7
COFFERD AMS
Creupe A. Ferzen
Consulting Geotechnical Engineer
Cincinnati. Ohio
STEEL SHEETPILE CELLULAR COFFERDAMS
EpwrN Pnul Swerer,
lntroduction
The one-to-one ratio of height to width of cellular coffer-
dams makes their use effective in the construction of dams
and other projects on rivers. Freestanding cellular coffer-
dams, without stabilizing inside berms, have been built to
a height of 115 ft (35 meters). Figure 7-l shows the cof-
ferdam for the Markland Powerhouse. This layout was ac-
complished with a double row of 62-ft (18.9-meter)-di-
ameter cells upstream. Sheetpiles I 15 ft (35 meters) long
were used for the outside sheets of the cells on the water
side. These sheetpiles reached rock and provided an effec-
tive water cutoff.
Most of the navigation dam projects on the Ohio River
system have been constructed within cellular cofferdams,
one of which is shown in Figs. 7-2.7-3, and 7-4, the Pike
Island Locks and Dam. The Ohio River in this stretch is
narrow. Existing navigation had to be maintained, and nor-
mal high water had to be accommodated without intem.rpt-
ing construction. To meet these conditions, the work had
to be staged in sequence across the river. First, the locks
were built in a cofferdam on the left bank. Sheetpile cells
located close to the lock wall provided the necessary clear-
ance for river barge traffic and for passage of floods. The
height of the cofferdam was set for a two-year-frequency
return flood. This required a cofferdam height of 63 ft (19.2
meters).
After completion of the locks, the dam was built in three
cofferdams, staged in sequence as shown in Figs. 7-3 and
74. Figure 7-2 shows the transition from the first-stage
lock cofferdam to the second-stage, fint dam cofferdam.
A 63-ft (19.2-meter)-high alternate embankment coffer-
EowtN Peul SwerEK, JR.
Consultant
Lake Bluf, Illinois
Jn.
dam for construction of this project was out of the ques-
tion. The base width would have had to be 230 ft (70 me-
ters), as compared with the 62-ft (18.9-meter) width of the
cells.
Where a river arrn must be located adjacent to a fast-
flowing diversion channel, a cellular cofferdam or portion
thereof is also used. Figure 7-5 shows the cofferdam layout
for the Rock Island Second Powerhouse on the Columbia
River. The river arm of this cofferdam paralleled the high-
velocity river flow upstream and downstream of the dam
spillway.
Upstream, in the deep still waters of the power pool. a
75-ft (22.9-meter)-high earth embankment was constructed
of local sand and gravel terrace materials. An impervious
seal of sand and silt mixture was tipped over the upstream
face of this embankment. At the river end of the embank-
ment, the cofferdam terminated in five sheetpile cells 65.8
ft (20 meters) in diameter. These cells were adjacent to the
spillway gates. High water flows of 400,000 cfs (l1,300
m3/sec; had to be bypassed through the dam spillway.r
The line of cells in the downstream river arm of the cof-
ferdam also bordered the high-velocity spillway discharge.
Again, cells were required instead of an embankment-type
cofferdam, in this case because of the limited horizontal
clearances between the tailrace excavation insidc ofthe cof-
ferdam and the adjaccnt river channel spillway discharge.
Fish migration upstream also figured in the choice and lo-
cation of these cells.
Were this project locatecl on a virgin river rather than the
well-regulated Columbia River. the upstrearn ernbankment
would have been vulnerable to ovenopping. In such a case.
the upstream cells could have been extended to the right
219
220 ADVANCED DAM ENGINEERING FOR D€SIGN, CONSTBUCTION, AND REHAEILITATION

Figure 7- I . The I l5-ft-high Markland Powerhouse Cofferdam.

bank and capped with an impervious pavement of concrete
8 in. (20 cm) thick. Such protection will accommodare an
overtopping rvithout structural damage to the cofferdam.
The economic comparison between a cellular sheetpile
and an embankment cofferdam is complex. For the cellular
sheetpile type the quantity of fill is less than one-half per
unit oI length for cofferdams of equal height. The length
of the cellular cofferdam perimeter is also si_enificantly
shorter than that of an embankment cofferdam. This is ap-
parent in Fig. 7-3, Stage IV of the Pike Island Locks and
Dam project cofferdams. The desi-en height of cellular cof-
ferdams can be lower because they are easily protected from

Figure 7-2. Cofl'crdarn for Pike Island Locks and Darr.

 COFFERDAMS 221

infiltration rates are reduced, as are pumping costs. River

)
\ The techniques
I sometimes intimidating. This is especially so in dealing
oHro Rtv€R
STAGE I ferdams, but the extensive use of these structures in the
LOCKS COFFERDAT.,I
Figure 7-3. Cofferdam stages for the construction of Pike Island
and Dam.
overtopping floods. Riprap stone protection for high-veloc-
ity flows and scour is practically eliminated with the cel-
lular type. Multiple use of the sheetpiles (up to three uses)
reduces material cost. Recent development of high-strength
sheetpile interlocks has extended the design height of cel-
lular cofferdams. Where foundation conditions are favor-
able and sheetpiles can reach rock or impervious strata,
closures can be more rcadily made with proper arrange-
ment of cells, and tie-ins with existing structures are more
easily made. Costs of cofferdam removal are also reduced,
by the handling and disposal of less matcrial.
On the other hand, the free{raining select sand and
gravel cell fill required for cellular cofferdams sometimes
is not locally available. The transport of long sheetpiles
into foreign areas without good roads or rail or water trans-
port can also rule out the use of cellular cofferdams.
of installing cellular cofferdams are
with fast currents and deep water. Major river projects in
developing countries appear to shun the use of cellular cof-
United States and Europe attests to their favorable econ-
omies.
Production rates for constructing large cells, such as for
the cofferdam for the Lock and Dam 26 Replacement on
the Mississippi River, are on the order of four cells a
month, with a peak of six. These figures are based on
working around the clock, with floating cranes, and with
experienced crews.
The best work is done with the use of floating cranes.
The work can be spread out over many cells, with conti-
Locks
nuity of working crews. If a cofferdam is built with cranes
located on top of the cells, the pace of the work is appre-
ciably slowed; also the work of the pile crews and the fill-
ing of the cells are not continuous.
History and Development
The first cofferdanr of full circular cells was designed by
Gen. Harley B. Ferguson and C. S. Boardman and was
completed in l91l for the raising of the battleship Maine,

Figure 74. Third-stage cofferdam for Pike Island Locks and Dlm.
 222 ADVANCED DAM ENGINEERING FOR OESIGN, CONSTRUCTION, AND REHABITITATION
Figure 7-5. Cofferdam layout for the Second Powerhouse at Rock Island Dam on the Columbia River.
sunk in Havana Harbor. The cofferdam was not an entire
success, as the cells were filled with mud. They partially
failed in shear.
The first cellular cofferdam built on the Ohio River in
1924 was designed by J. S. Miller of the Dravo Corpora-
tion for the construction of Dam 22 bear traps. The cells
were partial rectangles with inside circular arcs, and they
provided for a 30-ft (9.1-meter) dewatering head. In 1928
the first full-circle cellular cofferdam was constructed on
the Ohio River by the same company, at Dashields Dam
below Pittsburgh. It consisted of 40-ft (12.2-meter)-diam-
eter cells for a 40-ft (12.2-meter) head. The connecting
arcs between cells were made with T-piles. The sheetpiles
were Carnegie M-107 section. After this project the con-
nections between cells were made with 3O-degree Y-piles,
which provided a l0-ft gap berween cells. With this fea-
ture, an arm of cells built across a flowing river can easily
be closed. The use of 3O-de_eree Y-piles also improves the
structural geometry of the connection. It is the recom-
mended Y-pile connection in use today.
The Tennessee Valley Authority designed and built its
first cellular cofferdam for the Pickwick Dam project in
1935.2It was 55 ft (16.8 meters) high. By l94l TVA was
building the 98-ft (29.9-mcter)-high Kentucky Dam coffer-
dam. This cofferdam consisted of 58.89-f,t (17.9-rneter)-
diarneter cells backed by a 60-ft (18.3-metcr)-high inside
bemr. The ntaximum allowable shcetpile interlock value
lorthc M-l0l sheetpiling used in this coff'erdam was 12,000
lb (214 metric tons/mcrer). This value provided a fac-
/in.
tor of safety of 1.5.
With the introduction of high-strength interlocks of
28,000 lb/in. (500 metric tons/merer) in rhe lasr l5 years,
the development of higher-head cofferdams is advancing.
Height of Cofferdams
Freestanding cofferdams consisting of a single row of cir-
cular cells now can be designed for a height of 95 ft (29
meters). Special layouts with cloverleaf cells or double
rows of circular cells can be used for even hi_eher heads
(Fig. 7-6). The term freestanding denotes the absence of
an inside berm.
For a cofferdam founded on rock and with an inside
berm, it is possible to desi_en for heads in the range of 120
ft (36.6 meters). The fullness of the inside berm should be
contained within the envelope of a line drawn from the wet-
side top of the cell. on a two-horizontal-to-one-vertical
slope, to the top of the rock on the dry. unwatered side.
This design was used for Racine Locks, as shown in Fig.
7-7. This berm was adequate for stability.
Limitations to increasing the height of cells concern in-
terlock strengths, connection piles, cell fill drainage. the
splicing and handling of long sheetpiles. high foundation
pressures, and required driving penetration.
With flat rollcd sheetpile sections oi 28.000 lb/in. (500
metric tons/metcr) interlock strength, cells of 95- to 100-
ft (29- to 30.5 meter) diameter are fcasiblc, using a facror
of safety of two for the intcrlock strengrh: ancl 3O-degrce
Y connection piles are available for such eonfigurations.
Sheetpiles 80 to 90 fr (24.4 to 27 .4 metcrs) long are rou-
tinely handlecl with slight but inconsequential bending
damage. Sheetpiles I 15 ft (35 nrerers) long have been

SECTION A -A
POWER
HOUSE
EXC.
339
rA
Figure 7-6. Markland Powerhouse I l5-ft-deep cofferdam ofdouble cells.
picked up with multiple part slings or tilting beams. With
such a device, up to six to eight piles are laid horizontally
in a beam cradle, which is then pivoted to a nearly upright
position for hoisting the sheetpiles to set around the tem-
plate. The process is reversed in pulling and laying down
the piles. Although it has not been done, it is to be expected
that sheets longer than I 15 ft (35 meters) can be handled
in such fashion, up to the 130-ft (39.6-meter) range.
The manufacturer's length limit on rolling sheetpiles ap-
pears to be 105 ft (32 meters) to I l5 ft (35 meters). Longer
sheets can be either spliced or set in two pieces. If the nor-
mal elevation of the river permits, the bottom piece is set
and driven to grade. The top pieces are then set with 5-ft
(1.5-meter) stagger splices' Such splices need not be rein-
forced with plates; bead welds are sumcient. Sheetpiles
spliced with reinforcing plates can be driven and pulled.
Cloverleaf cells are a device used to translate the radius
of curvature of the cell arc from 50% to 33% of the cell
width. The interlock stress is directly proportional to the
radius of curvature; so for any particular interlock stress
the cell width, and corresponding height, can bc increased
50Vo by using the cloverleaf configuration.
Cloverleaf cells are difficult to build. Instead' two rows
of cells, such as the layout used at Marklancl Darrt Pow-
erhouse (Fig. 7-6) can be combined to accommodate ex-
tremely high-head cofferdams. At Cannelton Dam cofler-
dam on the Ohio River, an outer row of 60.48-ft (18.4-
meter)-diameter cells and an inner row o[ cells of the same
COFFEROAMS 223
CONCRETE
SAG FILL
38.28'
l_.--------..-l
,ro.rY -[zez.-,.
lr)
t:
I N
(,
a/
6/
120" Y 7
PLAN
Figure 7-7. The 76-ft-high cofferdam for Racine Locks.
diameter were combined to provide for a 140-ft (42-7 me'
ter) head. The sheetpiles of the outer row had two-piece
spliced sheetpiles. The sheetpiles of the inner row were 70
ft (21.4 nreters) long.
Penetration of sheetpiles into the overburden should be
limited to a maximum of about 30 ft (9.1 meters) for cel-
lular cofferdams, but even this is extreme. Difficulties in-
crease rapidly when driving exceeds this amount (Fig.
7-8). Site excavation can effectively reduce the depth of
penetration.
Penetration, of course, is a factor that must be consid-
ered in contemplating cofferdam height. At Tarbela Third
Powerhouse cofferdam, the penetration of the sheetpiles
was extremely compromised by the cobbly nature of the
river bed. Driving was limited to a depth of about 5 ft ( I .5
meters). Figure 7-9 shows how relatively shallorv cells 50
ft (15.2 meters) deep were combined with an extensive in-
side berm and a cement-bentonite panel cutoff wall to de'
water an excavation 90 ft (27 .4 meters) deep. Again a cof-
ferdam o[ cells was required to rnaintain the width of the
adjacent tailrace channel and to accommodate the deep
scour wall and powerhouse excavation.
Hydrology
For projects on developed rivers, such as the U.S. inland
river system, a retum floocl of two to ten yean typically is
chosen. One coft'erdam in a very restricted location, sur-
 224 ADVANCEO DAM ENGINEERING FOR DESIGN. CONSTRUCTION, AND REHABILITATION
Figure 7-8. Sheetpile splits and cell distortion with 50 ft of driving
rounded by the steel mills of Pittsburgh, was overtopped
and flooded l9 times during the two years of construction.
Cellular cofferdams can be overtopped without damage.
All that is required is a plain concrete cell cap of about g
in. (20 cm) thickness. Cracks that develop between the cap
and the perimeter sheetpiles are filled with tar to provide
the impervious lid. Another prerequisite is the use of weep
holes for cell draina_ee. If the overtopping depth of water
is considerable. say for an upstream arrn, it might have to
be figured in the overturning moment and sliding force.
Stone riprap provided at the inside base of the cells will
protect soft rock from the overtoppin_e waters.
If floodwaters were to overtop a major embankment cof-
ferdam, especially an upstream arm. the ensuing washout
and sudden release of impounded waters could be a disaster
and a dan,ger to life and property downstream. Such an em-
bankment is generally carried above any possible floodin_e
BENToHITE - CEM€Nt
PANEL CU'TOTF WAIL
CELLULAR
Powt RHous€
TAlLRACE
^4's'
'<(t<'
^\'
Figure 7-9. Coflbrdam for Tarbela Third Powcrhouse.
elevation. based on retum flood frequencies of 50 years or
more. For cells, only the economics of flooding and cleanup
of the cofferdam are involved.
Ifthe cells ofa cofferdam are not capped. then controlled
flooding is required before the overtopping of any porrion.
Generally. preflooding is planned to at least a three-quarter
depth inside the cofferdam. The time frame is important.
A decision to flood is usually delayed until the lasr mo-
ment, and is made only after all equipment and movable
materials have been safely removed from the cofferdam.
The flooding time is dependent upon rhe rate of rise in ihe
river, the volume inside the cofferdam. and the capacity of
the floodin_e device. A weir-type floodin_e sill can be pro-
vided in a connectin_q arc between cells on the downstream
arm of the cofferdam. This location is usually free of float-
ing debris. Except on a flashy river, 12 hours is a reason-
able fi,eure for flooding time.
The need to preflood a cofferdam before the overtopping
of any of the outside sheetpiles is apparent from a look at
the design assumptions. The line of saturation inside the
cell on the dry side is generally assumed to be at one-third
of the cell height. This results in a certain interlock design
value. Were the ccll to fill with watcr to the top of the
insidc sheetpiles, the combined full hydraulic and fill pres-
sure would morc than doublc the strcss in thc interlocks.
This would probably ruprurc the ccll.
Geology
The inrportant faetors are depth to beclrock or irnpewious
stratunl. and the overburden profile. The presence ancl size

