saturated rockfill can be represented respectively as following:
. . . . . .
0.076 0.01 (6)
. . . .
3.8944 0.7152 0.2302 0.5184 (7)
Where, is the axial creep strain, is the volumetric creep strain, =5011min.
From the analysis, the relationships between the creep and the time under the confining
pressure 1.0 MPa were shown in figure 6. In Fig. 6, it is seen that the computed curves (FC)
by Eq (6) and (7) basically reflect the creep variation with time.
4 3.5
3.5 3
L=0.2 L=0.2
Volumetric creep/%
3 L=0.4 2.5 L=0.4

Axial creep/%
2.5 L=0.6 L=0.6

L=0.8 2 L=0.8
2 FC(L=0.2) FC(L=0.2)
1.5
1.5 FC(L=0.4） FC(L=0.4)
FC(L=0.6) 1 FC(L=0.6)
1 FC(L=0.8) FC(L=0.8)
0.5 0.5
0 0
0 5000 10000 15000 20000 0 5000 10000 15000 20000
Time/min Time/min
(a) Axial creep (b) Volumetric creep

Figure 6. Comparison of test data and the fitting curves (FC)
II - 593
3.4. Comparisons of Creep Model Parameters for Several Rockfills
The unsaturated Zuoxiagou rockfill creep and the mixture rockfill creep of Lianghekou
hydropower station were also studied and their creep behaviors were similar to those of the
saturated Zuoxiagou rockfill. The variations between the creep with the time could be
described using the power function and all the creep model parameters is summarized in
Table 1.
Table 1. Creep Parameters of Several Rockfill

rockfill type initial creep creep index
axial . . . .
Zuoxiagou 0.076 0.01 0.4289 0.0798
saturated volumetric 3.8944 07152 0.2302 0.5184 0.477 . .
0.1657
.
Zuoxiagou axial 2.8681 0.053 .
unsaturated volumetric . . .
2.2402 0.1293 1.3602
Mmixture axial 3.5902 . 0.0339 .
rockfill volumetric . . .
5.1415 0.791 0.0262
Note: L --stress level; --confining pressure, MPa
A piston was placed in a tube connecting the confining pressure pump and the traxial cell.
An inner displacement transducer could measure the displacement of the piston. The
product of the piston displacement and the sectional area of the tube was identical to the
volumetric variation of the water in the traxial cell, and changed with the volumetric
variation of the sample. Here we defined the product as the unsaturated volumetric
variation whether the sample was saturated or not. For the saturated sample, the product
should equal to the water volume that was drained out from the sample and could be
defined the saturated volumetric variation. The equivalent association could also be
utilized as a criterion of the reliability of the unsaturated volumetric variation estimation
According to the comparison of the saturated and the unsaturated volumetric strains of a
saturated sample in 150hrs, both of the measured results were reasonably similar, as shown
in Figure. 7.
3
Satured
2.5
Volumetric strain/％
Unsatured
2
1.5
0.5
0
0 2000 4000 6000 8000 10000
Time/min
Figure 7. Comparison between the saturated and unsaturated volumetric strains
Generally speaking, the axial deviatoric stresses are the main causes for the axial strains.
Although the confining pressures can also cause the axial strains, the effects are relatively
smaller. Moreover, the creep defined in our study refers to the deformation 1h after axial
loading so that the affection of the confining stress to the axial creep gets smaller, as shown
in Figure 8. Therefore, in order to make the model simple and practical, only the effect of
the deviatoric stress (stress level) was considered in the axial creep of the unsaturated
Zuoxiagou and the mixture rockfill. The researchers studied the creep strain of Jiudianxia
II - 594
hydropower station CFRD and Xilongchi pumped-storage hydropower station CFRD
before, the results of those studies also reported the similar laws.
3
L=0.2
2.5 L=0.4
L=0.6
Axial creep/%
2 L=0.8
1.5
0.5
0
0 1 2 3 4
Confining pressure/MPa
Figure 8. Axial creep of Lianghekou mixture
3.5. Comparison between the Creep and the Conventional Deformation of the
Rockfill
Duncan - Chang etc. stress-strain constitutive relation is based on the strain control triaxial
test results that the stress and the strain are corresponding with each other but timely
independent. Literature claimed that the settlement of rockfill dams after construction was
very large but could not be reflected by the timely independent constitutive relation. Thus,
the fraction of the creep to the total deformation attracts great attention.
As shown in Figure 9 (a), when the stress level is 0.2, the axial creep accounts for around
11% ~ 24% of the total strain of the rockfill. The proportion of the axial creep in the total
strain increases gradually by increase of the stress level. When the stress level increases to
0.8, the proportion is around 17% to 37%. In addition, the proportion of the axial creep
decreases with the increase of confining pressure.
0.5 1
Ratio of axial creep to total
CP0.5 CP0.5
Ratio of volumetric creep to
CP1.0 CP1.0
0.4 0.8
CP2.0 CP2.0
CP3.0 CP3.0
total strain
0.3 0.6
strain
0.2 0.4
0.1 0.2
0 0
0 0.2 0.4 0.6 0.8 1 0 0.2 0.4 0.6 0.8 1
Figure 9. The ratio of creep to total strain of saturated Zuoxiagou rockfill

(CP0.5-confining pressure 0.5MPa）
The ratio of the volumetric creep to the total volumetric strain is impacted by confining
pressure significantly as shown in Figure 9 (b). When the confining pressure is at a lower
level, the total volumetric strain of the sample is smaller so that the ratio of volumetric
creep to the total volumetric strain is relatively larger. With the increase of confining
pressure, the total volumetric strain of the sample increases gradually, which causes the
decrease of the volumetric creep ratio. The ratio is influenced less by the stress level.
II - 595
4. CONCLUSION
This study investigates the relationship between the creep and the time as well as the stress
level etc. through the large-scale triaxial creep tests of the rockfill of Lianghekou
hydropower station. Several conclusions are obtained as following:
(1) The axial and volumetric creep characteristics of the rockfill of Lianghekou power
station can be described by the power function ⁄ . This equation includes two
parameters: the axial (or volumetric) initial creep a and the creep index b used to describe
the rate of creep. They can be obtained from creep tests.
(2) The axial (or volumetric) initial creep of rockfill increases with the increase of stress
levels. The creep index decreases with the increase of stress level due to the compaction of
the rockfill sample. The axial creep is not impacted much by the confining pressure but the
volumetric creep decreases with the increase of the confining stress.
(3) The ratio of the axial creep to the total strain of the rockfill increases as the increase of
the stress level. Both ratios for axial and volumetric creep to total strain decrease by the
increase of the confining pressure.
ACKNOWLEDGEMENT
This work was supported by the National Natural Science Foundation of China (Grant No.
50679091) and 973projects (No. 2013CB036400 and No. 2013CB036404).
REFERENCES
Shen Zhujiang, Zuo Yuanming. (1991): Study on Rheology Chracterastics of Rockfill, Proc.
of the 6th China soil mechanics and foundation engineering Conference. pp.443–446 ,
Tongji University Press, Shanghai, China.
Shen Zhujiang, Zhao Kuizhi. (1998): Back analysis of creep deformation of rockfill dams,
Journal of Hydraulic Engineering, No.6, pp. 1-4.China.
Yang Jian. (2001): Concrete Face Rockfill Dam Settlement Analysis of the Tianshengqiao-1
Hydropower Station. Yunnan water power, 17:2, pp.59-63, China.
Liang Jun, Liu Hanlong.(2002): Creep test for rockfill of CFRD, Chinese Journal of
Geotechnical Engineering, 24:2,pp. 257-259,China.
Liang Jun, Liu Hanlong, Gao Yufeng. (2003): Creep mechanism and breakage behaviour
of rockfill. ROCK AND SOIL MECHANICS, 24:3, pp. 479-483,China.
Wang Yong, Yin Zongze.(2000): A rheology model of rockfill used in the rheology analysis
of concrete face rockfill, ROCK AND SOIL MECHANICS, 21:3,pp. 227-230,China.
Wang Yong. (2000): ANALYSIS ON RHEOLOGY MECHANISM AND STUDY METHOD
OF ROCKFILL. CHINESE JOURNAL OF ROCK MECHANICS AND
ENGINEERING, 19:4, pp. 526-530,China.
Wang Yong, Yin Zongze.(2000): Analysis of Effects of Rockfill Rheology on Deformation
and Stress of Force Slabs of Concrete Face Rockfill Dams, Journal of HEHAI
UNIVERSITY, 28:6, pp.60-65 ,China.
Cheng Zhanlin, Ding Hongshun.(2004): Creep test for rockfill. Chinese Journal of
Geotechnical Engineering, 26:4, pp. 473-476,China.
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Mi Zhankuan, Shen Zhujiang, Li Guoying. (2002)：Creep model for high concrete face
rockfill dams，HYDRO-SCIENCE AND ENGINEERING, No. 2, pp.35-41, China.
Guo Xingwei, Wang Dexin, Cai Xin, Dong Lichuan. (1999): Rheological analysis of
concrete faced rock-fill dam, Journal of Hydraulic Engineering, No.11，pp.42-47,
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Xie Guohua, Li Guoying. (2001): Stress-deformation analysis of Chengping
concrete-faced rockfill dam, Chinese Journal of Geotechnical Engineering, 23:2,
pp.243-246 ,China.
Reiko Kuwano and Richard J. Jardine.(2002): On measuring creep behaviour in granular
materials through triaxial testing. Can. Geotech. J. Vol.39, pp1061-1074,China.
Li Haifang, Zhang Qingcheng, Xu Zeping, Wen Yanfeng, Chen Nong. (2009): Xilongchi
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Proposing optimum concrete mix design in RCC dams

Nima Tavakoli Shirazi

Msc Civil Engineering, Department of Civil Engineering, International Campus of university of Sistan and
Baluchestan, Chabahar, Iran
nima.tavakoli@gmail.com
Gholamreza Azizyan
Assistant Professor, Department of Civil Engineering, Faculty of Engineering, University of Sistan and Baluchestan,
Zahedan, Iran
Alireza Negahdar
Assistant Professor, Department of Civil Engineering, Faculty of Engineering, University of Mohaghegh
Ardabili, Ardabil, Iran
ABSTRACT:
RCC dams are similar to earth dams regarding to cost and similar to concrete dams based on
safety condition. The design of RCC dams are based on suitable mix design for enough
permeability coefficient, low cost, low probability of separation, more strength and safety. In this
paper, the optimum mix design is proposed based on three control factors including: strength of
concrete samples, project total cost and separation during transportation and/or compaction. The
meaning of optimum mix design is to use minimum amount of cement and maximum amount of
pozzolans relative to cement. Based on the experimental results, for an economic project, the use of
Fly ash pozzolans with low lime and also natural pozzolans are more suitable in comparisons to
the other pozzolans. To reach the maximum dry density for better permeability, it is proposed to
mix: 6.5% water, 40% to 50% of water/cement ratio and 20% to 25% fine aggregate. These will
cause to reduce the cement quantities from 90 to 75 Kg and increase of pozzolans from 100 to 120
Kg per one cubic meter of concrete.
Keywords: RCC dam, concrete mix, Roller compacted concrete
1. INTRODUCTION
Rolled Compacted Concrete (RCC) dams are considered as a construction method not as a
material. This method has been used for the first time to final covering the roads. The
initial definition of this sort of concrete are considered as: concrete with zero slump and
very low water per cement ratio, which the work will complete with using machinery
equipment, transportation, spread and compaction. RCC was initially developed to produce
a material exhibiting the structural properties of concrete with the placing characteristics of
embankment materials. The result was a material that, when properly designed and
constructed as a gravity structure, should be more economical than comparable earth-
rockfill and conventional concrete structures. To achieve the highest measure of cost
effectiveness and a high-quality product similar to that expected of conventional concrete
II - 598
structures, the following RCC design and construction objectives are desired: RCC should
be placed as quickly as possible; RCC operations should include as little manpower as
possible; RCC design should avoid, as much as possible, multiple RCC mixtures and other
construction or forming requirements that tend to interfere with RCC production; and RCC
design should minimize complex construction procedures. RCC structures have been
designed for a wide range of performance conditions, from low-strength more massive
structures to high-strength less massive structures. It is critical that the design of the
structure be coordinated with the performance requirements for the RCC material and the
specification requirements for construction.
Roller compacted concrete started with a paper from Professor Jerome Raphael at Berkley
University with adding the cement to the aggregate from the dam’s excavation on
foundation and compacted by vibration. In this case a good shear and compression strength
have been shown with using cement to increase strength, so the section area of the soil can
be reduced, and the cost also can be reduced sharply. Rolled compacted concrete with soil
and cement and similar mixture with using the aggregate greater than 19 mm (this
aggregate have the similar property at the normal concrete), are different. But in general
the soil and cement mixture has low strength with comparison to the rolled compacted
concrete. Advantages of using this concrete are high making speed, simple
implementation, and the possibility of making stair overflows. Considering the fact that,
using Roller concrete in building dams causes decrease in molding costs, consuming less
cement, deleting concrete cooling pipes in overflow body, deleting longitudinal crevices
and decreasing the dimension of water deviation system due to decreasing dam building
time period, it is economical. The important point in Roller concrete dams is finding the
best composition of concrete by considering available materials and implementation
methods “Schrader, N. and Ernest K., (1988)”.
The principles of design specified in EM 1110-2-2200, “Gravity Dam Design,” apply to
RCC gravity dams. However, there are differences in the requirements for uplift within the
body of the dam, and there are additional testing requirements to ensure adequate safety
factors to protect sliding. RCC dams are generally no reinforced and must rely on the
concrete strength in compression, shear, and tension to resist applied loads as well as
internal stresses caused by non-uniform temperatures.
Advantages of rolled compacted concrete are as follows:
Speed, 4 meter vertical construction per week.
Simple in construction (similar daily horizontal purring for each lift).
Capability of separate or steps sort of construction in the head.
Minimized diversion and cofferdam.
Integral spillways and appurtenant structures.
Economical advantages are as follows:
Reduces the cost of formwork.
Low cement quantities.
Omitted the cooling pipes for concrete in the head.
Deleted the longitudinal joints.
Reduce the dimensions of water direction in effect of short time construction.
The most important view to using the RCC dams is described as:
The best mix design with using the existing material in the site.
Methods of construction.
High speed in construction.
Economical ability of the employer.
II - 599
The workability of the RCC mixture has played a significant role in seepage control, where
more workable mixtures (Vebe times < 30 sec) have generally produced improved lift joint
bond and water tightness. Some RCC dams constructed with less workable mixtures (Vebe
times > 30 sec) (socalled lean RCC) have experienced seepage at the lift joints where
segregation and/or incomplete compaction resulted in voids at the lift joint. Workable RCC
mixtures can reduce compaction effort and improve compaction consistency, reducing
overall permeability of the parent RCC. More significantly, workable mixtures have
reduced segregation at the lift joint and have improved lift joint bond, resulting in lower
permeability of the lift joint area and reduced seepage. At Monksville Dam, Hansen and
Reinhardt (1991) reported that lower NMSA (from 75 to 50 mm (3 to 2 in.)) and increased
sand content (40 percent) resulted in reduced segregation potential and reduced voids.
Hansen and Reinhardt (1991) also reported at Arabic Dam that increased sand content (40
percent) assisted in reducing permeability of the RCC “Hansen, K.D., (1992)”.
2. DIFFERENT VIEWS IN THE DESIGN OF RCC DAMS
2.1. Geotechnical Engineering View
Based on practical assumption for specific compaction energy with optimum moisture, the
dry density of the material in effect of compaction would be in maximum range. In the
case of increasing the compaction energy in the less optimum moisture, more dry density
will be appearing. In this view strengthening of the soils with cement are considered and
the aim is to reach to the similar optimum moisture and dry density. In these mixes the
porosities are not filled and the amount of cement is less than 120 Kg per cubic meter.
Advantages of this view are as follows:
Aggregate separation in the spreading is the main problem.
The thickness of each lift for compaction is 30 cm.
The seepage is to be control by the water stop at the top.
Concrete is less than 45 minutes vibration, so the cement paste is not move above and the
porosities not fill enough.
2.2. Concrete Engineering View
In this view RCC are considered as normal concrete with using the suitable aggregate, the
strength of RCC is in opposite direction with relation to the water per cement ratio.
Advantages of this view are as follows:
Assumption is based on enough cement paste to fill the porosities. So the aim of low water
per cement ratio is to fill all porosities in the concrete.
Cement quantities more than 120 Kg per cubic meter.
The thickness of each lift for compaction is 30 to 75 cm.
The seepage is decreased by properties of pozzolans.
The time of V.B. for moving the cement paste to the top and fill the porosities are
maximum 45 minutes. The properties of hardened RCC are similar to those of
conventionally placed mass concrete (CMC). Where differences exist, they are generally
due to the lower water content in RCC, differences in void content, or slight aggregate or
other material differences. The range of possible RCC properties may be wider than for
CMC due to the wider range of aggregate qualities used in RCC, the use of lower
cementations material contents, and the use of significant amounts of mineral filler on
some projects. The variation of RCC properties for some projects may be greater than that
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for CMC if greater variation exists than usual for materials quality or compaction. This
chapter provides information on hardened RCC properties including strength, elastic
properties, tensile strain capacity, creep, volume change, thermal properties, permeability,
density, and durability. ACI 207.5R, “Roller Compacted Mass Concrete,” presents
additional data and information on these properties “Hansen, K.D., (2000)”.
3. CLASSIFICATION OF RCC DAMS
In 1989, the different classifications are considered around the world. These classifications
are described as follows:
The lean RCC dam with 99 Kg cement per cubic meter or less. In this case a lift of water
stop in the top is requiring of permeability in the dam’s structure.
The RCD dam that only construct in Japan. Generally the shape on these dams for less than
50 meter height is not economical. Based on the height the cement quantities are 120 to
130 Kg per cubic meter with 30% Fly ash. In these dams a thick lifts of normal ancient
concrete in the top and bottom are require.
The High-Paste Concrete RCC with cement quantities of 150 Kg or more per cubic meter.
In these dams the center of dam should be considered as a waterstop.
3.1. Entrance Definitions of Problem

After a decade two classifications added to the above classification. First the RCC
constructed as a Medium Paste Dam with cement quantities of 100 to 149 Kg per cubic
meter. Second Hard Fill Dam is economical, consists of fine aggregate with strong
concrete cover that use in the condition of not suitable foundation and aggregate with high
dynamic loading and large flood. This kind of RCC dam has been built in Japan, which is
called CSG (Cement Sand& Gravel). For suitable design of RCC dams one of the above
parameter has to be considered as an entrance to the problem “Tejada, L.C., (1995)”.
3.2. Definition of Control the Problem
With considering the above description, the output of problem consists of cement
quantities per cubic meter and the amount of pozzolan to the cement ratio. This means that
the using minimum amount of cement as possible and maximum amount of pozzolans.
4. POZZOLAN AND ITS EFFECT IN EARTQUAKE
4.1. Pozzolans Classifications
Pozzolans based on ASTM C618: Fly ash with low lime, natural pozzolan and clay,
including:
Pozzolan class N: Natural crude or Calcinations pozzolans. Pozzolan class F: Fly ash with
black chock origin. Pozzolan class C: Lignite Fly ash with soft black chock origin.
Pozzolan class S: The kind of pozzolans such as, Pumists, Diatomite, and clays. Cement
materials (BS6699), Farness slag.
Cement and pozzolans materials (ASTM C618): Fly ash with high lime. But for pozzolans
classifications, for the design of the dams with RCC system the classification based on
information shown in Table 1.
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Table 1. The Pozzolan building block in various cements
Kerman Sirjan Indian Esfahan Copper
Chemical properties pozzolan pozzolan ayssh GBFS slag
(percent) (percent) (percent) (percent) (percent)
Silicon
SiO2 60.70 63.93 65.36 35.97 49.0
dioxide
Aluminum
(Al2O3) 18.50 17.18 37.15 10.15 0.60
oxide
Iron oxide (Fe2O3) 5.00 3.69 3.35 0.71 37.10
Calcium
(CaO) 6.50 3.53 3.04 37.30 1.40
oxide
Magnesium
(MgO) 2.40 0.77 0.19 9.28 0.03
oxide
Sulfur
(SO3) 0.12 0.11 0.16 1.60 N/A
trioxide
Sodium
(Na2O) 1.90 3.96 0.33 0.30 N/A
oxide
Potassium
(K2O) 2.10 2.56 0.70 0.80 N/A
oxide
Titanium
(TiO) N/A 0.45 N/A 2.60 <0.02
dioxide
Loss On
(LOI) 2.20 N/A 0.62 N/A N/A
Ignition
It is clear that the Calcium Oxide contains 63% to 65% of cement content and Coliseum
Oxide and Aluminum Oxide contain about 80% of pozzolans. As a first step to control
factors of compression strength and the cost, omitted some pozzolans and investigation for
permeability of remaining pozzolans will be considered. Some pozzolans such as Farness
slag, which the sample is considered as Esfahan GBFS, with 40% Calcium Oxide, has the
similar properties of Portland cement. These materials as a cement-pozzolan have been
used for low strength of about 150 Kg/cm2, which the main aim of cost reduction with
using more pozzolans is questionable. Finally fine aggregate based on the lower curve
consist of strength less than 120 Kg/cm2 and this strength limitation achieved with 145 Kg
cement and 50 Kg pozzolans per cubic meter, which causes to increase sharply for RCC
mixture.
The selection of cementations materials significantly affects the rate of hydration and
strength development. The use of pozzolan is quite common for RCC projects and
generally provides for reduced cost and lowered heat generation. Pozzolan contents
ranging up to 80 percent by volume of the cementations material have been used by many
design organizations. The use of a pozzolan or ground slag may be especially beneficial in
RCC as mineral filler and for its cementations properties, as well as providing a degree of
lubrication during compaction. Pozzolan occupies some of the paste volume otherwise
occupied by cement and water. Class F fly ash is most commonly used as a pozzolan or
mineral filler for RCC but Class C fly ash has also been used. Class F fly ash contributes to
lower heat generation at early ages, may be used to replace cement (generally up to
approximately 50 percent by volume), reduces cost, acts as a mineral filler to improve
workability, and delays final set. Therefore, RCC mixtures containing Class F fly ash
benefit from increased placement time and increased workability. Laboratory testing
should be conducted to verify and evaluate the benefits of using pozzolan. The main
definition of pozzolans based on ASTM618-94a is as follows:
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A sillies or sillies Aluminum material that has no adhesion alone, but as a soft powder with
some moisture in a normal heating condition with Calcium hydration and chemical
reaction will change to the adhesive material. So two important points are considered, first
without using the cement and chemical reaction of hydroxide Calcium is not useful, second
it has to be used as a soft powder. These pozzolans are used with the 15% to 100% of
cement weight in the mixture.
4.2. Amount of Pozzolans in the Mixture its Effect in Dynamic Loading
With considering the amount of pozzolans in the mixture, the use of these materials with
low dynamic loading and also low tensile strength requirement is suggested. Therefore in
Iran with the large risk of earthquake hazard, the use of pozzolans will causes an unsafe
project with high cost. In this stage it can be concluded to use two types of pozzolans such
as Fly ash and natural pozzolans. It is very important to bearing in mind that the strength of
RCC is considered as the strength after 128 or 365 days. This is in opposite direction of
normal concrete strength that in RCC the strength grows slowly in first steps and grows
sharply at the next step. For example the strength of RCC after 90 days is twice of the
strength after 28 days. The author of this paper executed various laboratory experiments in
Amirkabir university laboratory (Tehran polytechnic) about pozzolan and its effect in
dynamic loading in RCC dams. Fly ash and natural pozzolan which contains 80% of
Silicon Oxide and Aluminum Oxide, two factors are investigated as follows:
3.2.1- Investigation on RCC Based on Existing Fly Ash in the RCC Mix Design
As shown in Figure 1, with using 65 to 75 Kg pozzolans the strength reach to the 220
Kg/cm2. But this strength will drop to 200 Kg/cm2 with using 100 Kg pozzolans after 182
days.
Figure 1. Equivalent cement content versus compressive strength; average historical data
batched with pozzolan in RCC dams.
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4.2.2. Investigation on RCC Based on Existing Natural Pozzolans in the RCC Mix
Design
As can be seen from Figure 2, with increasing the cement content in the mix design the
strength will grow up in strait line, this increase is low with using Fly ash. With 75 to 100
Kg pozzolans the strength will be 120 to 150 Kg/cm2.
Figure 2. Equivalent cement content versus compressive strength and average historical data.
4.2. Amount of Pozzolan and its Effect in Permeability
In the main parts of the dam that the tensile strength reduced the use of natural pozzolans
are more effective in terms of economy. With using the natural pozzolans in the most parts
of the dam, it will cause to reduce permeability and also reduce the thickness of water stop
lift at the top membrane. To measure the permeability, the instructions of equipment are
described as follows:
 Air compressor to measure water hydraulic forces up to 7 Kg/mm2, which for
hydraulic breakdown require compression more than this value.
 Water storage with three connections on the entrance door has been used; First
connection for compression force, second for distinguishes the pressure and the
third with plastic pipe connected to the sample.
 Permeability tank with two connections, one is for air valve and the other a valve
connected to the plastic pipe.
 Measuring rounded tank for exit water.
This investigation is to measure from a sample with water movement in one direction, so
for water stop the bitumen used in all around the sample. During the permeability test after
3 to 4 initial hours, after pressure no water exit from equipment. After this time water will
start to exit and after one hour the amount of exit water reach to the constant values.
So the measurement of exit water must be achieved. In some sample if the pressure
remains in the backside of sample the crack and break down will happen in the sample.
Then this is shown with exit more water from the equipment.
With regard to these test two models of three dimensions is considered as follows:
A- Three dimensions model based on cement (water per cement ratio) and percentage of
fine aggregate in mix design, the amount of permeability in the RCC dam can be drawn
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from Figure 3. The percentage of fine aggregate has been affected on the workability and
V.B. time, so in limited vacation it can be used. Permeability of the RCC mass and of the
horizontal lift surfaces is key elements for hydraulic RCC structures. Mixture
proportioning, placement method, use of bedding mortar on lift surfaces, and the degree of
compaction largely controls the permeability of RCC.
Concrete with low permeability generally has a low water-cementations material ratio, is
well mixed and consolidated, is proportioned with adequate paste and mortar to
sufficiently fill all voids, and has been properly cured to allow for the continued hydration
of cement.
Figure 3. Three dimensions model based on cement (water per cement ratio) and percentage
of fine aggregate in mix design.
High cementations material content mixtures have lower permeability than low
cementations material content mixtures. Permeability of RCC cylinders and cores can be
tested using CRD-C 163, “Test Method for Water Permeability of Concrete Using Triaxial
Cell.” This test method produces a value of intrinsic permeability (K), which must be
converted to the more commonly used coefficient of permeability (K) using the formula in
the test method.
In general, an uncounted mass of RCC proportioned with sufficient paste will have
permeability values similar to CMC. Test values for well-compacted, workable RCC
mixtures typically range from 1.5 to 150 up 10-8 mm/sec (0.3 to 30 up 10-9 ft/min).
Measured RCC permeability values have a very large range because of the wide range of
mixtures used and the wide range of density achieved in structures and test specimens due
to the use of cores and cylinder specimens and the variety of permeability tests used. As
shown in this model, with increasing the water per cement ratio the permeability will
increase, in the range of 40% to 45% the slope is very sharp and is suitable for RCC.
With considering to the soil mechanics engineering, with 6.5% moisture which is optimum
for maximum mass dry density, the use of 40% to 45% water per cement ratio is require. In
the other hand with increasing the fine aggregate the permeability will increase with a soft
slope. The aim of using maximum size of aggregate without separation is control by using
the 20% to 25% of fine aggregate. With increasing this amount, to prevent separation, it is
require more cement.
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B- Three dimensions model based on cement quantities (water per cement ratio) and
percentage of using pozzolans with relation to the total cement weight in the mix design
the amount of permeability of RCC dam can be shown in Figure 4.
The aim of this design is to use minimum cement and maximum pozzolan to cement ratio
to reach to the suitable permeability in RCC dam.
Figure 4. Three dimensions model based on cement quantities (water per cement ratio) and
percentage of using pozzolan.
5. CONCLUSION
 In 40 to 45 percent limit, the slope is sharp, thus this limit is suitable for designing
Roller dams.
 Carrying out physical tests in this limit has shown that a moisture percentage of 6.5
percent is suitable for gaining maximum dry special mass. On the other hand,
increasing the percentage of thin particles increases the permeability coefficient.
But regarding the importance of separation level in lift, the percentage of thin
particles should be controlled at 20 to 25 percent.
 Increasing the amount of thin particles requires using more cement to prevent thin
particles separation, which is not economical. Increasing the amount of cement
decreases permeability. Within the limits of 120 to 145 kg/m3, the figure has a
sharp slope, thus it would be better to carry out designing within the 75 to 95 kg/m 3
limits, because this area has a low slope.
 In general, increasing the percentage of pozzolan increases permeability and the
slope would be very low. In this case the best possible plan is created for designing.
In an highly earthquake stricken country like Iran, traction tensions are created
based on dynamic loads, thus using pozzolans as slag of forging furnace and grains
of the beds of rivers, are not economical due to the large amount of cement usage.
In this case, only natural pozzolan and windy ash with low level of lime is
recommended from economical and safety viewpoints.
 Using water to cement proportion of 40 to 50 percent, having optimal moisture of
6.5 percent for compression, is recommended. This is achieved by considering the
20 to 30 percent of small particle materials.
 For concrete having 75 to 95 kg/m3 fineness, and pozzolan amount of 100 to 120
kg/m3 the slope of permeability is very low. In this case, changes resulted from
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these two factors cause no significant change in permeability. This area is identified
by considering the low level of cement and gaining a level of strength of 190 to 200
kg/cm2.
REFERENCES
[1] Engineer Manual (EM) 1110-2-2000, Standard Practice for Concrete for Civil Works
Structures.
[2] Hansen, K.D. (2000), “What will the Chinese think of next? – recent developments in
RCC dams design and construction”, Proceedings of Association of State Dam Safety
Officials (ASDSO) 2000 Annual Conference.
[3] Hansen, K.D. (1992), “RCC for rehabilitation of dams in the USA - an overview”,
Roller Compacted Concrete III, ASCE, New York.
[4] Schrader, N. and Ernest K. (1988), “Behavior of completed RCC dams”, Proceedings,
Roller Compacted Concrete II Conference, ASCE, New York, NY, pp.76-91.
[5] Tejada, L.C. (1995), “Roller compacted concrete mix design for RCC dam”,
Proceedings, International Symposium on Roller Compacted Concrete Dams, pp.135-149.
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Phenomenon Lime Leaching

At Balambano Dam
Anom Prasetio, ST
Senior Civil Engineer Maintenance Utilities
PT. Vale Indonesia
Anom.Prasetyo@vale.com
Ir. Pamrih Pammu

General Manager Of Hydro Operation PT. Vale Indonesia
Yusri Yunus, ST
Manager Of Hydro Operation PT. Vale Indonesia
ABSTRACT
The lime leaching phenomenon is the occurrence of large deposits of calcite in the galley
Balambano dam that could result from aggregate concrete from the Foundation or from the
quarry. Influences that occur in the body of the dam should be noted as early as possible so that the
fix can be found. The formation of efflorescence in dam concrete occurs because there is a
chemical process.
Efflorescence result from the dissolution of free lime within the concrete to form calcium
hydroxide. The total amount of calcium hydroxide in the hardened concrete that would be subject
to leaching is estimated to be less than 0.5 % of the total mass.
Efflorescence is very common occurrence on water retaining structures. It results from a sequence
of natural seepage and chemical reactions. It begins to accumulate at the point where seepage
water exits from the concrete and is first exposed to air. As water flows down vertical surfaces, the
reaction with CO2 continues and efflorescence accumulates below the point of seepage and further
downstream along the drainage path. Concrete surfaces are often covered with efflorescence that
originates with a seepage path at a higher elevation and not necessarily at the point where
efflorescence is actually observed
Efflorescence is often unsightly, especially in cases such as Balambano Dam, where seepage
continues for many years. However, in general it doesn’t not result in a significant degradation of
concrete properties and is therefore rarely a cause of concern over the safety of a structure. It
does, however, indicate the movement of water and leaching of cement hydration products and in
the case of Balambano Dam, it confirms that the drainage curtains, galleries and adits are
performing the intended function.
Keywords: Lime Leaching, Efflorescence, Concrete, Galleries.
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1. TECHNICAL DATA
The Balambano, dam is located on the Larona River, which is administratively located in
the Balambano village District of Wasuponda, East Luwu, South Sulawesi Province. Along
the River Larona there are three dams namely Batubesi dam, Balambano dam and Karebbe
dam. Larona River spring from Towuti lake and flow into the Gulf of Bone.
Towuti Lake is one system with Lake Matano and Lake Mahalona. Three lakes serves as a
natural reservoir. Towuti lake is the largest Reservoir, so this lake serves to buffer the
availability of water for the Batubesi dam that serves as Larona Hydroelectric Power Plant,
then underneath there is a dam or downstream section Balambano, then about 6 miles
downstream of the Balambano lies Karebbe dam which is in the final stages of completion.
Karebbe Dam &

