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Evaluation of the Mechanical Behavior of Shirin-Dare Earth Dam by the Numerical

Analysis and Monitoring
Mohammad Rashidi1; Reza S. Ashtiani, Ph.D.2; and Habib Rasouli3
1
Ph.D. Graduate Research Assistant, Civil Engineering Dept., Univ. of Texas at El Paso, 500 W.
University Ave., Engineering Bldg., Room M-104, El Paso, TX 79968. E-mail:
mrashidi@miners.utep.edu
2
Associate Professor, Civil Engineering Dept., Univ. of Texas at El Paso, 500 W. University
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Ave., Engineering Bldg., Room A-217, El Paso, TX 79968. E-mail: reza@utep.edu

3
Ph.D. Candidate, Dept. of Civil Engineering, Univ. of Technology Sydney, Australia. E-mail:
habib.rasouli@student.uts.edu.au

ABSTRACT
In this study, the mechanical behavior of Shirin-Dare Dam was evaluated at the end of
construction, initial impounding, and operation time through using the results of instruments and
numerical analysis conducted by FLAC software. The results showed that the settlements
calculated from the numerical analysis were in reasonable agreement with the data recorded by
the instruments in the field. This confirms the validity of the material properties selected based
on field instrumentation. The numerical results pertaining to the calculations of the pore water
pressure distributions, embankments stresses, and the settlement behaviour of the dam showed
acceptable performance of the studied dam. The sensitivity analysis of hydraulic fracturing of
the dam using the arch ratio resulted in comparable performance of similar geostructures across
the world.

INTRODUCTION
Earth and rockfill dams play a vital role in providing water required for human societies.
Therefore, the structural integrity, stability, and reliability of earth dams has a prominent position
among civil engineering practitioners across the globe. Traditionally, the analysis of the earth
and rock fill dams should incorporate detailed stability analysis of initial impounding, behaviour
during construction, and stability during service life of the hydraulic geostructure.
Duncan (1996) and Kovacevic (1994) in a pioneering studies analysed the behavior of earth
and rockfill dams by using finite element analysis. They reported that the accuracy of the finite
element analysis is a function of the method of study, the constitutive models of stress-strain and
uncertainty. Duncan (1996) indicated that the majority of analysis used in the literature are Class
C1 according to Lambe (1973) (i.e., after the event), so that the obtained results show a good
agreement between predicted and monitored results from the field.
Most of the previous studies focused on settlement of rockfills and earth dams during the
impounding which is an essential component of the modelling of embankment dams and the
most noted failure mode for upstream shoulder. However, excessive settlement has also been
observed in the downstream shoulder due to wetting either by rainfall or leakage from upstream.
Integrating the settlement into the constitutive model of the soil increases the complexity and
uncertainty of material properties selection between laboratory and field condition. This
difficulty mainly accounts for the dependency of settlement on compaction, moisture content,
compacted density, applied stress conditions and material properties. Justo (1991) and Naylor
(1990) proposed methods for incorporation of settlement of rockfill into constitutive models. The