of cobbles and boulders in the soil matrix. and other ob-
structions to driving, are to be investigated. Silt and clay
layers must be identified. An adequate program of borings'
with casing drive blows, blow counts on sample spoon, and
permeability tests are required.
The steel sheetpile membrane of the cell must be driven
to the required founding depth wholly intact, without in-
terlock splits. Obstructions to driving' such as cobbles and
boulders larger than l2 in. (30 cm), often can be eliminated
by site excavation, especially when identilied in soil layers
of moderate depth. Even for driving through medium sands'
it is generally more economical to extend site excavation
to a considerable depth to decrease penetration and driving
shifts. In the Ohio River it was common practice to site-
excavate to within 5 ft (1.5 meters) to l0 ft (3 meters) of
rock to eliminate 20 ft (6 meters) of driving. With de-
creased driving penetration, the quality of workmanship
greatly improves.
If weak soils are present in the overburden, they must be
replaced. This can be accomplished before the cell is set
and driven, again by site excavation; or the objectionable
material can be excavated from the cell after it is driven'
Pumping a head of water inside the cell is a trick some-
times used to permit the excavation and replacement of ob-
jectionable materials. This often can be accomplished
without the need for internal bracing.
The presence of highly pervious strata under the wet-
side sheetpiles compromises the drainage of the cell fill and
the general stability of the cofferdam. The line of defense
against infiltration is always at the outside sheetpiles' Either
the outer sheetpiles must be carried a considerable distance
into such soil, again by the help of site excavation, or ad-
ditional cutoffs such as by grouting or a slurry trench must
be used.
Where the cofferdam base rests on rock, the borings
should be carried a reasonable distance below the top of
the rock to check for weak clay seams' cavities, or porosity
that would add to excessive infiltration. An open stratum
below the top of the rock can produce uplift under the cell'
In such a case, vertical relief holes are drilled down into
the rock just inside the toe of the cells. One spectacular
sliding failure of cells in the 66-ft (20.1-meter)-high cof-
ferdam for Uniontown Dam occurred along a clay seam 16
ft (4.9 meters) below the top of the rock. The rock inside
the cofferdam was bisected by faults, which weakened it'
(See further reference to this in the section on "Failures,"
below.)
The top of the rock profile is also important where abrupt
slopes are to be encountered. This is espccially so when
there is no overburden over the rock. In sonlc cases' tremie
concrete platforms have been uscd uncler certain cells to
bridge deep chasms in the rock.
Where cellular cofferdams are joined to existing river-
banks, the permeability of the terrace materials is impor-
COFFERDAMS 225
tant in setting the horizontal penetration of the sheetpile
cutoff wall. Short flow lines can cause blow-ins.
The containment and the good dninage of cell fill prob-
ably eliminate concem over soil liquefaction in seismic
areas. There is no known failure of eithcr cofferdam cells
or retaining wall or dock cells from earthquakes. Some
compaction of the sand and gravel cell fill can be achieved
by dropping it from a clamshell. The impact involves no
danger of splitting a cell. Compaction is also improved by
inundating the cell during clamshcll filting. Placing a tem-
porary surcharge of heaped fill adds to compaction.
Types of Cells
The literature on cellular cofferdarns adequately describes
the circular. diaphragm. and cloverleaf cell layouts.
Where it can be used, the diaphragm cell with straight
crosswalls and 120-degree Y-piles has several advantages.
First, it generally uses less tonna-se o[ sheetpiles than the
other types. by about l0%.3 Second, it is easier to con-
struct. Each succeeding template placement is supported
by the previously driven diaphragm wall. Location prob-
lems and placement of Y-piles are simplified. Third, the
I20-degree Y-piles are more statically determinate and
provide for an easier connection in setting and driving.
The diaphragm cell must be step-filled over a series of
cells with the fill initially placed straddling the crosswalls.
This is done by clamshell bucket; hydraulic filling is not
possible. (For an illustration of this, see page 410 in ref-
erence 4.) Obviously the diaphragm cell does not permit
construction with a crane working on top of the cells: the
cells nrust be constructed with cranes on barges. This cell
is particularly suited to use for long river arms parallel to
the stream flow.
In crossing a river, and where there is appreciable cur-
rent, circular cells must be used. This approach permits the
completion and filling of each cell as the construction pro-
gresses. The circular cell configuration also permits con-
structing the cofferdam with a crane on top of the cell,
which is an advantage where floating equipment cannot be
used.
Circular cells can be used with T-pile or Y-pile connec-
tions, but 30-degree Y-pile connecting arcs are recom-
mended over T-piles. (See reference 5, pages 416' 417,
and 420-423 for a complete discussion of the merits of the
3O-degree Y-pile connection.) Thc Y-pile connection is su-
perior to the T-pile in atlowing for a better flow of hoop
stress and for its better constructibility. Also it is cheaper
than the T-pile. When 30-degree Y connection piles are
used, the connecting arc shoulcl have at least an I l-ft (3.4-
meter) raclius.
Moderute river closures of up to 2 ft of clifferential head
can be made by constructing full circular eells across a
river. About l0 ft (3 meters) of space is leti between the
 226 ADVANCED DAM ENGINEERING FOR OESIGN, CONSTRUCTION, AND REHABILITATION
cells. The individual cells can be built without difficulty in
currents of up to 4 ft/sec.
After the line of cells has been placed and filled across
the river. the connecting arcs arc progressively placed and
filled. For thc last several arcs a bulkhead can be dropped
on the upstream side to cut off the current. This permits
placing and driving of the downstream connecting arc.
After its completion, the upstream arc can be placed and
the bulkhead removed. Other more complex schemes can
be used in cell arrangements to make river closures against
higher heads, up to 20 ft (6 meters).
The U.S. Army Corps of Engineers has prohibited the
use of welded connection piles, whether T-piles or Y-piles.
Several disastrous failures of cofferdams have resulted from
welding failures of connection piles.3'6 On the other hand"
properly welded connection piles have better stress flow
from hoop tension than riveted or bolted piles.
The chemistry and rolling of the sheetpiles are factors in
producing good weldable metal. Sheetpile st6el has low
cold-weather impact resistance. Laminations rolled in the
pile webs from uncropped ingots contribute to the failure
of welds joined to the sheetpile web (Fig. 7-10). Connec-
tion piles made with bolts add strength through a lamina-
tion, but welded piles are generally cheaper than bolted
piles. Although the statistical record of failures favors
bolted piles, European practice universally accepts the use
of welded connection piles.
In the selection of cell type and size, it is advisable to
work with one size to reduce template cost. In a line of
cells, the tonnage factor of sheetpile used is independent
Figure 7-10. Laminations in a '*elded Y-pile failure.
of the cell diameter. Ten 60-ft ( 18.3 meter)-diameter cells
placed in a line have the same perimeter as twenty 30-ft
(9.1-mete r)-diameter cells. For low-head cofferdam cells.
shallow arch web sheetpiles of 3000 lb/in. (53.6 mctric
tons/meter) interlock strength offer tonnage savings.
In the layout of cells, whether T-pile or y-pile connec-
tions are used, it is necessary to pay attention to the con-
necting arc radius. Too large a radius will put too much
pull on a T-pile connection. In fact. a T-pile connecrion
radius equal to the cell radius will always cause distonion
to the main cell, with a tendency to shape the main cell
into a square. The radius of 30-degree Y-pile connecting
arcs is generally about one-fifth to one-sixth of the main
cell diameter, whereas a T-pile connection radius is about
one-third to one-fourth of the diameter.
In the layout of connection piles around the cell perim-
eter. it is ahvays desirable to have an odd number of piles
spaced between the four connectors. In this way all of the
connection piles are alike, and no mistakes are made in the
field. This arran_gement calls for the number of sheetpiles
in the main cell always to be divisible by four.
Since equipment generally uses the top of the cells for a
roadway, it is important to check the clearance between y-
or T-piles for road width, leaving a generous safety lane
for pedestrian tramc.
Cofferdam Layout
The construction plant arrangement and the location of ac-
cess roads into and around the cofferdam must be planned
in the cofferdam sizing and layout. Additional ctearances
for pump sumps and drainage ditches inside the toe of
berms and cells also must be provided. Flooding gates must
be safely located. Safe excavation slopes in earth and rock
must be planned so that cells are not undermined.
In some situations, cranes located on top of the cells are
of great advantage in reaching the work. With such ..close-
in" positioning, and by using floating concrete mixing
plants, concrete can be placed directly from mixer to forms
without transport (Fig. 7a).
The staging of the work for river diversion has already
been mentioned. River closure is always a problem. but
cells can be arranged to facilitate such closure. At Union-
town Dam Cofferdam, Stage II, the upstream connecting
arcs between cells were made into small 24-ft (7.3-meter)-
diameter full cells. These picket cells were placed first dur-
ing moderately low river llows. When the time came to
close off thc river. a pair of W36 bcanr wales was droppcd
across the upstrcam side of a pair of picket cells. Z-piles
could then bc driven across the gap supported by the tu,o
W36 walcs, thus cuuing off the l2 ft/scc (3.7 meters/sec)
curent. This arrangement, then, provided quiet water to
sct the cell template and sheetpiles (Fig. 7-l l).
More and more cofferdams are incorporating wide inside

36f ,Y
FLOW O€tAtL
Z -piLg
Ro(t< A -A
Figure 7-11. River closure with picket cells at Uniontown Dam'
berms. This design often is dictated by the sliding potential
of weak rock strata under the cell foundation. While berms
often are required for this and other reasons, they add
greatly to the coffendam area, perimeter, and cost. Their
need always should be questioned because high-strength
sheetpiles are available for designing without berms.
Design
With all the theorizing that has been done in the last 50
years concerning cellular sheetpile structures, design is still
empirical, with a good flavoring of experience and judg-
ment. Space does not permit a full commentary on the nu-
merous conflicting ideas that have been developed, but ref-
erences 7 and 8 provide a good summary. The Terzaghi
papeP on vertical midplane shear evaluation has been chal-
lenged.ro The gravity block overtuming exercise, often
criticized, is still used. The Cummings shear
determinationrl is extensively used, but again it is based
on empirical observations and small-model testing. The in-
teraction of the steel shell membrane and the earth fill,
amazingly efficient and practical, has yet to be accurately
modeled and probed.
It is of first importance that cell fill always be free-drain-
ing granular material with few fines, free of silt and clay'
This just about automatically takes care of the shear and
sliding problems, provided proper width is established to
meet the stability test. And for this the block overturning
stability determination is useful. Terzaghi sidestepped this
point in his analysis, observing only that double-walled
sheetpile structures of width equal to 85% of the height
have stood the test of time. The following observations are
offered for use in making such an overturning determina-
tion. They have been a base for "designing" successful
structures for the past 50 Years.3
COFFERDAMS 227
For cells founded on rock, the cell weight is determined
by assuming the bottom 40% of the cell fill buoyant' the
top 60% dry. This follows observation of normal cell
drainage with free{raining sand and gravel fill. Next. the
average width of the cofferdam is usually on the order of
0.90 of the cell diameter. This is with 30-degree Y-pile
connecting arcs carried tangent to a line drawn tangent to
the full cell. This figure can be increased somewhat by in-
creasing the width across the connecting arcs to more than
the cell diameter, a layout exercise.
The moment arm a for resisting moment determination,
weight X a, is something more than one-half the average
width. This is so because the inside sheetpiles are driven
to refusal, and there is transfer through friction between
the sheetpiles and fill. A usable figure for this is one-half
of the average of the cell diameter and the avel?ge width,
or about 47% of the cell diameter. A "factor of overtum-
ing," which is resisting moment divided by the horizontal
load overturning moment, of not less than 3.6 is the value
recommended. This will give a cell diameter very close to
the cell height, and it places the base resultant well within
the middle third of the cell avera-qe width- The 3.6 value
has been found to give stability against horizontal displace-
ment of the top of the cell-shear failure.
In designing for cells not on a rock base, it is first as-
sumed that the inner, dry-side' sheetpiles are driven to a
reasonable refusal. A point of overturning at some eleva-
tion below the top of the overburden and above the sheet-
pile tip is selected. This elevation is probably the resultant
of all horizontal resisting forces at the base of the cell. Ap-
proximately 0.67 of the penetration depth is another esti-
mate for this elevation. This point is then used in the over-
turning stability determination. Penetration for reasonable
refusal is probably never more than 20 ft (6 meters) in sand
and gravel. A penetration oftwo-thirds ofI/, suggested by
Terzaghi, is not required or realistic.
With such an overturning calculation as that above, in-
ternal shear determinations are academic. So is the calcu-
lation for sheetpile friction against cell fill at the wet-side
base ofthe cell, the so-called sheetpile pull-up failure. Such
a failure has not been observed in the field: it has been
found only in small models where gross horizontal deflec-
tions of the top of the cell have been produced. These are
on the order of 10 to l5%, whereas field deflections are
seldom over 1.5%. Deflections of cells are often moni-
tored. Survey punch marks on the top of the Y-piles are
just as good as more expensive slope indicators.
The preference for cells using 30-degree Y-pile connec-
tors has already been mentioned. Even 40-degree to 50-
degree Y-pile connections are preferred to T-piles. For
bolted and riveted connections of the 3Gdegree Y-pile' a
balanced design is desired. After many pul[ tests it has been
determined that the web stress based on thc net area, the
interlock stress, and the single shear bolt stress should all
 22A ADVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCTION, ANO
REHABILITATION
MANUFAqTURCR S'IOLERANCES
-l
', ).- sreet cr-are
I
INTERLOCK GAUGE
Figure 7-13. Gage tbr checking shcerpile inrerlock tolcmnccs.
be sized fora factorof safety of 2. This increases the rvork-
ing values in single bolt shear by some ZO% over handbook
values. It permits a more reasonable spacing of bolts. Fur_
ther reduction in the web stress in the main sheet
,eenerally
is provided by increasing rhe *eb thickness to 0.5 in. for
this pile.
Hand in hand with design goes confidence in the mate_
rials used. There have been documented instances w,here
new sheetpiles delivered to the job were found si_enificantly
deficient in interlock strength-even rvhen backed by cer_
tified representative mill pull tests. Trvo sample pull tests
are no proof for an entire rolling. Tests made subsequent
to delivery have shown deficiencies of 20 to 25% below
guaranteed minimum interlock values.
The only way to be assured of interlock quality is to
insist on mill inspection by
-eaging the thumb and finger
Figure 7-13. Weep hole drainaee w.irh low phreatic line
tolcrances (Fig. 7-l3). or ro make such on-sitc inspcction
aftcr dclivery and bclonc usc. Opcn slots and narrow thurnbs
arc mcasurcs of wcakncss. The amount ol grip. which is
thumb rvidth minus slor width, is lound to bc dirccrly re-
latcd to intcrlclck stren-{th.
Hydraulic filling ol cclls can add considcrably and un-
necessarily to thc dcsign pressurcs uscd in dctermining in_
terlock strcss. This is espccially so whcrc there is o t igt
flood freeboard of cell height abovc nonnal water levels.
Hydraulic filling can add .10 to 60% ro rhe inrcrlock srrcss
during filling. strcss rhar othcrwisc is limitcd by the final
dewatercd conditions. It can cause- lailures in tabricatccl
piles due to oversrress. A comprornisc is to fill hyckauli_
cally to 8 ti (2.4 nrerers) above the nonnal rvarcr level and
then top out with clamshcll filling.
Il an inside berm is pan of the dcsi_gn. consideration oI
berm draina-ee is important. Berms of fine sand can su_9ar
down rvhen saturated by rvater flow,ing throu*gh the cells.
either from outside splits and windows or from orher
sources of infiltration. Stone French gravity drains between
the cells and berm can prevent this. These drains are day_
lighted ro the inrerior of the cofferdam.
Past practice in designing the Ohio River coft'erdams has
set the elevation of cell saturation at one-third of the height
of the cell on the dry side. By the use of weep holes, and
rvith attention to their maintenance. such cell drainage eas_
ily can be achieved (Fig. 7-13). The maximum bulge in the
cell is generally figured at one-quarter the cell height above
the rock or ground line. Althou,eh this value is used alntost
universally, most field measurements with plurnb lines in_