Power Station
Figure 1. Cascade diagram of three lakes and power system along of Larona river
1.1. Salient Feature of Balambano Dam
1.1.1. Reservoir
a. Catchment Area : 2.380 km2
b. Normal Water Level : El. 165,50 m
c. Normal Water Level Volume : 31.615.000 m3
d. Normal Water Level Area : 1,185 km2
e. Maximum Water Level : EL. 166,00 m
f. Maximum Water Level Volume : 32.201.000 m3
g. Maximum Water Level Area : 1,207 km2
h. Minimum Water Level : EL. 151,50 m
i. Minimum Water Level Volume : 18.864.000 m3
j. Minimum Water Level Area : 0,7 km2
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1.1.2. Main Dam
a. Type : Roller Compacted Concrete
b. Crest Elevation : EL. 167.00 m
c. Crest Length : 360,00 m
d. Crest Width : 6,00 m
e. Height Above Foundation : 100,00 m
f. Concrete Volume : 546.071 m3
g. Upstream Slope : vertical
h. Downstream Slope : 1 : 0,8
i. Membrane Crest Elevation : EL. 139,34 m
j. Membrane Base Elevation : EL. 76,00 m
k. Upper Gallery Elevation : EL. 115,00 m
l. Lower Gallery Elevation : EL. 82,00 m
1.1.3. Spillway
a. Spillway Crest
Type : Overflow Spillway (Ogee) and chute with three radial gate.
Crest Elevation : EL. 151,50 m
Length : 3 @ 8,00 m = 24 m
Slope : 1 : 0,80
b. Stilling Basin
Type : Flip Bucket
Flip Radius : 22,50 m
Invert Elevation : EL. 98,74 m
c. Spillway Gates
Type : Radial
Amount : 3 (three)
Dimension : 15 m x 8
2. MATERIAL AND MIX OF CONCRETE DAMS
Balambano dam is concrete dam with RCC materials located on The Larona River, in the
downstream from Hydroelectric Power Plant Larona. During execution of dam
construction, RCC mix material change occurs. When during the taking of rocks from
quarry, there are many soft layers, cracks in rocks of peridotit which are filled by talc and
serpentin which is generally green colored aggregate. Sand as fine aggregate is taken from
Masamba and cement from Tonasa, which is based on the industry standard in Indonesia
cement generally have levels of CaO > 50 %.
Figure 2. Downstream face of dam
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The downstream face of the dam consists primarily of RCC facing mix. The spillway,
intake gate and penstock structures are of cast in place conventional concrete. In general
the RCC and concrete are in good to excellent condition with no visible evidence of
distress or deterioration. No significant seepage was observed from the face of the dam or
from the abutments. There is a small amount on the right side of the spillway, this is likely
due to leakage from the spillway flip bucket which always contains water due to leakage of
the spillway gates
Figure 3. Overview of downstream face
Figure 4. Close up of an area of minor efflorescence
Figure 5. Traces of efflorescence on downstream face
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3. GALLERIES
In both galleries, the upstream wall in generally drier than the downstream. Drain pipes
from box drains behind the impervious membrane on the upstream face run into each
gallery. All these drain pipes are either dry or they drip slightly, indicating the membrane
has no punctures. Thus, the water in the galleries appears to originate from water that is
getting past the grout curtain in the foundation, not through the dam face.
Efflorescence is common in the galleries. The most significant build-up of efflorescence
is in the shaft between the two galleries, close to the left abutment at the lower gallery.
At the upper gallery the floor is dry at the shaft. Water in the shaft appears to be coming
through joints or bolt holes in the corrugated steel culvert section used to form the shaft.
This water likely originates from the abutment, water by passing the grout curtain since
the box drains are dry or have very low flows (dripping).
Some of the drains from the upper to the lower gallery have very low flows or have
flowed in the past but no longer flow. Efflorescence has built up and appears to have
blocked the lower ends of some drains. The efflorescence should be cleaned out with
high pressure water or by drilling out the holes
In the lower gallery, some water dripping has caused some corrosion of the movement
monitoring studs mounted on the wall. The studs should be polished with steel wool prior
to making measurements, as the relative movements are small and the build up of
corrosion material could lead to errors.
3.3. Lower Access Gallery
The condition of the lower access gallery walls is shown in photo. The exposed surfaces
consisting of RCC and facing mix are in in generally good condition. Efflorescence is
visible commonly below the joint between the tops of the walls and the precast roof panels.
Increased efflorescence was also observed in the drainage gutter below the floor level,
other than the efflorescence there was no visible distress or deterioration of the concrete or
RCC.
Figure 6. Lower access gallery
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Figure 7. Upper lift of facing mix
Figure 8. Upstream end of right wall of access gallery
3.4. Lower Gallery
The lower gallery between the entrance gallery and the left abutment present more seepage
with abundant efflorescence especially on the downstream wall. It is expected that there
will be less seepage and efflorescence in this area due to the large cast in place block of
concrete forming the gallery roof at the intersection of the entrance gallery and lower
gallery.
Figure 9. Efflorescence between roof panels and along joint
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Figure 10. Moderate efflorescence on downstream face
The shaft between the upper and lower galleries presents an abundance of seepage water
and efflorescence at its base in the lower gallery. The upper end of the shaft at the upper
gallery is dry, which means that the water draining to the bottom is being intercepted by
the shaft between the two galleries. The area of the lower shaft appears to have the thickest
build up of efflorescence.
Figure 11. Build up of efflorescence at bottom of shaft in lower gallery
Figure 12. Build up of efflorescence at bottom of shaft in lower gallery
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Figure 13. Sedimentation of efflorescence at lower adit abutment
3.5. UPPER GALLERY
The upper gallery is dry and free of efflorescence, there is no visible distress or
efflorescence and only minor traces of seepage along the base of the walls also it presents
much better conditions than the lower gallery with significantly less seepage and
efflorescence
Figure 14. Moderate efflorescence associated with beeding joints
Figure 15. Upper left adit looking from left end
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4. SUMMARY
4.1 Conclusion
The following summary are presented based on the analyze sample of water, efflorescence
and aggregate and also related with dam safety instrumentation monitoring.
a) In general efflorescence is expected in this type of structure and is not harmful. It is
very common in dams and water retaining structures
b) The efflorescence consists predominantly of calcium carbonate, originating from lime
released by the hydration of cement
c) Balambano dam still good condition, there is no indication of excessive seepage and no
indication of cracking or unusual movement that might indicate a dam safety concern.
d) From monitoring piezometric levels and water levels in standpipes are relatively low.
The drainage system, comprising the drain holes and galleries is very effective in
reducing these levels to well below the alarm levels.
e) The seepage into the galleries is essentially entirely from water in the bedrock. The box
drains which would carry any water from behind the PVC membrane on the upstream
face are dry or have negligible flow, indicating that the membrane is intact. The
upstream faces of the galleries are generally drier than the downstream faces.
f) Another indicator of possible indicator of the reduction in drainage efficiency is a
reduction of seepage quantities with time. However following the initial few years after
the reservoir was filled the seepage rates appear to be more or less consistent. There is
no indication that build up of efflorescence is reducing the rate of seepage
4.2 Recommendations
The following recommendations regarding the dam safety monitoring are presented.
a) It is recommended that several monitoring to monitor the accumulation of
efflorescence, record and photograph of efflorescence in some of area
b) Monitoring each of drain especially at floor to know it was not blocked by calcite, It
need drill for open the block by calcite
c) Install blower at lower and upper galleries for air circulation and reduce harmful gases
ACKNOWLEDGEMENT
I would like to express to my superior Senior General Manager Maintenance Utilities PT.
Vale Indonesia Ir. Andi Suntoro for the continuous support of my work activity in Utilities
for his patience, motivation, enthusiasm and immense knowledge. Beside my superior, I
would like to thank to Pamrih Pammu as General Manager of Hydro Operation for his
encouragement, insightful comments and hard question. My sincere thanks also goes to
PT. Indra Karya for Lime Leaching investigation step 1 and Klohn Crippen Berger
represent by Garry Stevenson and Neil Cumming for Lime Leaching investigation step 2.
And I would like to thanks our surveillance team for support investigation and monitoring
instrumentation, volume of calcite and drill sample for analyze.
Last but not least, I would like to thank my family : my wife, my daughter and our parents
for supporting m spiritually throughout my life.
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REFERENCES
PT. Indra Karya. (July 2011): Balambano Dam Assesment Lime Leaching and Detail
Design Protection Tailrace Bank, Detail Design Report, Malang, Indonesia.
Klohn Crippen Berger LTD. (July 2013): Balambano Dam Report On Balambano Dam
Efflorescence Assesment , Final Report, Vancouve, Canada.
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Lessons From Way Ela Natural Dam and Another Potency In Indonesia
Ahmad Taufiq
Dessy Rosliani
Djoko Mudjihardjo
ABSTRACT:
Session 2. Engineering Issues In Dam Development

Keywords: Natural dam; landslide; debris avalanches.
Ambon Island is area where high vulnerability of landslide, caused by geological, rainfall, and
earthquake factor. This condition causes establishment the Way Ela natural dam (2012) and
previous similar episodes, in Mamua Way (2008). Debris avalanches from Ula Hatu hill at Way
Ela upper stream was at weathering of old volcanic deposits (Tpav) which consists of breccia, tuff
and andesite; occurred in 360 mm/day of rainfall; and with 5.6 Ritcher previous earthquakes. The
volume of landslide about 10 million m 3, had established natural dam with 80 m height, 1000 m
length, 300 m width, and 19 million m3 volume. The condition had critical safety factor, 1.09 of
stability, 1.82 (<4) of seepage, and had 600 l/s seepage discharge. The Indonesian archipelago has
similiar conditions, such as Nusa Tenggara, Papua Island, Sulawesi and Sumatra.
1. GENERAL INTRODUCTION
1.1 Background
Ambon Island is area where high vulnerability of landslide, caused by geological, rainfall,
and earthquake factor. This condition causes establishment the Way Ela natural dam
(2012) and previous similar episodes, in Mamua Way (2008). The Way Ela natural dam
occurred at 360 mm rainfall (sta.Patimura, Ambon), and the day after 5,6 SR earthquake
at 51 North East, Piru Bay. The avalanches soil is soil debris of rocks and large from Ula
Hatu hill at Way Ela upper stream was at weathering of old volcanic deposits (Tpav) which
consists of breccia, tuff and andesite.
The investigation was carried out in the field by geoelectric due to the difficulty of
sampling from drilling at that time. Soil parameters used are the parameters of the back
analysis result. There was seepage discharge at the dam slope of 0.614 m3/s where the
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water was clear and not bring any material. In addition, there were 42 seepage points at
downstream slope of the dam. Geotechnical analysis included seepage analysis and slope
stability with Finite Element Method program, SEEP/W and Plaxis.
1.2 Aim and Purpose
The aim of this paper are get a geotechnical analysis with slope stability and seepage
through the conditions of the Natural dam. And the purpose is mainly to get technical
lessons from Way Ela Natural Dam and lesson for another potency in Indonesia
2. LITERATURE
2.1 SEEP/W Program for seepage analysis
SEEP/W is a numerical model that can mathematically simulate the real physical process
of water flowing through a particulate medium. SEEP/W is formulated only for flow that
( )
follows Darcy’s Law:
where :
Q = the total discharge (m3/s)
k = the intrinsic permeability of the medium (m 2)
A = the cross-sectional area to flow (units of area, e.g., m 2)
(Pb-Pa) = the total pressure drop (Pascals)
μ= the viscosity (Pa.s)
L = the length over which the pressure drop is taking place (m)
Figure 1. Diagram of Darcy’s law.
The ability of a soil to transport or conduct water under both saturated and unsaturated
condition is reflected by the hydraulic conductivity function. The ability of water to flow
through a soil profile depends on how much water is present in the soil, which is
represented by the volumetric water content function. SEEP/W has built-in predictive
methods that can be used to estimate the hydraulic conductivity function once the
volumetric water content function and a Ksat value have been specified.
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Figure 2. Comparison of flow with and without a K function.
2.1.1 Steady State

Steady state in a seepage analysis means constant over time, it does not consider how long
it takes to achieve a steady condition. The steady state seepage equation leaves out the
actual time variable and omits the entire volumetric water content function.There are two
choices of boundary conditions : a constant pressure (or head) and a constant flux rate.
Seepage flow through a homogenous isotropic medium under steady state conditions is
described by the Laplacian equation. The form of the equation is,
2.1.2 Flow Net

A graphical solution to this equation is what is known as a flow net. A flow net is in
essence is map of contours of equal potential crossed with flow lines. SEEP/W computes
and displays many elements of a flow net which are useful for interpreting results in the
context of flow net principles.
Figure 3. Examples of flow net approximation in SEEP/W.
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2.1.3 Flow Quantities
In SEEP/W flow quantities is done by defining a flux section. The total seepage under the
structure indicated on the flux section. Flow quantities can be estimated from a flow net as
the total head drop times the conductivity times a ration of the number of flow channels to
the number of equipotential drops. The total head drop in quation form, ( )
2.2 Plaxis Program for Slope Stability Analysis

A Plane strain model is used for geometries with a (more or less) uniform cross section and
corresponding stress state and loading scheme over a certain length perpendicular to the
cross section (z-direction). Displacement and starains in z-direction are assumed to be zero.
However, normal stresses in z-direction are fully taken into account.
Figure 4. Example of a plain strain.

2.2.1 Elements
The 15-node triangular element provides a fourth order interpolation for displacements and
the numerical integration involves twelve Gauss points (stress points). It has produced high
quality stress results for difficult problems. One 15-node element can be thought of a
composition of four 6-node element, since the total nuber of nodes and stress points is
equal. Nevertheless, one 15-node element is more powerful than four 6-node elements.
Figure 5. Position of nodes and stress points in soil elements.
2.2.2 Phi-c reduction (safety analysis)

A safety analysis in Plaxis can be executed by reducing the strength parameters of the soil.
This process is termed Phi-c reduction and is available as a separate type of calculation. A
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safety analysis can be performed after each individual calculation phase and thus for each
construction stage. Phi-c reduction ends in a state of failure. The total multiplier ΣMsf is
used to define the value of the soil strength parameter at a given stage in the analysis :
3. METHODOLOGY
1) Collect data which is the data from field investigation and secondary data.
2) Determine all parameters that will be used in the analysis
3) Analyze the seepage of Way Ela Dam using Seep/W program to determine the value
of uplift and exit gradient
4) Analyze the stability of Way Ela Dam using Plaxis program to back analysis
5) Determine the safety factor from the analysis result
6) Choose the best solution from the analysis result to handle the avalanches.
START
DATA COLLECTION
SECONDARY DATA
FIELD INVESTIGATION
COLLECTION
DETERMINATION OF
SOIL PARAMATERS
STABILITY ANALYSIS
SEEPAGE ANALYSIS
CROSS DESIGN
EXISTING CONDITION SOIL CONDITION
CONDITION
UPLIFT AND ‘
GRADIENT EXIT
SAFETY FACTOR
CONCLUSION
AND LESSON LEARN
FINISH
Figure 5. Flow chart
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4. SEEPAGE ANALYSIS
Seepage analysis is using the help of SEEP/W program. From the field investigation, it was
noted that the discharge flowing in the seepage path is 0,614 m3/s, with the channel width
is 150 meters. Hence, the magnitude of discharge per unit width on the seepage path is
m3/s/m.
Conducted a back analysis using the parameter values of seepage coefficient (k) by means
of trial and error on top soil, so we get the value of q = 4,093 x 10-3 m3/s/m.
280
260
240
220
200
180
160
140
Elevasi (m)
120
100
80
2 .8 7 4 3 e -0 0 3
60
40
20
0
-20
-40
-60
-80
-100
-0.2 -0.1 0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
Jarak (m) (x 1000)
Figure 6. The back analysis of seepage coefficient (k).
From the back analysis result of seepage coefficient, it is known that the value of q = 2.87
x 10-3 m3/m/s, have the same order number with the results of field investigations which is
-3. Thus, the value of the parameter in top soil is the soil that has a coefficient of
permeability k = 10-4 m/s is sandy clay that containing a few grains of gravel. The values
of exit gradient (ie) on seepage path is 0.7 so that the safety factor against seepage is
SFseepage = 1/0, 7 = 1.43 <4. From the analysis results it can be concluded that the seepage
occurs and this is in accordance with the conditions in the field. Furthermore, it is
performed a seepage analysis under the dam using parameters obtained from the back
analysis of seepage coefficient (k) as shown in Figure 6.
5. SLOPE STABILITY ANALYSIS
Stability analysis of the adequacy of the dam dimensions design is performed with several
scenarios as shown in Figure 1, namely:
1) Scenario 1 : back analysis
2) Scenario 2 : analysis for proposed design
Scenario 1 : Back Analysis

In scenario 1 the stability analysis using engineering judgment from field test parameters,
which are cohesion of the material (c) = 0, the angle of internal friction () =30,2° dan the
material density () = 18 kN/m3. The field investigation test result indicated that there is a
base slope that is tend to flat at the elevation, El. +50.00. According to information in the
field, the soil is loose sand soil. Soil parameters (c, , ) used are the result of soil
investigation (soil layer 1) and the temporary assumption for the bedrock is tuff (soil layer
2) as shown in Table 1.
II - 623
Table 1. Soil parameters
 c  Es
Tanah
(°) (kN/m²) (kN/m³) (Mpa)
Lapisan 1 30.2 0 18 20
Lapisan 2 50 100 21 150
Figure 7. Slope stability anaylisis (initial condition)
From the analysis result it is known that the initial condition is relatively stable, but
avalanche potentially occurs in rapid draw down condition with the value of safety factor,
SF = 0.335 <1. Therefore, it is needed a landslide handling.
By using the parameters of Plaxis analysis result as a comparison, then furthermore

analyzed the angle of internal friction () parameter by trial and error in soil layer 1, in
order to obtain the critical condition where the value of  has a safety factor equal to 1.
 vs. SF
SF
1
0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
25 30 35 40 45 50 55 60 65 70 75 80
(°)
Figure 8. The angle of internal friction  vs. Safety factor.
From the Plaxis analysis result it can be concluded that the number of > 50 ° does not
make sense, therefore sought the value of (c) by way of trial and error with the angle of
internal friction of engineering judgment,  = 30,2° to obtain the safety factor equal to 1.
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C vs SF
1.25
1.2
1.15
1.1
1.05
1
SF
0.95
0.9
0.85
0.8
0.75
0.7
25 27 29 31 33 35 37 39 41 43 45 47 49
c (kN/m²)
Figure 9. The Cohession vs. Safety factor.
Based on the analysis results obtained the safety factor of 1.0948 is at the cohesion of 40
kN/m2 = 4.0 t/m2. The cohession is in a range with consistency medium / rather stiff. Soil
has little water content because water fills the empty space between the loose sand. Thus,
the natural dam condition after avalanche is relatively stable but the potential for
avalanches to occur in certain condition. Especially because there are some seepage points
in the dam. The soil is assumed as sandy clay.
Scenario 2 : StabilityAnalysis of Proposed Design

To overcome the avalanche then it was designed four berms in Way Ela Dam. Scenario 2
is the stage analysis of safety factor in spillway location.
Figure 10. Slope Analysis in Proposed Design
From the Plaxis analysis known that the soil conditions where the spillway will be built has
a safety factor of 1.2164. It can be concluded that although the design is relatively stable
but potentially for landslides , especially in locations where there are seepage.
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6. DISCUSSION
The main natural factors in natural dam are slope, rainfall, earthquakes and geology
6.1 Landslide
The existence of Indonesian archipelago can not be separated from the potential for natural
disasters, so also must be prepared to deal with such disasters. Indonesia has natural
conditions classified as vulnerable to disasters such as earthquakes, floods and landslides.
but disaster that almost happened to every region in Indonesia is a landslide, because about
45% Indonesia's land area is mountainous land slope is sensitive to landslides (Figure 11)
Figure 11. Map of Vulnerability Landslide in Indonesia (BNPB, 2010)
6.2 Earthquake
In the last 5 years, earthquakes in Indonesia above 5 SR shook at Tasikmalaya,
Yogyakarta, Aceh, West Nusa Tenggara, Toli - Toli , Central Sulawesi and Maluku. As a
result of the earthquake not only damage the building, but also result in further impacts
triggered avalanches. Potential earthquake in Indonesia is relatively large, because the
meetings are in the large number of active tectonic plates movement. The seismic area
stretches along the boundary of the Australian tectonic plate with Asia, the Asia Pacific
plate from the east to the west of Sumatra to the south of Java, Nusa Tenggara, and Banda.
Then the interaction of the Indian - Australian plate the Eurasian and the Pacific are
meeting in Banda as well as a meeting of Asia - Pacific plate in Sulawesi and Halmahera .
The earthquake was also associated with active faults. Among these Sumatran fault, Palu
fault, or the fault is located in Papua. There is also a smaller fault as the fault Cimandiri
Java, West Java.
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Figure 12. Map of Earthquake Zoning in Indonesia (PU, 2010)
6.3 Rainfall
The general pattern of rainfall in Indonesia is influenced by geographical location. Rainfall
also increase with altitude. Limit rainfall areas of western and eastern Indonesia is located
at approximately 120 East Longitude. Average rainfall in Indonesia is not the same for
each year. But still is quite a lot, which is an average of 2000 - 3000 mm / year. Areas that
receive rainfall between 2000 - 3000 mm per year, covering East Sumatra, South
Kalimantan, East and most of West Java and Central Java, some of Irian Jaya, and a large
part of Sulawesi and including Maluku islands. Precipitation is generally located at an
altitude between 600-900 m above sea level, like Ula Hatu Hill, Maluku. In this area,
different rain season, the month of May-June.
7. CONCLUSION
Lesson learn from Way Ela Natural dam for Indonesia are:
1. The natural dam condition after avalanche is relatively unstable or critical safety
factor SF = 1, moreover some seepage points in the dam.
2. At initial condition, from the analysis results it is concluded that the seepage occurs
with a coefficient of permeability k = 10 -4 m/s which identified as sandy clay that
containing a few grains of gravel. The safety factor against seepage is SFseepage =
1/0, 7 = 1.43 <4
3. Had difficulty for field investigation, so forced using back analysis and engineering
judgment.
4. The hard solution for the dam avalances are reinforcement of toe drain, slope
improvement to give more safety factor, and reduce water level, beside handling
from dambreak analysis
II - 627
5. Ambon Island and also another area where high vulnerability of landslide, caused
by geological, rainfall, and earthquake factor. The Indonesian archipelago has
similiar conditions, such as Nusa Tenggara, Papua Island, Sulawesi and Sumatra.
8. REFERENCES
1. Report of Advice Technical for Way Ela Natural Dam, Maluku. 2012. PUSAIR
2. Report of Geo-electrical Investigation of Way Ela Natural Dam, Maluku. 2012. PT.
Gumilang Sajati
3. Report of Dambreak Analysis for Way Ela. 2012. PT. Belaputera Interplan
4. Map of Vulnerability Landslide in Indonesia, BNPB, 2010
5. Map of Earthquake Zoning in Indonesia, Ministry of Public Work, 2010
II - 628
Dam Perfomance in Porous Foundation (Case from Nadra Dam, Cilegon)

Ahmad Taufiq
Diah Affandi
Dessy Rosliani
M Budi Saputra
Krakatau Tirta Industry, KS Grup, Cilegon, Indonesia
ABSTRACT:
Session 6. Challenges in dam safety policy and implementation

Keywords: Inspection; instrument monitoring; dam safety; seapage; porous foundation;
design
Nadra Dam at Krenceng Cilegon was constructed in 1962 and well managed by
Kratatau Tirta Industry. The dam has around 5.000.000 m 3 volume, + 17 m height
and 1000 m length. The type of dam was rockfill with clay core, and 1V : 3.5 H
upstream slope; 1V : 3.7 H downstream slopes. The ‘unusual’ designed was without
foundation treatment although has porous foundation (pumice tuff with coefficient of
permeability at 10-4 until 10-5 cm/s).
The purpose of this paper is to show urgently advance piezometer analysis and
routine inspection. The analysis of seepage, has 5,9 (>4) safety factor and 0.1 l/s
seapage discharge, under 0,05 l/s maximum has occurred. From analysis of stability
has 1,435 (>1,2) safety factor. Some improvements have been done such as in
downstream slope and toedrain.
II - 629
1. INTRODUCTION
1.1 Background
Nadra or Krenceng dam is located in the village Masigit, Ciwandan districts,
has a capacity of approximately 2,500,000 m 3 at normal water level + 20,50
m. The maximum dam height is ± 17 m from the base river channel, with a
length of crest is ± 1000 m. The dam body is made of homogeneous
embakment soil, a sandy-silty clay, low to medium plasticity, dark brown
color. The upstream slope is 1V : 3.5 H and the downstream slope is 1V : 3.7
H (measurement results of PT.Mezan DC, July 2000). Upstream slope is
protected with empty rip-rap rock and downstream slope covered with grass
where at the dam toe is equipped with a toe drain to "catch" the seepage that
flows from the reservoir through the dam body. Suppletion water from
K.Tamanbaru and K.Brambang that exist within the Nadra catchment area is
relatively very small, so as to meet the needs of water, most of the water
supplied from the Cidanau river that dammed ± 27 km southwest of Cilegon
in which the water is pumped through a pipe with maximum capacity 2 m 3/s
to the Nadra reservoir; mostly the water reservoir is used for industrial in
Cilegon area and partly for drinking water.
1.2 Aim and Purpose

The aim and purpose is evaluation assignment of the Nadra dam where in
porous foundation to conduct dam performance in the examination and
assessment and also evaluation of the instrument readings data that have been
obtained.
1.3 Location
The Nadra dam is located ± 5 km west of the Cilegon city towards Anyer/
Carita. The location is easily accessible using four-wheels vehicle through a
passable asphalt road, from the highway before the Nadra train station turn to
the left ± 1 km.
II - 630
Figure 1 The location map of Nadra Dam in Cilegon
2. METHODOLOGY
The methodology of dam performance in Nadra Dam evaluation as follows:
1. Collection of field secondary data
2. Data evaluation and plotting also depiction/graph readings that have been
evaluated
3. Evaluation and behavior analysis of the dam based on instrument
readings data and field observation results.To find the expected solution,
it is necessary to know the cause of this problem which is then analyzed
and obtained dam improvement.
3. DAM DATA
 Hydrology : K.Tamanbaru and K.Brambang rivers but due to its small
suppletion, most of the water taken from S.Cidanau ± 27 km from reservoir.
Catchment area is 24 km2 with S=0.004, 2500 mm rainfall.
 Dam : An earth dam type of homogeneous soil, height above the
river base channel is 17 m, crest length is 1000 m, top width is 6 m, creast
elevation is 23.0 m
 Reservoir : Maximum water level : + 21.20 m, volume = ± 3.000.000
m3, Normal Water level: + 20.50 m , volume = ± 2.500.000 m 3; Minimum
water level: + 18.50 m
 Instrumentation : Piezometer : 20 standpipe piezometers; Slip
indicator : 6; Sliding stake : 8 stakes with 2 BM; V-notch : 2 units in 2
location
II - 631
Figure 2. The Lay-out map of Nandra Dam
4. FOUNDATION OF NADRA DAM

Based on the JICA report "The feasibility study on Cidanau-Cibanten Water
Resources Development Project, Volume III, Supporting Report (1)", June
1992, the rock foundation, the Nadra Dam consists of sandy pumice tuff
unconsolidated, and below a pumice tuff with thickness approximately 20 m.
The reservoir area consists of sandy tuff like that found in outcrop along the
Nadra river. The rocks weathering scattered at the dam location and reservoir
at the hilly zone. Based on the test results of Lugeon test by JICA on the
pumice tuff layer, Lugeon value is Lu = 0.2 - 1.2. It has been re-examined to
the water passing test through the drilling hole when installing the dam
instruments conducted by PT. Mezan DC 2000. The permeability test results
show the water permeability coefficient, k = 1 × 10 -5 to 4 × 10-4 cm/s, which
indicates that the foundation layer is semi-pass water (Final Report of
Preparation and Installation Instruments of pore pressure control, seepage
control, avalanches control and shears in Nadra embankment reservoir
following its analysis and measurement, July 2000, by PT.Mezan DC).
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Figure 3 Cross section of Geological Foundation
5. PARAMETER OF DAM
Embankment soil of the dam body (based on the results of drilling by
PT.Mezan DC, July 2000) is a silty clay-tuffaceous sandy, low-medium
plasticity, dark brown color which can be classified into the CL group.
Soil density of the dam body based on Standard Penetration Test (SPT) result
is varied between 6 to 11 blows/30 cm which indicates, that the embankment
soil is quite firm, although there are some places that are less dense with N ≤
5 blows/30 cm, ie on Pr.I-I near the spillway. The results of the water
permeability test through piezometer holes drilled (by PT.Mezan) on the dam
by an open end test produces permeability coefficient k varies between 7 ×
10-7 to 2 × 10-5 cm/s. Soil parameters of the dam body are shown in Table 1
below.
Table 1. Soil parameters of the dam body (PT. Mezan DC, 2000)
No Description Unit Scale
1 Natural water content, wn % 22 – 35

2 Wet bulk density, γn t/m3 1.80 – 1.96
3 Specific gravity, Gs - 2.65 – 2.67
4 Liquid limit, wp % 25 – 59
5 Plasticity index, Ip % 9 – 32
6 Grain distribution :
- sand, S % 33 – 55
- silt, M % 13 – 25
- clay, C % 24 – 54
7 Triaxial Cn
- cohesif ef ( C’ ) kg/cm2 0.10 – 0.25
- friction angle ef. ( Ø’ ) ….o 16 – 23
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6. INSTRUMENTATION TO EVALUATE DAM PERFORMATION
A number of dam instruments have been installed by PT.Mezan DC in July
2000, in 3 locations, namely Pr II near the spillway, Pr.II-II first deepest
cross-section, and Pr.III-III second deepest cross-section.
6.1 Profile I-I

- Standpipe piezometer : 3 pipes in the dam body (P.2, P.3 and P.6) also
3 piezometers on foundation (FP.1, FP.4 and FP.5)
Figure 4. piezometer pipe and slope indicators installation at Profile I – I
6.2 Profile II-II

- Standpipe piezometer : 4 piezometers in the dam body (P.20, P.8,
P.10 and P.12) and 4 piezometers on foundation (FP.19, FP.7, FP.9
and FP.11)
Figure 5. Piezometer pipe and slope indicators installation at Profile II – II
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6.3 Profile III-III
- Standpipe piezometer : 3 piezometers in the dam body (P.14, P.16 and
P.18) also 3 piezometers on foundation (FP.13, FP.15 and FP.17)
Figure 6. piezometer pipe and slope indicators installation at Profile III - III
7. DAM PERFORMANCE FROM INSTRUMEN RESULT READINGS

7.1 Profile I-I
In general, all piezometer readings which are installed in the body of
embankment/ dam, ie, P2, P3 and P6 until December 2010 was not affected
(not responding) by the fluctuations in water reservoir. The piezometer pipes
under condition of no water in the pipes (empty). While the foundation
piezometer readings shows all piezometers, FP1, FP4 and FP5, showed a
response in accordance with the reservoir water level fluctuations.
Figure 7. Piezometer Graph on Foundation at Profile I-I
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7.2 Profile II-II
Piezometer readings in the dam body (P8, P10, P12 and P20), showed that all
piezometers show a response to water level fluctuations in the reservoir.
While the foundation piezometer readings (FP7, FP9, FP11 and FP19),
showed that all piezometers show a response to water level fluctuations in the
reservoir. In general, the piezometric pressure at the downstream lower than
the upstream, which gradually changed. This shows that at the foundation of
a semi-impermable there is no improvement (foundation treatment), for
example by curtain grout.
Figure 8. Graph of foundation piezometers at Profile II-II

7.3 Profile III
Piezometer readings of the dam body (P14, P16 and P18), showed that in
general, all embankment piezometers show a good response, except that the
water in the piezometer 14 was empty. While the foundation piezometers
(FP13, FP15 and FP17) showed a good response to the water reservoir
fluctuations.
Figure 9. Graph of foundation piezometers at Profile Pr III-III
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In general, the results of piezometer readings that installed on the dam body
is still able to show the pattern of phreatic water line, and piezometer that
installed on the foundation showed elevation or piezometric pressure height
that describing the pattern and foundation piezometric pressure at each cross-
section of Profile I-I, Profile II-II and Profile III-III. Based on the results of
piezometer readings of the dam body, phreatic line of the dam body that
being measured (actual) was different from the phreatic line design pattern
(theory). It is necessary to check the stability of dam slope.
8. EVALUATION DAM PERFORMANCE
8.1 Pore Water Pressure
8.1.1 Profile I-I
The measurement results of the three piezometers installed on the dam body,
namely P.2, P.3 and P.6, showed there is no water in the pipes, which means
that is no freatic water through the dam body. This is probably caused by the
presence of a concrete retaining wall that was made in the 1980’s in the
upstream. But the seepage water flowing through the foundation can be
measured by piezometer that installed in the foundation, namely FP.1, FP.4
and FP.5, like in the Figure below. The seepage water exit to the spillway
wall at the downstream.
Figure 10. Piezometer measurement results at Profile I-I