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analysis of Beliche Dam, central core earth, and rockfill dam, by Naylor (1997) is an example
where vertical collapse settlement of the upstream rockfill was considered in the modelling.
The effect of pore water pressure dissipation in earth fills during construction also has been
considered by a number of authors including Eisenstein and Law (1977), in modelling Mica dam,
and by Cavounidis and Höeg (1977), amongst others. For these cases, the incremental
embankment construction was modelled as a two-stage process; the first stage is modelling the
new layer construction using undrained properties for the core and the second stage is modeling
pore water pressure dissipation. In most cases though, pore water pressure development in the
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core is ignored. For wet placed earth fills, where high pore water pressures are developed during
construction, the core is often modelled using undrained strength and compressibility parameters,
and the permeability is assumed as sufficiently low such that pore water pressures will not
dissipate during the period of construction. In addition, Zumret et al. (2010) investigated the
solution based on transient simulation of seepage on earth dam through protection using a two-
dimensional numerical model based on Richards’ equation for water flow in a porous medium.
The obtained results showed that the proposed approach is applicable for large-scale engineering
applications.
In the rockfill dams, the materials used in the shell, including rockfill and gravel, are
generally stiffer than the materials used in the core. The difference between the modulus
elasticity of these two materials made different vertical displacements. In addition, the friction
between the core and shell materials caused a transfer of stress from the core to the shell, which
could create a low-stress area in the core; this phenomenon is called “Arching” in earth dams
(Terzaghi, 1943). In this regard, efforts have been made to analyse the effect of arching on safety
of earth and rockfill dams. However, previous research findings mainly focused on arching
during construction and there is not many research on the subject of the arching during first
impounding and operation time.
As stated earlier in this paper, the literature lacks the integration of the pore water pressure
dissipation, embankment geostatic stresses, settlement analysis coupled with arching ratio during
initial impounding and construction (Haeri et. al, 2015). In this regard, this study evaluates the
mechanical behavior of Shirin-dare dam at the end of construction, first impounding, and further
operation and service by Finite Difference Method (FDM) using FLAC software. . The
numerical analysis was conducted using the plane strain modelling of the largest cross-section of
the dam. The settlement, pore water pressure, and total vertical stress were the crucial output
parameters obtained from the numerical analysis. This information was further validated by the
field instrumentation.

PRIMARY FEATURES OF SHIRIN-DARE DAM

Shirin-dare dam is a part of the Atrak project, located 65 Km due north-west of the city of
Bojnourd, Iran. This structure is constructed on the Atrak River as shown in Figure 1. The
principal objectives of the dam construction include agricultural water supply and flood control.
As represented in Table 1, the dam height from the riverbed in the largest cross-section and
length of the crest is 66 m and 483 m respectively. Two layers of filters on the upstream and
downstream support the vertical clay core and the transient shell located between the clay core
and rockfill shell. Figure 1 also shows different zones of critical cross-section (the largest cross-
section of the dam) as well as the layout of the inclinometers (vertical and horizontal
displacement measurement devices), pressure cells, and electrical piezometers at three levels of
the height in the dam. Table 1 shows the main technical characteristics of the dam and its

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reservoir. Shirin-dare earth dam construction has begun from April 2003 which is the base date
according to Figure 2. After 300 days post the start of the construction, the height of the dam
reached 59 meters, which marked the completion of the dam and the onset of initial impounding.

Table.1. Technical characteristic of the Shirin-dare dam and its reservoir

Height of crest from river bed (in the largest cross-section) 66m
Dam crest elevation a.s.l 800m
Normal water level a.s.l 793m
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Length of dam crest 483m

Width of dam crest 12m
Total dam volume 91.5×106 m3
Dam body materials volume 3.36 ×106 m3
Dam slope up-stream 1:2.3
Dam slope down-stream 1:2.1 + Berm

Figure 1: View and critical cross section of Shirin-dare Dam

Figure 2: Construction and impounding period of Shirin-dare Dam timetable

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MATERIAL PROPERTIES AND NUMERICAL MODELING

The Shirin-dare dam was modelled using FLAC software, which is based on finite difference
method. Mohr-Coulomb elastoplastic model was used for the earth fill, filters, and core of the
dam. This model is the most failure criteria used by geotechnical engineers. Primarily, The Mohr
–Coulomb criteria states that states that failure happens when the combination of the shear stress
τ and the effective normal stress 𝜎′ acting on any element in the material satisfy the linear
equation:
|  |  c    tan (1)
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where c and 𝜙 are the cohesion and the angle of internal friction, respectively. In terms of the
principal effective stresses, Coulomb’s yield criterion can be expressed by the following
equations:
f13  1'   3'    1'   3'  sin   c cos   0
1 1
(2)
2 2
f12  1'   2'    1'   2'  sin   c cos   0
1 1
(3)
2 2
1   2    3   triaxial compression  (4)
This failure criterion can be re-written in terms of deviatoric stress and mean effective stress
which is a more common expression for defining failure behavior in advanced soil models:
f1  q   6 sin / 3  sin  p ' c cot   (5)
In the Mohr-Coulomb model, it is assumed that the material behaves elastically until the
failure surface is approached. However, in reality, plastic deformations begin well before the
failure occurs. Despite this assumption, this model has been used because of its simplicity and
capacity to obtain reasonable solutions to important practical problems in geotechnical
engineering.