dicate a bulge much higher. Many sheetpile splits are dis-
covered when the cofferdam is first pumped down and ex-
cavated. The lack of distress shows that maximum intcrlock
stresses occur well above the bottom of excavation. How-
ever, the H f 4 point is a reasonable estimate of the eleva-
tien of maximum interlock stress.
The determination of maximum soil pressure at this F1/4
point has been the subject of much conjecture and field
testing. Some authorities propose a K. of 0'5. This would
appear to be much too high. For the "dry" fill in the top
portion of the cell, and where free-draining sand or sand
and gravel fill has been used, an equivalent liquid pressure
of 35 lb/fC seems to be adequate and has stood the test of
time. This suggests an active state of stress with Ko :
0.30+.
In applying the final equation in the determination of in-
terlock stress, a factor of some percentage is added for the
component force joining the connecting arc to the main cell
at the Y- or T-pile.3''2 This varies from' a value of zero
increase to that figured according to the secant of the angle
between the cell centerline and the line joining the center
of the cell and the Y-pile. A lO% increase is considered
more than ample. The resultant interlock stress is generally
limited to one-half of the published ultimate interlock
strength, or slightly more.
A surcharge from a crane working on top of the cell does
not add to the interlock stress. The interlocks in the top l0
to 15 ft of the cell are understressed. At greater depth.
where maximum stress occurs, the horizontal pressure from
crane loads is minor.
It is prudent to downgrade second-hand pile interlock
strength by 25% unless a rigorous program of gaging and
pull tests is undertaken. Second-hand piling generally tests
out well. The slot openings at the ends of the piles espe-
cially should be checked.
Cell fill should be fast-draining, clean sand and gravel
fill containing not more than 15% passing the 100 mesh.
It should be well graded. Gravity drainage with adequate
weep holes burned in the sheetpiles should be sufficient. If
more fines must be tolerated, then artificial drainage de-
vices may be required, such as gravel lenses, vertical filter
wicks, and/or deep pumping wells inside the cell.
Compaction of cell fill is desirable. When filling is done
by clamshell, dropping the fill from some reasonable height
will achieve some additional compaction and cause no harm
to the sheetpiles. A moderate amount of water pumped into
a cell during filling, say 8 ft (2.4 meters) of head, will aid
in compaction. A heaped surcharge on top will also help.
Cell-fillsettlementof about lVosf thedepthof fill istobe
expected.
Where foundation rock is competcnt and contains no
shallow weak seams, design tbr sliding is perfunctory.
Sheetpile contact at rock, on smooth concrete, or in soil
exceeds a friction value of 0.50. In the cell-fill material
COFFERDAMS 229
immediately above the cell basc. the same value is found
ifgood clean sand and gravel are used. Tan d of28" cquals
0.53. A factor of safety of 1.25 is adequate .
Where cells are to be founded on bare rock. and often
this also involves flast-flowin-9 water, a startcr fill is re-
quired to stick the sheetpiles. This can be 6 ft (1.8 meters)
to 8 ft (2.4 meters) of 3-in. (8-cm) to 6-in. (1S-cm)-size
rock. Such open rock fill at the base of the sheetpiles would
result in gross infiltration: so this rock fill must be grouted
at the bottom of the wet-side sheetpiles. Four-inch ( l0-cm)-
diameter grout pipes welded to the sheetpiles at about 'l-ti
(1.2-meter) centers can help in accomplishing the grouting
and seal. When this does not u'ork. a continuous tremie
concrete curb can be placed at the top of the rock along the
base of the sheetpiles on the water side. Windorvs formed
at the bottom of sheetpiles on sloping rock, and left un-
grouted or unprotected, can cause loss of sand fill. In fact.
one cell was completely lost over a weekend through such
a window. The window was located adjacent to a l5-ft/sec
(4.6-meter/sec) diversion flow,.and the cell fill rvas fine
sand.
Where cells are founded on a deep sand and gravel stra-
tum. the cell-soil stability analysis is -eenerally satisfied.
This is especially so if excavation slopes inside the coffer-
dam do not penetrate below a tlvo-horizontal-to-one-veni-
cal slope line drarvn from the top of the cell. wet side,
down to the bottom of the excavation or top of the rock- If
there are weak soils under the cells, or deep adjacent ex-
cavations, whether in rock or soil, the cell and its foun-
dation should be investigated for critical slip circle failure.
Poor workmanship can ruin a good design. We tend to
look at our designs only on paper. A connecting arc u'ith
30-degree Y- or T-pile connection on paper looks good and
figures easily to accommodate the hoop forces. Often. a
walk around the top of the cofferdam reveals astonishing
departures from the theoretical. In our example. a 90de-
gree T-pile may have to accommodate. through distortion
and misplacement of the cells, a I l0-degree attitude '*'ith
a sharp swing in the adjacent sheets. We need to ask what
stress anomalies are introduced. Familiarity with actual
field construction practices can temper and sharpen design
considerations.
Dewatering
There arc two major considerations in the dewatering of a
cellular shcetpile coffcrdam. First. a proper defense is nec-
essary against intlltration of water from outsidc the coffer-
clam. Hcre we are dealing with watcr either corning through
the shectpile ntcmbrane-splits, windows, or holes-or
passing underncath it. Second, water thilt has penetrated
this outcr defcnse must be controlled. Water that inundates
the cell must be speedily drained, ancl water that passes
through or under the inner row of sheetpiles must be ade-
 230 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILITATION
quately intercepted to prevent movement of soil pafticles.
Such inflows, if large and uncontrolled, can cause quick-
ness, blow-ins, loss of berm, loss of passive restraint at the
inside bottom of the cell, and possible eventual collapse.
Reference l3 provides a thorough treatment of the theory
of flow nets in the analysis of flows under a coffendam on
a sand foundation. Depending on the permeability of the
foundation soils, and whether or not an inside berm is used,
toe filters, french drains, well points, or deep wells may be
required at the inside toe to maintain stability.
If the river current is not too great, dumping a sandy silt
or clay blanket on the river bottom on the outside may be
beneficial. For higher currents a PVC membrane ballasted
on the river bed may achieve the same results. Deep grout
curtains, which are an extension of the outside sheetpiles,
can be used to depress and lengthen flow lines. A benton-
ite-cement panel slurry cutoff wall was used through and
under the cell sheetpiles to reach an impervious stratum
(see Fig. 7-9). The flow net analysis will indicate the prac-
tical depth needed for cutoff.
For cells on a rock foundation, several points must be
emphasized. Sheetpiles are usually driven in pairs. In seat-
ing the sheetpiles on or into the rock, it is desirable to make
one last driving pass on every individual pile to avoid win-
dows at the bottom. Sheetpiles damaged at the top through
drivin_e are often trimmed by burning off the damaged sec-
tion. Thus, the individual lengths of a pair may not be
equal. Paint marks on each pile near the top, placed a fixed
distance from the bottom of the sheet, will readily indicate
a high sheet.
In the process ofsetting and driving the sheetpiles, holes
are burned in the sheets to attach guy lines with rope block-
and-falls to hold the sheetpiles in alignment. These should
be carefully covered with a welded patch before disap-
pearing underwater. There should be no holes left in the
outside sheetpiles.
The mismatch of the square bottoms of sheetpiles on a
sloping hard rock bottom requires a positive seal. This can
be a grouted gravel choke, sand cement bags, or a pourcd
underwater tremie concrete curb on the outside, water side
of the piles.
In assessing actual leakage through the sheetpile inter-
locks, several phenomena require attention. In the region
of the high interlock stress, the leakage should be of minor
consequence; normal river silt will plug these openings.
However, in the upper part of the sheetpiles, the stress is
low, and the interlocks are relaxed and open. Infrequent
high water does not carry much silt into these upper inter-
locks; so a high river will produce a marked increase of
flow into the cell fill. This is especially noticed with the
first flood. It is important at this time to watch the satura-
tion buildup in the cells and to take necessary action. At
extreme high water, 24-hour vigilance is necessary. Where
a cofferdam is built in a stable resen'o;r with water always
at the top of the sheetpiles, it may be desirable to drape a
PVC sheet inside the cell on the outside sheetpiles, l0 fr
to 15 ft down from the top, before the cell fill is topped
out.
With major high head cofferdams it is prudent to have a
diver inspection after final driving and before filling of the
cell, to check for split sheets and windows.
Where cells are built in the dry on a blasted rock bottom,
the blast hole depressions in the rock surface have gener-
ally been neatly filled and leveled by a dozer. These shoutd
be cleaned out with a high pressure water jet before the
sheets are seated. In such a case it may be desirable to build
a concrete seal ring on top of the rock to seat and seal the
bottom of the sheetpiles.
With regard to floodwaters rising to the top of the sheet-
piles, never try to extend protection above the tops ofsheets
by adding a low earth dike on the top of the cell fill. This
has been attempted, and it has been found that the water
retained by such a dike spills over the tops of the outside
sheetpiles, and will completely inundate the cell. It adds
greatly to the hoop tension, and would probably result in
rupture of the cell.
Reasonable design practice establishes a line of satura-
tion at one-third the height of the cell on the dry side. With
clean sand and gravel fill this can be controlled in the field
with an adequate number of weep holes burned in the
sheetpiles. Gravity drainage through these holes will gen-
erally lower water levels inside the cell to within 5 to l0 ft
(1.5 to 3 meters) of the rock (Fig. 7-13).
Weep holes should be spaced about 8 ft (2.4 meters)
apart veftically, at about 5-ft (1.S-meter) centers around
the inside perimeter of the cofferdam. For coarse sand and
gravel fill, the weep holes can be 1.5 in. (4 cm) in diam-
eter. With finer sand fill the diamerer should be limited to
0.75 in. (2 cm). The elevation of the first top row of holes
should be about 5 ft (1.5 meters) below the water level at
the start of pumping. If a cell fails to drain properly, ad-
ditional weep holes should be provided. Ifthey cannor con-
trol the problem, then a deep well pump in the cell may be
required. The elevation of cell drainage is readily apparent
from weep hole drainage and wet interlocks.
The rate of pump down of the cofferdam is generally not
over 5 ft (1.5 meters) per day. This is ro provide an op-
portunity for the celt fill to establish proper drainage. The
same is true of any high excavated earth slopcs inside the
cofferdam. If drainage in any cetl is held up, rhen the
pumping should be stopped until more weep holes are
burned, and the cell drains.
In the initial pump down, it is important to poke man-
ually into the weep holes with a rod to dislodge gravel
blockage and to develop a coarse filter in back of the hole.
This is also an important exercise during subsequent major
river rises.
It is desirable to have a row of weep holes at least l0 ft

(3.5 meters) below the top of an inside berm. This is in the
region where the berm passive pressure is still at a low
value. These holes can be burned in the sheetpiles before
the sheets are set and driven.
Pumping rates can vary widely. A rate of 10,000 gpm
(630 liters/sec) is a maximum figure for a cofferdam the
size of the Markland Powerhouse cofferdam. The pumping
of the Rock Island Second Powerhouse cofferdam was ini-
tially over 40,000 gpm (2520 liters/sec), finally reduced
to 7000 gpm (zt4l liters/sec). At Lock and Dam 26 Re-
placement, a24-acre cofferdam on a sand bottom, pumping
peaked at 90,000 gpm (5680 liten/sec) and stabilized at
about 60,000 gpm (3780 liters/sec). During initial pump-
down, when a large volume of water must be evacuated in
a short time, and before soil voids and interlocks are plated
with fines, the pumping rate is at least 1.5 times the fol-
lowing maintenance pumPing rate.
Construction
Mistakes made during the construction of cellular coffer-
dams are legend. Whether throu-sh ignorance, inexperi-
ence, or impatience with detail, they are repeated over and
over again.
The most common involve the initial setting of the sheet-
piles aroirnd the template, before driving is started. Where
the sheetpiles enter the river bottom, it is essential to
achieve as near a true circle as is possible. With increased
penetration, this is even more important. Of course, if there
is distortion of the bottom of the cell with only 5 ft (1.5
meters) total driving, little can go wrong. With all sheets
interlocked their entire length, even with the distortions the
cell is still structurally sound. However, if the pattern where
the sheetpiles enter the river bottom is not a circle, then
the sheets are also out of plumb. If portions of the cell are
in the form of a truncated cone, then progressive driving
and further penetration will continue to exaggerate the dis-
tortion until a rip or a split occurs.
Related to this geometry problem are three other factors:
the depth of water, sheetpile length, and water current.
Water depths of 30 ft (9.1 meters) and current velocities
below 3 ft/sec ( I meter/sec) cause little or no problem.
This is so with sheetpiles up to 80 ft (24.3 meters) long
and with a two-tier template. With greater water depth and
higher curents it is desirable, first, to add to the template
depth: three rings to the template, with the bottom ring
within 15 to 20 ft (4.6 to 6 meters) of the river bottom,
will improve the control of the sheet setting.
When sheetpiles are greater than 80 to 90 ft (24.3 to 27 .4
meters) in length, the sweep or bend introduced in the pile
during pickup causes problems; and these problems are
magnified as water depth and currents increase' The setting
process is started with key sheetpiles placed in proper lo-
cations around the template. A single sheetpile is very lim-
COFFEROAMS 231
ber, and sticking a bent sheetpile into the river bcd in the
proper circular pattern is extrcmely ditficult. To overcome
this problem, a stiffening beam, of WlO x 30 lb size, is
attached to every lOth or l5th pile. By fint positioning
these stiffened master pile sheetpiles around the template
at their exact location, a true cylinder can be closely ap-
proximated. These first master piles are tacked down into
the river bed, and then the balance of the sheetpiles are set
symmetrically around the template between the master
piles. (For a good description of this process, see reflerence
4, pages 395-396.)
Time is a factor in fighting deep water and high river
currents. The work of setting the sheets around the tem-
plate and securing a reasonable penetration should be
scheduled around the clock, seven days a week. lf water
velocities exceed 3 to 4 ft/sec ( I to 1.2 meters/sec), and
if the water is deep, some form of current deflector will be
needed. Actually, building of the vulnerable part of the cof-
ferdam, such as the upstream arm, should be scheduled
during the dry, low-flow season. An ingenious deflector
was successfully used in currents of 15 ft/sec (4.6 me-
ters/sec) in building the upstream arm of the cofferdam
for the Long Sault Dam on the St. Lawrence River (Fig.
7-14). It was portable and was jumped ahead with each cell
completion, with little time involved.
Once the sheetpiles are set around the template, the next
crucial operation is the driving. Here again mistakes are
easily made. A variety of driving conditions must be met,
from loose sands to very compact dense sands, from clean
homogeneous soils to strata containing isolated boulders or
nested cobbles, tree trunks, or scattered rip.ap.
Figurc 7-14. Ponabte current deflector used on Long Sault Dam coffer-
dam constnrction.
 232 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILITATION
A single sheetpile or pair of sheetpiles by itself has a
weak axis with a low section modulus. It is easily de-
flected, especially when driven deeper than the adjacent
sheetpiles. With the universal use of vibratory pile ham-
mers, considerable penetration is easily achieved, particu-
larly in the upper loose soils. Without patience and disci-
pline the penetration around a cell can become erratic.
One of the important criteria for good driving control is
paced progress in penetrating the river bottom. First, and
before any driving commences, all of the sheetpiles should
be completely set around the template. Once production
driving begins, penetration for the first round should be
limited to an S-ft (2.4-meter) lead. Following this, the lead
should be reduced to 5 ft (1.5 meters). For driving in dense
sands, the lead should be reduced further, to 2 ft (0.60
meter).
When a large boulder or some other obstruction is met
that stops the sheet, driving on the adjacent sheets should
be stopped. The obstruction should be removed or de-
flected by excavation, jetting, or some other means such as
use of a chopping beam (reference 4, pp. 396-397). Even
in loose soils, use of excessive lead with a vibratory ham-
mer can easily result in splits. Piles carried down evenly
and together will remain interlocked.
There are many good vibratory hammers. The high en-
ergy is such that interlocks can be melted if the hammer
sits on an immobile pile. When penetration can no longer
be advanced with a vibratory hammer, an impact hammer
must be used. A double-acting hammer of 8750 ft-lb (1209
kg force-m) energy is a good size for sheetpiles of ]-in.
(9.5-mm) web. Impact hammers with energies up to 13,100
ft-lb (l8ll kg force-m) can be used on 0.5-in. (12.7-mm)
sheetpile webs. Impact hammers with energies above
15,000 ft-lb (2073 kg force-m) will cause excessive dam-
age to the sheetpiles. A measure of refusal is ten
blows/in. on driving two sheetpiles with an impact ham-
merwith 8750 ft-lb (1,209 kg force-m) of energy.
If split interlocks are encountered in the pump down and
excavation of the cofferdam, then pumping operations
should be suspended while straps are welded across the split
(Fig. 7-8). For welding on sheetpiles, a low-hydrogen
welding rod should be used, with attention given to pre-
heat. The phenomenon of repair of splits is worth analyz-
ing. The first observation is that split interlocks do not rend
to unzip. They are produced in the driving operation and
hardly ever are caused by excessive hoop tension. The split
never shows cell membrane distortion that would suggest
distress from high hoop tension. The adjacent sheetpiles
bridge this discontinuity of hoop tension, through anchor-
age of the lower driven ends in the soil below and the com-
plete interlock of the upper portion of the ring of the cell
above. This behavior says something about assumed large
hoop tensions and the distribution vertically along the
sheetpile interlock, and is also a reflection on the magni-
tude of the K, factor of horizontal soil pressure.
A328 steel has a low Charpy impacr value. Ir is suscep-
tible to notch failure at low temperaturcs. In burning off
sheetpiles, or burning holes in them, a clear straight or cir-
cular cut should be made. Sheetpiles have been known ro
rip apart, starting at a notch accidentally burned in a cutoff.
Most of these accidents have happened at temperatures be-
low 20'F (-6'C).
In making splices of sheetpiles with plates, a level work
bed should be provided, and the ends to be matched should
be of the same widths. Failures have occurred from mis-
matched sheetpiles. Also, if the sheets have been mishan-
dled or pulled from a cofferdam such that they have a per-
manent sweep, they should not be used for splicing.
Splicing stock cut from such sheetpiles will form a kinked
splice that makes for setting difficulties.
A sweep in a pulled pile does not preclude its reuse. If
it can be set in a cell, then the driven structure is structur-
ally sound. Kinks in a sheetpile make it unusable.
Failures
There have been sliding failures of cellular cofferdams, but
not at the interface between the sheetpiles and rock. Sev-
eral have occurred in shale rock formations within the top
15 ft of the rock. The one at Uniontown Dam was caused
by a thin horizontal layer of coal and fire clay approxi-
mately 15 ft below the rock surface. Water in this seam not
only lubricated the clay, but added uplift pressure. A con-
tributin-e factor was a further weakening of the rock strata
by intersecting faults. A large slab ofrock rotated 70 ft into
the cofferdam with four undamaged cells riding on top of
it.la
The sliding failure at Cannelton Damr5 was caused by
the breakup of the top layers of shale rock due to excava-
tion of the dam piers adjacent to the cells. A large clover-
leaf cell split, at Lower Monumental Dam on the Snake
River, was attributed to plywood protection sheets under
the sheetpiles. These were placed on the stilling basin floor.
Sheetpiles have a good bite even on smooth concrete, as
has been demonstrated where high cells have been placed
on concrEte lock sills. Wood protection is unnecessary and
undesirable.
Many cells have ripped apart, and for a multitude of rca-
sons. Overstress due to conrplete flooding of the cell by
overtopping flood waters was a cause of a breached up-
stream arm at Lower Monumental Dam. Bad nretallurgy in
thumbs and fingers, laminations in sheetpiles, poor welds
in fabricated T-piles, and mismatched splices have all taken
their toll. Deficiencies in the net web area along a line of
bolts in fabricated sheetpiles have caused fractures and cell
emptying. (There is a good accounring of such failures in
references 6 and 16-18.)
Cells do not fail by overtuming. Excessive horizontal
movement at the top has been observed; it does not cause
failure, but can render a structure inoperable. This is a shear

