Advanced Ground Engineering

Module ENGM271

Geotechnical Structures

Dr I Cavarretta
Senior Lecturer in Geotechnical Engineering / Infrastructure
Division of Civil and Environmental Engineering
Faculty of Engineering and Physical Sciences
University of Surrey
Guildford, Surrey GU2 7XH
UK
i.cavarretta@surrey.ac.uk

SurreyLearn: https://surreylearn.surrey.ac.uk

I Cavarretta, University of Surrey, September 2016

 I Cavarretta, University of Surrey, September 2016

Release 16/09/2016

Contents
List of tables and figures
UNIT 0 Module Description
Preface
TIME PLAN

PART 1 DAMS
UNIT 1 Hydraulic Structures: Dams, Definitions, Classifications
1.1 Embankments and dams, definitions and classifications
1.2 Hydraulic structures
1.3 Types of dams
1.4 Dam break
Tutorial 1
UNIT 2 Design questions. Gates and Spillways
2.1 Purpose of the reservoir
2.2 Stages of the project
2.3 Volume of the reservoir
2.4 Freeboard and wave actions
2.5 Shape of the valley
2.6 Spillways and bottom outlets
2.6.1 Spillways
2.6.2 Bottom Outlets
Tutorial 2
UNIT 3 Embankment dams
3.1 Embankment dams
3.2 Zoned dams
3.3 Differential settlements cracks
3.4 Types of failure
Tutorial 3
UNIT 4 Seepage
4.1 Seepage
4.2 Darcys law
4.3 Flow net
4.4 Boundary conditions
4.5 Seepage force and critical gradient
4.6 Piping
4.7 Seepage control
4.8 Seepage through embankment dam
Tutorial 4
UNIT 5 Filters and drains
5.1 Filters
5.2 Drains
2

Tutorial 5
UNIT 6 Compaction
6.1 Compaction
Tutorial 6 - Procedures for Compaction Test
UNIT 7 Stability
7.1 Evolution of the safety factor
7.1.1 End of construction
7.1.2 First Impounding
7.1.3 Rapid draw down
7.2 Methods to assess embankment dam stability
7.3 Circular failure surface: Bishop Simplified
7.4 Free shape of failure surface: Janbu Generalized
7.5 Wedge method
7.6 Shallow slopes stability
7.7 Seismic actions: the pseudo-static method
7.8 Factor of safety
Tutorial 7
Coursework
UNIT 8 Settlements
8.1 Dam settlement
8.2 Foundation settlements
8.3 Measurements
Tutorial 8
References

PART 2 TUNNELS
UNIT 9 Empirical methods and failure criteria
9.1 Predictions using rock classification
9.2 Hoek and Brown method
9.3 The GSI method
9.4 Unsupported excavations
Tutorial 9
UNIT 10 Soil-lining interaction
10.1 Stress anisotropy
10.2 Simplified model for deep tunnel
Tutorial 10
UNIT 11 Excavation methods and ground movement
11.1 Excavation methods
11.2 Field data
11.3 Volume loss and ground settlements
Tutorial 11
UNIT 12 Structural stability and numerical analysis
12.1 Stress analysis
3

12.2 Three hinges scheme

12.3 Examples of application of Finite Element Method
Tutorial 12
UNIT 13 Excavation technology
13.1 Sequential Excavation Method (SEM)
13.2 Tunnel Boring Machine (TBM)
Tutorial 13
References

PART 3 BASEMENTS

UNIT 14 Design and safety procedure

14.1 Design
14.2 Drainage
14.3 Structural surveillance of retaining structures of deep basement
References

List of tables and figures

Table 1.1 ICOLD Bulletins relevant to dams design
Figure 1.1 Total number of large dams built in the world. (1) worldwide; (2) worldwide apart
from China; (3) in China (after Jiazheng and Jing, 2000)
Figure 1.2 Concrete dams: a) gravity dams with spillway; b) overflowing gravity dam; c)
buttress dam, 1 slab, 2 buttresses; d) arch dam (after Tanchev, 2014)
Figure 1.3 Drains in homogeneous dams. a) toe drain; b) horizontal blanked drain; c)
chimney drain. (after Sherard et al., 1963)
Figure 1.4 Embankment dams: a) homogeneous; b), c), d) zoned with central impervious
core; e) with impervious face lining, f) with central impervious diaphragm wall (after
Tanchev, 2014)
Figure 1.5 The Vega: example of homogeneous dam with horizontal blanket drain (After
Sherard et al., 1963)
Figure 1.6 The Ambuklao, Philippine Islands: example of central core dam (after Sherard et
al., 1963)
Figure 1.7 The Hirfandi, Turkey: example of inclined core dam (after Sherard et al., 1963)
Table 1.2 Suitability of different type of dams (after Novak et al., 2007)
Figure 1.8 Features of a dam: a) elevation profile; b) water volume V and free surface are A
against impounding height H
Figure 1.9 Dam terminology (after ICOLD, 1982)
Figure 1.10 Submerged areas in the valley downstream St Francis Dam as in the simulation
of the catastrophic flood occurred after the collapse of the dam few hours later the first
impounding on 12 03 1928. A, B and C respectively relate to 900, 972 and 1044s after dam
break; M1 and M2 are stations where flood hydrographs have been presented (after
Begnudelli and Sanders, 2007)
Figure 1.11 The left slope of Vaiont reservoir before (during construction) (a) and after the
landslide on 10 10 1963 (b). This landslide produced the overtopping of the dam with a
wave 100m height above the crest and a massive inundation which caused the death of
nearly 2000 people in the valley downstream (after Genovis and Ghirotti, 2005)
Figure 1.12 Two N-S geological sections of the Vaiont Valley 1) before and 2) after the
landslide. The downstream face of the arc dam involved in the event (the highest worldwide
at the time) appears in section 1) (after Semenza and Ghirotti, 2000 as in Geneovis and
Ghirotti, 2005)
Figure 1.13 Satellite view of Vajont reservoir today (adapted from Google Earth, 2015)
Table 2.1 The four main stages of dam project and construction (from the left to the right).
5

Figure 2.1 Breakdown of freeboard accounting for waves (adapted from Tanchev, 2014)
Figure 2.2 Estimation of the significant wave height (as in Novak, 2007)
Figure 2.3 The Grand Maison, France
Figure 2.4 Discharge over a thin wall spillway
Figure 2.5 Discharge over a broad crest spillway
Figure 2.6 Stable profile against negative pressure
Figure 2.7 Spillway elevation profile (US Army Waterways Experimental Station, 1959 as in
Novak et al., 2007)
Figure 2.8 Outlet within a gravity dam. 1 rack, 2 slots for overhaul gate, 3 shutting valve, 4
regulating valve (after Tanchev, 2014)
Figure 2.9 Bottom outlet works within an embankment dam (after Tanchev, 2014)
Figure 2.10 Bottom outlet (left) and spillway (right) of the Sarno, embankment dam in
Algeria (after ICOLD, 1987 as in Novak et al., 2007)
Figure 3.1 Intuitive profile of a basic embankment dam enabling both stability and tightness
Figure 3.2 Overview of possible cracks within an embankment dam, due to non-uniform
deformation. 1 Rock, 2 loose deposit, 3 well compacted cutoff, 4 well compacted core, 5
shells, 6 elevation profile before settlement, 7 after settlements, 8 vertical fissures, 9
horizontal fissures, 10 longitudinal fissures (after Tanchev 2014)
Figure 3.3 Defects of embankment dam and their consequences (after Novak et al., 2007)
Table 4.1 Typical values of permeability coefficient (after Wu, 1967)
Figure 4.1 Basic concepts for seepage analysis (after Barnes, 2010)
Figure 4.2 Insight into seepage pressure (a) and critical gradient (b) (after Wu, 1967)
Figure 4.3 Bligh - Lane method for seepage control (after Sowers, 1962)
Figure 4.4 Seepage through an embankment dam
Figure 4.5 Flow net beneath a weir (after Wu, 1967)
Table 5.1 Rules for filters (after Sherard et al, 1963)
Figure 5.1 Example of USBR criteria for filters and drains given a base material; a)
numerical particle size distributions; b) satisfactory limits (non-edged traingles) as function
of D15-B,F & D85-B,F (edged triangles).

Figure 6.1 Effect of specific energy on soil compaction (after Sowers, 1962)
Figure 6.2 a) Mould and collar for compaction test in the Soil Mechanic laboratory,
University of Surrey; b) Manual digging of impervious soil
Figure 7.1 Changes in shear stress, pore pressure, and safety factor during and after
construction of earth dam (After Bishop and Bjerrum, 1960 as in Lambe and Whithman,
1979)
Figure 7.2 Pore water pressure in compacted clay as induced by increase of mayor principal
stress at zero lateral strain (after Bishop and Bjerrum, 1960 as in Wu, 1967)
Figure 7.3 Simplified Bishop method of slices
Figure 7.4 Preparatory work for limit equilibrium analysis of a zoned dam
Figure 7.5 example of safety factor, interslices forces, and stresses along a noncircular shear
surface as determined by the GPS (after Janbu, 1973)
Table 7.5 Iterations within the GPS for the example in Figure 7.4 (after Janbu, 1973)
Figure 7.6 MatLab data in the validation file implementing GPS example in Janbu, 1973
Figure 7.7 Wedge method: a) Cross section; Shell: =40o; =17.28kN/m3; core: c=96kN/m2;
no pore pressures b) Polygon of forces acting on the two wedges OBA, with weight W1, and
ABDC, with weight W2 (After Sultan and Seed, 1967 as in Lambe and Whitman, 1979)
Figure 7.8 Geometrical parameters to describe the 2D geometry of a shell within an
embankment and the potential failure surfaces through it
Table 7.6 Geometry and shear strength matrix with on top the meaning of its columns
Figure 7.9 Profile of the upstream shoulder of the dam considered in the sensitivity analysis
Figure 7.10 Results of the sensitivity analysis for the profile in Figure 7.9
Figure 7.11 Shallow surface of failure
Table 7.7 Typical values of the global factor of safety for embankment dams
Table 7.8 Eurocodes 7: values of partial factor for slope stability (after Bond and Harris,
2008)
Figure 7.12 Figure 7.12 Restoration work of Rio Leni Dam. A section of the asphaltic
concrete lining at the upstream toe of the dam is temporary removed in order to refurbish
the drainage adjoining the culverted concrete cut-off. Villacidro, 1999
Figure 8.1 Use of numerical model during dam operation (after ICOLD, 2013)
Figure 8.2 Example of settlement calculation (after Mitchell 1983)
Figure 8.3 Influence factor I in 2D geometry and =0.5 (after Mitchell 1983)

Figure 8.4 Compression of soil in uniaxial symmetry (after Mitchell 1983)

Table 8.1 Typical strength and compression characterisitcs for soils (after Mitchell 1983)
Figure 8.5 - USBR settlement assestimeter: I) Bottom plate and cross arm (after Sowers,
1962); II) Probe (adapted from Slope Indicator, 2009)
Figure 8.6 Settlements in Beas Dam (India): a) Settlements of cross-arms installed in the
embankment during construction, these values have been taken against the elevation of the
correspondent bottom plate; b) Total settlements as sum of the maximum settlements along
the assestimeters and the settlements at the foundation level, these values have been
plotted as the percentage of the height of the embankment.
Figure 8.7 Sciaguana Dam during construction (Ca 1984)
Figure 8.9 Optical collimator Galileo on the left abutment of Paceco Dam (Cavarretta, 1997)
Table 9.1 RMR System: CSIR classification following the work done by Bieniawski, 1974
(adapted from Hoek and Brown, 1980; note that Table 9.1 E appears as a separate table in
the original document)
Figure 9.1 Procedure for measuring RQD (after Deere, 1963)
Figure 9.2 RMR system: stand-up time of an unsupported underground excavation span and
CSIR classification proposed by Bieniawski, 1974 (as in Hoek and Brown, 1980)
Table 9.2 Example of using RMR approach (adapted from Hoek and Brown, 1980; the
references to Table 9.1 and Figure 9.1 appearing in this extract do not reproduce the
original ones as amended to meet the numeration within the present document)
Figure 9.3 Use of NGI Q quality index to estimate the maximum equivalent dimension De of
an unsupported underground excavation (after Barton et al., 1974 as in Hoek and Bray,
1980)
Table 9.3a NGI quality index method by Barton et al, 1974 (as in Hoek and Bray, 1980)
(continue with Tables 9.3b and 9.3c)

Table 9.3b NGI quality index method by Barton et al, 1974 (as in Hoek and Bray, 1980)
(continue with Table 9.3c)

Table 9.3c NGI quality index method by Barton et al, 1974 (as in Hoek and Bray, 1980)
Table 9.4 Excavation support categories (Barton et al, 1974 as in Palmstron and Broch,
2006).
Table 9.5 Example of NGI approach (adapted from Hoek and Brown, 1980; the reference to
Figure 9.3 in this extract doesnt reproduce the original as amended to meet the numeration
within the present document).
Figure 9.4 The Q system chart (after Grimstad and Barton, 1993, as in Palmstron and Broch,
2006).
Figure 9.5 Relationship between the RMR and Q system (after Palmstron and Broch, 2006)
Figure 9.6 Cutway drawing of Hoek and Franklin triaxial cell for testing at confining
pressure up to 70MPa (after Hoek and Brown, 1980).
8

Figure 9.7 Hoek and Brown failure criterion for intact rock (after Hoek and Brown, 1980)
Figure 9.8 Comparison between linear Mohr-Coulomb and non-linear Hoek-Brown criteria: a)
failure envelopes; b) intersections with the p-plane (adapted from Eberhardt, 2012). The
two intersections can either result in the inverse order or coincide depending on the
hydrostatic stress levels considered
Figure 9.9 Influence of the parameter m on the failure envelop of Hoek-Brown criterion
(after Eberhardt, 2012)
Figure 9.10 Chart to estimate GSI (after Hoek et al, 2013)
Table 9.6 Definition of JCond89 after Bieniawski (1989) as in Hoek et al (2013)
Table 9.7 Estimation of disturbance factor D
Figure 9.11 The definition of active span proposed by Lauffer (after Hoek and Brown,
1980)
Figure 9.12 Temporary stage of partially supported excavation in Numidian Flysh during
the construction of the junction between the old and the new sewer of Palermo NorthWest area, in the section close to the outlet into Sferracavallo Marina. At this stage the
old sewer was not visible, being ahead the face of the excavation with its profile
corresponding to the white dashed line. Palermo, 1990
Figure 9.13 Definitions using the lower reference hemi sphere stereographic projection
(after Hoek and Brown, 1980)
Figure 10.1 Measured values of K (after Brown and Hoek, 1978)
Figure 10.2 Trajectories of principal stresses in a hill due to gravity (after Jaeger and Cook,
1979)
Figure 10.3 Anisotropic stresses at local scale, near a tunnel crossing a flat land (drawing
taken from Singh and Goel, 1999)
Figure 10.4 Anisotropic stresses at large scale, around a tunnel parallel to the ground
contours of a steep slope (after NGI, 2013)
Figure 10.5 Reinforced concrete portal stiffening the diaphragm wall at the entrance of
Cozzo Minneria Motorway Tunnel. S. Stefano di Camastra, 2000
Figure 10.6 Simplified model for tunnelling (after Mair, 2008)
Figure 10.7 Cylindrical cavity unloading following the spherical cavity unloading (after
Mair, 2008)
Figure 10.8 Soil-lining interaction (after Mair, 2008)
Figure 10.9 Convergence measurement on preliminary lining using removable distantiometer
with 0.1mm resolution, during construction of Ancipa aqueduct tunnel. Parco della Ronza,
Piazza Armerina, 1989.
Figure 10.10 Example of a profile of ten cords of a cross section in a circular tunnel where
convergence measurements are carried out on the definitive lining.

Figure 11.1 Stress/strength ratio contours in the rock surrounding galleries excavated with
different shapes and partially supported at the roof (after Hoek and Brown, 1980)
Figure 11.2 Use of SEM for a horseshoe tunnel shape with aspect ratio equal one
Figure 11.3 Displacements measured during the construction of a motorway tunnel in soft
rock using the classical Sequential Excavation Method (after Bizjak and Petkovsek, 2004).
Figure 11.4 Gaussian shape of the transverse settlement through (after Mair, 2008)
Figure 12. 1 Three hinges arc as structural support for a tunnel
Figure 12.2 Example of structural calculation for a three hinges arc
Figure 12.3 Example of tunnel analysis using FEM (Comsol 2015)
Figure 13.1 Tunnel support in soft rock around a shallow highway tunnel (after Bizjak and
Petkovsek, 2004)
Figure 13.2 Sawtooth shaped preliminary lining at Torremuzza motorway tunnel where roof
pipes has been deployed; the temporary invert and the stabilizing bench cover a distance of
about 65m from the face of the excavation. The ventilation conduct doesnt obstruct the
maximum headroom to facilitate excavator and dumper manoeuvring. Torremuzza, ME,
2000.
Figure 13.3 TBM (after Hassanpour et al, 2009).
Table 13.1 Characteristics of the TBM in Figure 13.3 (after Hassanpour et al, 2009)
Figure 13.4 Performances of the TBM in Figure 13.3 in terms of ratio force per
cutter/advancement speed, i.e. dimensional descriptor named Field Penetration Index (FPI),
as plotted against different rock mass classification indices (adapted from Hassanpour et al,
2009)
Figure 14.1 Foundation works of the motorway viaduct across River Pollina: a thin
steel-shotcrete shaft 16m diameter protected by adjacent secant jet grouting piles
provides structural support and groundwater control during the excavation of the pier
down to a depth 35m below the river level and inside an alluvium of cobbles with
boulders, gravel and coarse grained sand (Pollina, 2001).
Figure 14.2 Examples of Basements and their interaction with groundwater and slopes
(cover page of CIRIA, 1995)
Figure 14.3 Basement extension in a house and drainage works
Figure 14.4 Example of protection by using external tanking system and external drain (after
CIRIA, 1995)
Figure 14.5 Figure Masonry structure with external tanking (after CIRIA, 1995)
Figure 14.6 Example of structural check on a multi anchored diaphragm wall

10

Geotechnical Structures

Unit 0
Module Description

Module Details
Module Code:
Module Title:
ENGM271
GEOTECHNICAL STRUCTURES
Module Provider:
Module Co-ordinator:
Civil and Environmental Engineering
CAVARRETTA I Dr (Civl Env Eng)
Level:
M
Number of Credits:
ECTS Credits
15
7.5
Module Availability
Semester 1
Assessment Pattern
Semester 1
Assessment Type
Unit of Assessment
Weighting %
Examination
2 Hour Exam
60
Coursework
Coursework
40
Module Overview
This module is designed to provide insights into aspects of design of specialist geotechnical
structures (dams, tunnels and deep basements).
Prerequisites/Co-requisites
A knowledge of basic soil mechanics to FHEQ Level 6.
Module Aims
This module aims to:
Explain the main aspects of engineering design of geotechnical structures (dams,
tunnels and deep basements)
Study the conditions that may influence the design of geotechnical structures
Illustrate how to synthesize soil and material data for a design and define
methodologies/techniques for soil and material characterization
Describe and study the causes and mechanisms of failure
Introduce robust computational methods for analysis (analytical and/or numerical
approach)
Provide the ability to design and implement in situ investigation for detailed design
Provide the ability to plan the construction of geotechnical structures and establish a
program of monitoring
Explain criteria for observational approach
Learning Outcomes
Upon successful completion of the module, students should be able to:
1. Process data to define basic schemes for analyzing and designing engineering
solutions. Apply engineering judgement. (C, K, T(a,c,d,e,f,g), P)
2. Identify and interpret the limitation of design methods and calculations in order to
finalize optimal solutions (C, K, T(a,c,d,e,f,g), P)
11

3. Perform analytical and numerical analysis and critically assess the validity of the
characterization assumed in the design (C, K)
4. Define a range of scenarios to be used for sensitivity analysis within observational
approach
Key: C-Cognitive/Analytical; K-Subject Knowledge; T-Transferable Skills; P- Professional/
Practical skills
Transferrable Skills Key
a. Independent learning skills
b. Oral & written communication
c. Graphical presentation of data
d. Synthesis of data
e. 3D spatial awareness
f. Use of word processor, spreadsheet, drawings
g. Critical thinking
Module Content
Indicative content includes
Dams
Factors influencing design, type of earth dams, control factor influencing design, type of earth
dams, control of pore pressure, failure and damages, dynamic safety, surface drying, overtop,
seepage analysis, difficult subsoil conditions, stability analyses, implementation of limit
equilibrium methods using MATLAB, interfaces and filters, internal erosion, special
remediation methods, treatment of rock foundation, embankment construction, in situ
measurements and control, service control and rutinal investigations, improvement of poorly
constructed embankments, use of Eurocodes, hydraulic control, sedimentation,
decommissioning
Tunnel
Tunnel and structural safety, Different construction methods: TBM, NATM, SCL (spray
concrete lining), shaft construction, tunnelling methods in rock, empirical design methods,
analytical and numerical (FEM) approach, ground movement, site investigation required, in
situ measurements, observational approach, hazards and mitigation measures
Deep Basement
Demand for deep basements in densely populated cities, displacement and stability
requirements, seepage, ground heave, solutions and stage construction to minimize the
disturbance in nearby structures, underpinning and overall stability, hazards and mitigation
measures

Methods of Teaching/Learning
The learning and teaching strategy is designed to:
Improve the awareness and skills required for the design and analysis of geotechnics
structures (dams, tunnels and deep basements), and will be delivered principally by
lectures with tutorial/question classes.
The learning and teaching methods include:
Lectures and tutorials (30 hours)
Dams [Lectures (7 hours), tutorials (5 hours)]
Tunnels [Lectures (7 hours), tutorials (5 hours)]
Deep Basements [Lectures (4 hours), tutorials (2 hours)]
Directed and guided reading (78 hours)
Coursework writing (40 hours)

12

The assessment strategy is designed to provide students with the opportunity to demonstrate
Ability to process real data and undertake specific calculations for the optimal choice
of materials and sizing of the constructions through one Coursework covering the three
sections (dams, tunnels and deep basements)
Knowledge and understanding of advanced design of geotechnical structures and
skills in closed form solutions through a 2 hour unseen examination
Thus, the summative assessment for this module consists of:
Examination [Learning outcomes assessed 1, 2, 3, 4] (2 hours) {80%}
Coursework [Learning outcomes assessed 1, 2, 3, 4] (40 hours) {20%}
Formative assessment and feedback.
Formative Feedback will also be given in tutorial sessions and after specific request using
SurreyLearn.
Students will receive written feedback on the coursework as well as verbal feedback.
Exam (2 hours)
Reading List
The module is supported by comprehensive notes (on SurreyLearn), with further reading as
follows
Required purchase: None
Essential reading: None
Recommended reading:
Hirschfeld, R. C. and Poulos, S. J. (1987). Embankment-Dam Engineering: Casagrande
Volume. Krieger Publishing Company.
Novak, P.; Moffat, A. I. B.; Nalluri, C. and R. Narayanan (2007). Hydraulic Structures. Fourth
Edition. Taylor and Francis.
Ohmachi, T., and Kwano, J. (1994). Dynamic Safety of Earth and Rockfill Dams. Balkema,
Rotterdam.
Sherard, J. L., Woodward, R. J., Gizienski, S., F., and Clevenger, W., A. (1963). Earth-Rock
Dams. Engineering Problems of Design and Construction. John Wiley and Sons, Inc.
Hoek, E. and Brown, E. T. (1980). Underground Excavations in rock. The Institution of
Mining Metallurgy.
Tanchev, L. (2014). Dams and Hydraulic Appurtenant Structures. CRC Press, Balkema,
Taylor and Francis Group. 2nd Edition.
Background reading:
ICOLD (2013). Internal erosion of existing dams, levees and dikes, and their foundations.
Bulletin 1XX. Volume 1: internal erosion processes and engineering assessment.
Tonon F. (2010). Sequential excavation, NATM and ADECO: What they have in common and
how they differ. Tunnelling and Underground Space Technology. Elsevier.

13

Exam

Revision

Independent
study

Coursework

Laboratory

Session length

Tutorial

Lecture

Advanced Ground Engineering: ENGM271 Geotechnical Structures

Topic

Session order
number

TIME PLAN

(hours)
1
2

PART 1 DAMS
UNIT 1
Hydraulic Structures: Dams, Definitions, Classifications
2
Tutorial
1
UNIT 2
Design questions. Gates and Spillways
1
Tutorial
0.5
UNIT 3
Embankment dams
1
Tutorial
0.5
UNIT 4
Seepage
0.5
Tutorial
0.5
UNIT 5
Filters and drains
1
Tutorial
1
UNIT 6
Compaction
1.5
Tutorial
1.5

Laboratory demonstration (1)

UNIT 7
Stability
Tutorial
NA Coursework
7 UNIT 8
Settlements (with dam revision)
Tutorial
5
6

5
3
3
5
2
3
4
3
3

10
2

3
40

2.5

PART 2 TUNNELS
8 UNIT 9
Empirical methods and failure criteria
Tutorial
9 UNIT 10 Soil-lining interaction
Tutorial
UNIT 11 Excavation methods and ground movement
Tutorial
10 UNIT 12 Structural stability and numerical analysis
Tutorial
UNIT 13 Excavation technology
Tutorial
PART 3 BASEMENTS
11 UNIT 14 Design
Tutorial

5
0.5

7
0.5

2
0.5

5
1

12 REVISION and EXAM

TOTAL
150

21

Inependent study hours:

Dams
Tunnels
Basements
(1)

3
3

37
25
7

Video-Recorded for distant learning candidates

14

13 33

40

69

3 2
3 2

Preface
These notes have been prepared to assist the study of the subject Geotechnical Structures
within the programme Advanced Ground Engineering offered to MSc students since October
2015 in the Department of Civil and Environmental Engineering at the University of Surrey.
They are given as an opportunity to engage with the engineering of the following types of
infrastructures:
Dams
Tunnels
Basements
These are chief infrastructures playing a vital role worldwide in the economies and strategies
of diverse communities and societies. In particular, the deployment of water resources, as well
as transport ways, require extensive use of dams and tunnels, both of which will undoubtedly
become even more strategic and essential works in the near future, as needed in every
inhabited region across the globe, regardless the respective level of development and growth.
Proficient plan and design of these infrastructures, along with responsible maintenance of their
global asset, have to progress further. Similar importance and trend can be however
envisaged for the setting of underground spaces within crowded cities, where it is strategic to
sustain the development of the built environment, with special regard to the availability of
adequate volumes, both in residential and commercial sectors. The needs of growing
populations, as well as the requirement to preserve our habitat, are key reasons to aim a
professional treatment of these infrastructures.
There is a hope that young civil engineers feel the importance of this challenge. A genuine
understanding of the basic principles of the discipline, along with readiness to develop an
attitude in recognizing and defining essential and correct questions, are the chief objectives of
the module. The skills targeted within it include the professional design and management of
the basic type of infrastructures among the three suggested categories. Such an engagement
requires, firstly, a critical awareness of some fundamental analytical approaches that have
been successfully established in the past, and secondly, but not less importantly, the
knowledge and practice for the correct use of new numerical methods and related software.
These notes should be intended as a steering document to be complemented with both the
lecture notes given during the module and some suggested reading. They include however
apposite tutorials that reflect some key aspects of the presented material.

