CENG 6210 Design & Analysis of Earth Dams 2011

6. Quality control in construction of embankments – Monitoring of

post-construction behavior
6.1 Quality control
“An entirely safe and substantial design may be entirely ruined by careless and shoddy
execution, and failure of the structure may very possibly be the result. Careful
attention to the details of construction is, therefore, fully as important as the
investigation and design”.

Many of the failures of old embankments of small to moderate heights have been due to lack of
quality control during construction.

Quality control aims at ensuring that plans and specifications laid down by the designer are
implemented at the site. Some of these are clear and unambiguous and controllable by
laboratory tests. They include layout and zoning, grading limits of materials within different
zones, the placement moisture content and compacted dry density. Others require judgment
and experience, for example the extent of excavation of foundations, treatment of core-contact
area, the depth, spacing, grout mixes and grouting pressures for treatment of rock foundations,
selection and use of construction equipment, and steps needed to meet unforeseen situations
and contingencies. Careful observation of the embankment and adjacent areas during
construction, supported by readings of embedded instruments, provides valuable information
which can be used to modify the design or construction procedures if necessary. The
association and close collaboration of the designer with the construction organization
throughout the period of construction of the dam is absolutely essential.

Quality control of the earthfill comprises control in the borrow area as well as control on
placement in the embankment.

6.1.1 Borrow Area Control

Suitable borrow areas have to be located during the exploration phase to obtain the necessary
quantities of soil materials for the different zones of the dam. In fact, the design and material
exploration are interdependent. If the designer cannot get materials of his choice within
economic distance from the dam site, he has to adjust the design to the available materials.

Control in the borrow area includes control over depth of stripping, grading and other properties
of materials meant for different zones and, in the case of impervious zones, moisture content.

Stripping is required to eliminate soil containing an appreciable quantity of organic material. The
percentage of organic matter at various depths should be determined by laboratory tests and
stripping done just to that depth in which the organic fraction exceeds a specified limit.

6.1.2 Compaction of Cohesive Soils

Water plays an important role in the compaction of fine-grained soils. When water is added to a
dry soil, its grains are surrounded by a film of adsorbed water. If more water is added, the film
thickens, enabling particles to slide over each other more easily and occupy a closer spacing on
application of compactive effort. The water acts as a lubricant in the process and closer packing
of soil grains is obtained by expulsion of air from the voids. But if too much water is added to the
soil, a stage is reached wherein the water occupies the space that should be occupied by soil
grains under compaction. In other words, the water now hinders closer packing of the grains.

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Thus there must be a most appropriate or 'optimum' moisture content that provides the
maximum benefit of lubrication without occupying pore space into which the soil grains could
have been pushed by the compaction method employed. If heavier compaction is used, the
grains can be forced to slide over each other with less water and a denser packing obtained.
Thus for a higher compactive effort the optimum moisture content will be less and compacted
dry density higher than for a lower effort of compaction.

As coarse-grained soils do not adsorb water and are not appreciably amenable to lubrication,
they do not display distinct optimum moisture content.

Cohesive soils thus follow the principle of 'optimum moisture content', first enunciated by
Proctor. The compactive effort is measured by the energy imparted to a unit volume of the soil.
In the laboratory it is controlled by the free fall under gravity of a rammer of known weight
through a specified height and a specified number of times on a given soil volume. In the field
compaction is imparted by a number of passes of a roller of specified type, weight and
dimensions on a soil layer of specified thickness. Correlation between the laboratory test and
field compaction can be obtained by actual trials. The mode of compaction and type of roller
used exert an appreciable influence on the optimum moisture content and the maximum dry
density even with the same compactive effort.

Laboratory Determination of Optimum Moisture Content (OMC)

The first laboratory compaction test was developed by Proctor in 1933 and is still widely used.

A curve is plotted between the moisture content and the dry unit weight of the compacted soil
(Fig. 6.1). The coordinates of the peak of the curve give the maximum dry density (or unit
weight) and the optimum moisture content.

Figure 6.1 Variation of OMC with compactive effort.

The standard Proctor compaction has been found to approximate to the actual field compaction
achieved by 12 passes of the standard 20-tonne dual drum tamping roller on 20 to 22.5-cm
loose layers compacted to about 15 cm thickness. The specifications for compaction of
cohesive materials in earth dams are generally based on standard Proctor compaction and
require attainment of dry density equal to 100% or slightly less of Proctor dry density. However,
where very heavy compaction equipment is used, the modified Proctor (or Modified AASHO)
test may be more appropriately used to specify the desired dry density. The compactive effort of
the modified Proctor test amounts to 4.6 times that of the standard test.