failure, the cause of which is inadequate cell width or im-
proper cell fill. The sand drains installed in the cells of
Shipways l0 and I I at Newport Newsr3 were a remedy for
weak cell fill. Observations indicate that a 60-ft-high cell
could move 3 or4 ft at the top without rupture.
Sheetpiles can absorb heavy impacts. Barge tows having
EARTH AND ROCKFILL COFFERDAMS
Cleuor A.
lntroduction
Earth and rockfill cofferdams are the most iommonly used
structures for diversion and for protection of the work area
during construction of the main dam. The diversion coffer-
dam is normally a temporary structure that diverts the
stream while the main cofferdam is being constructed. On
most projects, the main upstream cofferdam involves a sub-
stantial amount of materials, and it is incorporated into the
upstream section of the embankment. Hence, its design is
an integral part of the embankment design, but special fea-
tures such as an impervious slope blanket may be required
to the height of the cofferdam. Sheetpile walls or cells may
be used in combination with earth and rockfill cofferdams
as tie-ins to structures or as filling and overflow structures.
All surface drainage should be diverted beyond the limits
of the upstream and downstream cofferdams, as the dis-
charge from side draws or from the adjacent mountainsides
during major storms can damage upstream blankets and fill
the embankments area with water. The surface drainage
diversion features should be designed to handle a major
storm and be adequately protected against the high-velocity
flows generated from the adjacent mountainsides.
Cofferdams are constructed under time constraints re-
lated to the weather and to the quantity of streamflow.
Hence, it is imperative that the cofferdam materials be se-
lected so that they can be placed on a regular schedule re-
gardless of the weather conditions at the site. Access to the
materials must be ensured, and in some cases the materials
should be stockpiled nearby to ensure orderly delivery to
the cofferdams. The designer should preconstruct the cof-
ferdams on paper based on a thorough knowledge of the
site conditions, and should develop a time and materials
chart for each step of the construction work. The designer
should develop specific requirements to ensure that the cof-
ferdam will be constructed in accordance with the devel-
oped plan. During development of the plans and specifi-
cations, the resident engineer should review the diversion
scheme and the cofferdam plans, as the resident engineer
COFFERDAMS 233
a mass of several thousand tons have struck cofferdams.
leaving a dent several feet deep without rupture of the cell.
Cellular cofferdams, while temporary, are often major
dams themselves. The trend to higher cofferdams will con-
tinue. These temporary structures rcquire the same nurture
and care as that given to perrnanent dams.
Fe'rze,n
may suggest changes that will make the scheme more prac-
tical. If the contractor proposes
a different scheme for con-
struction of the cofferdams, the designer and resident en-
gineer have a well thought-out plan with which to compare
the contractor's proposal.
The importance of development of a detailed diversion
scheme and cofferdam construction schedule cannot be
overemphasized. An entire construction season may be lost
through unforeseen difficulties if a well thought-out plan is
not prepared and specified, and the contractor is permitted
to proceed without one. The owner inevitably pays in many
ways when a construction season is lost.
Diversion Cofferdams
The layout of the diversion cofferdam must be based on the
site topography and on the location of the outlet works.
When the outlet works are designed, consideration must be
given to the ultimate need for a tie-in to the diversion struc-
ture. The diversion cofferdam is considered to be a high-
risk, temporary structure, and the designer must determine
what frequency of overtopping and what consequences
thereof are acceptable for the planned life of the structure.
The amount of water stored behind the upstream diversion
cofferdam normally would be relatively small, so that there
would be little damage to the downstream public from a
failure; however, a failure could cause a substantial delay
and increased costs in constructing the main cofferdam. Al-
though the divenion cofferdam is a temporary structure.
the design must take into account all the factors related to
the safety and stability of a permanent structure, including
seepage through the dam, underseepage. slope stability,
slope protection, and so on. In some cases, a smaller pre-
diversion cofferdam must be constructed so that cutoff or
other foundation treatment measures may be accomplished
for the diversion cofferdam.
The height and the related frequency of overtopping must
be based on judgmental factors related to the risks involved
 234 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILITATION
during the time span requircd to raise the main cofferdam
to tlrc same elevation as the diversion cofferdam. Diversion
cofferdams normally are constructed for a high frequency
of overtopping, but some diversion structures have been
constructed for a relatively low frequency of overtopping.
The crest elevation of the diversion cofferdam at R. D. Bai-
ley Damre was established at the 5-year flood level for June
to December floods but less than the l-year flood level on
an annual basis. For Areia Dam,20 a lO-year return period
risk was taken for the initial closure cofferdam.
Most diversion cofferdams, or at least that portion of the
cofferdam that actually diverts the stream, must be con-
structed very rapidly under a favorable 5-day weather fore-
cast. Hence, the closure section must be constructed of
weatherproof materials that often must be placed under
water. Dumped rock with sufficient fines to form an im-
pervious barrier would be an ideal material. Sand and gravel
with an upstream impervious blanket may also be used.
Materials for the closure section must be readil! available.
To effect a quick closure, it is often expedient to stockpile
all of the needed materials on the streambank. The time
limits for completion of the closure section of the coffer-
dam should be based on reasonable production require-
ments for a 24-hour workday.
Most diversion cofferdams are constructed without pro-
tection for overtopping. However, in many situations
overtopping protection is considered necessary. The diver-
sion cofferdam for R. D. Bailey Damle was a semiperma-
nent structure approximately 60 ft (18.3 meters) in height.
It was needed to protect the area at the toe of the main
cofferdam for an extended time during the installation of a
concrete cutoff wall into the rock foundation along the up-
stream toe of the main dam. The diversion cofferdam con-
sisted of seven, rock-filled, interconnected, 65-ft (19.8-
meter)-diameter, steel sheetpile cells that were supported
on the downstream side by a protected rock fill. The mod-
ified design for the diversion cofferdam overflow section,
based on hydraulic analyses, is shown in Fig. 7-15. After
modification of the downstream prctection, the cofferdam
withstood several overtoppings without substantial dam-
age.
FL(T
cr0
III. SLIISHED 6TOIIIEl) RIPRAP
DRAIXA6E LAYER
'I.I[.
Figure 7-15. R. D. Baitey Dam. Cuyandot River, West Virginia. diver-
sion cofferdam, dctails of downstrcam protcction.
Main Cofferdams
The main cofferdam usually is a large structure containing
a considerable quantity of material. For instance, the main
cofferdam at Areia Dam2o had a height of approximately
306 ft (93.3 meters). For this reason, the main cofferdam
is usually included in the upstream section of the embank-
ment as stage I embankment construction; and its design
must include adequate pmvisions to ensure that it will be
stable and have adequate watertightness for the storage and
drawdown conditions to which it will be subjected. [n many
cases, this will require foundation and abutment treatment,
cutoff walls through pervious foundation materials, grout-
ing, and other provisions associated with the main dam
construction. These same requirements apply to cofferdams
located outside the embankment limits. At Patoka Dam2l'22
the main upstream and downstream cofferdams were lo-
cated outside the embankment limits, as the overbunden
under the entire embankment area had to be excavated to
the top of the rock-a maximum depth of 70 ft (21.3 me-
ters). In this case, the eductor dewatering system for the
upstream and downstream excavation slopes served as
seepage-control measure for the cofferdams. When water
was impounded against the cofferdams, it was extremely
important that the eductor system be kept in operation; oth-
erwise, the excavation slopes and cofferdams would have
collapsed; and for this reason, an emergency backup power
system was required for the pumps serving the eductor sys-
tems. The cofferdams and the excavation during the flood
of January 1976 are shown in Fig. 7-16.
The main cofferdam for any major dam has the capacity
to store an appreciable quantity of water that, if suddenly
released, could cause catastrophic damage to the down-
stream public and to the work site. To reduce the chances
of failure, many designers now are providing higher cof-
ferdams, and devising methods for constructing them to
full height in short periods of time. The cofferdam with the
least known chance of overtopping is the main cofferdam
at Areia Dam,2o which was designed to prevent overtop
ping by a 500-year return flood.
For small- and medium-size dams, the diversion capac-
ity is usually based on the capacity of the permanent low-
level outlet works. For large dams, a special diversion tun-
nel may be constructed with a much higher flow capacity
than would be required for permanent low-level dis-
charges. After the size of the divenion conduit or tunnel
has been established, a graph can be developed showing
the pool elevation versus exceedance frequency per l0O
years, as shown in Fig. 7-17 for East Fork Dam.23 On the
graph, data from historical floods are plotted, which are
usually grouped into floods within the normal construction
season and floods for the remainder of the year (all-season
storms). The exceedance frequencies are based on the con-

Figure 7-t6. Patoka Dam. Patoka River. Indiana. lv{ain upstreanr and doqnstrcam cofferdanrs during fiood ofJanuary 1976. Photo counesy
Arm_v Engineer District. Louisville.
duit and gates being fully open, and log booms and trash
racks must be installed prior to diversion to prevent the
outlet uorks from bein_s plu_e_eed by trees and other debris.
The gates must be tested to ensure that they are fully op-
erable. and emer_gency power must be available for oper-
ation of the gates unless they are left fully open at all times.
From the -sraph. the cofferdam elevation is selected that
will give the de_sree of risk desired. However, it must be
considered that storms can occur at any time that will cause
the historical floods to be exceeded. At East Fork Dam.
the elevation selected for the main cofferdam was 737 ft
(221 .6 meters). From Fig. 7-17 the exceedance frequency
per 100 years at this elevation is 1.5: that is. the cofferdam
has been designed to protect against a 67-year flood, or a
flood that is expected to occur once in 67 years. The plot
tbr the construction season in Fig. 7-17 rvas used to estab-
lish intermediate elevations f,or the cofferdam to achieve
the minimum risk lor overtopping during its construction.
Methods to assure that a cofferdam will be constructed
on schedule and constructed to tull hcight with a minirnum
exposure to overtopping include the lollowing:
l. Whcnever possiblc, select materials that can
placed and compactcd undcr advcrse wcathcr condi-
tions, and specify minimum daily placenrcnt ratcs.
2. Minimizc the use ol u'cathcr-scnsitive materials.
3. Provide material sources that arc readily availablc
undcr all weather conditions, or providc tbr stockpil-
ing.
COFFERDAMS 235
ofU.S
4. In wide valleys construct the cofferdam to full height
except lor a closure section at one abutment. and re-
quire the closure section to be constructed at a min-
imum daily placement rate.
5. In narrow valleys use staged construction. as shorvn
in Fig. 7-18, to maximize the protection level wirhin
the least amount of time.
The cofferdam for East Fork Damrs was considered to
be a well-planned structure. but the problems encountered
during construction illustrate the difficulties rhat ma]- be
expected on any project. A temporary diversion cofferdanl
to EI.635 lt (193.5 meters) rvas provided ro prorecr rhe
workin_e area lor the main cofferdam. The latter had to be
constructed in three successive stages, utilizing randonl
rock (interbedded shale and Iimestone) in stages I and II at
a minimum placement rare of 10.000 yOr lZOlS.O mr) per
day on a 7-day-week schedule. Stage I \.{'as to be con-
structed to El. 689 fr (2 l0 meters) during the period o[ Ivlay
15. 1974 to July l. 1971: this provided protection in cxcess
of the flood of rccord lor the construction season, as shorvn
in Fig. 7-17. Stagc il was requircd to bc complctcd to El.
bc l16 ft (218.2 mctcrs) by August 15. 1974. and stage III
was rcquired to be completcd to El. 131 tt (221.6 meters)
by Octobcr I. 197.1. Ranclom earth u,as originatly specified
Ior stagc III to utilize thc glacial till overlying the bedrock
in thc spillwuy excavation. but during construction random
rock was utilized above El. 615 ft (205.7 meters) to ex-
peditc constnrction.
 236 ADVANCED DAM ENGINEERING FOR OESIGN. CONSTRUCTION. AND REHABILITATION

737 .5

t)
=
laJ
LrJ
u-
-
-

trJ 680
LrJ
)o
o
o-
670

CI
^t
cl
s-l -l^l =l '."l -l
dl =l*l
EXCEEDAHCE FREOUE}ICY PER 1OO YEARS
Figure 7-17. East Fork Dam. Little Miami River, Ohio. Frequency of storage utilization for l4-ft oblong conduit with gates fully open.