Guildford (UK), October 2015

15

PART 1 DAMS

16

UNIT 1
Hydraulic Structures: Dams, Definitions, Classifications
(Study time allocation = 3 hours)

1.1 Embankments and dams, definitions and classifications

As given in the English Oxford Dictionary (1998) the meaning of the word Embankment is
either (a) a wall or bank of earth or stone built to prevent a river flooding an area, or (b) a
bank of earth or stone built to carry a road or railway over an area of low ground. In civil
engineering disciplines structures such (a) are generally referred to as dams.
These are major hydraulic structures required to withstand the significant forces due to large
volumes of the impounded water that act simultaneously to those generated under gravity by
their own mass, either in static or seismic condition, and include the overall water trust on the
upstream face of the embankment and the seepage forces through its body and foundations.
The project of structures (a) faces therefore important challenges and is generally carried out
using more complex approaches than those related to structures (b). Classifiable as
transportation structures, the latter are commonly designed to resist external loads that, a
part the seismic actions, are merely induced by road and rail vehicles. These actions have
generally a small magnitude compared to the self-weight of the structure itself, and therefore
play a limited role in the design, which in fact for this works (b) is mainly driven by the mass
and shape of the embankment.
On the other hand, experience shows that, for instance, the design of a high railway
embankment resting on a soft clay deposit could be a difficult and even dangerous task to
accomplish, particularly when the design engineer has to comply with some prescribed level
of safety and serviceability along with a limited budget. It is also fair to remind that
undoubtedly transportation structures constitute relevant part of the asset of public works and
their development and maintenance are key resources for national economies and local
community.
Nevertheless, from a learning perspective, the different level of complexity ascribable to the
two sets (a) and (b) should be consciously taken into account, and it wouldnt seem wrong to
point out that a design engineer who is capable to address a sensible project for (a) must be
skilled enough to deliver an equally appropriate work for (b). This might be an arguable
17

statement, but is simply meant to explain why the focus of this first part of the module is on
embankments that belong to set of works (a), as defined at the beginning of this paragraph.

1.2 Hydraulic structures

Essential to life everywhere, water is unevenly distributed on earth in terms of space, time
and quality. Hydraulic structures are civil engineering works that are used to compensate for
such inhomogeneity. Following a logical and functional order, they can be classified as follows:
1) Intake structures
2) Water retaining structures
3) Water conveying structures
Although minor dams (i.e. dikes and weirs) can be found in category 1), the larger deployment
of dams occurs to be in category 2). By means of them the water level of a river is raised and
an artificial reservoir is created.
Dams higher than 15m, or forming reservoirs with volume larger than 1106 m3, are generally
called large dams. During the last decades, the International Committee on Large Dams
(ICOLD) has published many bulletins, which address important information on dams. They
are listed in Table 1 and are currently available on Surrey Learn in pdf format.
There is a considerable number of large dams worldwide, mostly built in China. ICOLD lists
around 45,000 large dams existing on earth. However the rate of increase of large dams built
over time has been decreasing starting from 1950, except in China, where a steady progress
in number of these structures over time has been recorded during three recent decades (19732003).
Figure 1.1 presents the results of this statistics and shows also that the number of large dams
in China was approaching 50% of the total number of those existing worldwide at the time of
the survey. Despite the decreasing number of dams built every year, there is a great interest
in the existing asses as well as a strong demand of making such structures as efficient as
possible as they have to guarantee acceptable quality of life and sustain local economies, with
particular reference to developing countries and arid regions. In contrast with the global
decreasing rate of completion of new dams, there is however a global increasing need of fresh
water, which cannot be entirely satisfied using desalinization processes, even if cutting edge
techniques as reverses osmosis and advanced filtering would massively be deployed.

18

Number Year

Topic

31a

1982 A glossary of words and phrases related to dams

33

1979 Compendium for dam symbols

67

1988 Sedimentation control of reservoirs - Guidelines

91

1993 Embankment dams. Upstream slope protection - Review & recommendations

111

1998 Dam Break flood analysis - Review and recommendations

115

1999 Dealing with reservoir sedimentation - Guidelines and case studies

116

1999 Dams and Fishes - Review and recommendations

117

2000 The gravity dam: a dam for the future - Review and recommendations

140

2007 Mathematical modelling of sediment transport and deposition in reservoirs

141

2010 Concrete face rockfill dams - Concepts for design and constructions

144

2010 Cost savings in dams

147

2009 Sedimentation and Sustainable Use of Reservoirs and River Systems - Draft

155

2013 Guidelines for use of numerical models in dam engineering

162

2010 The interaction of hydraulic processes and reservoirs

163

2011 Dams for hydroelectric energy

164

2013 Internal erosion of existing dams, levees and dikes, and their foundations Vol. 1

165

2013 Selection of materials for concrete in dams

Table 1.1 ICOLD Bulletins relevant to dams design

Figure 1.1 Total number of large dams built in the world. (1) worldwide; (2) worldwide apart
from China; (3) in China (after Jiazheng and Jing, 2000)
Along with the opportunity of improving design criteria and construction methods for the dams
of the future, the existing scenario poses therefore the international challenge of maintaining
the efficiency of old reservoirs that worldwide are still in operation.
To guarantee, or extend, the expected life span of these assets is then a prior task for the
near future. Stable efforts should be done for either maintaining their original impounding
19

capacity as artificial reservoirs, or assessing - for some limit situations - a residual utility they
still might have. The environmental aim of postponing decommissions, while taking
responsible actions, including a reduction of their capacity, should be the primary objective
for this new activities.
Such process of rational maintenance should include specific investigations and works,
respectively for the strategic selection, and eventually remediation, of those reservoirs which
really ought to be refurbished. It is evident that this task can only be accomplished if expert
assessment and skilled design would be implemented within an open and transparent market,
and under the high surveillance of public authorities and government agencies.

1.3 Types of dams

Dams can be classified according to both their purpose and type of design. Other criteria can
also be addressed, but for the aim of this module a classification based on the design feature
of the dam itself seems to be the most appropriate and straightforward, and therefore is
adopted here. In terms of design features the main difference is between:
1) concrete and masonry dams,
2) rockfill and earthfill dams and
3) rollcrete (RCC) dams.
Concrete dams can be of the following types: gravity, buttress and arch dams (Figure 1.2).
Arch dams having different curvatures of their faces - respectively on the horizontal and
vertical plane, like the dam represented in Figure 1.2d, are referred to as cupola dam.
Masonry dams are generally of gravity type, although some examples of masonry arch dam
exist (e.g. Parramatta, Australia.). Often of historical importance, they are constituted of
geometric blocks laid dry or joined with mortar. Still in operation in some cases, they are rarely
built nowadays.
Earthfill and Rockfill dams, generally called embankment dams, can be either homogeneous
(Figure 1.3) or zoned with different materials in order to provide stability and tightness. Zoned
dams can respectively be equipped with: central impervious core, impervious face lining, and
central impervious diaphragm wall (Figure 1.4).

20

Figure 1.2 Concrete dams: a) gravity dams with spillway; b) overflowing gravity dam; c)
buttress dam, 1 slab, 2 buttresses; d) arch dam
maximum water level
direction of water flow
(after Tanchev, 2014)
At least half of earthfill dams volume is generally formed with compacted fine grained
material obtained from a borrow area. The same volumetric ratio is generally required to
classify a rockfill dam, where rock fragments and boulders of large size are used to build the
main body of the embankment. Rockfill dams are generally fitted with an upstream
impervious lining linked at the toe with a cut-off wall and a drainage system to control the
seepage processes.

Figure 1.3 Drains in homogeneous dams. a) toe drain; b) horizontal blanked drain; c)
chimney drain. (after Sherard et al., 1963)

21

Figure 1.4 Embankment dams: a) homogeneous; b), c), d) zoned with central impervious
core; e) with impervious face lining, f) with central impervious diaphragm wall
1 permeable earthfill; 2 impermeable earthfill; 3 artificial lining and toe cut-off wall; 4
artificial core diaphragm (after Tanchev, 2014)
Some examples of embankment dams are presented in Figures 1.5-1.7. We can see from
these cross sections that often highest zones have larger slopes. This feature enables more
statically stable and economical solutions.

Figure 1.5 The Vega: example of homogeneous dam with horizontal blanket drain (After
Sherard et al., 1963)

Figure 1.6 The Ambuklao, Philippine Islands: example of central core dam (after Sherard et
al., 1963)
22

Figure 1.7 The Hirfandi, Turkey: example of inclined core dam (after Sherard et al., 1963)
Hydraulic fill dam is a minor category of embankment dams that are constructed of
materials either dredged or conveyed and placed by suspension in flowing water. Tailing
dams are an example of hydraulic fill dams.
Every dam is however a challenging prototype itself and its design requires integrated skills
from several engineering disciplines. There are not prescribed solutions for each possible
real case, and only some general and limited characterizations can be drawn to describe the
field of applicability of typical dams. With regard to this, Novak et al. (2007) presented an
explanatory list that is reported in Table 1.2 .

Table 1.2 Suitability of different type of dams (after Novak et al., 2007)
23

As mentioned above dams can also be classified according to their purpose. From this
perspective, the main different aims are: supply of drinkable water, irrigation, floods control,
hydroelectric power, industrial use, creation of ponds and lakes for touristic attraction and
sport activities. All these aims have an influence on design as addressed further in Section
2.1.
Figures 1.8 and 1.9 are presented here as references for dam features and terminology. It is
important to familiarize with these definitions before extending the study on more
specialized documentation.
Curves plotted in Figure 1.8b), can be obtained processing the contours data of the reservoir
and are used to:

Determine the time requested to draw down the water level when operating the
sluice gate (Figure 1.8a);

Check whatever the rapidity of the draw dawn is safe in respect to the stability of
the banks of the reservoir, which might require a limitation of such velocity and
therefore appropriate awareness and set up of the degree of opening of the sluice
gate during the evacuation;

Evaluate the velocity of the discharged flow, which is relevant to guarantee the
hydraulic removal of sediments from the bottom of the reservoir while avoiding
obstructions in the outlet tunnel.

Figure 1.8 Features of a dam: a) elevation profile; b) water volume V and free surface are A
against impounding height H
1 dam cross section
I
dead storage
2 top
II
live storage
3 outlet tunnel
III
retention storage
4 sluice gate
h
freeboard
5 foundation
MWL, N.W.L. & Min. W.L. Maximum, Normal & Minimum water
levels
CR.L. Crest Level i.e. top level
T.W.L. Toe Water Level
(adapted from Tanchev, 2014)
24

Number I in figure 1.8a represents the dead storage capacity of the reservoir. This is the
volume that cannot be evacuated from the outlet tunnel. Volume I is relatively rapidly filled
(1-15years) with sediments transported into the lake during runoff events occurring in the
catchment area. When this dead volume is filled, cautious and skilled operations of the
sluice gate should be occasionally carried out in order to preserve the efficiency of the
bottom outlet while controlling the silting in the reservoir by means of well calibrated
flushing.

Figure 1.9 Dam terminology (after ICOLD, 1982)

1.4 Dam break

Dam break is a key risk to consider in the design of these hydraulic structures, as it can
produce catastrophic flood downstream, with severe consequences, including losses of lives
and assets, and exploitation of the natural environment. Dam break studies should be
oriented to predict both the shape and the evolution of the breach within a dam during an
unexpected (and unpredictable) failure process, and define the critical hydrograph at dam
location, which is the dominant function influencing the severity of the flood potentially
impacting on downstream territories. Moreover these studies are expected to provide
information on the areas that can be affected by such floods, along with the hydraulic
variables to qualify the magnitude of the event, including the time and the depth of
submersion, the vectorial velocity v of the flooding water, and its density .
It is useful to recall that the quantity of motion M of the current equals the vectorial thrust
on a right angled impacted wall over a surface area A:

M=Av 2
25

and therefore we can see that:

-

the denser the liquid the higher thrust; as consequence, during floods produced by
dam break or exceptional discharge, turbid water and flushed sediments are often
responsible of large destructions and fatalities;

it is essential to determine realistic values of the velocity of the water flow in the
submerged area, as they have great impact on the disruptive potential of the flooded
water (note that velocity v appears as a squared variable in the equation above).

Figure 1.10 presents some results of the simulation completed by Begnudelli and Sanders,
(2007) for the historical case of St Francis Dam (USA). They showed how the flooded area
propagated downstream the dam, and determined relevant hydraulic outputs in diverse
locations along the valley that was invested by the floods (M1 and M2 in Figure 1.10A). They
also investigated the effects of the macro roughness of the valley, which they expressed in
terms of Mannings coefficient.

Figure 1.10 Submerged areas in the valley downstream St Francis Dam as in the simulation
of the catastrophic flood occurred after the collapse of the dam few hours later the first
impounding on 12 03 1928. A, B and C respectively relate to 900, 972 and 1044s after dam
break; M1 and M2 are stations where flood hydrographs have been presented (after
Begnudelli and Sanders, 2007)
Similar studies should be carried out when considering the overtopping of a dam in case of
unpredicted floods, or when an abrupt landslide invades the reservoir. As example the
disgraceful case of Vaiont Dam (Semenza and Ghirotti, 2000, Genovis and Ghirotti, 2005) in
northern Italy is shown in Figures 1.11 and 1.12.
26

Figure 1.11 The left slope of Vaiont reservoir before (during construction) (a) and after the
landslide on 10 10 1963 (b). This landslide produced the overtopping of the dam with a
wave 100m height above the crest and a massive inundation which caused the death of
nearly 2000 people in the valley downstream (after Genovis and Ghirotti, 2005)

Figure 1.12 Two N-S geological sections of the Vaiont Valley 1) before and 2) after the
landslide. The downstream face of the arc dam involved in the event (the highest worldwide
at the time) appears in section 1) (after Semenza and Ghirotti, 2000 as in Geneovis and
Ghirotti, 2005)
27

It is credible that during the time of that tragedy the owners of the structure overlooked the
terrible consequences of the potential overtopping of the dam. However, in the last stages
before the event, the instrumentation installed across the left slope of the reservoir had
revealed that an enormous volume of water could have potentially been pushed out of the
reservoir by an abnormal mass of rock that was moving at increasing rate into the lake as
consequence of slope instability (Figure 1.12).
In fact a huge old landslide hanging on the left slope of the reservoir had been recognized
two years before and its movement had been consistently surveyed later on. It was fully
reactivated in the night of 9th October 1963, when it produced a wave about 100m height
over the top of the dam, which caused a catastrophic flood that washed out three villages
and claimed nearly 2000 lives.

50 100 150m

Figure 1.13 Satellite view of Vajont reservoir today (adapted from Google Earth, 2015)
Despite the instantaneous massive amount of water pressure, as induced by the gigantic
wave, and regardless the steady increase of trust, which was generated by the debris
ammassed against the dam, the structure itself didnt suffer any visible damage and is still in
place (Figure 1.13). The robust performance of this cupola dam was extraordinary,
considering that it was the highest in the world at the time of the event and therefore very
limited experience and no benchmarks had been available at design stage.
28

While Dam break is generally abrupt and explosive in concrete dams, it might be slower,
albeit not less ungovernable and disastrous, in case of embankment dams.
Experience shows that the development of some embankment dam break have been
observed across period times of some hours and even days before the final collapse. The
most renowned case being probably the failure of San Fernando Dam (USA) trigged by
internal erosion and piping.
Dam break studies might require the use of advanced numerical modelling that can be
assisted by GIS (Geographic Information System) for an analytical description of the
morphology of the valley downstream the dam. In spite of its elevated cost and complexity,
physical modelling can also enhance these studies. An example of this technique as also
assisted by calibrations within numerical models and reference to recorded data has been
recently presented by Tayfur and Guney (2103).
In case of embankment dam failure, both geometrical features of the embankment and the
geotechnical properties of the materials should be considered. In such situations the
hydrograph at the breach level should be determined accounting for the evolution of the
shape of the breach over time. Also in this analysis well documented cases can be an useful
source of calibration of numerical studies.
Similar simulations should be carried out to assess the impact on downstream territories
when floods occur due to exceptional discharge from either the spillway of the dam or its
bottom outlet are taken into consideration. In fact, in case of emergency the sluice gate
serving the bottom outlet should be purposely fully opened. This may occur when the rapid
dry out the reservoir is required, but can also be deemed to increase the discharge from the
dam in case of extreme flood, that is when the spillway cannot guarantee anymore the
requested freeboard h (Figure 1.8). Failure to consider this alleviating measure might lead to
dam overtopping, which is a dangerous condition, generally causing partial or total collapse
of the dam if the embankment type is either earthfill or rockfill.
When planning and deciding on the feasibility of a reservoir, the effect of possible measures
to mitigate the impact of dam break on local communities and existing assets have to be
addressed and the suggestions for warnings and restrictions to establish across the areas
downstream the dam are necessary.

29

In regard to the output showing the areas which are assessable as exposed to the
consequences of dam break, specific maps should be provided. Similar assessments and
warnings should also be implemented at different severity level as outcome of the studies on
the largest discharge deployable during the maximum flood.

Tutorial 1
Position Elevation Volume Surface Water Velocity at Flow Volumes
Time Cumulative
Area Level
the
rate
to be
spent to value of
above contracted
discharged discharge
the
outlet section
DV
discharged
volume
i
m a.s.l.
m a.s.l.
m a.s.l.
m a.s.l.
m a.s.l.
m

Hi

Ai

DV

Vd

Ha
340
250
210
185
140
105
70
40
22
15
0

m/s

m3/s

m3/106

hrs

m3/106

M.W.L.
N.W.L.
Min. W.L.
T.W.L.
Centre bottom outlet exit
Diameter of the bottom outlet D
Coefficient of contraction Cc
Acceleration of gravity
Cathment area

154.5
146.5
115.0
110.0
112.5
3.0
0.8
9.81
90.0

Use for your Hi:

Use for your Vi:
with i=0-10

WILL BE GIVEN AT THE TIME OF THE ASSIGNMENT

WILL BE GIVEN AT THE TIME OF THE ASSIGNMENT

m/s
km2

0
1
2
3
4
5
6
7
8
9
10

Vi

m a.s.l. m3/106
154.5
33
146.5
20
145
18
140
13
135
9
130
6
125
3.5
120
2
115
0.7
112.5
0.6
108
0

34.0
32.5
27.5
22.5
17.5
12.5
7.5
2.5
0.0

25.8
25.3
23.2
21.0
18.5
15.7
12.1
7.0
0.0

146.1
142.8
131.4
118.8
104.8
88.6
68.6
39.6
0.0

2.0
5.0
4.0
3.0
2.5
1.5
1.3
0.1
0.6

3.80
9.73
8.46
7.01
6.63
4.71
5.26

Total time for discharge (hrs)

45.60

2.0
7.0
11.0
14.0
16.5
18.0
19.3

QUESTIONS:
a) Plot (Vd,t)
b) Determine the overall time to lower the level of the reservoir from N.W.L to Min. W.L.
c) Determine the silting time t s of the dead capacity assuming 0.6mm/year as average soil erosion rate in the catchment area
d) Suggest measures to control sediment level at time t>ts

Note:
- Refer to Figure 1.8 for any symbol you need here.
- Use the worked out example in the table above as reference.
For the velocity v use the equation v=(2gh)0.5 with g he acceleration of gravity, and for the
flow rate q use the equation q=vCcD2/4. (Although you will might be able to determine
these two equations, when recalling some fundamentals of hydraulics, the simple
demonstrations of these equations which is not required here - will be addressed during
the following part of the module).
Repeat your calculation for Cc=0.6 and comment on your results.
- Time to complete this Tutorial: about one hour.

30

UNIT 2
Design questions. Gates and Spillways
(Study time allocation = 5 hours)
2.1 Purpose of the reservoir
As introduced in Section 1.3, the design of a reservoir and its retaining dam is chiefly driven
by the purpose of the project itself, which essentially can be as follows:
1. Domestic Water supply
2. Agricultural
3. Flood protection
4. Hydroelectric
5. Industrial
6. Recreational.
For example very limited seepage loss might be tolerated for some domestic water supply
projects because of the scarcity or the cost of water in some territories (Sherard, 1963). In
these situations highly impervious core coupled with a foundation cutoff should be adopted
when an embankment dam has to be built on a pervious layer of soil. At the same time a
complete grouting should be carried out if the project requires a gravity dam on fractured
rock.
On the other hand, in case of flood protection reservoirs, the acceptable amount of seepage
loss is practically unlimited, but this cannot relax the compulsory analysis that a responsible
design engineer should carefully carry out to investigate the effects of the groundwater on
the safety of the dam in terms of internal erosion and overall stability. Even in this case such
analysis requires deep attention and insight, also considering the cycles between subsequent
flood events. These occur when the reservoir stays dry, and progressive cracking could
weaken either the dam or the banks of the reservoirs. Drawdown might be another
governing issue, and cautions should be implemented, for instance, when a hydroelectric
pumping storage reservoir is planned in a valley where instable clay slopes have been
recognized. In the industrial sector, hydraulically placed dams, such as tailings dams, require
special measures to be implemented. The target in these cases is to avoid liquefaction of
saturated and loosely placed fills that can be trigged by earthquake or even by rapid
changes in the level of the impounded water.
31

2.2 Stages of the project

The completion of a dam project requires endeavour and time. It includes several stages,
the duration of which is difficult to predict, as the design of each dam is unique and the
resources to activate and spend to work out each ad hoc solution can largely differ case by
case. Furthermore, key authorizations from local agencies and governative authorities are
required between the completion of a main phase of the work and the initiation of the
subsequent activity. A description of stages for making a dam is in Table 2.1, as stirred by
the informative table presented by Novak et al. (2007) although the time span breakdown
presented here reflects some personal experience.

Orientative time span (years)

2-10

2-10

conceptual
design
preparation

approval of
first draft

first survey
and data
collection

site
investigation,
lab testing

feasibility
studies, report ,
first draft of the
project

preliminary
design,
confirmation of
type of dam
and reservoir
volume,
preliminary
design

3-10

2-6

approval of
preliminary
design
surveying, detailed
design, physical
modelling
approval of
detailed design

constructve
design

materials and
foundation
check

construction
Table 2.1 The four main stages of dam project and construction (from the left to the right).
Occasionally the design has to be supported by field activities, which should include,
mapping, survey, site investigations, laboratory test, and physical modelling. The latter
activity is required to check the functionality of spillway and bottom outlet. A number of
disciplines are deployed at advanced level during the design study. Throughout the
construction, the hypothesis made by the design engineer must be carefully verified against

32

the evidences emerging on site during the work, with particular reference to the excavations
of the foundations of the dam and materials used in the construction. This has to be an
open and careful process where the players include the contractor, the design engineer, the
engineer director of the work, the owner, the founding institution, the government agency
and usually one or more professionals appointed for an independent assessment of the
work.
Although the regulations may differ worldwide, the whole process demanded for making a
dam can last decades and is generally very expensive for several factors, including its
duration, the number of skilled people involved and the various advanced equipment needed
to complete the task.

2.3 Volume of the reservoir

The volume of the reservoir includes three diverse and distinct parts, (I, II and III) all
divided by ideal horizontal planes, which have been shown in Unit 1, Figure 1.8a. The roles
of these three volumetric parts are commented here as they are relevant points within the
design process.
I Dead storage - This volume is generally filled with the bottom sediments entering the
lake during the floods occurring in the early lifespan of the dam. Unlikely other deposits
entering the dam during the following periods, these initial sediments cannot be removed
with hydraulic manovres by means of the bottom sluice gate, since it is located just above
the horizontal limit surface between I and II (Figure1.8a).
II Live storage - This is the meaningfull part of volume that can be used for the pourposes
of the dam, particularly when it has been built for water supply aims, including: domestic,
agricoltural, hydroelectric and industrial pourposes.
III Retention storage - This volume is given by the rising water level in the reservoir when
the spliiways are in operation during the maximum floods considered in the project. By
definition, it is a temporary storage, which generally implies a design draw dawn velocity
that is governed by the engineering features assigned to the spillway (length, shape,
deployment of automatic gates). Therefore it is important to check if the expected draw
dawn is compatible with the stability of the banks of the reservoir. For instance, in some
cases, a design engineer can decide to better protect the stabilty of the slopes of the
reservoir by reducing the maximum variation of water level within Volume III, which also
would allow a smaller dam, but this will require a larger spillway and therefore more impact
on the territories downstream in case of large floods.
33

2.4 Freeboard and wave actions

An appropriate determination of freeboard is essential for the protection against
overtopping, which, as discussed in Unit 1, is particularly dangerous in case of embankment
dams.

Figure 2.1 Breakdown of freeboard accounting for waves (adapted from Tanchev, 2014)
With reference to Figure 2.1 the single components of freeboard are:
-

hd wind set-up;

hs seiche;

hw wave freeboard;

ht wave run up;

hr reserve heightening.

All these five variables have been considered in several international standards, albeit their
determination remains based on empirical rules. These relationships, as every
experimentally based study, may lack of analytical rigour and general validity, but, at least,
give insight into the elements that influence a phenomenon.
Dimensional check and sensitivity analysis are recommended when using such rules and
picking up the values of their empirical coefficients within suggested ranges. Often the
numerical coefficients appearing in them are not pure numbers but have units to make the
equation dimensionally consistent, and it is therefore necessary to clarify which units must
be used for the physical variable included in that equation. With reference to Figure 2.1, the
freeboard components can be explained as follows.
Wind set-up hd is the average increase in water level close to a point P of a bank due to
the shearing effect of the wind when it blows with a velocity U impacting on the surface of
the reservoir at an angle of incidence over an area with mean water depth equal D. It is
given by the expression:
hd=U2Fcos/(63000D)

34

with F the Fetch, which is the largest straight length of the water surface passing through P
and all the variables expressed in units of meters and seconds..
Seiche hs is a temporary oscillation of the water level, generally caused by local changes in
atmospheric pressure. It is normally neglected and incorporated within the reserve
heightening hr.
Wave freeboard hw is the design height of the wave (crest-trough) and is given by the
equation:
hw = 0.75Hs+(1.5+2Hs)/2g
with g=9.81m/s2 the acceleration of gravity and Hs the significant wave height, as given
either by the equation Hs = UF0.5/1760, which is plotted in Figure 2.2.

