Dam and Reservoirs (HE-615)

1. Introduction and History of Dam Engineering

Dams, in different forms were built by humankind since the earliest days of known
history, in order to solve problems that could not be solved otherwise. There could not
be a developed civilization without water management. One can see that all major
settled civilizations were using water supply systems and irrigation. At first small
diversion dams were used and gradually even larger storage dams were introduced.

Most of early dam building took place in Mesopotamia and the Middle East. Dams were
used to control the water level. There are remains of dams older than 2000 years in
China, Egypt (there are reliable records of about dam built on the Nile River before 4000
B.C. This was to provide water for ancient city Memphis) Iran, Yemen and ancient
Mesopotamia.

The earliest known dam is situated in Jawa, Jordan, 100 km northeast of the capital
Amman. The gravity dam featured a 9 m high and 1 m wide stone wall, supported by a
50 m wide earth rampart. The structure is dated back to 3000 BC. The Ancient Egyptian
Sadd Al-Kafara at Wadi Al-Garawi, located about 25 kilometers south of Cairo, was 102
m long at its base and 87 m wide. The structure was built around 2800 or 2600 B.C. as
a diversion dam for flood control, but was destroyed by heavy rain during construction
or shortly afterwards.

The Romans were also great dam builders, with many examples such as the three
dams at Subiaco on the river Anioin Italy. Many large dams also survive at Mérida in
Spain. The oldest surviving and standing dam in the world is believed to be the
Quatinah barrage in modern-day Syria. The dam is assumed to date back to the reign of
the Egyptian pharaoh Sethi (1319–1304 BC), and was enlarged in the Roman period
and between 1934-38.

Now a days humankind constructing huge dam for different purposes, for instance the
tallest dam in the world is the 300 meter high Nurek Dam in Tajikistan.

1.1 An overview of dam engineering

The term dam refers to a barrier that is either made of concrete or earth materials (or a
combination) built for purposes of obstructing the flow of water usually of river, stream
or waterway. Literally means to block up. Therefore, dam is a structure built to block,
retard, hold back or impede the flow of water.

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Dams are constructed either to divert the water flow or impound the water, or both.
People build dams for different usages. The impounded water that backs up against a
storage dam forms an artificial lake (the reservoir). The stored water is then made
available for irrigation (agriculture), town and city water supplies (drinking and
sanitation), and other uses, such as producing electricity for homes and industries.

Dams have been promoted as an important means of meeting perceived needs for
water and energy services and as long-term, strategic investments with the ability to
deliver multiple benefits. Some of these additional benefits are typical of all large public
infrastructure projects, while others are unique to dams and specific to particular
projects. Regional development, job creation, and fostering an industry base with export
capability are most often cited as additional considerations for building large dams.
Other goals include creating income from export earnings, either through direct sales of
electricity, or by selling cash crops or processed products from electricity-intensive
industry such as aluminium refining. Clearly, dams can play an important role in meeting
people’s needs.

Dams may be classified according to height, intended purpose, structure, the type
of material used in their construction and by their shape. For instance Dams
according to height and size can be classified in to three categories small, large and
major dams. A large dam, according to the International Commission on Large Dams
(ICOLD), is 15 meters (50 ft.) or more high from the foundation. If dams are between 5 –
15 meters and have a reservoir volume of more than 3 million cubic meters, they are
also classified as large dams. A major dam is over 150 meters in height.

Dams in the 20th century

More than 500,000 dams constructed worldwide, the vast majority of all these dams are
small structures less than 3 meters (10 ft.) tall, while more than 47,000 are large dams
built to generate electricity, supply water, control floods and facilitate navigation. More
than 20,000 of the world’s large dams are in China. During the 20thcentury, an
estimated US$2 trillion was spent on dam-building.

The following table shows the proportional distribution of large dams in different regions
of the world. Approximately two thirds of the world’s existing large dams are in
developing countries. According to table 1.1 Asia has the most number of large dams,
total of 31,340, followed by North and Central America based on ICOLD 1998 Survey.