The seepage discharge through the spilllway wall, need to be aware, if it has
muddy color and bring grains can trigger piping that over time may lead to
embankment collapse behind the spillway wall.
8.1.2 Profile II-II
From the graph of relationship between piezometer pressure with reservoir
water elevation, showed that the piezometers still have a quite good response
to the reservoir water level (WLR) fluctuations, meaning, piezometer
readings have tended to follow the pattern of up and down of RWL. While
II - 637
from the graph of relationship the reservoir water level elevation with
piezometer pressure (hysteresis curve) shows the trend remains, that is the
condition of the reservoir water level decreases, the pore water pressure also
decreases to the initial position, as Figures below, so there is no excess pore
water pressure that affects the dam safety.
The measurement results of the four piezometers installed in the dam body
(Q20, p.8, P.10 and Q12) at Pr.II-II, can describe the phreatic water level that
through the dam body. The position of the phreatic water level measured at
the current (actual), turns out to be below the phreatic line design
(theoretically), so it does not add extra shear force due to pore water pressure
which endanger the dam.
Figure 11. Actual phreatic water and Design, Profile II-II
While the foundation piezometer measurements of FP.19, FP.7, FP.9 and

FP.11 in 2010 showed pore water pressures in the foundation are high
enough. This indicates no improvement in foundation, for example, by the
method of retaining wall or curtain grout in the foundation layer. High pore
water pressures in the foundation also affects high water table in the former
wells at the downstream of the toe dam and the water discharge from pipes of
Ø 2 "(former JICA drilling) which shows high pressure of foundation
piezometric at the downstream of dam toe.
If the pressure of foundation piezometric continues to increase (which can be
measured through the pipes of Ø 2 "by installing a pressure gauge /
manometer) will be able to trigger a" soil-boiling "or" piping ". To monitor
the high pressure of foundation piezometric of the dam, monitoring wells at
downstream of the dam toe is recommended to be maintained and monitored
its water table.
8.1.3 Profile III-III
Phreatic water level through the dam body and foundation as measured from
the piezometer is almost the same as in previous years, which were located at
II - 638
the bottom and almost approaching the theoretical phreatic lines, such as the
Figure 12.
Figure 12. Actual phreatic water and Design, Profile III-III
8.2 Slope Stability

Based on the results of piezometer measurements and plotting results to
describe the phreatic line through the embankment/dam, it turns out that
phreatic line measured from the piezometer (actual) is lower or close to the
phreatic line designed (theory), so that no additional pore water pressure that
affects the stability of the embankment slope. Assuming the soil parameters
as same as previous years, and there are no additional pore water pressure,
the slope stability safety factor does not change as the year before.
2.301
2.900
2.400
2.400
30
20
4
Elevasi (m)
1
10 2
0
3
-10
-20
0 10 20 30 40 50 60 70 80 90 100 110 120 130 140 150 160 170 180
Jarak (m)
Figure 13. Slope Stability Analysis, condition without the earthquake factor,
FK = 2.301
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1.435
30
20
4
Elevasi (m)
1
10 2
0
3
-10
-20
0 10 20 30 40 50 60 70 80 90 100 110 120 130 140 150 160 170 180
Jarak (m)
Figure 14. Slope Stability Analysis, condition with the earthquake factor,
FK = 1.435
Table 2. Resume of the analysis results
SF
Required Analysis result
CONDITION
w/o w/ w/o w/
earthquake earthquake earthquake earthquake
Steady
1.5 1.2 2.301 1.435
seepage
8.3 Seepage
In an earth dam made of homogeneous soil, although it has been compacted,
the water from the reservoirs will still seep through the dam body and
foundation, moreover the dam foundation in the form of sandy pumice tuffs
that are sub-impermeable
Permeability coefficient data used was obtained from JICA report (1992) and
PT.Mezan DC (2000), which are:
- Premeability coefficient of the dam body k1 = 3.47 × 10 –6 cm/s
- Premeability coefficient of the dam foundation k2 = 1.42 × 10 –4 cm/s
The seepage analysis of Nadra Dam is similar to Figure below.
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30
20
Elevasi (m)
10
0.2
0.1
-10
-20
0 10 20 30 40 50 60 70 80 90 100 110 120 130 140 150 160 170 180
Jarak (m)
Figure 15. The seepage analysis, Ix = 0.2

30
20
Elevasi (m)
10
20
4.5787e-006
0
18
16
14
12
-10
10
-20
0 10 20 30 40 50 60 70 80 90 100 110 120 130 140 150 160 170 180
Jarak (m)
Figure 16. The seepage analysis, q = 4.5787 10-6 m3/s/m
Based on the research results, the exit gradient at the dam toe is Ix = 0.2 so it
is obtained the safety factor of 5 (SF> 4, still within the safe limit). While the
seepage value is q = 4.5787 x 10 -6 m3/s/m. If the dam length of Pr.II-II is L =
230 m, then the seepage discharge that comes out from the dam toe is Q =
0.1053 l/s. The results of field measurements of 200 to 300 l / hour or 0.056
to 0.084 l/s still much lower than the calculated seepage discharge, it is likely
most of the seepage through a semi-porous of foundation layer.
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9. DAM IMPROVEMENT PROPOSED BASED ON DAM PERFROMANCE
Several things that need serious attention, such as:
1. The possibility of soil particle being carried can also occur through contact
area of concrete conduit pipe that installed in the dam body at the deepest
cross-section Pr.II-II of the intake tower. If there is an indication from
seepage observations and symptoms of soil particle entrainment, then the
improvement is done by installing a filter layer around the tip of the conduit
pipe.
2. Piezometer measurement that installed in the dam body Pr.II near the right
wall of spillway that always shows no water in the pipe (empty) and can be
visually seen out of seepage through masonry walls of spillway indicates that
the reservoir water seep to lower head through the bottom of both the left and
right walls of the spillway. If the back wall of the spillway is not equipped
with a filter layer, then the seepage can carry granular soil that led to the
collapse / sliding at downstream slope near the left spillway wall. To
overcome this, alternative remedial actions can be done as follows:
- Dig the back of the both spillway walls and installing the filter layer
(this may endanger the stability of the retaining wall)
- Both the spillway walls at left and right, should be installed
"wheephole" pipes to drain the water seepage from the dam body, so
that the pore water pressure acting on the walls can be reduced,
- Perform a curtain grout along both the spillway walls at the left and
right.
3. Discharge channel at the dam toe should be treated so that seepage water and
rain that entering into the channels can be accommodated into the collector
drain and released to discharge drain in the downstream.
4. The results of the slope stability analysis shows that the cross-sections near
the spillway have potential landslide in an earthquake. To increase the safety
factor (SF) downstream slope stability of the cross section near the spillway
wall, advised to reinforced with the load counter construction / berm at the
dam toe that made of stone boulders. The berm crest at elevation + 15 m with
a width of 3.0 m, the berm slope following the slope of the existing berm.
5. The amount of grass that grows on the toe-drain rocks indicates fine material
(clay) in the toe-drain that can clog toe-drain; grasses should be cleaned.
6. The readings and measurement of instruments should use the checklists and
raw forms and immediately evaluate the truth. Measurement of shear stakes
to monitor the sliding movement on dam surface should be done regularly, at
least every 6 months or depending on the indication of movement.
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10. CONCLUSION
1. Report of behavioral analysis of Nadra dam or Nadra is an annual study until
2010, based on the readings and the instruments measurement that installed
in the dam especially the standpipe piezometers.
2. Similar to the instrument readings in previous years, the foundation
piezometer readings are almost the same as the piezometer installed in the
dam body, showed that the dam foundation is not equipped with a
construction of retaining wall againts seepage or grouting, to reduce the
influence of seepage (under seepage). This has led to the downstream of the
dam toe at of the deepest cross section Pr.II-II-III Pr.III always wet and
ground water level in well is quite high.
3. Piezometer measurement results in embankment indicate that the phreatic
water level measured (actual) is lower or similar to the theoritical phreatic
water level / design. Safety factor against slope stability is similar to safety
factor calculated in the previous year
4. Seepage discharge measured at the the dam toe is smaller than analyzed, most
of the seepage out through the dam foundation layer of semi-porous. The
measuring instrument that damaged must be repaired immediately.
5. The Readings / piezometer measurements were installed in the dam body
near the spillway walls (Pr.II) is showed that the absence of water in the
piezometer pipe is due to be hampered by existing retaining wall construction
at upstream; reservoir water is expected to flow to the lower head and out
through the spillway walls. The downstream slope at this section is steeper
than in other parts, feared of an earthquake, this section will be more
potential to landslide / collapse
6. From the study of the analysis of the instrument data and the analysis of
seepage and slope stability concluded that until now the Nadra dam behave
normally and in a safe and controlled conditions, except near to the spillway
wall that its slope is steeper.
11. REFERENCES
1. Report of Measurement and Drilling Instrument, PT. Mezan DC, 2000.

2. Report of The feasibility study on Cidanau-Cibanten Water Resources
Development Project, Volume III, Supporting Report (1)". JICA, 1992
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Management of Dam Gates :

Precautions against failures and aging
D.R. Mahajan
Water Resources Department, Pune, Maharashtra State, India
drzadap@gmail.com
ABSTRACT
The success of any dam in its life span is critically dependent on condition and proper functioning
of gates along with allied systems installed on dam. Efficient release of water, prevention of
damages due to floods, long life of gates; and hence of dam; is dependent mainly on condition of
gates, and how ready they are able to tackle the imminent issues. Hence it is important to maintain
gates to highest performing order for all the time. This paper discusses issues related to achieving
long life for gates. How to achieve it, how to avoid the major catastrophes due to gate failure,
rectify the uncompleted, pending, and original issues, recurring issues in day to day use of gates,
take timely preventive measures for any unforeseen incidents, etc. Overall preparedness is required
for gates. As dam ages some problems are expected and sure to occur. But if one remains alert and
follows proper timely preventive measures accidents can safely be avoided, minimizing damages.
Problems related to majority type of gates and allied systems, which may occur as dam life
progresses are discussed in detail. Numerous examples are drawn from day to day and frequent
observations of number of installations for a long period, starting from design conceptual stage to
extreme emergent situation. Thus effective care and upkeep of gates after erection; from examples
of other installations; will save the operating and repair cost to project authorities along with
minimizing property damages.
Keywords: Dam gates, Radial Gate, deficiencies, Maintenance, long life.
1. INTRODUCTION
1.1. Dam Gates
By constructing barrier to river or natural source we create dam, i.e. water reservoir. To let
out water from this reservoir, some arrangements should be there. This is done by
installing various types of gates on dam. The size and locations of these gates is chosen as
per the intended purpose of that gate. Popularly, to control flood or create additional water
storage radial gates are used, to let out specific discharge vertical lift gates and valves are
used, for power generation penstock, surge and valve arrangement is used. In addition to
this, additional gates such as emergency gates, stop log gates, different valves are installed
on dam to facilitate the operation. Some gates are on spillway ogee, waste way, in dam
wall, at extreme bottom position, some next to water or extreme downside position. To
store and release water gate should have movement. They are usually driven by electric or
hydraulic operated mechanisms, so come these arrangements. To supply initial power we
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take source from electric supply companies, make necessary set up for this and convert it
to hydraulic or mechanical energy to operate actual mechanisms. Stand-by power supply
arrangement is also done. Manual operation provision of gate is provided in case of power
or other failures. In addition to this we install allied systems and equipment’s such as by-
pass valves, air vents, level and position indicators, hoisting arrangements, hoist and
inspection bridges, cranes of different types and sizes, rails, guide plates, cable systems,
limit switches, lightening arrester, ladders, covers and cabins, etc.
To serve the intended purpose all this set up should work satisfactorily when called upon to
do so. Normally it is assumed that once the gate installation is created and ready, it is
robust and will last long, will not require much attention. But this is a fallacy. Contrary,
just as any other living organism, these gates and allied systems work. They are live
systems. Every year dam and gates go through one complete cycle of total empty and stress
free condition to extreme loaded situation. One may get enough sufficient time or none at
all for maintenance. Failure of any gate is painful to all. Here comes the role of
management of gates and precautions against failures and aging.
1.2. Initiation of problems
Failure of gate takes place due to inherent or induced problems in the system. The failure
may be complete, partial, or running. Problems for gate may get initiated due to:
1. Design deficiencies
2. Initial manufacturing defects of gate components and assemblies
3. Erection errors
4. Regular upkeep and maintenance neglect
5. Disregarding Inspections and Need of timely restorations
6. Overlooking system operation symptoms, warning signals, and triggers
7. Uneasy operation
8. Natural corrosion
9. Aging defects
10. Mechanical wear, tear, erosion
11. Breakdown repairs critical, major, minor
12. Availability of time for activities
13. Defects induced due to structural deformations
14. Miscellaneous reasons and defects
15. Accidents, mishaps
So to keep gates intact and well-functioning all the time and having long life, eliminate
above problems as and when noticed. The condition of gates speaks owner’s ability and
efficiency in solving the issues.
It will be prudent to mention that 81 Vertical lift gates at waste way of Bhatghar dam are
still in working and good condition even after completion of 100 years of rigorous service.
Almost all of the above problems causing failure are absent for these gates.
2. DESIGN DEFICIENCIES
Design deficiencies for gates get induced due to i) Knowledge level available to designers
at original instant, ii) Inadequate data or assumptions and predictions or reliability issues
done while in design by designers or iii) Abnormal changes made during manufacturing
and erection stage to suit site conditions. This issue is prominent in older dams. World over
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we have already constructed large number of dams hence this point needs to be looked into
and requires timely solution. Each installed gate should be reviewed and possible remedies
for problems noticed be found out when sufficient time is in our hands. It may require
some structural modifications. At least one may arrive at alternate precautionary solutions
by review. It is no point to go ahead with faulty gates and invite mishaps. Examples:
2.1 Insufficient Space for Gate removal for maintenance

On some dams it is observed that the emergency gate and hoist is commissioned correctly.
It is also functioning as per requirement. However the gates cannot be approached or taken
out from its current position and slot for regular maintenance activities. There is
insufficient space available for maintenance of gate. The problem is compounded by
location, height and depth of the gate and hoisting crane installation. End result is gates
remains without maintenance forever.
2.2. Excessive Height of Pylon Columns of Emergency Gate

Some emergency gate hoists are erected at excessive height than required normal. This
resulted in vibrations of entire structure in operation. Swing of gate during lowering and
rising along with excessive time required for operation is observed. Too much length of
wire rope is provided; hence its winding is lengthy on rope drums, increasing drum sizes.
2.3. Emergency Gate storage arrangement.

The emergency gate when not in use must be stored at appropriate location in proper way;
so as to relieve the tension on wire rope and hoisting mechanism. It is observed that the
designers have not taken this point into consideration at all for many dams. The result is
you have to compulsory hang over the gate in slot on wire ropes forever. The usual weight
of gate ranges from 10 to 40 ton. This induces undue deficiencies in system. Some gates
are observed to be rested on side rollers or bottom rubber seals damaging rollers or rubber
seals by own weight.
2.4. Wrong assumptions - In one case radial gates are installed on dam assuming some
maximum water level. Now in reality the dam never gets filled up to the spillway ogee
level since inception. There is no water storage against radial gates for many years. This
resulted in total neglect of radial gates and hoist arrangement and all equipment’s by
project authority. Ultimately entire set up is getting rusted and becoming non usable day by
day. If you have commissioned a particular set up of gates it should be kept in working
order for ever to cater for rare maximum floods.
2.5. Inadequate spillway capacity – After dam comes into existence, almost all system
parameters are well known. Hence it will be appropriate to reformulate reservoir operation
schedule on actual observed discharge capacities of spillway in different real conditions.
And accordingly it will be very much helpful if the gates are operated as per updates. This
will be safe way to prevent any mishaps and have long life to gates. Practically it is
observed that dam is filled to maximum water level in first instance, tension is created
everywhere and mishaps occur due to further massive additions of water volume.
2.6. Stop logs and slots – Stop logs and their slots have not been provided for many dams.
In some cases the provision is made but stop log gates and slots are totally in rusted and
unusable condition along with their hoisting arrangement. This happens due to non-use and
no maintenance of the gates. Some gates remain under water for ever without maintenance.
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3. INITIAL MANUFACTURING DEFECTS OF GATE COMPONENTS AND
ASSEMBLIES
Failure of Ravi dam radial gate due to use of 'cast iron' instead of original specified 'forged
steel' for lifting link, connecting gate with hoisting rope in well-known to all. Due to
failure of link the gate hinged on one rope and failed due to further lifting operation. Such
material and process deviations must be detected and avoided. If time being different
material is used it should be replaced afterwards. Embedment and critical or difficult parts
should be avoided manufacturing of secondary material and process.
Using improper grade material and dimensional size against original rubber seal while
replacement results in water leakage. Due to incorrect sealing action water leakage
problem starts. This leaked water intensifies corrosion of surrounding steel parts.
The quality of bearings used for gear shafts results in its dug and premature failure, risking
entire assemblies of gear, hoist, crane, motor, etc.
In case of vertical sliding gates having screw stem arrangements insufficient strength of
stem rod causes its buckling failure. This failure of rod is not alone. It damages seals, guide
plates, gate stiffeners, and embedment’s, ultimately resulting in jammed and damaged gate.
It can only be restored after rectification of entire damages to gate and slots.
Welding of skin plates and structural members must be confirmed again and again. For
critical members non-destructive, radiographic testing should be mandatory. Poor quality
welds definitely results in cracks and failures. There are many incidents due to welding
failure. There are number of failures of skin plates of vertical lift gates due to improper
welding. Though the gate seems safe it does not withstand water load.
Very often gate leaf, anchor girder, and other structural members are manufactured having
closed pockets or compartments on it. These parts are in vicinity of water all the time.
They are also exposed to rains frequently. Water waves from inside and opening and
closing action of gates often spills water on them. This ultimately results in filling up
available compartments by water. They are not always provided with drain holes, if
provided they remain blocked for number of reasons. Finally the water entrapped and
stored in these compartments for months causes severe corrosion. The entire structural
member gets corroded due to repeated exposure to water and atmosphere. Subsequent
painting and restoration attempts also become futile. So provide adequate drain holes on all
structural members and clean them frequently.
Hence never compromise for different grade materials, do not use dimensional variations
as well as deviations from manufacturing process. So that there will not be any initial
manufacturing deficiencies incorporated in the gate.
4. ERECTION ERRORS
Major concerns for erection of gate are i) Inordinate delays in completing the erection, ii)
Incomplete or partial erections, iii) Dimensional Errors in erection, wrong sequence, left
over work, iv) corrosion and damages to parts during erection. This happens due to number
of reasons. Such as tight schedule of progress of work, untimely supply of components
parts or raw material, concrete work stoppages, lack of funds, other stake holders hindering
work progress, unavailability of skilled manpower, etc. All these factors become one and
create a faulty erected gate. Examples:
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Concrete of slot bulged inside and hinders the movement of gate, either gate do not reach
to bottom properly or the rubber seals rub excessively on concrete and damage rubber seal
and gate. Size and plumb line, vertical straightness of gate slot in concrete is not proper. So
the gate became inoperative. Gate cannot be placed in slot at all hence not lowered. This is
practically observed for number of service and emergency gates.
The wall plates of radial gates are not used continuous. Segments are used to make one
plate by welding. The welding is not smoothed out. Protruding weld metal scratches rubber
seal and damages it. Furthermore while passing over the joint gate receives jolt and shakes
sideways receiving undue movement.
It is very often seen that cover plates of trunnion pin from pier ends are not properly
bolted. Bolts are kept loose, missing, not fully tightened. This causes relative movement of
bracket, pin and covers during operation and endangers the joint assembly.
Length of wire rope is not adjusted correctly. This results in uneven lifting of gate causing
undue stresses in members.
5. REGULAR UPKEEP AND MAINTENANCE NEGLECT
If everything is going well gates remain idle for long time. This idle condition provokes the
neglect of regular maintenance and gates starts deteriorating. As soon as water level goes
below sill level radial gates should be taken up and locked. Regular maintenance should be
carried out immediately. Most often this is not done. Since the gates are always exposed to
atmosphere regular upkeep and maintenance is very much essential. Example:
Service gates are kept in down closed condition as it is forever without maintenance even
though there is no water. Further due to failure of service gate emergency gate is also
lowered and kept under water and used regularly instead of service gate.
In one case city water supply pipe lines from dam wall is provided with emergency gate.
But the gate is never used for operation due to not felt need of use. Water is drawn
continuously from dam through pipes for supply. The result is that now emergency gate
remains in totally rusted and not in usable condition. Its hoisting mechanism is also
missing. Any mishap for pipe line will halt city water supply entirely and the dam will
become empty due to non-availability of gate in working order.
Batteries provided for generators are usually not used for long periods. This results
batteries in dry and damaged condition.
Painting of gates is a major concern. In absence of good paint film corrosion takes place in
speedy manner. Subsequent haphazard painting worsens the corrosion problems.
The oil in gear reducers and greasing to anchorage ends is very often remains in bad
condition. New oil is poured in previously contaminated oil. The new grease is applied
over contaminated grease. This gives raise to failure of that component.
Regular alignment of shafts, lubrication of all points, and calibration of all devices is
essential.
6. DISREGARDING INSPECTIONS AND NEED OF TIMELY RESTORATIONS
To keep gates safe timely inspections should be carried out by independent inspectors and
restoration must be followed as per deficiencies reported. To know new problems cropped
up in last six months regular inspections should be made twice annually when water is at
lowest and at full reservoir level. Deficiencies reported in inspection reports should be
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corrected timely. It is seen that in most cases even after reporting of deficiencies by
inspection reports, they are disregarded. No restoration is done until failure occurs.
Remember in extreme condition on dam, water do not stop its natural path or wait some
time. Gate setup should always be in working order to ensure long life and tackle disasters.
7. OVERLOOKING SYSTEM OPERATION SYMPTOMS, WARNING SIGNALS,

AND TRIGGERS
Operation of any gate definitely provides clues in various forms about its health. During
operation if one observes excessive load, current voltage requirement, abnormal sound,
noise, not smooth operation, jamming of brakes, jerks, quick drop lowering of gate, tilting
position closing and opening, vibrations, sparking, failure to start operation, excessive time
required for raising and lowering, heavy operation, leakages, excessive flow turbulence,
bulging, cracks, deflection, grease withering, then these are symptoms and warning signals
to the owner to maintain the gate.
Beforetime storage of water is also a warning signal of forthcoming issue. If gates are good
and strong enough to withstand the load then overtopping at some other place on dam will
take place due to heavy inflows afterwards.
Before any event to occur, look and listen symptoms carefully, analyze, find remedies, and
work on them positively. Accidents and mishaps happen due to ignorance of symptoms,
they are always there. Hence do not ignore warning signals. Minute symptoms should be
taken cognizance of. Instead of post failures investigations, perform pre assessment and
scrutiny of failures.
8. UNEASY OPERATION
Depending on condition of embankment and intensity of flood certain safe sequence of

operation of gates is arrived at for reservoir safety and followed up correctly. If the
procedure is broken then it is natural that there will be excessive vibrations at piers and
gates. If in unsafe conditions you further operate gates, it will definitely induce violent
vibrations of particular gate resulting damages to facilities. It is wise to start early and take
confident actions in any situation to relieve the pressure of event.
It is observed that gates to be opened last are mostly neglected for maintenance and remain
in poor conditions. In time of emergency there are incidents of not opening the gates at all.
Complete hoist and gate is to be first dismantled for repairs and then reassembled for
operation. If after repeated try, gate is failed to open or close properly, it reflects the apathy
by owner towards gate maintenance. If gates are kept under water for long durations their
sudden operation becomes very difficult. Reservoir and Gate operation schedules are not
followed properly.
9. NATURAL CORROSION
Since gates always remain in vicinity of water for long time, there is every chance for
accelerated corrosion. Situation is always compounded by availability of sunlight, rain and
odd weather. Component parts base metal always tries to go in natural stable conditions
causing heavy corrosion. The type of corrosion may be i) General atmospheric corrosion,
ii) Localized corrosion, or iii) Mechanically assisted corrosion. Corrosion leads to loss of
cross section and then loss of strength of part. Parameters influencing corrosion for each
gate should be found out and reduced or removed as far as possible. Every preliminary
II - 649
sign of corrosion of any form should be noted and serious attempts should be made to curb
corrosion.
Examples: Trunnion pin corrosion mainly results from non-protection by grease.
Embedment parts and anchor bars are many times socked in water leakage in pier. This
causes accelerated corrosion. For radial gates pockets in horizontal girders accumulate
water. The entire girder gets rusted. During water storage condition bottom portion and
side wall portions of radial gate is quick to add corrosion. At one dam the entire wall plates
and bottom portion of gate are eaten up by corrosion. It was not catered for it.
The covers used and cabins for gate equipment are first to get corroded. In corroded
condition they do not protect the system instead allow it to get corroded. The scalps of
corroded covers falls on gear etc., and caused abrasive wear of teeth.
10. AGING DEFECTS
As the dam gate ages some problems are expected to occur due to aging. Main problems
are due to corrosion and its related issues. Corrosion weakens the parts and increases
chances of failure by losing strength. Uneven wear of parts on different gates creates
abnormal situations. Gate parts lose their original strength over time due to fatigue.
Regular use of gate and impacts introduce hair cracks and their propagation, deflections,
change of original shape in stress condition. Individual links of chain, strand of wire ropes,
are often subjected to rotation reduction, twisting and aging. Cracks also occur due to
cavitation, water hammer.
The insulation of cables gets damaged after some time due to exposure to atmosphere.
These deficiencies endangering safety of human also endanger power supply in critical
moments. The cable bursts in odd situation. It is also observed that cable replacements are
done with least care, cables are kept in hanging, coil form, entangled, and proper tray
system is not followed.
Paint film damages, loosening of rivets, bolts, keys, clamps; rubber seal deformation,
restricted movements of parts, roller damages are some other examples of aging.
11. MECHANICAL WEAR, TEAR, EROSION
Due to continuous use mechanical wear, tear and erosion of parts results in decay,
deflection, corrosion, vibrations to occur. The shafts, bearings, gears, wheel and pinion,
bushes, rubber seals, seal plates, foundation bolts, chains, wire ropes, keys, locking pins,
coupling joints, are subjected to this type of failures. Devise a mechanism for regular
detecting and replacement of parts in time, starting from movable, weak or small parts.
These parts should not be relied for long time. Frequent inspections will help detect a
problem.
Gear shaft position slipping occurs in regular use. Reduction in thickness, uneven
smoothness of surfaces, definite strength loss occurs in use. Bolt damages are always
observed in number of forms.
12. BREAKDOWN REPAIRS CRITICAL, MAJOR, MINOR
Gates are subjected to heavy loads and extreme pressures. It is inevitable that some break
downs will occur to gate parts. Cracking of pipe and valves due to vibrations, water
pressure, water hammer, and direct failures of stressed components is unavoidable.
Unequal lengths of wire ropes, or unequal movements of hydraulic cylinders, uneven
motion of hoist, side roller not in alignment, no greasing of trunnion pin and bush, gate jam
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in position, no water lubrication to rubber seals, rubber seal damages, unsteady flow
conditions, cracks in welds, shaft and coupling misalignments, breakages, stem rod
failures, wire rope failures, hoist component failures, all this leads to breakdown. It may be
critical, major, minor breakdown. It is essential that breakdown of any nature should be
sensed early and attended early along with removal of very root cause of it.
Opening gates in locked position damages locking mechanism, gate and structure. Uneven
movement of gate in slot results tearing of wall guide plates damages to roller and
bearings. Chronic issues kept in hanging, abeyance may result breakdowns.
13. AVAILABILITY OF TIME FOR ACTIVITIES.
Time is scarce. Dam annually goes through dynamic cycle of complete filling and
becoming empty, thereby inducing heavy stresses on gates and relieving them. Hence one
has to find time for regular maintenance and upkeep activities. Usually as the dam level
goes down below sill of gates, time should be utilized to maintain them. Prior planning is
necessary. In normal time also gates cannot be kept open, in dismantled condition for long
times. Normally deficiencies for underwater gates and other parts are noticed when they
are uncovered. As such immediate planning is must so as to keep them ready for next
water storage season.
Examples: There are instances with delay in starting and completing maintenance, repair
works, it remains partial and then either dam is filled to lesser capacity or malfunctioning,
under repair gates are to be installed and operated. In such cases sudden arrival of
freshwater, heavy floods causes major gate failures.
14. DEFECTS INDUCED DUE TO STRUCTURAL DEFORMATIONS
Relative movements of pier due to thrust or seismic movements cause strain on gate and
embedment distorting physical dimensions. The gate loses its dimensional stability
imparting stress and strain in structural members leading to failures.
Ogee seal plate and wall seal plates many times remain intact. Concrete beneath seal and
wall plates gets removed at number of places, perhaps due to aging, deterioration and other
reasons creating voids. Water starts leaking through these voids in concrete beneath plates.
Sometimes spillway piers construction surrounding gate parts leaks heavily. This ensures
wrong supply of water over open and embedded steel parts for long times. Due to this they
start corroding heavily. At one dam it is observed that when a certain level is reached
inside dam, water virtually starts flowing through pier onto anchor girder. The anchor
girder remains full of water for months and overflows causing heavy corrosion of plates.
15. MISCELLANEOUS REASONS AND DEFECTS
In addition to above there are number of miscellaneous reasons and deficiencies which
harm the gate. Damages done by Project affected people, activists of one form and other is
concern to gates. Incomplete things of gates due to social unrest because of number of
reasons damage gates. The aggressive Project affected people horde due to their number of
demands is very difficult to control. Hence take care to close issues in time to avoid the
damages to gates.
Theft of component steel and other material by outside as well as inside persons is one
major concern. The issue becomes intensified when there is no water or minimum storage
in dam as well as when gates are not properly guarded.
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Temporary arrangements: sand bags are used for different reasons instead of regular gate
operations. These temporary obstacles definitely hamper the functioning of the gate in
future. It should be removed in time.
Modifications in design are done during manufacturing, erection and subsequent use and
not properly documented and not available. Unavailability of original drawings and
documentation, things originally implied but carefully forgotten in long life, may be due to
non-use, found redundant, not used at all, difficult to use, totally in dilapidated condition.
The accessories are useful and hence used at some other place and not available to original
intended location, the technology becomes old and lack of implementation of new
concepts, unavailability of old useful parts and assemblies suiting proper locations and
needs, all these factors lead to failure to gates.
Use of untested technology may lead to failure of gates as observed for failures of anchor
rods of Chamera hydroelectric project.
Valve got entirely vertically cracked due to set up of new power house and trials of
subsequent modifications. Later additions without proper matching equipment and
compatibility issues definitely harm the system.
Lack of trained and adequate manpower, reluctance to share knowledge, lack of urge to
acquire knowledge from other's incidents, knowledge not gained or given to later
generation in the organization, original knowledge lost with that particular generation, not
taken cognizance of, over confidence in operating gates, are some of the human aspects
leading lo failures of gates. In uncertainty a person without knowledge is found to be
redundant and useless.
Movements of cranes and other external machines on restricted space on dam top is
another worry. The tree wood logs in flood damages gates. Deposition of ice is another
threat. There are events in which gates including embedded parts were permanently
damaged due to this.
Inadequate safety provisions, not displaying safety instructions and other display boards,
total neglect of gates by owner leads to failures.
16. ACCIDENTS, MISHAPS
Accidents and mishaps do happen to gates if any of above problems is left unattended.
Also there are number of additional outside reasons for this. It is necessary to follow the
correct norms all the time. Even if mishap is happening alertness of operating crew reduces
the intensity of damage. Timely operations of gates in distress conditions may save the
losses.
17. GATE MANAGEMENT
Above mentioned problems and examples are some of the observations. Utmost
precautions against failures and aging should be taken. All of above steps should be
followed one by one for every gate. So that nothing is left unattended for a failure to occur.
The cost and losses due to accident and mishaps of gates are unbearable. Hence preventive
and predictive maintenance should be followed to keep gates in fit condition. The gate
needs to be observed and managed regularly just as human life progresses.
II - 652
18. CONCLUSION
The reasons for initiation of problems to gate and subsequent failures along with
illustrative examples in this paper are sufficient and speak about safety measures and
corrective action, operation and maintenance needs for any dam gates. It is hope that the
community will definitely find it useful to maintain gates in their control to highest
satisfactory level. Timely actions will save major failures and loss to the nation. Good
practices will give long life to gates.
ACKNOWLEDGEMENT
I sincerely acknowledge hereby the support, encouragement and permission by all officers of
Mechanical Organization of Water Resources Department, Government of Maharashtra, India for
preparation of this paper.
REFERENCES
V.B. Pandit (2002): Guidebook for Radial Gates, Published by author, Nashik, India.
Deputy Engineer, Inspection Sub Division No-1, Dapodi, Pune (2011, 2012, 2013): Pre
monsoon and post monsoon Inspection Reports, Pune, India.
II - 653
THE INSPECTION OF SABODAM DESIGN TO ENSURE