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The higher compactive effort results in higher dry density and a lower optimum moisture content
(Curve II, Fig. 6.1).

6.1.3 Mechanics of Compaction of Soils

The aim of compaction is to reduce the voids and pack a larger quantum of soil grains in a unit
volume of the soil skeleton. In compacted soils, permeability, shear strength and compressibility
are the properties of major concern.

It has been shown, both theoretically and experimentally, that an increase in dry unit weight
reduces the permeability of a given soil because of the corresponding reduction in the volume
and size of voids in the soil mass. However, so far as the desired level of imperviousness is
concerned, in fine-grained soils this can be achieved even with a moderate compactive effort.
Even for the same dry density, compaction moisture content has an influence on permeability
due to structural arrangement of soil grains; higher moisture content generally results in a lower
permeability. The permeability of sands and gravels may be considerably reduced by crushing
besides reduction of voids, when heavy rolling equipment is used. In filters and zones meant to
be free draining, it may thus be necessary to limit the weight of the rollers as well as the
compactive effort.

The shear strength of a soil, especially the angle of internal friction, increases with an increase
in unit weight. Since the design assumptions of shear strength are based on tests on soil
samples compacted to specified density, it is necessary to obtain the same or higher density in
the fill. Similarly, for a particular soil at a given moisture content, the greater the unit weight the
lower will be the compressibility. Lower compressibility is desirable both for lower construction
pore water pressures and less differential settlements which may cause cracking.

6.1.4 Mechanics of Compaction of Cohesionless Soils

Effect of Moisture Content

As pointed out earlier, coarse-grained soil are not appreciably amenable to the lubricating effect
of water and do not display a distinct optimum moisture content. In their case, the only effective
way to reduce the void ratio is through vibrations. Vibrations have maximum effect when the
material is either completely dry or nearly saturated. At intermediate moisture contents apparent
cohesion imparted by capillary forces resists free movement of grains to occupy closer
positions. If, however, a non-cohesive soil has a fair percentage of fines to reduce permeability
and impart cohesiveness, it will display optimum moisture content like fine-grained soils.

6.1.5 Control of Compaction

Impervious Zone: Selection of compaction moisture content.

If a particular compacted dry density, say, that obtained in the standard Proctor test, is specified
for the embankment, it is not necessary that compaction be done at the corresponding optimum
moisture content. As can be seen from Fig. 6.1, the same dry density can be obtained at a
higher or a lower moisture content, though with a higher compactive effort. Thus the designer
has the freedom to opt for optimum moisture content, or for a moisture content somewhat lower
or higher than optimum.

In general, an embankment compacted at a moisture content wet of optimum will have lower
permeability, higher flexibility or capacity to deform without cracking, and lesser compressibility
on saturation than that compacted dry of optimum to the same dry density. Usually permeability

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is so low in either case that its reduction is not significantly advantageous and settlement on
saturation can almost be eliminated by specifying a moisture content equal to or higher than that
up to which it occurs. Flexibility, however, is a definite advantage as possible leakage through
cracks is a major concern for the designer, particularly for high dams in narrow valleys with
steep abutment slopes.

On the other hand, construction pore pressures are quite sensitive to compaction moisture
content. Compaction at a moisture content higher than optimum may require flattening of dam
slopes for stability or slowing down the rate of construction, especially in dams with thick cores.
Both these measures would result in higher costs.

The U.S.B.R. practice has been to place the fill at 1 to 3% below optimum, subject to the
minimum based on laboratory tests, such that excessive settlement does not occur on
saturation. It was found that this limited the construction pore pressures to not more than 30% of
the weight of the overlying fill, which resulted in appreciable economy. For small dams (< 15 m
height), however, this consideration did not prevail, and compaction at or slightly above OMC
was recommended.

On the other hand, the U.S. Army Corps specifications require compaction at or above optimum
moisture content.

According to Middlebrooks:

Special attention is given to the core material in order that it may satisfy the following criteria:
i) It must be placed at a density or a moisture, which will not allow further consolidation on
saturation, and
ii) It must be sufficiently plastic so that differential settlement will not cause cracks to
develop through it.