During construction of East Fork Dam, an environmen-
tal suit resulted in a work stoppage on the main dam from
July 25, 1973 until May 2l , 1974. The preparatory work
in the valley bottom including construction of the upstream
diversion cofferdam and the downstream cofferdam re-
quired considerable time. The actual stream diversion was
not made until August 12, 1974. The stage I cofferdam area
was stripped to bedrock, approximately minimum El. 615
ft (187.4 m), and fill placement was srarted on August 17,
1974. By August 29, 1974, stage I cofferdam had been
constructed to El. 648 ft (197.5 m) with rhe conrracror
placing the materialar a rate of 20,000 yd3 (15,291 m3; per
day. The material was placed in 8-in. (20.3-cm) lifts, and
each lift was compacted at natural moisture content with
four passes of a Hyster Model C455A self-propelled tamp-
ing roller, followed by two passes of a towed Bros Model
450 50-ton (a5,359-kg) rubber-tired roller. Because of
heavy rains that fell on August 29 and 30, 1974, the cof-
ferdam was overtopped on Augusr 30, 1974. The overtop-
ping eroded a 150-ft (45.7-meter)-wide gap through the
stage I cofferdam. Approximately 50,000 yd3 (38,167 m3)
of disturbed material was excavated from the cofferdarn

u tttttaM
tr. tra
Ir.
'1,
ttrrt lo uNw:atxltto
Figurc 7-18. East Fork Dam, section through three-stage main upstreanr collcrdarn.
area and hauled to a waste area. By September 8, 1974,
the cofferdam had been reconstructed to El. 6-18 it (197.5
meters). The stage I cofferdam rvas completed to El. 689
ti (2 l0 meters) on September2O. 1974, stage II was com-
pleted to El. 716 fr (218.2 meters) on October 22, 1974,
and stage III was completed to El. 737 ft (22-1.6 meters)
on November 26, 1974. Even rvith the delays caused by
the storm and washout. stage I cofferdam was completed
in fewer days than originally specified, as were stages II
and III also. The rapid construction of alI three stages can
be attributed to the skill of the contractor, in addition to
the ready accessibility of an all-weather material. The com-
pacted random rock had a low permeability, so that an up-
stream impervious blanket was not needed. The highest
pool against the cofferdam during construction of the re-
mainder of the embankment was El. 696.5 ft (2 12.3 me-
ters), on February 25, 1975.
As no one can predict when a probable maximum storm
will occur, neither the cofferdam nor the embankment can
be considered to be safe against overtopping until the em-
bankment is completed to full height. and the spillway is
fully operational. One solution to this potential problem is
to arrnor the crest and downstream slope to prevent erosion
durin-e overtopping. An example of how a hard rockfill dam
was successfully protected from overtopping is described
by Leps.la Armoring of a soft rockfill cofferdam or an
earthen cofferdam to withstand an overtopping is more dif-
ficult. A properly anchored 80-mil PVC membrane placed
in a notch could possibly pass a limited flow over an em-
bankment. Attempts to armor one earthen embankment with
rock-filled gabions indicate that this method of armoring is
slow, expensive, and possibly not successful. Whenever
possible, the cofferdam area should be backflooded prior
to overtopping. to help reduce crosion of thc toc ol thc
cofferdam and to rcduce the possibility ola brcach. Hence,
consideration should be given in the dcsign to methods of
preflooding that could raise the water in the protccted arca
to the elevation oI the downstream coffcrdam.
Further guidance in the design and construction of cot'-
f'erdams for large dams is prcsented in a notable work by
Wilson and Marsal.25
COFFEROAMS 237
OOWN'ITT M
It. ,2 !
T'I.OTAINAGT IIANXTI
tor ot tocx
rocx
REFERENCES
l. Stone & Wcbster Engincering Corporation. "The Rock Island Proj-
ect." American Pou'er Conierence, Chicago. Apr. 1981.
l. TVA. "Stecl Sheet Piling Ccllular Coff.'rdams on Rock," Technical
lllonograph No.75. Vol. l. l9-57: reprinted 1966.
3. Srvatek, Edwin Paul. Jr.. "Cellular Col{c'rdanr Design and Prac-
tice," Jrrrrrnal of the lydtcntovs and Harbors Divi.siorr. rlSCt. Vol.
93. No. WW3. Proc. Papcr 5398. pp. 109-131. Aug. 1967.
4. Patteson. J. H.. "lnstallation Techniques for Cellular Stnrcturcs."
ASCE Confcrence on Design and Installation of Pile Foundations
and Cellular Structures. Lehigh Universit;-. Apr. 1970.
5. Srvatek, Edwin Paul. Jr.. Summary of Day Remarks. "Cellular
Structure Design and lnstallation." Lehigh UniversitJ' Conference on
Design and Installation of Pile Foundations and Cellular S(ructures.
pp. .ll3-423. Apr. 1970: Library of Congress Catalogue Card Num-
ber 77-1.11705.
6. Crayman. Roben F.. "Cellular Structure Failures." Lehigh Llniver-
sity Conference on Design and Installation of Pile Foundations and
Cellular Structures, pp. -183-385. Apr. 1970.
7. Lacroix, Yves et al.. "Design. Construction. and Performance of
Cellular Cofferdams." ASCE Specialty Conttrence. Ithaca Section.
Comell University. "Lateral Stresses in the Ground and Design of
Eanh-Retaining Structures." pp. 271-328. 1970.
8. Lehigh University Conterence on Design and Installation of Pile
Foundations and Cellular Structures. pp. -'ll9-.138. Apr. 1970: Li-
brary of Congress Catalogue Card No. 77-l'11705.
9. Tezaghi. Karl. "Stability and Stillness of Cellular Cofferdams."
Transactiorts,..ISCE. Vol. I 10, pp. t08-l-l I l-1, l9-15.
10. Esrig. N{. I.. "The Stability of Cellular Cofferdams against Venical
Shear," l.!CE. JSlvlFD. Vol. 96. No. Sitl6. Proc. Paper 765{. pp.
1853-1862. Nov. 1970.
l[. Cumnrings, E. M.. "CellularCollerdamsand Docks." Proc., ASCE,
Vol. 83, No. WW3. Sept. 1957 (also lrar.roctions. ..lSCE. Vol. tl5.
1960).
[2. Rossow, Mark P.. "Shcetpile Interlock Tension in Cellular Coffer-
danrs," Jorrnral d Gcotcclurical Engintering. Vol. It0. No. 10.
ASCE. Paper No. 19210. Oct., 198.1.
t3. Whitc. Lazarus. and Prcntis, Ednrund Astlcy, Colfenlazrs, ?nd cd.,
Colunrbia Univcrsity Prcss, Nc*' York. I950.
l{. Fishcr, Paul R.. ct al.. "Fountlation Construction Pnrblcnrs at Corps
of E,nginccr Projccts." ,ISCE Pro<'culilgs for "Fountlutions For
Darns." rn Enginccring Foundation Conference, Pacific Crovc, Ci\.
pp. 133-l.ll, Mar. 197,1.
[5. Fetzcr, Claudc A., "Prurgrcssivc Failure in Shale (Cannclton Dant
Stagc I Coftcrd:rnt Failure)." Ohio River Vallcy Soils Scnrinar Vl,
Seminar Pr<tceulitrgs. Ft. Mitchcll, KY, Oct. 17, 1975.
16. Carle, Rtlbcn J., "Discussion of 'Ccllular Collerr.lant Design and
238 ADVANCED DAM ENGINEERING FOR OESIGN, CONSTRUCTION. AND REHABILITATION
Practice' by E. P. Swrtek." ASCE, JW'WHD, Vol. 93, No. WW2.
Proc. Paper 592a, p. 267, May t968.
17. Grayman. Roben F., "Discussion of 'Ccllular Coffendam Design and
Practice' by E. P. Swatck." ASCE, JWWHD. Vol. 93, No. WW2.
Proc. Paper 5924, p. 269. May t968.
[8. Depanment of the Army. Corps of Engineers. Officc of The Chief
of Engineers. "An Analysis of Cellular Sheetpile Cofferdam Fail-
ures," Apr, 1974.
19. Fetzer. Claude A., "R. D. Bailey Dam. Performance during April
1977 Flood," Proceedings, U.S. Army Corps of Engineers Geo-
technical Conference, New Orleans, LA, Nov. 1977.
20. Cooke. J. Barry, "Progress in Rockfill Dams," Journa! of the Geo-
technical Engineering Dit'ision,,{SCE, Vol. I10, No. 10, proc. pa-
per 19206, pp. 1383-14l{, Oct. 1984.
21. Feuer, Claude A., "Patoka Dam-Foundation Treatment," Discus-
sion on Qucstion No. 48. l3th Congrcss on Largc Dams (ICOLD).
New Delhi, India. 1979.
22. Feuer, Claude A., "Patoka Dcm Tesrcd," USCOLD Neu.slettcr,
Nov. 1979. pp.6-9.
23. Fetzer. Claude A., "Use of Compacted Shale as Dam Embank-
ments," Proceedings, Seventh Ohio Valley Soils Scminar. Lcxing-
ton. KY, Oct. 1976.
24. Leps, Thomas M.. "Flow Through Rockfill." Embanlonent-Dam
Engineering, Casagrande Volume. John Wiley and Sons, New York.
t9't3.
25. Wilson. S. D., and Manal, R. J.. "Current Trends in Design and
Construction of Embankment Dams," ASCE, prepared for ICOLD
Committee on International Relations, C. S. Ospina. Chairman. and
ASCE Geotechnical Division, W. F. Swiger, Chaimran. 1979.
 8
EARTHOUAKE RESPONS E ANALYSIS OF
EMBANKMENT DAMS
I. M. Ionrss
Managing Principal
Wood*'a rd - C l1'd e Consu It ants
Oakland. California
lNTRODUCTION
Observations of the behavior of earth dams in past earth-
quakes have highlighted the value of seismic stability eval-
uations in assessing the overall performance of an eafth
dam in a seismic area. The near failure of the Lower San
Fernando Dam in the February 9, 197 I San Fernando
earthquake increased the importance of such evaluations
among design engineers.
The general practice for evaluating the seismic stability
of all earth dams had been the use of pseudostatic analysis
procedures,a'*5 but experience gained from evaluating the
performance of the Lower San Fernando Dam and other
dams built of cohesionless soils indicated that there are se-
rious limitations to the pseudostatic method of analysis.
Dynamic analyses, which provide better indications of the
behavior of such dams under earthquake loading condi-
tions, have been developed and refined over the past 20
years. Nevertheless, pseudostatic analysis procedures con-
tinue to offer a simple and reasonable means tbr evaluating
the potential behavior of embankments built of clay soils,
or those constructed of very dense cohesionless soils with
little likelihood of major decreases in undrained shear
strength due to anticipated levels of shaking. The pseudo-
static method of analysis, coupled with an evaluation of
possible permanent deformations, can provide an adcquate
evaluation procedure, depending on the charactcr o[ thc
slope-forming materials. More details regarding thc mcthod
of analyzing embankment deformations and additional re-
cent refinements can be f,ound in the refercnces.'-*
The decision about whether or not to use the pseudo-
static nlethod for any given dam is dependent on whether
the embankment or the foundation soils are likely to be
vulnerable to major strength loss due to the postulated level
Jnugs Mlcsael DuxcnNl
Professor of Civil Engineering
Virginia Pol;'technic Institute and State Universitt'
Blacksburg, Virginia
of shaking. If these soils are unlikely to be vulnerable
(either because of the nature of the soil as described above,
or because the anticipated level of shaking is too small),
then the pseudostatic method of analy'sis should provide a
reasonably adequate desi-en procedure. For soils that are
likely to be vulnerable to major strength loss or to the de-
velopment of high excess pore water pressure. the dynamic
method of analysis offers a more realistic approach. It
should be noted that the dynamic method can be used for
all soil types.
The dynamic method of analysis is described in this
chapter. and an example is provided of its use in evaluating
the behavior of an existing hydraulic fill dam during a ma-
jor earthquake.
OUTLINE OF DYNAMIC METHOD OF ANALYSIS
The use of a dynamic method of analysis was first sug-
gested more than 20 years ago.s With the advent of finite-
element procedures, improventent in characterization of
static and dynamic material properties, and advances in
cyclic testing, the dynamic method of analysis has been
continuously improved and refined.{6 The first detailed ap-
plication of the full procedure involved the evaluation of
the failure of the Sheflicld Dam in the 1925 Santa Barbara
earthquake made by Sccd, Lec. and Idriss.6 Thus, the pro'
cedure olten has becn rcfcrrcd to as thc Sced-Lee-Idriss
analysis proccdurc. It should be notcd that nlany othcr gco-
technical engineers havc contributed to the refincnrents and
enhancenrcnts incorporatcd in the procedurc, espccially
over the past [5 years.
Once an analysis cross section (or sections, as appropri-
ate) has been selected, the following stcps are undertaken
in the dynamic method oi analysis:
239
24O ADVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCTION. AND REHABILITATION
l. Calculation of the initial static stresses existing in the
embankment and its foundation before the earth-
quake. Typically, plane strain conditions are used in
this step.
2. Selection of a time history of base excitation to which
the dam and its foundation might be subjected. Ap-
propriate inputs from geologists and seismologists are
needed to complete this step adequately.
3. Assessment of the dynamic properties of the soils
comprising the dam and its foundation, such as shear
modulus, damping characteristics, bulk modulus, or
Poisson's ratio, that influence response to earthquake
excitation. Because the material characteristics are
nonlinear, it is also necessary to determine how the
properties vary with strain.
4. Calculation of the response, using an appropriate dy-
namic finite-element analysis procedure, of the em-
bankment-foundation system to the selected base ex-
citation, including determination of thb stresses
induced in the embankment and its foundation. Plane
strain conditions are also used in this step.
5. Conducting cyclic tests on representative samples of
the dam and its foundation, to measure the combined
effects of the initial static stresses and the superim-
posed dynamic stresses in order to evaluate the gen-
eration of pore water pressures and the development
of strains in these soils. A sufficient number of these
tests should be performed to permit similar evalua-
tions to be made, by interpolation, for all elements
comprising the embankment-foundation system. Al-
tematively, for the foundation layers and for existing
embankments, the cyclic strength characteristics may
be estimated, based on standard penetration (SPT)
blow count and existing correlations of SPT blow
count and cyclic strength. These blow counts are also
helpful in estimating the residual strength in these
soils.T
6. Evaluation of the factor of safety against failure,
either during or following the earthquake, based on
pore pressures generated by the earthquake, the soil
deformation characteristics, and the strength charac-
teristics.
In addition to the above steps for a dynamic analysis, the
following advice, offered by Seed,a is quite appropriate:
"Be sure to incorporate the requisite amount of judgement
in each of the steps . . as well as in the final assessment
of probable performance, being guided by a thorough
knowledge of typical soil characteristics, the essential de-
tails of finite element analysis procedures, and a detailed
knowledge of the past performance of embankments in
other earthquakes. "
The above steps are discussed in more detail below. An
example is presented later to illustrate their application to
an existing earthfill dam in northern California.
STATIC ANALYSIS PROCEDURES
The procedures used for complete analysis of thc strcsses
and movements in earth dams under static conditions.
which were developed by Clough and Wooclward,t Kul-
hawy et al.,e and Duncan et al.,lo'llare performed in a
number of steps, or increments. Using incremental analysis
procedures provides a convenient means of representing
changes in geometry during construction of the embank-
ment, changes in loading during filling of the reservoir,
and nonlinear stress-strain behavior of the cmbankment
materials. As noted later in this section, however, simpli-
fications are used in specific applications.
Incremental analyses follow the stages of construction
and loading as they occur in the embankment, step by step.
At each stage of the analysis the stress-strain properties of
the embankment materials are adjusted in accordance with
the calculated values of the stresses in the elements, to
model their nonlinear stress-strain behavior. Applied in the
most straightforward way, an analysis to determine pre-
eafthquake stresses in an embankment involves:
l. A number of steps (usually eight or more) to simulate
construction of the embankment.
2. A number of steps (usually fouror more) to simulate
filling of the reservoir and development of steady
seepage conditions within the embankment and its
foundation.
Such an analysis is followed faithfully through the stages
of construction and loading that actually occur in the em-
bankment. Sequential simulation of the events involved in
construction and loading of the embankment affords a log-
ical analysis scheme. Provided the stress-strain propenies
of the embankment and the foundation used in the analysis
are appropriate, incremental analyses should result in
stresses and deformations that reasonably approximate the
actual conditions in the field.
. In the case of analyses to establish pre-earthquake
stresses in an embankment dam, the calculated deforma-
tions are not of interest. As a result, the analysis procedure
can be simplified. The stresses in the embankment are de-
termined almost entirely by (l) the requirements of equi-
librium, (2) the final geometry, and (3) the loads due to
seepage that act on the embankment. The sequence ofsteps
involved in construction of the embankment and develop-
ment of seepage through it have little or no effect on rhe
long-term static stresses in the embankment. Therefore. it
is not necessary to follow precisely the various steps in the
history of the construction and loading of the embankment.
provided that the final condition inclucles the appropriate
geometry and loads due to seepagc.
For this reason, pre-earthquake stress analyses are usu-
ally performed as follows:
l. Construction of the embankment is simulated using
 EARTHOUAKE RESPONSE ANALYSIS OF EMBANKMENT OAMS 241