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Regional distribution of large dams (as of 1998 survey)

S No Region No. Dams
1 Africa 1,269
2 Western Europe 4,277
3 South America 979
4 Eastern Europe 1,203
5 North and Central America 8,010
6 Asia 31,340
7 Austral-Asia 577
Total 47,655
Note: ICOLD is only using 45,000 dams, based on their survey in 1998. However, there
are more than 47,600 dams worldwide
Source: International commission on large dams (ICOLD) and world commission on
dams (WCD)

Table 1.1 regional distributions of large dams

Austral-Asia

South America

Eastern Europe

Africa

Western Europe

North & Cen. America

Asia

0 5,000 10,000 15,000 20,000 25,000 30,000 35,000

Figure 1.1: Regional distribution of large dams at the end of the 20th century (Source:
International Commission on Large Dams (ICOLD) and World Commission on Dams (WCD)

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The top 10 countries with the most large dams

By number of
S No. large dams By function
Flood
Irrigation Water supply control Hydropower
1 China China United States China China
United United United
2 United States India Kingdom States States
United
3 India States Spain Japan Canada
4 Spain Korea Japan Brazil Japan
5 Japan Spain Australia Germany Spain
6 Canada Turkey Thailand Romania Italy
7 Korea Japan South Africa Mexico France
8 Turkey Mexico Brazil Korea Norway
9 Brazil South Africa France Canada Brazil
10 France Albania Germany Turkey Sweden

Table 1.2 shows the top 10 countries in the world with the most number of large dams,
according to ICOLD and WCD.

1.2 Lessons from notable events

Historical study of dams conceived in earlier times is essential. To continue advancing

the engineering profession must periodically review past problems and the lesson that
they taught. Sharing of information on failures as well as success is needed. In fact,
some of the most valuable learning comes from projects where errors have been clear
in retrospect. The following case history is representative of the body of knowledge that
has been accumulated in the interest of the future safety of dams.

Failure of Teton dam

Teton Dam, a 305-foot high earthfill dam across the Teton River in Madison County,
southeast Idaho, failed completely and released the contents of its reservoir at 11:57
AM on June 5, 1976. Failure was initiated by a large leak near the right (northwest)
abutment of the dam, about 130 feet below the crest. The dam, designed by the U.S.
Bureau of Reclamation, failed just as it was being completed and filled for the first time.

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Figure 1.2 Catastrophic failure of Teton dam on June 5, 1976

History and geology of Teton dam site

There had been interest in building a dam in the eastern Snake River Plain for many
years, to control spring runoff and provide a more constant water supply in the summer.
The area had suffered a severe drought in 1961, followed by serious flooding in 1962.
The Bureau of Reclamation (USBR) proposed the Teton Dam in 1963, and Congress
passed without opposition an authorizing bill the following year. The planned dam was
to be an earthen structure 310 feet (94 m) high and 0.6 miles (1.0 km) long and create a
reservoir 17 miles (27 km) in length. The impounded water would be used to generate
hydroelectric power. An environmental impact statement was issued for the dam in
1971, but it did not raise the possibility of a collapse.

The eastern Snake River Plain is almost entirely underlain by basalt erupted from large
shield volcanos on top of rhyolitic ash-flow tuff and ignimbrites. The tuff, a late-Cenozoic
volcanic rock dates to about 1.9 million years. The dam site is composed of basalt and
rhyolite, both of which are considered unsuitable for dam construction because of their
high permeability. Test cores, drilled by engineers and geologists employed by the
Bureau of Reclamation, showed that the rock at the dam site is highly fissured and
unstable, particularly on the right side of the canyon. This was confirmed by long term
pump-in tests at rates of 165 to 460 US gallons (620 to 1,740 liters) per minute. The
widest fissures were determined to be 1.7 inches (4.3 cm) wide. The Bureau planned to

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seal these fissures by injecting grout into the rock under high pressure to create a grout
curtain in the rock.

In addition, an investigation of the area by geologist of the U.S. Geologic Survey

indicated that it was seismically active: five earthquakes had occurred within 30 miles
(50 km) of the dam site in the previous five years, two of which had been of significant
magnitude. This information was provided to the Bureau of Reclamation in a
memorandum, but the geologists' concerns were considerably watered down in the six-
month re-drafting process before the USGS sent the final version of the memo to the
USBR in July 1973.