THE EFFECTIVENESS AND SAFETY
I. Prinadiastari & F.T. Yunita
Sabo Research Center, Water Resources Research Center, Bandung, Indonesia
ika_prinadiastari@yahoo.co.id
ABSTRACT
One of the factor that may prevent or minimized the failure or damage of a sabodam is its design
accuracy. The sabodam design that not according to the standard would reduce its safety level and
conformity to the function. Sabodam has a specific technical spesification compare to the other
river structures, especially from its hydraulic design. Not like weir or dam, sabodam design needs
to consider the impact force and abrasion caused by sediment transport. The purpose of this paper
is to give an information and understanding that sabodam needs to be inspected, especially on the
design phase or sabodam design. The inspection is conducted by an inspection body which is
competent and independent. The inspection activities of sabodam design is undertaken to check the
design accordance with the SNI 03-2851-1991 Rev. 2004 about Techinal Procedures of Designing
Sabodam. The paper writing activities includes literature review, collecting data about the damage
and failure sabodam, and studying the inspection obstacle related to legality and policy and also
the need for inspection. The results of this paper are some several sabodams are not functionally
effective and damaged or even failed; the cause is those sabodams are designed not accordance to
the standard; the sabodam design needs to be inspected to ensure its suitable position, form,
dimension, strength, and stability due to the forces; a policy that support the inspection activities is
required as well.
Keyword: inspection, sabodam, design, standard, policy
1. PREFACE
1.1. Background
One of the factors that may prevent or minimized the damage or even the failure of
sabodam is its design precision. The design standard is a tool to guarantee the precision of
product quality, including infrastructure such as sabodam. The design of sabodam that is
not according to the standard will possibly reduce the performance of its structure, safety
and function. Sabodam has a particular technical specifications compared to the other river
structures, such as weir or dam, because it is placed in the river in which the debris flow
occurred. Therefore, it needs to be designed by considering the characteristic forces that
may occur in such as river, for instance the impact or abrasion forces caused by sediment
transport.
The failure of sabodam structure has similar effect like on weir that can give serious
impact to the area around it, even to the other sabodam on the upstream section. This
happens because sabodam is an integrated system that containing several locked structures
1
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each other and cannot be function alone. If one structure get collapsed or failed, it will give
an impact to the whole structures system or make the equilibrium of sabodam system
disturbed and can cause the other structure collapse or failed.
This phenomenon has occurred in Kali Putih after the eruption of Merapi Volcano on
2010, where several sabodams are collapse triggered by the failure of a sabodam in the
downstream. Some documentation of the tremendous damages caused by the failure of
sabodam in Putih River at Mt. Merapi can be seen in Figure 1. The lahar material from
lahar flood had blocked the Yogyakarta-Magelang National Road at Jumoyo Village. The
lahar flood was triggered by several sabodam failure in the upstream of the road.
Tegalsari
Bridge
new bridge
Source: Final Report of Sabo Technology Development, 2012
Figure 1 The lahar floods occurance triggered by sabodam failure in Kali Putih after the eruption
on 2010
Considering that the failure of sabodam structure can give serious impact like on weir, then
the sabodam implementation start from the design phase, construction, until the operating
and maintenance needs some serious attention so it can be built based on the applicable
standard. Therefore, this paper will try to explain a model or mechanism of inspection to
guide the impelementation of sabodam in order to increase its effectiveness and safety.
1.2. Problem
Still found that the implementation of sabodam does not fulfill the standard requirements
so it function not effectively and make structure damaged even failed. One of the example
of the sabodam that was not built based on the standard can be seen in Figure 2
Pas. Batu Kali Lapis

Beton Bertulang
Beton
t. 8 cm
Source: Prinadiastari, I, and Puspitosari, D. A, 2012 and Final Report of Study Countermeasure Against
Waduk Selorejo Sedimentation With Sabo Technology in Konto River, 2012
Figure 2 (1) On the left is a picture of exsisting sabodam CD Lebaksari 8

(2) On the right is a picture of the design of sabodam CD Lebaksari 8
2
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1.3. Objectives
The objectives of this paper are:
1.3.1. To give information some misunderstanding in sabodam implementation to show

that inappropriate design of sabodam will reduce the performance of sabodam or
even will lead to its failure.
1.3.2. To give information and understanding that inspection activity against sabodam is
very important, especially in its design by fulfill its conformity to the standar that
applicable so can guarantee the safety and performance of the building.
1.3.3. To introduce the mechanism of inspection on sabodam that has already

implemented to ensure the optimation of sabodam function and safety.
1.3.4. To show the weakness in the implementation of inspection today in order to reveal
the opportunity for further improvement.
2. LITERATURE REVIEW
2.1. Inspection
The globalization has become the worldwide issue for recent years. The globalization is the
process of integrating arising from the interchange of world views, products, ideas, and
other aspects of culture. One of the indication of the phenomenon is the increasing of
competition in world trade (http://en.wikipedia.org/wiki/Globalization). Following the
issue, there is a demand for a good quality products and services to be able to compate in
world market. Beside the quality aspect, the safety of products or services becomes an
important aspect as well. Along with this conciousness, the idea to ensure the right of
consumer protection has arised. Inspection activity is one of the efforts to achieve the
quality and safety standard of products and services. The international standard for
inspection body, ISO/IEC 17020 was firstly issued on 1998, since then it has been rivised
several times, and the last revision was in 2012 (SNI ISO/IEC 17020:2012).
According to ISO/IEC 17020, the terminology of inspection is examination of a product,

process, service, or installation or their design and determination of its conformity with
specific requirements or, on the basis of professional judgement with general requirements.
In this definition, there are three interesting elements in inspection: the object of
inspection, the requirements and professional verification. According to this explanation,
the object of inspection is not only the final product, but also the process of design,
production or construction, operation and implementation. Figure 3 shows the types of the
inspection activity on the production cycle.
In the Figure 3, the inspection activities can be done on all phase of the production cycle,
start from the design phase (design verification), on coming phase (material inspection),
manufacture phase (fabrication inspection), installation phase (installation inspection), and
operation phase (in-service inspection).
3
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Concept
Design Design Verification
On Coming Material Material Inspection
Manufacture Fabrication Inspection
Installation Installation Inspection
Operation In-service Inspection
Retirement
Source: Training Module of SNI ISO/IEC 17020:2012 Understanding, 2013
Figure 3 The types of th inspection activities on the production cycle
It is also mentioned in the definition that the object inspected has to meet a set of
requirements. The particular requirements are boundaries to ensure the quality, usually it is
refering to a sort of standard. Another important fact is that the decision of inspection has
to base on professional verification. It means that the personal or institution that conducts
the inspection has to be competent on the subject of inspection which is proved by
competency certificate and experiences. The institution that perform the inspection can be
an organization or part of organization which is called the inspection body. In 2014, there
are 146 inspection bodies in Indonesia that has obtained the acreditation certificate for
inspection from National Accreditation Commitee (KAN), and the number will continue
grow as the increasing of public awareness on the quality and safety of product, including
the quality and safety of public infrastructure.
2.2. Sabodam As A Countermeasure Against Lahar Flood Disaster
The disaster incident in Indonesia shows increasing trend from year to year, not only in the
number of event and victim (Figure 4), but also the disaster most frequently occur are
floods, strong wind, and landslide disaster (Figure 5) than others. The disaster that occurr
caused by sediment movement can be form as floods, such as lahar floods or debris flow
and also landslides. Lahar floods not only happens on the volcanic area caused by
secondary impact of an volcano eruption, but also on the non-volcanic area caused by the
soil erosion of the cliff that get into the river and brought by flow.
Figure 4 Distribution of event and death victim per year on 1815 – 2014 in Indonesia
4
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Source: http://dibi.bnpb.go.id, 2014
Figure 5 Distribution of disaster type on 1815–2014 in Indonesia
Countermeasure against lahar floods has done in physical way or non physical. In the non
physical way by provide early warning system while in physical way by build sabodam on
the river with high possibility for disaster occurs. This activity was include on the disaster
mitigation category according to Regulation No. 24/2007 about Disaster Management.
Generally, countermeasure against lahar floods with sabo done with detaining partly
sediment material on the upstream (sediment production area), controlling the changing of
riverbed on the middle section of river (sediment transportation area), and collecting
sediment material on the downstream (sedimentation area), and drain off residual sediment
material to the most downstream section that is main river or ocean (Takahashi, T, 2007).
As previously mentioned, the frequency and potency of disaster related to water resources
is increasing, including sediment disaster. The public infrastructure for sediment disaster
such as sabodam, has an important role in protecting many lives and avoiding any great
loses. Therefore, it has to be designed carefully in order to ensure its performance and
safety because the failure of its function and structure will lead to greater disaster than the
potency itself. The structure of sabodam needs to be designed according to SNI 03-2851-
1991 Rev. 2004 to ensure the performance and safety of its. The performance of sabodam
refers to its function workability, which means that the structure is capable to control the
sediment movement regarding to its design.
While the safety of sabodam means that the structure can detain the forces such as
selfweight of the building, water pressure, soil/sediment pressure, impact and abration
force, upward lifting force, earthquake force, and another forces. However, the mechanism
to ensure that the implementation of sabodam has already refered to the standard is not yet
clear. The law enforcement to ensure the implementation of standard for sabodam is still
weak. Therefore, this paper will show some examples of sabodam implementation that not
according to the standard and the consequences, moreover an evaluation on the model of
inspection for sabodam to ensure its performance and safety is presented too.
3. METHODOLOGY
The methodology of writing this paper are:
3.1 Collection of Secondary Data
Secondary data collect by study literature includes the standard about inspection body,
the standard of sabodam about Technical Procedure for Designing Sabodam, and also
the reports of the same researches about sabodam that was damaged.
5
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3.2 Results and Discussion
Results and discussion done by descriptive method includes the sabodam condition in
some place in Indonesia, inspection model for sabodam, the reference standard, the
institutional aspect, and legal aspect.
4. RESULTS AND DISCUSSION
4.1 Condition of Sabodam in Indonesia
Sabo Technoloy has already been implemented in Indonesia for more than 40 years,
however it does not mean there are no weaknesses in its implementation. Some of the
broken sabodam in Indonesia are in Mt. Merapi and Konto River in Malang, East Java
Province. Based on the researcher about The Damage Analysis of Sabodam in Merapi
Caused by Lahar Floods After The Eruption on 2010, there was 77 sabodam from 244 unit
that was damaged. Its documentation seen in Figure 7 and Figure 8.
Source: PPK PL G. Merapi, 2013
Figure 6 (1) On the left is a picture of local souring on sabodam PU-D3

(2) On the right is a picture of holey maindam on the left side of sabodam PU-C14
After the eruption of Mt. Kelud on February 2014, it have produced approximately 50
million m3 of sediment material that consist agregate from boulders size until fine agregate
potentially can be transported by the rivers that disgorge to Kelud Volcano, that is Putih
River in Jember Regency and Konto River in Malang Regency. Based on the final report of
study countermeasure against sedimentation of Waduk Selorejo with sabo technology in
Konto River on 2012, there was several sabodam that was damaged as seen in Figure 9.
abrasion
broken
Source: Final Report of Study Countermeasure Against Waduk Selorejo Sedimentation With Sabo
Technology in Konto River, 2012
Figure 7 (1) On the left is a picture of sabodam CD Kaweden 9

(2) On the right is a picture of sabodam CD Tokol
From the example of broken sabodam in some place in Indonesia, the cause of damaged on
sabodam are flow discharge exceed the design; material concentration exceed the design;
impact and abrasion force that happens to the structure (seen in Figure 6 and Figure 7); the
6
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location of sabodam that less precise; the lack of building maintenance; and the
uncontrolled mining activities. Table 1 below shows that most of damages are caused by
the inconformity of sabodam design, such as strength, material quality and location, while
the others are related to the inconformity of maintenance.
Table 1 The inconformity type regarding to the cause of damages

The Cause of Damages The Inconformity Type
The flood discharge and sediment volume -
exceed design capacity.
The abrasion and impact forces work on dam The inconformity of sabodam strength and
body. material quality
The placement of sabodams is too far . The inconformity of sabodam location
The lack of maintenance The inconformity of sabodam maintenance
The uncontrol of sand mining. -
The cause of the inconformity are false perception about sabodam design that similar to
weir (seen in Figure 3); the lack of information and socialization about the standard and
guidance of the sabodam impelementation, and the lack of human resources competency
on sabo design. Meanwhile, the disaster area is usually located in remote area which is far
from the central of resources and information.
4.2 Inspection Model for Sabodam
Actually, the inconformity of sabodam design can be avoided or minimized if

misunderstanding about sabodam design has been corrected according to the applicable
standard, for example by conducting inspection for sabodam. Since the objectives of
inspection are to ensure the performance and safety of sabodam, the whole process in
delivering of the implementation of sabodam is important. Therefore, the sabodam
inspection can be done start from the design, construction, operating and maintenance, and
also for accident. However, until now, the sabodam inspection only focused on design
verification because the lack of applicable standar or guidance of it. The purpose of
sabodam inspection is to guarantee its performance, especially in safety factor by checking
the conformity according to SNI 03-2851-1991 Rev. 2004.
Table 2 The parameters conformity of sabodam design inspection based on SNI 03-2851-1991
Rev. 2004
The Parameters Conformity
Geologycal condition; hydraulic study against runoff possibility and
scouring at outside river bank (if sabodam in the river bend); area with
Location of sabodam
high volume capacity; consolidation each other and can protect from river
degradation; and axis perpendicular to the flow on the downstream.
Shape and dimensions Total length of building includes maindam, crest, wings, subdam, apron,
of sabodam and supporting structures such as side walls and drainage hole.
The height of maindam < 15 m includes self weight of building and static
water pressure on normal and flood condition are considered equal.
The height of maindam > 15 m, divided into 2:
a. Normal condition includes self weight of building, static water
Forces at the building
pressure, soil/sediment pressure, dynamic water pressure, upward
lifting force, and inertial forces caused by earthquake.
b. Flood condition includes self weight of building, static water
pressure, soil/sediment pressure, and upward lifting force.
7
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The Parameters Conformity
Hydraulic design and Flow discharge design, stability of overthrow, shear, foundation pressure,
building stability dynamic water pressure, seepage and erosion, critical path length.
Drawing design of The drawing design of sabodam includes maindam and supporting
sabodam structures.
Material structures ofThe concrete quality for crest and maindam layer, and also the type of
sabodam masonry that used.
The conformity between physical condition of sabodam in the field
Physical condition of
against sabodam document design includes detail engineering design
sabodam in the field
(DED) and drawing design.
The inspection activity that conducted by Sabo Research Center, Ministry of Public Works
has been implemented well. Its shown by the availability of operation standard for
inspection of sabodam included with form contains conformity parameters as seen in Table
2, and also the personnel has competence on sabodam inspection. Although it has been
implemented well, but its still needs to be develop includes adding the types of inspection
acyivity in other process, such as construction or another that supported by new standard.
4.3 The Reference Standard
As mentioned previous, the inspection itself is an activity to ensure the conformity of

something regarding to a set of requirements, which is usually in the form of standards.
Therefore the availability of standard is important in conducting inspection. It was the
basic of inspection whether sabodam has been built properly based on the standard or not
yet. The available standards related to sabodam are as shown below:
Table 3 The available standard related to sabodam

The Standard Title
SNI 03-2851-1991 Rev. 2004 Technical Procedure for Designing Sabodam
SNI 03-2834-1993 Technical Procedure for Designing Mixed Concrete
Pd. T-17-2004-A Procedure of Sabodam Safety from Local Scouring
Pd. T-16-2004-A Technical Design for Dikes on Lahar Rivers
The lack of standard or guidance makes the types of inspection activity is limited only on
design verification and material inspection. On the design verification done by checking
the document design of sabodam according SNI 03-2851-1991 Rev. 2004, and on material
inspection done by checking the document design of material used according to SNI 03-
2834-1993. Meanwhile, to guarantee the performance and safety, the whole process of
sabodam implementation that start from design, construction, operating and maintenance,
and also for accident needs to be inspected. To support it, the standard or guidance that
related to is really needed.
4.4 The Institusional Aspect
On the implementation of sabodam start from budget submission until construction, there
is several institutional involved in the effort to guarantee its conformity and have function
similar to inspection body despite have different object as shown in Table 4.
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Table 4 The institutional that involved in the acts to guarantee conformity of sabodam
implementation
The Institutional Duties
Indonesian People’sTo discuss and give permission or not against the law draft about The
Representative Indonesian’s Budget/APBN (include Ministry of Public Works Work
Council (DPR-RI) Plan and Budget/RKA-K/L Kementerian Pekerjaan Umum).
Inspectorate General
To evaluate the infrastructures implementation (example: sabodam
of Ministry of Public
construction) whether has already implemented good governance and
Works free from corruption acts that persistent to obey the law,
transparency, and orderly administration.
Indonesian Supreme To check the Indonesian’s Budget/APBN implementation in every
Audit Board (BPK) ministries (example: sabodam construction in Ministry of Public
Works).
Consultants To ensure the infrastructure implementation (example: sabodam
construction) based on Ministry Work Plan and Budget/RKA-K/L
that has been prepared.
Inspection Body of To check the conformity of infrastructure (sabodam inspection
Ministry of Public conducted by Sabo Research Center) based on standar or guidance
Works (SNI 03-2851-1991 Rev. 2004 for sabodam).
4.5 The Legal Aspect
To support the implementation of inspection body as previously described, the legal aspect
about inspection body in Ministry of Public Works is really needed to guarantee the
inspection implementation work profesionally and independent. Therefore, in 2014,
Ministry of Public Works has prepared the making of Regulation of Ministry of Public
Works about technical inspection of public works. It expected that the regulation can be
the part of efforts to increase and guarantee the infrastructures quality of public works, and
also the existing standard and guidance can be used nationally.
5. CONCLUSION AND RECOMENDATION
The conclusion of this paper are:
5.1 The cause of damaged on sabodam are flow discharge exceed the design; material
concentration exceed the design; impact and abrasion force that happens to the
structure; the location of sabodam that less precise; the lack of building maintenance;
and the uncontrolled mining activities.
5.2 The inspection activity that conducted by Sabo Research Center, Ministry of Public
Works has been implemented well. It shown by the availability of operation standard
for inspection of sabodam according to SNI 03-2851-1991 Rev. 2004 included with
form contains conformity parameters, and also the personnel has good competency of
sabodam design.
5.3 Meanwhile, to guarantee the performance and safety, the whole process of sabodam
implementation that start from design, construction, operating and maintenance, and
also for accident needs to be inspected. To support it, the standard or guidance that
related to is really needed.
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5.4 On the implementation of sabodam start from budget submission until construction,
there is several institutional involved in the effort to guarantee its conformity and have
function similar to inspection body despite have different object. The inspection body
in Ministry of Public Works has been impelemented to check the conformity of
sabodam design according to SNI 03-2851-1991 Rev. 2004.
5.5 In 2014, Ministry of Public Works has prepared the making of Regulation of Ministry
of Public Works about technical inspection of public works to guarantee the inspection
implementation work profesionally and independent.
DAFTAR PUSTAKA
Hassan, Chandra and friends. (2012): Final Report of Sabo Technology Development, Sabo
Research Center, Yogyakarta, Indonesia.
http://dibi.bnpb.go.id/DesInventar/dashboard.jsp?countrycode=id (downloaded on 13th
March 2014 at 13.15 WIB).
http://en.wikipedia.org/wiki/Globalization (downloaded on 14th Avril 2014 at 13.49
WIB).
Indonesian National Standard. SNI 03-2851-1991 Revision 2004 about Technical
Procedure for Designing Sabodam. Jakarta: Republic of Indonesia, 2004.
Indonesian National Standard. SNI/ISO IEC 17020:2012 about Requirements for The
Operation of Various Types oF Bodies Performing Inspection. Jakarta: Republic of
Indonesia, 2012.
Prinadiastari, I, and Puspitosari, D. A, (2012): The Redesign of Sabodam Design of CD
Lebaksari 8 in K. Konto To Reduce Selorejo Reservoir Sedimentation, Journal of
Sabo, 7:2, pp. 43-54, Sabo Research Center, Yogyakarta, Indonesia.
Puspitosari, Dyah Ayu, and Sumaryono, A. (2011): The Damage Analysis of Sabodam in
Merapi Caused by Lahar Floods After The Eruption on 2010, Journal of Sabo, 7:2,
pp. 93-108, Sabo Research Center, Yogyakarta, Indonesia.
Sumaryono, A, and friends. (2012): Final Report of Study Countermeasure Against
Selorejo Reservoir Sedimentation With Sabo Technology in Konto River, Sabo
Research Center, Yogyakarta, Indonesia.
Takahashi, T. (2007): Debris Flow, Mechanics, Prediction and Countermeasures,
Routledge Taylor & Francis Group, London, UK.
(2013): Training Module of SNI ISO/IEC 17020:2012 Understanding, Water Resources
Research Center, Bandung, Indonesia
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The Development of a Risk Register for an Early Contractor Alliance Dam

Upgrade
K.E. McCann, H. Hawson, and B.W. Wilson.

2(14pt) Golder Associates, Burnaby, British Columbia, Canada
kmccann@golder.com
ABSTRACT:
Significant ground improvement works to address dam safety concerns, including seepage, piping,
and associated damage, were required as part of a major upgrade of an operational hydroelectric
dam in British Columbia. The work had to be planned, controlled, monitored, and effectively
managed, so that sequential events would not develop to compromise the safety of the dam.
Identifying risks and presenting viable mitigating solutions was paramount to achieve a safe
successful project.
The focus of this paper is to outline the development of a dam safety risk register for each element
of the ground improvement work. The aim of the risk register was to ensure that appropriate
measures were in place during construction for the safe and continued operation of the dam.
Development of the risk register commenced with an Early Contractor Involvement (ECI)
workshop, where construction methodologies were discussed, and brainstorming carried out to
identify potential hazards and failure modes related to the construction activities, and to identify
measures that could be implemented to address each issue.
Using a failure modes and effects matrix, the magnitude of risks associated with each work element
was determined. This subjective system allowed the development of appropriate mitigating
measures to accommodate the expected hazards related to the construction process.
The dam safety risk register was reviewed and revised during construction to allow decisions to be
made regarding acceptable and unacceptable work practices and methods. This process ensured
that the contract was completed to the satisfaction of the client, with no significant dam safety
incidents.
Keywords: Dam Safety, Risk Register, Early Contractor Involvement.
1. INTRODUCTION
A program of significant ground improvement work was undertaken to address dam safety
concerns, including seepage, piping, and associated damage, at an existing operational
hydroelectric dam in British Columbia. When constructed some 80 years ago, the right
abutment of the dam had been founded on a rock ridge, with glacially deposited silts,
highly erodible sands, and other glacial deposits comprising the abutment above bedrock.
As a result, the right abutment had a long history of seepage and piping, with problems
experienced in the abutment immediately after first filling of the impounded reservoir.
Over time, many construction applications, including excavation of a drainage adit,
II - 664
grouting, installation of cut-off features, and drainage improvements, were adopted in
attempts to remedy the damage being experienced. Although often successful in the short
term, the ground improvement techniques adopted ultimately proved unsuccessful at
providing a long term solution to the seepage issues.
The integrated ground improvement works, undertaken as part of a major upgrade at the
dam, aimed to address the right abutment’s historic problems, and comprised the following
key construction elements:
 Installation of dewatering wells into unconsolidated rock fill materials located

upstream of the dam to control water levels in the abutment during construction;
 Construction of a 100 m long plastic concrete cut-off wall upstream of the dam
using trench-cutter (hydrofraise) technology;
 Construction of a 40 m long plastic concrete groundwater training wall downstream
of the dam using trench-cutter (hydrofraise) technology;
 Installation of overlapping jet grout columns to replace existing soils, and stabilize
and strengthen the abutment soils underneath the concrete dam; and,
 Installation of a flexible mastic asphalt membrane into a 7 m long trench extending
approximately 25m below ground level into bedrock and connecting the concrete
dam and the plastic concrete cut-off wall at the non-overflow section of the
concrete dam.
2. EARLY CONTRACTOR ALLIANCE
Given the known weakness of the abutment, there was the potential that the construction
activities could result in a dam safety incident, including potential failure of the abutment
and consequent dam breach. Accordingly, the work had to be planned, controlled,
monitored, and effectively managed, so that sequential events would not develop to
compromise the safety of the dam. Identifying risks and presenting viable mitigating
solutions was paramount to achieve a safe successful project.
Acknowledging the technical constraints, dam safety concerns, and to address the unique
challenges and complexity of the project, an Early Contractor Involvement (ECI) alliance
process was implemented for the construction contract.
During the ECI, a Dam Safety program and risk register was developed to establish a
direction for managing risk and to help ensure that all the major aspects of the construction
were carried out and effectively managed in a safe manner. The development of the dam
safety risk register remained a tool that was revisited and revised throughout the
construction process, as site knowledge was gained and ground conditions confirmed.
3. DAM SAFETY HAZARD IDENTIFICATION AND MITIGATION MEASURE

PLAN
The construction activities comprised major ground improvement works that were
completed on the right abutment, within close proximity of the existing concrete dam and
impounded reservoir. The construction techniques adopted, including jet grouting, drilling
and trench cutting, all presented their own risk to dam safety, particularly owing to the
intrusive and often high energy nature of the works, the previous history of small sink
II - 665
holes, and given the use of large volumes of cement, grouts and slurry being introduced to
the ground.
Any one technique had the potential to result in settlement, ground collapse, hydraulic
fracture, inducement of piping, and/or loss of fluid into the abutment, all of which had the
potential to result in abutment and dam failure. The key construction activities presenting
significant dam safety risks were as follows:
 Drilling and installation of dewatering wells into the loose unconsolidated rock fill
located beneath the original cut-off concrete slab feature, upstream of the dam;
 Coring and installation of an inclined, concrete-filled secant wall to act as a barrier
for the migration of grout during high energy jet grouting activities;
 Jet grouting and drilling in the soils beneath and near the concrete dam;
 Construction of the plastic concrete cut-off wall and training wall; and,
 Drilling the cut-off wall tie-in to the concrete dam, and installation of the asphaltic
flexible membrane.
The magnitude of the risks associated with the completion of each project element varied
depending on the nature, location, timing, and scale of the work.
The critical stage of the project, from a safety perspective, was deemed to be when work
was carried out in the vicinity of the dam structure and/or the upstream concrete slabs
(existing cut-off structure). Risks were higher when water levels within the impounded
reservoir, and hence the dam and abutment, were high, therefore key portions of the work
only took place during reservoir drawdown. These critical work activities were identified
in advance of construction as: drilling and installation of dewatering wells; installation of
the secant wall; installation of jet grout columns directly beneath the concrete dam; and,
the final drilling stages of the cut-off wall tie-in, including installation of the flexible
membrane.
A Failure Mode and Effects Analysis (FMEA) assessment was generated for the proposed
works using an approach presented by Vick and Hartford (1995). The risk management
system was developed to be consistent with the ‘as low as reasonably practicable’
(ALARP) principle and allowed the development of appropriate mitigating measures to
accommodate the expected hazards during and related to the construction process. The
purpose of the FMEA was to provide a tool that would help inform both the planning and
construction stages, and ensure the safe and continued operation of the dam.
The dam safety risk register was categorized into each of the key construction activities
and included:
 A description of each risk, determination of likely failure modes, and identification

of possible cause;
 Calculation of Inherent Risk by identifying the potential consequence of each
failure mode and assessing failure likelihood;
 Presentation of detection methods, including monitoring and surveillance, that
could be used to assess potential for dam safety incident during construction;
 Identification of proposed mitigating measures for each of the main project phases,
namely Pre-Construction Design, Site Investigation, Construction, and Response;
and,
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 Calculation of Residual Risk by taking into consideration the changed failure
likelihood from the adoption of the detection methods and mitigating measures.
Human interaction and behavior had the potential to impact and influence dam safety and
accordingly had a specific risk register generated for it.
The inherent and residual risks were calculated to identify impact to dam safety, dam
operations, health and safety, and environment. The adopted classifications for
consequence, likelihood and resultant risk are outlined in Table 1.
Table 1. Risk matrix category classifications

Consequence Category Likelihood Risk
Safe 1 Remote 1 Low 1 and 2
Marginal 2 Reasonably Medium 3 and 4
2
Critical 3 Probable High 5 and 6
Severe 4 Probable 3 Very high 7+
An example FMEA is presented in Figure 1 (inherent risk calculation) and Figure 2

(residual risk designation).
Figure 1. Example calculation of inherent risk
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Figure 2. Example identification of mitigation measures and calculation of residual risk
The identification of sound and robust mitigating solutions was key to achieving a
successful project outcome in terms of Dam Safety.
5. MITIGATION MEASURES
Once the inherent risks had been identified for each of the construction activities, a
brainstorming workshop was undertaken in preparation for construction. During the
workshop a series of mitigation measures were developed with the aim of reducing the
inherent risk to a manageable and acceptable level.
Given that the risk register was being developed at the pre-construction phase, there was
the opportunity for appropriate dam safety controls to be incorporated into the design and
associated construction approach, to ensure adoption of appropriate and safe construction
methods and techniques. A two-staged approach to mitigation was embraced, with
measures presented for (1) the Pre-Construction Stage, comprising both construction
design and planning, and site investigation, and (2) the Construction Stage, incorporating
predominantly monitoring (surveillance) and response during execution of work activities.
5.1. Pre-construction
Construction design and planning measures included integrating protective temporary

works into the construction design (e.g., installation of the secant barrier wall, and the use
of deeper, cutter soil mixed guide walls for the upstream cut-off wall), adopting low impact
construction techniques, developing appropriate work plans and emergency response
procedures, and engaging experienced subcontractors for specialized work activities, as
required, to limit the impact on the dam structure and surrounding soils. In addition, the
scheduling of high risk work activities during reservoir drawdown was deemed to be
critical from a safety perspective and accordingly was included in the risk register.
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During the site investigation stage, investigative strategies were implemented to maximize
knowledge of the ground conditions, as much as reasonably possible, to help inform the
construction process. Additionally, dewatering wells were installed to control water levels
in the abutment during construction.
5.2. Construction
Once measures had been implemented at the Pre-Construction Stage, focus was placed on
the execution of construction in a safe manner with confirmatory monitoring and
surveillance undertaken to determine effectiveness and provide early warning of any
potential dam safety issues.
5.2.1. Enhanced Surveillance and Response
Taking the detection modes and monitoring recommendations outlined in the risk register,
an enhanced surveillance and response plan was developed for the works. The purpose of
the plan was to communicate procedures to facilitate the early identification of any unusual
events caused by the construction activities that had the potential to impact dam safety.
Enhanced surveillance and monitoring was achieved through routine visual inspections and
completion of daily dam safety inspection checklists. As presented in the risk register,
visual monitoring was undertaken to identify signs of potential risk to dam safety,
including unusual ground deformation, initiation of sinkholes, settlement, cracking, or loss
of fluid.
Upon observation of any unusual circumstances, work activities were stopped

immediately, and the potential impact assessed. Construction only resumed upon
confirmation that it was safe to do so.
In general, construction activities were immediately halted upon observation of unusual

events including:
 Settlement of ground and/or suspected development of sinkholes on the abutment

slopes;
 Cracking or deformation of existing concrete slabs;
 Unusual seepage flows from the right abutment slopes;
 Unusual instrument readings confirmed to be outside the normal bounds; and,
 Unusually high flows, elevated pH and/or turbidity observed in weirs and other
drainage features.
6. CONCLUSION
Dam safety was undoubtedly one of the key concerns to the major ground improvement
project, and completion of work activities without significant dam safety incident would
ultimately prove one of the key indicators of construction success. The risk register,
utilized as a dam safety risk management and project management tool, enabled the
identification of likely construction hazards, and helped with the development of sound
mitigating measures that could be incorporated into the construction methodologies,
allowing the level of risk to be managed at an acceptable level.
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The dam safety risk register was reviewed and revised during the construction to allow
decisions to be made regarding acceptable and unacceptable work practices and methods.
It became a valuable knowledge transfer tool, providing connectivity from the pre-
construction engineering team, to the site-based project execution team. Whilst identified
as an important dam safety management tool, clear communication proved vital in the
overall success.
Adoption of the dam safety risk register process ensured that the contract was satisfactorily
completed, with no significant dam safety incidents.
REFERENCES
Vick, S.G. and Hartford, D.N.D. (1995): Failure Modes and Effects Analysis (FMEA),
Report MEP11-5, 4.1-1 to 4.1-6, BC Hydro, Canada.
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Design of cut off wall for Al-Wand

Al Wand dam due to the complex geological
condition foundation
Ghanim M.H. Al-Sultan

Al & Riyan A.H. Al-Obaydi
Obaydi
Engineering Center For Studies And Design, Ministry Of Water Resources, Iraq
design_mosul@yahoo.com
ABSTRACT
Al-Wand
Wand dam is located in Iraq on river have the same name is the middle part of Iraq near
Iranian border, it is 6 km from khanegeen city. The main purpose of this paper is to discus and
evaluate the geological condition of the foundation and to design a seepage
seepage control measure to
guarantee dam safety. Al-Wand
Wand dam is an earth-fill
earth fill dam with ( 24) m height and (1342) m length
with storage capacity equal to( 38 * 106) m3. The geological investigation have established that the
planned Al-Wand
Wand will lay in typically
typically valley in complex geological condition, it is consist of
quaternary and Miocene deposits. The quaternary deposit are represented by silty silty-sandy clays in
the river terraces of the valley. The Miocene deposit is consist of marl and sandstone, the rock
descend in north-north (10˚ to 20˚). Gypsum is found in the marls and
north western direction at angle of (10˚
the sandstone. It form of veins. As mentioned above, it is essential to control seepage through
foundation due to existing of weathered zoned containing ground gro und water and inclination of the
strata in tow direction. The cut off wall should continue along the dam axis (1342) m with variable
depth extend up to max (25) m from bottom of the cut off trench of clay core. After removing the
alluvial deposit
Keywords: cut off , diaphragm , foundation , permeability test ,plastic concrete .
1. INSTRUCTION
Al-wand
wand dam is located in Iraq on a river have same name in the middle part of Iraq near
Iranian border (Figure.1).. The construction of this dam was completed in September
2013.The aim of these paper is to discus and evaluate the foundation situation and design
the cutoff wall to control any possible seepage and piping through foundation may
threatens dam safety.
Al-wand dam is earth fill dam with central clay core with fine and course filter and then
the shell US slope (1:2.5) protected by Riprap and DS slope (1:2) also protected by Riprap,
(Table.1) show the silent feature of the dam.
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Iran
Iraq
Figure. 1 location of Al-wand dam
Table 1. silent feature of the dam and related structures
Item Description
DAM
Height of the dam 24 m
Type Earth fill zoned dam
Volume of earth fill 1*106 m3
Length 1342 m
Reservoir capacity 38*106 m³
Width of crest 10 m
Spill way
Type Ogee concret weir
Length 210m
Discharge capacity 1500 m³/sec.
Bottom out let Tow pipe 1.5 m dia.