buoyant soil weights for materials below the phreatic sur-
face in the embankment and foundation, and total soil
weights for materials above the phreatic surface. Using
buoyant weights for submerged materials accounts for the
buoyancy effects of seepage in the embankment. Eight or
more steps, each corresponding to addition of a layer of
elements to the fill, are used for this part of the analysis.
2. The remainingeffects of seepage in the embankment
and foundation are included by applying seepage forces to
nodal points in the region beneath the phreatic surface.
These forces are calculated for each element, using the
expression:
S:it*A (8-r)
in which S is the seepage force per foot of length of dam
(two-dimensional analysis), i is the hydraulic gradient. 7,.,
is the unit weight of water, and ,4 is the area of an element.
These forces act in the direction of the hydraulic gradient,
and are distributed equally among each of the nodes at-
tached to the element. The seepage forces are calculated
only for the final pre-earthquake seepage condition. The
loads are usually divided into five to ten equal increments,
and applied in as many analysis steps, to reduce the chances
of local overstress due to too-rapid application of large
forces.
in which Ao,. Ao.,, and Ar,_, are the increments of stress
during a step of the analysis; and Ae,, Ae-r, and A7., are
the corresponding increments oF strain. E, is the tangent
value of Young's modulus, and r,, is the tangent value of
Poisson's ratio.
Duncan and Changl2 showed that E, can be related to the
stresses in the soil by means of a number of stress-strain
parameters whose values can be determined from the re-
sults of triaxial tests on the soil. The relationship between
E, and the stresses is expressed as:
Rr(l - d)(o, - or)lr *, /o,\"
sin
E' : [, _
L 2ccosd*2o3sin{ l^P"V,)
(8-3)
in which o1 and 03 are the principal stresses, and p, is at-
mospheric pressure. (Other pardmeters are defined below.)
As shown in Fig. 8-1, the stress-strain characteristics of
almost all soils exhibit two characteristics that make it very
difficult to represent their stress-strain behavior by a single
modulus value. First, the stress-strain behavior of soils is
nonlinear. As the deviator stress increases, the axial strain
increases in a nonlinear fashion, and when the deviator
stress becomes equal to the strength of the soil, the strains
increase without limit. Second, both the stiffness and the
stren-qth of the soil depend on the value of the confining

Material Properties for Static Analyses

lA'* -*-T {
ro
Both the "construction" and the "seepage" phases of the
analysis are performed using drained stress-strain and
strength properties of the embankment materials, consis-
tent with the notion of using a long-term steady seepage
I
E
o
o
I
8
o-i--f
,f'
xerc^"
b
condition as the pre-earthquake stress condition.
The most widely used method of modeling soil stress- 6
I

6
rl
strain and strength behavior in these analyses is the hyper-
bolic stress-strain relationship developed by Duncan and
Changr2 and modified by Duncan et al.l0
In each increment of the analysis the stress-strain be-
o
o
c
o
q,

:
o
I

4
{,4{
rt 5
havior of the soil is treated as being linear, and the rela- ,
tionship between stress and strain is assumed to be gov- o -l;Peok,volue
emed by the generalized Hooke's law of elastic
o
a
H
,F
deformations, which can be expressed as follows for con- v
ditions of plane strain: o
o 4 t2 r5 20
Axiol Slroin-€-o/o .lol
aor E. 812 r6 20 3l
- ;e osP 3l
;;:, (r + v,)(t -2v,) .g
o o
rul

- v,) Y' 0 lIr,.1 o

cl
,-ol|
vt (t - r,) o lJ ae,i .9
o
EI
ol

[., 00 +)lo,.,j E
3
6
EI
ol
(-)+

(8-2) Figure 8-1. Drained triaxial tcsts on loose silic:t srnd.

 242 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCT]ON. AND REHAEILITATION

pressure. As the confining pressure increases, both the
stiffness and the strength increase.
The volume change characteristics of soils exhibit sim-
ilar behavior. Volumetric strains increase nonlinearly as the
axial strain increases, and the magnitude of the volumetric
strain depends on the magnitude of the confining pressure,
as shown in Fig. 8-1.
The hyperbolic stress-strain relationships were devel-
oped to make it possible to represent these types of behav-
ior in finite-element analyses of stresses and movements in
earth masses and in soil-structure interaction problems. The
hyperbolic relationships use eight parameters to character-
ize the stress-strain behavior of soils:
o The modulus number K and the modulus exponent rt,
which relate the initial slope of the stress-strain curve
(the initial tangent modulus) to the confining pressure.
The higher the value of K, the larger the initial tangent
modulus of the soil at a confining pressure equal to
one atmosphere; and the larger the value of n, the more
rapidly the modulus increases with increasing confin-
ing pressure.
o The strength parameten c, @0, and Ad, which govern
the way the strength of the soil varies with confining
pressure. For cohesive soils, the pactmeters c and @
are used to relate the strength ofthe soil to the confin-
ing pressure by means of the conventional Mohr-Cou-
lomb strength relationship. For cohesionless soils, @o
and A@ are used. The parameter @o is the value of @
at a confining pressure of one atmosphere, and A{ is
the reduction in friction angle for a tenfold incrcase in
confining pressurc, as described below.
o The parameter R. relates the actual strcngth of the soil
to the asymptotic value of deviator stress, and, to-
gether with the initial tangent modulus value, governs
the shape of the stress-strain curve. The value of RTis
the ratio of the actual strength to rhe asymproric de-
viator stress value.
o The bulk modulus number K6 and the bulk modulus
exponent m, which relate the bulk modulus of the soil
to the confining pressure. The larger the value of K6,
the larger the value of the bulk modulus at a confining
pressure of one atmosphere. The larger the value of
rn, the more rapidly the bulk modulus increases with
increasing confi ning pressure.
Additional details concerning these parameters and the hy-
perbolic stress-strain relationships are given in Duncan et
al.
lo
Typical values of the hyperbolic parameters for various
typesof compacted soils are shown in Table 8-1. These
parameter values were determined from analysis of several
hundred triaxial tests on more than 50 different soils com-
pacted to various densities and water contents. The strength
and stiffness of each of the soils shown in Table 8-l in-
crease with increasing degree of compaction. The quantity
RC in Table 8-l is relative compacrion, or dry density ex-
pressed as a percentage of the maximum dry density as
determined by the Standard AASHTO compaction test.
The parameters @o and Ad listed in Table 8-l are used

Table 8-'1. Soil properties.

Relative RC
Unified density Stand. 'r^ do Adc
classification D. Proctor lbld des deg lb/ft2 K Rl Kh
GW, GP lOOTo t05% 105-150 42 9 06m 0.40 0.7 t75 0.2
sw, sP 75% 100% 100-145 39 7 0 450 0.40 0.7 125 0.2
50% 95Vo 95- l.l0 36 5 0 300 0.40 0.7 75 0.2
25% 90% 90-135 33 1 0 200 0.40 0.7 50 0.2
t0o% I l0-135 368 0 600 0.25 o.7 450 0.0
95% I05-130 346 0 450 0.25 0.7 350 0.0
90% 100-t25 324 0 300 0.25 0.7 250 0.0
85% 95- 120 302 0 150 0.25 0.7 t50 0.0
l0OVo ll5-135 33 0 500 400 0.60 0,7 200 0.5
9s% I l0- 130 33 0 400 200 0.60 0,1 100 0.5
90% 105- I 25 33 0 300 150 0.60 0.7 15 0.5
85% 100- r 20 33 0 200 100 0.60 0.7 50 0.5
CL tN% I l5-135 30 0 400 150 0.45 0.7 t40 0.2
95% I l0-r30 30 0 300 120 0.45 0.7 il0 0.2
9OVo t05- r 35 30 0 200 90 0.45 o.7 80 0.2
85% 100- I 20 30 0 100 60 0.45 0.7 50 0.2
Relativc density: ASTM D 0253-d
=rcductioniodperlO-foldincrcaseinol:c=cohesionintercept;K=mqtulusnumberl'n=moduluserponinr:f,)=6o;iur"orio:trr=bulkmodulusnunrU.r,.=tJit
modulus exponcnt.
 EARTHOUAKE RESPONSE ANALYSIS OF EMBANKMENT
to repnesent the effect ofconfining pressure on the angle of
internal friction of cohesionless materials. Mainly because
of particle crushing, values of { for sands, gravels, and
rockfill materials decrease as confining pressure increases.
This behavior can be represented effectively using the fol-
lowing equation:
: - ad r"c,, (84)
0 do
e)
in which d is the angle of internal friction at confining pres-
sur€ 03 : I atmosPhere, A@ : decrease in @ for a tenfold
increase in confining pressure, and po is atmospheric pres-
sure.
To determine whether the soil is being loaded or un-
loaded, each step is analyzed twice. If the changes in stress
calculated the first time a step is analyzed indicate that an
element is being unloaded or reloaded, thq element is as-
signed a value of unloading-reloading modulus (8.),
rather than 8,, and this value is used the second time the
step is analyzed. The relationship between E, and the
stresses in the element can be expressed as follows:
Eu,: Ku,r"C:)" (8_s)
in which K,, is the unloading-reloading modulus number,
and the other terms are as previously defined. Values of
K,,can be determined using data obtained during unload-
ing in conventional triaxial tests. Values of K,, vary from
1.5 times K for stiff soils to 3.0 times K for soft soils.
As originally developed,l2 a constant value of Poisson's
ratio was used for the soil. Subsequent research and ex-
perience with practical applications have shown that closer
simulation of the soil stress-strain behavior can be achieved
if the value of Poisson's ratio is varied during the analysis.
Duncan et al.ro developed a procedure for evaluating Pois-
son's ratio using the bulk modulus of the soil. The rela-
tionship between the tangent value of Poisson's ratio and
bulk modulus is expressed as follows:
IE,
,,=;_# (8-6)
in which B is the bulk modulus, and the other terms are as
defined previously. The value of B can be related to the
stresses as follows:
B= Kur.C:) (8-7)
in which K6 is the bulk modulus number, m is the bulk
modulus exponent, and the other terms are as defined pre-
DAMS 243
viously. Values of ,(6 and m can be determined from the
results of conventional drained triaxial tests with volume
change measurements.
The values of the hyperbolic parameters listed in Table
8-l can be used to estimate Parameter values for analysis
of pre-earthquake stress conditions in embankment dams.
If goodnuality drained triaxial tests on the embankment
soils are available, it is preferable that they be used to de-
termine the parameter values for analysis, instead of using
the values in Table 8-1. The calculated stresses are deter-
mined largely by equilibrium considerations, however' and
so are not highly sensitive to the values of the stress-strain
paErmeters.
Effects of Stress-Strain Parameters on Values of
Catculated Stresses. Two components of the pre-
earthquake stresses are of principal interest in earthquake
analyses of embankmentsl the vertical effective stress (o-')
and the shear stress on horizontal planes (z,r).
Calculated values of oy vary somewhat with the relative
stiffness between adjacent zones in embankments. For ex-
ample, if the core of a dam is much more compressible than
the adjacent shell, the values of o, near the base of the core
witl be smaller than the values of o., at the same level within
the shell, as a result of the tendency for the stiffer material
to carry more load. The effect is not highly sensitive to the
value of relative stiffness, however, and acceptable accu-
racy can usually be achieved using estimated values of the
stress-strain parameters.
Calculated values of zo. in embankments vary with the
values of Poisson's ratio, or bulk modulus, used in the
analysis. All other things being equal, the higher the values
of K6 and m, the larger the calculated values of r.*. This
occurs because the tendency for lateral spreading in an em-
bankment increases as the values of Poisson's ratio and
bulk modulus increase. As the tendency for lateral spread-
ing increases, the shear stresses on horizontal planes also
increase.
EARTHOUAKE GROUND MOTIONS
A dynamic analysis requires the use of an acceleration time
history, to be applied at the base of the embankment-foun-
dation system. Available empirical and analytical proce-
dures offer the means to estimate the main characteristics
(e.g., pcak acceleration, velocity, frequency content, du-
ration, etc.) as needed to select an appropriate time history,
or, in some cases, a number of time histories. Typically'
such a time history is applicablc in thc free'field, either at
the ground surface prior to construction of the dam or on a
hypotheticat outcrop of the material underlying the em-
bankment-foundation system, which is typically a rock or
rocklike formation. For this purpose, a rocklike formation
is typically defined as a formation having a shear wave ve-
 244 ADVANCEO DAM ENGINEERING FOR OESIGN. CONSTRUCTTON, ANO REHABILITATION

tn
c
.o
o
L
c,
(l,
o
(,

, t8 ?t ?4 ?7 30 33 36 39 4? 45 48 5t 54 57 60
Time - seconds
Figure 8-2. Time history ofapplied base rock accelerarions.

locity in excess of 2500 fps (762 meters/sec). In the larter
case, the ground-surface or the outcrop motion can be read-
ily converted to an interface motion for input into the re-
sponse analysis.13 An example of a time history represent-
ing an interface or an applied base rock acceleration is
shown in Fig. 8-2.
Chapter 5 in this book offers some guidance regarding
this aspect of the problem. In addition, available empirical
procedures for estimating the needed ground motion pa-
rameters in the free-field are included, for example, in pub-
lications by Bolt,r{ Idriss,15.16 Dobry et al.,t7 sadigh et
al.,rE Seed and ldriss,re Hermann and Nuttli,2o Clmp-
bell,2l and Joyner and Fumal.:2
DYNAMIC SOIL PROPERTTES
Properties of soils under dynamic loading conditions are
nonlinear and hysteretic. The quasi-nonlinear (also called
equivalent linear) representation23 of this nonlinear behav-
ior has been most widely used for embankment and foun-
dation soils. In this representation, the shear modulus and
damping ratio of the soil are expressed as a function of
strain. Curves such as those shown in Fig. 8-3 for the vari-
ations of G/G^u* as a function of strain appear to be ap-
plicable to most soils. The value of G_o" is usually ob-
tained from cyclic tests at very low strain levels or from
in-situ shear wave measurements. For most soils, this max-

x lc
lo
c lo
o IL
l8
@)
lr
oilo
olItr
!l
2llx
o Ronge of volues for dolo
ol
-l
3l ,
6