In 1973, when the dam was only half-built, but almost $5 million had already been spent
on the project, large open fissures were encountered during excavation of the key
trench near the right end of the dam, about 700 feet (210 m) from the canyon wall. The
two largest, near-vertical fissures trend generally east-west and extend more than 100
feet (30 m) below the bottom of the key trench. Some of the fissures are lined by calcite,
and rubble fills others. Several voids, as much as 6 inches (15 cm) wide, were
encountered 60 to 85 feet (18 to 26 m), below the ground surface beyond the right end
of the dam and grout curtain. The largest fissures were actually enterable caves. One of
them was eleven feet (3.4 m) wide and a hundred feet (30 m) long. Another one was
nine feet (2.7 m) wide in places and 190 feet (60 m) long. These were not grouted
because they were beyond the keyway trench and beyond the area where the Bureau
had decided grouting was required. This necessitated using twice as much grouting as
had been originally anticipated – 118,000 linear feet were used in total. Later, the report
of a committee of the House of Representatives which investigated the dam's collapse
felt that the discovery of the caves should have been sufficient for the Bureau of
Reclamation to doubt its ability to fill them in with grout, but this did not happen: the
Bureau continued to insist, even after the dam had failed, that the grouting was
appropriate.

Filling the dam

The dam was completed in November 1975, and filling the reservoir began at the
standard rate of 1 foot (0.30 m) a day. However, snows were heavy that winter, and five
months later the project's construction engineer requested permission to double the
filling rate in order to deal with the additional spring runoff, while continuing to inspect
for leaks and monitor the groundwater. A month later, even though monitoring showed
that groundwater was flowing a thousand times faster than had been originally
anticipated, the filling rate was doubled again, to 4 feet (1.2 m) a day.

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On June 3 and 4, 1976 three small springs were discovered downstream of the dam,
although the water running through the leaks was clear, and such leaks are not
unexpected for an earthen dam. At the time, the reservoir was almost at capacity, with a
maximum depth of 240 feet (73 m). The only structure that had been initially prepared
for releasing water was the emergency outlet works, which could carry just 850 cubic
feet per second (24 m3/s). The main outlet works and spillway gates were not yet in
service.

The collapse and flood

On Saturday, June 5, 1976, at 7:30 a.m. Mountain Daylight Time (MDT), a muddy leak
appeared, suggesting sediment was in the water, but engineers did not believe there
was a problem. By 9:30 a.m. the downstream face of the dam had developed a wet spot
which began to discharge water at 20 to 30 cubic feet per second (0.57 to 0.85 m3/s)
and the embankment material began to wash out. Crews with bulldozers were sent to
plug the leak, but were unsuccessful. Local media appeared at the site, and at 11:15
officials told the county sheriff's office to evacuate downstream residents. Work crews
were forced to flee on foot as the widening gap, now larger than a swimming pool,
swallowed their equipment. The operators of two bulldozers caught in the eroding
embankment were pulled to safety with ropes.

At 11:55 a.m. the crest of the dam sagged and collapsed into the reservoir; two minutes
later the remainder of the right-bank third of the main dam wall disintegrated. Over
2,000,000 cubic feet per second (57,000 m3/s) of sediment-filled water emptied through
the breach into the remaining 6 miles (10 km) of the Teton River canyon, after which the
flood spread out and shallowed on the Snake River Plain. By 8:00 p.m. that evening, the
reservoir had completely emptied, although over two-thirds of the dam wall remained
standing.

Cause of the collapse

Study of the dam's environment and structure placed blame for the collapse on the
permeable loess soil used in the core and on fissured (cracked) rhyolite in the
abutments of the dam that allowed water to seep around and through the earth fill dam.
The permeable loess was found to be cracked. It is postulated that the combination of
these flaws allowed water to seep through the dam and led to internal erosion, called
piping that eventually caused the dam's collapse.

An investigating panel had quickly identified piping as the most probable cause of the
failure, and then focused its efforts on determining how the piping started. Two
mechanisms were possible. The first was the flow of water under highly erodible and
unprotected fill, through joints in unsealed rock beneath the grout cap, and development
of an erosion tunnel. The second was "cracking caused by differential strains or
hydraulic fracturing of the core material." The panel was unable to determine whether
one or the other mechanism occurred, or a combination:

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The fundamental cause of failure may be regarded as a combination of geological

factors and design decisions that, taken together, permitted the failure to develop.

