Embankment Dams - Investigations - Final

ASSOCIATED CONSULTING ENGINEERS, ACE (PVT), LTD.
A Workshop on
Embankment Dams
INVESTIGATIONS
Dr. Habib-ur-Rehman
Chief Engineer (Geotechnical)
Dams and Hydropower (D&HP) Section
1 September 2023
Embankment Dams - INVESTIGATIONS
Outline
Embankment Dams
Complete Process – Inception to Completion
Investigations?
Steps and Sequence
Field Investigations
Geological Mapping, Geophysical Investigations,
Geotechnical Boreholes, In-situ Testing, Undisturbed Sampling
Laboratory Investigations
Index, Strength, Stiffness, Durability
EMBANKMENT DAMS
Typical cross-sections
? ? ?
?
EMBANKMENT DAMS
?
EMBANKMENT DAMS
?
?
?
EMBANKMENT DAMS
EMBANKMENT DAMS
Complete Process – 3 essential steps
Investigations
Analysis and Design
Construction
EMBANKMENT DAMS
Investigations?
Objectives?
Medical Investigations?
Global – Most Economical Option / Optimal Economical Option

Specific – Subsurface Conditions, Type and Nature of Strata,
Volume and Nature of the borrowed material, etc…..
EMBANKMENT DAMS – THE INVESTIGATION
CHALLENGE - OBJECTIVES
Retain surface water
Limit water losses and pore-pressures
Highly complex, non-homogeneous, anisotropic, …. Natural Strata

Ideal Natural Materials are not always available at the site
Stable during
Construction, Operation (Long-term), and Rapid Draw Down
conditions
Both Static and Seismic regimes
EMBANKMENT DAMS – ANALYSIS AND DESIGN
REQUIREMENTS
CONSTRUCTION
Construction Stages/Settlement Analysis (Layers, EoC)
OPERATION
Slope Stability & Seepage Analysis – Dam-Foundation & Dam-Abutment
Interfaces
First Impounding
Steady State Seepage (long-term)
Rapid Drawdown
Dynamic / Seismic
EMBANKMENT DAMS
Investigations
Objectives?
Stage?
Pre-feasibility
Feasibility
Detailed design
Construction
Operation & Maintenance (O&M)
EMBANKMENT DAMS
Two Main Components
Main Embankment
Abutments/Foundations/Rim/Reservoir bed
Door Intact and Wall Broken!

INVESTIGATIONS
Two Main Components
Natural Subsurface Strata

Materials for Construction - Borrowed
FOUNDATION PLANNING
DAM PLANNING AND DESIGN
& DESIGN SYSTEM
SYSTEM
DESK STUDY STRUCTURAL INFORMATION ENVIRONMENT
Geological Loading Conditions Adjacent Structures
Hydrological Types of Structures Basement
Topography… Dimensions…… Weather Conditions
SOCIAL, LOCAL
RECONAISSANCE SURVEY CONDITIONS
PRELIMINARY INVESTIGATION
BUILDING CODE
SOIL BORING
SAMPLING
DECISION
FIELD TESTING MAKING
LABORATORY TESTING FOUNDATION

DAM
ANALYSIS AND
ANALYSIS &
DESIGN
SUBSURFACE CONDITIONS DESIGN
ECONOMIC FACTORS
Total Cost
Interest Charge
Dimensions……
Time Constraints
Availability of Material, Labour, and Equipment
Maintenance Cost
INVESTIGATIONS – SEQUENCE
Desk Study
Site Reconnaissance
IMPORTA
Field Investigations NCE
 Preliminary
 Detailed
Analysis and Report Preparation

RELATION OF GEOTECHNICS WITH OTHER
ALLIED DISCIPLINES
DESK STUDY
DESK STUDY
Geological Maps
Hydrological Maps
Topographical Maps
Soil Maps
Seismic Risk Maps
Remote Sensing
Aerial Photography
Existing Reports / Studies
Any other relevant information…………….
INVESTIGATIONS – REMOTE SENSING