Figure 2.2 Estimation of the significant wave height (as in Novak, 2007)
Wave run up ht is the height of the ascending wave up the bank, it can be estimated by:
ht = hp (2/3)hw
where hp is the maximum height reached by the wave above the static level, which occurs at
an elevation of hd + hs above the maximum level of the reservoir (MWL, Figure 2.1) during
the largest flood considered in the project. The value of hp can be estimated using the
formula hp =3.2Rhwtanwiththe angle of the bank above the horizontal and R an
experimental dissipative factor, dependent upon the type of protection of the bank. This

35

factor R spans in fact from 0.5 for very rough rockfill revetments up to 1 for smooth linings,
as those made of asphalt or concrete.
Reserve heightening hr is a crucial component of the freeboard; it should be determined
using sensible judgment with respect to several questions including:
-

the degree of confidence in determining the other components of the freeboard, as

illustrated above;

the long term absolute settlement of the dam, after construction, i.e. that one
comprising the potential reduction of height of the dam itself, plus the settlement at
foundation level;

anomalous waves and/or the exceptional rising of the water level as consequences of
abnormal masses entering the reservoir, including landslides, avalanches, falls of
rocks and debris flows.

In case of large embankment dams with no protection on their downstream face against the
overtopping - which are the majority - hr value should be cautiously taken, and it should
enable overall freeboard values of 1.5m at least.

2.5 Shape of the valley

The shape of the valley may have important influence on the design of the dam in a number
of ways (Sherard et al. 1963). In broad valleys the embankment type is a recurrent solution,
and its stability is assessed using 2D models that imply to consider as negligible the shearing
forces acting on the ends of the embankment.
Conversely, when the height of the dam is great compared to the crest length, it is realistic
to include the effect of the end resistance on the computed safety factor. This 3D exercise
can be carried out by considering several independent 2D cross sections i - normal to the
longitudinal axis of the dam - and representative of different parts of the dam having
different elevations. The critical surfaces of failure are determined for each i and the
resisting and driving forces are estimated for each section by means of one of the analytical
methods presented in Unit 5. Subsequently a safety factor as the ratio of the sum of the
resisting forces to the sum of the driving forces for all the segments of the dam is
determined. Results of this closed form solution should be compared with outputs from
numerical models studied using the Finite Element Method (FEM).

36

In cases of narrow valleys and rigid soils, the concrete dam is often a more convenient
solution, whereas rocky canyons or constricted gorges might allow the deployment of arc or
cupola dams. These are very special structures that require complex and advanced studies.
The accessibility of the valley is also a governing factor when the construction criteria have
to be decided, and sometimes these criteria can have an impact on the final geometry of the
dam. In some cases, for example, haul roads have be integrated in the design of rockfill
dams using zig zag downstream berms, which also may enable more accurate inspections
when the dam is in operation. The Grand Maison (Figure 2.3) is an example of this solution.

Figure 2.3 The Grand Maison, France

2.6 Spillways and bottom outlets

Some basic knowledge on structural components expected to control the water level in a
reservoir is presented in this section. A professional approach to dam design and the
understanding of important questions, including dam safety, slopes stability, sedimentation
and reservoir long term serviceability, undoubtedly require a basic appreciation of the
dynamic of the water entering and leaving the reservoir at certain times.
2.6.1 Spillways
Within a jet occurring over a thin wall spillway (Figure 2.4) having a horizontal crest of
length l and fed by a volume of water in hydrostatic condition and with a hydraulic head h
over the crest itself, all the trajectories at the same level are identical and therefore we can
simply consider those located on an arbitrary vertical plane hortogonal to the crest. This
2D scheme implies that the gradual contraction of the jet takes place along vertical planes
37

only and there is no lateral contraction. This scenario can occur either for an infinitely long
jet or when the jet is confined between two vertical walls, which is actually the case
depicted in Figure 2.4 as observed in a laboratory.

The contraction on plane starts upstream the crest because water particles are not able to
abruptly follow sharp changes in directions, like those demanded at the edge of the thin wall
spillway. For this reason, near the crest, the lower trajectories of the yet are directed
upward.
Near the crest, and soon downstream it, the centrifuge force acts on the water particles
along the curved trajectories. This force acts on the vertical plane against the gravity force,
but the points at which the relative water pressure p inside the jet is zero are unknown.
In fact, unlikely jets from orifices, discharges over spillways have trajectories curved
everywhere, and therefore do not have a well-defined contracted section (i.e. where p=0).
We can however assume that in the nappe, i.e. somewhere downstream the crest, the
water pressure p is zero in each point of the jet, while it tends to hydrostatic conditions
upstream the crest, i.e. moving from ittowards the reservoir. Along the nappe the
contraction progresses at p=0 because the velocity v increases and the flow rate q is
constant.

v=0

dy

0.65h

Figure 2.4 Discharge over a thin wall spillway

To work out the value of q the assumption originally stated by Poleni (1717) is normally
made. He considered to divide the jet in an infinite number of contiguous sections of
elementary jets (of different length) that reach points of pressure 0 at certain sections close
to the crest. All of these elementary jets are assumed to end up with the same size ldy,
with a coefficient <1 that he roughly considered as a constant factor representing the
contraction of the elementary jet between the initial point with head h and v0, located
38

somewhere upstream the crest, and a final point somewhere downstream where the
pressure is zero. From Bernoulli equation, we can determine the velocity vin the final point
at elevation h-y above the crest. In fact we have h=h-y+v2/(2g) and therefore v=(2gy)0.5.
The flow rate dq through the infinitesimal cross section with area ldy is therefore:

dq = ldy (2gy)0.5.
By integration in the range 0<y<h the overall flow rate of the discharge is:

q=0 2 0

1
+1

= 0 2 [ 1

+1

1] = 3 0 2
0

and, using an aggregate coefficient of contraction, also called coefficient of discharge,

=2/3, the general equation for the flow rate q delivered by a spillway is obtained as:
q=2
It has consistently been measured through extensive physical modelling that in the case of
thin wall =0.415, therefore the fictitious constant coefficient of contraction 0 of each
elementary jet can be back-determined as (3/2)0.415=0.62.
This is a useful example of non-rigorous analytical method that, while educated by
experimental observation, can be generalized and give accurate solution. This happens as it
incorporates a coefficient that can be calibrated against real observations. The problem with
this non-rigorous methods is of course that before being deployed they should be verified
against a wide range of cases giving always acceptable results as in the case shown above.
As expected, when a favourable velocity at of the water upstream the spillway applies, the
values of the aggregate coefficient increases and there are other empirical formulae that
suggest values >0.415 as related to the arrival velocity of the water. Also these coefficient
have been experimentally confirmed within large number of experiments.
Spillways like that one described above are referred to as Bazin spillways, from the name of
the scientist who studied and proposed them. They are quite common but prone to
instability when a lack of aeration below the jet applies. In fact in a real situation the
described 2D jet must be confined between two walls (Figure 2.4) and progressively tends
to take away some air from the volume confined underneath.
Such phenomenon can produce the depression of the nappe against the downstream face of
the spillway, where condition of zero -or even negative- relative pressure can develop, with
39

risk of cavitation. This is a very dangerous condition that con lead to the destruction of the
spillway and may occur whenever the water pressure in the jet drops to the value of the
pressure of the saturated water vapour at the existing temperature.
In this scenario bubbles filled with vapour are formed and dragged by the flow into regions
of higher pressure, where they quickly implode against the surface of the spillway.
Conditions of extremely high pressure can therefore build up at the extrados of the involved
structures, as consequence of the rapid succession of the implosions, and particularly when
the process is sustained over a relatively long period of time.
When the thickness of the wall of the spillway increases conditions of broad crest spillway,
also referred to as thick wall spillway, could apply. In fact it has been experimentally
observed that in thin wall conditions (Figure 2.4) the lower surface of the jet plunging
downstream reacquires the same elevation of the crest at a distance of 0.65h form it (Figure
2.4).
Therefore the upstream edge of broad crest spillway (Figure 2.5) is smoothed with a
convenient radius of curvature r, which enables the flow to adhere on the shape of the crest
with minimum disturbance, and therefore minimum energy loss. This curved section is
followed by a horizontal section, the length of which should be 0.65h - r at least.

z
qmax
vc2/2g
h

k
r+
v=0
>0.65h

Figure 2.5 Discharge over a broad crest spillway

If the water upstream is static (v=o) while its free surface in the pond downstream the
spillway is low enough to have a jet plunging on it, similar to that on sketched in Figure 2.5,
conditions of critical flow must form in some point above the spillway as transition between
calm and rapid flow and any change of level of the free surface downstream doesnt
influence the flow on the spillway as far as the described jet exists. In fact when the water

40

level in the pound increases excessively the nappe vanishes and conditions of subcritical
flow are established above the spillway while the flow rate decreases as the representative
point in the curve (q,z) depicted in Figure 2.5 has z>k with k the critical depth for the given
value of h.
In the desired condition of Figure 2.5 instead the value of the flow rate is maximum for the
available head h and is given by the equation q=qmax=lk(gk)0.5 . With a critical depth k that
for a rectangular section equals 2h/3 and (gk)0.5 the critical velocity. The value of the folow
rate is therefore:
2
2
= 2/3 =
2
3
33
That can be also expressed as = 2 with =0.385. We can see therefore that the
broad crest spillway has in principle less efficiency of a thin wall one, as the former is able to
convey only 0.385/0.415=0.93 times the flow rate allowed by the latter. In reality both the
slipways have the disadvantage of requiring a continuous aeration below the yet and this
leads to an increase in the amount of air bubbles trapped in the nappe with risk of cavitation
and larger turbulence in the plunge pool.
Modern spillways of large dams comply instead with the studies started by Scimeni (1937)
who introduced a spillway having in principle the same shape of the lower profile of the jet
through a thin wall spillway. He though in fact that such design could have the two following
advantages:

higher hydraulic efficiency (i.e. 0.415) than a normal broad crest spillway while
keeping the same structural robustness;

reducing to zero the volume below the nappe and therefore avoid the problem of the
aeration.

He assumed that all the trajectories inside the nappe do have a parabolic shape as any free
mass falling under gravity at horizontal velocity v>0 does. For the lower surface of the
nappe he proposed the equation valid for a unit value of head h:
=
With K=0.5 and n=1.85. Which for a general value Hd=h becomes:

= ( )

41

Creager et al. (1945) recognized the significance of Scimenis profile, and acknowledged that
zero pressure between the lower profile of the nappe and the spillway means no demand for
aeration and a nappe in contact everywhere with the spillway.
They claimed however that a more stable flow could be established by allowing some small
positive pressure between the lower profile of the nappe and the spillway and therefore
proposed a gentler profile of the spillway (Figure 2.6). They confirmed therefore Scimenis
function, but suggested K=0.47 and n=1.8.
x

Creagers profile
y

Free fall
(Scimenis
profile)

Figure 2.6 Stable profile against negative pressure

The US Army Waterways Experimental Station (1959) went on with further specifications for
the upstream edge of the spillway. The shape proposed after these studies is reproduced in
Figure 2.7, where the horizontal distance between the apex of the spillway and its vertical
upstream face was retained optimal to sustain a stable flow.
More advanced studies have been conducted to establish the optimal shape of the crest of a
weir when there is a velocity in the water upstream, while other research considered
inclined upstream faces of the spillway, but this material is no covered here.

42

Figure 2.7 Spillway elevation profile (US Army Waterways Experimental Station, 1959 as in
Novak et al., 2007)
2.6.2 Bottom Outlets
Designed to discharge flow rates noticeably smaller than those conveyed by the
correspondent spillway (i.e. serving the same reservoir), bottom outlets are used to draw
down the reservoir level in a convenient interval of time, and sometimes are also deployed
during construction to divert the river bypassing the working site of the dam.
Whatever the shape and the position of the bottom outlet, the flow rate q that it can convey
through its controlled opening - having a cross sectional area A - is given by Bernoulli
equation, applied between a point in the reservoir at v=0 and the contracted section soon
downstream the valve or gate (i.e. the controlled opening), while roughly assuming as zero
the energy losses at the intake.
This condition implies therefore to equalize the head h upstream, as measured above the
centroid of the area A, to the kinetic specific energy of the jet soon after the regulation
valve or gate: h=(q / A)2/2g. With a gross coefficient of contraction, usually spanning in
the range 0.6-0.8, depending on the design features and the degree of opening of the valve
or gate along with the head in the reservoir.
Within arch dams, bottom outlets are often designed as submerged spillways, from which
jets plunge into a pound where energy dissipation occurs, also called stilling basin. Through
gravity dams, a sub-horizontal tunnel outlet is often located and two or more different

43

valves can be in operation at different stages (Figure 2.8). Within other types of dams, and
generally embankment dams, a vertical shaft is inserted between the bottom intake and the
tunnel.

Figure 2.8 Outlet within a gravity dam. 1 rack, 2 slots for overhaul gate, 3 shutting valve, 4
regulating valve (after Tanchev, 2014)
The shaft (Figure 2.9) includes a tower and a chamber where the gates and their
mechanical commands are located, whereas the upper part of the tower hosts the
controlling room, which is generally equipped with a crane. In fact the shaft is also
necessary in case of maintenance, when the gates are raised above the reservoir level, and
eventually sent to engineering units for their refurbishment, or even replaced with new
components.

Figure 2.9 Bottom outlet works within an embankment dam (after Tanchev, 2014)
Also in this case the gate are generally two, put in series, and they have different dedicated
functions. The gate upstream provides tightness and is normally subjected to the hydrostatic
pressure upstream, while zero relative pressure (i.e. atmospheric pressure) acts on its
downstream face. The gate downstream can instead control the amount of the flow rate
during discharge and, unlikely the upstream valve, is made to slide inside its slots while

44

different vales of hydraulic head act on the two faces and a relevant unbalanced pressure is
consequently acting on it.
Before opening the outlet, a bypass is used to fill the room between the two gates (gate
chamber) and enable the movement of the upstream gate under balanced pressure. The
downstream valve is actioned after the opening of the upstream valve. When the outlet has
to be closed similar actions are made in a reverse order (closure downstream gate, closure
of upstream gate, opening of the downstream gate to tight the upstream gate against its
slots). Misuses of the gates, and wrong operational sequence in particular, lead to severe
damage of the upstream gate and its slots, with problematic loss of tightness and
consequent costly repairing works.
The detailed design of a bottom outlet should include the analysis of energy losses at the
intake and the measures to guarantee a regular service of the valve or gate. The energy
losses at the intake can be mitigated with appropriate shape of the inlet profile, while the
insertion of aeration vents soon after the downstream gate enable steady atmospheric
pressure at the contracted section during the discharge.
In some cases the outlet tunnel is also fed by a special spillway, which is usually shaped as
a morning glory shaft (i.e. a funnel-type one, where the crest is its larger edge). This of
course requires a larger cross section of the outlet tunnel as it is sized then to convey both
the flow rates form the slipway and the bottom outlet, eventually simultaneously occurring,
as in case of maximum flood. An example is given in Figure 2.10.
The correct use of the bottom outlet is a fundamental task that must be undertaken with
special care when the reservoir is fed by an erodible catchment area from which sediments
can be rapidly transported into the lake. These situations are typical in arid regions with
sub-tropical climate, where rainfalls are intense and persisting during the wet season, and
frequently the ground is extensively made by decomposed rocks or weakly cemented finegrained soils. In these scenarios an accurate use of the bottom outlet is a powerful tool to
use in order to mitigate the silting of the reservoir, which actually is one of the first factors
affecting the lifespan of a dam.

45

Figure 2.10 Bottom outlet (left) and spillway (right) of the Sarno, embankment dam in
Algeria (after ICOLD, 1987 as in Novak et al., 2007)
Flushing sediments from the bottom outlet is however a challenging task for the following
reasons:
1. protection of the river habitat downstream, with special regards to species and plants
that can be affected by floods of turbid water;
2. sizes of the outlet works components including intake gates and tunnel might be not
adequate to convey fluids too much dense compared to water;
3. need of significant hydraulic head h upstream to trig the discharge and overcome the
relevant energy losses within the turbidity current;
4. need of relevant quantity of water to sustain the flushing of a sensible volume of
sediments.
Spillways and bottom outlet of large dams should be designed with reference to ad hoc
physical models, the scale of which should be large enough in order to carefully assess their
effectiveness in various working conditions. Other details on these dam components are not
given here as they are covered within other specialist studies that are beyond the purpose
of this module.

46

Tutorial 2
A concrete gravity dam with a height of 55m is in the design stage. You are requested to
Plot in the same chart the two possible profiles of a spillway accordingly with Scimeni and
Creager theories respectively. The spillway has a straight crest 65m long and has to convey
a maximum flow rate Q=C1200m3/s. Consider an aggregate coefficient of contraction
=0.415 for both the profiles. The presented profiles should cover the whole range of depth
from the crest down to a max depth of 26m below it. Underneath this level another profile
should be considered and determined by another engineer. He is asking you some advice.
Using your judgment give your thoughts and some rough information on the shape this
lower profile should have (horizontal, vertical, straight inclined down, straight inclined up,
curved with concavity upwards, curved with concavity downwards).
Finally, regardless the design of the lower profile that the other engineer is looking at, you
are requested to determine qualitatively which of the two possible profiles within your study
will generate the larger variation of vertical force acting on the foundation of the dam when
the maximum flood condition takes over the dry one.
The value C will be given at the time of the assignment.

47

UNIT 3
Embankment dams
(Study time allocation = 3 hours)

3.1 Embankment dams

Antique bulky embankment dams, as well as recent low dams, have extensively been
constructed with low-permeabilty soils and homogeneous profile. Low-permeability soils are
those with a coefficient of permeability smaller than 1 foot per year i.e. k<10-8 m/s (Sherard
et al, 1963) and can be retrieved from borrow pits opened in the strata of fine alluvial
deposits. This practice has always been quite frequent, considering that the bottom of the
valleys where reservoirs have been made are often covered with abundant strata of fine
alluvial deposits.
The tightness of a homogeneous dam is provided by the whole body of the dam itself. In
fact during a steady seepage process, even when the highest water level in the reservoir H
applies (figure 3.1), the length of the flow lines in the dam is relatively long as far as the
steep of the downstream face of the embankment is not too steep.

H
L
Figure 3.1 Intuitive profile of a basic embankment dam enabling both stability and tightness
In such scenario a rough value of the average hydraulic gradient / can be estimated.
These concepts are treated more explicitly in Unit 4. For the objective of this section it
seems however enough to highlight that, as demonstrated in the same Unit 4, the value q of
the flow rate per unit run through a homogeneous embankment of the type sketched in
Figure 3.1 is approximately that one determined for the average value of the height of the
flow line above the foundation and the average gradient:

2 2

Were the average hydraulic gradient is approximately proportional to the geometrical

aspect ratio of the profile of the dam. We can therefore state that, for a given value of H,
48

the gentler the slopes of the profile the lower the flow rate of the seeping water and
therefore the leak. Furthermore, the reduction in the steepness of the embankment
increases its stability because of a correspondent drop in the values of the shear stress
mobilized in the foundation ground and in the fill for the same value of H and freeboard.
It can be observed therefore that, within this rudimental design, adequate value of the
steepness of the embankment could at the same time enable safety against sliding and
mitigations of the leaks. Hence it would seem that, in a flat area with unlimited space to laid
the embankment, the only factor controlling the design of the profile of an homogeneous
embankment is the availability of materials and the cost required to bring them on site and
to complete the lay down and compaction processes. Actually it has proved by experience
that this would be an unsafe approach, which perhaps might be barely acceptable only if the
following favourable situations apply:

the foundation is strong enough and the fill has some adequate properties;

the draw dawn is adequately controlled and the freeboard is enough;

special measures are implemented within seismic locations, particularly when the
material is put in place hydraulically or with water content exceeding the optimum
(see Unit 6) more than 5% (e.g. tailing dams).

3.2 Zoned dams

Within zoned dams, which have been largely deployed starting from the last century, special
roles are assigned to different part of the embankment. This approach generally makes the
structure more effective and cheaper than a homogeneous dam of the same requirements
including, height, safety, tightness and durability.
In fact, homogeneous dams can still be preferred in limited cases, where complimentary
conditions recur as (a) limited size of the dam, (b) availability of good impervious materials
(i.e. easy to put in place at adequate density and water content) and finally (c) favourable
condition of the foundation ground.
The stability of zoned dams against sliding is generally assured by shoulders of coarser
material profiled with a slope significantly lower than their angle of shearing resistance at
critical state. The stability of the upstream shoulder has also to be verified with respect to
draw dawn and therefore more resistant and permeable materials are adopted for its
construction.

49

The central core is usually the part where tightness is provided, and is generally built with
fine and impervious material such as: clay, silts, silty clay, decomposed rocks and residual
weathered debris with medium-high plasticity. The bottom of central cores is usually shaped
as a cut-off to provide tightness within the foundation of the dam. When the impermeable
bedrock (B ) is too deep, special structures are used to extend the tightness at the base of
the core, including concrete diaphragm walls and slurry trenches having thickness d usually
in the range 0.5-2.0m. These components are drilled through the pervious shallow deposit
of the foundation ground (A ) and deepened with a penetration below the contact
between A and B. The rule of thumb commonly accepted for this is to use /d 3, but care
should be implemented when deciding this ratio, the final value of which should be designed
on the basis of adequate seepage analysis.
The transition between coarse materials of the shoulders and the fine one adopted for the
central core should be protected with filter and drains. These components are made with
sands and gravels with appropriate particle size distribution, as explained in Section 4.8.

3.3 Differential settlements cracks

Differential settlements cracks have been described by Sherard et al. (1963). They
presented several instructive sketches where some design features and possible crack
developments inside embankment dams are related.
They pointed out that differential settlements can induce dangerous cracking with the dam,
often not easy to detect and assess and even occasionally concealed by the design engineer
and the owner of the dam. They went on claiming that cracks cannot easily be discovered
during a rutinal inspection, and reported that embankment failures had often been
attributed to piping but in many cases piping undoubtedly starts in embankment cracks.
Tanchev (2104) presented a series of examples of undesired generation of cracks within
embankment dams (Figure 3.2). In Figure 3.2 the negative influences of a narrow valley as
foundation site are shown. Figure 3.2b illustrates the problematic differences of settlement
due to a well compacted cut off that has been restricted to the central part of the dam when
the remaining part of the latter lays on a loose deposit. Finally, in the cases of Figure 3.2c
and 3.2d, vertical fissures have developed between the core and the shells because of the
large deformability of the shells compared to the core.

50

Figure 3.2 Overview of possible cracks within an embankment dam, due to non-uniform
deformation. 1 Rock, 2 loose deposit, 3 well compacted cutoff, 4 well compacted core, 5
shells, 6 elevation profile before settlement, 7 after settlements, 8 vertical fissures, 9
horizontal fissures, 10 longitudinal fissures (after Tanchev 2014)
After a study on 17 dams Sherard et al. (1963) concluded that susceptibility to cracking is
high in embankment respectively made of

inorganic clay of low to medium plasticity, i.e. plastic index Ip=wl-wp < 15

residual soils containing coarse particles of soft rock, which crush and become
appreciably finer when they are being placed and compacted. During construction
these materials tend to absorb limited amount of water and are often compacted at
moisture content lower than the desirable values (roughly more than 5% drier than
the optimal water determined in the laboratory). These materials tend to develop a
brittle structure as consequence of the cementing action of the decomposed
particles, and are therefore the embankments they are made of are more likely to
crack than those built with ordinary soils.

They also clarified that ordinary soils less prone to cracking are those mainly constituted of
clays with plastic index Ip=wl-wp>20%.
3.4 Types of failure
With regard to types of failures, an illustrative series of sketches is presented in Novak et al.
(2007) and is reproduced in Figure 3.3. All the failures depicted are clearly consequences of
corresponding defects occurred within either the design or the construction process of the
dam. The first case presented (Figure 3.3a) is the only one which is not originated by
deficiencies regarding the fill or the foundation, but is due to inadequate sizing of the
spillway.

51

Figure 3.3 Defects of embankment dam and their consequences (after Novak et al., 2007)

52

Tutorial 3
A homogeneous embankment dam should be built in a very narrow valley. The foundation
plane is impervious as constituted by a deep formation of stiff clay, which is also exposed on
the slope of the valley. The stream at the bottom of the valley has a negligible slope. The
profile of the dam is the same as that one presented in Figure 3.1, with a value of max
height of the dam on the foundation plane=C35m. The freeboard is 2.5m and the width of
the crest of the dam is 8m while its length is 92m. The material selected to build the dam is
a debris of decomposite granite with a limit of plasticity wp=0.2+C/100 and permeability
k=10-9m/s.
The determination of wl is under way and the contractor asks you which threshold value is
acceptable for this parameter in order to see whether the material selected can be used for
construction or not.
You are also requested to decide the slope value of the two symmetric shoulder of the dam;
it should be gentler than (vert/horiz) but the exact value should obey a requirement in
terms of tightness of the dam. The ideal value of flow rate that you should consider as
produced by the seepage through the embankment at the highest section is 0.5 litres per
day per meter run. Use a simplified criterion to answer this question.
You are finally requested to specify which zones of the embankment will require more
attention during the construction and why.
The value C will be given at the time of the assignment.

53

UNIT 4
Seepage
(Study time allocation = 5 hours)

4.1 Seepage
Seepage through dams and their foundations is an unavoidable process. It is driven by the
different energy levels of the water respectively upstream and downstream the dam and the
higher the level of the water raised by the dam the higher the seepage flow through it. Also,
every fluctuation of the level of water stored in the reservoir produces correspondent
fluctuations of seepage flow and pore pressure within the dam and the foundation.
Seepage is associated with leaks and leaks might be either normal, i.e. expectable for some
given conditions, or anomalous to various extent, including the ultimate sign of incipient
collapse. There are no rules to establish the correct amount of leaks that a dam should release
within a safe scenario, every case is different and this assessment requires skilled and impartial
insight.
For impounding lakes located in arid regions, seepage might also be an economic issue,
because of the large value that locally the water stored in that reservoirs may have.
Assessment and control of seepage, including the design and the deployment of measures to
improve the safety and also, when required, the tightness of a dam, are therefore to be
undertaken in a professional manner by qualified designers and consultants.
Professionals experienced in the field are in fact expected to have insight into seepage
phenomena and to engage proficiently with this subject, the treatment of which usually also
requires the ability to simplify the real conditions by using appropriate modelling. In most of
the cases these engineers are able to address trustable advice and solutions, as far as they
are not affected by conflict of interest.
For instance, if a judgement on the safety of a concrete dam heavily leaking during the first
filling, is required, wouldnt be wise to rely only on the assessment of its designer. For this
reason many nations have set up governmental authorities for the high surveillance of large
dams.