A wide-ranging controversy ensued from the dam's collapse. According to the Bureau of
Reclamation, BOR engineers assess all Reclamation dams under strict criteria
established by the Safety of Dams program. Each structure is periodically reviewed for
resistance to seismic stability, internal faults and physical deterioration. The dam safety
program identified two other dangerous dams - Fontenelle, which very nearly failed like
the Teton Dam when it was filled and again in May 1985 and the Jackson Lake Dam
which would have failed during an earthquake on the nearby Teton Fault.

The lessons learned from this case led to safety improvements for U.S. Bureau of
Reclamation design procedures.

1.3 Benefits and concerns about dam

Water is the vital resource to support all forms life on earth. Unfortunately, it is not
evenly distributed over the world by season or location. Some parts of the world are
prone to drought making water a scarce and precious commodity, while in other parts of
the world it appears in raging torrents causing floods and loss of life and property.
Throughout the history of the world, dams and reservoirs have been used successfully
in collecting, storing and managing water needed to sustain civilization.

Even today, water remains essential for the survival of mankind and the future
development of the world’s cities, industries and agriculture. Today there is a significant
demand on the world’s water. As the world population continues to grow at the rate of
over 100 million people each year, so does the demand for water. At the same time,
there is a careless use of our natural resources and accelerated pollution of the
environment. The fact that a significant portion of the available water in the world is too
contaminated for domestic use makes this situation very critical.

One of the most efficient ways to manage water resources for human needs is by the
construction of dams that create reservoirs for the storage and future distribution. As we
have seen in the above section currently there are about 47,655 dams higher than 15
meters throughout the world. While some are more than 2,000 years old, More than
73% have been built in the last 50years. The reservoirs formed by these dams store
more than 3,600 km3 of usable water.

The primary benefit of dams and reservoirs in the world is water supply. Other key
purposes and benefits include:
 Irrigation for agriculture (food supply)
 Flood control
 Hydropower
 Inland navigation

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 Recreation

Most dams are built for several purposes. This produces a broad range of domestic and
economic benefits from a single investment. An additional local benefit is the
employment opportunities during the multiple year construction of a reservoir project.

Effective management of the world’s water is essential to sustaining the existing and
future population of the world. As the world’s population continues to grow so does the
need for more dams, especially in developing nations and the vast arid regions of the
world. Basin-wide planning for water management is the key element to providing
optimum water supply and other benefits. While dams provide significant benefits to our
society, their impacts on the surroundings include:

 Resettlement and relocation

 Socioeconomic impacts
 Environmental concerns
 Sedimentation issues
 Safety aspects

However, these concerns and impacts can be reduced or eliminated by careful

planning, and the incorporation of a variety of mitigation measures.

Water Supply for domestic and industrial use

One of the fundamental requirements for socio-economic development in the world is
the availability of adequate quantities of water with the appropriate quality. In the past,
the main sources of domestic and industrial water have been aquifers. Today, many of
these are now overused and their rate of recharge is far less than what is extracted.
Their supply must be augmented with additional water from reservoirs. Large urban
areas depend heavily on water stored in reservoirs during high flows and used during
periods of low rainfall. This is especially critical in arid regions of the world. This need
for stored water will continue, since many aquifers are over-used. Properly planned,
designed and constructed and maintained dams contribute significantly toward fulfilling
our water supply requirements. The primary source of freshwater supply is from
precipitation. Throughout the world, the hydrologic cycle varies and is not predictable
due to climate change and other problems.

Water stored in reservoirs is also used for industrial needs. This ranges from the direct
use in chemical and refining processes to cooling for conventional and nuclear power
production. Managed flows from reservoirs can be used to dilute discharged substances
by augmenting low river flow to maintain water quality at safe limits.

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Meeting the agricultural demand for food supply

One of the biggest uses of water on a worldwide scale is agricultural irrigation.

