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Geotechnical Engineering of Dams,

2nd edition

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Geotechnical Engineering of Dams,


2nd edition

Robin Fell
Emeritus Professor, School of Civil and Environmental Engineering,
University of New South Wales, Sydney, Australia

Patrick MacGregor
Consulting Engineering Geologist, Australia

David Stapledon
Consulting Engineering Geologist,Australia

Graeme Bell
Consulting Dams Engineer,Australia

Mark Foster
Senior Principal Dams Engineer, URS Australia, Sydney, Australia

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Cover illustration: Hinze Dam at completion of Stage 3 construction. Courtesy of The Hinze
Dam Alliance (comprising Seqwater, SKM, Thiess and URS).

CRC Press/Balkema is an imprint of the Taylor & Francis Group, an informa business
2015 Taylor & Francis Group, London, UK
Typeset by MPS Limited, Chennai, India
Printed and Bound by CPI Group (UK) Ltd, Croydon, CR0 4YY.
All rights reserved. No part of this publication or the information contained
herein may be reproduced, stored in a retrieval system, or transmitted in any
form or by any means, electronic, mechanical, by photocopying, recording or
otherwise, without written prior permission from the publisher.
Although all care is taken to ensure integrity and the quality of this publication
and the information herein, no responsibility is assumed by the publishers nor
the author for any damage to the property or persons as a result of operation
or use of this publication and/or the information contained herein.
Library of Congress Cataloging-in-Publication Data
Fell, Robin.
Geotechnical engineering of dams / Robin Fell, Emeritus, Professor, School of Civil and Environmental
Engineering, University of NewSouth Wales, Sydney, Australia, Patrick MacGregor, Consulting
Engineering Geologist, Australia, David Stapledon, Consulting Engineering Geologist, Australia,
Graeme Bell, Consulting Dams Engineer, Australia, Mark Foster, Senior Principal Dams Engineer,
URS Australia, Sydney, Australia. 2nd edition.
pages cm
Includes bibliographical references and index.
ISBN 978-1-138-00008-7 (hardback) ISBN 978-0-203-38731-3 (ebook)
1. DamsDesign and construction. I. Title.
TC540.F45 2014
627.8dc23
2014040176
Published by: CRC Press/Balkema
P.O. Box 11320, 2301 EH Leiden,The Netherlands
e-mail: Pub.NL@taylorandfrancis.com
www.crcpress.com www.taylorandfrancis.com
ISBN: 978-1-138-00008-7 (Hbk)
ISBN: 978-0-203-38731-3 (eBook PDF)

Table of contents

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Author Biographies
1

Introduction
1.1 Outline of the book
1.2 Types of embankment dams and their main features
1.3 Types of concrete dams and their main features

Key geological issues


2.1 Basic definitions
2.2 Types of anisotropic fabrics
2.3 Defects in rock masses
2.3.1 Joints
2.3.2 Sheared and crushed zones (faults)
2.3.3 Soil infill seams (or just infill seams)
2.3.4 Extremely weathered (or altered) seams
2.3.5 The importance of using the above terms to describe defects
in rock
2.4 Defects in soil masses
2.5 Stresses in rock masses
2.5.1 Probable source of high horizontal stresses
2.5.2 Stress relief effects in natural rock exposures
2.5.3 Effects in claystones and shales
2.5.4 Special effects in valleys
2.5.5 Rock movements in excavations
2.6 Weathering of rocks
2.6.1 Mechanical weathering
2.6.2 Chemical decomposition
2.6.3 Chemical weathering
2.6.3.1 Susceptibility of common minerals to
chemical weathering
2.6.3.2 Susceptibility of rock substances to
chemical weathering
2.6.4 Weathered rock profiles and their development
2.6.4.1 Climate and vegetation
2.6.4.2 Rock substance types and defect types and
pattern

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2.6.4.3
2.6.4.4
2.6.4.5

Time and erosion


Groundwater and topography
Features of weathered profiles near
valley floors
2.6.5 Complications due to cementation
2.7 Chemical alteration
2.8 Classification of weathered rock
2.8.1 Recommended system for classification of weathered
rock substance
2.8.2 Limitations on classification systems for weathered rock
2.9 Rapid weathering
2.9.1 Slaking of mudrocks
2.9.2 Crystal growth in pores
2.9.3 Expansion of secondary minerals
2.9.4 Oxidation of sulphide minerals
2.9.4.1 Sulphide oxidation effects in rockfill
dams some examples
2.9.4.2 Possible effects of sulphide oxidation in
rockfill dams
2.9.4.3 Sulphide oxidation implications for site studies
2.9.5 Rapid solution
2.9.6 Surface fretting due to electro-static moisture absorption
2.10 Landsliding at dam sites
2.10.1 First-time and reactivated slides
2.10.1.1 Reactivated slides
2.10.1.2 First-time slides
2.10.2 Importance of early recognition of evidence of past slope
instability at dam sites
2.10.3 Dams and landslides: Some experiences
2.10.3.1 Talbingo Dam
2.10.3.2 Tooma Dam
2.10.3.3 Wungong Dam
2.10.3.4 Sugarloaf Dam
2.10.3.5 Thomson Dam
2.11 Stability of slopes around storages
2.11.1 Vital slope stability questions for the feasibility and site
selection stages
2.11.1.1 Most vulnerable existing or proposed project
features, and parts of storage area?
Question 1
2.11.1.2 Currently active or old dormant landslides?
Questions 2 and 4 to 7
2.11.1.3 Areas where first-time landsliding may be
induced (Questions 3 to 7)
2.11.1.4 What is the likely post failure velocity and
travel distance?
2.11.1.5 What is the size of impulse waves which
may be created?

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2.12 Watertightness of storages


2.12.1 Models for watertightness of storages in many areas of
non-soluble rocks
2.12.2 Watertightness of storage areas formed by soluble rocks
2.12.3 Features which may form local zones of high leakage, from
any storage area
2.12.4 Watertightness of storages underlain by soils
2.12.5 Assessment of watertightness
2.12.5.1 Storages in non-soluble rock areas assessment
of watertightness
2.12.5.2 Storages in soluble rock areas assessment
of watertightness
2.12.5.3 Storages formed in soils assessment
of watertightness
2.12.6 Methods used to prevent or limit leakages from storages
3

Geotechnical questions associated with various


geological environments
3.1 Granitic rocks
3.1.1 Fresh granitic rocks, properties and uses
3.1.2 Weathered granitic rocks, properties, uses and profiles
3.1.3 Stability of slopes in granitic rocks
3.1.4 Granitic rocks: check list
3.2 Volcanic rocks (intrusive and flow)
3.2.1 Intrusive plugs, dykes and sills
3.2.2 Flows
3.2.2.1 Flows on land
3.2.2.2 Undersea flows
3.2.3 Alteration of volcanic rocks
3.2.4 Weathering of volcanic rocks
3.2.5 Landsliding on slopes underlain by weathered basalt
3.2.6 Alkali-aggregate reaction
3.2.7 Volcanic rocks (intrusive and flow) check list of questions
3.3 Pyroclastics
3.3.1 Variability of pyroclastic materials and masses
3.3.2 Particular construction issues in pyroclastics
3.3.3 Pyroclastic materials check list of questions
3.4 Schistose rocks
3.4.1 Properties of fresh schistose rock substances
3.4.2 Weathered products and profiles developed in
schistose rock
3.4.3 Suitability of schistose rocks for use as filter materials,
concrete aggregates and pavement materials
3.4.4 Suitability of schistose rocks for use as rockfill
3.4.5 Structural defects of particular significance in
schistose rocks
3.4.5.1 Minor faults developed parallel and at acute
angles to the foliation