Material Properties
The mechanical properties of fine and coarse materials were characterized using
conventional soil mechanics laboratory tests from the dam, alluvial foundation, and bedrock.
Table 2 presents the parameters of Mohr-Coulomb model for various zones of the dam. As
reported in the table, γsat, φ, C, E, ν, ψ, and K are denoted as Mohr-Coulomb parameters
including saturated unit weight, inner friction angle, cohesion, elasticity module, Poisson’s ratio,
dilation angle and permeability coefficient, respectively.

Table 2. List of the material properties in the numerical analysis

Material Type γsat (kN/m3) φ C (kPa) E (kPa) ν Ψ K (m/s)
4
Core 19 33 160 1×10 0.38 0 1×10-10
4
shell 20.5 41 0 9×10 0.31 11 0.5
Filters 20 36 0 4.5×104 0.36 6 0.2
4
Transition 20 35 0 2.5×10 0.37 5 0.5
Foundation 20 33 0 6×104 0.25 3 1×10-4

Numerical Modeling and Analysis

Settlements, stresses, and pore water pressures were the essential parameters extracted from

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the numerical analysis at the end of the dam construction and initial impounding. The numerical
analysis was conducted based on the finite differences on a plane strain model of Shirin-dare
dam. In addition, the numerical simulation includes three stages as follows: First, to calculate the
in-situ stresses, the riverbed had to be modelled before the dam construction. In this stage, the
horizontal stresses were estimated by applying at rest lateral pressure factor (Rashidi and Haeri,
2017). Second, construction of the dam from the riverbed level (734 m a.s.l) to dam crest (800 m
a.s.l), which was simulated in 21 layers with the thickness of 3.15 m in the software and
physically took about 2 years to complete the construction. The groundwater table at the site of
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the dam was about the riverbed level. The core of the dam was assumed Consolidated Undrained
(CU) because it took a long period to construct the dam at this stage. The clay material of the
dam’s core due to low permeability was gradually saturated, while the level of water in the shell
and the alluvial foundation remained constant because of higher permeability of these materials
than the clay core. After the construction stage, the steady-state seepage calculation was
conducted, and then steady state seepage of the dam for a 59 m water level was performed
without disruption of the static equilibrium of the structure. The final state of static equilibrium,
called initial stress state, of the dam was later computed again after the steady state seepage has
been achieved. Ultimately, the Shirin-dare dam impounding was simulated in 8 layers similar to
its construction, the height of the layers were simulated between 7 to 8 m to represent the field
construction. Each layer’s impounding was carried out considering the height code of the water
behind the dam which was obtained by instruments. The first total impounding of the dam was
done in 20 months. In addition, the Justo method (1991) was separately used in unloading the
lower layers due to submerging during the first impounding analysis. Based on the available
literature on comparable dams, the angle of internal friction was reduced by 20% to account for
the loss of particle interactions in the impounding process (Rashidi et al, 2018). Similarly, the
Young’s modulus was reduced by 50% to comply with previous recommendations by other
researchers in the field (Varadarajan et al. 2003). At the end of the second phase, the water level
reached a steady state in the core. Therefore, the excess pore pressure can be estimated using
Equation 4 as follows:
u  B 3  AB  1   3   u b  u a (6)
where A and B are Skempton coefficients.

RESULTS AND DISCUSSION

In this section, the numerical results for the Shirin-dare dam including settlements, total
vertical stresses, pore water pressures, the arching ratio at the end of construction, the arching
ratio at initial impounding phase and service life are presented. The numerical results are further
contrasted by the values obtained from the field instrumentation to verify the selection of the
material properties, and the simulation approaches in this study.