Irrigation intake 2 pipe 0.8m dia.

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2. GEOLOGICAL CONDITION OF THE FOUNDATION
The geological investigation have established that the planned Al-wand dam will lay in
typically valley in complex geological condition, it consist of quaternary deposit are
represent by silty-sandy clay in the river terraces of the valley. The Miocene deposits is
consist of marl and sandstone, the rock descend in north-north western direction at angle of
(10˚ to 20˚) Figure. 2.
Tectonically, they form the north-western wing of an anticline, sandstones and marls are
not the upper Fars Formation. The sandstone layer forms separates layer from (1 to 5m)
thick. On the basis of macroscopic observations, the sandstones are classified in two
categories:
a) Fine-grained sand stones, gray in color, with carbonite ironoxide cementation they have
alow compressive strength from 147-313n/m² . which carried out by
AGROCOMIPLECT/Sofia-Bulgaria in the period between 1978-1982 .
b) Coarse-grained sandstones with carbonate-gypsum cementation and a limited
distribution in the vertical section ,they belong to the category of soft rocks,
macroscopically ,the marls are also classified into two categories,
a/ alevritic marls brown in color, wide-spread in the vertical section the terigene
component is of medium to coarse psamitic grains.
b/ alevritic marl of gray to grayish-brown color the terigen component is of fine alveritic
grains.
In marl and sandstones ,gypsum occurs in the form of veins deposited mainly along cracks
spreading in the northerly , north-westerly-southerly, south easterly direction, the vein
thickness observed in out croups and drill cores is for (1-3 cm).
Figure.2 Geological cross section of Al-wand dam
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2. HYDRO GEOLOGICAL CONDITION
The ground water is fed from Al-wand river, however from a higher level, and also from
the rainfalls during the wet period. So the water is accumulated temporarily in some low
laying quaternary clays with gravel . The bed rock consisting of marls and sandstone is
heavily weathered in it is upper part down to a depth 8-10m. The alluvial deposit have high
permeability Table. 2.
Table 2. the measured permeability of foundation beds

Strata Permeability
1 Alluvial clays 0.18 - 0.4 m/day
2 Alluvial gravel with clayey sandy

0.44 - 4.6 m/day
filler
Marls and sandstone
3 a- (upper part 8-10m) 0.01 m/day
b- deeper part Less than 0.01 m/day
3. FOUNDATION TREATMENT
Due to the above mentioned characteristic of the foundation i.e.

a- existence of weathered zone in the bed rock, containing ground water.
b- existence of gypsum in the form of veins.
c- inclination of the strata in tow direction.
Design of seepage control measures in the zones of weathered rocks in the upper part of
the massive will reduce the danger of seepage and any possible piping . And about the
quaternary alluvial deposits and because the high permeability of these deposit, it's better
to be removed and replaced by inverted clay core to depth of the bed rock as shown in
Figure.3
Figure.3 Typical cross section of Al-wand dam
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4. DESIGN OF CUTT OFF WALL
Cut off wall should continued along dam axis with a width of (1m), and to be started from
the bed clay core trench (inverted core) after removing the alluvial deposits, and extend to
a depth depend on the geological condition and due to actual static head of water.
Plastic concrete was used to fill cut off diaphragm because of its good properties including
workability and water tightness and easy procedure for construction. Figure. 4 show
concrete cut off longitudinal profile.
Figure. 4 Concrete cut off longitudinal profile.
5. PLASTIC CONCRETE MIX DESIGN
Table. 3 shows quantity and percentage of the proposed mix design for material used in
plastic concrete.
Item Material Quantity Note
1 cement 137 kg/m3
2 Cement water ratio 0.36

fine 500 kg/m3
3 Aggregate
coarse 825 kg/m3
4 water 380 liter
5 Bentonite 11 % From weight of water
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the limit of the specification of the tests is as follow, compressive strength (0.6 - 3 Mpa),
and the slump (20-3030 cm), and γ more than (1.5 g/cm3)
during the period of contraction a quality control applied to all procedure of mixing and
fermentation bentonite to decrease as possible as the deviation from specification.
laboratory test include compressive strength by tacking six cubs tested for 7, 28 days. And
also laboratory test was taking every specified quantity.
quantity
6. CONSTRUCTION METHOD
Rotary pile machine was used, secant

secan pile method a adopted in construction procedure by
make space (30 cm) between two excavated bores, and after ter casting these two bores and
waiting (28) day then excavate the between with (0.35 cm) overlap in the two sides.
Figure. 5 & 6 show the construction details and depth of cut off wall which reach (2
(25 m) in
some section, a field permeability test was taken using (packer test) to check the
(1 * 10-7 cm/cec). This
permeability of the plastic concrete and the result in between (1-2
indicate good water tightness.
The diaphragm will rise (0.5 m) inside
in the clay core trench to prevent possible seepage.
Figure
igure. 5 Diaphragm profile of construction detail
Cut off walll axis
Figure.
gure. 6 Cut off trench after removing the deposits
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7. CONCLUSION
Due to the complex condition of the foundation and the presence of weathered zone
containing ground water (this phenomena was checked during excavation the cut off by
seeing ground water in some bore while there is no water in nearby bores) so the decision
of removing the recent deposits and erect the cut off wall to a depth beneath the weathered
zone, this decision considered effective solution for dam safety.
The reservoir was filled up to normal water level and the excess water pass through the
spillway in winter (2013) and no abnormal signs was observed.
8. REFERENCES
AGROCOMPLECT. 1980: Technical report, Al-wand project planning report, Volume 1,

Ministry of water resource, Iraq.
AGROCOMPLECT. 1982: Geological and hydrological investigation, Al-wand project
planning report, Volume 3, Ministry of water resource, Iraq.
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Adopting remote sensing in dam surveillance

G. Grzanic
Norwegian Water Resources and Energy Directorate, Oslo, Norway
gog@nve.no
Ø. Lier & I. Ekström

SWECO, Stockholm, Sweden
Y. Larsen & T.R. Lauknes

Globesar, Tromsø, Norway
ABSTRACT:
The application of Interferometric Synthetic Aperture Radar (InSAR), an emerging
measurement technique for deformation mapping on earth and rockfill dams is described.
Traditionally, displacements in dams have been monitored using well understood and
recognized geodetic survey methods. The measuring frequency may impose a problem for
remote and inaccessible dams. In addition, traditional methods result in low surface
resolution.
InSAR has during the past decade emerged to supplement existing monitoring methods in
dam safety. This technique can increase frequency of monitoring and resolution of
measurements points, while decreasing costs. InSAR applies satellite radar measurements
to study movement of structures.
Recently, a series of trials on applying InSAR in monitoring dams has demonstrated the
potential of using this technique to improve dam safety and monitoring of surrounding
areas, to detect deformation over time with millimeter accuracy and steadily improving
resolution. The key advantages of the InSAR technique are: (1) coverage of large areas
(dams, reservoir slopes); (2) high spatial resolution that spot smaller subsidence; (3)
frequent measurement capability at moderate cost; and (4) the possibility accessing
historical satellite imagery databases to validate historical observations.
In order to demonstrate the effectiveness of InSAR measurements to the dam industry and
national authorities, four dams in Norway and Sweden are currently the target of a trial
where InSAR measurements will be verified standard in-situ measurements. The objective
of this paper is to describe this trial, present preliminary findings and discuss the
challenges of adopting remote sensing in dam surveillance.
Keywords: Dam Safety, Dam Policy, Remote Sensing, Dam Settlement, InSAR.
1. INTRODUCTION
With an ever-increasing population of dams approaching their design life, as well as many
dams being remotely located in Scandinavia and with a history of market deregulation, the
dam owners are becoming increasingly aware of risk management and accompanying
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costs. As a manifestation of this, there are increasing demands for monitoring of dam
behavior. Among the basic and most well-tried methods of dam monitoring is observation
of displacement in the dam body.
In case of abnormal dam settlement or movement, a dam safety professional has to consult
the dam’s historical movement data to proscribe the correct countermeasures. In the
absence of good, verifiable data sets, the worst case scenario always has to be assumed to
ensure a safe dam operation. An effective dam safety monitoring program is essential for
dam owners to manage dam safety and the risks associated with the operations and
maintenance of a dam. Good historical records can help avoid costly dam repairs or ensure
that simple measures can be taken to stop a negative development which can cause dam
failure.
New research brings satellite measurements and applications of deformation mapping

closer. Satellite radar measurements in combination with various interpretation techniques
are already used globally to study earthquakes and tectonic deformations by the measure of
ground displacements, monitoring of ice and snow, volcanoes, water level changes, floods,
terrain subs, landslides, etc. In Norway deformation mapping using the Interferometric
Synthetic Aperture Radar (InSAR) technique is used to document and monitor rockslides.
Observations of higher spatial and temporal resolution, as made possible by recent
development in data processing programs, will lead to better assessment of the monitored
hazards. The recent development in the InSAR technology opens up new possibilities to,
with a high resolution, monitor dams for displacements on a millimeter scale.
2. MONITORING DEFORMATIONS AND DISPLACEMENTS IN DAMS AND

SORROUNDINGS
In Norway, deformation monitoring of dams is regulated by law as part of the dam safety.
To ensure early recognition of problem areas at the dam and/or at the slopes around the
reservoir, frequent deformation measurements are necessary. The main component of
whether a dam’s movements are normal is the settlement velocity. This should be slowly
decelerating as the dam ages. External factors such as temperatures and water levels may
influence this, along with extreme factors such as deformation of foundations. Some elastic
movement could be expected following the load cycle from the hydrostatic pressure of the
reservoir.
Theoretically total displacements of 0.5-1% within the dams’ first few decades are normal
for well-designed earthfill dams constructed of good material. In dams where the
materials, design or construction methodology is inadequate, crest settlement can reach 2%
or more and sometimes show a non-decreasing settlement pattern. In the upstream and
downstream slopes the vertical displacement may be higher and may not present the same
decreasing tendency as that which is common for the dam crest. As long as the total
vertical crest displacement is within this range the settlement tendency is one of the most
important factors for verifying the overall condition of the dam.
Traditionally measurements to monitor the displacements are done by manual geodetic

measurements. To capture movement, arrays of bolts are installed in the dam crest and
slopes, as well as in steep slopes along the reservoir brim. The resolution provided by this
mesh varies, but will typically be very coarse. Higher accuracy than that of traditional
II - 679
methods, coupled with a higher resolution, would enable the monitoring program to detect
nascent dam problems at an early stage. An early detection can in turn enable the dam
owner to counter beginning weaknesses or failures at a lower cost.
The recommended minimum observations of deformations per year will depend on the
dams’ track record and consequence classification. Obviously, a large dam, with large
downstream failure consequences, that displays erratic settlement patterns should be
observed more closely than a stable dam with constant, low settlement rates. In the former
case, two observations per year could be sufficient, in the latter annual observations or less
should suffice. The number of observation per year is also affected by load conditions,
where it in regard of dams with unusually large deformations may be required to also make
observations during minimum and maximum reservoir levels. The cost of monitoring high
consequence dams with a distinct displacement response to varying reservoir load may
therefore be high on an annual basis, if relying on traditional monitoring methods. For this
type of dam a clear advantage can be recognized in regard of satellite based monitoring.
Following the suggested rate of development for internal erosion suggested (ICOLD, 2013
bulletin 164 p 119) deformation measurements by satellite can, apart from stability issues,
also be useful in detecting slow/medium processes such as internal erosion, foundation
collapses, piping and various slope stability issues.
3. DEVELOPMENT OF THE GSAR TECHNOLOGY FOR DEFORMATION

MAPPING
Parallel to the development of dams and dam safety, there is a continued evolution of new
technologies and techniques that can improve dam safety and provide new vantage points.
InSAR has evolved from the original SAR methodology in the 1950’s to the heavily
computer-driven signal analysis that is today.
Due to natural geological processes, Norway is highly exposed to landslides that have led
to some of the largest natural disasters known in the country. As potential landslides and
more specifically mountain landslides are under movement for a longer time before failure,
geologists have been trying to identify and continuously monitor risk areas to potentially
predict the occurrence of a landslide event. However due to the large area that needs to be
covered in combination with limited accessibility, the identification of potential risk areas
has been limited.
In the mid-2000s, the Earth Observation department at the Northern Research Institute in
Tromsø (Norut) initiated further development of the Generic Synthetic Aperture Radar
(GSAR) technology [Larsen et al., 2005], which is a modular based software platform for
processing Synthetic Aperture Radar (SAR) data. The development comprised
interpretation of satellite radar signals to extract surface movement information on an mm
to cm scale. First step of the development was implementation of the Small BAseline
Subset (SBAS) algorithm [Berardino et al., 2002], which is highly suitable for detecting
movement in natural terrain. The implementation of the SBAS-algorithm proved to be
very successful as it now was possible to in a time and cost efficient manner map large
parts of the country to detect and quantify movement of potential landslide areas. In
addition new and not previously known risk areas have been identified.
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Due to continuous investments in research and development the Persistent Scatterer
Interferometry (PSI) algorithm [Ferretti et al., 1999] was developed as a second step to
provide increased accuracy in detecting and quantifying mm-scale movements of
infrastructure, such as individual structures and hydropower dams. The combination of
being able to map and monitor mm-scale movements of hydropower dams and nearby
reservoir slopes makes InSAR-techniques a potentially powerful and flexible tool for dam
owners to ensure safe dam operations.
To better understand the possibilities and limitations of applying InSAR for detecting and
quantifying surface movements of dams, a two-year long research project was initiated in
2013 and is planned to conclude 2014. Four dams in Norway and Sweden are included;
Rihpojarvi, Akersvatn, Ajaure and Svartevatn.
Each of the four dams varies in size, construction method and material, topography, as well
as orientation in relation to the satellite measurements. Several of these dams have
previously experienced large deformations for various reasons and are therefore more
densely instrumented and monitored than many other large hydropower dams in
Scandinavia. The proportionally extensive instrumentation and sets of historical data made
these objects interesting in validating the InSAR monitoring capability.
4. PRINCIPLES OF THE INSAR METHODOLOGY
SAR is an instrument commonly installed in polar orbiting, earth observation satellites.

Due to the insensitivity of the SAR instrument to light and meteorological conditions, SAR
is a very valuable tool for long-term studies of dynamic processes on the Earth. A space-
borne or air-borne SAR images the Earth’s surface in a side-looking geometry as shown in
Figure 1. As the SAR moves along its (assumed) straight path, it illuminates a swath on the
ground by transmitting a series of electromagnetic microwave pulses.
Figure 1. Geometry of a side looking Synthetic Apersture Radar (SAR).
A polar orbiting satellite passes any area on the Earth in both ascending and descending
modes. An ascending orbit is defined where the satellite crosses the equator going from
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south to north, and the descending orbit where the satellite crosses the equator going from
north to south, see Figure 2. From Figure 2 it is clear that a descending orbit gives mainly
non-distorted coverage in west facing slopes, and an ascending orbit covers east facing
slopes.
The satellite SAR imaging geometry, shown in Figure 1, limits the applicability to perform
surface displacement analysis in certain areas. The radar is only sensitive to displacement
that has a component in the radar line-of-sight (LOS) direction. Sensitivity is thus limited
in cases where the actual surface displacement vector is near perpendicular to the LOS.
Earth observing satellites in polar orbits fly in a direction close to North-South direction,
and the sensitivity to north-south displacement is low. By combining SAR measurements
from both ascending and descending geometries vertical and east-west movement
components can be extracted.
Figure 2. Satellite radar Line-Of-Sight is in the slant range direction. In this example, the radar
looks approximately towards the west.
Combining multiple SAR observations using multitemporal InSAR techniques can reduce
effects of various decorrelation phenomena. Using multiple SAR scenes leads to redundant
measurements, which can be utilized for more advanced time series methods, such as e.g.
the Small-Baseline (SBAS) InSAR method (Berardino et al., 2002).
The GSAR implementation apply mainly two InSAR time-series techniques, SBAS and
Persistent Scatterer Interferometry (PSI). SBAS-InSAR is more suited for monitoring
natural terrain with low level of vegetation and PSI is more suitable for monitoring
infrastructure and can provide increased resolution on InSAR results.
5. APPLICATION TO A FULL SCALE DAM: SUMMARY OF PRELIMINARY

RESULTS
5.1. Project time frame
In order to build experience and confidence in the methodology, satellite measurements are
recorded during the two years the project runs, to document settlements occurring in the
four targeted dams. In addition long-term movement trends is studied as the project has
access to satellite measurements dating from 2009-2013. Different in-situ data and
validation methods are included to verify accuracy of the InSAR measurements.
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5.2. Results from InSAR analysis
Of the four dams participating in this project, the focus of this paper will be on the
youngest and northernmost one; Dam Rihpojavri which is a 26 meter high rockfill dam
completed 1978.
Figure 3 below illustrates detected deformation at dam Rihpojavri and its surroundings
using the SBAS-InSAR technique. Turquoise color indicates no movement; yellow and red
illustrate subsidence (away from the radar) and dark blue uplift (towards the radar). One
InSAR measurement value represents an area on the ground that is approximately 15 m2
(5×3 m). In this example radar measurements from the TerraSAR-X satellite were applied.
Figure 3. Counter-clockwise from left, Deformation around the Rihpojavri dam detected using the SBAS-
InSAR method, the selected reference point, a zoom on the dam with one point selected on the downstream
facing of the dam. Upper right, the subsidence in mm for each of the satellite images between 2009-2013, all
measurements are in the radar’s line of sight -40o from the vertical in the orientation of the pictures.
5.3 Data validation
In order to ascertain the validity of the satellite measurements, the results were compared
to the settlement records of Dam Rihpojavri. These records were not readily accessible
upon project initiation, as they were not digitalized. Further, the measurements were in an
unknown height reference and coordinate systems. Once the records had been digitalized,
quality checks revealed that the quality was compromised for measurements after 2006.
Continuity problems in the manual data were detected, most likely arising from changes in
personnel, equipment or methodology. Another possible source of derivations is the non-
sampling error in measurements, which for a theodolite or total station is in the order of the
expected ongoing displacement. Where few manual readings have been made the
measurement error has a notable influence on the recorded deformation pattern. Most
pronounced in this case is however a systematic error of unknown origin, most likely
related to changes in reference system, resulting in a more or less parallel shifting of
recorded level. The reason behind the systematic error is yet to be established, but may
concern the positioning of, or possible damage to the benchmark. This emphasizes a clear
benefit of the InSAR method, as it is independent of damage to local benchmarks, or
II - 683
differential readings originating from different equipment being used during different
manual readings of the measurement points. The flaws in the manual data revealed during
the project emphasized the problems in maintaining a continuous range of reliable manual
data. However, for the same reason, it complicated the validation of the InSAR process in
regard of Rihpojavri, due to the lack of reliable manual geodetic displacement data.
Below, in Figure 4, the manual readings from 1979-2012 has been compared with the
InSAR data for four measurement points located near the crest of the dam in the highest
sections.
180
130
Displacement in mm
80
30
-20
-70
1.10.1978 7.3.1983 12.23.1988 6.15.1994 12.6.1999 5.28.2005 11.18.2010
70/90V 80/90V 80/90L 85/82L
70/90V 85/82L 80/90V 80/90L
Figure 4. Cumulative deformations for four measurement points in the highest sections of
Rihpojavri (70/YY-90/YY). XX/90 represents the dam crest, XX/82 the dam face. XX/YYL
indicates downstream, XX/YYV upstream dam face. The manually observations (dotted lines)
follow an expected settlement pattern until 2006, where the data quality of the measurements
become dubious. From 2009-2013 InSAR data (continuous lines) is included using the 2010
physical measurement as starting point for comparison purposes.
The comparative plots of the four points examined in the preliminary analysis, three of the
datasets have a strong match in trends, while the last diverge somewhat. As illustrated in
II - 684
Figure 4 above, the quality of the manual data makes this dataset unreliable from 2006 and
onwards. Even though the absolute displacements will be verified by in situ measurements
planned for the summer 2014, it can be observed that the InSAR analysis points to a much
more probable trend. The measurement campaign will also decide whether the divergent
fourth dataset might be caused by a horizontal component, or an actual slump in the dam
face.
6. CONSIDERED APPLICATIONS OF INSAR
The preliminary results from the dam Rihpojarvi analysis indicate a clear potential for the
InSAR method to contribute to the dam safety monitoring instrumentation. Although it this
far, due to gradually revealing inconsistencies in the manual data, as was the case in the
analysis of Trängslet [Larsen et al., 2013], has not conclusively been possible to verify the
accuracy of the InSAR method, the data this far indicates a reliability in the method.
Further validation of the method will be conducted in the analysis of the remaining three
dams. In the light of the recent development the following possible applications of InSAR
in dam documentation and monitoring can be seen:
 Enhanced inspections – InSAR monitoring can provide long term trend data and
critical measurements that are not discernible by visual inspections. Structural
response data helps correlate inspection findings and manage loading conditions by
providing a measurable link between cause and effect.
 Verifying the performance of new structures - Comparing design vs. actual construction
by measuring how a new structure responds to loads provides important indicators for
how the structure will perform in the future. If the structural responses are within the
expected values, the structure will be more likely to perform according to design.
 Inspection and maintenance - Response monitoring fills in the gaps between periodic
inspections by providing trend data and critical measurements that are not discernible
by periodic visual inspections.
 Near real-time management - By regularly monitoring and reporting structural

responses and environmental measurements, engineers have continuous awareness of
their structures and can observe and react to immediate changes between scheduled
inspections.
 Long term monitoring and early warning - Structures that have an elevated risk of or a
high consequence of failure, might be appropriate for a monitoring program where data
can be gathered by satellite with delay of only a few days. Based on analytical data,
information driven inspections can be directed to where weaknesses are detected.
 Association with other research programs - Measurements encompass the reservoir

area, for landslides into the reservoir as well as the terrain near abutments, for which a
pilot project has been presented in [ICG Report 2008-10-1].
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7. CONCLUSIONS AND CONTINUED WORK
The InSAR method shows a clear potential to improve surface deformation monitoring in
dam safety. A denser net than what is common for manual geodetic observation points
promises a higher resolution and the method opens up the possibility of monitoring large
adjacent areas of importance to a competitive cost. The advantage is particular when there
is a necessity to monitor large areas. The initial investment for the method is still
significant compared to traditional survey methods, but once initiated the incremental costs
for a high frequency of updates is low. Further, in relation to spatial resolution and area
covered the price for monitoring using InSAR is limited compared to traditional methods.
The cost for acquiring satellite images is likely to continue to decrease in the future,
meaning that remote sensing will be more competitive as the market matures. Compared to
data from manual readings the project has this far demonstrated a clear advantage in its
independence from performance of local fix and measurement points and the repeatability.
A weakness is that the method is yet untested on a large scale, meaning that the effects on
the monitoring result from local divergences or conditions are yet to be confirmed. This far
in the project there has been difficulties in verifying the potential of the method fully,
mainly due to lack of quality controlled verification data (i.e. inconsistencies in manual
historical records). The preliminary results are successful so far, in that they have shown
the potential weaknesses in manual data collection as well as confirming some of the
movement observed. It also highlights the demand of validation and quality control of
geodetic observations. In contrast to InSAR, where satellite images now are available for
the past 15 years, there is no possibility to fill in missing manual readings or to verify
dubious past observations.
The project has this far indicated a clear potential for InSAR and the forthcoming process
will focus on further validating the deformation observation results against manual
observations. Once validated with regards to performance wiz. the dam safety sector, the
InSAR technique can consider in the early stage of development to be used as a
redundancy method for deformation measurements. That means both as an independent
duplication of a measuring device or the possibility to check or reconstruct measurements
by means of another measuring installation.
ACKNOWLEDGEMENT
The authors wish to thank all participants for their collaboration and contribution to this research
project; Norwegian Space Centre, Energy Norway, Elforsk, Troms Kraft, Statkraft, Sira Kvina,
Vattenfall and the German Aerospace Centre (DLR).
REFERENCES
[Berardino et al., 2002] P. Berardino, G. Fornaro, R. Lanari and E. Sansosti. A new algo-
rithm for surface deformation monitoring based on small baseline differential SAR
interfer- ograms. IEEE Transactions on Geoscience and Remote Sensing, 40(11):
2375–2383, Nov. 2002. doi:10.1109/TGRS.2002.803792.
[Ferretti et al., 2001] A. Ferretti, C. Prati and F. Rocca. Permanent scatterers in SAR inter-
ferometry. IEEE Transactions on Geoscience and Remote Sensing, 39(1): 8–20, Jan.
2001. doi:10.1109/36.898661.
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[Larsen et al., 2005] Y. Larsen, G. Engen, T. R. Lauknes, E. Malnes, and K. A. Høgda, “A
generic differential InSAR processing system, with applications to land subsidence
and SWE retrieval,” Proc. Advances in SAR Interfer- ometry from ENVISAT and
ERS missions (FRINGE 2005), ESA ESRIN, Frascati, Italy, November 28 -
December 2, 2005.
[Lier et al., 2013] Ø Lier, I. Ekström, Y. Larsen and T. R. Lauknes, “The application of
InSAR for satellite based monitoring of dams”, Hydropower 2013 and 3d
International Conference on Rockfill Dams, Kunming, China, November 1 – 3, 2013.
NGI Report 20100078-00-1-R, Fjernanalyse i naturskade og urbane applikasjoner”, 2011.
ICG Report 2008-10-1 / NGI Report 20061327-2, Mapping of rock slides into reservoirs
and lakes. Norwegian lakes exposed to tsunami generating rock.
Norwegian Dam Safety Regulations - Forskrift om sikkerhet ved vassdragsanlegg
(damsikkerhetsforskriften) FOR-2010-01-29-63; Norway.
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Instrumentation of Utxesa Dam

Felipe Río Iglesias

Engineering & I+D, Endesa Generación, Madrid, Spain
felipe.rio@endesa.es
Francisco José Conesa Baños

UPH Ebro Pirineos, Endesa Generación, Lleida, Spain
ABSTRACT:
Nowadays still in operation dams built some hundred years ago, eg. Cornalbo and Proserpina
dams (Spain), reservoirs to water supply that are more than two thousand years old. An
appropriate management of a dam, including monitoring, surveillance and maintenance, to prevent
potentials anomalous behaviours, is the best way to maintain dams functionality, in safe way, for
many years.
Basic tool to check the behaviour of a dam is monitoring, with appropriate instrumentation, the
dam body and its foundation, besides surveillance and visual inspections. Several parameters that
explain the state of the dam are collected and analyzed in order to check that the dam behaviour is
correct: pore pressures, uplift, movement, etc.
Currently all dams are designed and constructed with the instrumentation required in order to
register the basic parameters that characterize its behaviour. However in the past, with a
knowledge about dams itself, materials properties, geotechnical characteristics of foundations, etc.
not as extensive as nowadays, many dams were built without any instrumentation or monitoring,
being analyzed only with the support of visual inspections.
The instrumentation of an old dam has its own particularities because could not be possible to
install the devices in the same way that in a dam under construction or in other case could be very
difficult and expensive. Thus, in order to decide the most appropriate equipment for the dam a
detailed analysis of it and its characteristics should be done.
This paper shows the instrumentation of Utxesa dam, a homogeneous earthfill dam built in 1914.
The dam, 28m high and 400 m length, creates a multipurpose reservoir (hydropower, irrigation,
water supply) 4 IIm3 capacity. The instrumentation implemented includes control of movements,
pore pressures, uplift and seepage, as well as the installation of an automated system of acquisition
and transmission of data.
Keywords: Old Dam, Earthfill, Monitoring.
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1. INTRODUCTION
The Utxesa dam is the main element of the hydropower plant of Seròs, alongside the dams
of Valleta and Secà and the Seròs Canal.
The reservoir is named after the Utxesa dam, which is the highest of the three dams
enclosing it. They all are the same kind and were built simultaneously.
The construction of the three dams, the hydropower plant, the adduction canal (with a total
length of 27,4 km and a capacity of transport between 60 and 120m3/s, was performed
between 1913 and 1914, becoming a milestone in the construction of hydraulic
infrastructure in Spain or even in the world.
Figure 1. The Utxesa dam under construction, in 1913.
This paper provides the description of the works carried out in order to provide the Utxesa
dam with a minimum auscultation system that allow have a proper control of the structure.
This description also applies to the dams of Valleta and Secà. Since they have identical
characteristics, the auscultation system is similar to that of the Utxesa dam.
2. DESCRIPTION OF THE DAM
The Utxesa dam is an embankment built with soil proceeding from its foundation, from the
canal and from neighbouring areas and is constituted mainly by a mix of sandstone, marls
and layers of clay. The most impervious materials, which had greater percentage of clay,
were disposed at the upstream shell of the dam. The upstream shell is protected against
waves with a local stone riprap. At the toe of the upstream face there is a cut-off trench
filled with impervious materials.
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The height of the dam over its foundation and over the river bed is 27,9m and 20,71m
respectively and its length in coronation is 400m. The slope of the upstream shell is 3/1
and that of the downstream shell is 2/1. The dam is equipped with a labyrinth spillway, a
rare kind of spillway when the dam was built, like proof that this kind of spillways still
being analysed today.
Figure 2. Utxesa dam: a) cross section, b) current view of the downstream face
3. AUSCULTATION SYSTEM
Originally none of the three dams had any efficient auscultation system that permitted to
control the movements, the pore pressure or the seepage. The analysis of the behaviour of
the dam was deduced from the result of periodic visual inspections, which are basic and
essential but not sufficient in regard to the surveillance of a dam.
With the aim of providing the dam with a basic auscultation system that led to a better
control of its behaviour, a study about which monitoring would fit a 100 year old dam in
order to get the necessary information without damaging it was performed.
In earth dams it is essential to monitor the displacements, pore pressures in the dam body
and its foundation as well as potential seepage or leakage trough both.
Thus, the designed system to monitor the Utxesa dam was bases on the three mentioned
pillars.
Furthermore, and with the purpose of characterising the materials in the dam body as well
as in its foundation, three boreholes were drilled from the top of the dam in which the core
was recovered. The holes were used to install vibrating wire or open tube piezometers.
3.1. Hydraulic monitoring
The control of the hydraulic parameters is maybe the most important issue in earth dams. A
proper control of the pore pressures of the dam body and its foundation alongside an
effective system to collect and monitoring the potential seepage through them gives
valuable information to evaluate the security of the dam.
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3.1.1. Monitoring of the piezometric level
Four open tube piezometers were installed in two sections of the dam – two of them in
each – and they provide data about the water table and its transverse variation.
The boreholes for the piezometers were executed by means of percussion rotary air blast
drilling. The hydraulic drilling machine was assembled on caterpillar tracks and the
drilling diameter was 120mm.
In the interior of the hole the precise number of pipes was installed in order to reach the
bottom. The lowermost pipe was perforated and was covered with a drainage geotextile.
The annular void between the geotextile and the soil was filled with screened sand and the
rest of the hole was filled with a mixture of cement and bentonite.
The pipes are made of PVC of 60x52mm and the joint between them is done by means of
male / female threads. The perforations in the piezometric pipe are 1mm wide and are
separated between them 8,0mm. The geotextile used to cover the perforated pipe had a
coefficient of permeability of 5 cm/s ·10-1.
Figure 3. Installed open tube piezometers (right margin).
3.1.2. Monitoring of pore pressures
With the aim of monitoring the field of pore pressures in the dam body as well as in its
foundation, a total of five vibrating wire piezometers were installed, three and two of them
in each hole.
The holes were drilled with the already described procedure. The boreholes were also used
taking advantage of the knowledge they had given about the whole stratigraphy of the body
of the dam and its foundation thanks to the fact of having recovered their core.
The boreholes had been drilled without introducing water in the soil to prevent it from
erosion. The drilling diameter was 101mm and it was reduced to 86mm with continuous
recovery of the core.
The obtained samples were kept in properly identified parafined cardboard boxes for its
ulterior use.
At the level where the pressures are read, the piezometers are housed at the bottom of the
hole and were surrounded by a layer of screened smooth sand by way of natural filter.
Afterwards the next half meter was filled with bentonite by way of a bung to isolate the
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sand. Then a mixture of cement and bentonite was poured to fill the rest of the hole up to
the level of the next piezometer, and so on until the top of the hole was reached.
Figure 4. Installed vibrating wire piezometers
Eventually, the piezometers were connected with the monitoring centre through a network
of wires that take the results or the signal.
3.1.3. Seepage monitoring
In order to monitor potential seepage through the contact between the dam body and the
foundation, collecting channels were made all around the perimeter of the dam.
The channel in the right abutment finishes at a collecting well located at the base of the
dam that is provided with a stream gauge that reads the amounts of water coming from the
right abutment.
This drainage also collects the seepage coming from the right slope, but it is monitored
independently by means of another stream gauge.
Similarly, to monitor the seepage coming from the left abutment, another system to collect
seepage was built there with its own stream gauge, since the flow is collected in the same
pool that which comes from the right abutment.
Finally, in order to monitor the seepage from the toe of the dam, a drainage ditch with its
own stream gauge was installed there.
Figure 5. Seepage collecting channel and automatic stream gauge
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3.2. Deformation monitoring
The deformation monitoring of the Utxesa dam is constituted by a topographic monitoring

system to control horizontal and vertical displacements by means of collimation and
levelling, respectively.
The monitoring of the horizontal movements is controlled thanks to a collimation system
installed on top of the dam. This system consists of two references on each margin and 15
measuring points on top of the dam, separated 25m from each other.
The monitoring of the vertical displacements at the top of the dam takes advantage of the
same measuring points.
Figure 6. Plant of the deformation and seepage monitoring
3.3. Automation
In addition to manual data collection, and with the aim of obtaining a continuous data
register that allow an appropriate control of the behaviour of the dam, the monitoring of the
seepage of the dam body and foundation pore pressures has been automated.
The following device has been installed:
- Local PC with an acquisition data system with multiplexed connection that allows
to gather and store the data as well as to display the results.
- Mini SLP to access the seepage data. The mentioned computer is provided with
software (SLP) that allows to acquire, to process, to store and to filter the data of
read magnitudes.
The SLP is provided with communication software that allows the connection via
telephone and/or TRAME ii (Ethernet) with the Exploitation Central computer, making it
possible to remotely survey the installation, to report alerts and to transfer data to generate
the historical centralised report of the dam (both automatically and under request).
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Automated Data C.Server
verServer
Trame
GSM/GPRS
Modem Tel. / RTC

sensors PCI
Figure 7. Scheme of the automatic data acquisition and storage system
The register of the auscultation data is done thanks to a self-developed software called
SIPE (System of Information about Dams of Endesa), which stores and manages the data
that the different auscultation devices provide.
This way, it is possible to control the dams in real time, to generate historical data files for
the automatic management of the data as well as to provide figures and reports that make
analysis and diagnose about the behaviour of the dams easier.
Figure 8. Example of topographic auscultation registers from SIPE
4. CONCLUSIONS
It has been shown that it is possible to modernise and update the surveillance and
auscultation system in old dams, implementing in them the most modern tools at each
stage.
Once the modernisation has been implemented, the process is not over since it has to be
understood as continuous. The needs of auscultation must be periodically checked, new
complementary instruments must be installed if needed and existing instruments must be
renewed.
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In the specific case of embankment dams, the available techniques to install the
instrumentation and the advance in the instrumentation itself make it possible to monitor
the behaviour of an old dam with results that would be considered appropriate for a newly
built dam in regard to data acquisition (seepage, pore pressures and displacements), the
trustworthiness of the data as well as its process and storage.
The possibilities that the auscultation techniques, the gathered knowledge about dam
behaviour interpretation as well as the maintenance operations, make it possible for old
dams to continue to be in service in keeping with the standards of security.
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An investigation on the bulging phenomenon in the clay core of rockfill dam

based on the stress and pore water pressure data
J. Bolouri Bazaz
Associate Professor, Civil Engineering Department, Ferdowsi University of Mashhad, Mashhad, Iran
bolouri@um.ac.ir
H. Gholami
M. Sc. in Geotechnical Engineering, Abpooy Consulting Engineers, Mashhad, Iran
M.T. Bolouri Bazaz