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3.5

3.6

3.7

3.4.5.2 Kink bands


3.4.5.3 Mica-rich layers
3.4.6 Stability of slopes formed by schistose rocks
3.4.7 Schistose rocks check list of questions
Mudrocks
3.5.1 Engineering properties of mudrocks
3.5.2 Bedding-surface faults in mudrocks
3.5.3 Slickensided joints or fissures
3.5.4 Weathered products and profiles in mudrocks
3.5.5 Stability of slopes underlain by mudrocks
3.5.6 Development of unusually high pore pressures
3.5.7 Suitability of mudrocks for use as construction materials
3.5.8 Mudrocks check list of questions
Sandstones and related sedimentary rocks
3.6.1 Properties of the rock substances
3.6.2 Suitability for use as construction materials
3.6.3 Weathering products
3.6.4 Weathered profile and stability of slopes
3.6.5 Sandstones and similar rocks list of questions
Carbonate rocks
3.7.1 Effects of solution
3.7.1.1 Rock masses composed of dense, fine grained
rock substances comprising more than 90% of
carbonate (usually Category O)
3.7.1.2 Rock masses composed of dense fine grained rock
substance containing 10% to 90% of carbonate
(usually Category O)
3.7.1.3 Rock masses composed of porous, low density
carbonate rock substance (usually Category Y)
3.7.2 Watertightness of dam foundations
3.7.2.1 Dams which have experienced significant
leakage problems
3.7.3 Potential for sinkholes to develop beneath a dam, reservoir
or associated works
3.7.4 Potential for continuing dissolution of jointed carbonate
rock in dam foundations
3.7.5 Potential for continuing dissolution of aggregates of
carbonate rock particles and of permeable carbonate
substances (Category O carbonate, in each case)
3.7.6 Discussion potential for continuing dissolution of
carbonate rocks in foundations
3.7.6.1 Category O carbonate rocks
3.7.6.2 Category Y carbonate rocks
3.7.7 Potential problems with filters composed of
carbonate rocks
3.7.7.1 Category O carbonate rocks
3.7.7.2 Category Y carbonate materials

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3.7.8
3.7.9

Suitability of carbonate rocks for embankment materials


Suitability of carbonate rocks for concrete and
pavement materials
3.7.10 Stability of slopes underlain by carbonate rocks
3.7.11 Dewatering of excavations in carbonate rocks
3.7.12 Carbonate rocks check list of questions
3.8 Evaporites
3.8.1 Performance of dams built on rocks containing
evaporites
3.8.2 Guidelines for dam construction at sites which
contain evaporites
3.8.3 Evaporites checklist of questions
3.9 Alluvial soils
3.9.1 River channel deposits
3.9.2 Open-work gravels
3.9.3 Oxbow lake deposits
3.9.4 Flood plain, lacustrine and estuarine deposits
3.9.5 Use of alluvial soils for construction
3.9.6 Alluvial soils, list of questions
3.10 Colluvial soils
3.10.1 Occurrence and description
3.10.1.1 Scree and talus
3.10.1.2 Slopewash soils
3.10.1.3 Landslide debris
3.10.2 Properties of colluvial soils
3.10.2.1 Scree and talus
3.10.2.2 Slopewash
3.10.2.3 Landslide debris
3.10.3 Use as construction materials
3.10.4 Colluvial soil list of questions
3.11 Laterites and lateritic weathering profiles
3.11.1 Composition, thicknesses and origin of lateritic
weathering profiles
3.11.2 Properties of lateritic soils
3.11.3 Use of lateritic soils for construction
3.11.4 Karstic features developed in laterite terrain
3.11.5 Recognition and interpretation of silcrete layer
3.11.6 Lateritic soils and profiles list of questions
3.12 Glacial deposits and landforms
3.12.1 Glaciated valleys
3.12.2 Materials deposited by glaciers
3.12.2.1 Properties of till materials
3.12.2.2 Disrupted bedrock surface
beneath glaciers
3.12.3 Glaciofluvial deposits
3.12.4 Periglacial features
3.12.5 Glacial environment list of questions

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Planning, conducting and reporting of geotechnical investigations


4.1 The need to ask the right questions
4.1.1 Geotechnical engineering questions
4.1.2 Geological questions
4.1.2.1 Questions relating to rock and soil types, climate
and topography
4.1.2.2 Questions relating to geological processes, i.e. to
the history of development of the site
4.1.3 Geotechnical questions for investigations of existing dams
4.2 Geotechnical input at various stages of project development
4.3 An iterative approach to the investigations
4.4 Progression from regional to local studies
4.4.1 Broad regional studies
4.4.1.1 Objectives
4.4.1.2 Activities
4.4.2 Studies at intermediate and detailed scales
4.4.2.1 Objectives
4.4.2.2 Activities
4.5 Reporting
4.6 Funding of geotechnical studies
4.7 The site investigation team

Site investigation techniques


5.1 Topographic mapping and survey
5.2 Interpretation of satellite images aerial photographs and
photographs taken during construction
5.2.1 Interpretation of satellite images
5.2.2 Interpretation of aerial photographs
5.2.2.1 Coverage
5.2.2.2 Interpretation
5.2.3 Photographs taken during construction
5.3 Geomorphological mapping
5.4 Geotechnical mapping
5.4.1 Use of existing maps and reports
5.4.2 Geotechnical mapping for the project
5.4.2.1 Regional mapping
5.4.2.2 Geotechnical mapping
5.5 Geophysical methods, surface and downhole
5.5.1 Surface geophysical methods
5.5.1.1 Seismic refraction
5.5.1.2 Self potential
5.5.1.3 Electrical resistivity
5.5.1.4 Electromagnetic conductivity
5.5.1.5 Magnetic
5.5.1.6 Microgravity
5.5.1.7 Ground penetrating radar

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5.7
5.8
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5.10

5.11

5.12
5.13
5.14

5.15

5.16

5.5.2 Down-hole logging of boreholes


5.5.3 Cross-hole and up-hole seismic
Test pits and trenches
5.6.1 Test pits
5.6.2 Trenches
Sluicing
Adits and shafts
Drill holes
5.9.1 Drilling objectives
5.9.2 Drilling techniques and their application
5.9.3 Auger drilling
5.9.4 Percussion drilling
5.9.5 Rotary drilling
5.9.6 Sonic drilling
Sampling
5.10.1 Soil samples
5.10.2 Rock samples
In situ testing
5.11.1 In situ testing in soils
5.11.2 In situ testing of rock
5.11.2.1 Borehole orientation
5.11.2.2 Borehole impression packer
5.11.2.3 Borehole imaging
Groundwater
In situ permeability tests on soil
In situ permeability tests in rock
5.14.1 Lugeon value and equivalent rock mass
permeability
5.14.2 Test methods
5.14.3 Selection of test section
5.14.4 Test equipment
5.14.4.1 Packers
5.14.4.2 Water supply system
5.14.4.3 Selection of test pressures
5.14.5 Test procedure
5.14.5.1 Presentation and interpretation of results
Use of surface survey and borehole inclinometers
5.15.1 Surface survey
5.15.2 Borehole inclinometers
Common errors and deficiencies in geotechnical
investigation