54

4.2 Darcys law

As mentioned above, seepage, either through or below dams, is due to different level of

specific energy H of the water mass, which respectively applies upstream (H1) and
downstream (H2) the dam. Specific energy means the energy of certain volume of water
divided its weight.
H is therefore the energy possessed by the unit weight of liquid. H is also referred to as the
total hydraulic head, or simply the hydraulic head, and represents the energy of the unit
weight of liquid in a point P as expressed by Bernoulli equation:
H=z+p/w+v2/2g
With z, p, w, v and g, respectively, the elevation of P above a fixed datum, the water
pressure, the unit weight of water and the acceleration of gravity. It is easy to check that H
has units of a length being given by the ratio energy/force [Nm]/[N]=[m]. It is convenient
to represent H as a vertical distance above the chosen datum level. For commodity this
datum is generally fixed at the average sea level (asl).
The convention of having H expressed in meters (m) is a very convenient hint for civil
engineers who can make use of technical drawings where for example the specific energy H
of the water flowing in a pipe can be graphically represented as a line along an elevation
profile of that hydraulic system. We call this line the line of the total head or simply the

energy line.
If we know the elevation z of a point P above datum and the velocity of the water at that
point we can work out the pressure at that point using Bernoulli equation recalled above.
About the second term of this equation, using for the water density, it is must be noted
that
p/w = p/g = wh/w = h
and h is referred to as either piezometric height or pressure height . It is the height of the
column of liquid rising up an ideal manometer pipe that we might connect with the given
point P and it equals the specific pressure energy.
The third term of the equation (v2/2g) represent the specific kinetic energy, which is the
kinetic energy of the unit weight of water at point P.
Real fluids are viscous, and their flow is exposed to tangential stresses the direction of
which is opposite to the motion of the fluid. These tangential stresses originates at the

55

boundary layer as transmitted by the rough wall of the conduit where the water flow in, and
propagates towards the centre of the flow. If the velocity and the diameter D of the conduit
are low, the Reynolds number Re=vD/ is low as well and the flow generally obeys
Pouiseuilles law:
=-dv/dy with the viscosity and y the ordinate along a Cartesian axis taken normal to
the wall.
We know in fact that any flow of a real liquid is associated with energy losses and use the
concept of the hydraulic gradient i to quantify the energy drop DH within a path of length
DL between the points P1 and P2: i=DH/DL. This ratio is taken as negative as i must be
positive but DH is positive (H1>H2) while DL is negative (L1<L2).
Bernoulli equation for real fluids is therefore:
z1+p1/w+v12/2g= z2+p2/w+v22/2g+DH
with DH=H1-H2=i(L2-L1)=-i(L1-L2)=-iDL
When we deal with seepage through soils the velocity value v is very low and the
correspondent kinetic energy v22/2g (were v appears as squared factor) is always negligible.
Furthermore, because of the low velocity values, seeping fluids are supposed to be always in
laminar condition (Re<2000) and Darcys equation holds:
v=ki
with k the coefficient of permeability of the soil, a parameter which has units of velocity
(length/time). Some values of permeability for real soil are given in Table 4.1. Estimations of
k values have generally limited level of confidence with deviations from real values around
one order of magnitude. Real values can be obtained by tests performed in situ as
determinations from lab testing generally tend to underestimate k values.

Soil Type
Clean gravel
Clean sand; sand and gravel
Very fine sand; silts; sand mixed with silt and clay;
stratified clay deposits
Homogeneous clay

Permeability coefficient k
m/s
-2
10 - 1
10-5 - 10-2
10-8-10-5

Table 4.1 - Typical values of permeability coefficient (after Wu, 1967)

56

<10-9

4.3 Flow net

In 2D seepage analysis, which is what normally engineers undertake to evaluate seepage
problems, flow net approach plays a substantial role. A flow net (Figure 4.1) includes:
-Equipotential lines, which are those at H=constant.
-Flow lines, which are those along which the velocity vector is always aligned. Two adjacent
flow lines define a flow pipe. No water can laterally escape a flow pipe and water going in it
at one end of the flow net should leave it at the other end of it in the same amount of time.
This is what occurs along every pipe or any other impervious conduit as their volume is
unchanged over time and the fluid and the single soil particles are incompressible.
These two sets of lines - equipotential and flow lines - cross everywhere at right angle. In
fact if this rule wouldnt apply a component of the velocity vector of the fluid should be
directed along the line at H=constant, but this would be impossible as there is now flow
component moving at H=constant. By definition, within a flow net, two adjacent
equipotential lines n and n+1 define always the same drop of specific energy with HnHn+1=DH=H/nH being nH the number of energy drops considered within the net.
An important property of flow net applies when everywhere it is made by squares blocks
(Figure 4.1). This special flow nets are referred as to square flow nets. To comply with
general boundary conditions these squares, which are in number of nH along each flow pipe,
may be of any size a, i.e. 0 < a < .
Along a certain flow pipe a square of size a1 is trespassed -per unit run - by the elementary
flow rate q=a1v1=a1ki1=a1kDH/a1=kDH. Another square located along a diverse flow pipe
and having size a2 is interested as well by the same flow rate q because it can be easily seen
that q=a2v2=a2ki2=a2kDH/a2=kDH. We can conclude that:
a) each flow pipe conveys the same flow rate q=kDH=kH/nH
b) The overall seeping flow rate - per unit run - is Q=q=nFkH/nH=rmkH
With rm the aspect ratio of the mesh = nF/nH .
The main limitations of the presented framework is that natural soils and rocks are:

neither homogeneous (there are lenses and joints, variously oriented, along which
the permeability can be several order of magnitude higher than the permeability in
the main material)

nor isotropous (horizontal permeability is generally much higher than the vertical
permeability).
57

Figure 4.1 Basic concepts for seepage analysis (after Barnes, 2010)

4.4 Boundary conditions

The shape of a square flow net, and in particular its aspect ratio rm, are governed by the
boundary conditions that apply for the given seepage field. The seepage field spread out the
overall mass of permeable soil considered and at some boundaries is in contact either with
the water at maximum energy or water at lowest energy. The steps to find out and define
the boundary conditions are the following:
-look at the boundaries where the head H is known, usually these are either edges of
volume of static water or lines at atmospheric pressure (p=0 and therefore H=z), all these
line are equipotential lines along which a determinable specific energy H holds;
-look at the boundaries which are impermeable that therefore cannot be trespassed by
water and therefore are necessarily flow lines. Lines of symmetry must be flow lines.
Some examples for these rules are given in Figure 4.1.
58

4.5 Seepage force and critical gradient

Water seeping through soil exerts a force on it and this force is called the seepage force.
Within a square flow net consider the element of soil of unit weight and size bb
represented in Figure 4.2a and assume a datum level at the centre of the equipotential edge
cd.
In this scheme some water is seeping from ab, where the head is Hab=bsin+h1, to cd,
where the head is Hcd=h2. The specific energy lost by the water seeping through the
element of soil is therefore Hab-Hbc=Dh.
Lets consider the global equilibrium in x direction, i.e. in the direction of the flow lines,
where we call respectively P and P+DP the resultant forces per unit run due to the normal
effective stresses acting on ab and cd, we have therefore:
P + h1 w b + b2 sinP + DP + (h1 + b sin- Dh) w b
which reduces to:
h1wb - (h1 + b sin- Dh) w b + b2 sin - DP = 0
the term h1wb cancels and therefore, grouping the terms with respect to sin:
DP = Dh w b + (-w) b2 sin
The second term is just the component of the submerged unit weight (-w )1b2= 1b2
in the direction of flow, while the first term is the seepage force per unit run, who has a
corresponded seepage force per unit volume of the soil equal to
Dhwb1/(1bb)=Dhw/b = i w
Which is a vector with the same direction of the flow showing that the drag of seepage
increases with i.
If h2 increases and h1 stays constant, Dh and the seepage force decrease and the minimum
value of DP is for Dh=0 when DP just equals the opposite force given by the component of
the submerged weight of the soil element along x, which as expected corresponds to the
hydrostatic condition.
If we know imagine to have a similar situation but with the flow directed upwards we can
write the same equation as before but with + Dh in lieu of - Dh:
P + h1 w b + b2 sinP + DP + (h1 + b sin+ Dh) w b
and:
DP = (-w) b2 sin-Dh w b
59

We can see that in this case there is a situation by which increasing Dh we can have DP=0,
which occurs when Dh w b = (-w) b2 sin or:
Dh/b=(/w ) sin
But i=Dh/b, hence this critical situation occurs when:
i=icritical=(/w) sin
Which is the critical gradient for a flow line crossing the equipotential boundary at P=0 being
this boundary inclined with the angle from the vertical. This equation gives therefore the
piping condition when the surface of the ground where the flow line emerges is inclined.
For =/2
icritical=/w
This situation is represented in Figure 4.2b where such gradient icritical equals 2Dh/y and the
pore pressure ps equals the total pressure at the same level. This is called boiling failure.

Figure 4.2 Insight into seepage pressure (a) and critical gradient (b) (after Wu, 1967)

4.6 Piping
We have seen that the seeping water generate forces which push the soil particles in the
direction of the flow. These forces can be regarded as erosive actions that can washed away
fine soil particles along the travelling path of the water through and beside the dam. If the
resisting force are less than the seeping forces the soil particles are washed away and a
process called piping may start.
As in Sherard (1963) the resisting forces depend on the cohesion, the interlocking effect and
the specific gravity of the soil particles, as well as on the action of the downstream filter, if
60

any. A filter is a kind of barrier which tends to reduce the heterogeneity of a contact
between two different materials respectively located in two contiguous zones of an
embankment. It must present a grading which is intermediate between the grading of the
material that has to be protected (finer) and the material towards which the flow of water
moves (coarser).
The removal of small particles within the embankment or the foundation tends to increase
the hydraulic gradient in the remaining part of the flow pipe and this in turn accelerates the
effect of the erosive forces as consequence these become larger and larger and piping
develops. Typically this is a backward process that start downstream and tend to propagate
upstream.
A seminal field study on 31 dams discussed by Sherard (1963) showed that plasticity of the
fines (i.e. liquid limit wL) has a larger influence on piping resistance than the compaction
technique adopted during construction. This is the reason why in zoned embankments, core
materials located to provide tightness and constituted by fine particles should have medium
or high plasticity, while core materials with wL<15 are more exposed to internal erosion,
although well compacted.
Two suggested electronic lectures on piping addressed by Prof. Ralph Peck can be found on
the internet:
https://www.youtube.com/watch?v=ZMHUoEdbgkA
https://www.youtube.com/watch?v=AhpMyq4ZV2k

4.7 Seepage control

Seepage control should be driven by two aims:

reducing leakage;

limiting the hydraulic gradient, particularly in point were piping and backwards
erosion can start (i.e. zones where effective stress is low or zero and critical
gradients can be achieved).

Often the design engineer risks to make one of the two condition worst when trying to fix
the other. We can see that even using square flow nets the estimation of the relevant
variables is not easy even in a 2D analysis and often doubts and difficulties may arise if new
geometries are taken in consideration and no similar example exists as reference.

61

A simple empirical method for seepage control was formulated by Bilgh (1910) based on the
observation of failure of many dams mostly built in India for irrigation purpose. He claimed
that the critical path of seepage occurred at the contact between the structure and the
foundation and he called this path the line of creep L.
He defined a ratio to comply with for a good design, after him called Bligh Creep Ratio and
recommended values of it for the main type of soils where piping is potentially a threat.
Figure 4.3 shows the detail of this method.
25 year later a paper presented by Lane (1934) was published, and the results of his studies
based on a large number of hydraulic structures in all parts of the world become available.
He concluded that the horizontal parts of the line of creep L as defined by Bligh should be
reduced to one-third of their actual values.
He claimed this was a better way to account for the real properties of the soil and for the
heterogeneity of the contact with the structure. In essence his rule states that larger values
of horizontal permeability at the interface soil-structure should be considered compared to
those values applied along the vertical interfaces. The criteria he proposed are reproduced
in Figure 4.3.
It is interesting to note that he introduced new weighted creep ratios, which are less
conservative than those proposed by Bligh. This of course mitigate the differences between
the two methods in most of the cases. However if we, for example, consider the case of a
single slender cutoff of depth d below a narrow foundation having breadth W (W<<2d) the
first formulation by Bligh become more conservative than Lanes revision.
Despite this ambiguity Lanes approach is commonly retained an improvement over the
seminal work competed by Bligh and is commonly used within the assessment on seepage
control. After his work the method has been referred to as the Bligh-Lane method.
Of course seepage control analysis cannot be restricted to the simple cases considered in
the Bligh-Lane method and other scenarios can require different types of approaches. One
important case within these diverse situations is the case of seepage through an
embankment dam, which is considered in the following section.

62

DH=Dh
=

Figure 4.3 Bligh - Lane method for seepage control (after Sowers, 1962)

4.8 Seepage through embankment dam

Figure 4.4 shows an embankment dam similar to the case presented in Unit 3. We aim here
to assess the seepage process occurring through this profile while aiming to be more
accurate than before. Firstly we specify the boundary conditions we use to work out the
question, along with statements on some assumption and simplifications. The following
points therefore hold.

z
H0

x
d
Figure 4.4 Seepage through an embankment dam L

63

a
H2

a) The dam lays on impervious soil and has coefficient of permeability k=10-8m/s
b) The field of seepage we consider doesnt include the upstream shoulder
c) This upstream shoulder (dashed area in Figure 4.4) has a permeability ks>>k
d) The point of exit of the Free Surface Line (FSL) occurs at elevation H2>0
e) The flow lines (FL) are horizontal and the equipotential (EP) lines are vertical.
The last point, which reflects the hypothesis done by Dupuit (1863), is applied here with
some shortcomings. It is known in fact by definition that the FLs cannot cross each other
but, if they are supposed horizontal everywhere as here, they will cross FSL that is a flow
line as well. However as far the profile downstream is not too steep and 30o (Sowers,
1962), which is quite usual in embankment dam point e) can be accepted. We assume as
datum the foundation level. The elevation and therefore the head of the point of entrance of
FSL into the seepage field considered can be assumed as H=H0, as point c) enables to
consider a quasi-static condition in the water included in the upstream shoulder where the
seepage can occur at almost zero gradient i. The elevation z of any the point along FSL
coincides with the head along the corresponding vertical EP, this because the pressure along
FSL is zero. With reference to Figure 4.4 we have therefore that the flow rate per unit run Q
is given by:
=

And therefore:

=
0

or:

=
0

0
2

+
2

Where the constant of integration C can be determined by considering the conditions at the
downstream exit, which are:
=
=
/ =
=

64

With a the distance between the point of exit and the toe and b the slope of the downstream
face (Figure 4.4).
And therefore for the boundary conditions at the point of exit we have:
=

2 2
2

Hence the general solution of the integral is:

=

2
2 2
+
2
2

Which for the determined value of Q gives the required LFS function:
2 + 2 2
=
+ 2
2
or:
=

2 + 2 2
2

Which is the equation of a parabola, the value of a is given considering that for x=d it must
be z=H0, and therefore:

2
2
=
( 2
)

0.5

A numerical example is given in Table 4.2:

d
H0
a

30.00
35.00
14.00
11.27

(o)
m
m
m

Table 4.2 Example of sizing a drainage at the toe of a homogeneous dam (symbols in Figure
4.4)
Note that the LFS does not cross horizontally the vertical interface between the upstream
shoulder and the rest of the embankment (Figure 4.4) and therefore the boundary condition
at that point is not well met. However the slope of the theoretical parabola at this point
could suggest a sloping contact between the free draining upstream shoulder and the
impervious part of the dam, which might create a better boundary condition and more
realistic design, also allowing easiness of construction. In fact most of such interfaces have
similar slope as in Figures 1.4, 1.6 and 1.7.

65

Calculations such as that one in Table 4.2 can be used in two ways. The first may be
implemented to determine the size of a drain to use at the toe of the dam (in this case we
have found a=11.3m). The shape of this drain at the toe might be as in Figure 1.3a where
the inclined interface with the fill of the shoulder is an acceptable approximation compared
with the vertical interface of the analytical calculation.
The second way may be the estimate of the acceptable pore pressure we can measure in a
built dam during its lifespan. For example, lets imagine that a dam like that one described
by the parameters in Table 4.2 is equipped with a manometer having its probe in a point P
of coordinates (25;1), located therefore at a distance of 25m from the toe of the dam (i.e.
x=25m) and 1m above the foundation (i.e. z=1m). In this case we can determine first the
theoretical value of z knowing x, a and . From the relevant equation above and we have z
=11.44m. Then, remembering that in our case z equal the head H along the correspondent
vertical equipotential surface passing per P, we evaluate the piezometric height h expected
at point P using Bernoulli equation:
hP = H-zP = 11.44-1=10.44m
and therefore the value of the expected pressure in P is
p=hw=10.449.81=102 kPa.
The evaluated flow rate per unit run is therefore Q=10-811.27sin30tan30=3.2510-8
m3/s, which is very close to the value determined with the approximate method in Unit 3 as
that simplified method would give Q=10-8 142/(235)=2.8010-8 m3/s/m which means a
deviation of only 100(3.25-2.80)/3.25=14% compared to the more accurate method used
here.
If for example a site engineer using the framework above would assess the behaviour of the
dam using the manometer in P where he gets pmeasured=22kPa and measuring a value of flow
rate per unit run as released by the drain at the toe Qmeasured=310-5 m3/s/m, and giving that
no sensible error affect the measures, then he should suspect that the tightness of the dam
is faulting and dangerous hydraulic gradients are affecting the embankment somewhere at
foundation level.

66

Tutorial 4
In Figure 4.5 an example of 2D flow net beneath a weir is given. It is drawn for a permeable
foundation layer infinitely wide and 23m thick (10ft=3.048m). The concrete of the weir has
unit weight =23kN/m3 while the soil has a saturated unit weight of 18kN/m3 and a
coefficient of permeability k=210-5m/s. The unit weight of water is w=10kN/m3.
H1=C5.5m and H2=C1.0m, with C a coefficient that will be given you at the time of the
assessment. You are requested to use your judgment to:

Define the boundary conditions (consider only those which can be seen in the cross
section provided).

Define which of the showed lines are equipotential (EP) and which are flow lines
(FL);

Extrapolate the flow net shown in figure 4.5 by extending both the EPs and the FLs
while respecting the boundary conditions, and assess whether or not it is a square
flow net and why.

Locate two more impervious boundaries which shouldnt affect the geometry of the
presented flow net (Hint: you should reduce the infinitely width layer to a finite width
layer, the breath of which should be the distance of these two new impervious lines,
of course they should be vertical).

Estimate the flow rate.

Evaluate the pressure at point a.

Specify which tiny area has to be checked against boiling conditions and evaluate the
actual gradient in this area and then compare it to the critical gradient, which you
should also determine.

Assess if the structure is stable against piping.

Evaluate the resulting pore pressure on the cut off wall (per unit run) and the
resulting thrust U on it; explain which force X might balance U if there is no
resistance available between the top of the cutoff and the weir.

Estimate the uplift at the base of the dam and the overall safety factor against
buoyancy. For this question it is advisable to prepare a spreadsheet where you
visually can estimate the average height of the dam between consecutive
equipotential lines. You may repeat the visual estimation twice to check the level of
confidence of your assessment.

67

Using Bligh Lane rule assess which soil would be adequate as foundation soil of the
given structure. Redo this question using the original rule presented by Bligh and
compare the results.

Use the relation 10ft=3.0m when reading distances on the figure and round all the distances
(except H1 and H2) to the first digit (e.g. 3.14=3.1m).

Figure 4.5 Flow net beneath a weir (after Wu, 1967)

68

UNIT 5
Filters and drains
(Study time allocation = 2 hours)

5.1 Filters
Within an embankment dam filters are required to protect contacts from internal erosion in
strategic part of the structure such as the transition between the core and the shoulders fill.
They can also be deployed in many other situations including for instance:

the transition between the upstream shell (or shoulder) and the drainage used as
subgrade of the impervious upstream lining of a rockfill dams;

the protection of the drainage blankets in the downstream shoulder of a

homogeneous dam;

the subgrade of an apron laid on a deposit of clay at the foundation level of a zoned
dam.

In all the roles mentioned above the filter is included between the (natural or artificial)
material where the seeping water comes form, which we can refer to as base material and
the drain towards which the seeping water is directed. Drains are expected to collect
significant fractions of seeping water, they must be located in strategic points of the dam in
order to enable an appropriate control of seepage, and for them to be effective their voids
should stay at atmospheric pressure (p=0).
Design criteria for filters have been explained by Sherard et al (1963). They stated that the
two principal requirements for a satisfactory filter are the following:
-

the filter must be more pervious than the base material;

the filter must be fine enough to prevent particles of the base material from washing
into its voids.

Rules widely used for filters are based on the particles size distribution (PSD) of the material
involved. PSD curves are generally plotted on semi-log charts, where the percentage of finer
in terms of mass (y axis) is related to the size (x axis). Table 5.1 shows the five rules

69

presented by Sherard et al (1963) as widely used after the studies conducted at Harvard
University by Bertram (1940) under the supervision of Professors Terzaghi and Casagrande.

Table 5.1 Rules for filters (after Sherard et al, 1963)

5.2 Drains
Points 1 and 2 have been recommended by USBR (1941) and subsequently by other
standards worldwide and are commonly used to assess the PSD of drains and filters. They in
fact can also be used to verify the compatibility between a filter and a drain. In this case the
filter is considered as the base material and the drain is regarded as a filter. These criteria
are quite restrictive and often a certain degree of tolerance could be claimed by the designer
engineer. For example they dont work well when the base material is constituted by clay or
other cohesive soils, which however have inherent resistance to piping because of their
cohesion (Sherard et al, 1963).
In such circumstances, modern industry tends to suggest the deployment of geotextiles to
better protect the contact form internal erosion and enable at the same time the long term
serviceability of the drain. Figure 5.1 shows an example of implementation of USBR
recommendations for a filter - drain system.

Tutorial 5
Determine the staisfactory limits using D values in the table of Figure 5.1a timed the factor
C you will be given at the time of the assignement. Assess if your filter drain system is
sound and why.
70

a)
Base Material Filter
Drain
Finer
D
(mm)
D
(mm)
D
(% by mass)
B
F
D (mm)
100
2.5
10
25
95
1.8
9
20
90
1.7
8
18
85
1.5
7
17
80
1.3
6.5
16.5
75
1.1
6
16
70
0.9
5.5
15.8
65
0.75
5
15.7
60
0.65
4.8
15.5
55
0.6
4.5
15
50
0.55
4
14
45
0.5
3.5
13.8
40
0.45
3.2
13.2
35
0.4
3
13
30
0.35
2
12.8
25
0.3
1.95
12.5
20
0.25
1.93
12
15
0.2
1.7
11.8
10
0.15
1.3
10
5
0.1
0.8
8

b)

finer by mass (%)

100
80
60
40
20
0
0.1

10

100

diameter (mm)
base material

filter

drain

Figure 5.1 Example of USBR criteria for filters and drains given a base material;
a) numerical particle size distributions;
b) satisfactory limits (non-edged triangles) as function of D15-B,F & D85-B,F
(edged triangles).
71

UNIT 6
Compaction
(Study time allocation = 4 hours)

6.1 Compaction
In order to ensure adequate values of their strength stiffness and permeability, modern
embankment dams are built up of relatively thin sub-horizontal layers, where heavy and
large rollers are extensively piloted at adequate speed, while often inducing a calibrated
vibratory excitation. The thickness of the layers before compaction is generally in between
0.2-0.4m thick, depending upon the features and requirements of the project, and reduces
significantly under the actions transmitted by the roller.
This process is called compaction and is generally carried out with the repeated application
of a load over a loose fill when a substantial decrease of the voids within the fill takes place.
Fills undergoing compaction are generally not saturated. Some case of compaction within
saturated soil might however exist when water can be extruded from a fill while seeping
through the intergranular spacing of the material under a very low hydraulic gradient. We
can think that a situation like this may occur for instance in a submerged layer made of very
loose coarse gravel while experiencing a significant increase of the load applied on its
surface. But these are extreme situations where perhaps the process of densification is low.
Compaction differs from consolidation as it should happen without significant increase of
pore pressure. Accordingly with Sowers (1962) compaction is a densification process that
comes from a reduction of the volume of the voids. He stated that the three factors
affecting compaction are:
1 Particles rearrangement;
2 Bending and distortion of the particles;
3 Breakage and repositioning.
In practical situations compaction only reduces the air fraction and hardly influences the
water content w and no changes are induced within the solid volume which is in fact the
sum of volumes of incompressible particles. The most efficient compaction should collapse
all the voids and remove the air fraction entirely. However experiences conducted in a wide
range of scales form large model in situ to small element testing in soil laboratories have
72

shown that the compaction cannot entirely eliminate the air fraction but can only reduce it
at a minimum value. The specific energy of compaction, or simply called effort, is a useful
parameter to measure the compaction effort. It cannot be defined for the real compaction
on site, but can be easily measured in the laboratory on specimens that are aimed to reach
the same proprieties as the material compacted in site. Accounting for the development of
more powerful rollers in recent decades, Standards worldwide have progressively introduced
higher values of specific energy for soil compaction.
The following rules apply:
1. for a given w, the higher the specific energy of compaction the denser that fabric;
2. for given specific energy of compaction, the maximum dry density d corresponds to
an optimal value of water content w=wopt
3. the higher the specific energy of compaction the lower wopt.
It is useful to compare the experimental values w, d to the saturation curve (SC), which
defines the relationship between w and d in the case of perfect compaction causing the
ideal expulsion of all the air voids from the fill. By definition the function describing the SC
is:
=

1
+

With Gs the specific gravity of the fill. This is equation is an hyperbola with asymptotes =
1 and = 0 . It is represented in Figure 6.1a for the typical values = 9.81/3
and = 2.70. The SC divides the quadrant w, d in two zones, the possible of which spreads
below SC itself. No experimental point can lay in fact above the SC.
The shape of the bell curves representing the experimental values at constant effort are
such that the higher w the more close the compaction to the perfect compaction, which
however never could be attained. Also, two equal values of d can be obtained for the same
effort: respectively for w<wopt and w>wopt . However in clays and silts important changes of
properties occur between the dry and the wet state at same density, as the dry condition
generally implies more open and stiff structure whereas the wet one enables lower
permeability and more homogeneous material (DOnofrio and Penna, 2003, Pinyol et al
2012).