According to the study that has been made by international commission on large dam in
July 1999, agricultural irrigation has accounted for about 1147 liters per day per capita
by the year 2000. Since the early1990s, less than 1/5 of the land suitable for agriculture
in the world has been irrigated, and it has contributed about 1/3 of world food
production. It is estimated that 80% of additional food production by the year 2025 will
come from irrigated land. Most of the areas in need of irrigation are in arid zones, which
represent a major portion of the developing countries. Even with the widespread
measures to conserve water by improvements in irrigation technology, construction of
more reservoir projects will be required.

Flood control

Dams and reservoirs can be effectively used to regulate river levels and flooding
downstream of the dam by temporarily storing the flood volume and releasing it later.
The most effective method of flood control is accomplished by a number of multipurpose
dams strategically located in a river basin. The dams are operated by a specific water
control plan for routing floods through the basin without damage. This not only
eliminates flooding, but provides other benefits such as water supply, irrigation,
hydropower and water quality. The number of dams and their water control
management plans are established by comprehensive planning for economic
development and with public involvement. Flood control is a significant purpose for
many of the existing dams and continues as a main purpose for some of the major
dams of the world currently under construction.

Hydropower

The availability of energy is essential for the socio-economic development of a nation.

It’s advantageous to use energy that is clean, efficient, dependable and renewable.
Hydropower meets all of these requirements. In countries, where a vast amount of
development still lies ahead, good conditions often exist for renewable energy sources.
The technically most advanced and economical source of renewable energy is
hydropower.

Less than 20% of the world’s estimated feasible hydropower potential has been
developed. The greatest amount of potential remains to be developed in Asia, South
America and Africa. Hydropower projects produce energy with a high rate of efficiency
and without burdening future generations with pollution or waste. Hydropower projects

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can be developed with very small capacities for local consumption or with very large
projects as part of a regional or national system. As part of a multipurpose project,
hydropower can also help to finance other functions of a reservoir or river, such as
irrigation water for food supply, drinking water, flood protection, improved navigation or
recreation.

Inland navigation

Natural river conditions, such as current, changes in river level, ice, and changing river
channels all create major problems and obstacles for inland navigation. The advantages
of inland navigation over highway and rail are the large load carrying capacity of each
barge, the ability to handle cargo with large-dimensions and fuel savings. Enhanced
inland navigation is a result of comprehensive basin planning and development utilizing
dams, locks and reservoirs that are regulated to provide a vital role in realizing regional
and national economic benefits. In addition to the economic benefits, a river that has
been developed with dams and reservoirs for navigation may also provide additional
benefits of flood control, reduced erosion, stable ground water over the length of the
system and recreation.

Recreation

The attractiveness of reservoirs for tourism is often a significant benefit, in addition to

the other purposes of a dam. This is very significant in areas where natural surface
water is scarce or non-existent. Recreational benefits associated with lakes, such as
boating, swimming, fishing, bird watching and nature walks, are taken into account early
at the planning stage, along with other objectives achieve a balanced project. The
operation of the dam and reservoir can enhance tourism.

1.4 Terms and parameters pertinent to dam engineering

There are different kinds of parameters associated with dam engineering. The following
are the most commonly used terms in dam engineering.

[Link] foundation along the sides of thevalley or gorge against which the
dam is constructed.

AGGREGATE. The natural sands, gravels, and crushed stones used in the manufacture
of concrete. Aggregatefor concrete commonly is obtained from alluvial stream deposits
or from rock quarries.

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APPURTENANT STRUCTURES. Any physical feature other than the dam, such as the
spillway, outlet, powerhouse, penstock, tunnels, etc.

BEDROCK. The solid rock foundation of a dam, usually overlain by soil or other
unconsolidated superficial material.

COFFERDAM. A temporary structure constructed around part or all of the excavation

for a dam or other appurtenant features to facilitate construction in the dry.

CONSTRUCTION JOINT. The surface between two consecutive placements of

concrete that develops bond strength

CONTRACTION JOINT GROUTING. Injection of grout into contraction joints.

CREEP. Deformation over a long period of time under a continuous sustained load.

CUTOFF. An impervious construction placed beneath a dam to intercept seepage flow.

DEAD LOAD. The constant load on the dam resulting from the mass of the concrete
and other attachments.

DEFLECTION. Linear deviation of the structure due tothe effect of loads or volumetric
changes.

DEFORMATION. Alteration of shape or dimension due to stress.