Shear strength, compressibility and permeability of embankment


materials and soil foundations
6.1 Shear strength of soils
6.1.1 Drained strength definitions
6.1.2 Development of drained residual strength R

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6.1.3
6.1.4

6.2
6.3

6.4

Undrained strength conditions


Laboratory testing for drained strength parameters, and
common errors
6.1.4.1 Triaxial test
6.1.4.2 Direct shear test
6.1.4.3 Ring shear test
6.1.4.4 Comparison of field residual with laboratory
residual strength obtained from direct shear and
ring shear
6.1.5 Laboratory testing for undrained strength
6.1.6 Estimation of the undrained strength from the
Over-Consolidation Ratio (OCR), at rest earth pressure
coefficient Ko, and effective stress strengths
6.1.6.1 Estimation of undrained strength from OCR
6.1.6.2 Estimation of undrained strength from effective
stress shear parameters
6.1.7 Estimation of the undrained strength of cohesive soils from
in situ tests
6.1.7.1 Cone Penetration and Piezocone Tests
6.1.7.2 Vane shear
6.1.7.3 Self Boring Pressuremeter
6.1.8 Shear strength of fissured soils
6.1.8.1 The nature of fissuring, and how to assess the
shear strength
6.1.8.2 Triaxial testing of fissured soils
6.1.9 Estimation of the effective friction angle of granular soils
6.1.9.1 Methods usually adopted
6.1.9.2 In situ tests
6.1.9.3 Laboratory tests
6.1.9.4 Empirical estimation
6.1.10 Shear strength of partially saturated soils
Shear strength of rockfill
Compressibility of soils and embankment materials
6.3.1 General principles
6.3.1.1 Within the foundation
6.3.1.2 Within the embankment
6.3.2 Methods of estimating the compressibility of earthfill,
filters and rockfill
6.3.2.1 Using data from the performance of other
dams earthfill
6.3.2.2 Using data from the performance of other
dams rockfill
6.3.2.3 In situ testing
6.3.2.4 Laboratory testing
6.3.2.5 Tensile properties of plastic soils
Permeability of soils
6.4.1 General principles

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6.4.2
6.4.3

Laboratory test methods


Indirect test methods
6.4.3.1 Oedometer and triaxial consolidation test
6.4.3.2 Estimation of permeability of sands from particle
size distribution
Effects of poor sampling on estimated permeability in
the laboratory
In situ testing methods

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Clay mineralogy, soil properties, and dispersive soils


7.1 Introduction
7.2 Clay minerals and their structure
7.2.1 Clay minerals
7.2.2 Bonding of clay minerals
7.2.2.1 Primary bonds
7.2.2.2 Secondary bonds
7.2.3 Bonding between layers of clay minerals
7.3 Interaction between water and clay minerals
7.3.1 Adsorbed water
7.3.2 Cation exchange
7.3.3 Formation of diffuse double layer
7.3.4 Mechanism of dispersion
7.4 Identification of clay minerals
7.4.1 X-ray diffraction
7.4.2 Differential Thermal Analysis (DTA)
7.4.3 Electron microscopy
7.4.4 Atterberg limits
7.4.5 The activity of the soil
7.5 Engineering properties of clay soils related to the types of clay
minerals
7.5.1 Dispersivity
7.5.2 Shrink and swell characteristics
7.5.3 Shear strength
7.5.4 Erosion properties
7.6 Identification of dispersive soils
7.6.1 Laboratory tests
7.6.1.1 Emerson class number
7.6.1.2 Soil Conservation Service test
7.6.1.3 Pinhole dispersion classification
7.6.1.4 Chemical tests
7.6.1.5 Recommended approach
7.6.2 Field identification and other factors
7.7 Use of dispersive soils in embankment dams
7.7.1 Problems with dispersive soils
7.7.2 Construction with dispersive soils
7.7.2.1 Provide properly designed and constructed filters
7.7.2.2 Proper compaction of the soil

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7.7.2.3

7.7.3

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Careful detailing of pipes or conduits through the


embankment
7.7.2.4 Lime or gypsum modification of the soil
7.7.2.5 Sealing of cracks in the abutment and cutoff
trench
Turbidity of reservoir water

Internal erosion and piping of embankment dams and in


dam foundations
8.1 The importance of internal erosion and piping to dam safety
8.2 Description of the internal erosion and piping process
8.2.1 The overall process leading to failure of a dam
8.2.2 Initiation of internal erosion
8.2.3 Continuation of erosion
8.2.4 Progression of erosion
8.2.5 Detection and intervention
8.2.6 Breach
8.3 Concentrated leak erosion
8.3.1 The overall process
8.3.2 Situations where cracking and low stress zones may be
present in an embankment or the foundation
8.3.2.1 Cracking and hydraulic fracture due to cross
valley differential settlement of the core
8.3.2.2 Cracking and hydraulic fracture due to cross
valley arching
8.3.2.3 Cracking and hydraulic fracture due to
differential settlement in the foundation
under the core
8.3.2.4 Cracking and hydraulic fracture due to small
scale irregularities in the foundation profile under
the core
8.3.2.5 Cracking due to lack of support for the core by
the shoulders of the embankment
8.3.2.6 Cracking and hydraulic fracture due to arching
of the core onto the shoulders of the embankment
8.3.2.7 Crack or gap adjacent to a spillway or abutment
walls and where concrete dams abut
embankment dams
8.3.2.8 Crack or hydraulic fracture in poorly compacted
layers in the embankment
8.3.2.9 Internal erosion associated with conduits
embedded in the embankment
8.3.2.10 Cracking due to desiccation
8.3.2.11 Transverse cracking caused by settlement during
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8.4

8.5

8.3.2.12 Cracking or high permeability layers due


to freezing
8.3.2.13 Internal erosion initiated by the effects animal
burrows and vegetation
8.3.2.14 Relative importance of conduits, spillway
walls cracking mechanisms, and poorly
compacted zones
8.3.3 Estimation of crack width and depth of cracking
8.3.3.1 Cracking due to differential settlement,
adjacent walls
8.3.3.2 Cracks formed by collapse settlement of poorly
compacted soil
8.3.4 The mechanics of erosion in concentrated leaks
8.3.4.1 The procedure for assessing whether erosion
will initiate
8.3.4.2 The estimation of hydraulic shear stresses in
cracks and pipes
8.3.4.3 Erosion properties of soils in the core of
embankment dams basic principles
8.3.4.4 Effect of degree of saturation of the soil
8.3.4.5 Effect of the testing method on the critical shear
stress to initiate erosion (c ) and the erosion rate
index
8.3.4.6 Effect of dispersion, slaking, soil structure and
shear strength on erosion properties
8.3.5 Comparison of the hydraulic shear stress in the crack ()
to the critical shear stress which will initiate erosion for the
soil in the core of the embankment (c )
Backward erosion
8.4.1 General description of backward erosion
8.4.2 Experimental modelling of backward erosion piping
8.4.3 Methods for predicting whether backward erosion piping
will initiate and progress
8.4.3.1 Empirical rules for estimating a factor of safety
8.4.3.2 Terzaghi and Peck (1948)
8.4.3.3 Sellmeijer and co-workers at Deltares method
8.4.3.4 Schmertmann method
8.4.4 Some field observations
8.4.5 Suggested approach to design for and assessing backward
erosion piping
8.4.6 Guidance on whether the overlying soil will form a roof to
the pipe
8.4.7 Methods for prediction of initiation and progression of
global backward erosion
Suffusion of internally unstable soils
8.5.1 General description of suffusion