Everything on Earth above absolute zero temperature (-273oC) radiates
Electromagnetic Energy
Each object has a Characteristic Peculiar Radiation of its own
INVESTIGATIONS – REMOTE SENSING

INVESTIGATIONS – REMOTE SENSING – SPOT2

INVESTIGATIONS – REMOTE SENSING - LANDSAT
TM
INVESTIGATIONS – GEOLOGICAL MAPS

INVESTIGATIONS – GEOLOGICAL MODELS

SITE RECONNAISSANCE
INVESTIGATIONS – RECONNAISSANCE – FIELD
OBSERVATIONS
OBSERVATIONS
OBSERVATIONS
Equipment Required
Sieve Nos. 4, 40, 200

Geological Hammer
Steel Knife
Hand Held Magnifying Glass
Dilute Hydrochloric Acid (5%)
OBSERVATIONS
Rock Structure
Massive
Discontinuous
Discontinuities
Type
Nature
Orientation
Frequency
Discontinuities
Bedding Planes
Bedding Planes
Bedding Planes (Folded)
Slaty Cleavage
Discontinuities
Lithological Separations
DIP
Lithological Separations
Strike ?
Excavations / Pits or Trenches
PHYSICAL INVESTIGATIONS
PHYSICAL INVESTIGATIONS
Two Components
Field Investigations
FIELD INVESTIGATIONS
Three Essential Steps & Sequence
Geological Mapping
Geophysical Surveys
Disturbed/Undisturbed Sampling/In-situ Testing
GEOLOGICAL MAPPING
Geological Mapping
Dam Site (1:500 to 1:1000)

Reservoir/Rim (1:2000 to 1:5000)
Type of Soils/Rocks/Formations
Scanline Surveys
Nature of Soils/Rocks (Geotechnical Mapping)

Geological Mapping
Nature of Soils/Rocks (Geotechnical Mapping)
intact ‘layered’ intact highly fractured

SORRA DAM
Figure 1: Geological cross-section at the proposed Dam location

SORRA DAM
SORRA DAM
WEAK LIMESTONE
HARD LIMESTONE
Figure 3d: DEEP EROSION OF WEAK ERODIBLE LIMESTONE WITHIN HARD LIMESTONE
SORRA DAM
CAVITY
LIMESTONE
Figure 3e: A LARGE CAVITY IN LIMESTONE IN THE VICINITY OF PROJECT AREA

SORRA DAM
SORRA DAM
Figure 4a: ERT Cross-section at the proposed Dam location

SORRA DAM
Figure 4b: ERT Cross-section at the proposed Dam location

SORRA DAM
Weak Strata/Water Flow

Paths?
Figure 1: Geological cross-section at the proposed Dam location

Mudrocks
Claystone
Siltstone
Mudrocks: Soil-like or Rock-
Mudstone
like?
Shale
Geotechnical Strata Mapping

Geophysical Surveys
GEOTECHNICAL STRATA MAPPING

ENGINEERING CLASSIFICATION
SYSTEMS
Prime input parameters
TYPICAL VIEW OF INTACT MURREE FORMATION
Stage 2: Erosion of Shale / Clay
HIGH RATES OF EROSION OF SHALE / CLAY AS OBSERVED IN

SURFACE FLOWING RAINWATER IN MURREE
Stage 3: Sandstone Boulders Stage 4: Mature Boulder Clay
TYPICAL VIEWS OF DIFFERENT WEATHERING STAGES OF MURREE FORMATION

Weathering Extent
Geotechnical Strata Mapping Inclusions/Intrusions
Orientation of Schistose Planes?
Quartz Mica Schist

with vegetation cover
Quartz Mica Schist

GEOPHYSICAL SURVEY
Geophysical Survey
General Techniques
 Electrical
 Seismic
 Sonic
 Magnetic
 Radar
 Gravity
Geophysical Survey
Electrical Resistivity Tomography (ERT)