DIVERSION CHANNEL OR TUNNEL.A structure to temporarily divert water around a

dam site during construction.

GALLERY. A long, narrow passage inside a dam used for access, inspection, grouting,
or drilling of drain holes.

GROUT. A mixture of water and cement or a chemical solution that is forced by

pumping into foundation rocks or joints in a dam to prevent seepage and to increase
strength.

GROUT CURTAIN. A row of holes filled with grout under pressure near the heel of the
dam to control seepage under the dam

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HEEL OF DAM. The location where the upstream face of the dam intersects the
foundation.
INSTRUMENTATION. Devices installed on and embedded within a dam to monitor the
structural behavior during and after construction of the dam.

INTAKE [Link] structure in the forebay that is the entrance to any water
transporting facility such as a conduit or tunnel.

LIFT. The concrete placed between two consecutive horizontal construction joints.

NONOVERFLOW [Link] section of the dam that is designed not to be

overtopped.

OUTLET STRUCTURE. A structure at the outlet of acanal, conduit, or tunnel for the
purpose of discharging water from the reservoir.

OVERFLOW SECTION. That portion of a dam, usually occupied by a spillway, which

allows the over flow of water. Also referred to as spillway section.

PORE PRESSURE. The interstitial pressure of water within the mass of rock or
[Link] called neutral stress and pore-water pressure.

POROSITY. The ratio of the volume of voids to the total volume of the material.

PRINCIPAL STRESS. Maximum and minimum stress occurring at right angles to a

principal plane of stress.

ROLLER-COMPACTED CONCRETE (RCC). A relatively dry concrete material that has

been consolidated through external vibration from vibratory rollers.

SPILLWAY. The structure over or through which reservoir flood flows are discharged.

SPILLWAY CHUTE. The outlet channel for the spillway discharge.

[Link] channel or canal that carries water away from a dam. Also sometimes
called afterbay.

TOE OF [Link] location where the downstream faceof the dam intersects the
foundation.

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UPLIFT PRESSURE. The upward water pressure in the pores of concrete or rock or
along the base of the dam
WATER STOP. A thin sheet of metal, rubber, plastic, or other material placed across
joints in concrete dams to prevent seepage of water through the joint

1.5 Classification of dams

There are numerous types of dams and they are classified in various ways.
Classification Based on Purpose
a) Storage Dams
i) Flood control
ii) Water supply: domestic, municipal, industrial, irrigation
iii) Hydroelectric power
iv) Recreation storage
v) Pollution control
b) Stage control Dams
i) Diversion
ii) Navigation
iii) Check
c) Barrier Dams
i) Levees and dykes
ii) Coffer dams
d) Multipurpose Dams
Classification based on Hydraulic design
a) Overflow dams
b) Non overflow dams
c) Composite dams
Classification According to Material of construction
a) Embankment Dams
b) Concrete Dams

a) Embankment Dams
They are constructed of earth fill. Upstream faces are similar and moderate angles,
giving a wide section and a high construction volume relative to height.
b) Concrete Dams
They are constructed of mass concrete. Face slopes are dissimilar, general steep
downstream and near vertical upstream slopes, and dams have relatively slender profile
dependent on the type. Other type such as timber, steel, etc dams in some cases may
be constructed.

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Dam

Concrete Embankment

Gravity Arch Massive Rockfill Earth fill

buttress

Arch-Gravity Combination

Figure 1.3 classification of dams based on material of construction

1.5.1 Types of Embankment Dams and Their General

Characteristics

Embankment dams are constructed of natural materials excavated or obtained near the
dam site. They are of relatively (compared with concrete dams) soft and elastic
structures. The foundation requirements are lower compared to concrete dams.

Embankment dams possess the following advantages:

- Suitability to wide valley and relatively steep-sided gorges alike;
- Adaptability to a broad range of foundation conditions;
- The use of natural materials, minimizing the need to transport large quantities of
processed materials to the site;
- The embankment design is extremely flexible in its ability to accommodate
different fill materials, e.g. earthfills and /or rockfills, if suitably zoned internally;
- If properly designed, the embankment can safely accommodate an appreciable
degree of settlement – deformation without risk of serious cracking and possible
failure;
- The construction process is highly mechanized and effectively continuous;
- The unit costs of earthfill and rockfill have risen much more slowly in real terms
than those for mass concrete.