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8.5.2

Methods of identifying soils which are internally unstable


and potentially subject to suffusion
8.5.2.1 General requirements
8.5.2.2 Some methods for assessing whether a soil is
internally unstable
8.5.2.3 Some general comments
8.5.3 Assessment of the gradation after suffusion
8.5.4 Assessment of the seepage gradient which will cause
suffusion
8.5.5 Some general comments
8.5.5.1 Need for project specific laboratory tests
8.5.5.2 Do not use average soil gradations
8.5.5.3 Allow for the effects of segregation when
assessing suffusion
8.6 Contact erosion
8.6.1 General description of contact erosion
8.6.2 Methods for predicting initiation and progression of
contact erosion
8.6.2.1 Non plastic sand below a coarse soil layer
8.6.2.2 Non plastic silt and clay (particles <75 m)
below a coarse layer
8.6.2.3 Non-plastic silt above a coarse soil layer
8.6.2.4 General comment
8.6.3 Contact erosion or scour of the dam core into open joints
in rock in the foundation
8.7 Continuation and filter action
8.8 Progression of erosion
8.8.1 General description
8.8.2 Overall approach for assessing progression for
concentrated leak erosion
8.8.3 Assessing whether the soil will hold a roof to a developing
pipe
8.8.4 Assessing whether crack filling action will occur
8.8.4.1 Internal erosion in the embankment
8.8.4.2 Internal erosion through the foundation
8.8.4.3 Internal erosion of the embankment into or at the
foundation
8.8.5 Assessing whether upstream flow limitation will occur
8.8.6 Assessing the rate of development of the pipe
8.9 Detection of internal erosion and piping
8.9.1 General principles
8.9.2 Some information on the rate of internal erosion and piping
8.9.3 The likelihood of detection and intervention
8.10 Intervention and repair
8.11 Initiation of breach
8.11.1 General principles
8.11.2 Breach by gross enlargement

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8.11.3 Breach by slope instability


8.11.4 Breach by unravelling or sloughing
8.11.5 Breach by sinkhole development leading to loss of freeboard
8.12 Assessment of the likelihood of internal erosion and piping in
existing dams
8.12.1 General procedure
8.12.2 The importance of having complete and reliable
information upon which to make the assessment of
internal erosion
8.12.2.1 Geometric model
8.12.2.2 Geological model of the foundation
8.12.2.3 Geotechnical model of the embankment and
foundations
8.12.2.4 Hydraulic or seepage model
8.12.2.5 Stress state in the dam and its foundation
8.12.2.6 General comments
8.12.3 Loading conditions
8.12.3.1 Reservoir level loading
8.12.3.2 Earthquake loading
8.12.4 Potential Failure Modes Analysis (PFMA)
8.12.5 Screening of potential failure modes
8.12.5.1 Screening of PFM on the zoning of the dam and
the properties of the core of the embankment
8.12.5.2 Screening of PFM on foundation geology and
properties
8.12.5.3 Screening of PFM on details of the embankment
foundation geometry, compaction of the core,
and conduits and retaining walls
8.12.6 Estimation of likelihoods of failure for the Potential Failure
Modes applicable to the dam
8.12.6.1 Some general principles
8.12.6.2 Summary of how to estimate conditional
probabilities within the event tree
8.12.6.3 Ways in which the safety of the dam against
internal erosion and piping can be considered
8.12.6.4 Quantitative risk analysis methods for internal
erosion and piping
9

Design, specification and construction of filters


9.1 General requirements for design and the function of filters
9.1.1 Functional requirements
9.1.2 Flow conditions acting on filters
9.1.3 Critical and non critical filters
9.1.4 Filter design notation and concepts
9.1.4.1 Notation
9.1.4.2 Filtering concepts
9.1.4.3 Laboratory test equipment

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9.2

9.3

Design of critical and non-critical filters


9.2.1 Particle size based methods for designing no erosion filters
with flow normal to the filter
9.2.1.1 Original USBR method
9.2.1.2 Sherard and Dunnigan method
9.2.1.3 Foster and Fell method
9.2.1.4 Vaughan and Soares method
9.2.2 Methods based on constriction or opening size
9.2.3 Methods based on the permeability of the filter
9.2.3.1 Delgardo and co-workers
9.2.3.2 Vaughan and Soares, Vaughan and Bridle method
9.2.4 Recommended method for design of critical no erosion
filters, with flow normal to the filter
9.2.5 Recommended method for design of less critical and
non-critical filters
9.2.5.1 Filters upstream of the dam core
9.2.5.2 Filters under rip-rap
9.2.6 Review of available methods for designing filters with flow
parallel to the filter
9.2.7 Design criteria for pipe drains and pressure relief well
screens
9.2.7.1 Pipe drains
9.2.7.2 Pressure relief well screens
9.2.8 Other factors affecting filter design and performance
9.2.8.1 Criteria to assess internal instability or suffusion
9.2.8.2 Segregation
9.2.8.3 Ability of the filter to hold a crack
9.2.8.4 Permeability
9.2.8.5 Blow-out or heave of the filter
Assessing filters and transition zones in existing dams
9.3.1 Some general issues and concepts
9.3.2 Continuing and excessive erosion criteria
9.3.3 Discussion of continuation scenarios in existing dams
9.3.3.1 Internal erosion in the embankment, from the
embankment into the foundation or into
openings in conduits passing through
the embankment
9.3.3.2 Internal erosion in the foundation
9.3.3.3 Internal erosion of the embankment at or into
the foundation
9.3.4 Assessment of the likelihood of continuation where a
filter/transition zone does not satisfy no-erosion filter
criteria
9.3.4.1 General principles
9.3.4.2 Details of how to apply the Foster and Fell
(1999a, 2001) method for assessing the
likelihood of continuation of erosion for filters
and transitions which do not meet modern filter
design criteria