73

It is however dangerous to apply large efforts to very moist clay or silt (i.e. with water
content too high compared to wopt) as it might happen that relevant pore pressure Du would
build up, although they could remain unsaturated because no more air can be expelled. In
these case the effective stress is decreased by Du and the shear stress applied while the
construction continues could attain the reduced drained shear strength, and this is a
situation that can lead to slope instability during construction.
Furthermore, an embankments compacted too wet and with relevant effort can still survive
the construction, but then is prone to consolidation. Late deformations and settlements can
occur consequently, and produce undesired effects, including development of cracks,
damage to contiguous watertight components and loss of freeboard.
Reduced values of specific energy should therefore be applied when very moist clayey fills
are deployed in the construction. Figure 6.1a shows that there is no sensible increase of d
when the effort is increased at constant w values being on the wet side of the compaction
curves.
Wet Compaction is however necessary in very rainy country. Sherard et al (1963) reported
on experiences in Sweden and Norway where the core of many dams were successfully
constructed with glacial moraines that was impossible to compact with ordinary rollers. As
alternative crawler tractors were used, and in some cases they had to speed up in order to
avoid bogging down. It seems reasonable to infer that the impervious material used in that
circumstances was handed with wisdom and practicality, and negligible pore pressure must
have build up because of the low compaction energy. There are however doubts on how
that experience on glacial moraines could be used in other territories were core materials
are mainly made with materials having markedly larger plasticity.
Within an efficient compaction process it is in principle preferable to set up a single
application of a relevant effort instead of reaching the same total effort after a large number
of applications. In overall, in fact, repeated small forces can promote inefficient elastic
distortion and rebound while a large force is more able to cause plastic distortion and
densification (Figure 6.2).

74

a)

b)

Figure 6.1 Effect of specific energy on soil compaction (after Sowers, 1962)
As addressed before, the effort values can easily be determined in the lab where the
potential energy deployed to complete the compaction test is given by:
=
with n the total number of blows of the ram falling under gravity within the mould were the
specimen is confined; m the mass of the ram, g the acceleration of gravity and h the
height of free fall of the ram. Note that standards require to use at least three layers of
material when preparing a specimen in the mould and therefore:

n = (number of layers) (number of blows/number of layers)

The specific energy is therefore U/V [kN/m3] with V the internal volume of the mould. V of
course doesnt account for the collar that is attached on the top of it (Figure 6.2a) and is
used to keep in place the loose material during the stage of compaction. A good experiment
should see a limited amount of excess material cut away after the mould is removed,
otherwise the energy actually deployed was applied on a volume which is significantly larger
than V and the ratio U/V would be overestimated.
With regard to compaction during construction it is important to highlight that when
cohesive, the fill undergoing compaction can include lumps of unbroken soil, and we have
seen that good soils for making safe impervious cores are generally cohesive. These lumps
in fact survived all the operations before compaction, including excavation and extraction in
the borrowed pit, transport on site, and placing in layers. When two or more of these lumps
75

comes into contact within a layer relatively large voids are created between them. Ripping
before rolling is sometime deployed in these circumstances but often this measure is not
conclusive and the point 1,2 3 mentioned above apply during compaction at a large scale
compared to the case of non-cohesive fills having similar or even coarser particle size
distribution (PSD). In such circumstances the compacted layer could display a residual odd
macro porosity which of course is not a desired fact. In such circumstances, which can come
to light only if professional visual inspection is seriously conducted on site, new techniques
and prescriptions have to be addressed in the due time, including the replacement of the
roller and the thickness of the layers. Sheep feet rollers or thinner layers could be valuable
option in such circumstances. Most of the times is more beneficial, and less controversial, to
set up a small experimental embankment before start building the dam. The size of these
fills are relatively small as a few checks and experiments on some compacted layers
generally suffices.
a)

b)

Figure 6.2 a) Mould and collar for compaction test in the Soil Mechanic laboratory,
University of Surrey; b) Manual digging of impervious soil

Tutorial 6
Using the data from the laboratory exercise write a short report on the experiments
completed in the laboratory and comment the results obtained. For the material
available for the experiment (Figure 6.2 b) consider a specific gravity Gs=GsC ,with
C a coefficient that will be given at the time of the assignment. Volunteers who will
offer to run the experiments in the laboratory should use the following instructions.

76

Procedures for compaction test (Coursework)

(Instructions prepared by Mehdi Rouholamin July 2015)

The Proctor compaction test is a laboratory geotechnical method to determine the optimal
moisture content at which a soil becomes most dense and achieve its maximum dry density.
The aim of carrying out the compaction test is the performance and analysis of field control
tests to evaluate that compacted fills are facing the prescribed design specifications. In
practice design specifications usually state the required density (i.e. maximum density
measured in a standard laboratory test), and the water content.
The maximum achievable density depends on the type of material, as well as the input energy
during compaction.
Based on standards there are three alternative methods (methods, A, B, and C) are provided
for the compaction test. The method used shall be as indicated in the specification for the
material being tested.
STANDARDS
ASTM D698 - 12 Standard Test Methods for Laboratory Compaction Characteristics of Soil
Using Standard Effort (12 400 ft-lbf/ft3 (600 kN-m/m3 ))
These test methods cover laboratory compaction methods used to determine the
relationship between moulding water content and dry unit weight of soils (compaction
curve) compacted in a 4 or 6-in. (101.6 or 152.4-mm) diameter mould with a 5.50-lbf (24.5N) rammer dropped from a height of 12.0 in. (305 mm) producing a compactive effort of
12400 ft-lbf/ ft3 (600 kN-m m3).
ASTM D1557 - 12 Standard Test Methods for Laboratory Compaction Characteristics of Soil
Using Modified Effort (56,000 ft-lbf/ft3 (2,700 kN-m/m3))
These test methods cover laboratory compaction methods used to determine the
relationship between moulding water content and dry unit weight of soils (compaction
curve) compacted in a 4- or 6-in. (101.6- or 152.4-mm) diameter mould with a 10.00-lbf.
(44.48-N) rammer dropped from a height of 18.00 in. (457.2 mm) producing a compactive
effort of 56000 ft-lbf/ft3 (2700 kN-m/m3).
EQUIPMENT
Cylindrical metal mould, internal diameter of 105 mm. The mould is filled with a detachable
base plate and a removable extension collar (Figure 1a).
Metal rammer with 50-mm-diameter face, weighing 24.4 kN, sliding freely in a tube that
controls the height of drop (Figure 1b).
Scoop or trowel.
Steel straightedge, 30 cm long.
No.4 sieve.
Balance, 10 kg capacity, accurate to 1.0 g.
Drying oven, and evaporating dishes for moisture content determination.
Mixing pan
Moisture cans
77

a)

b)

Figure 1: a) The compaction mould; b) Compaction test rammer

TEST PROCEDURE
1. Measure the weight of the mould without its collar.
2. Calculate the volume of the mould using the given equation;

[1]

D2 H

Where D and H are the mould internal diameter and height respectively.
3. Sieve No. 4 is used to pass the large soil particles. The mass of material required for
the test is about 3 kg when the same soil is used in all the test points.
4. Five points on the compaction curve are required to create the plot. To obtain these
points, the water content is selected low for the first test point and is gradually
increased for the other points. It can be considered 4 to 5% below the optimum water
content for the first point, and 4 to 5% above the optimum water content for the fifth
and last point.
5. Add water and mix it with soil. The weight of water ww to be added to achieve the
water content w is calculated by the given equation;

ww

ws ( w wo )
100

[2]

Where, ws is the weight of dry soil, wo is the previous water content in (%), and w is
water content.
6. The mould is filled by three layers of soils. Compact the soil by applying 25 blows of
the rammer dropped from the controlled height of 300 mm. The rammer should be
positioned properly before releasing. Place the tube gently on the soil surface. As
shown in Figure 3, the rammer should be positioned to evenly distribute the
compaction energy into the soil. Repeat this step for the second and the third layer.

78

Figure 3: Rammer pattern for compaction

7. Remove the collar and cut away the excess soil and level off to the top of the mould.
8. Weight the mould.
9. Take three representative samples from the top, middle and the bottom of the
sample to determine the sample water content.
10. Break up the material on the tray and add an increment water to obtain a desirable
water content for the second test point.
11. Repeat the procedure from step 5 for the rest of the points.
Typical test results are shown in Figure 4.

14

(kN/m3)

13.9

13.8
13.7
13.6
13.5
13.4
0

0.1
0.2
Water content (%)

Figure 4: A typical result from the compaction test

79

0.3

UNIT 7
Stability
(Study time allocation = 10 hours)
7.1 Evolution of the safety factor
The assessment on the stability of a dam constructed of partially saturated earthfill requires
understanding of the changes of several variables that relate to the soil behaviour at
different stages during and after construction. These variables include void ratio, principal
stresses and pore pressure in relevant points of the embankment and its foundation. A
seminal study on this topic was presented by Bishop and Bjerrum (1960). Results of this
study are reflected in Figures 7.1. and 7.2, which are recalled in the following text. In
particular Figure 7.1 presents a schematic case in which the slip failure surfaces develop
only within the dam as a perfectly resistant bedrock is considered at foundation level.
7.1.1 End of construction
At the end of construction the pore pressure u1 at any point (e.g. point P in Figure 7.1)
consists of the pore pressure u0 generated during compaction, plus the extra pore pressure
due to the weight of the embankment above that point (Wu, 1967):
1 = 0 + = 0 + [3 + (1 3 )]
With A and B the pore water pressure coefficients and 1 and 3 the total mayor and
minor principal stresses raised during the construction. The value of u0 depends on the
original conditions under compaction, which essentially are the water content, and the
specific energy. The latter is determined by the thickness of the layer, the number of
passages of the roller and the features of the roller itself, which include its mass distribution
on the axes, the shape and the diameter of the cylinders or wheels, the frequency and
amplitude of the vibrations, if deployed, and the speediness of travel.
The equation above can be simplified if we assume that zero lateral strain and no shear
stress on the vertical plane of the element of volume in P would occur. We therefore can
relate to a 0 condition, by which: 3 = = 0 1 = 0 and the equation above
reduces to:
1 = 0 + [0 1 + (1 0 1 )] = 0 + (0 + 0 )1

80

Figure 7.1 Changes in shear stress, pore pressure, and safety factor during and after
construction of earth dam (After Bishop and Bjerrum, 1960 as in Lambe and Whithman,
1979)

Figure 7.2 Pore water pressure in compacted clay as induced by increase of mayor principal
stress at zero lateral strain (after Bishop and Bjerrum, 1960 as in Wu, 1967)
81

And grouping all the parameters of the soil in a single parameter = (0 + 0 ) we

have:
(1)

1 = 0 + 1
To estimate the values of 1 undrained triaxial tests can be conducted on samples of the

material compacted in the laboratory to the density and water content values measured in
the field. In the triaxial apparatus the values of 1 and 3 are raised gradually (with
3/1=k0) and the values of B are measured as slope of the curve plotted in Figure 7.2.
If no dissipation of Du is hypothesized during construction, the values of pore pressure at
the end of construction are predicted with equation (1) and therefore are affected by the
total stresses induced by the portion of embankment built over the point considered. The
dashed line in Figure 7.1 represents the trend of the pore pressure in P during construction
with no dissipation and therefore a conservative value of u1 is given by the point at which
the dashed line crosses the line of the time at the end of construction. Actually during
construction the average shear stress mobilized on a potential surface of failure through P
increases simultaneously with the elevation of the embankment while the average normal
effective stress cannot rise at the same speed because the increase in pore pressure.
However some dissipation must occur whatever the rapidity of the construction and
therefore the real value of the pore pressure at the end of construction will be the value of
u1 highlighted in the same figure. The difference between the two values of u1 is hard to
determine and often the first option is taken as more conservative and straightforward but
then the effects on the determination of the safety factor can be relevant.
Nevertheless the pore water pressure at the end of construction can also be estimated from
published results of field pore-pressure measurements in earthfill dams. Sensitivity checks
are recommendable in this case within a range of u1 values in between the most
conservative prediction and reliable data from the field.
A credible and correct stability analysis for the condition of end of construction is
fundamental and often can result as the most severe situation to consider in the design of
an earthfill dam. When reliable manometer are installed in the embankment their response
can assist decisions on the speediness of the works as slow down the construction could be
an option when large increases of pore pressure in the embankment or in the foundation
would occur.

82

7.1.2 First Impounding

After construction and before the filling of the reservoir the shear stress mobilized at point
P, stays constant while the shear strength available increases because the effective stress
builds up as consequence of the ongoing pore pressure dissipation (Figure 7.1). It is a
general rule therefore that if a dam survives the end of construction there is no risk of
failure until the time of the first impounding. Analyses for the stability after the first
impounding have to account for the effect of the static water in the reservoir and the
seepage trough the embankment. The level in the reservoir should be considered as that
one corresponding to the retention storage (M.W.L. in Figure 1.8). The conditions within the
two shoulders are as follows.
Within the upstream shoulder there is an increase of pore pressure but at the same time a
stabilizing effect of the water impounded in the reservoir. There are two equivalent
alternatives for tackling this condition within a limit equilibrium analysis, which are:
-

Considering the total unit weight of the fill and water pressure on the slope;

Ignoring the water and considering submerged unit weight =-w below water level.

In general the trend presented in Figure 7.1 holds, in the sense that the stabilizing effect of
the water, and therefore the drop in shear stress value, produces a larger effect on the
overall safety factor than that one due to the decrease in available strength which is
governed by the increase in pore pressure (Figure 7.1). As consequence the upstream
shoulder after the first impounding is generally safer than before. Caution is however
required as partial submersion of the slope can produce safety factor values that are smaller
than those determined for the maximum filling (Baker et al, 2005). Within the stability
analysis plan of the dam it is therefore advisable to include the condition of partial
impounding, where the level of the water in the reservoir is considered at about half height
of the upstream slope.
For the downstream shoulder pore pressures can be estimated form a flow net, which is an
essential step to complete in case of homogenous dame. For zoned dams instead, when a
pervious shoulder is located downstream a central core and their contact is protected by
filters and drains, some simplifications can be adopted. In the sense that the core, as well as
the upstream shoulder, is considered fully saturated up to M.W.L., while the pore pressure
within the downstream shoulder is determined by the elevation of the main drain generally
located at the base of the shoulder. In this scenario measures to safely control the line of

83

the free surface within the shoulder are also introduced, such as blanket drains and
drainage galleries.
With regard to the downstream shoulder, therefore, homogeneous dams are those that can
suffer more the first filling. To them the drop of effective stress due to seepage could be so
relevant to produce a safety factor lower than that one experienced at the end of
construction as in the case of Figure 7.1.

7.1.3 Rapid draw down

In case of sudden lowering in the level of water in the reservoir, very limited changes occur
in the downstream shoulder, as they are only driven by a gradual reduction in the seepage
process, which causes a slight increase of the local safety factor (Figure 7.1a).
Larger implications can affect instead the upstream shoulder, at least when it is not made of
free draining material. Within a free draining material experiencing draw dawn the line of
free surface (LFS) is also the piezometric line as it is horizontal (or quasi-horizontal) and
constantly at the same level of the reservoir, whatever the rapidity of the draw dawn.
When instead the upstream shoulder includes some zone of impervious material (as in
Figure 7.1) the rapid drawdown induces a sudden release of the pore pressure within it as
consequence of the abrupt change of total stress on the upstream face. However, soon after
the release of the total stress, consolidation develops, and this happens quickly as within an
unloading stage and the material is stiffer than before. We should remember here that
cv=kEoed/w with cv the coefficient of consolidation, k the permeability and Eoed=1/mv the
elastic modulus in drained Ko conditions.
It may happen therefore that the (negative) Du dissipates when the LFS is still close to the
boundary of the impervious zone. In this scenario an abrupt increase of the shear stress
occurs in the shoulder with practically no increase in shear strength and the correspondent
drop of the safety factor might be relevant (Figure 7.1).

84

7.2 Methods to assess embankment dam stability

There is nowadays a widely use of the Finite Element Method (FEM) for solving problems of
slope stability. Commercial FEM software products have been found reliable and efficient in
many cases. Studies to asses such FEM software for geotechnical calculations are available
and advantages and disadvantages of several products have been highlighted (Spetz, 2012).
University Departments have also developed their own FEM programs that have been
implemented within leading-edge studies on soil-structure interaction (Woods an Clayton,
1993, Potts and Zdravkovic, 2000). Established references for proficient approach to
numerical modelling are available to assist a practising engineer using FEM with essential
understanding of the principles and limitations of the theory (Potts and Zdravkovic, 1999,
Muir Wood, 2004). Constitutive modelling has also been successfully applied to compacted
soils (Gens, 1996, Pinyol et al 2012).
For the limited purpose of these notes we want however to concentrate here on some
practical use of the limit equilibrium method analysis. This analytical approach, as physical
models and laboratory experiments, represents some time a crude simplification of real
phenomena, but can offer insight of mechanisms that govern the stability of an
embankment, at least when well established failure criterions such as Mohr Coulomb are
correctly implemented along with the well-known principle of effective stress. For example,
this approach enables the design engineer to understand either the influence of the pore
pressure on the stability of the embankment or the dramatic change in the values of the
determined safety factor when a slip surface is taken as critical in lieu of the proper one. Of
course, a professional use of FEM is recommended, particularly in the stage of detailed
design, when the behaviour of the dam in terms of deformations and resistance to seepage
and seismic actions has to be evaluated.
On the other hand, the analytical approach is decisive in the preliminary stage of the
project, when a design engineer has to define the profile of the dam while accounting for
both the materials available for construction and the initial information on the local
conditions of the ground. Furthermore, critical use of this method helps to gain professional
engineering judgment, as well as develop understanding of the influences of the variables
that govern the sizing of a dam profile.
All these are important qualities for a design engineer who intends to operate with
responsibility. This, in real life, means to recognize correct questions within the project, and,

85

when necessary, address them to specialized consultants, being available to discuss with
them the best solution within the possible options.
On the other hand, an issue exists about the uncritical use of commercial software while
implementing limit equilibrium method for slope stability analysis. The problem is often due
to the rush of completing a project in the short time required by the client. It would be
advisable that a design engineer aiming to work in dam projects could firstly develop some
genuine analytical approach including the writing of simple codes in MatLab or some other
robust packages available nowadays, and then check the results obtained either against
published examples or running accredited commercial software.
There are no fixed targets to achieve when embarking on this formative task, and also
limited or incomplete scripts are key steps towards a deep insight into dam engineering. An
attempt of giving some examples of this approach is addressed in the following sections,
and practical demonstrations will be assisted during the tutorial sections.

7.3 Circular failure surface: Bishop Simplified

There is a general acceptance that 2D embankment dam stability can be tackled using
methods of slices with circular failure surfaces. These methods are very convenient in the
way they enable a rational assessment on the search of the critical surface of failure. This
can be done varying just three geometric variables, which respectively are:
-

The two coordinates of the centre of the surface of failure;

The length of the radius of the surface of failure.

As well-known from undergraduate modules, in all these methods the safety factor F is
defined in terms of moment about the centre of the surface of failure:

=
With

the moment of shear strength along the failure arc of length L and

the

moment of weight of the failure mass. When the area above the arc is divided in n vertical
slices of convenient breadth, and Mohr Coulomb failure criterion is applied the equation
above becomes:

+ =
=1

(2)

=
=1

86

where Ni, Wi and

are respectively: the resultant of the effective stress at the base of

slice i, the weight of the slice and the angle which defines the average inclination of the
base of the slice. The problem with equation (2) is that

is unknown and some

assumption have to be made to obtain a distribution of

which satisfies statics.

Bishop (1955) offered a solution which was later reconsidered by Janbu et al. (1956) who
provided a simplified version of it. The assumption introduced in the method was to consider
as zero the resultant of the tangential forces acting on the two side of the slice. In such
hypothesis is determinable by vertical equilibrium as in Figure 7.3. Then by substituting
the expression of into Equation (2) the following equation is obtained:

=
=1 [ +( )][1/ ()]

(3)

=
=1

where:

() = (1 +

Equation (3) can be worked out using a trial and error method where the convergence is
always fast as few iterations suffice.

Dx i
Resultant of all
side forces
assumed to act in
this direction

(1/)
[1+( )/]

= +

Figure 7.3 Simplified Bishop method of slices

A personal ad hoc program script requires the definition of the profile of the section of the
embankment and several areas should be considered within its geometry, in order to vary
later the properties of the materials depending on the condition of the analysis. For this
reason each zone of the profile of the dam may consists of more than one area. An example
of this preparatory work is shown in the sketch of Figure 7.4.

87

Figure 7.4 Preparatory work for limit equilibrium analysis of a zoned dam

7.4 Free shape of failure surface: Janbu Generalized

A limit equilibrium method for computing the internal stresses and the average factor of
safety of slopes, using shear surfaces of any shape, was presented by Janbu (1973). He
defined his average factor of safety as:

(4)

There is no contrast with the definition of F for circular slip failure because Equation 4
matches Equation 2 for any slip line shaped as an arc.
In his document Janbu called this method the generalized procedure of slices and referred
to it as GPS. It enables in fact the solutions of stability problems for irregular topography
and layered soils of different strength, using shear surfaces of any arbitrary shape. GPS is
useful, in particular, to conduct back analysis on slopes or embankments who have
experienced failure.
In such situations, when the geometry of the surface of failure and the values of the pore
pressure along it are known with reasonable degree of accuracy, values of critical or residual
strength can be estimated by trial and error analysis. In addition, peak values of shear
strength can also be obtained for normally consolidated clays if also the pore pressure

88

values at the time of the failure are known. In case of soils who exhibit cohesion in terms of
effective stress, couple of values of (c , ) can be derived.
When planning to establish a reservoir in a hilly area it is important to inspect the valley,
possibly with help from geomorphologists, to eventually ascertain if either recent or old
landslides have affected the slopes, and, where necessary, define the most credible shear
surface. In these situations GPS can usefully be deployed both for the back analysis and,
importantly, to determine the response of the slope to the actions induced by the reservoir,
including rapid drawdown. In this manner rational decisions can be taken during the design,
for example, either avoiding the location of a borrow pit at the toe of an instable slope, or
selecting just there a strategic location where the soil dug out in the foundation area of the
dam can be disposed as a stabilizing fill.
GPS satisfies static equilibrium conditions for both the individual slices in terms of horizontal,
vertical and moment equilibrium and for the whole body horizontal equilibrium. But to solve
the problem a key assumption was introduced and this was on the position of the line of
thrust for the total inter-slices forces Ei, which Janbu located at the lower third point.
In Figure 7.5 and Table 7.5 the example presented by Janbu (1973) for the case of slope
stability is reproduced. He worked in the old technical system units that he specified as at
the bottom of Table 7.5.
Cavarretta (2011) prepared a MatLab program and validated it with reference to the
example shown in Figure 7.4 and Table 7.5. An extract of the script is as follows:
%JANBU method for slope stability
%MatLab script created by Ignazio Cavarretta, PhD, DIC, January 2011
%Validated by using "Table 1. The Iteration Procedure" in Janbu (1976)
clear all
% input parameters
gamma=input('soil bulk unit weight (t/mc) = ');
c=input('cohesion (t/mq) = ');
fi=input('angle of shearing resistance () = ');
fi=fi*pi/180;
ru=input('pore pressure ratio (-) = ');
n=input('number of slices+1 (i.e. rows in the ground profile vertices
matrix)= ');
F0min=input('minimum checked value of F0 = ');
F0max=input('maximum checked value of F0 = ');
deltaF0=input('delta checked F0(default value 0.01) = ');
deltaF01=input('delta checked F(default value 0.001) = ');
niterationsmax=input('maximum number of iterations (default value 5) = ');
F0values=1+(F0max-F0min)/deltaF0;
%Use the file Janbu.dat for the validation or any other file.dat for
%slope stability analysis
m=load('Janbu.dat');

..
..
89

Figure 7.5 example of safety factor, interslices forces, and stresses along a noncircular shear
surface as determined by the GPS (after Janbu, 1973)

90

The relevant data after this exercise are presented in Figure 7.6. The geometry of the
system is read by the MatLab code (see the last line of the extract presented above) within
a matrix, which for this case is reproduced in Figure 7.6a, below the line of symbols which
explain the meanings of every column.
The user has to prepare a .dat file where this matrix is specified accordingly with the
geometry of the profile they are dealing with. In this case the coordinate to introduce in the
matrix have been measured with a ruler from the original diagram presented in the
document by Janbu (1973). Other inputs are requested by the program in the workspace
window before starting the calculations and are reproduced in Figure 7.6b.
The profile considered in the calculations is given as in Figure 7.6c. The yellow line
represents the surface of failure and the intermediate blue line the piezometric line
considered to calculate the pore pressure, the brown line above correspond to the ground
profile.
The numerical output of the validation are listed in Figure 7.6d. The value of the factor of
safety F determined using this script was 1.5105 against 1.485 in Janbus document. The
deviation of the result is only 1.7% as determined by 100(1.485-1.5105)/1.5105.

Table 7.5 Iterations within the GPS for the example in Figure 7.4 (after Janbu, 1973)
91

a)

yground x

0
21.9
11.5 21.9
12.3 21.9
15.7 20.6
26.8 16.3
37.9 12
43.19 10
49.8 10

ywater x

0
21.9
11.5 21.9
12.3 21
15.7 18.5
26.8 13.5
37.9 10.5
43.19 10
49.8 10

yfailure

0
21.9
11.5 21.9
12.3 19.9
15.7 16.5
26.8 11.3
37.9 9.4
43.19 10
49.8 10

b)
INPUTS FOR MATLAB:
>> Janbu
soil bulk unit weight (t/mc) = 2
cohesion (t/mq) = 1
angle of shearing resistance () = 33.82
pore pressure ratio (-) = 2
number of slices+1 (i.e. rows in the ground profile vertices matrix)= 8
minimum checked value of F0 = .2
maximum checked value of F0 = 2
delta checked F0(default value 0.01) = .01
delta checked F(default value 0.001) = .001
maximum number of iterations (default value 5) = 5

c)

d)
OUTPUTS FROM MATLAB:
determined value of F=
1.5105
first value of F attempted in the iteration: F0=
1.3800
total number of iterations for F
5
total number of iterations
5

(against 1.485 in Janbu Casagrande Volume page70)

(against 1.385 in Janbu Casagrande Volume page70)

NOTE: the definition or ru in my code differs from the definition in the original paper (Casagrande Volume) in
fact my ru is u/piezometric height above the failure surface. This means that being =2t/m3 my ru (to use in the
validation) is given by the equation 0.4*2*z=ru*0.4*z hence ru=2 as my piezometric height equals 0.4z.