The relative disadvantages of the embankment dam are few. The most important
include:

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 Greater susceptibility to damage or destruction by overtopping, with a

consequent need to ensure adequate flood relief and a separate spillway;
 Vulnerability to concealed leakage and internal erosion in dam or foundation;
 Erosion danger on the downstream slopes unless properly protected;
 Construction materials and construction processes are affected by weather.

Earthfill Embankments Dams

If the compacted soil account for over 50% of the placed volume of material, then an
embankment may be categorized as an earthfill dam. An earthfill dam is constructed
primarily of selected engineering soils compacted uniformly and intensively in relatively
thin layers and at a controlled moisture content.

Rockfill Embankment Dams

The designation rockfill embankment is appropriate where over 50% of the fill material
may be classified as a rockfill, i.e. coarse-grained frictional material. In the rockfill
embankment the section includes a discrete impervious element of compacted earthfill
or a slender concrete or bituminous membrane.

The term ‘zoned rockfill dam’ or ‘earthfill-rockfill dam’ are used to describe rockfill
embankments incorporating relatively wide impervious zones of compacted earthfill.
Rockfill embankment dams employing a thin upstream membrane of asphaltic concrete,
reinforced concrete or other non-natural material are referred to as ‘decked rockfill
dams’.

1.5.2 Concrete Dam Types and Their Characteristics

Concrete dams are hard, non-yielding and rigid structures. Loads are transmitted
through the dam body and to the foundation. They require strong and more or less
uniform rock foundations.

Many early dams were constructed of rubble masonry or random masonry. From about
1900, mass concrete, initially without formed transverse contraction joints, began to
displace masonry for the construction of large non-embankment dams. From about
1950, mass concrete increasingly incorporated bulk mineral additives such as slags or
pulverized fuel ash (PFA), in order to reduce thermal problems and to contain escalating
costs.

The characteristics of concrete dams are outlined below with respect to major types.
All or most types of concrete dams share certain characteristics; many are, however,

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specific to particular variants. Merits shared by most concrete dams include:

 With the exception of arch and cupola, concrete dams are suitable to wide
or narrow valleys, provided that a competent rock foundation is accessible
at moderate depth (< 5 m);
 Not sensitive to overtopping under extreme flood conditions;
 All concrete dams can accommodate a crest spillway, i.e. can be
constructed as an overflow section – reduction in cost for separate
spillway;
 Outlet pipe works, valves and other ancillary works can be safely provided
within the body of the dam;
 Construction can take place irrespective of the weather condition.

Inherent disadvantages of concrete dams as compared to embankment dams:

 Relatively demanding with respect to foundation conditions, requiring sound rock;

 Require processed natural materials of suitable quality and quantity for
aggregate, and the importation to the site and storage of bulk cement and other
materials;
 Traditional mass concrete construction is relatively slow, labour intensive and
discontinuous, and requires certain skills, e.g. formwork, concreting, etc;
 Completed unit cost for mass concrete are very much higher than for
embankment fills. This is seldom counterbalanced by the much lower volumes of
concrete required in a dam of given height.

[Link] Gravity Dams

Concrete gravity dam is designed so that its stability is entirely maintained by its own
mass. Its profile is essentially triangular, to ensure stability and to avoid overstressing of
the dam or its foundation. Concrete gravity dams could be straight or curved in plan.

[Link] Buttress Dams

Buttress dam consists of a continuous upstream face supported at regular intervals by

downstream buttresses. Concrete saving relative to the corresponding gravity dam is 30
– 60%, but it needs more formwork and reinforcement.

[Link] Arch Dams

Arch dam has a considerable upstream curvature. This type is suitable for narrow
gorges when the length of the crest is not more 5 times the height of the dam. Loads

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are resisted mainly by arch action and transmitted to the abutments. It is structurally
more efficient than the gravity or buttress dam, greatly reducing the volume of concrete
required. A particular derivative of the simple arch dam is the cupola or double-
curvature arch dam, which is the most sophisticated of concrete dams, and is extremely
economical in concrete.