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9.4

9.5

9.6

Assessment of the likelihood of continuation for internal


erosion into an open defect, joint or crack in the foundation,
in a wall or conduit
Specification of particle size and durability of filters
9.4.1 Particle size distribution
9.4.2 Durability
9.4.2.1 Standard tests for durability and particle shape
9.4.2.2 Possible effects if carbonate rocks are used as
filter materials
9.4.2.3 Effects if rocks containing sulphide minerals are
used as filter materials
9.4.2.4 Other investigations for filter materials
9.4.3 Contractual difficulties associated with gradation and
durability of filters
9.4.3.1 Fines content
9.4.3.2 Use of crushed rock for fine filters
Dimensions, placement and compaction of filters
9.5.1 Dimensions and method of placement of filters
9.5.1.1 Some general principles
9.5.1.2 Placement methods
9.5.2 Sequence of placement of filters and control of placement
width and thickness
9.5.3 Compaction of filters
Use of geotextiles as filters in dams
9.6.1 Types and properties of geotextiles
9.6.2 Geotextile filter design criteria
9.6.2.1 General requirements
9.6.2.2 Filtering requirement
9.6.2.3 Clogging and blinding resistance
9.6.2.4 Permeability requirement
9.6.2.5 Durability or survivability requirement
9.6.2.6 Use of geotextile filters in dams
9.6.2.7 Construction factors
9.6.2.8 Sources of detailed information

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10 Embankment dams, their zoning and design for control of seepage


and internal erosion and piping
10.1 Historic performance of embankment dams and the lessons
to be learned
10.2 Types of embankment dams, their advantages and limitations
10.2.1 The main types of embankment dams and zoning
10.2.2 The general principles of control of seepage pore pressures
and internal erosion and piping
10.2.3 Taking account of the likelihood and consequences of
failure in selecting the type of embankment
10.2.4 Types of embankment dams, their advantages, limitations
and applicability
10.3 Zoning of embankment dams and typical construction materials
10.3.1 General principles

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10.4

10.5

10.6
10.7

10.8

10.9

10.3.2 Examples of embankment designs


10.3.2.1 Zoned earthfill dams
10.3.2.2 Earthfill dams with horizontal and vertical drains
10.3.2.3 Central core earth and rockfill dams
10.3.2.4 Sloping upstream core earth and rockfill dam
10.3.2.5 Concrete face rockfill dams
Selection of embankment type
10.4.1 Availability of construction materials
10.4.1.1 Earthfill
10.4.1.2 Rockfill
10.4.1.3 Filters and filter drains
10.4.2 Foundation conditions
10.4.3 Climate
10.4.4 Topography and relation to other structures
10.4.5 Saddle dam
10.4.6 Staged construction
10.4.7 Time for construction
General requirements and methods of control of seepage and
internal erosion and piping in embankment dams and
their foundations
Some particular features of rock and soil foundations which affect
seepage and internal erosion control
Details of some measures for pore pressure and seepage flow control
10.7.1 Horizontal and vertical drains in the embankment
10.7.2 Treatment of the sides of the cutoff trench
10.7.3 Prevention of critical seepage gradients and heave of the
foundation
10.7.4 Design of pressure relief wells
Control of foundation seepage and internal erosion and piping by
cutoffs
10.8.1 General effectiveness of cutoffs
10.8.2 Cutoff trench
10.8.3 Slurry trench cutoff backfilled with bentonite-sand-gravel
10.8.4 Grout diaphragm wall
10.8.5 Diaphragm wall using rigid or plastic concrete
10.8.6 Methods of excavation of diaphragm walls
10.8.7 Permeability and performance of cutoff walls
10.8.8 We live in a three dimensional world
Examples of dam upgrades to address deficiencies in internal
erosion and piping control
10.9.1 Upgrades to reduce the likelihood of continuation of
erosion by providing filters and cutoffs
10.9.2 Upgrades to reduce the likelihood of breach

11 Analysis of stability and deformations


11.1 Analysis of stability and deformations methods of analysis
11.2 Limit equilibrium analysis methods
11.2.1 General characteristics

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11.3

11.4

11.5

11.6

11.2.2 Some common problems


11.2.3 Three dimensional analysis
11.2.4 Shear strength of partially saturated soils
Selection of shear strength for design
11.3.1 Drained, effective stress parameters
11.3.1.1 Peak, residual or fully softened strength in clay
soils?
11.3.1.2 Selection of design parameters in clay soils
11.3.1.3 Selection of design parameters granular soils
and rockfill
11.3.2 Undrained, total stress parameters
11.3.2.1 Triaxial compression, extension or direct simple
shear strength
11.3.2.2 Selection of design parameters
11.3.3 Inherent soil variability
Estimation of pore pressures and selection of strengths for steady
state, construction and drawdown conditions
11.4.1 Steady state seepage condition
11.4.1.1 Steady state pore pressures
11.4.1.2 Pore pressures under flood conditions
11.4.2 Pore pressures during construction and analysis of
stability at the end of construction
11.4.2.1 Some general principles
11.4.2.2 Estimation of construction pore pressures by
Skempton (1954) method
11.4.2.3 Estimation of construction pore pressures from
drained and specified undrained strengths
11.4.2.4 Estimation of pore pressures using advanced
theory of partially saturated soil
11.4.2.5 Undrained strength analysis
11.4.2.6 Summing up
11.4.3 Drawdown pore pressures and the analysis of stability
under drawdown conditions
11.4.3.1 Some general issues
11.4.3.2 Estimation of drawdown pore pressures,
excluding the effects of shear-induced pore
pressures
11.4.3.3 Methods for assessment of the stability under
drawdown conditions
11.4.3.4 Some detailed issues for drawdown
analyses
Design acceptance criteria
11.5.1 Acceptable factors of safety
11.5.2 Post failure deformation assessment
Examples of unusual issues in analysis of stability
11.6.1 Hume No. 1 Embankment
11.6.2 Eppalock Dam
11.6.3 The lessons learnt

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11.7 Analysis of deformations


11.7.1 Analyses of embankment cross sections
11.7.2 Cross valley deformation analyses
11.8 Probabilistic analysis of the stability of slopes
12 Design of embankment dams to withstand earthquakes
12.1 Effect of earthquake on embankment dams
12.2 Earthquakes and their characteristics
12.2.1 Earthquake mechanisms and ground motion
12.2.2 Earthquake magnitude and intensity
12.2.3 Attenuation and amplification of ground motion
12.2.4 Earthquakes induced by the reservoir
12.3 Evaluation of seismic hazard
12.3.1 Terminology
12.3.2 General principles of seismic hazard assessment
12.3.2.1 Probabilistic approach
12.3.2.2 Seismic hazard from known active or capable
faults
12.3.3 Other forms of expression of seismic hazard
12.3.4 Selection of design seismic loading
12.3.4.1 Deterministic approach
12.3.4.2 Risk based approach
12.3.4.3 Which approach to use?
12.3.5 Modelling vertical ground motions
12.3.6 The need to get good seismological advice
12.4 Principles of risk based analyses for earthquake loads
12.4.1 General principles
12.4.2 Failure by loss of freeboard and overtopping
12.4.3 Failure by cracking and internal erosion
and piping
12.5 Liquefaction of dam embankments and foundations
12.5.1 Definitions and the mechanics of liquefaction
12.5.1.1 Definitions
12.5.1.2 Some consideration of the mechanics of
liquefaction of granular soils
12.5.1.3 Suggested flow chart for evaluation of
soil liquefaction
12.5.2 Soils susceptible to liquefaction
12.5.2.1 Methods based on soil classification and in situ
moisture content
12.5.2.2 Discussion and recommended approach
12.5.2.3 Methods based on geology and age of
the deposit
12.5.3 The simplified procedure for assessing liquefaction
resistance of a soil
12.5.3.1 Background to the simplified method
12.5.3.2 Discussion of differences between the Youd
et al. (2001), Seed et al. (2003) and Idriss and
Boulanger (2008) methods