Multichannel Analysis of Surface Waves (MASW)
Cross-hole, Downhole Seismic
Which one?
Specifications?
Electrical Resistivity Surveys

ELECTRICAL RESISTIVITY SURVEYS
Gradient
ELECTRICAL RESISTIVITY SURVEYS
2-D ERT MODELS
2-D ERT MODELS
2-D ERT MODELS
2D ERT
Subsurface Strata Mapping of Hills
Highly Weathered Diorite Slightly Weathered Diorite
All Intermediate Zones: Moderately Weathered Diorite

2D ERT
2D Cavities Mapping
Cavity Zone
Clay / Marl / Clay Filled Cavitated Zone Moderately to Highly Weathered Limestone
Moderately Shattered Limestone Highly Shattered Limestone

Moderately Weathered Limestone (Massive Bodies)
Extremely Shattered / Cavitated Zone (Isolated Bodies)
3-D ERT MODELS
3D ERT
3 D CAVITIES MAPPING IN HOFUF
Channel Cavity Zone

Headrace pipe
Seismic refraction
test
Borehole
Weir
Proposed Geotechnical and Geophysical Investigations plan at WEIR & HEADRACE PIPE
Headrace tunnel
ERT Lines
Borehole
Proposed Geologic, Geotechnical and Geophysical Investigations plan along HEADRACE TUNNEL
Surge shaft
Penstock Borehole
Proposed Geologic, Geotechnical & Geophysical Investigations plan at SURGE SHAFT & PENSTOCK
Powerhouse
ERT Lines
Borehole
Proposed Geologic, Geotechnical and Geophysical Investigations plan at POWERHOUSE

POWER HOUSE
PENSTOCK
TUNNEL EXIT / SURGE SHAFT
TUNNEL INLET
TUNNEL INLET
ERTs ALONG THE TUNNEL ALIGNMENT
Proposed Tunnel Alignment

PROPOSED BOREHOLE AT POWERHOUSE
ERT APPLICATIONS
ERT APPLICATIONS
Seismic Surveys
Geophysical Survey
Seismic based techniques
Refraction
Reflection
Cross-Hole
Down-Hole
oscilloscope
Seismic Refraction
ASTM D 5777
Note: Vp1 < Vp2
Determine depth t1
to rock layer, zR t2
Vertical Geophones
t3
Source
(Plate) t4
x1
x2
x3
Soil: Vp1
zR x4
Rock: Vp2
Oscilloscope
Crosshole Testing
ASTM D 4428
Pump
t
Shear Wave Velocity:
Vs = x/t
Downhole
Hammer
(Source) Velocity
Test Transducer
Depth (Geophone
Receiver)
packer
x
Slope Slope
Note: Verticality of casing
Inclinometer Inclinometer
must be established by
slope inclinometers to correct
distances x with depth.
PVC-cased PVC-cased
Borehole Borehole
Oscilloscope
Downhole Testing
Pump
Horizontal Plank
with normal load
x
t Hammer
z1
z2 packer
Horizontal
Test
Depth Velocity
Interval Transducers
(Geophone
Receivers)
R12 = z12 + x2
Shear Wave Velocity:
R22 = z22 + x2
Vs = R/t Cased
Borehole
Geophysical investigations - APPLICATIONS
GEOPHYSICAL INVESTIGATIONS -
APPLICATIONS
GEOPHYSICAL INVESTIGATIONS -
APPLICATIONS
SRS APPLICATIONS
APPLICATIONS
SEISMIC REFRACTION SURVEY
SEISMIC REFRACTION SURVEY
2D Seismic Surveys (MASW)

Multi channel analysis of surface waves (MASW)
MULTI CHANNEL ANALYSIS OF SURFACE WAVES (MASW)
MULTI CHANNEL ANALYSIS OF SURFACE WAVES (MASW)
DRILLING, IN-SITU TESTING AND