EI :
EI Eo o.
ol
E
=l
-t o
ol
ol o
!l (n
E
arrl

o
to-4 O-3 to-a
Sheor Stroin, I -p€rcenl
Figure 8-3. Variations of shear modulus with strain. From Seed and ltlriss.2l
 EARTHOUAKE RESPONSE ANALYSIS OF EMEANKMENT
imum modulus, in psf, can be approximately expressed by
an equation of the following form:
G.u* : l000li2*.(o.)^ (8-8)
in which /cr** is a coefficient that varies from about 40 to
80 for clean sands and from about 70 to 150 for gravelly
soils, o. is the mean effective pressure in psf and n = I /2
for clean sands and gravelly soils. The mean effective pres-
sure is obtained from the static analyses summarized in an
earlier section of this chapter.
More information regarding the basis for equation (8-8)
and values of&2-". for various cohesionless soils are avail-
able in the references.2a-26
Figure 8-4 shows average values of damping for sands,
clays, and gravelly soils. The references cited above also
include fu rther information regarding dampin g.
Curves such as those shown in Figs. 8-3 and 8-4 are used
in total stress analysis, and the nonlinear stress-strain be-
havior of the soil is accounted for by iteratively adjusting
the modulus and damping values until a reasonable con-
sistency is obtained between the selected parameters and
the computed strain levels throughout the embankment-
foundation system.
In recent years, effective stress analyses and nonlinear
analyses have been proposed. Space limitations preclude
discussing these procedures in this chapter; an excellent
summary of the procedures was included in the document
on "Liquefaction of Soils during Earthquakes," issued by
the National Research Council in 1985.47
RESPONSE ANALYSIS
The response of the embankment-foundation system to the
applied base rock motion is most conveniently obtained by
using a dynamic finite-element procedure. Computer pro-
grams QUAD 4?7 and FLUSH28 have been used for this
purpose. Both programs utilize the equivalent linear pro-
cedure outlined above.
The response of the embankment-foundation system is
calculated in the time domain in QUAD4. Thus, the ma-
terial properties can be adjusted over specified intervals of
the duration of shaking, as appropriate. This allows for
evaluating the influence of progressive failure on the be-
havior of the dam (e.g., the Lower San Fernando Dam, as
discussed in Seed et a[.2e;.
The response ofthe system is calculated in the frequency
domain in the program FLUSH. Accordingly, it is not pos-
sible to conduct progressive failure analyses using this pro-
gram.
In their original formulation, both QUAD4 and FLUSH
use a finite-element mesh supported on a rigid base. Recent
modifications of each program now can incorporate the use
DAMS 245
of a compliant base. The user is encouraged to use a ver-
sion that allows for a compliant base.
CYCLIC STRENGTH CHARACTERISTICS
Cyclic strength characteristics are generally determined by
an appropriate laboratory testing program on either recon-
stituted samples or high-quality undisturbed samplcs, as
appropriate. Testing procedures as well as test interpreta-
tion are discussed in many publications (e.g., Lee and
Seed,ro'll Lee et aI.,32 Finn et al.,ll and the document on
"Liquefaction of Soils during Earthquakes."aT
Soil samples in the laboratory, which are consolidated
under initial stress conditions similar to those of an element
of soil in the field, are subjected to cyclic stress loading
conditions to estimate the potential for pore-pressure
buildup and development of strain (or deformation), to
evaluate the cyclic resistance of the soil.
These strength characteristics may also be estimated
using correlations with standard penetration test (SPT) re-
sults, such as those shown in Fig. 8-5.
Typically, cyclic strength is expressed in terms of the
cyclic shear stress (or cyclic shear stress ratio, i.e., cyclic
shear stress divided by the precyclic effective normal stress
on the plane of failure) required to cause a given level of
strain, or excess pore-water pressure, in a specified number
of loading cycles. Examples of the results of a series of
laboratory cyclic tests are shown in Fig. 8-6. Note that the
results are for samples isotropically (K. : l) as well as
anisotropically (K. ) l) consolidated prior to the appli-
cation of the cyclic load. The results shown in Fig. 8-6 are
for 30 cycles and 5% strain. The parameter cr shown is the
ratio of the shear stress prior to the application of the cyclic
load, on the plane of failure during cyclic loading, divided
by the initial effective normal stress on the same plane.
This ratio was also discussed earlier in this chapter in the
section pertaining to static stresses.
A criterion of 5% axial strain, for example, has fre-
quently been used for evaluations of dams subjected to
earthquakes (e.g., Seed et al.2e). This criterion was estab-
lished on the basis of correlations between the results of
seismic stability evaluations by the procedure described
herein and the performance of earth dams that were sub-
jected to significant earthquake loading. Case histories of
earth dams subjected to earthquake loadings show that if
the strain at any location within the dam and its foundation
is smaller than 5 %, the earthquake had no significant effect
on the stability of the dam. It should not, however, be con-
cluded that the stability or intcgrity of the dam is neces-
sarily impaired if the strain exceeds 5Vo at some lscations
within the dam or its foundation, The effect of strains ex-
ceeding 5% depends on the zone of the dam-foundation
system where they occur, and on the relative extent and
location within a specific zone, as described in greater de-
245 ADVANCEO DAM ENG]NEEBING FOR DESIGN. CONSTRUCTTON, AND REHABILTTATION

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 EARTHOUAKE RESPONSE ANALYSIS OF EMBANKMENT DAMS 247

0.5
tail by Seed et al.lr in thcir evaluation of the Lower San
Fernando Dam as it was affcctcd by thc l97l San Femando
earthquake.

0.q
STABILITY EVALUATION
D Thc seismic stability of the earth dam is evaluated by com-
o paring the calculated equivalent uniform cyclic shear
0'3 stresses induced by the earthquake wirh the cyclic shear
d
F strength characteristics, to determine the potential strains
s in the embankment and foundation. These potential strains
represent the strains that would develop in that part of the
r
d
F embankment or foundation if it were not constrained by
q 0.2
a deformations in the surrounding soil. These strains may.
a
then, be considered as strain potential caused by the eanh-
=
a quake, and can be used to assess the deformation potential
of the embankment and foundation soils. This procedure
CURVES APPLICABLE FOR
may be used to delineate zones of strain potential in the
CONDITIoNS I,/HERE or(
V
embankment-foundation system for aid in the assessment
TOH PER SQ FT of seismic stability.
Generation and dissipation of excess pore-water
pressuresa'3s'36 within the embankment-foundation system
0 r0 20 30 q0 during and following shaking (i.e., post-earthquake) also
l{0DlFlE0 PEHETMTI0N RESISTAHCE, N, blows/ft are used in the stability evaluation,a'37 including the effecrs
of pore-pressure redistribution.
Figure 8-5. Variations of cyclic stress ratio with modified penetration
The post-earthquake stability of the dam may also be
resistance for various magnitude earthquakes. From Seed and ldriss.re
evaluated by using standard slope-stability procedures and
the residual strength of those parts of the dam-foundation
system where high strains or high excess pore-water pres-
sures are induced by the earthquake ground motions.
Ranges of residual strength for cohesionless soils were re-
cently proposed by Seed:7 these ranges may be used as a
t guide for the purpose ofevaluating the post-earthquake sta-
3 bility of the dam.
o;
!r The stability of the dam may also be determined by using
.!a
the undrained steady-state strength of the soils. Evaluation
g.; of the undrained steady-state strength is summarized, for
3B example, by Castro3s and Poulos et al.3e
:.s
A.so
o-
6* EXAMPLE

o As part of a reevaluation program for its existing dams. the

East Bay Municipal Utility District (EBMUD) had several
Ellectivc Normol Slrr33 - lt, of its danrs in northern California evaluared using the dy-
Ft6: namic method of analysis summarized in the preceding
l. o lr.!!.t r. t6. t.tlo o( t[. laltl.t .t.il. ti... pages of this chapter. One of thcse dams was thc Uppcr
ttr..r (. (i. lnlll.l .l(..ilv. @rgl .(...r 6 th.
pt.n. ol ,.llur.,
San Leandro Dam,tn'or the gcncral location of which is
2. Cr<ltG tk.t .lr.t. tn.lvd.t @lt ti. r!9.tt.ts..d
cr.ll< r.r.r. .6P....r' shown in Fig. 8-7.
,. ft. a.t. lo? c. o (1. ' 1.0) l.(oiFr.!.. The dam was initiated in 1924. and the latest modifica-
.ot..c!lon t.ct6? o( 0.61 .rPlt.a to tk r"ui"
.h... rrr.r....
tion, lcading to the cross section shown in Fig. 8-8, was
Figure 8-6. Deformation characteristics of embankment soil under cyclic completed in 1970. The dam was zoned as shown in Fig.
loading conditions. 8-8 and, except tbr thc downstream buttress, was con-
248 ADVANCED DAM EilGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILTTATION

meters) long. At the maximum section, the height of the

Figure 8-7. Location of Upper San lrandro Dam.
structed almost entirely as a hydraulic fill with a clay "pud-
dle" core. At the time of its evaluation in 1972, the res-
ervoir formed by the dam provided about 41,000 acre-feet
(50.6 million m31 of storage at elevarion 460 ft. The crest
ofthe dam is at elevation 476 ft and is about 600 ft (183
dam is about 190 ft (58 meters) and the width of rhe cresr
is about 75 ft (23 meters).
The section shown in Fig. 8-8 was analyzed using the
static and dynamic analysis procedures outlined earlier in
this chapter. Figure 8-9 shows the finire-element mesh used
in the static and dynamic analyses. The time history shown
in Fig. 8-2 was used as input base rock motion to the dam-
foundation system. This motion was selected to represent
an earthquake with a magnitude of about 8.3 originating
some 23 miles (37 km) from the dam site on the San An-
dreas fault.
The soil parameters for the nonlinear static analysis are
summarized in Table 8-2. Calculated values of static o-,,
r..,, and cu along three selected planes in the embankment
are shown in Fig. 8-10.
The soil parameters used in the dynamic analysis are
listed in Table 8-3.
The selection of these material properties was based on
shear wave measurements made in the upstream and down-
stream parts of the embankment. For the core and pans of
the foundation alluvium, data for similar soils were used.
The modulus reduction curve presented in Fig. 8-3 and the
damping curves for sands and for clays shown in Fig. 84
were used in this analysis to obtain strain-compatible shear
moduli and damping values in the embankment-foundation
system.
The results of the response analysis of this dam-foun-
dation system are presented in Figs. 8-ll through 8-14.
The time histories of applied base rock and computed crest
accelerations are shown in Fig. 8-ll. Shear stresses in-
duced by the earthquake ground motions were also ob-
tained for each element shown in Fig. 8-9; typical com-

500
t,
a,
450
I 400
C
.9
o 350
a,
lrl 300
250 200 o 200
Dislonce lrom Cenlerline - {eet
DOWNSTREAM SHELL CORE
Consists of a mixture of siley gravel, Consists mostly of silty cLay and some
clayey gravel, silty sand and clayey clayey sand and gravel layers.
sand.
UPSTREAM SHELL
ALLUVIUM Consists of a mixture of silLy and
Consists mostly of sandy clay, silty clayey gravels and silty and clayey
and clayey sand and gravel. sand, with some clay seams of
considerable lat,eral extent.
Figure 8-8. Typical cross section thmugh Upper San Leandm Dam.
 EARTHOUAKE RESPONSE ANALYSIS OF EMsANKMENT OAMS 249

o
!
c
o
o
lr,

6@ 400 200 0 2@ 400 600

Oi:loacc lrom Ccnlerlhc - fcel
Figure 8-9. Finite-elemenr represenration of embankment dam-foundation system.

Table 8-2. Soil parameters used in nonlinear static analysis.

Values Used in Analysis

Soil parameter Symbol Shell Material Clay core Buttrcss fiil Foundation alluvium
.Y
12l. 130.
Unit weight
(pcf) 54' l2l r
63' 6g'
c
Cohesion
(ts0 0.2 0. l5 0.2 0.2
Friction angle dr* 36" 36" 36"
Modulus number K 200 100 200 200
Modulus exponent n 0.7 0.85 0.? 0.7
Failure ratio Rl 0.7 0.6 0.7 0.7
Bulk modulus Kb 500 500 500 5m
parameters m 0 0 0 0
.Total unit weight.
'Buoyant unit weight.
srFriction angles are efective stts values.

puted time histories of shear stresses induced by the
earthquake ground motions in three elements are shown in
Fig. 8-12. The time history of shear stress was converted
to an equivalent number of uniform shear stress cycles using
a weighting procedure fof stress cycles with different am-
plitudes (e.g., l,ee and Chan;a2 Seed et a1.43;. The results
of this conversion, showing the equivalent uniform cyclic
stresses developed along three horizontal planes within the
embankment, are shown in Fig. 8-13. Note that the time
histories of shear stress were converted to 30 equivalent
uniform cycles. (Also note, however, that because of the
consistency of the weighting procedure, any other number
of cycles could have been selected, resulting in different
amplitudes of equivalent uniform stress corresponding to
different numbers of cycles. In all cases, the amplitude of
the uniform stress and the number of cycles associated with
this amplitude provide the same final conclusion because
they are based on the same relationship bctween deforma-
tion rcsistance and number of stress cycles.)
Figure 8-14 illustrates the evaluation ol strain porential
within the embankment. The upper part of this 6gure shows
a comparison of the values of equivalent uniform shear
stress induced in 30 cycles, 27, during the earthquake and
the stress required to cause 57o strain in the embankment
soils in 30 cycles, zy. As can be noted, the values of r,
exceed the values of zy throughout most of the embank-
ment. In other words, the cyclic strength in the shell ma-
terial along this plane is not sufficient to prevent the de-
velopment of the selected strain potential of 57o. The ratio
r1f tuis also shown in Fig. 8-14. This ratio may be consid-
ered to represent a local factor of safety. For values of this
ratio less than unity, deformations exceeding 5 % strain can
be expected to develop during the earthquake under con-
sideration.
The values ofthis local factor ofsafety are considerably
lower than unity along most of the plane within the up
stream and downstream parts of the embankment below the
phrcatic surfiace. It should be noted that the cyclic strcngth
data are presented only for the parts of the dam below the
phreatic surface. The cyclic strengths of partially saturated
or essentially dry soils in the downstream part of the em-
bankment would be considerably higher, and the ratio of
q/ ra within this part would be targer than unity. It is also
interesting to notc that within the clay core the induced
stresses arc considentbly lower than those required to cause
57o strain of representative test specimens.
With the aid of data such as those shown in Fig. 8-14,
the stability of the embankment and underlying foundation
 25O ADVANCED DAM ENGINEER]NG FOR OESIGN, CONSTRUCTION, AND REHABILITATION

el
olO
-an
Eh -Almg
9,;
Z6
Plone ol EL 324
(!,
(ur u
.26
Ou
oo
90)
ur d6

,;t
U'
o,
eU,
0r)0
I
oF
c,
-c
(n
o.4

--b o.3
alOl
l. o.?
EL EL 370 1_- --4rrro
lt
o \,r
o.t

200 o
X- z'-
200 400 600
500 Distonce From Cenlerline - Feet
o, 450
Lo
I 400
c
.o L_-:. ? -.+.+.i.-. eL-e.--
o 350
o 300
tr
250 200 0 200
Dislonce From Centerline - Feet
Figure 8-10. Computed static shear srresses in Upper San l,eandro Dam.

layer can be assessed for the earthquake under considera- bility and integrity of this dam were likely to be seriously
tion. In the example presented in this chapter, the induced impaired during the postulated earthquake. The owner of
stresses far exceed the cyclic strengths of the soils within the dam immediately lowered the reservoir level and pro-
the embankment below the phreatic surface and in the ceeded with the design and then construction of a new dam
foundation layer. Therefore, it was concluded that the sta- downstream from the existing dam. The new dam was
completed in 1977.
Had the results indicated that the local factor of safety
was higher than unity in a significant portion of the em-
Table 8-3. Soil parameters used in dynamic bankment and foundation layer, it would have been appro-
analysis. priate to conclude from the analysis that the integrity and
Total unit Poisson's stability of the dam would not be seriously impaired during
Material weight, pcf ratio Modulus pararnetcr the postutated earthquake. In many cases, certain parts of
Shell 125 0.30 t;,,*. = 130 the dam may show local factors of safety somewhat lower
Core 125 0.40 G,,. = 3450 ksf than unity, while in the majority of the embankment this
Buttress fill 125 0.40 6',, = 4600 ksf factor of safety would be greater than unity. For these
Foundation 130 0.30 /l:,,.. = 120
cases, further detailed work, taking into account the distri-
alluvium
bution of strain potentials, would be required.
 EARTHOUAKE RESPONSE ANALYSIS OF EMBANKMENT DAMS 251

o.6
Cornputcd Cterl Acttlcrottst:
o.
C'
I o.2
.E
o o
g
o
(, -o.2
(,
-o.4

-o.
3? 40
f rme -seconds

o.
Apglied 8o:c Rocl Acccletotion!
O.4
CI
I
G
o.?
.9
o o
g
au
(, -o.2
(J

-O.4

-o.6
o 816243?404856
Time -secdndr
Figure 8- I I . Time histories of applied base rock and computed crest accelerations.

CONCLUDING REMARKS 7. Overtopping of dam due to seiches in reservoir.