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12.5.3.3 The simplified method outline


12.5.3.4 Evaluation of Cyclic Stress Ratio (CSR)
12.5.3.5 Evaluation of Cyclic Resistance Ratio for M7.5
earthquakes (CRR7.5 ) from the Standard
Penetration Tests using the Boulanger and
Idriss (2012), Idriss and Boulanger (2008)
method
12.5.3.6 Evaluation of the Cyclic Resistance Ratio for
M7.5 earthquake (CRR7.5 ) from Cone
Penetration Tests using the Idriss and
Boulanger (2008) method
12.5.3.7 Evaluation of Cyclic Resistance Ratio for
M7.5 earthquake (CRR7.5 ) from shear wave
velocity using the Andrus and Stokoe (2000)
method
12.5.3.8 Earthquake magnitude scaling factors and factor
of safety against liquefaction
12.5.3.9 Corrections for overburden stress and static shear
stress
12.5.3.10 Allowance for the age of the soil deposit
12.6 Liquefied undrained shear strength and post earthquake stability
analysis
12.6.1 Some general principles
12.6.2 Background to the assessment of the liquefied
shear strength Su(LIQ)
12.6.3 Some methods for assessing the strength of liquefied soils
in the embankment and foundation
12.6.3.1 Critical State based methods
12.6.3.2 Normalized strength ratio methods
12.6.3.3 Other methods
12.6.4 Some other factors to consider
12.6.5 Recommended approach to assessing the liquefied
undrained strength soils of in the embankment and
foundation
12.6.6 Methods for assessing the post earthquake strength of
non-liquefied soils in the embankment and foundation
12.6.6.1 Saturated potentially liquefiable soils
12.6.6.2 Cyclic softening in clays and plastic silts
12.6.6.3 Compacted plastic and non-plastic soils
12.6.7 Liquefaction potential and limit equilibrium stability
analysis
12.6.8 Site investigations requirements and development of
geotechnical model of the foundation
12.7 Seismic deformation analysis of embankment dams
12.7.1 Preamble
12.7.2 Performance of embankment dams during
earthquakes
12.7.3 The methods available and when to use them
12.7.4 Suggested approach to estimation of deformations

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12.7.5 Screening methods


12.7.5.1 USACE method
12.7.5.2 Hynes-Griffin and Franklin (1984) pseudo-static
seismic coefficient method
12.7.6 Empirical database methods
12.7.6.1 Swaisgood (1998, 2003) empirical method for
estimating crest settlements
12.7.6.2 Pells and Fell empirical method for estimating
settlement, damage and cracking
12.7.7 Simplified methods of deformation analysis for dams
where liquefaction and significant strain weakening
do not occur
12.7.7.1 General principles
12.7.7.2 Makdisi and Seed (1978) method
12.7.7.3 Bray and Travasarou (2007) method
12.7.8 Advanced numerical methods for estimating deformations
during and post earthquake for non-liquefied
and liquefied conditions
12.7.8.1 Total stress codes
12.7.8.2 Effective stress codes
12.7.8.3 Summary
12.8 Defensive design principles for embankment dams
12.9 Methods for upgrading embankment dams for seismic loads
12.9.1 General approaches
12.9.2 Upgrading of embankment dams not subject to liquefaction
12.9.3 Embankment dams subject to liquefaction
13 Embankment dam details
13.1 Freeboard
13.1.1 Definitions and overall requirements
13.1.2 Examples of freeboard requirements
13.1.2.1 New embankment dams
13.1.2.2 Existing embankment dams
13.1.2.3 Suggested approach for determining freeboard
13.1.3 Estimation of wave run up freeboard for design of small
dams and for feasibility and preliminary design
13.1.4 Estimation of wind setup and wave run-up for detailed
design
13.1.4.1 Fetch
13.1.4.2 Design wind
13.1.4.3 Wave height
13.1.4.4 Wave length and wave period
13.1.4.5 Wave run-up
13.1.4.6 Wind set-up
13.2 Slope protection
13.2.1 Upstream slope protection
13.2.1.1 General requirements

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13.2.1.2 Sizing and layer thickness


13.2.1.3 Selection of design wind speed and
acceptable damage
13.2.1.4 Rock quality and quarrying
13.2.1.5 Design of filters under rip-rap
13.2.1.6 Use of soil cement and shotcrete for upstream
slope protection
13.2.2 Downstream slope protection
13.2.2.1 General requirements
13.2.2.2 Grass and rockfill cover
13.3 Embankment crest details
13.3.1 Camber
13.3.2 Crest width
13.3.3 Curvature of crest in plan
13.4 Embankment dimensioning and tolerances
13.4.1 Dimensioning
13.4.2 Tolerances
13.5 Conduits through embankments
13.5.1 Piping into the conduit
13.5.2 Piping along and above the conduit
13.5.3 Flow out of the conduit
13.5.4 Conclusions
13.5.5 Recommendations
13.6 Interface between earthfill and concrete structures
13.6.1 Interface between retaining walls and embankment
13.6.2 Interface between concrete gravity dam and embankment
13.7 Flood control structures
13.8 Design of dams for overtopping during construction
13.8.1 General design concepts
13.8.2 Types of steel mesh reinforcement
13.8.3 Design of steel reinforcement
13.9 Design of rip rap for minor overtopping of levees or small dams
during floods
13.10 Other overtopping protection methods for embankment dams
14 Specification and quality control of earthfill and rockfill
14.1 Specification of rockfill
14.2 Specification of earthfill
14.3 Specification of filters
14.4 Quality control
14.4.1 General
14.4.2 Methods, and performance criteria
14.4.3 Quality control
14.4.4 Influence of non technical factors on the quality of
embankment dams
14.5 Testing of rockfill
14.5.1 Particle size, density and permeability

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14.5.2 Field rolling trials


14.6 Testing of earthfill
14.6.1 Compaction-test methods
14.6.2 Compaction control some common problems
14.6.3 Compaction control some other methods
15 Concrete face rockfill dams
15.1 General arrangement and reasons for selecting this
type of dam
15.1.1 Historic development of concrete face rockfill dams
15.1.2 General arrangement modern practice
15.1.3 Site suitability, and advantages of concrete face rockfill
dams
15.2 Rockfill zones and their properties
15.2.1 Zone 2D Transition rockfill
15.2.2 Zones 2E, 3A and 3B Fine rockfill, rockfill and coarse
rockfill
15.2.2.1 General requirements
15.2.2.2 Layer thickness and compaction
15.2.2.3 Use of gravel as rockfill
15.2.3 Effect of rock properties, compaction and addition of water
during compaction on modulus of rockfill
15.2.4 Estimation of the modulus of rockfill
15.2.4.1 Estimation of the secant modulus Erc
15.2.4.2 Estimation of the first filling pseudo modulus Erf
15.2.4.3 Effect of valley shape
15.2.5 Selection of side slopes and analysis of slope stability
15.3 Concrete face
15.3.1 Plinth
15.3.2 Face slab
15.3.2.1 Face slab thickness
15.3.2.2 Reinforcement
15.3.2.3 Vertical and horizontal joints
15.3.3 Perimetric joint
15.3.3.1 General requirements
15.3.3.2 Water stop details
15.3.4 Crest detail
15.4 Construction aspects
15.4.1 Plinth construction and special details
15.4.2 River diversion
15.4.3 Embankment construction
15.5 Some non-standard design features
15.5.1 Use of dirty rockfill
15.5.2 Dams on erodible foundation
15.5.3 Leaving alluvium in the dam foundation
15.5.4 Plinth gallery
15.5.5 Earthfill cover over the face slab