Settlement Results
In order to monitor the deformation of dam two tubes of inclinometers were placed at both
the upstream and downstream of the dam as shown in Figure 1. The initial position of the casing
during construction was monitored based on the detailed surveying of the inclinometer probe.
Juxtaposing the initial survey and the subsequent surveys at various time periods provided the
means to calculate the rate, depth, and magnitude of the displacements in this study.
Figure 3 provides comparisons of the settlement of the central core obtained from

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instruments and numerical modelling at the end of construction. It is clear that the analysis
results are very close to field achieved data at the end of construction. As observed in the plot,
the maximum settlement in the last reading on this date is equal to 173 cm at this time. This
value after first and second 10 year periods of operations was increased to 184 cm and 187 cm
respectively, as shown in Figure 4. It is clear that from the initial impounding to the operation
time, which took approximately 20 years, the settlement was only 14 cm. This settlement is 8%
of the total settlement of the dam while 92% of the settlements (173 cm) took place during the
construction time. Furthermore, the aforementioned maximum vertical displacement showed that
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this value was at the rate of about 2.7 % of the height of the dam. Another noteworthy
observation in these plots is that the maximum dam settlement was occurred in the middle of
dam height, as expected in all earth and rockfill dams.

Figure 3: Comparing the results of the instruments and numerical modeling for settlement
changes in the central core at the end of construction

Figure 4: Settlement of the dam; a) at the end of construction; b) after the first 10-year
operational time; c) after the second 10-year operational time and horizontal displacement
of the dam; d) at the end of construction; e) after the first 10-year operational time; f) after
the second 10-year operational
Figure 4 also presents the results of horizontal displacements of the dam from numerical

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analysis in three phases including after initial impounding, after 10 years, and after 20 years of
service. The maximum values of horizontal displacements usually occur during the first
impounding. As observed in the plot, this value for upstream and downstream shells were
measured as 40 and 50 cm respectively after initial impounding. The horizontal displacement of
downstream was only increased to 55 cm after the first 10 years of operation time. On the other
hand, evidently the horizontal displacement of upstream had a dramatic decrease after the first 10
years of operation time to 16 cm due to constant water pressure on the upstream of the dam after
initial impounding. This showed that impounding of the earth and rockfill dams leads to increase
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in the factor of safety of the upstream.

Vertical Stress and Arching Ratio

In order to monitor the total pressure, three pressure cells were installed at the levels of 744,
765 and 785 m which were installed in a group of 5, 3 and 1 respectively according to Figure 1.
Figure 5 shows the changes in the vertical stress in the width of the core and upstream and
downstream filters in the first level. The maximum read stress most of the times is related to
number PC-5-8 pressure cell, which is located within 20 m upstream of the dam axis. This
pressure cell showed 1200 kilopascal stress. Also in this figure vertical stresses of the dam in 744
level is compared considering the results obtained from instruments and the amounts from
numerical modeling. As depicted in the plot, the analysis results are in good agreement with the
reality.
As discussed earlier, arching in earth and rockfill dams could create a low-stress area in the
core. Equation 7 presents the arching ratio:
Ar   v / γ.h (7)
Where σv: is vertical total stress (kPa) γ: is unit weight (kN/m ) and h: is embankment height (m)
3

In earth dams, the core usually is softer than the shell zones; load transfer occurs from core to
shell. As a result of this action, pore water pressure can become more than total stress within the
core. This effect may make of cracks due to excess water pressure. These cracks are called
hydraulic fracturing that makes holes from upstream to downstream and results in the piping
erosion of the earth dam. Also, it causes severe damage to the body of the dam, possibly leading
to the dam failure. The higher the Ar, the less the arching phenomenon in the core and the lower
the probability of hydraulic fracturing to occur.

Figure 5: Comparing the measurement results and numerical model for the total vertical
stress in the piezometers located in the744 level
According to Figure 5 and Equation 7, the most critical of the arching ratio at the end of
construction was about 0.7 based on the measurement results. This value indicates that only 70

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percent of the vertical load imposed by the core weight in that level is transferred to the
underneath layer and 30 percent of the remainder weight is transferred to the shell and side filters
of the core. According to the literature, other similar earth dams to the Shirin-dare dam, such as
Iran‘s largest dams Molla Sadra earth dam with 72 m height and Gavoshan earth dam with 125
m height have the critical arching ratio of 0.45 and 0.51, respectively (Nikkhah et al. 2007;
Rashidi & Haeri 2017). Considering the inverse relationship between the arching ratio value and
the arching effect, it can be concluded that Shirin-dare dam is protected against hydraulic
fracturing.
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Figure 6: Comparing of the pore water pressures obtained from the numerical analysis and
field instrumentation during construction
Pore Water Pressure
Pore water pressures in the core of Shirin-dare dam were recorded using various types of