Figure 7.6 MatLab data in the validation file implementing GPS example in Janbu, 1973
92

7.5 Wedge method

When the surface of failure can be represented as a sequence of two or three straight lines
and the conditions of saturation are simple, the safety factor can be determined by the
wedge method. In this procedure the zone above the surface of failure is divided in two or
three wedges, as in Janbu method the same safety factor applies to all the shearing
surfaces, which include the general surface of failure and the inter-wedges surface.
An example originally presented by Sultan and Seed (1967) is shown in Figure 7.7. No force
is supposed to act on CD; in areal scenario this might occur when a vertical tension crack
develops. The method does not need the position of the inter-wedge force P to be
determined, but its magnitude P, as well as its inclination are required. Note that is
linked to the safety factor through the equation F=tan/tan. There are two more unknown
forces, which are N1 and N2 , the normal components of the reaction forces along the
surface of failure, and also their points of application are not required. Furthermore the
correspondent tangential forces T1 and T2 are linked to N1 and N2 through the safety factor
F and the parameters of shearing resistance.
There are therefore five unknowns (F, P, , N1 and N2) and four equations available, which
are the two translational equilibrium conditions for each edge. The problem therefore is
statically undetermined. The two rotational equilibrium conditions, one for each wedge, are
not considered as their inclusion would increase the degree of non-determination of the
problem because the unknown point of application of surface forces are three.
A trial and error procedure is therefore used by which an initial value of is assumed and
then it is checked against the value of F as obtainable by one of the two relationships (N,T)
along the surface of failure. The graphical solution of the method is given in Figure 7.6b.
For this case, using a simple spreadsheet and trigonometry, the value of F obtained was
1.927.
Wedge method enable a fast determination of F, however, the inclination of the inter-wedge
surface should account for both the shapes and kinematics of the wedges within the
potential failure mass which are not considered, as the method assumes that for any aspect
ratio, and whatever the materials, the inter-wedge surface stays vertical. A discussion on
this is in Janbu also based on a physical model (1973). The influence of the inclination of the
inter-wedge surface has also been investigated by Sarma, S.K. & Tan, D. (2006).

93

a)

b)

Figure 7.7 Wedge method: a) Cross section; Shell: =40o; =17.28kN/m3; core: c=96kN/m2;
no pore pressures b) Polygon of forces acting on the two wedges OBA, with weight W1, and
ABDC, with weight W2 (After Sultan and Seed, 1967 as in Lambe and Whitman, 1979)
A comparison between the wedge method and Janbu Generalized method has been carried
out with reference to Figure 7.8. The height of the Dam considered is Hd=36m, the base of
the shell B=30m, the slope 1/b=0.4, and the values of angles and respectively 8o and
28o. The unit weight and the angle of shearing resistance of the shell are respectively
18kN/m3 and 32o while the undrained cohesion of the core was considered in the wide range
5-200kPa.
94

b
Reservoir

Shell

Hd

Core

B
Figure 7.8 : Geometrical parameters to describe the 2D geometry of a shell within an
embankment and the potential failure surfaces through it
For this exercise the potential failure mass in Janbu generalized (GPS) has been broken up
into 21 slices. Because of the variable shearing resistance along the surface of failure two
more columns have been added in the data array (Table 7.6). A tension crack has been also
simulated at the crest of the dam. The profile given by the program is reproduced in Figure
7.9, which refers to the outputs for the value c=50kPa (as in the input data in Table 7.6).

yground

0
131.9
0.1 135.9
5
134
10
132
15
130
20
128
25
126
30
124
35
122
40
120
45
118
49.22 116.31
55
114
60
112
65
110
70
108
75
106
80
104
85
102
90
100
100 100

ywater

0
131.9
0.1 131.8
5
129.24
10
126.58
15
123.92
20
121.26
25
118.61
30
115.95
35
113.29
40
110.63
45
107.97
49.22 105.73
55
104.9
60
104.2
65
103.5
70
102.8
75
102.1
80
101.4
85
100.70
90
100
100 100

yfailure

0
131.9
0.1 131.8
5
129.24
10
126.58
15
123.92
20
121.26
25
118.61
30
115.95
35
113.29
40
110.63
45
107.97
49.22 105.73
55
104.9
60
104.2
65
103.5
70
102.8
75
102.1
80
101.4
85
100.70
90
100
100 100

50
50
50
50
50
50
50
50
50
50
50
0
0
0
0
0
0
0
0
0
0

0
0
0
0
0
0
0
0
0
0
0
32
32
32
32
32
32
32
32
0
0

Table 7.6 Geometry and shear strength matrix with on top the meaning of its columns

95

Figure 7.9 Profile of the upstream shoulder of the dam considered in the sensitivity analysis
The results of the analysis have been plotted in the chart of Figure 7.10. There is a good
agreement between GPS and the wedge method with some overestimation of F in the
wedge method compared to GPS when the contact between the core and the shell becomes
smooth (c<50kPa), as observed in Janbus document (1973).

factor
of
safety

' = 32o
Hd=36m
B=30m
b=2.5
=8o
=28o

3
2

Wedge
Janbu's Generalized

1
0
0

50

100

150

200

undrained choesion cu (kPa)

Figure 7.10 Results of the sensitivity analysis for the profile in Figure 7.9

96

7.6 Shallow slopes stability

The situation of infinite slope is generally the most critical condition for the stability of the
embankment faces. In fact the length of the two faces have a finite value, but, if we
consider a potential failure along a shallow surface , within a slope inclined with angle
above the horizontal, the real condition might be approximated to the ideal case of infinite
slope. If we indicate with Dmin the largest depth of the generic and L the length of the
slope profile above , the condition of shallow stability refers to smallest aspect ratio
ARmin=Dmin/Lmax, which corresponds to the longest possible = (Figure 7.11).

For a large dam Dmin is generally taken in the range 1-2m. In case of circular surfaces
analysis, ARmin should correspond to the largest value of radius R=Rmax (Figure 7.11) with an
arc of failure that should have a centre C roughly aligned along the perpendicular to the
slope and crossing it at about its midpoint.

Rmax

Dmin (vertical depth)

Lmax

c=0

Figure 7.11 Shallow surface of failure

If a value of zero cohesion in terms of effective stress (c=0) is considered, and the slope is
either dry or fully submerged, the value of the safety factor is: Fmin=tan/tan.
In case of rapid draw dawn the safety factor is instead: Fmin='tan/(tan). With the
submerged unit weight of the potential instable mass. These two equations can be derived
recognizing that in a situation of infinite slope the vectorial sum of the thrusts on the
vertical faces of each slice must be zero
Therefore the values of F can easily be determined considering just the driving and resistant
components along the the slope of which, in case of shallow surface, is everywhere .

97

In the general case of c 0 and free surface of seepage at depth 0<z<Dmin , the solution
obtainable under the same hypotheses is:

+ [1

( )
] 2

7.7 Seismic actions: the pseudo-static method

Most of the existing large embankment dams that successfully have endured seismic actions
have been designed using either the pseudo static method or the permanent deformation
procedures introduced by Newmark (1965). Other modern procedures have been proposed
more recently and new simplified methods have been presented (Bray and Travasarou,
2007). Although recommendable for independent -and deeper- study, these methods are
not considered here as their presentation would be beyond the aim of this module.
The information given here are limited within a short demonstration of the pseudo-static
method. This procedure assumes that, within the stability analysis, horizontal and vertical
mass forces Fx and Fy respectively can be superimposed to the gravitational forces.
Fx and Fy are due to a nominal values of accelerations having the following components in
the direction x (horizontal) and y (vertical), (Duncan et al, 2014):
ax = Kxg
ay = Kyg
where Kx and Ky are the seismic intensity coefficients and g the acceleration of gravity. The
signs indicate that the vectors ax and ay can be oriented in the opposite directions and the
designer engineer has to investigate and assess the worst combination for each condition
considered. The vertical coefficient Ky is related to the horizontal one through the relation Ky
=jKx with j a factor of proportionality spanning between 0 and 0.5. Also the less favourable
value of j should be assessed within the calculations.
The value of Kx depends on the degree of seismicity of the area S, which is generally
assessed by the relevant public authority and the relation Kx = (S-m)/100, or similar
equations depending on the country, usually applies. Therefore, as in standards adopted by
several nations over the last decades, for S within the range 9 (low seismicity) to 12

98

(medium-heigh seismicity) the value of Kx spans between 0.07 and 0.10 when a typical value
m=2 is assumed.
When j=o and simple situations are considered the pseudo-static method has some practical
advantage. For example the case of infinite slope in seismic condition can be resolved with
reference to an equivalent seismic scheme where the seismic component is not explicitly
considered but the slope angle is increase of the value D=tan-1(kx). For example, with
S=12 and m=2 we have Kx=0.07 and D=4o.
The use of the pseudo-static method is useful when:
a) An existing dam designed with pseudo-static method has to be refurbished. Then it is
important to check if there are points of weakness in the original design and eventually
relate them to the observations on the behaviour of the dam. This exercise can enhance the
design of the maintenance works whatever the procedure applied (i.e. either pseudo-static
or dynamic)
b) There are not enough data on ground motion spectra during earthquakes.
c) A comparison between dynamic and pseudo-static method is required.
d) A back analysis of damages induced by earthquakes has to be done in order to reimplement the pseudo-static method while accounting for the ew evidences (e.g. increasing
the value of S etc..)
In their simulations on the seismic displacements of eleven embankment dams, values of a
yield coefficient of acceleration between 0.08-0.35, have been considered by Bray and
Travasarou (2007) as associated with the fundamental period of the dam and ground
motion spectral acceleration. However, no straight comparison can be made between the
values of the yield coefficient of acceleration and Kx as the former is a parameter of the time
dependent acceleration when modal analysis is applied while the latter is a coefficient of
proportionality between the force of gravity and a conventional force which is aimed to
represent the seismic action within a static scheme.
Bray and Travasarou (2007) compared the results from three alternative methods against
values of observed displacement and this exercise showed good agreement between their
method and real data. Method as that one proposed by Bray and Travasarou, 2007 are
necessary to check the long term serviceability of zoned dams in seismic regions. For
example their procedure might be applied when the contact between an impervious lining
and a rigid cut off at the upstream toe of the dam (Figure 7.12) has to be assessed in terms
of earthquake induced deformations.

99

Figure 7.12 Restoration work of Rio

Leni Dam. A section of the asphaltic
concrete lining at the upstream toe
of the dam is temporary removed in
order to refurbish the drainage
adjoining the culverted concrete
cut-off. Villacidro, 1999

7.8 Factor of safety

When limit equilibrium method is applied, the global factor of safety for dams stability has to
be determined with respect to the less favourable potential surface of failure. This
assessment requires a reliable software to assist with a comprehensive investigation. The
research of the critical 2D surface is facilitated in case of circular shape, as only the
values of the radius and the position of centre of the surface C (i.e. three variables in total)
are requested to define . The value of the global factor of safety along is named Fmin.
Values of Fmin differ for the slope and the condition considered. They are generally assumed
as in Table 7.7.
end of
construction
upstream
1.3
slope
downstream
1.3

rapid draw
dawn
1.3
-

max
impounding
1.5
1.5

earthquake

Table 7.7 Typical values of the global factor of safety for embankment dams
100

1.2
1.2

Eurocode 7 prescribes the use of partial factors of safety that can be applied to the strength
components c and tan if the analysis is in terms of effective stress or cu if the analysis is in
terms of total stress. Partial factors can also be applied to action or resisting forces. The aim
is checking both ultimate states and serviceability states with regard to strength and
displacements (Bond and Harris, 2008). The meaning of the symbols in Table 7.8 can be
deduced by comparing Equations 3 and 4.

Table 7.8 Eurocodes 7: values of partial factors for slope stability (after Bond and Harris,
2008)

(4)
Bishop Modified factor of safety in terms of partial factors are in fact included in Equation 4.
Design Approaches 1, 2 and 3 differently apply partial factors to both actions in
Combinations 1 and 2 and material properties.
The design engineer should be aware that different critical failure surfaces may be found if
partial factors are applied to different materials and combinations. To avoid this ( Bond and
Harris, 2008) a traditional slope stability analysis has to be carried out first, in order to
assess the critical mechanism. Subsequently a further set of calculations should be
performed on this mechanism using partial factors from Eurocode 7 and check if stability is
satisfied.
101

Tutorial 7
The riprap of a large dam 236m height, which is built in a seismic area with degree of
seismicity S=12, is constituted by a rockfill armour including basalt cobbles and boulders
mixed with gravel. The overall thickness Dmin of the riprap is 2C (m) and the slope is 23o
above the horizontal. The unit weight of water is 10kN/m3. The properties of the riprap are
as follows:
Unit volume weight =22kN/m3
Cohesion in terms of effective stress c=0
Angle of shearing resistance in terms of effective stress =38o
Rapid draw down conditions are supposed to generate a saturated layer along the base of
the riprap with a depth of the LFS (Free Surface of Seepage) being z=1.5m.
You are requested to assess:
Whether or not the safety factor in rapid draw conditions is larger than 1.3;
Whether or not the safety factor in rapid draw conditions + earthquake is larger than 1.2;
For the seismic actions use the pseudo-static method with a value of S=12 and m=2;
Address a simple comment on the statics of the riprap (stable, unstable, when..).
The expression for C will be given at the time of the assignment.

102

Coursework

(weighting)

Section A
Process laboratory data that will be available at the time of the assignment
And discuss on the results comparing your outcome with data from the literature

(10%)

Section B
Conduct both wedge and Janbus Generalized (GPS) analyses for a case similar
to that one shown in Figure 7.8. Use a value of height of the dam Hd=CHd and for the
base of the shell B=CB with C=1+URNmax/10, with URNmax the largest figure in your
URN.
3
o
For the shell use the following parameters: =18kN/m ; c=0; =38 .

Also:
-Assume along AC a cohesion cu given by the equation(1):
cu =90-(last two digits of your URN) (kN/m2), for example, the URN 6232836 gives:
cu =90-9=81 kN/m2;
-Assume a saturation profile coincident with OACD
-For wedge method calculation create your own spreadsheet (xlsx or any you like) (25%)
-For GPS prepare your inputs and use the MatLab code script provided by the lecturer (25%)
Assess which method is more conservative between the two and discuss whether or
not such difference in the results is reasonable in relation to a confidence range of
10kPa in the assigned cu value.

(20%)

Hint reiterate the calculations for two more cases considering respectively
cu-10 kPa and cu+10 kPa
Reanalyse the problem using the same parameters and conditions given and
implementing Bishop Simplified for the upstream shoulder only.
(You are not requested here to reiterate calculations for cu-10 kPa and cu+10 kPa).
3
For the foundation of the dam consider =21kN/m ; cu=200kPa; u=0.

(20%)

Note: The rule for cu might be different and will be finalized at the time of the assignment.

103

UNIT 8
Settlements
(Study time allocation = 5 hours)
8.1 Dam settlements
Because of their large mass, dams can experience relevant settlements. Generally placed in
open land, they have however very limited interaction with the build environment and,
except for the case of adjacent roads and ancillary works, large deformations can generally
be tolerated without compromising other assets. On the other hand, a threshold for
admissible deformations exists, as the deformed long term profile of the dam should be
assessed with regard to the following points:
1) stability of the foundation,
1) distortions within the dam,
2) crest settlement smaller than the reserve heightening hr (cfr. Section 2.4).
To address the three points above a competent use of FEM is recommended. Unlikely closed
form solutions, FEM enables the detailed assessment on the state of stress and strain within
the profile of a dam. The focus of such detailed investigation includes the following issues,
just to mention a few:
a) contacts between zones with different stiffness,
b) points at which rigid elements are put in (concrete cut off, drains, culverts etc..),
c) places where the slopes of the foundation could promote internal cracking,
d) settlements developement during the stages of construction and beyond.
Topics a-d are not straightforward to deal with and, when the task is about predictive
evaluation, the accuracy of the results is limited. For example, when foreseeing the value of
the total settlement within a 50m height embankment dam to be placed on a deep clay
deposit, an accuracy within the order of 0.5m is more than adequate, while a value of
0.05m would be extraordinary and perhaps fortuitous. On the other hand, FEM can be
calibrated against existing data form measurements conducted in situ for similar conditions
of dam and foundation ground. Such calibration is also important to determine appropriate
values of the parameters to use for describing the stiffness and the permeability of the soil.

104

It is probably correct to say appropriate, and not precise, values as it is frequent that
limitations, both in the analysis itself and in the boundary conditions assumed, can be
mitigated by using nominal values of these parameters. These nominal values may not
strictly correspond with results from element testing in the laboratory (Mitchell, 1983), even
though no worth to say that the smaller such discrepancy, the better both the numerical
model used and the mechanical tests done in the laboratory. It is also important to select
such nominal values with results from site investigations and reference to data published in
regard to soils that are similar to those under exam. To succeed with the last option, data
from the laboratory in terms of identification properties are very useful (Atterberg limits,
particle size distribution, organic content, etc..).
The complexity of the predictive task cannot be however an excuse to reduce the effort in
implementing numerical analysis. Assessment at the end of construction, along with
subsequent cheeks on the behaviour of the dam, certainly require numerical analysis both to
confirm hypothesis and solutions of the project and for interpretation of unexpected
behaviour (Figure 8.1).

Figure 8.1 Use of numerical model during dam operation (after ICOLD, 2013)
105

FEM is also undoubtedly useful during construction to implement advanced observational

approach along with data collected from the field. The observational approach is a method
by which predictions at design stage can be reviewed to better comply with the observations
made during the works. In this case the design must state in advance which variables can
undergo adjustment and which range of variation is expected for them. For example the
excavations of the foundation of an embankment dam can be deepened if some qualified
visual, or instrumented, observations suggests to do so, and lets say 1.5 m of increased
depth are proposed by the contactor to reach a stiffer layer. In this case the design engineer
can be requested to run again his numerical model and reassess the stability and the
deformation of the dam and they might find that the advantage is very limited because the
smaller settlement of the foundation is not totally compensated by the larger deformation
within the embankment after its height above the foundation is increased of 1.5m. It is
evident therefore that when the use of FEM is demanded to assist observational approach, a
sound numerical model should be ready prior to commencing construction.

8.2 Foundation settlements

When a rough preliminary assessment on settlements and distortions within the foundation
of an embankment is required, established analytical approaches can be used. Mitchell
(1983) presented a method to determine the total settlement of an embankment. In this
procedure, as in several classical approaches, the foundation ground is considered as a large
oedometer where the application of the load doesnt produce any lateral movement and only
variation of vertical axial strain Dv occur.
However, unlikely in the oedometer, these models assume the increase of the vertical stress
Dv due to construction is decreasing with depth, and for a symmetric embankment the
maximum value occurs at a point P located at foundation level on the symmetry axis. To
determine the total vertical stress increment Mitchell (1983) used the following equation:
Dv =IH
with I an influence factor, which is function of the geometry of the embankment (Figure 8.2)
and the depth of the point at which Dv holds and H the vertical total stress at point P. The
value of I along the centreline of the symmetric 2D embankment built on a semi-infinite
homogeneous and elastic continuum made of saturated soil is given for the initial load
condition of zero volumetric strain (=0.5) as plotted in the chart reproduced in Figure 8.3.
The compressible strata of the foundation ground is broken up into n layers and, in
principle, the larger n the larger the accuracy, but in general 3-5 layers are sufficient for a
106

reasonable precision. The overall thickness Dt of these layers is generally taken as one
fourth of the mean width of the embankment. In the example given here we have:
Dt=0.25(40+280)/2=40m.

Figure 8.2 Example of settlement calculation (after Mitchell 1983)

107

Figure 8.3 Influence factor I in 2D geometry and =0.5 (after Mitchell 1983)
For each layer the value DH of the oedometric variation of the thickness of the layer having
initial thickness H is given by the function:
= [ ( ) +

( )]
1 +

with the coefficient of volumetric compressibility -Dv/Dv , i.e. the inverse of the
oedometric moduls Eoed, and the meaning of the other symbols as shown in Figure 8.4.
Basically this expression of the elementary displacement is given by two terms:

( ) i.e. the deformation in condition of overconsolidation (o/c in Figure 8.4.)

1+ ( ) i.e. the deformation due to the amount of stress exceeding .

108

Using the principle of superposition (which we can deploy here as I is an elastic influence
factor), the settlement under mid points slope can be determined. In the example of figure
8.2 such calculation is conducted for the stage of construction when the embankment
reached its mid height. In this case the coefficient I1 and I2 have been halved depending on
the geometries of the elementary embankments 1 and 2 respectively. Note that in the case
given values of w/z for Embankment 1 need to be extrapolated when the chart in Figure 8.3
is used. The final settlement under mid point slope can be determined adding half effect
induced by another elementary embankment with w=100m and H=25m and subtracting half
effect due to a final embankment with w=0 and H=25m.
Non-symmetrical embankments and heave along the bottom of excavations can also be
considered with similar procedures, provided that the principle of superposition is correctly
implemented. Typical strength and compression characteristics for soils are given in Table
8.1. This method can also enable the estimation of the development of the settlement over
time by means of the theory of one-dimensional consolidation.

Figure 8.4 Compression of soil in uniaxial symmetry (after Mitchell 1983)

109

Table 8.1 Typical strength and compression characteristics for soils (after Mitchell 1983)

8.3 Measurements
The use of the observational approach can take robust advantage by the deployment of a
strategic measurement system during the construction of the dam. Generally it is used even
after construction and therefore needs to be protected and maintained efficient during the
works.
Details on geotechnical instrumentation and site investigation are not addressed here, as
their treatment would be beyond the scope of the present notes. There are however well
established publications that can be consulted for this purpose (Hanna, 1973, Clayton et al.
1995).
110

On the other hand, we just wish to focus here on a classic device suggested by the US
Bureau of Reclamation (1963) to measure settlements within an embankment dam (Figure
8.5).

II)

I)

Figure 8.5 - USBR settlement assestimeter: I) Bottom plate and cross arm (after Sowers,
1962); II) Probe (adapted from Slope Indicator, 2009)

In US Bureau of Reclamation (USBR) assestimeters several reference components are

installed (Figure 8.5 I a,b) and a settlement probe (Figure 8.5 II) is used to measure relative
settlements within an embankment (i.e. not including foundation settlements). These
settlements are calculated after comparing a set of measurements taken at a certain time to
the initial set of measurements. Change in readings corresponds to settlements in the
embankment at levels where cross arms are installed during construction (Figure 8.5 I b)
and all the readings are taken as relative to the foundation level, where a settlement plate
(Figure 8.5 I a) is located before the construction of the embankment. Typical outputs of
USBR probe measurements are presented in Figure 8.6 a,b.
It must be noted that maximum settlements occur at mid height of the dam. The settlement
at the foundation level requires additional simultaneous topographic measurements from
fixed benchmarks located outside the working site, which can be quite vast (Figures 8.7).
Strategic points must be selected therefore to guarantee good visibility as well as reduced
interference with the works. Abutments, close hills and cliffs might be the most convenient

111

locations (Figure 8.8). Careful management of outputs ought to be implemented also to

properly combine and record topographical data with USBR measurements.

Figure 8.6 Settlements in Beas Dam (India): a) Settlements of cross-arms installed in the
embankment during construction, these values have been taken against the elevation of the
correspondent bottom plate; b) Total settlements as sum of the maximum settlements along
the assestimeters and the settlements at the foundation level, these values have been
plotted as the percentage of the height of the embankment.

Figure 8.7 Sciaguana Dam during construction. Enna, 1984

112

Figure 8.9 Optical collimator Galileo on the left abutment of Paceco Dam. Trapani, 1997

Tutorial 8
Within an embankment dam, where does the maximum absolute settlement usually
occur?
State which of the following answers best describes a real situation:
A at the centre of the foundation area
B at the toe upstream
C at the toe downstream
B at the top
C at mid height of the dam
Evaluate the largest settlement of the foundation from the data in Figure 8.6. For
the height H* of the embankment you should consider in your exercise use the
values of the height H of the embankment as represented in the y axis of Figure
8.6b where 0H72m and consider as your input H*= CH.
C is a coefficient that will be given at the time of the assignment.

113

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submerged slopes. International Journal for Numerical and Analytical Methods in
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Barnes G. (2010). Soil Mechanics. Principles and practice. Third edition. Palgrave Macmillan.
Begnudelli, L. and B. F. Sanders (2007). Simulation of the St. Francis Dam-Break Flood.
Journal of Engineering Mechanics. American Society of Civil Engineers ASCE 133, 11, 12001212.
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Bishop, A. W. (1955). The use of the Slip Circle in the Stability Analysis of Earth Slopes,
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Bond, A, and A. Harris (2008). Decoding Eurocodes. Taylor and Francis.
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Cavarretta, I (2011). MatLab script for slope stability using Janbu Generalized.
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DOnofrio, A. and A. Penna (2003) Influence of compaction variables on the small strain
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Applicata 1, 41-52.
Gens, A (1996). Constitutive Modelling: application to compacted soils. Alonso and Delage
(Eds). Balkema, Rotterdam.
Google Earth (2015). European Space Imaging. Cnes/Spot Image.
Hanna, T. H. (1973). Foundation Instrumentation, Trans Tech Publications, Cleveland, Ohio.
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dams. ICOLD Bullettin 31a, Paris.
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dam engineering. ICOLD Bullettin 155, Paris.
114

Janbu, N., Bjerrum, L. and B. Kjaernsli (1956). Soil mechanics applied to some engineering
problems, in Norwegian with English summary. Norwegian Geotechnical Institute 16, Oslo.
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Hirschfeld and SJ Poulos, eds., Jon Wiley and Sons Inc., NY.
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116

PART 2 TUNNELS

117

UNIT 9
Empirical methods and failure criteria
(Study time allocation = 9 hours)
9.1 Predictions using rock classification
Accordingly with Einsten et al (1979) empirical design methods for tunnels are useful tools if
informed judgement is applied to their use and users should be aware that these methods
can be improved only enlarging the data base and incorporating actual behaviour in future
predictions.
Tunnelling design still largely rely on empirical methods and large data base are available
nowadays for a successful deployment of these procedures. The use of empirical methods
coupled with expert numerical modelling has made possible the achievement of huge
challenges in the field. Since the 70s tunnels industry has grown progressively, both in
terms of amount of drilling technology and underground works competed per year. Recent
achievements include London Cross Rail and the 57km (35 mile) Gotthard rail tunnel. These
are key infrastructures in Europe, providing efficient and fast links and slashing as much as
one hour or more the time spent every day by a massive number of commuters, business
man and tourists. Long tunnels can also facilitate and redirect heavy traffic lowering
dramatically the impact on the environment and natural resources.
After the research from Deere (1963) set up the Rock Quality Index classification (RQD) and
in the early 70s a large data base was finally capitalized and applied by Bieniawski (1974)
with the aim of sizing underground openings. He named his method Rock Mass Rating
(RMR), and finalized it to the assessment of the stand-up time of unsupported underground
excavations. RMR was soon adopted by the Council for Scientific and Industrial Research
(CSIR) where the method was codified as showed in Table 9.1A-D, which reproduces the
tables presented by Hoek and Brown (1980).
Table 9.1E has been included in Table 9.1 as it was implemented within the CSIR rating
system. It accounts for the orientation of the discontinuities within the rock mass. This
system of classification is referred here either as to RMR or to CSIR. It is better to keep in
mind both the acronyms of this method, as there is not a unique consent in designating it
within the current literature.
118

Table 9.1 RMR System: CSIR classification following the work done by Bieniawski, 1974
(adapted from Hoek and Brown, 1980; note that Table 9.1 E appears as a separate table in
the original document)

119

Figure 9.1 Procedure for measuring RQD (after Deere, 1963)

Although the use of this Table presumes some knowledge of Rock Mechanics at the level
expected from first year Civil Engineering students, its seems useful recall her that, after
Deere (1963), RQD index appearing in Table 9.1A) refers to the total length of rock core
samples longer than 0.10m within 2.00 meter boring (Figure 9.1) expressed as percentage.
RQD is generally evaluated when the rock core samples are inspected and described after
being retrieved from a borehole.
Bieniawski related the RMR to rock mass classes as in Table 9.1D and presented the chart
reproduced in Figure 9.2. Table 9.2 shows an example of application of the RMR system. It
is useful to go through it as this exercise demonstrates that the procedure is simpler than
expected.