Both these criteria can be easily satisfied when the core material is placed on the wet side of
optimum. In fact, this is the only way criterion (ii) can be fully satisfied.

6.1.6 Placement Control in the Field

This is concerned with (1) properties of the material before compaction, (2) uniformity and
correctness of water content, (3) compacted layer thickness and (4) dry density attained after
compaction. The primary control on placement is visual. While visual checks are necessary for
construction work to proceed smoothly, they have to be supplemented by quantitative field tests
in respect of density and moisture content.

6.1.7 Frequency of Testing

According to U.S.B.R. practice, field density tests in the core zone should be made (1) in areas
where the unit weight is doubtful, (2) in areas where embankment operations are concentrated
and (3) for every 1500 m3 when (1) and (2) do not apply. Areas of doubtful compaction include
those in the vicinity of abutments and structures, areas where lifts compacted were too thick, or
the moisture content was incorrect, or specified number of roller passes was not given. When
embankment operations are concentrated in a small area (i.e., many lifts of material are being
placed in a single day), every third or fourth lift should be tested.

For pervious material, relative density tests and gradation analyses are recommended during
initial placement operations at a frequency of about one test for each 750 m3 placed. After

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placement procedures have proved satisfactory, one relative density test for every 7500 m3 of fill
will normally suffice.

6.1.8 Specifications and Statistical Control of Density and Moisture Content

It is neither practicable nor necessary that every test should conform to precisely set standards.
Specifications permit variation within a certain range. Typical extracts from specifications for
control of density and moisture content used by the U.S.B.R. are given below.

Density Control: Density control of compacted earthfill in zone 1 (core) of a dam embankment
shall conform to the following limits;

a) Material represented by samples having a dry density less than (95%) of Proctor maximum
will be rejected. Such material will be rerolled until a dry density equal to or greater than
(95%) of Proctor maximum dry density is obtained.

Within the above limit, the uniformity of dry density shall be such that,
a) No more than 16% of the material represented by the samples tested shall be at dry
densities less than (96%) of Proctor maximum dry density.
b) The average dry density of all accepted earthfill in dam embankment Zone 1 shall be
not less than (98%) of the average Proctor maximum dry density.

Moisture Content: Material represented by the samples tested having a placement moisture
content more than (3.5%) dry of standard optimum or more than (1%) wet of the standard
optimum condition will be rejected, and shall be removed or reworked until the moisture content
is between these limits.

Within the above limits, the uniformity of placement moisture content shall be such that,

a) Not more than 16% of accepted embankment material will be drier than (3.0%) dry of
optimum and not more than 16% wetter than (0.5%) wet of the standard optimum.
b) The average moisture content of all accepted earthfill shall be between (0.5% and 1.5%
dry) of optimum.

The actual figures given in parentheses are to be specified for each project depending on the
nature of material and, in the case of moisture content, the judgement of the designer. The
principles illustrated by the above specifications are that (i) there is an extreme limit beyond
which the material is to be rejected, (ii) there is a range beyond which but within extreme limits,
the maximum percentage of test samples is prescribed and (iii) an average value is specified.

6.1.9 Treatment of Contact Surfaces

The contact area between the core and foundations and abutments has to be treated to ensure
a leakproof bond and to provide a uniform base on which the fill material can be placed and
properly compacted. It is also necessary to treat the foundations to some depth to prevent
seepage flow through them just below the contact surface, which could result in erosion of the
core material.

Rock Surfaces: Treatment in the core contact zone is important for rock foundations. All
overburden, weak and decomposed rock, is to be removed. The exposed surface will normally
be irregular with steep faces, overhangs, protrusions, joints and bedding planes. All open joints,

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cracks and fissures are to be cleansed of loose material and backfilled with either slush grout or
dental concrete.

Contact with abutments: So far as grouting and surface treatment are concerned, treatment of
abutments is similar to that of foundations. In the case of abutments, the contact pressures
between the impervious zone and the abutment surface may be low, particularly if the abutment
slope is steep. Local irregularities or overhangs may further aggravate the situation and may
even lead to cracking due to differential settlements. Areas of low contact pressures may be
susceptible to hydraulic fracturing and leakage. Hence shaping of the abutments has to be
governed by appropriate specifications.

A typical treatment of abutment in the core-contact zone is shown in Fig. below.