SAMPLING BOREHOLES
Boring, Sampling, and In-situ Testing
Disturbed Samples?
Undisturbed Samples? (Degree of Disturbance)
In-situ Tests (SPT, CPT, PMT, Permeability)
Permeability (Rising Head, Falling Head, Lugeon, ……..)
In-situ Tests (SPT, CPT, PMT, Permeability)
SPT Correlations
cu = undrained strength
DR = relative density
gT = unit weight
gT = unit weight
IR = rigidity index
LI = liquefaction index
f' = friction angle f' = friction angle
OCR = overconsolidation c' = cohesion intercept
K0 = lateral stress state eo = void ratio
eo = void ratio qa = bearing capacity
Vs = shear wave
p' = preconsolidation
E' = Young's modulus
SAND Vs = shear wave
Cc = compression index
E' = Young's modulus
qb = pile end bearing
fs = pile skin friction N  = dilatancy angle
qb = pile end bearing
k = permeability
CLAY fs = pile skin friction
qa = bearing stress
CPT Driving Mechanisms / Aids
Cone Trucks
Mobile 25-tonne rigs with

enclosed cabins to allow
testing under all weather
conditions
Electrical Cone Penetration Tests (CPT)
FIELD PERMEABILITY (OPEN END TEST)
OVERALL PERMEABILITY OF THE STRATA
k = Q/(5.5rH)
FIELD PERMEABILITY (PACKER TEST)
SPECIFIC LOCATION/SECTION
k = Q/(2pLH) loge (L/r) L/r>10

k = Q/(2pLH) sinh-1(L/2r) L/r>1
Water
Aquifer vs Aquiclude?
Water
Aquifer vs Aquiclude?
SAMPLING
Types of Samples
Undisturbed (representative)
 Def.: Structure, Pore Fluids, and Fabric is retained (Best Possible)
 Use: Strength, Compressibility, and Permeability
Undisturbed (non-representative)
 Def.: Structure and Fabric is Retained
 Use: Strength, Compressibility, Permeability ???
Disturbed (representative)
 Def. : Wash Sample, Mineralogy is retained
 Use: Classification Tests, Other Tests may be carried on
remolded/reconstituted sample
Disturbed (non-representative)
 No use ??
SAMPLING
Types of Strata
CLAY/SILT
 Soft
 Stiff
 Hard
SILT/SAND
ROCKS
 Intact
 Weathered
SAMPLING Thin walled Open Tube SAMPLERS
Types of Strata
CLAY/SILT
 Stiff
Types of Strata
CLAY/SILT
 Stiff
Types of Strata
CLAY/SILT
 Soft
Types of Strata
CLAY/SILT
 Soft
SAMPLING Rotary SAMPLERS - Denison
Types of Strata
CLAY/SILT
 Hard
SAMPLING Rotary/Push SAMPLERS - Pitcher
Types of Strata
CLAY/SILT
 Stiff/Hard
SAMPLING Rotary/Push SAMPLERS - Pitcher
Types of Strata
CLAY/SILT
 Stiff/Hard
SAMPLING Rotary/Push SAMPLERS - Bishop
Types of Strata
SAND/SILT
SAMPLING Rotary/Push SAMPLERS - Bishop
Types of Strata
SAND/SILT
ROCK SAMPLING
TEST PITS, BOREHOLES, AND SAMPLING

BORROWED MATERIAL
DISTURBED-REPRESENTATIVE SAMPLING
INVESTIGATIONS – BORROW AREAS

INVESTIGATIONS – BORROW AREAS

SAMPLING QUALITY
Consolidation Test
LABORATORY INVESTIGATIONS
TESTS SPECIFICATIONS
Moisture Content
Grain Size Analysis
Atterberg Limits
Triaxial (UU, CU, CD)
Consolidation
Swell/Swell Pressure
Durability
Partially Saturated Soil Properties (Suction, …..)
Dynamic Properties (Resonant Column/Cyclic Triaxial)
Laboratory Testing – Planning
Moisture Content
Gypsum (<60oC)
Clay (No change in mass for at least couple of hours)
TESTS’ SPECIFICATIONS
Grain Size Analysis

Natural Form (clods?)
Wet vs Dry Sieve analysis
Hydrometer?
Clay sized particles vs Clay minerals
Atterberg Limits
Liquid Limit
Plastic Limit
Shrinkage Limit
Oven temperature, etc.