Ph. D. Student, Geotechnical Engineering, Abpooy Consulting Engineers, Mashhad, Iran
ABSTRACT
The Masjed Soleyman dam is a central clay core rockfill dam with the height of 177 meter and
490m long center core. Throughout the dam construction, reservoir impounding and operation
comprehensive monitoring had been carried out to verify the dam behavior. The monitoring of the
dam behavior was based on measurement data of instruments installed on the dam body and
foundation. This research present research presents an overall review of the dam behavior during
the first impounding and summarizes the recorded measurement of major instruments. These
instruments are in the field of stresses and pore water pressure in the clay core. Also substantial
rotation of the principal stresses direction had been investigated. The rotating
rotating angles of respective
points were generally constant, but slight increases in the angles after full impoundment has been
observed in the downstream side of the core. This is an indicative of a progressing shear zone and
would lead to bulging of the core in the lower level. In the clay core due to the very low
permeability of the clay material, the dissipating process of the pore water pressure hadn’t been
continuing with notable progress (in the past 13 years after the first impounding). So the clay
behavior as an undrained material and volume change is not significant especially in the center
area of core. This is the main reason for developing the lateral deformation in the clay core which
called bulging.
Keywords: Rockfill dam, clay core, Masjed Soleyman dam, bulging, pore water pressure.
1- INTRODUCTION
The Masjed Soleilman (MES)
MES) dam is a 177 m high and 490 m long center core type
rockfill dam (Engineering Report of MES dam, 1993). Construction of the dam body and
power plant was commenced in December 1994 and the embankment of the main dam was
completed in November 2000. The reservoir impounding was commenced on 19 December
2000 and the reservoir water level reached at el. 371 m on July 2002. Deformations due to
the first impounding of dam reservoir can lead to changing of dam safety,
safety, which implies
the importance the monitoring after the first impounding (Soroush and Araei, 2006).
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Throughout the dam construction, reservoir impounding and operation comprehensive
monitoring had been carried out to verify the dam behavior so that stability and safety of
the dam were ensured (Engineering Report of MES dam, 1993). The monitoring of the
dam behavior was based on measurement data of instrument installed in the dam body and
foundation and geodetic survey results of the dam surface as well as daily visual
inspection.
Noticeable numbers of the instruments malfunctioned or damaged in the period of the
construction. It’s notable that, the surface settlement of the dam had been continuing and it
was still not evident that the settlement had gone into a stable state. The residual excess
pore pressure in the core was still high after 11 years from first impounding. Developed
excess pore water pressure in the clay core of zoned rockfill dams during the construction
period and first stage impounding, may lead to initiation or progression of hydraulic
fracturing. The ability to predict the development and dissipation of these pore pressures is
important in assessing the performance of such structures. This phenomenon also depended
on the arching effect status of the core zone due to difference in stiffness of materials.
(Maleki and far, 2004). In present study, the received data from stress and pore water
instruments (section 260) analysised to understand the dam’s deformation behavior. Also,
the graphs drew just for available data’ instrument. The symbols of instrument’s situation
are shown in table 1.
Table 1. Symbol of instrument’s situation

symbol Situation
U/C Upstream (in core)
CL Center of core
D/C Downstream (in core)
U/Filter Upstream (in filter)
D/Filter Downstream (in filter)
U/Shell Upstream (in shell)
D/Shell Downstream (in shell)
2- EARTH PRESSURE
The stress in dam body has been measured, using total pressure cells which are installed in
the core, downstream filter and downstream shell from the beginning of the embankment
(Figure 1.), The total pressure cells in the upstream side of the core and upstream filter
malfunctioning and data in these portions were not available.
A
Total pressure cell

B
45 45
Figure 1. Earth pressure gauges in one cluster
The Stress ratio was defined as a ratio of the actual vertical pressure to the apparent
pressure calculated from the embankment weight (γH) above the measuring point. The
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positions of the instrument that was workable are shown in table 2. Variation of the stress
ratio (σv/γH) at respective measuring section (CH. 260) are shown in figures 2 to 4. In these
graphs, RWL is the water level behind the dam. The stress ratio in the core was in a range
(0.6 -0.7) and that in the filter are (0.7-1.40). This phenomenon caused by arching in the
core zone.
Table 2. Situation of instrument in CH. 260

Instrument Elevation Situation
2103 230 CL
2104 230 D/C
2105 230 D/Filter
2107 230 D/S
2202 270 CL
2203 270 D/C
2304 310 D/C
2305 310 D/Filter
1.80 450.00
1.60 400.00
350.00
1.40
300.00
1.20
250.00
Level (m)
Arching Ratio
1.00
200.00
0.80
150.00
0.60
100.00
0.40 50.00
0.20 0.00
EP-2103 EP-2104 EP-2105 EP-2107 RWL Embankment Level
Figure 2.Vertical stress ratio at 230 elevation (CH. 260 m).
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1.00 450.00
0.90 400.00
350.00
0.80
300.00
0.70
Arching Ratio
250.00
Level (m)
0.60
200.00
0.50
150.00
0.40
100.00
0.30 50.00
0.20 0.00
EP-2202 EP-2203 RWL Embankment Level

Longterm Variation
2.50 450.00
400.00
2.00
350.00
1.50 300.00
Arching Ratio
250.00
Level (m)
1.00
200.00
0.50 150.00
100.00
0.00
50.00
-0.50 0.00
EP-2304 EP-2305 EP-2306 RWL Embankment Level
Principle stresses in the dam body are calculated from the measurement data of the total
pressure cells at the respective measuring points. Variations of the effective stress paths in
the core expressed with relationship between p = (σ 1 + σ 2 ) / 2 and q = (σ 1 − σ 2 ) / 2 ,
together with the measured pore pressure (pu) in this equation p' = p − pu . The values are
shown in figure 5 to 7 which indicate a trace of Mohr’s stress circle peak. The strength
parameters in this failure criterion are soil cohesion and internal friction angle. The values
of them are 20 kN/m2 and 30° respectively. The points above the failure envelope show the
yielding condition.
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140.00
p'-q relationship
C=20KN/m2, phi=30deg
120.00
100.00
80.00
q(KN/m2
60.00
40.00
20.00
0.00
0.00 20.00 40.00 60.00 80.00 100.00 120.00 140.00 160.00 180.00 200.00
p'(KN/m2)
Figure 5. Effective stress path in (p'-q) space (Sec. 260, El. 230, Core CL)
500.00
p'-q relationship
450.00 C=20KN/m2, phi=30deg
400.00
350.00
300.00
q(KN/m
250.00
200.00
150.00
100.00
50.00
0.00
-200.00 -150.00 -100.00 -50.00 0.00 50.00 100.00 150.00 200.00
p'(KN/m2)
Figure 6. Effective stress path in (p'-q) space (Sec, 260, EL230, Core D/S)
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160.00
p'-q relationship
140.00 C=20KN/m2, phi=30deg
120.00
100.00
q(KN/m2) 80.00
60.00
40.00
20.00
0.00
-200.00 -150.00 -100.00 -50.00 0.00 50.00
p'(KN/m2)
Figure 7. Effective Stress Path in (p'-q) space (Sec. 260, EL270, Core CL)
Deviation of the orientation of the maximum stress from the vertical direction is presented
in Figures 8 and 9. These graphs pointed out substantial rotation of the principal stress
direction to the upstream in the core, which was indicative of a progressing shear zone and
would lead to bulging of the core.
100.00
390
80.00
370
60.00 350
40.00 330
Level (m)
Orientation
310
20.00
290
0.00
270
-20.00
250
-40.00
230
-60.00 210
15-Mar-00
28-Mar-09
20-May-99
01-Dec-96
24-Jul-98
09-Jan-01
14-Dec-05
10-Oct-06
06-Aug-07
22-Jan-10
05-Feb-96
27-Sep-97
05-Nov-01
01-Sep-02
28-Jun-03
23-Apr-04
17-Feb-05
01-Jun-08
orientation RWL Embankment
Figure 8. Orientation of principal stress direction (Sec, 260, El. 230)
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50.00
390
40.00
370
30.00
350
20.00
Orientation
330
Level (m)
10.00
310
0.00
290
-10.00
270
-20.00
-30.00 250
-40.00 230
-50.00 210
23-Apr-04
05-Feb-96
27-Sep-97
01-Sep-02
28-Jun-03
17-Feb-05
01-Jun-08
14-Sep-11
01-Dec-96
24-Jul-98
15-Mar-00
14-Dec-05
10-Oct-06
06-Aug-07
28-Mar-09
09-Jan-01
05-Nov-01
22-Jan-10
18-Nov-10
20-May-99
Orientationi RWL Embankment
Figure 9. Orientation of principal stress direction (Sec, 260, El. 230)
3. PORE WATER PRESSURE

Pore pressure in the dam body had been measured by using pore pressure gauge installed
in the center and downstream side of the core. The pore pressure gauges in the upstream
side of the core were malfunctioning data in these portions were not available.
A ratio of the pore pressure to the measured vertical earth pressure (letter M in graphs) and
to the principal stress (letter S in the graphs) are shown in figure 10-12. Variation of these
values indicates a dissipating process of pore water and air form the core. The level of the
pore pressure ratio after 11 years from the embankment completion was high. These had
been continuously decreasing since the full impoundment at a slow rate.
The ratio of the pore pressure in the lower portion of the core was still at the high values of
90%. Therefore, the measurement results were simply indicative that the dissipating
process of the pore pressure in the core of the MES dam was extremely slow.
Considering that the pore water pressure is an isotropic tension and the main stress is also
zero in shear conditions. It can be concluded that the pore water pressure ratios calculated
on the principal stresses is closer to reality than base on the total stress.
II - 702
Longterm Variation
1.05 400.00
350.00
1.00
300.00
250.00
Pore Pressure Ratio

0.95
200.00
Level (m)
0.90
150.00
100.00
0.85
50.00
0.80 0.00
EP-2103(D/S,230m,M) EP-2103(D/S,230m,S) EP-2104(D/S,229.94m,M)

EP-2104(D/S,229.94m,S) RWL Embankment Level
Figure 10. Pore Pressure ratio at 230 elevation (CH 260)
1.20 400.00
350.00
1.15
300.00
1.10
250.00
Pore Pressure Ratio
1.05
200.00
Level (m)
1.00
150.00
0.95
100.00
0.90
50.00
0.85 0.00
EP-2202(D/S,270m,M) EP-2202(D/S,270m,S) EP-2203(D/S,270m,M) EP-2203(D/S,270m,S) RWL Embankment Level
II - 703
4. EFFECTIVE STRESS
Variation of the effective stress in the middle and downstream part of the core at 280
elevation are shown in figures 13-15. In these graphs, horizontal axis is the distance of the
left side to right side of the dam axis and the elevations of abtuments are shown. Effective
stress in the CH. 260 had been very little increased after impounding, this mater indicates
that the condition is undrained and the progressive of consolidation is very low. Also at
310 elevation in CH260 the effective stress have little increase after impounding (report on
monitoring of MS dam behavior, 2014).
300 400
380
250
360
200
340
Effective stress (KN/m 2)
Elevation (m)
150
320
100 300
280
50
260
23-Nov-00
0
22-Jun-02
240
14-Dec-05
-50 Elavation 220
Crest
-100 200
0 100 200 300 400 500
R/S
L/S Distance(m)
Figure 13. Effective stress in middle part of the core at 280 elevation along the axis' dam
II - 704
400 400
380
300
360
340

200
320
Elevation (m)
100 300
280
0 23-Nov-00
22-Jun-02 260
13-May-09
240
-100 Elavation
Crest
220
-200 200
0 100 200 300 400 500
R/S
L/S Distance(m)
Figure 14. Effective stress in downstream part of the core at 280 elevation along the axis' dam
400
750
380
650
360
550 340
450 320
300
350
280
250
260
23-Nov-00
150 22-Jun-02
240
13-May-09
50 Elava tion 220
Crest
-50 200
0 100 200 300 400 500
L/S Distance(m) R/S
Figure 15. Effective stress in downside of the core at 310 elevation along the axis' dam
5. CONCLUSION
By considering the fact that the surface settlement had been continuing without notable
progress of consolidation and Pore pressure ratio for most sections of core is high (over
0.8). Also, the orientation of the stress to upstream was indicative of a progressing shear
zone and would lead to bulging of the core.
Bulging of the downstream part of the core is expected to occur at mid-height and below.
Such bulging will certainly lead to a deformational response of the adjacent part of the
filter and the downstream shell. This is the main reason for developing the lateral
deformation in the clay core. It’s notable that the settlement of the foundation not expected,
so it’s lead to mobilize the pressure to adjacent part of downstream of core and amplify the
deformation this part of dam body.
ACKNOWLEDGMENT
The present research has been commissioned by the Geotechnique Department of the Ab-
Pooy Consulting Engineers. This study was a part of the Stability Analysis of Masjed
Soleyman dam project.
II - 705
REFERENCES
Abpooy consulting engineers, (2014): report on monitoring of MS dam behavior.
Khalili, A. and F. Jafarzadeh, (2006): Evaluation of strength parameters of Masjed
Soleyman Dam clay core using CPTU.
Maleki, M. and A.A. Far, (2004): safety evaluation of masjed-e-soleyman rockfill dam,
during construction and first stage impounding, in Uncertainty in Safety Evaluation of
Embankment Dams.
Soroush, A. and Araei, A.A. (2006): Analysis of behaviour of a high rockfill dam,
Proceedings of the ICE-Geotechnical Engineering, 159: p. 49-59.
Lahmeyer International and Moshanir, (1993): MES Dam Design Report, Vol. 1.
II - 706
REINJECTION OF VERTICAL JOINTS IN ARCH DAMS

BY MEANS OF HIGH
1 (14pt)
PRESSURE RESINS
Alberto Gonzalo
2(14pt) HCC.S.A., Madrid, Spain
alberto@hcc-es.com
ABSTRACT:
It is not uncommon that monitoring data from a vault dam reveals there are relative movements
between blocks. In some cases the correct injection of the joints could not be done before first
impounding, (e.g. a flood), or the original cementitious grout has been unable to resist dynamic
fatigue. To recover structural monolithism vertical joints need to be re-injected.
The malfunction of vertical joints may cause undesirable stresses that can produce cracks. In a
dam with such problems and repaired successfully by HCC, several tests and technical-economic
analysis of different solutions were carried out. Finally it was decided to use high-viscosity epoxy
resins, specially formulated to support the stresses that would be required. Subsequently, the
structural behavior was improved and structural monolithism was achieved. This has been the first
work of this kind carried out in the world, but now there are other big projects in Middle East and
Central America, where this new technology is going to be used.
The main advantages compared to the traditional cementitious grout are:
 Forces involved in the injection of each compartment are far lower than cementitious grout
ones.
 Higher mechanical properties of the resins.
 High fatigue resistance.
 Easy to repair water-stop leakage.
 Can be done without dewatering, inducing local elastic compression stresses in the
concrete of the joint.
The paper seeks to help answer to some questions as:
 Consequences of malfunction of vertical joints
 Best moment for reinjection.
 Joints movement measure.
 Thermal inertia of arch dams.
 Resins injection versus cement grout.
Keywords: reinjection, joint, resin, high pressure
1. INTRODUCTION
An arch dam is a structure divided in sections due to the vertical joints (Fig.1).
II - 707
Figure 1. Arch dam and joints. Figure 2. Cantilever behavior.
If the joints have not been properly injected, movements between blocks occurs, thus the
behavior of the structure can be inadequate (Fig. 2).
The movements of the blocks will be more similar to a piano key board than to a shell.
2. MALFUNCTION OF VERTICAL JOINTS CONSEQUENCES.
The Fig, 3, represents a 135 meters high and 510 meters crest, arch dam where the vertical
joints could not be correctly injected. As a consequence of the malfunction of the joints,
three large cracks appeared in the upper galleries. This was a warning sign of the need of
repairing the dam. First of all, the cracks were injected with our methodology (Viscous
resins at high pressure). Afterwards, the vertical joints were injected with resins too.
Figure 3. Horizontal cracks in a dam, drawn in red.
3. HCC EXPERIENCE IN REINJECTION OF JOINTS
There are not many references of the reinjection of arch dam joints in operation, without
dewatering. In Spain, as far as we know, only two dams have been repaired in these
conditions: Susqueda (2006) and Riaño (2007). Both works have been carried out by HCC
and the behavior of dams, from the perspective of hindsight, have been excellent.
II - 708
There are at this moment two large projects that include our solution for the reinjection of
vertical joints: El Cajon in Honduras and Karun 4, in Iran. Both arch dam are more than
200 meters high.
4. BEST MOMENT FOR REINJECTION.
It is commonly assumed, that the reinjection of the joints should be done in cold weather.
Based in our experience, two questions arise:
 Is this point of view an unquestionable truth?

 What is cold weather?
The upper part of the dam works mainly as an arch. The main loads are temperature, water
level and eventually seismic ones. With low water level and high temperatures, the dam
moves towards the reservoir (Fig. 4).
Figure 4. Displacement of the structure under temperature load.
Therefore, in the central sections, the joints show a tendency to open in the upstream face
and to close in the downstream face (Fig. 5).
Figure 5. Opening of the joint upwards.
II - 709
But, when the concrete is cold and the water level is high, the dam moves downstream
towards the river (Fig. 6).
Figure 6. Displacement of the structure under water load
Therefore, in the central sections, the joints show a tendency to open in the downstream
face and to close in the upstream face. (Fig.7)
Figure 7. Opening of the joints downstream.
The first conclusion is, as the joints do not open homogenously, maybe the decision of
when is the moment for reinjection should be reconsidered.
A new question arouses: what is more important for the movements of the joints, water or
temperature load? Of course it depends on the dam, but 50% to 70% due to the
temperature seems to be reasonable. In other dams, the studies carried out reflected 10 º
were equivalent to 14 meters of water column.
In any case, the importance of the temperature, in such structures is really significant.
II - 710
5. SOME COMMENTS ON JOINT MOVEMENT DATA.
Figures 8 and 9 show the joint opening contour in January and June of a concrete double
curvature arch-type and 230 meters high from the foundation.
Figure 8. Joints opening contour on January 2013. (RWL 1.012 m) mm
Figure 9. Joints opening contour on June 2013. (RWL 1.027 m) mm
According to the previous comments, the maximum relative movements should be

appreciated, comparing January and July behavior, but as the above figures show, there are
not significant differences.
What is the reason? Maybe the gauges are not installed at the right place?
Indeed, the gauges are installed in the galleries that are close to central point of joint
surface. As we can see in Fig. 10 in these positions the highest movements in upstream and
downstream areas cannot be measured. This fact could explain the small difference
between summer and winter openings.
II - 711
Figure 10. Joint displacement and location of measures.
6. TEMPERATURE DATA. THERMAL INERTIA,
We have analyzed the data from 98 thermometers double curvature arch-type and 230
meters high. When the thermal balance is achieved, the most important for us are the
sensors installed in the upper zone of the dam, what we have called the Seasonal
Tendency. (Fig. 11).
Figure 11. Typical Seasonal Tendency thermometers curves
II - 712
They show that the thinnest zones of the dam have reached the thermal balance with its
surroundings, and the temperature fluctuates according with seasonal changes. But here it
is really very important that, while it is surprising, the highest temperatures in the concrete
are reached in winter, and the lowest in summer.
Therefore the injection optimal moment should be established according to the

temperature of the dam, not to the ambience one.
7. REINJECTION OF VERTICAL JOINTS WITH CEMENT GROUT
The Figure 12 shows a traditional scheme of cement grout injection.
Figure 11. Scheme of the dam and the cement injection installation.
The cement is mixed, agitated and pumped from the crest of the dam to the joint that is
prepared for being injected, drawn in red. As the grout material settles, a pipe return circuit
has to be installed. The grout goes back to the agitator, then to the pump again. As the
forces involved during injection are highlight significant, if we considered a compartment
of 250 m2, and an injection pressure of 7 MPa, the dam has to withstand 17.500 t.
In order to compensate this localized force, the nearest compartments to the injected one,
have to be also injected with water at low pressure. These compartments are drawn in
purple. Displacement gauges have to be installed in all the compartments injected with
cement or water, and a real-time control guaranties that the movement of each one is under
the maximum allowed.
II - 713
The estimated cost for the reinjection of these, a 100 meters high arch dam, was, in 2004,
more than 3 million Euros, due to the extremely low speed of the works.
8. GLOBAL ACTION VERSUS LOCAL ACTION
As noted above, the cementitious injection involves an important part of the structure and
very important axial forces are introduced in the dam. Therefore the cement injection
causes a global action over the structure. However, as the resin injection does not fill all
the compartment, only a very local zone of it is affected during the grout process.
Therefore it is a local action. Much less aggressive towards the dam (Fig. 12).
Fig. 12. Global action versus local action.
Due to the viscosity and thixotropy of the resins, the injection is placed, at high pressure, in
low surfaces, very controlled, we can then assure that the compressed zones are filled,
causing a local compression of the concrete (Fig. 13).
II - 714
Fig. 13. Injection with cement and resin.
Even more, as the pump is able to provide high pressure, we can extrude very viscous
resins, even in closed joints. The viscosity of the resins can reach up to one million cP.
(Water has 1 cP).
9. CONCLUSIONS.
Some axioms concerning the injection of vertical joints, as the best moment to be carried
out, or the measure of the movements or the ideal material for grouting, have to be
reconsidered in the light of the data provided.
The use of viscous resins versus cement grout improves as well the injection process than
the subsequent behavior of the dam.
The main advantages compared to the traditional cementitious grout are:
 Forces involved in the injection of each compartment are far lower than
cementitious grout ones.
 Higher mechanical properties of the resins.
 High fatigue resistance.
 Easy to repair water-stop leakage.
 Can be done without dewatering, inducing local elastic compression stresses in the
concrete of the joint.
II - 715
Resistance of Concrete Dams to Natural and Anthropogenic Impacts
V. Sudakov& A. Pak
VedeneevVNIIG, St.Petersburg, Russian Federation
Sudakovvb@vniig.ru
ABSTRACT:
ICOLD pays considerable attention to failures and damages of large dams. It is well known that
adverse natural and anthropogenic effects – floods, seismic impacts etc. – are of the greatest threat
for normal operation of dams. It is also known that the data of failures of different dam types
demonstrate the advantages of concrete dams. Thus, along with dam designs and material
characteristics, in many respects it is connected with the accepted technology of dam erection and
requirements of domestic normative-technical documents. Basing on the operation experience, the
method of single-layer concreting with application of low-slump or small-cement mixes (rolled
concrete) should be considered as preferable.
Keywords: Technology of rolled concrete, dam stability.
Resistance of dams to natural and anthropogenic impacts (seismic-resistant loads, loads

from off-designed overloads – crest overflow etc.) along with designs of dams,
characteristics of materials is largely identified by the accepted technology of dam
construction as well.
The analysis of specific features of contemporary design-technological solutions, used for

seismic-resistant concrete dams, the experience of construction, generalization of research
results for the last years in the sphere of designs, technology and materials for
hydroengineering construction conclude that there should be used, as a rule, the approach
of single-layer concreting with either low-slump or harsh little-cement-content mixes
(rolled concretes). This method allows:
- exclude longitudinal construction joints and cut dams only by movement-settlements
joints into larger sections with expansion joist-cuts on up- and downstream faces;
- ensure efficient zonal distribution of concrete;
- create steady favorable temperature regime for concreting and provide low level of
technological stresses in a structure, excluding their local concentration;
- prevent temperature crack formation;
- get in structures the material with given calculated (or higher) engineering characteristics.
II - 716
Several concrete dams, built according to this technology, sustained large earthquakes
without any noticeable damages.
So in 1992, the Toktogulskaya dam of 215 m height (Fig. 1), located in Tien Shan, was
under earthquake with the 7.7 magnitude, and in 1988 the Akhuryanskaya dam of 57 m
height, located near the Spitak town (Armenia), was under the earthquake of 9 magnitude.
The dams did not get any damages, although the towns Suusamir and Spitak nearby the
dams were completely destroyed.
Figure 1. Dam of Toktogulskaya HPP
The data of in-situ observations for the behavior of concrete dams under different
combinations of natural and anthropogenic loads and impacts and their registration in
normative documents, regulating designing, construction and dam operation in Russia, lead
to the following conclusion.
Compliance with the Russian norms ensures reliability and safety of concrete dams. It is
clearly demonstrated by the long-term experience of trouble-free operation of the concrete
dams in our country and, particularly, the dams built 70-80 years ago.
One of the most striking example – the arch dam of 70 m height, Gergebilskaya HPP, run
into operation in 1938. The design of the Gergebilskaya HPP, located high in the
mountains on the Kara-Koisu river (Dagestan) was developed in our country in 1930-34.
The feature of the river Kara-Koisu of 97 km length is that it flows in a canyon cut into
limestone. The initial capacity of the reservoir was 17 mill.m3.
The plan and composition of the hydrosystem structures are schematically shown in Fig. 2.
II - 717
Figure 2. . Outline of the Gergebilsk hydrosystem
1 – dam; 2 – relief tunnel; 3 – construction one; 4 – head one;
5 – flushing one; 6 – gate shafts; 7 – HPP building with ОРУ
The crest length of the ach dam of 70 m height is 68 m (Fig. 3) and cylindrical form in 2D.
The head wall of the dam is with a slight slope - 1,30. thickness of the dam changes
according to the head increase. The dam is not reinforced. The concrete amount in the dam
is 21 thous. m3.
For 75-year operation the dam successfully sustained extreme situations.