Figure 6.2. Typical treatment of abutments in core contact zone

6.2 Instrumentation
The main purposes of instrumentation in a dam are to monitor its safety, develop a better
understanding of its behaviour and to check on the design concepts. The various types of
instruments in common use for earth and rockfill dams are:

1) Piezometers for measuring pore water pressures.

2) Internal instruments for measuring horizontal movements, foundation settlements and
embankment compressions.
3) Surface monuments for measuring horizontal movements and settlements.

The main purpose of instruments is to furnish reliable information that the pore pressures and
movements which actually develop in a given dam do not exceed appreciably the values
assumed by the designer. Also, records of measurements help in the analysis of any problem or
difficulty that may develop in the performance of the dam. Further, such observations help in
checking designs and building confidence in designing and making dams of greater heights and
magnitude in future.

Characteristics of the principal instrument types are given herein.

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Piezometers: Piezometers (devices for measuring pore-water pressure) are used in both
embankments and foundations. Foundation piezometers are installed in drill holes.
Embankment piezometers, though sometimes also located in drill holes, are usually placed in
the fill as it is being constructed. During construction the piezometers reflect the build-up of
construction pore pressures with increasing dam height or their dissipation with time after
completion of the dam. After filling of the reservoir, the piezometers reveal the pattern of
seepage flow through the dam.

Measurement of Horizontal Embankment Movement: Devices other than inclinometers used

for measuring internal horizontal movement in embankment dams, generally consist of
telescopic tubes placed horizontally with provision for measuring change in horizontal position
by a taut wire device or a suitable probe.
1) Swedish Wells: This device consists of a ·vertical column of large diameter reinforced
concrete pipes. The pipes are installed in pits during construction of the embankment and are
first separated by a few cm with wooden wedges or shims. Then as the fill progresses upwards,
the wedges are removed and the pipes are held in place by the surrounding embankment
material. The pipes are free to move with the embankment and, the three components of the
movement can be measured.

2) Taut-Wire Device: This consists of embedded anchors connected by means of stranded

aircraft cable to heavy weights in an instrument house on the downstream slope.

3) Crossarm Devices: These consist of telescoping pipe sections installed in a horizontal

position. Readings of displacements are taken by means of a special cable-operated torpedo.
Another version of this device consists of a near horizontal plastic tube surrounded by metal
plates anchored in the fill at intervals of about 8 m. The distance of each plate is determined by
a special electromagnetic probe.

4) Inclinometers: These are displacement sensing devices which have been extensively used to
measure horizontal movements. A casing, usually of about 10-cm diameter aluminum tubing
with four alignment grooves formed in the interior wall, is installed in a near-vertical position in
the embankment. The procedure consists of making successive surveys of the shape and
position of the casing by lowering a device which indicates its deviation from the vertical. The
device consists of a pendulum-actuated transducer which can sense in one plane the deviation
of the device from the vertical on a predetermined reference angle. The casing deflections are
detected and registered as point-to-point changes in slope as the torpedo traverses the length
of the casing. The torpedo guide wheels are engaged in each of the four casing grooves in turn,
which enables cross-checked deflection measurements in two orthogonal directions. The
bottom of the casing is usually fixed in bedrock to serve as the reference point for the measured
cumulative slope changes indicated by the torpedo.

Foundation Settlement
Knowledge of the magnitude and distribution of foundation settlement allows an analysis of the
shear strains imposed on the embankment and also allows computation of the total volume of
the embankment.

Settlement measurements show the progress of consolidation in the dam and indicate whether
additional height might be necessary to maintain freeboard.

Settlement of the crest is measured by bench-marks placed at intervals along the top of the
dam. These should be connected to a reference benchmark on the abutment which is

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immovable. Horizontal movement of the crest is measured from a triangulation network that ties
in with the aforesaid bench-marks in the horizontal plane.

Vertical Embankment Compression

These devices are installed to measure either the settlement of numerous points in an
essentially horizontal plane or to measure the settlement of different depths in a vertical plane.
In the latter case, settlement observations can be used to compute the compression of
embankment materials.

Surface Monuments
During construction it is easy to measure the vertical and horizontal components of surface
movement of the lower slopes and foundation and the results provide valuable information on
performance. Monuments consisting of concrete embedded steel rods can be accurately
installed along straight lines 15-30 m apart so that the horizontal movement can be readily
obtained by measuring the offset from a transit line.

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