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15.5.6 Spillway over the dam crest


15.6 Observed settlements, and displacements of the face slab, and joints
15.6.1 General behaviour
15.6.2 Post construction crest settlement
15.6.3 Face slab displacements and cracking
15.6.4 Cracks in CFRD dams
15.7 Observed leakage of CFRD
15.7.1 Modern CFRD
15.7.2 Early CFRD and other dams which experienced
large leakage
15.8 Framework for assessing the likelihood of failure of CFRD
15.8.1 Overview of approach
15.8.2 Assessment of likelihood of initiation of a
concentrated leak
15.8.3 Assessment of the likelihood of continuation of a
concentrated leak
15.8.4 Assessment of the likelihood of progression to form a pipe
15.8.5 Assessment of the likelihood of a breach forming
15.8.6 Concluding remarks
15.9 Further reading
16 Concrete gravity dams and their foundations
16.1 Outline of this chapter
16.2 Analysis of the stability for normal operating and flood loads
16.2.1 Design loads
16.2.2 Load combinations
16.2.3 Kinematically feasible failure models
16.2.4 Analysis of stability
16.2.5 Acceptance criteria
16.3 Strength and compressibility of rock foundations
16.3.1 Some general principles
16.3.2 Assessment of rock shear strength
16.3.2.1 General requirements
16.3.2.2 Shear strength of clean discontinuities
16.3.2.3 Shear strength of infilled joints and seams
showing evidence of previous displacement
16.3.2.4 Shear strength of thick infilled joints, seams or
extremely weathered beds with no previous
displacement
16.3.2.5 Shear strength of jointed rock masses with no
persistent discontinuities
16.3.3 Tensile strength of rock foundations
16.3.4 Compressibility of jointed rock foundation
16.3.5 Ultimate bearing capacity of rock foundations
16.4 Strength of the concrete in the dam
16.4.1 What is recommended in guidelines
16.4.2 Measured concrete strengths from some USA dams

902
903
903
904
908
911
922
922
922
927
927
932
932
933
934
935
935
937
937
937
937
938
939
940
944
947
947
948
948
948
950

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16.5
16.6

16.7
16.8
16.9

16.4.2.1 Background to the data


16.4.2.2 Tensile strength of concrete and lift joints
16.4.2.3 Shear strength of concrete
Strength of the concrete rock contact
Uplift in the dam foundation and within the dam
16.6.1 What is recommended in guidelines?
16.6.2 Some additional information on uplift pressures
16.6.2.1 Effects of geological features and deformations
on foundation uplift pressures
16.6.2.2 Analysis of EPRI (1992) uplift data
16.6.2.3 Design of drains
16.6.2.4 Hydro-dynamic forces
16.6.2.5 Aprons
16.6.2.6 Contact or box drains
Silt load
Ice load
The design and analysis of gravity dams for earthquake loading
16.9.1 Introduction
16.9.2 Gravity dams on soil foundations
16.9.3 Gravity dams on rock foundations
16.9.3.1 General
16.9.3.2 The Westergaard pseudo-static method
16.9.3.3 The Fenves-Chopra refined pseudo-static method
16.9.3.4 The US Corps of engineers method
16.9.3.5 Finite Element Method (FEM)
16.9.3.6 Design earthquake input motion
16.9.3.7 Should vertical ground motion be included?
16.9.3.8 Reservoir level variation
16.9.3.9 What do the results of analyses mean?
16.9.3.10 Post-earthquake analyses
16.9.3.11 Dams on rock foundations with potentially
deep-seated failure mechanisms
16.9.3.12 Dams on foundations that could be subjected to
ground displacement
16.9.4 Concluding remarks

17 Foundation preparation and cleanup for embankment


and concrete dams
17.1 General requirements
17.1.1 Embankment dams
17.1.2 Concrete dams
17.1.3 Definition of foundation requirements in
geotechnical terms
17.2 General foundation preparation for embankment dams
17.2.1 General foundation under earthfill
17.2.1.1 Rock foundation
17.2.1.2 Soil foundation

955
957
960
962
964
964
967
967
968
970
973
974
974
975
975
975
975
976
976
976
977
977
978
978
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Table of contents xxix

17.3

17.4

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17.5
17.6

17.7
17.8

17.2.2 General foundation under rockfill


17.2.3 General foundation under horizontal filter drains
Cutoff foundation for embankment dams
17.3.1 The overall objectives
17.3.2 Cutoff in rock
17.3.3 Cutoff in soil
Width and batter slopes for cutoff in embankment dams
17.4.1 Cutoff width W
17.4.2 Batter slope
17.4.3 Setting out
Selection of cutoff foundation criteria for embankment dams
Slope modification and seam treatment for embankment dams
17.6.1 Slope modification
17.6.2 Seam treatment
17.6.3 Dental concrete, pneumatically applied mortar,
and slush concrete
17.6.4 The need for good records of foundation treatment
Assessment of existing embankment dams
Foundation preparation for concrete gravity dams on rock
foundations
17.8.1 The general requirements
17.8.2 Excavation to expose a suitable rock foundation
17.8.3 Treatment of particular features
17.8.4 Treatment at sites formed by highly stressed rock

18 Foundation grouting
18.1 General concepts of grouting dam foundations
18.2 Grouting design cement grout
18.2.1 Staging of grouting
18.2.2 The principles of closure
18.2.3 The design and quality control of cement grouts
18.2.3.1 The cement and additives used for grouting
18.2.3.2 Water cement ratio
18.2.3.3 Rheological properties of grout
18.2.3.4 High, medium and low mobility grouts
18.2.3.5 Field quality control testing of grouts
18.2.3.6 Grout pressure
18.2.3.7 Recommended closure criteria for embankment
and concrete dams
18.2.4 Effect of cement particle size, viscosity, fracture spacing and
Lugeon value on the effectiveness of grouting
18.2.5 The effectiveness of a grout curtain in
reducing seepage
18.2.6 The depth and lateral extent of grouting
18.2.7 Grout hole position and orientation
18.3 Some practical aspects of grouting with cement
18.3.1 Grout holes