The dam was concreting with small unit of 2.0 m height. Concrete mix was laid into units
by layers of 15 cm. most of the technological operations were carried out manually. All
vertical interunit joints were cemented.
During a decade the reservoir of the Gergebilskaya HPP was silted in spite of the annual
sluicing through the right-bank spillway (Fig. 2). The difficulties of war and post-war years
did not allow reconstruct washing structures in roper time.
In 1963 due to silting of the reservoir and extreme flood, higher than the calculated one,
there was overflow over the crest. The overflow was lasting 6 hours, the thickest layer of
the overflowed water was about 10 m.
II - 718
Inspection of the dam after these events showed absence of cracks or significant
deformations.
Figure 3. Cross-section of the dam

1. Interunit cementing joints; 2. Cementing
In 1989 – 1992 according to the project of Lenhydroproject the Gergebilskaya HPP was
reconstructed, with radical changes of washing structures, substitution of power equipment
and installed power increase to 17.8 thous. kW. The arch dam was left in its current form.
REFERENCES
(1983): High dams of the Soviet Union . Vneshtorgizdat, Moscow, Russia.
Muslimov, V.М. (1989): Arch dam of the Gergebilskaya HPP, Arch – 87, Proceedings of
conferences and meetings on Hydraulic Engineering, Energoatomizdat, Leningad,
Russia.
II - 719
INTERNA
ATIONAL SYMPOS
SIUM ON

ndonesia, Ju
Applicattion of BO
OTDA baased Opticcal Fiber Strain Seensing Tecchnology
i Spiral Case
in C Prelloading Filling
F Tesst
H Cui, Y..J. Wang, X.H.
H.L. X Zhengg & S.S. Peng
Largge Dam Safetyy Supervision Center, Natio
onal Energy Administration, Hangzhou, China
C
cuiheliang@
@gmail.com
ABSTRAC
CT
A new w method off BOTDA bassed strain diistribution seensing technoology for hydropower sp piral case
monitoring was inntroduced. Special
Sp sensinng cable wass attached onnto the surfacce of steel sp
piral case,
and hoop
h strain distribution of 4 cross sections
s werre continuouusly monitoreed during prreloading
fillingg test. The measured
m sttrain of optiical fiber waas verified byb theoretic calculation, and the
inform mation of strress adjustmeent and residdual strain of spiral casee were obtainned. Optical fiber
f has
the feeatures of beetter reliabiliity and largeer quantity than
t traditionnal strain gaauges, whichh helps to
analyyze the overaall stress andd deformationn state of thee spiral case structure.
Keyw
words: BOTD
DA; optical fiber;
f distributed strain sensing;
s spirral case; preloading fillin
ng test
1. IN
NTRODUC
CTIONS
Therre are 3 typiical embeddding types of o steel spirral case struucture: prelooading, cush
hion and
compplete bearinng spiral casse (Zhang 2009).
2 For preloading
p type, the suurrounding concrete
is pooured and cooncrete withh stable presssure insidee the spiral case,
c and thhe concrete structure
s
will share somee stress if waterw presssure exceedds the prelooading valuue. Before concrete
consttruction, fillling tests arre repeated to release and
a adjust the t mountinng stress of the steel
spiraal case.
To monitor
m the running
r staatus of spiraal case, elasttic wire resiistance typee and vibratting wire
type sensors aree widely useed. Sensors such as steeel plate streess gauges, strain gaug ges, steel
bar stress
s gaugee, etc. are innstalled at several
s mon nitoring secctions, and dial indicattors may
be used
u for fillling test. With
W presennt technologies, the deformation
d n, strain, strress and
tempperature of designated
d p
points can beb measureed (Ding 2011, Xue 2012 & Yu 20 004), but
it is hard
h to get the
t informaation of the wholew struccture.
Baseed on brilloouin scatteriing monitoring techno ology, contiinuous straain and tem
mperature
distriibution of optical
o fiberr (over kilommeters or teens of kilom
meters) can bbe measureed, and it
has been
b used for
f SHM (sttructure heaalth monitorring) by insstalling fibeer into architectures
or sttructures. Inn recent yeaars, with thhe developm ment of the demodulattion instrum ment, the
spatiial resolution parameterr has been improved
i to 0 m, whicch makes it possible
o be within 0.1
to deetect small structure
s deefections suuch as crackks and locall deformatioon. This tecchnology
has been
b testedd in an undderground project of Japan (Cuii 2012). Beecause the internal
presssure changees and forcees of preloaading spiral case are complicated
c d during fillling test
and operation
o p
period, monnitoring dataa of large-rranged straiin distributiion of the steel
s line
II - 720
and the reinforced concrete are especially meaningful for evaluating structural deformation
and stress state, analyzing the bearing ratio of steel line and concrete, optimizing design,
and assessing its safety comprehensively and effectively.
2. OPTICAL FIBER SENSING TECHNOLOGY BASED ON BRILLOUIN

SCATTERING
OFS (optical fiber sensing) is a new monitoring technology which uses fibers as the
sensing elements to detect the reflected or scattered light signal for strain, temperature or
other physical information. Unlike traditional electrical sensors such as elastic wire
resistance, resistance and vibrating wire types, OFS is able to achieve multi-point and even
a series of continuous points data, with advantages of stability, none zero drift,
electromagnetic interference resistance, etc. OFS is a general name of techniques using
fiber as sensing media. According to the basic principle, there are some different categories,
among which FGB (Fiber Bragg Grating), ROTDR (Raman Optical Time Domain
Reflectometry) and BOTDA (Brillouin Optical Time Domain Analysis) are commonly
accepted.
The basic principle of BOTDA is generating and detecting SBS (Stimulated Brillouin
Scattering), by means of pulse laser and continuous probe laser injection into both ends of
an optical fiber. Time domain analysis is used for obtaining BGS (Brillouin Gain Spectrum)
of each point along the fiber. Because the frequency of BGS shifts proportionally to the
axial strain and temperature variation, the strain or temperature can be calculated by further
analysis of the spectrum. In order to decouple the strain and temperature variable, the
simplest method is to measure the temperature distribution with a strain-free optical fiber
as temperature compensation and calculate the actual strain change of each position.
3. SPECIAL SENSING CABLE AND TEST EXPERIMENTS
For a distributed OFS system, as the sensors, the sensing cable is the most basic and the
most important part. The ones which have superior performance and can meet actual
requirements are the keys for the entire project. Besides the normal standards of
communication cable, the sensing cable should be manufactured with some special
requirements and the following performances should be considered or evaluated: feasibility
for installation, resistance to damage, evenness of initial strain, durability, stain
coordination, strain transferring efficiency, resistance to extrusion and bending (embedding
type), effective contact area (surface type), etc.
For determining the most suitable sensing cable to monitor the surface strain of steel spiral
case, a domestic outdoor communication cable, an overseas ribbon cable and two domestic
ribbon cables were compared, and finally a metal ribbon type named NZ-D1515-2 by
Suzhou Nanzee Sensing Co. was selected. Before field installation, various experiments
were conducted to determine its strain coefficient (measured C1=0.0509 MHz/με), strain
and temperature sensing performance, resistance to destructive force and pasting capability,
based on which the basic characteristics and installation techniques were mastered.
Before on-site working, a series of tests for BOTDA instrument (NBX-6050 by Neubrex
Co.) were carried out, including: (1) verifying the spatial resolution within 0.1 m by
Dissimilar-Fiber-Splicing method (Cui 2013), (2) verifying the short-term (5 times
II - 721
continuous measurement) strain repeatability within ±10 με using a 100 m standard naked
fiber inside ice-water mixture, (3) checking the measuring duration, which is within 1.5
min and meets the on-site fast-test requirements, by simulating the field conditions (spatial
resolution 0.1 m, distance 500 m, measurement point number 10,000 points, point interval
0.05 m, scanning frequency 251 steps, averaging 215 times).
4. ON-SITE INSTALLATION
The monitoring object was 4# spiral case of Jinping hydropower project. After the
completion of steel piece assembling, sensing cables were attached to the surface of the
spiral case at 5 sections numbered as Gc3~Gc7 along the flow direction. At each section,
sensing cable was laid like a C-shape from the upper to the lower position of the stay ring
along the surface of spiral case. The photograph of completion is shown in Fig. 1.
Figure 1. Photograph of sensing cable layout on the spiral case
Metal ribbon cable NZ-D1515-2 was the primary sensor, In addition, soft ribbon cable NZ-
ST0602-2 and naked fiber were attached as a backup. The installation process was: (1)
cleaning the surface of attaching line, (2) painting a lamina of epoxy resin, (3) laying
sensing cable straightly along the hoop direction, (4) painting epoxy resin to hold the cable,
(5) covering geotextile to prevent damage.
Other equipments and materials used included fiber splicing machines, laser pointers, 4-
core and 12-core outdoor fiber optic cables, FC/APC jumpers, FC flanges, splice boxes,
terminal boxes, etc. OTDR instrument (AQ7275 by Yokogawa Co.) was used to detect
light loss at any time to ensure the cable is intact and can locate defects quickly.
When the installation was finished, positioning test is conducted with hot water heating the
feature points. According to the measured temperature change, the relationship between
optical fiber distance and physical position of the spiral case was determined.
II - 722
5. MEASURED DATA OF OPTICAL FIBER DURING FILLING TEST
The inflating and deflating process of water filling test of 4# spiral case is shown in Fig. 2.
Because the full time of filling test was only 6 hours, time duration at 2.6 MPa (preloading
pressure) and 4.1 MPa (designed maximum pressure) were over 30 min but it is very short
at other stages. Therefore, Gc4 and Gc6 were selected as the prior sections for entire
process monitoring, and Gc3 and Gc7 were measured only when possible.
5
4
3
Pressure, MPa
2
1
0
0 50 100 150 200 250 300 350
Times, min
Figure 2. Steps of water filling test
Strain distribution of optical fiber at 0 MPa was set as reference and strain changes at every
stage were calculated. According to the information of the previous positioning test, strain
distribution on the monitoring section was obtained. The result of Gc4 is shown in Fig. 3
and other sections also have similar patterns. Along the hoop direction, the spiral case was
assembled by upper piece, mid piece and lower piece, and the measured results are as
followings:
(1) Strain distribution was uniform in a single piece.
(2) Strain of upper piece was close to that of lower piece, and strain of mid piece is
relatively larger.
(3) Strain at weld joints are significantly small because of weld characteristics and the
stepped structure on the outer surface of spiral case.
strain distribution
on section Gc4
weld
4.1MPa↑
2.6MPa↑
1.0MPa↑
scale
0 1250 με
weld
Figure 3. Hoop strain distribution on section Gc4
II - 723
The strain change profile of the top, the waist and the bottom point of Gc4 is shown in Fig.
4 (other sections also have similar results):
(1) Strains of top (544 με max.) and bottom (522 με max.) were close, and strain of waist
(670 με max.) was larger.
(2) The measured values at the same pressure were almost the same whether in inflating or
deflating. The residual strain was -25~-14 με when the pressure decreases back to 0 MPa.
(3) The linear relationship between hoop strain and pressure was good. Phenomenon of
stress release adjustment was observed near 1 MPa (inflexion point), and the slope after 1
MPa and the slope of deflating process were basically the same.
Mid (fiber dist. 196.61m) Top (fiber dist. 192.760m) Bottom (fiber dist. 201.077m)
700
600
500
Strain, με
400
300
200
100
0
-100
0.0 0.5 1.0 1.6 2.1 2.6 3.2 3.7 4.1 3.7 3.2 2.6 2.1 1.6 0.5 0.0
Pressure, MPa
Figure 4. Strain changes at top/waist/bottom position of Gc4 section
6. COMPARISON WITH THEORETICAL CALCULATION RESULT AND STAIN

GAUGE DATA
According to NEMA standard (Torus Equation), the hoop stress c and longitudinal stress
L are calculated by Eq. 1 and Eq. 2.
rp rc  rsp
c  (1)
t 2rsp
rp
L  (2)
2t
Where rc is the distance from center of hoop pieces to structural center line of spiral case
(mm); rsp is the distance from calculating point to structural center line (mm); r is the
radius of spiral case (mm); t is the thickness of steel piece (mm); p is the pressure (MPa).
Sensing cables were attached onto the spiral case surface where the radial stress r equals
to 0。According to Hooke’s law, hoop strain c and longitudinal strain L are calculated by
Eq. 3 and Eq. 4.
1
c  ( c   L ) (3)
E
1
 L  ( L   c ) (4)
E
II - 724
Where E is the elasticity modulus of steel (MPa);  is the poisson ratio. This spiral case is
made of S500M low-alloy and high strength steel whose E equals to 205 GPa, and  equals
to 0.3.
The stress state of spiral case is vertically longitudinally symmetrical and then the strains at
top and bottom are the same because bottom supporting and other forces are not considered
in the theoretical formula. The measured strain by optical fiber at pressure 2.6 MPa and 4.1
MPa are compared with the calculated values in Tab. 1:
(1) Hoop strain of waist was larger than that of top and bottom, which is consistent with
the measuring data of optical fiber.
(2) The measured value of optical fiber was generally close to the calculation result.
Especially at waist position, measured value was only about 20 με less than theoretical
value, and the difference just equals to the residual strain as mentioned in Chapter 5.
Measured value at top and bottom position was about 60  smaller because of residual
strain and the complex stress condition by stay ring and supporting posts.
Table 1. Comparison of optical fiber measured strain and theoretical calculation result
Strain ()
Pressure Data
Top Waist Bottom
fiber measured 330 410 321
2.6 MPa
calculation 382 431 382
fiber measured 544 666 522
4.1 MPa
calculation 603 679 603
1000
strain gauge data at 2.6MPa 4-2 near Gc3
800 4-3 near Gc4
4-4 between Gc6 & Gc7
Strain , με
600 4-2
4-3 4-4
400 4-1 4-2 4-1
4-1
4-3
200 4-3 4-4 4-2
0
Top Waist Bottom
Figure 5. Comparisons among the measured values of strain gauges of all sections
There were 12 strain gauges (steel plate stress meter) attached to the surface of spiral case
to monitor the hoop strain. The gauges, numbered as Gwk4-X-Y, were located in 4
sections. Here, X represents the section number (No.2 near Gc3, No.3 near Gc4, No.4
between Gc6 and Gc7.) and Y means the elevation position (1-waist, 2-top, 3-bottom).
At 2.6 MPa pressure state, the measured values of strain gauges are shown in Fig. 5:
(1) Measured values of strain gauges installed on the top are of the same level (350~400 με)
which is close to fiber data and calculation.
II - 725
(2) The performances of gauges at waist and bottom positions were different and not
reliable. It might be due to installation problem of the gauges.
7. SUMMARY
Special sensing cables were attached to the surface of spiral case with high intact rate, by
which hoop strain distribution at 4 monitoring sections was measured during the
preloading filling test. The data of optical fiber has the features of reliability and larger
quantity, and the measured value has also been verified by theoretic calculation. The stress
adjustment and residual strain (about -20με) of spiral case had been efficiently monitored
by fiber sensors. In this case, the performance of optical fiber strain distributed sensing was
significantly better than that of traditional gauges.
After several decade of investigation, BOTDA technology becomes familiar and has been
accepted by civil engineers due to its superior capability for distributed strains sensing. As
the engineering application increases, the instrument will be promoted to have more
optimized performance and lower price, and meanwhile, the whole set of construction and
monitoring system technologies will get more mature. This project is the first time that
BOTDA based strain distribution FOS technology was applied in large hydraulic structure
and machinery. Besides the steel spiral case, other sensing cables were embedded into the
surrounding reinforced concrete where compression strain of tens με had been effectively
monitored. Through laboratory experiments and field applications, valuable experience has
been gained in this research project and it can be extended and promoted in other types of
constructions and structures.
REFERENCES
Cui, H.L., Zheng, X.H. and Wang, Y.J. (2012): Application of Optical Fiber Distributed
Strain Sensing and Its Future in Hydraulic Engineering, Dam and Safety, 3, pp. 43-
46. Editorial Office of Dam and Safety, Hangzhou, China.
Cui, H.L., Zhang, D. and Shi B. (2013): Spatial Resolution and Its Calibration Method for
Brillouin Scattering Based Distributed Sensors, Journal of Zhejiang University
(Engineering Science), 47:7, pp. 1232-1237. Zhejiang University Press, Hangzhou,
China.
Ding, C.Q. (2011): Monitoring Result after Keeping the Pressure and Temperature in
Spiral Case of Left Bank House, Hydropower Automation and Dam Monitoring, 35:2,
pp. 67-71. Editorial Office of Hydropower Automation and Dam Monitoring,
Nanjing, China.
Xue, Y., Cheng, W.B. and Zhang, M. (2012): Analysis on Hydrostatic Test of Hydraulic-
turbine Spiral Case of Nuozhadu Hydropower Station, Yangtze River, 43:4, pp. 67-
69. Editorial Office of Yangtze River, Wuhan, China.
Yu, S.D., Yao, H.B. and Chen, X.C. (2004): Contrastive Analysis on Monitoring and
Computation for Scroll Case and Concrete in TGP, Dam and Safety, 3, pp. 83-86.
Editorial Office of Dam and Safety, Hangzhou, China.
Zhang, Q.L., Wu, H.G., Huang, X.Y., Li, J. and Zhao, X.F. (2009): Structural Analysis of
Different Embedding Types of Spiral Case in Large-scale Hydropower Station,
Journal of Hydroelectric Engineering, 28:3, pp. 85-90. Editorial Office of
Hydroelectric Engineering, Beijing, China.
II - 726
Effect of Foundation Flexibility on Seismic Response of
Concrete Gravity Dams
Bakenaz A. Zeidan
Faculty of Engineering, Tanta University, Tanta, Egypt
drbakenaz@yahoo.com
Abstract
Investigation of the behavior of dams against seismic loads is a key factor for dam safety
requirements. One of the most important problems in evaluation of seismic behavior of concrete
gravity dams is dam-reservoir-foundation interaction. Hydrodynamic pressures generated due to
seismic forces and Fluid-Structure-Soil Interaction (FSS); are inevitable. In this paper, the basic
equation involved the water-structure-foundation interaction and the effective factors are
considered for concrete gravity dams. Dam-reservoir-foundation interaction has been investigated
utilizing seismic analysis. 2-D dam-reservoir-foundation coupled system is analyzed using FEM
via ANSYS code. Dam and foundation are assumed to be linear and elastic while reservoir water
is considered acoustic, inviscid and incompressible. The dam and foundation have been idealized
by considering linear, elastic and plane stress conditions. The modeling of reservoir has been
carried out by fluid acoustic element and proper consideration of fluid boundary and initial
conditions. The effect of foundation flexibility has been obtained by considering various dam-
foundation rock interaction ratios i.e. modulus of elasticity of foundation to modulus of elasticity
of dam. Results show that both foundation mass and flexibility have an outstanding impact on the
behavior of dams and is necessary to consider their impact while simulating seismic response of
concrete gravity dams.
Key words: Seismic Response; Concrete Gravity Dams; Foundation Flexibility; Dam-
Reservoir-Foundation Interaction, ANSYS.
1. Introduction
During the recent years, the seismic behavior of concrete gravity dams was in the center of
consideration of dam engineers. Numerous researches have been conducted in order to determine
how the dams behave against the seismic loads. Many achievements were obtained in the process
of analysis and design of concrete dams. In this paper, we study the dam-reservoir-foundation
interaction during an earthquake. For this purpose, a two-dimensional finite element model of a
concrete gravity dam including the dam body, a part of its foundation and a part of the reservoir
was made. In addition, the proper boundary conditions were used in both reservoir and foundation
in order to absorb the energy of waves at the far end boundaries. Using the finite element method
seismic analysis is performed to assess the impact of the foundation mass and flexibility on the
seismic behavior of the dam.
II - 727
2. State of Art
The methods used for the analysis of concrete dams under earthquake loading range from
the simple pseudo-static method initially proposed by Westergaard (1933) to advanced numerical
methods that include the well-known FEM. Westergaard [1] introduced an approach to determine
approximately the linear response of the dam-reservoir system by a number of masses that are
added to the dam body. The method proposed by Westergaard assumes that the hydrodynamic
effect on a rigid dam is equivalent to the inertial force resulting from a mass distribution added on
the dam body. The dam-reservoir system can be categorized as a coupled field system in a way
that these two physical domains interact only at their interface [2]. To simplify and economize the
finite element modeling of an infinite reservoir, the far-end boundary of the reservoir has to be
truncated. Sommerfeld boundary condition [3] is an appropriate boundary condition for the
truncated part of the reservoir. Hydrodynamic pressure in seismic response of dam-reservoir
interaction in time domain has been investigated [4]-[6]. Preliminary design and evaluation of
concrete gravity sections is usually performed using the simplified response spectrum method
proposed by Fenves and Chopra [7]. A standard fundamental mode of vibration, representative of
typical sections, is used in this method. This mode shape does not take into account the foundation
flexibility since it is representative of a standard concrete gravity section on rigid foundation. As
an alternative, the first mode of vibration of the concrete section could be estimated using a finite
element model with massless foundation. Fenves and Chopra [8] studied the dam-reservoir-
foundation rock interaction in a frequency domain linear analysis. In the work presented by Gaun
et. al [9], an efficient numerical procedure has been described to study the dynamic response of a
reservoir-dam-foundation system directly in the time domain. Ghaemian et. al [10] showed that the
effects of foundation’s shape and mass on the linear response of arch dams are considerable. The
dam–foundation interaction effects are typically presented by a “standard” mass-less foundation
model [11]. In this case, it is assumed that the displacement at the bottom of the foundation
vanishes and roller supports is placed at the vertical sides of the foundation. The most widely used
model for soil radiation damping is the one of Lysmer and Kuhlemeyer [12]. In this model the
foundation is wrapped by dashpots tuned to absorb the S and P waves. In this model, modeling the
radiation damping on the far–end boundary of the massed foundation, 2- node elements as
boundary elements are used to apply the lumped dashpot on the far–end nodes of the massed
foundation model. The viscous boundary condition is applied on the far–end boundary of the
foundation to prevent the wave reflection form the artificial boundary of the infinite media in finite
element analysis. The most common soil–structure interaction (SSI) approach is based on the
“added motion” formulation. This formulation is valid for free–field motions caused by earthquake
waves generated from all sources. The method requires that the free–field motions at the base of
the structure be calculated prior to the soil–structure interaction analysis [13].
3. Problem Statement
For the structure on the rigid foundation, the input seismic acceleration gives rise to an
overturning moment and transverse base shear. As the rock is very stiff, these two stress resultants
will not lead to any (additional) deformation or rocking motion at the base. For the structure
founded on flexible soil, the motion of the base of the structure will be different from the free-field
motion because of the coupling of the structure-soil system. This process, in which the response of
the soil influences the motion of the structure and response of the structure influences the motion
of the soil, is referred to as soil-structure interaction (SSI) presented by Wolf (1985) [14]. The
objective of this paper is to assess the impact of foundation flexibility and dam-reservoir-
foundation interaction on seismic response of high concrete gravity dams. A two-dimensional (2D)
finite-element (FE) model is used to investigate the effects of foundation flexibility and dam-
II - 728
reservoir-foundation interaction on the seismic response of a typical non-overflow concrete gravity
dam section with full reservoir. The dam height is 110 meters, the downstream slope is 0.9:1, and
the upstream face is assumed vertical. The crest of the dam is 10 m wide, and a rectangular section
is assumed for the top 10 m of the monolith. Standard material properties are assumed, with unit
density of concrete = 2400 kg/m3, and modulus of elasticity Es= 24 GP. Radiation damping in the
foundation is not considered in the current study. In this study, a dam-reservoir-foundation system
is analyzed linearly using ANSYS code. The dam-reservoir interaction is solved by a coupled
solution procedure while Sommerfeld boundary condition is applied at the reservoir’s far-end
truncated boundary. The foundation is defined as a different part from the structure with different
modulus of elasticity. In the present study, a time domain seismic analysis of the problem is
developed by coupling the finite element method for the infinite reservoir, infinite foundation and
finite dam domain. An efficient coupling procedure is formulated by using the coupling coincide
nodes method. The effect of foundation flexibility has been obtained by considering various dam-
foundation rock interaction ratios Ef/Ec i.e. modulus of elasticity of foundation Ef to modulus of
elasticity of dam concrete Ec. Figure 1 shows the problem idealization.
4. Coupled Fluid-Structure-Foundation Formulation

Applying the standard Galerkin’s method to simulate of dam-reservoir-foundation
interaction is performed. The discretized structural dynamic equation including the dam and
foundation rock subjected to ground motion can be formulated using the finite-element approach
as [15]:
(1)
where Ms, Cs and Ks are the structural mass, damping and stiffness matrices, respectively, ue is the
nodal displacement vector with respect to ground and the term QPe represents the nodal force
vector associated with the hydrodynamic pressure produced by the reservoir. In addition, üe and
üg are the relative nodal acceleration and nodal ground acceleration vectors, respectively. The term
Q is referred to as the coupling matrix. The discretization of hydrodynamic pressure equation to
get the matrix form of the wave equation as [15]:
(2)
where Mf, Cf and Kf are the fluid mass, damping and stiffness matrices, respectively and Pe; üe and
üg are the nodal pressure, relative nodal acceleration and nodal ground acceleration vectors,
respectively. The term is also referred to as the transpose of the coupling matrix. The dot
represents the time derivative. Equations (1) and (2) describe the complete finite-element
discretized equations for the dam-water-foundation rock interaction problem and can be written in
an assembled form as [15]-[17]:
II - 729
where Kfs = -Q and Mfs = . Equation (3) expresses a second order linear differential
equation having unsymmetrical matrices and can be solved by means of direct integration
methods.
5. Modeling and Assumptions

In the present study, in order to satisfy the continuity conditions between the fluid and
solid media at the boundaries. The nodes at the common lines of the fluid and the plane elements
are constrained to be coupled in the direction normal to the interface. Relative movements are
allowed to occur in the tangential directions. This is implemented by attaching the coincident
nodes at the common lines of the fluid and the plane elements in the normal direction. At the
interface of the fluid-structure system, only the displacements in the direction normal to the
interface are assumed to be compatible in the structure as well as the fluid. The fluid is assumed to
be linear-elastic, incompressible, irrotational and nonviscous. A typical concrete gravity dam is
chosen as a case study. The dam is 110 m high and its thickness varies from 10 m at the crest to
100m at the foundation level. 2-D finite element model is implemented via ANSYS code version
14 [18]. No absorption is considered at reservoir bottom. The depth of the reservoir is considered
100 m. Since the extent of the reservoir is large, it is necessary to truncate the reservoir at a
sufficiently large distance from the dam. A length of reservoir equivalent to two times its depth is
chosen for adequate representation of hydrodynamic effects on the dam body. The depth of
foundation of 150 m is taken into account in the calculations. The dam and foundation materials
are assumed to be linear-elastic, homogeneous and isotropic. A two dimensional (2D) finite
element model (PLANE 182) is used to model dam body and foundation soil. A two dimensional
(2D) finite fluid element model (FLUID 29) is used to model the reservoir water. The employed
Finite Element mesh is shown by Figure 2. The effect of foundation flexibility has been obtained
by considering four dam-foundation rock interaction ratios i.e. modulus of elasticity of foundation
to modulus of elasticity of dam Ef /Ec= 0.5, 1, 5 and 500.
6. Material Properties & Loading History

The material properties for the concrete gravity dam, foundation soil and reservoir water
are presented as follows:
Table 1: Material Properties
Mass Concrete Isotropic Elasticity 24 GPa
Poisson’s Ratio 0.2
Density 2400 Kg/m3
Foundation Isotropic Elasticity 24 GPa
Rock Poisson’s Ratio 0.33
Density 2400 Kg/m3
Reservoir Density 1000 Kg/m3
Water Wave Velocity 1440 m/s
Wave Reflection 1.0
The selected gravity dam is simulated including dam-reservoir-foundation interaction using the
Finite Element discretization shown in Figure 2. Linear transient dynamic analysis adopted in
II - 730
ANSYS code version 14 is implemented. In order to investigate the effects of dam-water-
foundation on the time history response of gravity dams, the linear earthquake response of the
selected dam is determined for the specified case. A static analysis is initially implemented and
then, the dam is subjected to the El-Centro N–S record of Imperial Valley earthquake (1940)
shown in Figure 3 in upstream-downstream direction.
7. Numerical Results & Discussions

Numerical results for the seismic response of dam-reservoir-foundation interaction shown
by Tables 2 to 4 and Figures (4) to (14) are discussed in the following sections. Analysis of the
effect of foundation flexibility on seismic response of concrete gravity dams is performed for four
values of foundation flexibility ratio Ef /Ec =0.5, 1, 5 and 500, where Ef refers to foundation
modulus of Elasticity while Ec refers to concrete modulus of elasticity. In the present analysis, the
ratio of Ef /Ec =500 represents very rigid foundation while the ratio of Ef /Ec = 0.5 assigns for very
flexible foundation.
7.1. Effect of Foundation Flexibility on Gravity Dam Displacement

Maximum horizontal crest, toe and heel displacements for all ratios of Ef /Ec are
summarized in Table 2 and Figure (4). It is clear that the effect of foundation flexibility on dam
displacements is significant for Ef /Ec ranges between 0.5 and 5 while no significant effect for
ratios greater than 5 is observed. Maximum horizontal crest displacement is 9.369 cm for Ef /Ec
=0.5 while least displacement equals 2.809 cm for Ef /Ec = 500. Figure (5) shows a typical time
history for horizontal crest displacement for Ef /Ec =1. Maximum horizontal dam base displacement
follows the preceding analysis of crest displacement. Maximum horizontal toe displacement is
3.144 cm for Ef /Ec =0.5 while least displacement equals 0.0000174 cm for Ef /Ec = 500. Figure (6)
shows a typical time history for horizontal dam toe displacement for Ef /Ec =0.5. Maximum
horizontal heel displacement is 3.233 cm for Ef /Ec =0.5 while least displacement equals 0.0000225
cm for Ef /Ec = 500. Figure (7) shows a typical time history for horizontal dam heel displacement
for Ef /Ec = 5. Results indicate that the foundation flexibility has a significant impact on dam
displacements. Maximum displacements are associated with ratios of Ef /Ec less than unity (Ef /Ec
=0.5), while least displacements are obtained for very rigid foundation (Ef /Ec =500).
Table 2: Results for Maximum Dam Displacement

Ef /Ec Max. Horizontal crest Max. Dam toe horizontal Max. Dam heel horizontal
displacement m displacement m displacement m
0.5 0.09369 0.03144 0.03233
1 0.05928 0.01285 0.01389
5 0.03351 0.00188 0.00230
500 0.02809 0.0000174 0.0000225
7.2. Effect of Foundation Flexibility on Dam Stresses

Results for maximum principle, normal and shear stresses at both dam toe and dam heel
for all ratios of Ef /Ec are summarized in Table 3 and Figures (8) and (10). It is clear that the effect
of foundation flexibility on dam stresses is significant for Ef /Ec ranges between 0.5 and 5 while
II - 731
this effect decreases significantly for values greater than 5. For the present case study of full
reservoir, maximum stresses are developed at dam toe as shown by Table 3. Figure (8) shows that
maximum principal stress at dam toe is -3425.2 KPa for Ef /Ec =0.5 while least stress equals -
1158.6 KPa for Ef /Ec = 500. Figure (9) shows a typical time history for principal stress at dam toe
for Ef /Ec =1. Figure (10) shows that maximum normal stress at dam heel is -1778.9 KPa for Ef /Ec
=0.5 while least stress equals -1067.3KPa for Ef /Ec = 500. In addition, Figure (10) shows that
maximum shear stress at dam heel is -750.33 KPa for Ef /Ec =0.5 while least stress equals -462.41
KPa for Ef /Ec = 500. Figures (11) shows a typical time history for normal stress at dam heel for Ef
/Ec =0.5 while Figure (12) shows a typical time history for shear stress at dam heel for Ef /Ec = 5.
Results indicate that the foundation flexibility has a significant impact on dam stresses. Maximum
stresses are associated with ratios of Ef /Ec less than unity (Ef /Ec =0.5), while least stresses are
obtained for very rigid foundation (Ef /Ec =500).
Table3: Results for Maximum Stresses
Stress at toe Stress at heel

Max. Principal Max. Normal Max. Shear Max. Principal Max. Normal Max. Shear
Ef /Ec KPa KPa KPa KPa KPa KPa
0.5 -3425.2 -8200.6 -3710.3 -2347.44 -1778.9 -750.33

1 -2563.5 -5405.7 -2552.8 -2051.3 -1511.1 -679.48
5 -1490.55 -2318.0 -1124.9 -1433.8 -1050.7 -532.46
500 -1158.6 -1527.3 -692.49 -1132.6 -1067.3 -462.41
7.3. Effect of Foundation Flexibility on Hydrodynamic Pressure

Results for the effect of foundation flexibility on hydrodynamic pressure for all ratios of Ef
/Ec are summarized in Table 4 and Figures (13) to (15). It is clear that foundation flexibility has no
significant effect on hydrodynamic pressure for all ratios of Ef /Ec.. Figure (13) shows the time
history of hydrodynamic pressure at dam base for Ef /Ec= 1. Figure (14) shows the time history of
hydrodynamic pressure at 80% of reservoir depth for Ef /Ec =5. . Figure (15) shows the time history
of hydrodynamic pressure at 50% of reservoir depth for Ef /Ec =500. For all ratios of Ef /Ec, the
results are the almost the same. This result can be explained as the hydrodynamic pressure is
mainly a function of the reservoir height and the earthquake severity which are the same for all
ratios. The presence of foundation in dam modeling does not affect significantly the hydrodynamic
pressure..
Table 4: Results for Maximum Hydrodynamic Pressure in KPa

Ef /Ec At dam base At 0.80 H At 0.50 H
0.5 -195.203 -43.9589 -15.7018
1 -195.203 -43.9589 -15.7018
5 -195.203 -43.9589 -15.7018
500 -195.203 -43.9589 -15.7018
II - 732
8. Conclusions
The present work is an attempt to assess the effect of flexibility of the foundation on the
seismic response of a concrete gravity dams. Results indicate that the foundation flexibility has a
significant impact on dam stresses. Maximum displacement and stresses are associated with
foundation flexibility ratios Ef /Ec less than unity, while least responses are obtained for very rigid
foundation with Ef /Ec=500. Results assure that in simulating dam-reservoir–foundation interaction
problems, the ratio of Ef /Ec =500 can be recommended to represent the case of fixed foundation
with an acceptable accuracy. Results assign that flexibility of foundation has almost no significant
effect on hydrodynamic pressure.
9. References
[1] Westergard, H. M. (1933) “Water Pressure on Dams during Earthquakes”, TRANSACTIONS
ASCE Vol.98.
[2] Chopra A. K. (1967) “Hydrodynamic pressures on dams during earthquakes”, ASCE Journal of
Engineering Mechanics, 93: 205-223.
[3] Sommerfeld A. (1949) “Partial Differential Equations in Physics”, Academic Press, New York.
[4] Hall, J. F., and Chopra, A. K., (1982) “Hydrodynamic Effects in the Dynamic Response of Concrete
Gravity Dams”, Earthquake Engineering and Structural Dynamics, Vol. 10, No 2, 1982, pp. 333-
345.
[5] Millan, M. A., Young, Y. L. and Prevost, J. H. (2007) “ The Effect of Reservoir Geometry on the
Seismic Response of Gravity Dams”, Earthquake Eng. Struct. Dyn. 2007; 36:1441–1459.
[6] Bakenaz A. Zeidan (2013) “Hydrodynamic Analysis of Concrete Gravity Dams Subjected To
Ground Motion” 9th Symposium of ICOLD European Club. Club IECS201310-12 April, Italy.
[7] Fenves G. & Chopra A.K. (1984) “Earthquake Analysis of Concrete Gravity Dams Including
Reservoir Bottom Absorption and Dam- Water-Foundation Rock Interaction”, Earthquake
Engineering and Structural Dynamics, 12:5, 663-680.
[8] Fenves, G., And Chopra, A. K., (1985) “Effects Of Reservoir Bottom Absorption And Dam-Water-
Foundation Rock Interaction On Frequency Response Functions For Concrete Gravity Dams”
Earthquake Engineering & Structural Dynamics, Vol. 13, 1985, Pp. 13-31.
[9] Gaun F., Moore I.D. & Lin G. (1994) “Seismic Analysis of Reservoir-Dam-Soil Systems in the Time
Domain”, The 8th international conference on Computer Methods and Advances in Geomechanics,
Siriwardane & Zaman (Eds), Vol. 2, 917-922.
[10] Ghaemian M., Noorzad A. & Moghaddam R.M. (2005) “Foundation Effect on Seismic Response
of Arch Dams Including Dam-Reservoir Interaction”, Europe Earthquake Engineering, 3, 49-57.
[11] US. Army Corps of Engineers (USACE), (2003) “Time-History Dynamic Analysis of Concrete
Hydraulic Structures;” Chapter 2- Analytical Modeling of Concrete Hydraulic Structures, Chapter
3-Time-History Numerical Solution Techniques”, EM 1110-2-6051.
[12] Lysmer J. & Kuhlemeyer R.L. (1969) “Finite Dynamic Model for Infinite Media”, Journal of
Engineering Mechanics Division, ASCE, 95 (EM4), 859-877.
[13] Wilson E.L. (2000) “Three Dimensional Static and Dynamic Analysis of Structures, A Physical
Approach with Emphasis on Earthquake Engineering”, 4th Ed., Computers and Structures Inc.
[14] Wolf J. P. (1985) “Dynamic Soil-Structure Interaction”, Prentice Hall: Englewood Cliffs, NJ.
[15] Bakenaz A. Zeidan (2014) “Finite Element Modeling For Acoustic Reservoir-Dam-Foundation
Coupled System”, International Symposium on Dams in a Global Environmental Challenges,
ICOLD2014, Bali, Indonesia, 1-6 June, 2014.
[16] Zienkiewicz, 0.C. and Taylor, R.L. (1991) “The Finite Element Method”; 4th Edition McGraw-
Hill.
[17] Chopra, A.K., (2012) “Dynamics of Structures: Theory and Applications to Earthquake
Engineering” 7th Edition, Prentice Hall.
[18] ANSYS software manual, version 14.