Triaxial/Direct Shear
Confining Pressure?
Pore Pressure at Shearing ?
Rate of Shearing?
Residual Shear strength
Analysis & Design of Embankment Dams - Modelling and Simulations in GEOSTUDIO®
U
U
C
U
C
D
cu
cu f
u
C′ f′
Consolidation
Maximum Load/Stress?
Sequence of Loading?
Unloading?
CONSTITUTIVE MODELLING OC CLAYS/VERY

DENSE SAND
What ?
Mohr-Coulomb Law - Elastic-Perfectly Plastic
REAL BEHAVIOR
NC CLAYS/LOOSE
SAND
CONSTITUTIVE MODELLING
Why ?
Soil Specific Behaviour
CONSTITUTIVE MODELLING - COMPARISON
CONSTITUTIVE MODELLING – CAM CLAY
PARAMETERS
CONSTITUTIVE MODELLING - CAM CLAY
PARAMETERS
E or G
CONSTITUTIVE MODELLING - CAM CLAY
PARAMETERS
DURABILITY (Long-term Behavior)
Exfoliation, hydration, slaking, solution, oxidation & abrasion all lower rock quality.
Measured by Franklin and Chandra’s (1972) “slake durability test”.
TESTS on DAM or Borrowed Material
1. Unconsolidated Undrained
2. Consolidated Undrained
3. Consolidated Drained
4. Dynamic Properties
5. Unsaturated/Saturated Permeability
6. Unsaturated Strength
PROCTOR/MIN-MAX DENSITY
Mixture of different Soil types - Structure
Fine-grained Matrix Coarse particles floating Coarse particles on contacts Coarse particles clothed
in fine-grained matrix in fine-grained matrix with fine-grained matrix
Compaction and Soil Fabric
Flocculated
• Fabric – orientation and
Dispersed
arrangement of particles
(clay); has influence on soil
behavior
• Soil fabric tends to be more
flocculated (random) for
compaction dry of optimum.
• Soil fabric tends to be more
dispersed (oriented) for
compaction wet of optimum.
Engineering Behavior - Permeability

• Increasing the water content
results in a decrease in
permeability on the dry side of the
optimum moisture content and a
slight increase in permeability on
the wet side of optimum.
• Increasing the compactive effort
reduces the permeability since it
both increases the dry density,
thereby reducing the voids
available for flow, and increases
the orientation of particles.
Engineering Properties - Summary
Dry side Wet side
Structure Flocculated Dispersed
Permeability More permeable Less permeable
Compressibility More compressible in More compressible in

high pressure range low pressure range
Swelling
Higher *Shrinks more
Strength Higher Lower

MAN-MADE FABRIC/STRUCTURE
Special Tests
1. Dynamic Properties
2. Unsaturated/Saturated Permeability
3. Unsaturated Strength
Effective Stress for Unsaturated Soils
Site Response
Seismic Activity Attenuation Relation

1.0E+01
Horizontal Peak Ground Acceleration [g]

Abrahamson & Silva, 1997
Mean(NS+EW)
1.0E+00
1.0E-01
1.0E-02
1.0E-03
1 10 100 1000
Shortest Distance to Rupture Plane [Km]
FIGURE 9: SEISMIC ANALYSIS – ATTENUATION RELATION

Earthquake Site Specific
Seismogram Response
FIGURE 10: SEISMIC ANALYSIS – SITE RESPONSE