120

Figure 9.2 RMR system: stand-up time of an unsupported underground excavation span and
CSIR classification proposed by Bieniawski, 1974 (as in Hoek and Brown, 1980)

Table 9.2 Example of using RMR approach (adapted from Hoek and Brown, 1980; the
references to Table 9.1 and Figure 9.1 appearing in this extract do not reproduce the
original ones as amended to meet the numeration within the present document)
121

Another important work on rock description was published by Barton et al (1974). They set
up a quality index and named their approach the Q method. However it is nowadays also
known as the NGI method, from the name of the Norwegian Geotechnical Institute, the
organization where they carried out their study. The method was described in detail by Hoek
and Brown (1980) as reproduced at Table 9.3 (a,b,c).
The initial application of the Q (or NGI) method had the same purpose as Beniawskis one,
but the concluding chart given within this second method might appears more informative
for the design purpose, as it focuses more on the requirement for the artificial support
(Figure 9.3). The Excavation Support Ratio (ESR) was also introduced in the chart (Table
9.4). With this factor Barton et al (1974) intended to account for a factor of safety, which
depends on the utilization of the underground opening. Table 9.5 reproduces the example
provided by Hoek and Brown (1980) as application of the NGI method. A final update of the
chart was presented by Grimstad and Barton (1993) where several detail of the support are
related to different Q-values and the use of steel fibres reinforced concrete as structural
component was considered (Figure 9.4).

Figure 9.3 Use of NGI Q quality index to estimate the maximum equivalent dimension De of
an unsupported underground excavation (after Barton et al., 1974 as in Hoek and Bray,
1980)

122

Table 9.3a NGI quality index method by Barton et al, 1974 (as in Hoek and Bray, 1980)
(continue with Tables 9.3b and 9.3c)

123

Table 9.3b NGI quality index method by Barton et al, 1974 (as in Hoek and Bray, 1980)
(continue with Table 9.3c)

124

Table 9.3c NGI quality index method by Barton et al, 1974 (as in Hoek and Bray, 1980)
125

Table 9.4 Excavation support categories (Barton et al, 1974 as in Palmstron and Broch,
2006)

Table 9.5 Example of NGI approach (adapted from Hoek and Brown, 1980; the reference to
Figure 9.3 in this extract doesnt reproduce the original as amended to meet the numeration
within the present document)

126

Figure 9.4 The Q system chart (after Grimstad and Barton, 1993, as in Palmstron and Broch,
2006)
A discussion on the limitations of both RMR and Q system was presented by Palmstron and
Broch, (2006). Using a comprehensive data base they demonstrated that a straight
correlation between the two systems doesnt hold. For example (Figure 9.5), for RMR = 62,
Q spans from 1 to 70 (very poor/poor to very good).
They also concluded that in the chart provided within the Q system the most reliable
applications are for rock classes E-B and for Span/SER between 2.5 and 25. Finally they
claimed that no reliable prediction on the advance rate of a Tunnel Boring Machine can be
made by using the Q system, also because as consequence of the variable abrasive
characteristics of the rock.
Other recommendations for a critical use of both the RMR and Q systems are in Marinos et
al (2005). They claimed that RMR works well for 30<RMR<70 and the two methods can lead
to major change point in excavation or support type with important financial
consequences.

127

Figure 9.5 Relationship between the RMR and Q system (after Palmstron and Broch, 2006).

9.2 Hoek and Brown method

Hoek and Brown (1980) presented numerous results of triaxial tests conducted on intact
rock specimens (i.e. appearing not fractured after handling and visual inspection). They
worked with a triaxial cell designed by Hoek and Franklin (1968) enabling confining pressure
up to 70MPa (Figure 9.6).
They assumed that the intermediate principle stress had no effect on the strength of the
rock. This was actually a rigorous statement considering that the triaxial apparatus as that
one they implemented works at confinement stress 2 = 3 and therefore in conditions of
uniaxial symmetry. They found that the intersection of the yield surface with the principal
plane (3 , 1) was not linear as in the Mohr Coulomb criterion, but had a shape that could
be approximated to a parabola. The same conclusion held for the shape of the failure
envelope in the ( ) plane (Figure 9.8). They therefore formulated the following criterion
for intact rock (Hoek and Brown, 1980):

1 = 3 + 3 + 2
128

(1)

Figure 9.6 Cutway drawing of Hoek and Franklin triaxial cell for testing at confining
pressure up to 70MPa (after Hoek and Brown, 1980).
with the uniaxial compressive strength and m and s empirical constants. As in Eberhardt
(2012), following other experiments and aiming to account for a failure criterion to use for a
fractured mass, this criterion was later updated by Hoek et al (1995), who proposed the
following equation:

3
1 = 3 + (
+ )

(2)

where was introduced to account for broken rock, while was considered to better
address the effect of both hard and poor rock quality, while the principal stresses were
explicitly specified in terms of effective stresses.
The comparison between linear Mohr-Coulomb and non-linear Hoek-Brown criteria is shown
in Figure 9.8. We can see that because of the non-linearity of Hoek-Brown criterion, the two
yield surfaces are similar in shape but define stronger or weaker behaviour of the rock as
effect of the confinement stress. Note that the two intersections in Figure 9.8 can either
result in the inverse order (Hoek-Brown hexagon outer of Mohr-Coulomb one) or coincide,
depending on the position of the plane, which reflects the value of the considered
hydrostatic stress. As reproduced in Figure 9.9, Eberhardt (2012) showed the influence of
the parameter m on the failure envelop of Hoek-Brown criterion. Higher m values give
steeper inclined envelopes, and less tensile strength in uniaxial extension, which explains
why m is a descriptor of the frictional strength of the rock.

129

Figure 9.7 Hoek and Brown failure criterion for intact rock (after Hoek and Brown, 1980)

130

Figure 9.8 Comparison between linear Mohr-Coulomb and non-linear Hoek-Brown criteria: a)
failure envelopes; b) intersections with the p-plane (adapted from Eberhardt, 2012). The
two intersections can either result in the inverse order or coincide depending on the
hydrostatic stress levels considered

Figure 9.9 Influence of the parameter m on the failure envelop of Hoek-Brown criterion
(after Eberhardt, 2012)
131

9.3 The GSI method

Following further extensive tunnelling experience worldwide, including the completion of
challenging galleries in Greek, Hoek and Marinos (2000) presented a new qualitative system
for the characterization of rock. The method, referred to as Geological Strength Index (GSI)
appeared to be easier to implement in tunnelling design compared to RMR and Q systems.
Furthermore relationships between GSI and constant descriptors appearing in the revised
failure criterion by Hoek et al (1995) (Equation 2) were provided within some consecutive
updates. The new method, which gained large popularity in tunnel engineering, is shown in
Figure 9.9 as revised in the paper presented by Hoek et al (2013). In the chart they
presented (Figure 9.10) the main novelty is the consideration of a quantitative relationships
between the GSI and:
-

the values of the parameter describing the conditions of discontinuities as defined by

Bieniawski (1989), which they (Hoek et al 2013) called JCond89 and is defined as
reproduced in Table 9.6;

the values of the RQD (Deere 1963).

The revised GSI procedure offers an opportunity of enhancing the interaction between
engineering geologists and geotechnical engineers working on the same projects. According
with the first formulation of the GSI, within a project team, the geologist was basically the
sole expert enabled to qualify the rock mass. With the new GSI (Hoek et al 2013), the
geotechnical engineers can instead be more involved with the procedure, which in fact relies
on quantitative measurements that reflecting the outcomes of the boreholes and
observations in situ. This larger involvement is a significant advantage, particularly in the
countries where the geotechnical engineer has to take full responsibility for the design, and
provided that, driven by such obligation, they would be keen to pursuit a comparative
exercise by making their independent description of boreholes and local outcrops. There is
personal experience showing that this is a formative and safer approach, which makes both
the engineering geologist and the geotechnical engineer more accurate and reliable in their
work on site.
With regard to design procedure, Marinos et al (2013) highlighted that, unlikely RMR and Q,
which were developed for the purpose of estimating tunnel reinforcement or support, GSI
was developed solely for purpose of estimating rock mass strength. Therefore, they clarified,
GSI is only one step in the design process and cannot be used, on its own, to specify
tunnelling conditions.
132

Figure 9.10 Chart to estimate GSI (after Hoek et al, 2013)

Table 9.6 Definition of JCond89 after Bieniawski (1989) as in Hoek et al (2013)

133

As in Eberhardt (2012), in 2002 Hoek et al (2002) had re-updated the relationships between
the GSI and and mb , s and a, and had introduced a new factor D in order to account for
possible weakening effects of blasting on rock masses. The new relationships after their
revision are as follows:
100

= ( 2814 )
= (

100
)
93

= 0.50 + ( /15 + 20/3 )/6

For the estimation of disturbance factor D they presented the guidelines reproduced in
Table 9.7. D values span between 0, related to hand excavation, and 1.0, which reflects the
worst scenario of poor blasting, even though the poorer value of D to adopt for
underground opening should never be larger than 0.8.

9.4 Unsupported excavations

The definition of active span provided by Lauffer (1958) suggests that the relevant span to
consider in support design should be taken in both the transverse and the longitudinal
direction of the tunnel (Figure 9.11). Thus such a definition has to be considered when using
chart as in Figures 9.2-9.4. There are, however, special 3D conditions when the concept of
the active span does not apply and engineering judgment has to be implemented. For
example, in the case of Figure 9.12 the protrusion of the smaller preliminary lining (on the
left) beyond the unsupported face of the main tunnel aimed to:
-provide more stiffness and strength at the edge of the smaller preliminary lining;
-protect workers from insulated falls from the unsupported face above;
-support the formworks of the armour of the face of the main tunnel which also served as
entrance work for the connection with an existing sewer.
The design of appropriate stages of construction is a key point in tunnelling engineering,
also considering that unlikely earth filling and excavation, it is practically an irreversible task.

134

Table 9.7 Estimation of disturbance factor D

135

Figure 9.11 The definition of active span proposed by Lauffer (after Hoek and Brown,
1980)

Figure 9.12 Temporary stage of partially supported excavation in Numidian Flysh

during the construction of the junction between the old and the new sewer of Palermo
North-West area, in the section close to the outlet into Sferracavallo Marina. At this
stage the old sewer was not visible, being ahead the face of the excavation with its
profile corresponding to the white dashed line. Palermo, 1990
136

Tutorial 9
A dry flat deposit of well cemented sandstone with unit weight C22kN/m3 and uniaxial
compression strength = 32MPa shows only one set of bedding discontinuities, with angle
of dip 450 and dip direction 2700 (Figure 9.13). A horizontal nuclear waste
gallery with circular vault having a diameter of 5m has to be built with its central axis at a
depth of 110 m below the ground.
The discontinuities of the rock mass have been observed both through borehole cores and
visual inspection during the excavation completed to create the shaft entrance at the
required depth. They are slightly weathered and have rough surfaces, their tiny aperture
equals 0.8mm only. Average RQD=32%.
You are requested to:
- Draw the Mohr circle that represents the state of stress that will be mobilized in the
rock in a point P just above the top of the arc of the gallery. Assume litostatic conditions
in the rock mass before the excavation (spherical state of stress) and consider that after

the excavation the horizontal stress 0

in P is unchanged while the vertical stress
drops to zero.
- Draw the Hoek-Brown envelope for the rock mass.

- Determine the maximum value of =

that the rock mass could withstand at point

P when = 0; draw the Mohr circle that represents the state of stress mobilized in the
rock in such a potential failure condition and determine a nominal safety factor as

F=
/ 0
and both the shear =nf and normal stress =
on the potential
failure surface.
- Predict the dip and dip direction of the potential surface of failure of the rock mass.
- Suggest (in deg) the most favourable direction of the tunnel and specify the most
convenient orientation of the excavation.
- Predict the stand-up time of a section of unsupported excavation.
- With reference to the same optimal direction, deploy the Q system to suggest which
kind of support if any.
The value of C will be given at the time of the assignment

Figure 9.13 Definitions using the lower reference hemi sphere stereographic projection
(after Hoek and Brown, 1980)
137

UNIT 10
Soil-lining interaction
(Study time allocation = 7 hours)

10.1 Stress anisotropy

Design engineers who aims to evaluate the stresses induced by tunnelling should first
question themselves about the state of stress in the ground before the excavation. In an
ideal situation of horizontal field and homogenous elastic subsoil, a normal deposition under
gravity can be assumed and the generalized Hooks law for the case of uniaxial deformation
(v0 and h=0) is: 1/E[h-(v+h)]=0 and therefore: h/v=(1+h/v), or, by definition
of k0:

0 =

(1)

The value of is approximately 1/4 (Jaeger and Cook, 1979), from which k0=0.33, and
eventually, using 0 = 1 , which is a relationship well estabilshed in soil mechanics
for normally consolidated soils, a value of = 420 , can be determined. This might be a
reasonable value of the angle of shearing resistance for a rock mass.
However, measurements done in situ and presented by Brown and Hoek (1978) show values
of k much larger than 1/3. They considered a database of results obtained from several
excavations completed worldwide within mining and power stations projects, and related the
values of k to the correspondent values of depth z, with z values spanning in the broad
range 0 - 3km, as in Figure 10.1. In their chart (Figure 10.1) Equation (1), is represented by
the vertical chain dotted line, with = .
The measured values of k where generally higher than expected, and the horizontal stress
was often larger than the vertical, except that for z>2km, where the measured values
slightly tend to Function (1), which, however, represents the lower boundary of all the
measured values of k. There is not a clear explanation for these results, but, in overall, they
tend to confirm the assumption of litostatic stress described as Hims rule by Talobre (1957),
which states that, as consequence of long term rheological phenomena, the underground
state of stress is spherical with a value given by the overburden pressure and for
homogenous soil or rock equal to gz. As in Mair (2008) the litostatic assumption is strictly
138

applicable only to galleries with cover-to-diameter ratios in excess of five, which seems to be
compatible with the data in Figure 10.1 as they are limited to depth values larger than about
50m and it is unlikely that points in Figure 10.1 refer to the galleries having diameter values
larger than 10m.

Figure 10.1 Measured values of K (after Brown and Hoek, 1978)

In addition and not less importantly it must be noted that:
-

There is an inherent anisotropy of underground stress due to local morphologies (Figure

10.2);

Any gallery, whatever the excavation technique, produces an alteration in the stress of
the soil. For example ideal measurements of stress at the centre of the roof of an
unsupported excavation and just at the boundary where the normal stress is zero
should give value of k (Figure 10.3).

Odd anisotropic stresses (e.g. major principal stress direction being far from the vertical)
may hold within large natural slopes. In these scenarios either the final works or the
temporary structures of the tunnel can be severely challenged (Figures 10.4 and 10.5).
139

Figure 10.2 Trajectories of principal stresses in a hill due to gravity (after Jaeger and Cook,
1979)

Figure 10.3 Anisotropic stresses at local scale, near a tunnel crossing a flat land (drawing
taken from Singh and Goel, 1999)

Figure 10.4 Anisotropic stresses at large scale, around a tunnel parallel to the ground
contours of a steep slope (after NGI, 2013)
140

Figure 10.5 Reinforced concrete portal stiffening the diaphragm wall at the entrance of
Cozzo Minneria Motorway Tunnel. S. Stefano di Camastra, 2000

For example, within the bottom left zone of the profile sketched in Figure 10.4, values
of k<1 can be perceived, and are similar to those expected for a normally consolidated
soil, while stress ratio values k>1 appear all over a zone of strong anisotropy, located
at the toe of the hill. Note that in Figure 10.4 the axes of the elliptical stress are
depicted at a large scale, and in proximity of the unsupported gallery local deviations
of the stress trajectories could occur just in the area close to the profile (Cx) of the
excavation. Here directions of the major principal stress tangential to Cx might apply.
In the real case of Figure 10.5 a robust reinforced concrete ring was built against the
entrance diaphragm wall before the shaped cutting of the shotcrete and the contiguous
piles within the cross profile of the tunnel. This precaution prevented relaxation of the
horizontal stress in the slope and consequent strength loss. A safe commencement of
the excavations underground was therefore facilitated and the classical boring
procedure could start within one week after the removal of the formworks used to cast
the ring.

141

10.2 Simplified model for deep tunnel

Mair (2008) presented a clear state of the art on the analytical procedures to undertake
for the design of the lining of a deep tunnel in clays. As in Mair and Taylor (1993), he
considered axisymmetric conditions. The tunnel is circular, the diameter D of the
excavation is significantly smaller than the depth z of the axis of the tunnel below the
ground surface and a ratio (z/D)min 5 can be considered as requirement.
The model refers to undrained conditions within a homogeneous soil of indefinite depth
and breadth, idealized as linear elastic-perfectly plastic, with Youngs modulus Eu , shear
strength cu and unit volume weight .
The ground response ahead of the tunnel is evaluated in terms of unloading of an ideal
spherical cavity within the given soil. The radial soil movement in a point located on
the vertical plane passing through the edge of the lining and having distance r form the
axis of the tunnel is given by the spherical cavity contraction theory:

( ) (0.75

1)

2 2

(2)

With N* a stability ratio equal to z/cu. The maximum radial contraction 1 of the soil
within the unsupported section of length P (Figure 10.6) is found by substituting the
value r=D/2 in (2):

1 =

(0.75 1)

(3)

When the tunnel construction continues the point that before had radially moved over
a distance 1 continues to converge towards the centre of the tunnel but now it moves
while constrained by the lining and the stress in it start increasing from zero, which was
the value at that point during the stage of unsupported excavation.
When the lining advancement is about at 2D distance from this point, which is located
on the section x-x in Figure 10.7a,b, the displacement stabilizes at a value:

= 1 + 2

(4)

The value 2 depends on the mechanical properties of both the soil and the lining, and
for a generic normal stress L on the lining the following relationship holds, as given by
cylindrical cavity contraction theory (Mair and Taylor, 1993):

142

Figure 10.6 Simplified model for tunnelling (after Mair, 2008)

Figure 10.7 Cylindrical cavity unloading following the spherical cavity unloading (after
Mair, 2008)
143

( ) (1)

4 2

(5)

were the stability factor N accounts now for the reaction of the lining with a stress L and
therefore: N=(0L)/cu.
When, across the cylindrical contraction, the radial stress drops form its undisturbed initial
value r=0 =z towards the final value Li the (displacement - normal stress) function in the
soil is linear only within a limited range where N1, and might occur that, before reaching
the lowest final value Li , some plastic region would develop around the lining. This
mechanism is described in Figure 10.8 where the displacement-normal stress function is just
a linear segment between A and B but shows a curvature corresponding to a progressive
decay of stiffness for values of rrB.
The equation of the line AB is found by using N=1 and r=D/2 in Equation 5, which gives:

= 0

4
3

(6)

This equation derives by application of elastic theory and agrees with the relationships
presented in the literature by other researcher for similar analysis of deformations induced
by tunnelling (e.g. Hoek and Brown, 1980).
The elastic-plastic response is obtained for N1 from Equation 5 by making N explicit as
(0L)/cu and rearranging:

= 0 (

4
3

(7)

The great advantage of the model proposed by Mair (2008) is the quantification of the initial
movement 1 , the amount of which governs the robustness (and the cost) of lining.
In fact the line representing the reaction function of the lining must intercept the axis
(Figure 10.8) at a value and its equation can be determined for the elementary ring of
external diameter D and thickness t experiencing an elastic contraction of its diameter when
the radial stress increases. The average circumferential contraction of the ring is:

22 = 1 (D t)

(8)

with 1 the axial strain, which can be expressed in terms of axial stress 1 and Youngs
modulus of the lining E1: 1 = 1 /1 and by substituting in Equation 8:

22 = 1 (D t)
1

144

(9)

were if t/D is small the circumferential stress is constant within the radial cross section of
the ring and can be related to the normal stress on the lining through the equation of
equilibrium in the diametral cross section of the ring:

(10)

And substituting in Equation 9 we have:

41

( ) 2

We can see that the larger 1 values enable lower final value of the stress on the lining
and the stiffer the lining the larger is . The model in Figure 10.8 can also be deployed
to simulate the behaviour of a tunnel where a preliminary lining (steel beams, shotcrete,
fibro-reinforced shotcrete etc..) is placed before installing the final lining. In this case the
line XC is broken into two segments of different slope as different is the stiffness of the
lining in these two stages. Lines describing the soil-lining interaction (Figure 10.8) are
referred to as reaction curves but also the other appellation of characteristic lines can be
found in the literature, both the definition have the same meaning.

(6)

(7)

Figure 10.8 Soil-lining interaction (redrawn after Mair, 2008)

145

During the excavation it is important to keep under control the value of . In the classical
system this is usually implemented through measurements of the convergence of the tunnel
using fixed points, and accurate distantiometer. The fixed point are established using
metallic targets screwed in the lining (either preliminary or definitive lining) (Figure 10.9 and
Figure 10.10).

Figure 10.9 Convergence measurement on preliminary lining using removable distantiometer

with 0.1mm resolution, during construction of Ancipa aqueduct tunnel. Parco della Ronza,
Piazza Armerina, 1989

convergence bolt
in use
preliminary lining
convergence bolt
abandoned

definitive lining

Figure 10.10 Example of a profile of ten cords of a cross section in a circular tunnel where
convergence measurements are carried out on the definitive lining.

146

Tutorial 10
A circular tunnel has to be built in stiff sandy clay with medium plasticity at a depth of
28m below the ground surface. The ground surface is horizontal. The properties of the
clay are as follows:
=20kN/m3
cu=300kPa
Eu=10MPa

No preliminary lining will be used and a reinforced concrete lining with an external
diameter D=5m and a thickness t=0.30m and Youngs modulus E1=C2GPa will be cast
in place in one stage while keeping in 2m its distance from the face of the excavation.
In 24hrs the concrete reaches a compressive strength f44h =5MPa while its fck (at
28days) is 40MPa.
Using the notations in Figure 10.8, determine all the typical values of the characteristic
lines of the soil and the lining in the ,r plane, and sketch these lines. You are also
requested to determine the value expected for ,r at the transition between elastic
and elastic-plastic behaviour (point B in Figure 10.8).
An engineer is carrying out measurements of the convergence of the horizontal
diameter of the tunnel in two cross sections respectively located in the unsupported
sector ahead the lining and on the installed lining at 20 m distance from the advancing
face. State the values of the max convergence expected in the unsupported excavation
and the lining and the value of the final stress on the lining in terms of radial stress L
at the interface with the clay and structural axial stress 1. Finally, specify the largest
acceptable value of the advancement speed accounting for a structural factor of safety
Fc=3 defined as f44h1 . Consider undrained condition.

The value of C will be given at the time of the assignment.

147

UNIT 11
Excavation methods and ground movement
(Study time allocation = 2 hours)

11.1 Excavation methods

Classical, or traditional, excavation methods of tunnelling have different denominations but
similar meaning, for example both the New Austrian Tunnelling Method (NATM) and the
Sequential Excavation Method (SEM) are based on a staged construction approach, with
more or less gradual procedure, depending on the characteristic of the ground, the
geometry of the tunnel and the requirements for safety and serviceability. While the detailed
presentation of all these techniques is beyond the aim of these notes, might be useful here
to address some explanation on their main features.
Figure 11.1 (a, b and c) shows stress/strength ratio (Rp) contours in the rock surrounding
galleries excavated with different shapes and partially supported at the roof (Hoek and
Brown, 1980). The horseshoe profile (Figure 11.1b) and the similar one on the right, shaped
with curved sidewall (Figure 11.1c), have a reduced plastic area adjoining their profile
(Rp1).
These profiles are convenient when traditional techniques and tools are used. In particular
the flat invert facilitates the movements of builders and dumpers and the curved roof is
effective against the rising of tensile stresses at the centre of the vault.
The horseshoe profile is also convenient as straight steel profiles can be deployed for the
construction of the preliminary support. The definitive lining can have a statically favourable
internal profile shaped with arcs of radii R and 2R while the overall section has aspect ratio
1.00 (Figure 11.2). With this solution there is in fact larger thickness where higher values of
shear are expected.
Traditional system is not any more competitive in long tunnels, when the amount of work to
complete justify the deployment of a Tunnel Boring Machine (TBM). This point is considered
in more detail in Section 11.3.