8. Overtopping of dam due to slides or rockfalls into
Some two decades ago, Sherardaa listed the following as reservoir.
possible ways in which an earthquake may cause failure of 9. Failure of spillway or outlet works.
an earth dam:
Considering these possible ways in which an earthquake
may cause failure of an earth dam. Seed,a in his Rankine
l. Disruption of dam by major fault movement in foun-
lecture, offered the following as possible defensive meas-
dation.
ures:
2. Loss of freeboard due to differential tectonic ground
movements.
3. Slope failures induced by ground motions. l. Allow ample freeboard to allow for settlcment.
4. Loss of freeboard due to slope failures or soil com- slumping, or fault movements.
paction. 2. Use wide transition zones of material not vulnerable
5. Sliding of dam on weak foundation materials. to cracking.
6. Piping failure through cracks induced by ground mo- 3. Use chimney drains near the central portion of the
tions. enrbankment.
252 ADVANCED DAM ENGINEERTNG FOR DESIGN. CONSTRUCTION, AND REHAEILITATION

SOOr

64501
0l
io-[
CI
.9 1

E :ooJ-
st
L,'mFI

,50L o 1@ 200 300 qoo soo soo

Clislonce lrom Ccnlerlinc - ,cet

6
4 Sheor Strers ot Pornt A

2 il
o l,lllllhlt[,t, l\t.1, r,1' ,,,. . .,.
-2
h^,1,4fi,{ ,tt Trwrr,ryr1,IrsT-r
'filil,l
-4
€
6
Shcor Stress ol Poinl I
4
i
t 2
,aI
o
UI

o
O
I
UI

Shcor Slress d Point C

8t62432404856€/
Timc - ceconds

Figure 8-12. Typical computed time histories of shear stresscs.

4. Provide ample drainage zones to allow for possible 9. Locate the core to minimize the degree of saruration
flow of water through cracks. of materials.
5. Use wide core zones of plastic materials not vulner- 10. Stabilize slopes around the rcservoir rim to prevent
able to cracking. slides into the reservoir.
6. Use a well-graded filter zone upstream of the core ll. Provide special details if there is danger of fault
to serve as a crack-stopper. movement in the foundation.
7. Provide crest details that will prevent erosion in the
event of overtopping. The analytical procedures (including appropriate use of
8. Flare the embankment core at abutment contacts. the pseudostatic method of analysis when applicable) out-
 F
6o
fL,
ig
it
E5
to
N.C}r3 PI.A}TE AT E1.324

--o
E>
s 81.370
B(,
=o
Co
3.
5: tooo "l
.- gt . 410

9e
.2o
2-r
lrJ o
o
2ooo2@
0ittonca |rom Crnl!rlina - trrt
5OOr

aoL45ol-
IcLooo[-
€ rsol-'
3l3OOf
r.r
250L 400 200
Dislonca l?om Cant!rlina - lc3l
Figurc 8-13. Typical variation of equivalent uniform shear stresses in embankment.

PTANE AT EL.37O

a
o
I
a
a 2000
gl
o SIRESS REQUIRED 10 CAI.'SE
3o 5t STRAIN IN.3O CYCI,,ES
att t@o

o
2.O
-t t.
r9
t.
.E
rt o.5
o
Di3lonca lrom Crnhrlina - t..l
!OOr
a .3of-
a
a 400f-
C
o
o
""F
a
lr, .-F
25& 2o0 400
Dirtoacr lrom Cratrrlinc - l.at
Figure 8-14. Analysis of strain potential along a typical horizontal plane.

253
 254 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, ANO REHAEILTTATION
lined in rhis chapter rogerher with the above considerations
provide a guide to assessing the probable performance of
earth dams under eanhquake loading conditions.
REFERENCES
l. Newmark. N. M., "Effects ofEanhquakes on Dams and Embank-
ments," Giotechaique. Vol.5, No. 2, June 1965.
2. Goodman. R. E.. and Seed. H. 8., "Eanhquake-lnduced Displace-
ments in Sand Embankments," Journal ol the Soil Mechanics antl
Foundarion Engineering Division.,{SCtr, Vol. 92, No. SM2. pp.
125-t46. t966.
3. Ir{akdisi. F., and Seed, H. B., "simplified Procedure for Estimating
Dam and Embankment Eanhquake-lnduced Deformations," Journal
of the Geotechincol Engineering Division,.4Str. Vot. 104, No. GT7,
pp.8.19-867. 1978.
4. Seed. H. B.. "Considerations in the Earthquake-Resistant Design of
Earth and Rockfill Dams," Ctotechnique, Vol. 29, No. 3, Sept.
1979.
5. H. B.. "A Method for Eanhquake-Resistant Design of Earth
Seed.
Dams." Journal of the Soil Llechanics and Foundation Dit'ision.
XSCE, Vol. 92, No. SMl. Proc. Paper4616. pp. l3-4t. Jan. 1966.
6. Seed. H. B.. Lee, K. L., and ldriss, I. M., "Analysis of Sheffield
Dam Failure." Journal of the Soi! Mechanics and Foundation Di-
vision,ASCE, Vol.95. No. 51116. Proc. paper6909, pp. 1453-1490,
Nov. 1969.
7. Seed, H. B.. "Design Problems in Soil Liquefaction," Journal of
the Geotechnical Engineering Division, ASCE, Vol. t t3, No. 8, pp.
827-845, Aug. 1987.
8. Clough. R. W., and Woodwand. R. J.. "Analysis of Embankment
Stresses and Deformations," Journal of the Soit Mechanics and
Foundations Didsion.,{SCE, Yol. 93, No. SM4, pp. 529-549. July
1967.
9. Kulhawy. F. H., Duncan, J. !vt., and Seed, H. 8.. ..Finite Element
Analyses of Stresses and Movements in Embankments During Con-
struction," Ceotechnical Engineering Repo( No. TE 69Ol to U.S.
Army Engineers Waterways Experiment Station. University of Cal-
ifomia, Berkeley. Nov. 1969.
10. Duncan. J. ivl.. Byme. P., Wong. K. S., and Mabry, p.,..Strength,
Stress-Strain and Bulk Modulus Parameters for Finite Element Anal-
ysis of Stresses and Movements in Soil Masses." Geotechnical En-
gineering Report No. UCB/GT/80-01, University of Califomia,
Berkeley. Aug. 1980,77 pp.
ll. Duncan. J. M.. Seed. R.8.. Wong. K. S.. and Ozawa, y..
"FEADAlt8.l: A Computer Program for Finite Element Analyses
of Dams," Georechical Engineering Report, Depanmenr of Civil
Engineering. Viqginia Polytechnic Institute and State University. Feb.
1985.79 pp.
12. Duncan. J. M.. and Chang, C.-Y., ..Nonlinear Analysis of Stress
and Strain in Soils," Journal ofthe Soil Mechanics antl Foundation
Division.,{5C8. Vol. 96. No. SM5, proc. paper 7513. pp. 1629-
1653. Sepr. 1970.
13. Schnabcl. P. 8.. Lysmer. J.. and Seed, H. B., ..SHAKE-A Com-
puter Program for Eanhquake Response Analysis of Horizontally
Layered Sites." Repon No. EERC ?2-12, Earrhquake Engineering
Research Cenrer, Univenity of Califomia, Berkeley. CA, Dcc. 1972.
14. Bolt. B. A.. "Durarion of Srrong Crsund Motion," proeeedings,
5th World Conference on Eanhquake Engineering. Rsme. 1973.
15. Idriss. l. M.. "Characteristics of Earthquake Ground Morions..'
Proceedings, ASCE Specialty Confercnce on Eanhquake Enginecr-
ing and Soil Dynamics, Pasadena, CA. Vol. IIt, pp. l15l-t265.
I 978.
16. Idriss, t. M., "Evaluaring Seismic Risk in Engineering pncricc."
Proceedings, XI Intemational Conference on Soil Mechanics and
Foundation Engincering. San Francisco, CA. Vol. l. pp. 255-320.
Aug. 1985.
17. Dobry, R.. ldriss, I. M.. and Ng. E.. '.Duration Characterisrics of
Horizontal Comgrnents of Strong-Motion Eanhquake Rcconls...
Bulletin of the Seismologica! Socierv of America, Vol. 68, No. 5.
Oct. 1978.
18. Sadigh. K.. Power, M. S., and Youngs. R. R.,..pcak Horizontal
and Venical Accelentions, Velocities. and Displaccmcnts on Deep
Soil Sites During Moderrrely Strong Eanhquakes." proceedings,
Second International Earthquake Nticrozonation Conference, Vol. II.
pp. 801-81 I, 1978.
19. Seed. H. 8.. and ldriss, I. M., "Cround Motions and Soil Lique-
faction During Earthquakes," lvlonograph Serics No.5. Earthquake
Engineering Research Insritute, Berkeley, CA. Dec. 19E2.
20. Hermann. R.. and Nuttli. O.. "scaling and Attenuation Relarion for
Strong Gmund Motion in Eastern North America." Eighth World
Conference on Eanhquakes Engineering, No. II. p. 305. 1984.
21. Campbell. K. W.. "strong Motion Attenuation Relations: A Ten-
Year Perspective." Eanhquake Spectra, Vol. l. pp. ?59-80.1, lgg5.
22. Joyner, W. B., and Fumal, T. E., "Predicted Mapping of Earth-
quake Cround Motion," in Ziony. J. I. (ed.), ..Evaluating Earrh-
quake Hazards in the Los Angeles Region-An Eanh Science per-
spective," U.S. Geological Survey Professional Paper 1360, pp. 203-
220.1985.
23. Seed, H. B., and ldriss, l. M.. "Rock Motion Accelerograms for
High Magnitude Earthquakes." Eanhquake Engineering Research
Center, Repon No. EERC 69-7. Univenity of Califomia, Berkeley,
Apr. 1969.
24. Seed. H. B., and ldriss. I. M.. "Soil Moduli and Damping Factors
for Dynamic Response Analyses," Eanhquake Engineering Re-
search Center, Repon No. EERC 70-10, University of Califomia,
Berkeley. 1970.
25. Hardin, B. O., and Dmevich. V. P., "Shear Modulus and Damping
in Soils: Design Equations and Curves," Jountal of the Soi! Me-
chanics ond Foundation Diyisiorr. zl.lCE. Vol. 98, No. SM7, proc.
Paper 90O6, pp. 667-692. July 1972.
26. Seed.H. B., Wong. R. T.. Idriss, I. M., and Tokimatsu. K., ..Mod-
uli and Damping Factors for Dynamic Analyses of Cohesionless
Soils." Earthquake Engineering Research Center. Report No. UCB/
EERC-8.l/14, University of California, Berkeley. Sept. l9B.t.
27. Idriss, l. M., Lysmer, J., Hwang. R., and Seed. H. B.. ..eUAD4,
A Computer Program for Evaluating the Seismic Response of Soils
Structures by Variable Damping Finite Elements," Earthquake En-
gineering Research Center, Report No. EERC 73-16. University of
California. Berkeley. June 1973.
28. Lysmer. J., Udaka, T., Tsai. C.-F.. and Seed. H. 8.. ..FLUSH-A
Computer Program for Approximate 3-D Analysis of Soil-Structure
Internction Problems." Report No. EERC 75-30, University of Cal-
ifornia, Berkeley. Nov. 1975.
29. Seed, H. B., Lee, K. L., ldriss, I. M.. and Makdisi. F. I.. ..Analysis
of the Slides in the San Femando Dams During the Eanhquake of
February 9. 1971," Report No. EERC 73-2, Earthquake Engineer-
ing Research Cenrer. University of Califomia, Berkeley. 1973.
30. Lee. K. L., and Seed. H. 8.. "Cyclic Srress Conditioos Causing
Liquefaction of Sand," Jounrul of the Soit lvlechanics and Founcla-
tion Division,.4SCE. Vol. 93. No. SMl. proc. paper 505E. pp. 47-
70. Jan. 1967.
31. Lee, K. L.. and Sced. H. 8.. "Dynanric Strengrh of Anisorropically
Consolidated Sand." Jolrnal of the Soil Mechanies aru! Fountlution
Dit'ision,,4SCE, Vol. 93, No. SMS, Proc. paper545l. pp. 169-190,
Scpr.1967.
32. Lce, K. L.. Seed. H. 8.. tdriss, l. M.. and Mrkdisi, R. I., ..prop-
crties of Soil in the San Fcrnando Hydraulie Fill Dams," Journal of
the Geotechnicul Engineering Dit,ision, ztSCt. Vot.. l0l. No. GT8,
Proc. Paper I 1527. pp. 801-811. Aug. 1975.
 EARTHOUAKE RESPONSE ANALYSIS OF EMBANKMENT
33. Finn. W. D. L., Lee. K. W.. Maanman. C. H. and Lo, R.. "Cyclic
Porc Pressurcs under AnisotroPic Conditions," Proceedings, ASCE
Ccotechnical Engineering Division Specialty Confercnce on Earrh-
quake Engineering and Soil Dynamics, Pasadena. CA. June l9-21'
1978.
34. Seed, H.8.,Idriss. [. M., Lee, K. L., and Makdisi, F.. "Dynamic
Analysisof the Slide in the Lower San Femando Dam during the
Eanhquake of February 9. 1971," Joumal of Geotechnical Engi'
neering Division, ASCE, Vol. l0l, No. GT9, Proc. Paper I l5'll'
pp. 889-911, Sept. 1975.
35. Booker, J. R., Rahman, M. S., and Seed, H. B.' "GADFLEA: A
Computer Program for the Analysis of Pore Pressure Generation and
Dissipation During Cyctic or Earthquake Loading." Repon No'
EERC 76-24, Eanhquake Engineering Research Center. University
of Califomia. Berkeley, Oct. 1976.
36. Sadigh, K., Idriss, I. M., and Youngs, R. R., "Drainage Effects on
Seismic Stability of Rockfill Dams," Proceedings, ASCE Geotech-
nical Engineering Division Specialty Conference on Earthquake En-
gineering and Soit Dynamics, Pasadena, CA, pp. 802-818' June l9-
21, 1978.
37. Idriss. I. M., Cluff, L. S., Tocher, D., Makdisi,.F., and Knuefper,
P. L.. "Geologic, Seismologic and Geotechnical Considerations Re-
lated to Performance of Dams during Earthquakes," Proceedings,
l3th International Congress on Large Dams, New Delhi' India, Nov.
1979.
38. Castm, G., "Liquefaction and Cyclic Mobility of Saturated Sands"'
Journat of the Geotechnical Engineering Division, ASCE. Vol. l0l '
No. GT6. pp.55l-569, 1975.
39. Poulos. S. J., Castro, G., and France, J. W., "Liquefaction Eval-
DAMS 255
uation Procedurc." Jouraol of thc Gcotcchnical Engineering Divi'
sion. ASCE. Vol. I t I, No. 6. Junc 1985.
40. Woodwanl-Lundgrcn & Associatcs. "Evaluation of thc Scismic Sta-
biliry of the Upper San Leandm Dam, Alamcda County. Calitbr-
nia." Repon prcparcd for Eal Bay Municipal Utility District. 1972.
41. Gordon, B. 8., Dayton. D. J.. and Sadigh. K.. "Scismic Stabitity
of Upper San Leandro Dam." Joumal of the Geotechnical Engi'
neering Ditision. ASCE, Vol. 100. No. GT5, Proc. Papcr 10553.
pp. 523-5.15. MaY 197;t.
42. Lee. K. L.. and Chan. K., "Numbcr of Equivalent Significant C)'clcs
in Strong Motion Eanhquakes," Proceedings. International Confer-
ence on Microzonation. Seattle. WA. Vol. ll. pp. 6O9-627. Oct.
1972.
43. Seed. H. B.. Duncan, J. M.. and ldriss. I. M.. "Criteria and lv{eth-
ods for Static and Dynamic Analysis of Earth Dams." in Naylor. D.
J., Sragg, K., and Zienkiewicz. O.C.' eds., Criteria arul Assunrp'
tionsfor Numerica! Anall'sis of Dams, Swansea: University College,
1975, pp.56r-588.
44. Sherard, J. L.. "Eanhquake Considerations in Eanh Dam Design."
Journal of the Soil Mechanics and l:oundations Divrsion' rlSCE. Vol.
93, No. SM.t. pp. 377-.101. July 1967.
45. Tezaghi, K., Mechanisms of ktn<lslides, The Geological Survey of
America. Engineering Geology (Berkey) Volume' 1950.
46. Seed, H. 8., "Eanhquake-Resistant Design of Eanh Dams"' Pro-
ceedings, International Conference on Recent Advances in Geo-
technical Eanhquake Engineering and Soil Dynamics. University of
tvlissouri-Rolla. Vol. 3, pp. ll57-l 175, 1981.
47. Committee on Eanhquake Engineering. Iiquefacrion ofSoils during
Eanhquakes, National Research Council. Repon No. CETS-EE-O01.
National Academy Press, 1985.