TYPES OF EARTHQUAKE SHAKING

Maximum Credible Earthquake (MCE)
Maximum Possible Earthquake (Deterministic or 10,000
Probabilistic)
Safety Evaluation Earthquake (SEE)

MCE & Human Risk (No loss of life) – Liquefaction, etc.
Operating Basis Earthquake (OBE)

Keeps operating, only minor damages (RP 145 years or 50% prob
Design Earth for Appurtenant Structures
in 100 years)
(DBE)
For the design of structures (RP 475 years)

GEOSTUDIO AND DAMS

DYNAMIC PARAMETERS
DYNAMIC PARAMETERS - TESTS
Resonant Column
Cyclic Triaxial
QUESTIONS

Embankment Dams - Investigations - Final

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ASSOCIATED CONSULTING ENGINEERS, ACE (PVT), LTD.

Complete Process – 3 essential steps

Global – Most Economical Option / Optimal Economical Option

Highly complex, non-homogeneous, anisotropic, …. Natural Strata

Two Main Components

Door Intact and Wall Broken!

Two Main Components

Natural Subsurface Strata

LABORATORY TESTING FOUNDATION

Analysis and Report Preparation

INVESTIGATIONS – REMOTE SENSING

INVESTIGATIONS – REMOTE SENSING

INVESTIGATIONS – REMOTE SENSING – SPOT2

INVESTIGATIONS – GEOLOGICAL MAPS

INVESTIGATIONS – GEOLOGICAL MODELS

Sieve Nos. 4, 40, 200

Three Essential Steps & Sequence

Dam Site (1:500 to 1:1000)

Nature of Soils/Rocks (Geotechnical Mapping)

intact ‘layered’ intact highly fractured

Figure 1: Geological cross-section at the proposed Dam location

Figure 3e: A LARGE CAVITY IN LIMESTONE IN THE VICINITY OF PROJECT AREA

Figure 4a: ERT Cross-section at the proposed Dam location

Figure 4b: ERT Cross-section at the proposed Dam location

Weak Strata/Water Flow

Figure 1: Geological cross-section at the proposed Dam location

Geotechnical Strata Mapping

GEOTECHNICAL STRATA MAPPING

HIGH RATES OF EROSION OF SHALE / CLAY AS OBSERVED IN

TYPICAL VIEWS OF DIFFERENT WEATHERING STAGES OF MURREE FORMATION

Quartz Mica Schist

Quartz Mica Schist

Electrical Resistivity Tomography (ERT)

Electrical Resistivity Surveys

Highly Weathered Diorite Slightly Weathered Diorite

All Intermediate Zones: Moderately Weathered Diorite

Moderately Shattered Limestone Highly Shattered Limestone

Channel Cavity Zone

Proposed Geologic, Geotechnical and Geophysical Investigations plan at POWERHOUSE

Proposed Tunnel Alignment

Seismic based techniques

Note: Vp1 < Vp2

2D Seismic Surveys (MASW)

DRILLING, IN-SITU TESTING AND

Boring, Sampling, and In-situ Testing

Mobile 25-tonne rigs with

k = Q/(2pLH) loge (L/r) L/r>10

TEST PITS, BOREHOLES, AND SAMPLING

INVESTIGATIONS – BORROW AREAS

INVESTIGATIONS – BORROW AREAS

Grain Size Analysis

Oven temperature, etc.

CONSTITUTIVE MODELLING OC CLAYS/VERY

Mixture of different Soil types - Structure

Compaction and Soil Fabric

Engineering Behavior - Permeability

Permeability More permeable Less permeable

Compressibility More compressible in More compressible in

Strength Higher Lower

Seismic Activity Attenuation Relation

Horizontal Peak Ground Acceleration [g]

Shortest Distance to Rupture Plane [Km]

FIGURE 9: SEISMIC ANALYSIS – ATTENUATION RELATION