148

Figure 11.1 Stress/strength ratio contours in the rock surrounding galleries excavated with
different shapes and partially supported at the roof (after Hoek and Brown, 1980)

Sequence of installation:
1 preliminary lining: H steel profile and shotcrete
2 side wall
3 arc
4 invert with key

Figure 11.2 Use of SEM for a horseshoe tunnel shape with aspect ratio equal one

149

11.2 Field data

Figure 11.3 shows motorway tunnel with diameter D10m constructed with SEM. Both
tunnel settlement and surface settlements have been measured. There is no strong
correlation between the two sets of data but both of them seem to have been influenced by
the overburden pressure that can be estimated from the elevation H of the ground above
the tunnel axis. The values of the surface settlements are however quite relevant and tend
to be uniform for H>3D.

Figure 11.3 Displacements measured during the construction of a motorway tunnel in soft
rock using the classical Sequential Excavation Method (after Bizjak and Petkovsek, 2004).

11.3 Volume loss and ground settlements

As explained by Mair (2008), Earth Pressure Balance (EPB) tunnelling machine technology
has been considerably developed in recent times and excellent ground movement control is
achievable nowadays even in difficult conditions. Successful use of EPB TBM has been
documented when the ground would fail in absence of face support and also when severe
restrictions in terms of field displacements apply.

150

Figure 11.4 Gaussian shape of the transverse settlement through (after Mair, 2008)
There is nowadays a vast database showing that the settlement trough above a tunnel built
in a homogeneous soil with horizontal ground surface can approximated with a Gaussian
curve (Mair, 2008, Mair and Taylor, 1997):

( 2 )
2

(1)

where the meaning of the symbols is explained in Figure 11.4. The volume of the
settlements through per unit run is given by the integral of Equation 1, which gives:
(2)

= 2
It is defined as volume loss :
=

4
2

100

(3)

where 2 /4 is, per unit run, the volume of soil originally inscribed inside the volume of the
tunnel. When EPB TBM are deployed VL generally turns out to be in the range 1-3%.

151

Tutorial 11
A tunnel with circular cross section and diameter of excavation C6m has been designed at
a depth of 20m below the street level of an intensely built council area. The ground surface
is horizontal. An advanced TBM will be used to excavate the firm-stiff clay which is present
in all the area. It is expected that the construction of the tunnel will produce a settlement of
10 cm with a volume loss of 3% as measured in a similar situation when the same TBM has
been deployed.
The planning of a surveying activity is ongoing and you have been requested to determine
where the buildings are expected to experience the highest tilting in order to locate there
apposite targets and instrumentation.
As a design engineer yow also need to complete a calculation to demonstrate to the public
authority that the project complies with their requirements which ask for a maximum value
of the differential settlement of the ground surface equal to 10mm over a length of 10m.
The value of C will be specified at the time of the assessment.

152

UNIT 12
Structural stability and numerical analysis
(Study time allocation = 5 hours)
12.1 Stress analysis
Once the analysis of the loads expected on the tunnel is completed and the ground
deformations have been assessed, the design engineer has to carry on with the structural
analysis of the lining. Manual calculations can be undertaken with reference to simple but
significant schemes. The results can be compared with outputs from numerical modelling
using the Finite Element Method (FEM).
12.2 Three hinges scheme
The arc is a relevant part of the lining, it has to withstand large actions including possible
bending moment at the top and shear force close to the connection with the side wall.
Either because a tension crack developed at the top of the vault or in adherence to specific
structural connections the three hinges arc is a recurrent condition of analysis. The analysis
presented in Figure 12.1 accounts for symmetry and considers the case of a dry soil in K0
condition. To work out the analysis loads effects can be superimposed as in the spreadsheet
reproduced in figure 12.2.

Figure 12. 1 Three hinges arc as structural support for a tunnel

153

154

-3.0

-1.5

x (m)

0.0

m
m
m
m
m
m
m
m
m
m
m
m
m
m
m
m
m
m
m
m
m

Figure 12.2 Example of structural calculation for a three hinges arc

200

-50

400

600

50

100

800

M
(kNm/m)
1200
S/10
(kN/m)

Axial load N

150

Shear S

1000

Bending Moment M

200

250

N
(kN/m)

-3.00
-2.85
-2.70
-2.55
-2.40
-2.25
-2.10
-1.95
-1.80
-1.65
-1.50
-1.35
-1.20
-1.05
-0.90
-0.75
-0.60
-0.45
-0.30
-0.15
0.00

244 kN

Fh
20
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21

kN/m2
kN/m2
kN/m2
kN

horizontal force from the lower hinge

abscissa steps
abscissa x

m
m

3.0
0.4
226
307
144
921

re
h'
r
v
h
Fv

external radius
effective height of the cross section
radial stress
vertical stress
horizontal stress
vertical force from the lower hinge
ordinate y
m
0.00
0.94
1.31
1.58
1.80
1.98
2.14
2.28
2.40
2.51
2.60
2.68
2.75
2.81
2.86
2.90
2.94
2.97
2.98
3.00
3.00
0
138
276
414
552
690
829
967
1105
1243
1381
1519
1657
1795
1933
2071
2209
2348
2486
2624
2762

Mv
kNm
0
-228
-319
-385
-439
-484
-523
-556
-585
-611
-634
-654
-671
-685
-698
-709
-717
-724
-728
-731
-732

Mh
kNm
0
-90
-43
29
113
206
306
411
519
632
747
866
986
1110
1235
1363
1492
1624
1758
1893
2030

MF
kNm
0
-3
-14
-31
-55
-86
-124
-169
-221
-280
-345
-418
-497
-583
-677
-777
-884
-998
-1119
-1246
-1381

Mv
kNm
0
-63
-123
-180
-234
-284
-331
-375
-415
-453
-487
-518
-545
-570
-591
-609
-623
-635
-643
-648
-649

Mh
kNm

0
-157
-180
-182
-176
-164
-149
-134
-117
-101
-85
-70
-56
-43
-32
-22
-14
-8
-4
-1
0

M
kNm

921
433

S/10 M c
S
kNm Mpa
kN
kN
0
1048 104.77
152 15.19 157 0.40
1.66 180 0.04
17
-4.53 182 -0.12
-45
-7.84 176 -0.21
-78
-9.66 164 -0.25
-97
-106 -10.59 149 -0.28
-109 -10.94 134 -0.29
-109 -10.90 117 -0.29
-106 -10.56 101 -0.28
-100 -10.00 85 -0.26
-9.28 70 -0.24
-93
-8.42 56 -0.22
-84
-7.47 43 -0.20
-75
-6.44 32 -0.17
-64
-5.34 22 -0.14
-53
-4.20 14 -0.11
-42
8 -0.08
-3.02
-30
4 -0.05
-1.82
-18
1 -0.02
-0.61
-6
0 0.00
0.00
0

Nv
Nh

N
kN
921
896
872
847
823
799
774
750
725
701
677
652
628
604
579
555
530
506
482
457
433

kN
kN

12.3 Examples of application of Finite Element Method

Figure 12.3 shows an example of calculation using FEM (Comsol, 2015). This procedure aims
to determine the 2D deformations and the plastic field around the tunnel. Drucker-Prager
theory has been implemented to model the elastoplastic behaviour of the soil.
The diameter of the excavations is 5m. The soils is dry and considered in terms of effective
stress with shear strength parameters c=130kPa and =30o . Youngs modulus, E = 12 MPa
and Poissons ratio = 0.495.
Two study steps are included. In the first study the stress state of the soil before the
excavation is computed. In the second study the behaviour of the soil is analysed once the
soil is removed. Appropriate boundary conditions are considered in terms of degree of
freedom and constraints at the edges of the domain.
Figure 12.3a presents the octahedral stress field after the removal of the soil. The plastic
region developed is visible in Figure 12.3b for a factor of 1.00 of plastic strain, which
actually is located in close proximity with the surface of the excavation.
In Figure 12.3c, the horizontal displacements, as expected, are zero along the axis of
symmetry and rapidly increase at the sides of it. The zero values at the vertical boundary
are effect of the boundary conditions and sensitivity analysis might be carried out to see if
the breadth of the domain considered can be assumed as representative. The same
consideration hold for the vertical displacement at the right boundary in Figure 12.3d, but
we can see that the expected Gaussian shape is not far from the output provided.
It is well evident that these results, along with the others that might be obtained after
analysing similar situations, offer interesting opportunities to compare numerical studies with
the analytical procedures presented in these notes. Such comparative studies can enhance
the understanding of the mechanism involved in the complicate interaction between soil and
tunnel. They can also give confidence in using simplified methods, which are essential for
the design engineer.

155

a)

(N/m2)

b)

c)

d)

Figure 12.3 Example of tunnel analysis using FEM (Comsol 2015)

156

Tutorial 12
You are requested to carry out the structural analysis of a 3 hinges lining. Organize a
spreadsheet using the example in Figure 12.2. Use C3m as your external radius re value.
C value will be given at the time of the assignment.

157

UNIT 13
Excavation Technology
(Study time allocation = 2 hours)
13.1 Sequential Excavation Metod (SEM)
Some examples of Sequential Excavation Metod (SEM) are given in Figures 13.1 and 13.2.
Figures 13.1a,b show the cross section and the longitudinal profile of the advancing
excavation of the motorway tunnel presented in Figure 11.3 (after Bizjak and Petkovsek,
2004).
Figures 13.2 illustrates a similar case. In both the tunnels presented here the same
temporary measures have been taken to stabilize the excavation, including pipe roof, bench
temporary invert and support body.

Figure 13.1 Tunnel support in soft rock around a shallow highway tunnel (after Bizjak and
Petkovsek, 2004)
158

Figure 13.2 Sawtooth shaped preliminary lining at Torremuzza motorway tunnel where roof
pipes has been deployed; the temporary invert and the stabilizing bench cover a distance of
about 65m from the face of the excavation. The ventilation conduct doesnt obstruct the
maximum headroom to facilitate excavator and dumper manoeuvring. Torremuzza, ME,
2000
13.2 Tunnel Boring Machine (TBM)
Hassanpour et al ( 2009) presented an interesting study aimed to establish empirical
relationship between the performance of a modern TBM (Figure 13.3) and well established
rock mass classification indices. The characteristics of the TBM are listed in Table 13.1. To
quantify the efficiency of the TBM they used a dimensional descriptor that named Field
Penetration Index (FPI), as defined in terms of ratio between thrust per cutter and
advancement per revolution. Therefore the units of FPI are (kN/(mm/rev). The results are
presented in Figure 13.4.

Figure 13.3 TBM (after Hassanpour et al, 2009)

159

Table 13.1 Characteristics of the TBM in Figure 13.3 (after Hassanpour et al, 2009)

Figure 13.4 Performances of the TBM in Figure 13.3 in terms of ratio force per
cutter/advancement speed, i.e. dimensional descriptor named Field Penetration Index (FPI),
as plotted against different rock mass classification indices (adapted from Hassanpour et al,
2009)

Tutorial 13
A national railway authority is planning to build a 14.1km tunnel to link two main railways
that run along the bottom of two adjacent valleys in a mountain region. The rock mass to
excavate is made of limestone with an average GSI C60. The TBM with the specification in
Table 13.1 has been chosen to construct the tunnel. You are requested to estimate the time
required to complete the task including a statistical guess for the time consumption diverse
than boring.

C value will be given at the time of the assignment.

160

References
Barton, N., Lien, R. and J. Lunde (1974). Engineering classification of rock masses for the
design of tunnel support. Rock Mechanics 6, 4, 189-236.
Barton, N., Lien, R. and J. Lunde (1977). Estimation of support requirements for
underground excavation. Symposium on Rock Mechanics, 16. Minneapolis, Minn.,
Proceedings, 163-177.
Bizjak, K. F. and B. Petkovsek (2004). Displacement analysis of tunnel support in soft rock
around a shallow highway tunnel at Golovec. Engineering Geology 75, 89-106.
Brown, E. T., and E. Hoek (1978). Trends in relationships between measured in situ stress
and depth. International Journal of Rock Mechanics, Mining Sciences and Geomechanics.
Abstr., 15, 211-215
Comsol (2015). Tunnel Excavation. Solved with Comsol Multiphysics 5.1. Comsol Manual.
Deere, D. U. (1963). Technical description of rock cores for engineering purposes.
Felsmechanik und Ingenieurgeologie 1, 1, 16-22.
Eberhardt, E. (2012). The Hoek-Brown Failure Criterion. Rock Mechanics and Rock
Engineering 45, 981-988.
Einstein, H. H., Steiner, W. and G. B. Baecher (1979). Assessmet of empirical design
methods for tunnels in rock. Rapid Excavation and Tunneling Conference Proceedings.
Grimstad, E. and N. Barton (1993). Updating the Q-system for NMT. International
Symposium on Sprayed Concrete. Fagernes, Proceedings, 44-66.
Hoek, E. and E. T. Brown (1980). Underground Excavations in Rock. The Institution of
Mining and Metallurgy, London.
Hoek, E., Carter, T. G. and M. S. Diederichs (2013). Quantification of the Geological Strength
Index Chart . 47th US Rock Mechanics / Geomechanics Symposium. San Francisco, USA
Hoek, E. and J. A. Franklin (1968). A simple triaxial cell for field and laboratory testing of
rock. Transactions of the Institution of Mining and Metallurgy, London, Section A, 77, 22-26.
Hoek, E., Kaiser, P. K. and W. F. Bawden (1995). Support of underground excavation in
hard rock. A.A. Balkema, Rotterdam.
Jaeger, J. C. and N. G. W. Cook (1979). Fundamentals of Rock Mechanics. Third Edition.
Chapam and Hall. London.
Lauffer, H. (1958). Gebirgsklassifizierung fur den Stollenbau. Gelogie und Bauwesen 24, 1,
46-51.
Mair, R. J. and R. N. Taylor (1993). Predictions of clay behaviour around tunnels using
plasticity solutions. In Predictive soil-mechanics (eds G.T. Houlsby and A. N. Schoefield), pp.
449-463. London: Thomas Telford.
Mair, R. J. and R. N. Taylor (1997). Bored tunnelling in the urban environment. State of the
art report and theme lecture. Proc. 14th Int. Conf. Soil Mech. Found. Engng. Hamburg 4,
2353-2385.
Marinos, V., Marinos, P. and E. Hoek (2005). The geological strength index: applications and
limitations. Bull. Eng. Geol. Environ. 64, 55-65.
NGI (2013) Using the Q-System. Rock mass classification and support design. Norwegian
Geotechnical Institiute. Handbook. Oslo
161

Mair, R. J. (2008). Tunnelling and geotechnics: new horizons. Geotechnique 58, 9. 695-736.
Palmstron, A. and E. Broch (2006). Use and misuse of rock mass classification systems with
particular reference to the Q-System. Tunnels and Underground Space Technology. 21,
575-593.
Sing, B. and R. K. Goel (1999). Rock Mass Classification. A practical approach in Civil
Engineering. Elsevier, UK.
Talobre, J. (1958). La mechanique des roches. Dunod, Paris.

162

PART 3 BASEMENTS

163

UNIT 14
Design and safety procedure
(Study time allocation = 7 hours)
14.1 Design
Deep excavations in soil are difficult, particularly when the need of a reliable support comes
along with the requirement of keeping under control the water level (Figure14.1). Basement
engineering deals with these challenges even though in different ways depending on the
purpose of the project.

Figure 14.1 Foundation works of the motorway viaduct across River Pollina: a thin
steel-shotcrete shaft 16m diameter protected by adjacent secant jet grouting piles
provides structural support and groundwater control during the excavation of the pier
down to a depth 35m below the river level and inside an alluvium of cobbles with
boulders, gravel and coarse grained sand (Pollina, 2001).

Accordingly with Tomlinson (2001) the main function of a basement is to provide additional
space in the building for the owner. In addition, there are cases when a basement is also
required for its function in reducing the net bearing pressure
.

accounts for the overall weight of the building plus the live loads, and is given by the
difference between the average vertical total stress at foundation level, when the building is
already in use, and the correspondent value before starting the excavation. During the
construction the soil undergoes swelling and rebound while following a (stress void ratio)
path that can be considered almost elastic (Figure 8.4). The consequence of this is that, for
example, a basement designed to achieve
0 would enable both stability and
164

serviceability within a heavy building constructed on a deposit of soft and weak clay. In
reality things are more complex because of the effect of several agents, including
consolidation, distribution of the loads and fluctuation of the water level.
However, in some cases, basements are primarily designed with the purpose of reducing the
settlements and increasing the safety factor of the foundation against the limit load. They in
fact use the buoyancy generated by the uplift of the water when it rises above the
foundation level. These are for example buoyancy rafts constituted by impervious cell
structures. When the highest possible water level is known, these buildings can be designed
with very low values of the factor of safety against buoyancy, typically 1.05-1.1, respectively
for temporary and permanent condition. These low values apply as there is practically no
uncertainty on the determination of the forces involved in the mechanism.
For a multi storey building, Tomlinson (2001) suggests to consider a weight of 25kN/m2 for
the raft and 12.5kN/m2 per storey. For example a two storey block with a buoyancy raft laid
at a depth of 4.5m below the ground surface exerts a loading of about 50kN/m2 on the soil,
which means that the building is still safe against buoyancy if the water table would rise up
to ground level and the safety factor would roughly be 1.1, while an effective stress of only
5kN/m2 would act at the interface between the foundation and the soil. Generally the shear
forces induced by the soil on the wall of the raft are not considered.
When under exceptional conditions the safety factor is evaluated less than 1.1 and the
basement is not used, special openings can be made along the external wall of the cells.
This measure enables the access of water inside the raft if the water table should reaches a
certain level which imply an advantage in terms of overall load resisting the uplift. Or, as
alternative, additional permanent loads can be applied inside the cells (soil, rockfill etc..).
Other methods to withstand the uplift in case of excessive rise of the ground water level
include anchorages and piling, but these systems are generally very expensive and are not
used in private properties. They are mainly implemented for industrial buildings that have to
withstand large uplift forces such as lock chambers or dry-docks.
Figure 14.2 presents the basic concepts influencing basement design. We can see that
basements have a large use in the built environment. In residential zones of large cities,
there is nowadays a growing request of new basements as extension of private houses.
Local authorities have published rules and procedures to comply with when a residential
basement is designed (City of Westminster 2104).

165

Figure 14.2 Examples of Basements and their interaction with groundwater and slopes
(cover page of CIRIA, 1995)
14.2 Drainage
To keep dry the basement it is often suggested to establish a permanent pumping system
with an outlet into the public drain or sewer as these mains are generally located at a higher
level. When the area is not flat and there is a possibility to discharge by gravity this option
should be taken into consideration and a cost analysis should be developed to decide on the
best option (Figure 14.3).

new
basement

manhole

diaphragm
wall
underpinning
using piles
Figure 14.3 Basement extension in a house and drainage works

166

H steel
profile
L3m

In 1995 the Construction Industry Research Information Association (CIRIA, 1995) issued a
technical report in which detailed criteria for safeguarding basements against water and
dampness are explained. They highlighted the importance of the external tanking system,
in which the tightness is mainly provided on the external surfaces of the wall and the
external water pressure tends to force the membrane against the structure (after CIRIA,
1995).

Figure 14.4 Example of protection by using external tanking system and external drain (after
CIRIA, 1995)

167

Figure 14.5 Figure Masonry structure with external tanking (after CIRIA, 1995)

14.3 Structural surveillance of retaining structures of deep basement

When the stability of a deep basement excavation protected by an anchored diaphragm wall
has to be assessed, the analysis of this earth retaining structure can be carried out with the
usual methods of soil mechanics. Closed from solutions with limit equilibrium assumptions
(Coulomb, Rankine) can be implemented, while FEM or other advanced procedures can
enable a more realistic simulation of the system, particularly in case of multi-anchored wall.
If the deformations of the wall are known with a reasonable level of accuracy, an analytical
procedure to assess its stability can be adopted. This procedure focuses on the elastic
168

response of the piles or other structural elements the wall is made of. The equations of the
elastic beam are used to relate the curvature of the wall with the corresponding bending
moment and the bending moment with the shear force. Eventually the mobilized von Mises
stress in the steel is determined

= 2 + 3 2
and it is compared with the admissible stresses in the steel. The following spread sheet
shows an example for this procedure.

169

170

0.5 m

9
9.5
10
10.5
11
11.5
12
12.5

8.50

5.5
6
6.5
7
7.5
8

5.00

-0.1
0
4
10
16
19
22
27
36
50
65
77
80
83
91
110
142
190
255
340
445

13
11.7
10
7.5
3

-8.74
-10.47
-11.82
-12.96
-14.11
-15.55
-17.00
-18.24
-19.09
-19.43
-19.68
-20.23
-21.67
-23.12
-24.06
-23.91
-22.45
-19.40
-14.64
-7.89
0.87

1.30
-0.58
-2.49
-4.49
-6.68

-0.0041
-0.0035
-0.0027
-0.0023
-0.0023
-0.0029
-0.0029
-0.0025
-0.0017
-0.0007
-0.0005
-0.0011
-0.0029
-0.0029
-0.0019
0.0003
0.0029
0.0061
0.0095
0.0135
0.0175

-0.0038
-0.0038
-0.0040
-0.0044

0.0006
0.0013
0.0016
0.0008
0.0000
-0.0012
0.0000
0.0008
0.0016
0.0020
0.0004
-0.0012
-0.0036
0.0000
0.0020
0.0044
0.0052
0.0064
0.0068
0.0080
0.0080

-0.0002
-0.0003
-0.0008

0.00
-2.50
-2.50
-7.51
-5.00
0.00
-10.01

4.38 21.27 57.55

10.01 11.26 -20.02
12.20
4.38 -13.76
6.26 -11.89 -32.53
0.00 -12.51
-1.25
-9.38 -18.77 -12.51
0.00 18.77 75.07
6.26 12.51 -12.51
12.51 12.51
0.00
15.64
6.26 -12.51
3.13 -25.02 -62.56
-9.38 -25.02
0.00
-28.15 -37.54 -25.02
0.00 56.30 187.68
15.64 31.28 -50.05
34.41 37.54
12.51
40.66 12.51 -50.05
50.05 18.77
12.51
53.18
6.26 -25.02
62.56 18.77
25.02
62.56
0.00 -37.54

-6.26

0.00
0.00
-1.25
-2.50

36.12
36.12
18.06
27.09

125.12
62.56
93.84

9.03
0.00
9.03
45.15
0.00
18.06

14.45
9.93
23.48
0.90
9.03

125.12

31.28
0.00
31.28
156.40
0.00
62.56

50.05
34.41
81.33
3.13
31.28

0.00
25.02

0.00
0.00
0.00
0.00
7.22

250.00

230.00

210.00

190.00

120.00
130.00
140.00
150.00
160.00
170.00

60.00
70.00
80.00
90.00
100.00

0.00
10.00
20.00
30.00
40.00

171.92

146.28

167.56

157.56

75.64
65.00
85.64
153.20
80.00
116.28

55.02
52.20
80.66
46.56
65.64

0.00
5.00
10.00
15.00
32.51

165.29

171.29

111.46

97.10

90.54
130.00
110.21
90.52
160.00
113.35

30.56
40.76
46.97
86.89
71.05

0.00
10.00
20.00
30.00
20.81

254.57

231.93

223.29

206.11

120.91
130.00
140.74
198.46
160.00
172.95

70.30
72.58
104.15
90.01
101.17

0.00
10.00
20.00
30.00
42.92

89.27

60.63

111.83

109.01

30.37
0.00
30.53
107.94
0.00
59.61

39.74
31.82
57.18
3.12
30.11

22.11

28.73

35.84

19.43

17.95

29.17

40.05
17.18

36.76

16.12
22.98
16.93
68.91
32.77

18.66
9.42
21.54
26.25
13.46
0.00
-20.20
0.00
13.46
26.93
33.66
6.73
-20.20
-60.59
0.00
33.66
74.05
87.52
107.71
114.44
134.64
134.64

0.00
0.00
-2.69
-5.39
-13.46
4.28
2.26
0.88
-2.39
-2.52
-3.77
3.77
2.52
2.52
1.26
-5.03
-5.03
-7.55
11.32
6.29
7.55
2.52
3.77
1.26
3.77
0.00

0.00
0.00
-0.50
-0.50
-1.51

134.64

134.80

11.99
21.90
26.30
14.09
4.36
21.23
6.54
14.15
27.28
33.73
11.01
22.00
61.98
19.61
35.38
75.20
87.62
107.91
114.46

0.00
0.00
2.83
5.46
13.72

Pull out horizontal

tangential vertical stress invariant deviator maximum minor mobilized angle normal tangential von Mises
on the stress at the stress at the
at the
tensor
stress
principal principal
of shearing
stress in stress in
stress
anchor interface
interface
interface
stress
stress
resisitance
the steel the steel
2
2
2
2
2
(kN)
()
(MPa)
(MPa)
(MPa)
(kN/m )
(kN/m )
(kN/m )
(kN/m ) (kN/m )

mm

kN/m3

Figure 14.6 Example of structural check on a multi anchored diaphragm wall

-2.5
-3
-3.5
-4
-4.5
-5
-5.5
-6
-6.5
-7
-7.5
-8
-8.5
-9
-9.5
-10
-10.5
-11
-11.5
-12
-12.5

2.5
3
3.5
4
4.5

2.00

0
-0.5
-1
-1.5
-2

0
0.5
1
1.5

unit volume weight

20
coefficiente spostamento
0.1
rigid rotation about top pile wall
0.2
rigid horizontal traslation
0
angle of shearing resisistance of the soil
30
interface angle of shearing resisistance/angle of shearing resisistance of the soil
0.5
depth of target
original
measured relative curvature bending Shear
from top pile deformation displacement slope
Moment
wall
(m)
(mm)
(mm)
(-)
(kNm/m) (kN/m)
(m-1)

target step

Safety check of a multi storey basement pile wall after detailed surveying

-60.00

-20.00

z (m)

-12.5

-10

-7.5

-5

-2.5

0.00

54

Gpa
m
m
m
m4

20.00

40.00

80.00

Shear S

bending moment M

displacement x

60.00

x (mm), M(kNm), T(kN)

4E-05 m
0.005 m2
2m

200
0.1683
0.1483
0.4
2E-05

Displacements and statics actions as function of the depth z

from the top of the pile wall

-40.00

moment of inertia per unit run

surface area resisting cross section
anchors spacing

Young's modulus of the steel

external diameter piles
internal diameter piles
piles interax
moment of inertia single pile

References
CIRIA (1995). Water-Resisting Basement Construction - A Guide Safeguarding New and
Existing Basement against Water and Dampness. Construction Industry Research Information
Association. Report 139. Thomas Telford.
City of Westminster (2104). Basement Development in Westminster. Supplementary Planning
Document. Planning Policy. City Hall
Tomlinson, M. J. (2001). Foundation Design and Construction. Pearson Prentice Hall. Seventh
Edition.

171