II - 733
100m
Reservoir
m Dam

200m 150m
150m
Foundation

Figure 1: Dam-Reservoir-Foundation Idealization
Figure 2: Finite Element Mesh for dam-reservoir-foundation model
Figure 3: Horizontal Acceleration record of the El-Centro earthquake
II - 734
0.10
crest
dam toe
0.08
dam heel
Max. hz. displacement m
0.06
0.04
0.02
0.00
0.5 5 50 500
Ef/ Ec ratio
Figure 4: Effect of Foundation Flexibility on Gravity Dam Displacements
Figure 5: Time History for Horizontal Crest Displacement for Ef/Ec=1.
Figure 6: Time History for Horizontal Dam Toe Displacement for Ef/Ec= 0.5
II - 735
Figure 7: Time History for Horizontal Dam Heel Displacement for Ef/Ec= 5.
-1500
Max. Stress at dam toe KPa
-3000
-4500
-6000
Principal Stress
-7500
Normal Stress
Shear Stress
-9000
0.5 5 50 500
Ef/ Ec ratio
Figure 8: Effect of Foundation Flexibility on Stresses at Dam Toe
Figure 9: Time History for Principal Stress at Dam Toe in KPa for Ef/Ec=1
II - 736
0
-500
Max. Stress at dam heel KPa
-1000
-1500
-2000
Principal Stress
-2500
Normal Stress
Shear Stress
-3000
0.5 5 50 500
Ef/ Ec ratio
Figure 10: Effect of Foundation Flexibility on Stresses at Dam Heel
Figure 11: Time History for Normal Stress at Dam Heel KPa for Ef/Ec=0.5
Figure 12: Time History for Shear Stress at Dam Heel for Ef/Ec= 5
II - 737

Figure13: Time History for Hydrodynamic Pressure at dam heel for Ef/Ec= 1
Figure14: Time History for Hydrodynamic Pressure at 0.8 of reservoir depth for Ef/Ec=5
Figure15: Time History for Hydrodynamic Pressure at 0.5 of reservoir depth for Ef/Ec=500
II - 738
COULD THE FAILURE OF TETON DAM HAVE BEEN PREVENTED

WITH AN EFFICIENT MONITORING PLAN?
J.F.A SILVEIRA
Consultant in Dam Instrumentation and Safety
SBB Engenharia Ltda
sbbinstrumentacao@gmail.com
ABSTRACT:
After the failure of Teton Dam, which had a maximum height of 92 m, through a process of piping
within the material from the earthfill, scientists determined that the dam had no type of monitoring
instruments. The following question emerged from this finding: Could the failure of Teton Dam have
been prevented if the dam had been adequately monitored? In this paper, the author employs 40 years
of experience in the areas of monitoring and dam safety to analyze this question. The author concludes
that if Teton Dam had been adequately monitored, an early warning about the piping process could be
established and may have prevented this failure or avoided fatalities and significant damage
downstream.
II - 739
1. INTRODUCTION
The failure of Teton Dam, which occurred in Idaho in the United States (US) on June 1976
during the first filling of the reservoir, resulted in 14 deaths and material damages estimated
between 400 million and 1 billion dollars (US$). With a maximum height of 92 m relative to
the original valley, the failure of the dam was caused by a process of piping through the cut-
off trench in the right abutment, which developed rapidly without the possibility of stopping
the filling or releasing materials that may have stopped the erosion process [1].
Despite the large height of the dam and the use of wind-deposited silt (which is highly
susceptible to piping) as compacted earthfill in the construction of the dam, no
instrumentation was employed, with the exception of a few surface displacement landmarks.
The foundation of the dam was not monitored [2].
The aim of this study is to analyze the benefits of an adequate dam monitoring plan, which
could have been used to provide early warnings about piping problems, to prevent the failure
of the dam or to significantly reduce damage downstream.
2. SUMMARY OF THE DEVELOPMENT OF THE ACCIDENT
The failure occurred on June 5, 1976. On June 3, 1976, springs with an outlet of clean water
were observed approximately 400 to 450 m downstream of the dam. No upwelling or other
signs of increasing infiltration were observed downstream of the dam prior to June 3. These
infiltrations occurred through the joints in the rock of the right abutment with an estimated
flow rate of 400 l/min.
On June 4, 1976, a small springs with an estimated flow rate of 80 l/min was observed in the
same abutment approximately 60 m downstream from the foot of the dam. Prior to this date,
no major concerns with these springs were identified because the water was clear and filling
of the reservoir was underway.
On June 5, 1976, a muddy flow with an estimated flow rate between 600 and 800 l/s was
observed on the talus of the right abutment (approx. el. 5,045 m) after 7:00 AM; a small brook
of muddy was also observed on the right abutment at an el. of 1,537 m. These infiltrations
occurred at the junction of the earthfill and the abutment; both increased considerably during
the three subsequent hours. At approximately 10:30 AM, a large infiltration (approx. 450 l/s)
appeared on the face of the earthfill. This infiltration, which progressively increased, appeared
to emerge from a “tunnel” that was approximately 2.0 m in diameter and perpendicular to the
dam axis. This tunnel was transformed into an erosion well, which developed a slope
overhead and curved in the direction of the right abutment.
At 11:00 AM, a vortex appeared in the reservoir at approximately station 14+00 near the
crest. At 11:30 AM, a small sinkhole appeared in the erosion channel that developed in the
downstream slope near the crest. At 11:55 AM, the dam crest began to break and
subsequently produced the breach formation located between the vortex and the downstream
erosion channel.
Five hours elapsed between the moment when the first responders to the dam location
observed the first springs with turbid water and the dam collapse. Approximately 15 hours
elapsed between the appearance of the first surface manifestations of piping and the dam
collapse.
II - 740
Data prior to the failure of Teton Dam are not available, with the exception of the increase in
water level in various sounding holes located in the abutments; however, this information has
minimal value.
3. OPINION OF THE CONSULTANTS REGARDING THE INSTRUMENTATION

AND FIELD INSPECTIONS
The board of nine advisors that analyzed the causes of the Teton accident, which included
Arthur Casagrande, Thomas Leps and Ralph Peck, reported that the measurements for a dam
of this size and complexity should have included surface marks to measure the vertical and
horizontal displacements, settlement gauges and inclinometers to measure the internal
displacements of the earthfill and piezometers to measure the pore pressures in the interior of
the earthfill and the foundation [1]. In addition to these instruments, the advisors
recommended the installation of flow meters and wells to observe and measure the water level
near the reservoir and instruments such as accelerometers to assess the performance of
seismic records.
They noted that the inspectors responsible for visual observations should have been equipped
with a manual of operation instructions to guide them in their routine inspections. These
individuals should have been trained to interpret potential adverse conditions and to promptly
report any anomalous conditions.
4. CONDITIONS THAT FAVOR PIPING THROUGH THE CUT-OFF TRENCH
The wind-deposited silt used in the earthfill and the cut-off trench of the right abutment were
highly susceptible to piping. This finding was recognized by the United States Bureau of
Reclamation (USBR) at the beginning of the project and confirmed by the Board of
Consultants that investigated the causes of the accident. This material may be compromised
and rapidly transported if subject to percolating water. Regressive erosion from downstream
to upstream was not involved because this action requires a considerable amount of time.
Thus, the initial rupture of the earthfill of the cut-off trench can be attributed to erosion by
direct contact of percolating water with the earthfill. This contact may have occurred due to
two conditions: in the first condition, the earthfill was in contact with open joints in the rock
at the base of the trench, through which the percolating water began the entrainment of the
soil; in the second condition, the percolating water passed through the joints of the earthfill.
The physical conditions near station 14+00 contributed to both possible scenarios, which may
have developed simultaneously.
The erodibility of the earthfill material is also dependent on its density and the state of
confining stresses. The erodibility of locations with soft material, such as in localized zones in
which compaction was difficult or impractical, was substantially greater than locations with
compacted earthfill. Erosion develops rapidly in locations with low intergranular pressures
compared with locations with high intergranular pressures. Conversely, if the water pressure
exceeds the intergranular pressure, tensile stress develops in the solid skeleton. When this
stress exceeds the tensile strength of the soil, the soil can fissure via a process known as
hydraulic fracturing.
These conditions occurred near the base of the cut-off trench around station 14+00 and were
responsible for the failure of the earthfill of the cut-off trench. The existence of open joints in
II - 741
the foundation rock upstream of the cut-off trench may have transmitted high hydrostatic
pressures that favored piping through one of the two previously mentioned mechanisms.
5. MONITORING PLAN FOR ÁGUA VERMELHA DAM
The hydroelectric facility of Água Vermelha, which has an installed capacity of 1,380 MW, is
located in Brazil along the Grande River, on the border between the states of São Paulo and
Minas Gerais and downstream from the Marimbondo Hydroelectric Power Plant (UHE
Marimbondo). The plant includes a dam with a maximum height of 63 m and a length of
3,920 m with concrete structures located on the river bed and earthfill dams that complete the
dam on both banks.
The filling of the reservoir was performed in 1978. During the earthfill dam project,
particularly in the region of the left abutment, some measures were employed from lessons
learned from the failure of Teton Dam, which occurred on June 5, 1976. An extensive report
that substantiated the findings of the Board of Advisors, who analyzed the causes of the
accident, was published in December 1976.
A highly permeable layer of agglomeratic lava (10-1 cm/s) was identified in the foundation of
the left abutment of Água Vermelha Dam, which required detailed studies in the design phase.
Due to the Teton accident in 1976, a concrete wall was constructed upstream of the cut-off
trench, in the foundation of the left abutment, to ensure a good seal. A grout curtain was
constructed with three lines of grout holes which penetrated the abutment as shown in Fig.1.
The instrumentation plan for the region of the left abutment of Água Vermelha Dam consisted
of two cross-sections in the cut-off region with upstream and downstream piezometers and
two additional abutment sections to control the water pressures in the region of the abutment.
A flow meter was installed in the output of the drain of station 191+10 m, and water samples
were collected from the reservoir and this drain, during the filling of the reservoir, to measure
the concentration of solids in suspension and dissolution [3].
II - 742
Figure 1 - Layout of the instrumentation at the left abutment in Água Vermelha earthfill dam.
Figure 2 - Layout of instrumentation in the cutoff trench.
The positive results provided by the instrumentation in the region of the left abutment of
Água Vermelha Dam permitted the three-dimensional analysis model of percolation
conditions through the abutment. The results shown in reference [4] confirm the excellent
performance of the cut-off trench with the upstream concrete wall.
The piezometers installed upstream and downstream of the cut-off at their average elevations
permitted the calculation of the sealing efficiency of this device after filling. In March 1979,
this efficiency achieved an 82%, as a probable contribution of the concrete wall upstream of
the agglomeratic lava layer.
6. PROPOSED MONITORING PLAN FOR TETON DAM
Based on the experience acquired from the instrumentation of the left abutment of Água
Vermelha Dam [4] and [5], the problems that caused the failure of Teton Dam could have
been prevented if the dam had been equipped with adequate monitoring instrumentation.
II - 743
The monitoring plan proposed for the right abutment of Teton Dam, in the region in which a
deep cut off trench was executed, included the installation of piezometers, settlement gauges,
inclinometers, surface displacement landmarks and flow meters, as proposed by the advisors
who analyzed the causes of the accident. Based on their suggestions, a minor alteration was
also proposed, which consisted of the substitution of inclinometers for the total pressure cells,
installed next to the base of the cut-off. The inclinometers would indicate the relief of stresses
resulting from the soil arching process between the soil of the cut-off and the foundation rock.
The general arrangement of the instrumentation proposed for the right abutment of Teton
Dam is shown in Fig. 3; instruments should be installed in a minimum of 2 cross-sections of
the deep cut-off. In this instrumentation arrangement, the installation of standpipe
piezometers, upstream of the cut-off, is possible as shown in Fig. 3, providing that the tubing
does not rise vertically and incorporates a subhorizontal section with the proper slope to
prevent air bubbles. A similar scheme was employed in the left abutment of Água Vermelha
Dam with satisfactory results.
Figure 3 - Instrumentation layout proposed for the right cut-off trench of Teton Dam.
The following objectives are emphasized as primary justifications for this monitoring plan:
- Piezometers PZ-1 and PZ-3 are installed on the same level of the base of the cut-off. They
should permit prompt detection of piping initiated on the earthfill-rock interface near the cut-
off base.
- Piezometers PZ-2 and PZ-4 should be installed midway along the cut-off. They would
permit the detection of piping through the earthfill of the cut-off caused by hydraulic
fracturing on the interior of the cut-off, which is attributed to the soil arching process.
- The settlement cells CR-1 to CR-8 should be installed inside of the earthfill above the cut-
off at two distinct elevations. They help to evaluate the effects of arching caused by the cut-
off and enable better calibration of the mathematical analysis models.
- The surface marks function as supports in the evaluation of the settling of the dam and its
foundation.
II - 744
- Flow meters should be installed next to the downstream foot of the dam, as recommended
by the advisors.
The information transmitted by the instruments installed during the construction process, or
prior to the construction process as in the case of the foundation piezometers, would inform
about the piping process in the cut-off region, since the beginning. By positioning the
piezometers at the same level upstream and downstream of the cut-off, prompt detection of
the loss of efficiency is possible according to the following example.
At Agua Vermelha dam piezometers had been installed also at a very pervious layer between
two basaltic lava flows, as shown in Fig. 4, they permitted the detection of the loss of
efficiency of the cement grout curtain immediately after filling of the reservoir. For an
unexplained reason, piezometer PZ-40, which is located upstream of this curtain, began to
show an accentuated decrease in water pressures after March 1979 (Fig. 5), immediately after
the reservoir achieved its maximum height. Simultaneously, PZ-41, which is located
downstream, began to indicate a distinct increase in water pressures and a distinct loss of
efficiency of the grout curtain on the dam axis.
Figure 4 - Instrumentation layout at station 181+10 and piezometer water levels in Out/1979.
Similar to this example, the reduction in water pressures in the PZ-1 or PZ-3 piezometers for
Teton Dam (Fig. 3), associated with the increase of the water pressures in PZ-2 or PZ-4,
would have promptly indicated the beginning of a piping process, even during the filling
phase of the reservoir. Due to the high susceptibility of the aeolian silts to the piping, the
internal erosion process would have developed rapidly and been reflected in the rapid
response of the foundation piezometers.
Associated with the measurement of the foundation piezometers, information transmitted by

the settling cells, the total pressure cells and the flow meters, would help to detect and
understand better the mechanism, which dangerously threatened the safety of Teton Dam.
II - 745
Figure 5 - Piezometer level changes at station 181+10.
The establishment of control values for the dam monitoring instruments during the design
phase would be useful for the establishment of an early warning and the accurate detection of
problems that threatened the dam safety.
7. PRIMARY CONCLUSIONS
The Board of Advisors that analyzed the causes of the failure of Teton Dam presented the
following main conclusions:
- Wind-deposited clayey silts, which were used in the core and in the earthfill of the cut-off
trench, were highly erodible. The use of this material adjacent to the intensely fractured rock
of the abutment was a significant factor that contributed to the accident.
- The geometry of the cut-off trench with steep side slopes influenced the formation of cross-
sectional arching, reduced the stresses around the base of the trench and favored the
development of hydraulic fracturing, which may have created channels through the erodible
material of the earthfill.
- The dam and its foundation were not adequately monitored with instruments to provide
“Project Construction Engineering” and their team with the necessary information related to
alterations in the earthfill and abutments during filling.
It is incomprehensible and lamentable that a dam of this size, with a maximum height of 92
m, was not properly monitored with the instruments included in its design and that the
procedures and checklists from previous field inspections were not verified prior to the filling
of the reservoir.
The instrumentation in the left abutment of Água Vermelha Dam may have provided an early
detection of the events that led to the failure of Teton Dam. The general arrangement
proposed in the cut-off region of the right abutment (Figure 3) for the monitoring of Teton
II - 746
Dam was based on similar problems that occurred in Água Vermelha Dam. The findings
conclude that it would have been possible to identify problems that developed in the
foundation of Teton Dam, which eventually caused its failure.
Even if the proposed instrumentation had been installed, there most likely may not have been
sufficient time to prevent the failure of Teton Dam, due to the rapid development of piping, or
due to the excessive amount of time required for the analysis of instrumentation data and
subsequent decision making. However, the early detection of the piping process by the
instrumentation may have enabled adequate preparation of the design teams and field
observers and the establishment of a warning and downstream evacuation plan, which may
have prevented fatalities and significantly lessened the damage to downstream area.
8. KEYWORDS
Earth dam – Failure – Instrumentation – Dam safety
ACKNOWLEDGMENTS
The author is grateful to Eng. Sebastião Antonio Silva for his review of the study and his suggestions
for technical improvement.
BIBLIOGRAPHIC REFERENCES
BUREAU (1976) - “Failure of Teton Dam”, Report of the “U.S. Department of the Interior
and State of Idaho, by Independent Panel to Review the Cause of Teton Dam Failure”,
December/1976, Washington, DC;
SILVEIRA, J.F.A. (1980) - “Lições Aprendidas com a Ruptura da Barragem de Teton”

[Lessons Learned from the Failure of Teton Dam”, June 1980, Revista Construção
Pesada, São Paulo, SP;
SILVEIRA, J.F.A., FILHO, A.A., GAIOTO, N., PINCA, R.L., (1980) - “Controle de
Subpressões e de Vazões na Ombreira Esquerda da Barragem de Água Vermelha
Análise Tridimensional de Percolação pelo MEF”, [Control of Water Pressures and
Seepages in the Left Abutment of Água Vermelha Dam, Three-Dimensional Analysis of
Percolation by FEM] Proceedings of the XIII Seminário Nacional de Grandes
Barragens, Vol. II - CBDB, Rio de Janeiro, RJ;
SILVEIRA, J.F.A., MARTINS, C.R.S., CARDIA, R.J.R., (1981) - “Desempenho dos

Dispositivos de Impermeabilização e Drenagem da Fundação da Barragem de Terra de
Água Vermelha”, [Performance of the Waterproofing and Drainage Systems of the
Foundation of Água Vermelha Earth Dam] Proceedings of the XIV Seminário Nacional
de Grandes Barragens - CBDB, Recife, PE;
SILVEIRA, J.F.A. (2006) - “Instrumentação e Segurança de Barragens de Terra e

Enrocamento” [Instrumentation and Safety of Earth and Rockfill Dams], Editora
Oficina de Textos, São Paulo, SP.
II - 747
Experiment study on changes of sediment erosion and deposition in the

reach of Chongqing City under different conditions of water and
sediment
WANG Jun, CHENG Chuanguo&WU Huali
Changjiang River Scientific Research Institute, Wuhan 430010, China
azy43@sina.com
ABSTRACT :
In recent years, the amount of incoming water and sediment in Chongqing Reach has been in a
decreasing trend. In particularly, with the large reservoir built using in the upstream of Jinsha River
and Jialing River, the amount of sediment into the Three Gorges Reservoir and Chongqing Reach was
less. In this case, the paper carried out sedimentation test using the new water and sediment conditions,
through the existing physical model of Chongqing Reach, then, analyzed the changes of sediment
deposition conditions and the impact. The results show that the effect of reservoirs in the upstream to
sediment deposition in Chongqing Reach is obvious.
Keywords : Three Gorges Reservoir ; Chongqing City ; sediment deposition
1.FOREWORD
At present, the three gorges project has played a huge flood control, power generation and
navigation economic benefits. The past research about sediment accumulation of
Chongqing River mainly adopted the 60s hydrological series (481 million t of the annual
average sediment discharge) and hydrologic series in the 90s (355 million t of the annual
average sediment discharge), under this condition, the amount of incoming sediment is
relatively more. Since 2000, the sediment discharge of Chongqing River has showed a
trend decrease, nearly 10 years, the average annual sediment discharge was only about 210
million t. As the large reservoir built using in the upstream of Jinsha River and Jialing
River, the amount of sediment into the Three Gorges Reservoir and Chongqing Reach was
less.So it is necessary to adopt the new series of coming water and sediment to study
sediment deposition in the Chongqing reach and analysis the effect of the upstream
building block to sediment deposition in Chongqing reach.
2.GENERAL SITUATIONS OF CHONGQING REACH

Chongqing Reach is located in the upstream of Changjiang River and belongs to
mountainous river,whose bed is mainly composed of bedrock and pebble, affected by
geological tectonism, river on the plane in curved channel forms. Under the natural
condition, section size and white, shoreline is uneven, the shore is stone mouth bulging. In
wide section, the river often forms the central bar, while flood water is divided into two
branches; The convex curved reach shore general forms moraine dam. Cansu river channel
is volatile, shallow and deep groove, alternately along the channel line is indented.
II - 748
Chongqing Reach includes two sections, that is Yangtze river section and Jialing River, the
former is from qiezixi to Tongluoxia and is about 42km, the latter is into Changjiang River
in Chaotianmen There are six consecutive curves, corners by a straight transition section
between the connection in Changjiang River section. From the wellhead to the mouth of
jialing river, river is about 25 km long, there are five river bends, curve between for
straight section (figure 1). Trunk channel of the Yangtze river is generally 700 ~ 800 m
wide, braided river is most the breadth to amount to more than 1500 m (such as the
jiulongpo river), narrow as Dan zishi paragraphs, the narrowest point it is only about 530
m. Jialing river channel generally is 400 ~ 500 m wide, wide period of about 850 m (such
as the entrance of linjiang door), below the narrow section of the jialing river bridge
CengJayan place only about 370 m. The width of river about broad and narrow section is
very different.
3.GENERAL SITUATIONS OFEXPERIMENT SCHEME

3.1Brief description of model
Chongqing Reach physical model was built in 1987. According to the measured terrain
modelling again in January 2003, the model was fixed, but the model design was still in the
original water flow movement and sediment movement and river bed deformation of
similitude rule of similar design. The layout of model is shown in figure 1. The inlet
discharge and outlet water level derived from mathematical model calculation results.
3.2Test control condition

Model test of water sand control condition on the basis of reservoir sediment one-
dimensional mathematical model calculation results, which used the typical series from
1991 to 2000 years in the 90 s, the corresponding relations between typical years are
shown in table 1. Series included water abundant sand in 1998 years, the water in the sand
in 1991 years, less water in the sand, 1993, 1993 and 2000, num less sand years 1992,
1994, 1995, 1994 and 1997. Using the first decade of the three gorges reservoir, the build
library did not take into account, incoming water and sediment were natural state; the
second decade of consideration in cansu upstream effects of building warehouse, compared
with the first decade in cansu amount reduced is not much, about 5%, less is more, the
Yangtze river upstream to sand accounted for only 28.9% of the original series.
Table 1 .Relationships between test series and corresponding hydrological years
Hydrological
1994 1995 1996 1997 1998 1999 2000 1991 1992 1993
year
Simulationseries 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017
years 2018 2019 2020 2021 2022 2023 2024 2025 2026 2027
4.ANALYSIS OF TEST RESULTS

4.1The changes of conditions on scouring and silting in Chongqing Reach
After operation.of the three gorges reservoir, Chongqing Reachr is affected by water level
before dam.Every year in October, at the end of the sin of reservoir impoundment process
and with natural conditions, water flow has bigger change, change the natural situation go
after the end of the sin and the sin of the rule of sand, make the sand scouring period
II - 749
postponed until the following year down the end of a period, and average month until 4 ~ 5
year can be a lot of sand, may be postponed to June in a wet year occurrence peak to a lot
of sand, the time go than natural sand flow condition from mid to late September to
October's walking the sand flow condition worse, sand effect also is less. In addition,
although the backwater is not large in flood season in Chongqing Reach, the value of
backwater is still 0.5 ~ 2.0 m. Compared with natural conditions, the same year of water
and sediment flood sediment sediment deposition increased, and the extension of reservoir
operation years, reach the accumulation of total sediment deposition is obviously growth
trend.
4.2The changes of amount on scouring and silting in Chongqing Reach
The three gorges reservoir in 175-145-155 - m scheme is applied, 90 water and sediment
series experiment at the end of the first decade (2017) and second at the end of the decade
(2027) chongqing river sediment deposition are shown in table 2. At the end of the 20th
siltation distribution as shown in figure 4.1. It can be seen that due to running in the past
ten years doesn't consider the effect of upstream building, sand amount is larger, the silting
amount is 20.174 million m3. Using of the second decade of considering the headwaters of
the Yangtze river and jialing river built library, sediment and river sediment deposition
amount from the previous ten years has significantly reduced, all reach agreement 16.55
million m3.
Table.2 The table of Chongqing silting in scale Thousands of cubic meters
Measuring year At the end of the 10th At the end of the 20th
Xia Luogongzi～Qian
306.3 243.5
Jinyan5.07km
QianJinyan～Longfeng
185.6 149.3
stream2.31km
The
Yangtze Longfeng stream～
602.5 481.6
river Wang Longmen7.95km
Wang Longmen～
356.8 284.3
Liangtuo4.77km
Liangtuo～
435.1 347.1
Baishatuo7.41km
Jialing ZengJiayan～The
mouth into the remit 185.1 149.2
river
3.45km
combined 30.96km 2071.4 1655
II - 750
螃蟹沟
黑石子
大纱帽石
佛长
寺门闩子母猪碛
大
桥板
滩碛
石子
蛮
白沙沱
大沙溪
200
子
生基塘江
狗背子
蜂窝
碛
草鞋
160
0
唐家沱
20
16
二佛寺
0
王家沱
16
黄花园大桥
梁沱
0
弹子石 0
20
160
铜锣峡
嘉江北
陵咀
玄坛庙
江木关沱
大
桥金沙碛
嘉曾家岩
碛
门
桥陵
猪儿
大
天
160
门
朝
石江
沙坪缸储奇门
坝口坝 16
0
九菜园珊瑚坝
170 160
重庆长江大桥
黄桷渡
铜元局
鹅公岩大桥黄沙碛
碛
角
三
九堆子
九龙坡
木家咀
0
20
大渡口江
160
黄家碛
李家沱大桥李家沱 0 1 2
(km) 淤积区域
比例尺
160
200
200
茄子溪
Figure 1.The figure图4.1 第20年末重庆河段淤积分布示意图

of Chongqing urban river and sediment deposition distribution
4.3The changes of distribution on scouring and silting in Chongqing Reach

Along with the increase of the running time of the three gorges reservoir, the Chongqing
Reach overall unto him toward a single deep groove direction, microbend and high beach,
river sediment deposition distribution in all corners of the convex bank on the bottomland
of moraine dam, a branching channel, flood season in the mainstream and the branch line
swing has a large groove, and the main backwater Tuo, siltation distribution as shown in
figure 1.
Affected by the corner circulation, the phenomenon of cumulative sediment deposition
appeared on the curved reach, such as the dadukou section of the right bank of the barb
moraine, lee Tuo left Laoguan moraine, ChaoTianMen till the moon moraine in the
upstream, inch beach river right bank sows moraine, TangjiaTuo copper field dam in the
left bank of the river curves.
In the width of river, the flow area of the sudden increases, flow rate decreases rapidly and
produces cumulative sediment deposition. River in chongqing urban area within the scope
of the relaxed period are associated with low water curves appear, natural situations in
different periods with water level fluctuation in flow dynamic axis swing is big, water is
characterized by low water by bending the flood is straight. Ease within the period of deep
groove (low flow channel) high water level in flood season always form slowly or
backflow area, easy to fall silting. After the normal impoundment of the three gorges
reservoir 175 m, because after the water level has obvious rise, sin makes the flood
sediment deposition in the river to relax period of deep groove can not get effective
flushing, resulting in cumulative alluvial silt. With the increase of the using time of the
three gorges reservoir, to broaden the bending section of the original deep groove position
will gradually move towards channel, beach trough shift of some reach even happen. Such
as Kowloon slope area of cumulative deposition, along with the development of the point
bar, readjust the moves to the right.
II - 751
Scouring and silting at backflow. In Chongqing urban area the lees Tuo,
MuguanTuo,LiangTuo, baishaTuo and tang Tuo, etc. Natural conditions, the backflow Tuo
produces large amounts of sediment deposition, after 175 m program using of the three
gorges reservoir, accompanied by reflux Tuo within further increase of water depth,
sediment deposition greatly increase. such as wood close Tuo, beam Tuo in reservoir with
10 at the end of the apparent deposition, deposition thickness can reach more than 8 m.
5.CONCLUSIONS
After use of the three gorges reservoir, Chongqing Reach is affected by water level before
dam scheduling, at the same year of water and sediment, sediment deposition increased.
With the use time longer, the total amount of sediment deposition presented a increasing
trend. With the new coming water and sediment series (2008-2027) for the sediment model
tests, at the end of the first decade (2017), about 30.96 km long test river sediment
deposition accumulative total 20.714 million m3; 20 years (2027), at the end of the test of
sediment deposition in the cumulative total of 16.55 million m3, the second decade of a
decade earlier sedimentation topography is washed, indicates that the effect of reservoirs in
the upstream to sediment deposition in Chongqing Reach is obvious.
REFERENCES
Wang Jun, XuHaitao, Ma Xiuqin. Research on Key Sediment Problem of the Three-Gorge
Project Dam Area and Policies [R]. October, 2009.
Experts Group of Sediment Topic of the Three Gorges Project Construction Committee
Office of the State Council, Three Gorges Project Sediment Expert Group of China
Three Gorges Project Corporation. Research on Sediment Problem of Three Gorges
Project, 2001-2005 (Volume III), Intellectual Property Publishing House, May, 2008:
275-320, 389-444.
Three Gorges Project Sediment Panel, 2002. The special study on Three Gorges Dam area
(1996-2002).Beijing: Intellectual Property Press.
II - 752

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INTERNATIONAL SYMPOSIUM ON

Bali, Indonesia, June 1ST – 6TH , 2014

Estimation of interfacial properties

K.I. Song 2 & H.J. Yun 3

Figure 1. Construction stage of the highest CFRD in South Korea

2.1. Monitoring the vertical settlement

(a) Vertical settlement (b) Strain

Figure 2. Vertical settlement and strain history at CFRD crest

2.2. Time-dependent behavior of CFRD

Table 1. Kelvin model

Figure 3. Regression analysis with least square solution

2.3. Prediction of long-term behavior of CFRD with Kelvin model

(a) After 1st stage (b) After 2nd stage

Figure 4. Prediction of long-term behavior with Kelvin model

Figure 5. Estimation of elastic modulus according to construction stages

3. NUMERICAL ANALYSIS ON CONCRETE SLAB

3.1. Use of interface element

Concrete slab – Beam element

CFRD body – Grid

Figure 6. Modeling of interface element in FLAC2D

Figure 7. Modeling of the highest CFRD in South Korea with FLAC2D

Table 3. Material properties used in numerical analysis

Table 4. Estimated properties of interface element and beam element

3.2. Stability analysis on concrete slabs

3.2.1. Static analysis on concrete slab

Table 5. Level of reservoir for hydraulic boundary condition

FLAC (Version 6.00)

Liner Plot 4.500

1.500 2.500 3.500 4.500 5.500 6.500

Bending compressive Bending tensile stress Shear stress

stress (MPa) 1.500

1st 0.610 9.600 O.K. - 0.637 O.K. 0.005 0.392 O.K.

3.2.2. Dynamic analysis on concrete slab

Artificial seismic wave Hachinohe seismic wave Ofunato seismic wave

Time (sec) Time (sec) Time (sec)

Figure 9. Seismic waves used in dynamic analysis

(b) Stability evaluation with respect to long- period waves

(c) Stability evaluation with respect to short- period waves

1.2.Research area condition

Figure2. General Basic concept of Underground Figure 3. Classification of Vacancy

Figure 4. Cross section Underground Dam at River (Sungai )Ketes, Bunutan

Figure .5. Long section of Underground dam at River Ketes, Bunutan

2.3. Reservoir rocks

Figure 6. Geological Map of Bunutan Figure 7. Several Geological Models For

Rainfall 250 280 188 75 65 50 53 31 30 40 60 175

4. BUNUTAN HYDROGEOLOGICAL BASIN

4.2.Prediction of inflows and outflow

No. Location / Villages Caused of Spring Spring discharge

4.2.1.Input of ground water basin to underground dam plan are as follows:

Bali, Indonesia, June 1ST – 6TH , 2014

Impact Drilling in Embankment dams – A Comparative study between

• Study in collaboration between Wassara AB and Sweco Infrastructure AB

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