992
992
993
993
994
994
998
999
999
1000
1001
1002
1002
1005
1006
1008
1009
1011
1011
1011
1013
1018
1021
1021
1023
1023
1028
1031
1031
1034
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1037
1037
1038
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18.3.2 Standpipes
18.3.3 Grout caps
18.3.4 Grout mixers, agitator pumps and other equipment
18.3.5 Monitoring of grouting program
18.3.6 Water pressure testing
18.4 Prediction of grout takes
18.5 Durability of cement grout curtains
18.6 Chemical grouts in dam engineering
18.6.1 Types of chemical grouts and their properties
18.6.2 Grout penetrability in soil and rock
18.6.3 Grouting technique
18.6.4 Applications to dam engineering
19 Mine and industrial tailings dams
19.1 General
19.2 Tailings and their properties
19.2.1 What are mine tailings?
19.2.2 Tailings terminology and definitions
19.2.3 Tailings properties
19.2.3.1 General
19.2.3.2 Particle size
19.2.3.3 Mineralogy
19.2.3.4 Dry density and void ratio
19.2.3.5 Permeability
19.2.3.6 Properties of water in tailings
19.3 Methods of tailings discharge and water recovery
19.3.1 Tailings discharge
19.3.2 Cyclones
19.3.3 Sub-aqueous vs sub-aerial deposition
19.3.4 Water Recovery
19.4 Prediction of tailings properties
19.4.1 Beach slopes and slopes below water
19.4.2 Particle sorting
19.4.3 Permeability
19.4.4 Dry density
19.4.5 The prediction of desiccation rates
19.4.6 Drained and undrained shear strength
19.4.6.1 Drained shear strength
19.4.6.2 Undrained shear strength
19.5 Methods of construction of tailings dams
19.5.1 General
19.5.2 Construction using tailings
19.5.2.1 Upstream method
19.5.2.2 Downstream method
19.5.2.3 Centreline method
19.5.3 Construction using conventional water dams
19.5.4 Selection of embankment construction method

1054
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1056
1058
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1061
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1064
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1070
1075
1075
1075
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1076
1078
1078
1079
1079
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1085
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Table of contents xxxi

19.5.5 Control of seepage by tailings placement, blanket drains


and under-drains
19.5.5.1 Tailings placement
19.5.5.2 Drainage blankets and under-drains
19.5.6 Some factors affecting the potential for internal erosion and
piping of tailings dams
19.5.7 Some factors to consider for seismic design of
tailings dams
19.5.7.1 Conventional dams and downstream
construction
19.5.7.2 Upstream construction
19.5.8 Storage layout
19.5.9 Other disposal methods
19.5.9.1 Thickened discharge or Robinsky method
19.5.9.2 Co-disposal
19.5.9.3 Paste disposal
19.5.9.4 Belt filtration
19.5.9.5 Disposal into open cut and underground
mine workings
19.5.9.6 Discharge into rivers or the sea
19.6 Seepage from tailings dams and its control
19.6.1 General
19.6.2 Principles of seepage flow and estimation
19.6.3 Some common errors in seepage analysis
19.6.4 Seepage control measures
19.6.4.1 Controlled placement of tailings
19.6.4.2 Foundation grouting
19.6.4.3 Foundation cutoffs
19.6.4.4 Clay liners
19.6.4.5 Under-drains
19.6.4.6 Synthetic liners (geomembranes)
19.6.4.7 Geomembrane liners
19.6.5 Seepage collection and dilution measures
19.6.5.1 Toe drains
19.6.5.2 Pump wells
19.6.5.3 Seepage collection and dilution dams
19.6.6 Rehabilitation
19.6.6.1 Long term stability and settlement
19.6.6.2 Erosion control
19.6.6.3 Seepage control
19.6.6.4 Return of area to productive use
20 Monitoring and surveillance of embankment dams
20.1 What is monitoring and surveillance?
20.2 Why undertake monitoring and surveillance?
20.2.1 The objectives
20.2.2 Is it really necessary?

1107
1107
1111
1112
1113
1113
1113
1116
1117
1117
1119
1121
1121
1122
1122
1123
1123
1123
1125
1128
1128
1129
1129
1130
1131
1133
1133
1133
1133
1134
1134
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1135
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xxxii Table of contents

20.2.3 Some additional information on embankment dam failures


and incidents
20.2.4 Time for development of internal erosion and piping failure
of embankment dams and ease of detection
20.2.5 The ability of monitoring to detect slope instability
20.3 What inspections and monitoring is required?
20.3.1 General principles
20.3.2 Some examples of well instrumented embankment dams
20.3.3 Dam safety inspections
20.4 How is the monitoring done?
20.4.1 General principles
20.4.2 Seepage flow measurement and observation
20.4.3 Surface displacements
20.4.4 Pore pressures
20.4.4.1 Why and where are pore pressures measured?
20.4.5 Pore air and pore water pressure
20.4.5.1 Fluctuations of pore pressure with time and the
lag in response of instruments
20.4.5.2 Types of instruments and their characteristics
20.4.6 Should piezometers be installed in the cores of earth and
earth and rockfill dams?
20.4.7 Displacements and deformation
20.4.7.1 Vertical displacements and deformation
20.4.7.2 Horizontal displacements and deformations
20.4.8 Thermal monitoring of seepage
20.4.8.1 General
20.4.8.2 Distributed fibre optic temperature sensing
20.4.8.3 Thermotic sensors in stand pipes in the dam
20.4.8.4 Infra-red imaging of the downstream face of the
dam and foundations
20.4.9 Use of geophysical methods to detect seepage
20.4.9.1 Self potential
20.4.9.2 Resistivity
20.4.9.3 Other methods
References
Appendix A: Methods for estimating the probability of failure by
internal erosion and piping
Subject index

1145
1146
1154
1154
1154
1157
1158
1162
1162
1167
1169
1171
1172
1175
1176
1178
1186
1187
1187
1191
1194
1194
1194
1196
1197
1197
1197
1197
1198
1199
1255
1339

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Author Biographies

Robin Fell is Emeritus Professor of Civil Engineering at the University of New South
Wales and also works as a peer review consultant. He has 48 years of experience in
geotechnical engineering of dams, landslides and civil and mining projects in Australia,
New Zealand, the Pacific, North and Central America, and Asia. He has worked
on over 100 dams worldwide and has been involved in all aspects of planning, site
investigation, design and construction of embankment and concrete gravity dams.

Patrick MacGregor is a Consulting Engineering Geologist with more than 50 years


experience in the assessment of geological constraints for major civil engineering
projects in a number of countries. He has been involved in dam investigation, design
and construction and particularly worked on hydroelectric developments at all stages
from inception to operation.

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xxxiv Author Biographies

David Stapledon spent many years on the investigation of large dam construction
sites in various countries. He was a Professor of Engineering Geology at the University
of South Australia (19641993) and worked as a Consultant in Engineering Geology,
contributing to major dam projects in Australia, New Zealand and South East Asia.
He has more than 50 years of experience and was awarded the John Jaeger Memorial
Medal for Contributions to Geomechanics in 1995.

Graeme Bell has worked in dam engineering since 1962. His role has varied from
providing the full technical input, design management and construction advice for new
dams to the preparation of complex structural analyses of existing dams. From 1979,
he has acted as an independent reviewer on many dam projects, mainly in Australia,
but also in several overseas locations.

Mark Foster has 20 years of experience in dam engineering and geotechnical engineering. This has involved a wide variety of projects including dam safety reviews,
design of dam upgrade projects and dam safety risk assessments for embankment and
concrete dams. He has a particular interest in the assessment of piping and internal
erosion of embankment dams which was the topic of his doctoral research studies at
the University of New South Wales.

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