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piezometers. Location of the piezometers in the critical cross-section is shown in Figure 1. In

addition, the pore water pressures, obtained from the numerical analysis, were compared to those
recorded by the instruments during construction. As depicted in Figure 6, the pore water pressure
results obtained from the instruments were close to the results obtained from the numerical
model during construction in the lower sections.
Pore water pressure ratio is defined as the ratio of the developed water pressure and the
vertical geostatic load at each location. The formulation to calculate the Ru value is presented in
equation 8 as:
R u  u/γ.h
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(8)
Where Ru: is Pore water pressure ratio, u: is the produced pore water pressure, γ: is the specific
weight of the material, and h: is the height of the embankment.
Figure 7 shows the maximum ratio for the calculated Ru in the core for 5 years from start of
construction. As evidenced in the plot, the maximum ratio for the calculated R u at the end of
construction (650 days) was 0.32, and this value was increased after initial impounding and then
operation time. As shown in the Figure 7, the maximum pore water pressure ratio after 5 years
from start to construction is 0.55. The relative stability of R u showed the suitable speed of
construction and, therefore, hydraulic fracturing was improbable. Also according to the technical
report of Shirin-dare dam, the predicted Ru in the design stage was 0.5 at the end of construction,
which provided the dam sufficient resistance against hydraulic fracturing.
Additionally, the maximum pore water pressure in the core at the end of construction was
about 140 kilopascals. The pore water pressure value for initial impounding, after the first 10-
year operational time and the second 10-year operational time, was about 150, 165 and 175
kilopascals, respectively. It is clear that pore water pressure in the numerical calculations has not
an increasing trend after the completion of the construction. It was concluded that Shirin-dare
dam would be sufficiently protected against the deleterious effect of excess pore water pressure
during service.

Figure 7: Maximum ratio for the calculated Ru ratio in the core for 5 years from the start
of construction

CONCLUSIONS
The primary motivation for this study was to evaluate the stability and longevity of the
Shirin-dare dam by laboratory characterization of the soils, field instrumentation, and numerical
analysis. The settlement behaviour, pore water pressure variations, external stress distributions
were calculated at multiple stages of construction, initial impounding, 10-year and 20 year
service life of the dam. The numerical results were contrasted with the field observations to

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validate the analysis approach and material characterization in the laboratory. The major
observations and conclusions of this study can be summarized as follows:
 According to the numerical analysis, the vertical displacement results were consistent
with the data recorded by the instruments in terms. Both methods yeilded similar results
for the core displacements with resanable proximity of 173 cm at the end of construction.
10 years after construction of the dam post impounding and exploitation, the numerical
simulations resulted in 187 cm cumulative vertical displacement. Evidently, 92% of the
total vertical displacement of the dam took place during dam construction. The rate of the
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accumulation of the plastic deformations was calculated to be 2.7% of the height of the
dam.
 Arching ratios were calculated for the largest cross-section of Shirin-dare dam. The
results demonstrated that the arching ratio in Shirin-dare dam was 0.7, which placed the
dam on the safe side regarding hydraulic fracturing.
 Maximum values of horizontal displacements of the upstream and downstream shells
were measured as 40 and 50 cm, respectively, after initial impounding. After the first 10-
years of operation time, the maximum horizontal displacement of the downstream
increased to 55 cm.
Maximum pore water pressure in the core at the end of construction was about 150
kilopascals. The pore water pressure value after the first 10-years of service life was calculated
as 165 kilopascals. The steady nature of the pore water pressure results suggest that the durability
issues associated with the excess pre water pressure is a major concern in this geostructure. The
numerical results coupled with the field instrumentations and visual observations confirmed that
the structural integrity of the dam is maintained along the largest cross-section, in terms of
controlled settlement, loading conditions, and excess pore water pressure during the construction,
initial impounding and early service life of the dam structure.

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