1.6 Site selection and investigation for dams and reservoir

site assessment
A satisfactory site for a reservoir must fulfil certain functional and technical
requirements. Functional suitability of a site is governed by the balance between its
natural physical characteristics and the purpose of the reservoir. Catchment hydrology,
available head and storage volume etc. must be matched to operational parameters set
by the nature and scale of the project served. Technical acceptability is dictated by the
presence of a satisfactory site (or sites) for a dam, the availability of materials suitable
for dam construction, and by the integrity of the reservoir basin with respect to leakage.
The hydrological and geological or geotechnical characteristics of catchment and site
are the principal determinants establishing the technical suitability of a reservoir site. To
these must be added an assessment of the anticipated environmental consequences of
construction and operation of the dam.

The principal stages involved in site appraisal and leading to selection of the optimum
dam site and type of dam for a major project are as indicated schematically in Fig. 1.4.

The considerable time which can elapse between initial strategic planning, with
identification of the project requirement, and commencement of construction on site will
be noted. A significant proportion of that time may be attributable to the ‘political’
decision-making processes and to arranging project funding.

In the reconnaissance phase, which may extend over a substantial period, the principal
objective is to collect extensive topographical, geological and hydrological survey data.
Large-scale maps and any records already available provide the starting point, but
much more detailed surveys will inevitably be required. Aerial reconnaissance,
employing modern sensors in addition to the traditional photogrammetric survey
techniques, has a particular role to play in the preparation of accurate and large-scale
site plans (e.g. 1:5000 and larger). In the hands of an experienced engineering
geologist as interpreter, aerial surveys also provide valuable information on geology, on
possible dam sites and on the likely availability of construction materials. Hydrological
catchment and river surveys are directed to determining rainfall and run-off
characteristics, and assessing historical evidence of floods etc.

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Fig.1.4 Stages in dam site appraisal and project development: major projects

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The feasibility report prepared at the conclusion of the reconnaissance phase

assembles and interprets all available information, data and records, and makes initial
recommendations with respect to the technical and economic viability of the reservoir.
Options with regard to the location, height and type of dam are set out, and
comparisons drawn in terms of estimated costs and construction programmes. Within
the latter, account must be taken of the resource implications of each, i.e. financial
outlay, labour and plant requirements etc. On the strength of this report a decision can
be made with respect to the further detailed investigations required to confirm the
suitability of the reservoir basin and preferred dam site (or sites).

Further investigation of the reservoir basin is principally directed to confirming its

integrity with respect to water retention. A thorough geological assessment is necessary
for this purpose, particularly in karstic and similarly difficult formations and in areas with
a history of mining activity. The issue of less favourable sites for reservoirs and solution
of the associated problems is addressed in ICOLD (1970) and in Fell, MacGregor and
Stapledon (1992).

Investigation of the reservoir margins to confirm the stability of potentially vulnerable

areas, e.g. adjacent to the intended dam, is conducted as required. The availability of
possible construction materials, e.g. suitable fills, sources of aggregates etc., is also
assessed in considerable depth. Hydrological studies are continued as necessary to
confirm and extend the results of the initial investigations.

1.6.1 Dam site evaluation

The viability of the preferred dam site identified in a reservoir feasibility study must be
positively established. Extensive investigations are conducted to confirm that the site
can be developed on the desired scale and at acceptable cost. The nature of the soil
and rock formations present, critical to foundation integrity, must be proved by
subsurface exploration. Emphasis is placed upon confirmation of site geology and
geotechnical characteristics, and on the evaluation of sources of construction materials

Foundation competence is determined by stability, load-carrying capacity, deformability,

and effective impermeability. All are assessed in relation to the type and size of dam
proposed. Dam site investigations require careful planning and the investment of
sufficient time and resources. Wherever possible, in situ and field test techniques
should be employed to supplement laboratory testing programmes. Proper and
meticulous interpretation of geological and geotechnical data demands the closest
cooperation between the engineering geologist, the geotechnical specialist and the dam
engineer. Underinvestment in reservoir site appraisal and in the investigation and

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assessment of the site for a dam can have grave consequences, both technical and
economic.

1.6.2 Investigation works regarding dam foundation

In designing dams it is necessary to possess sufficiently substantial and abundant data
on the geological and geotechnical features of the foundation in the zone of the dam
site and the impounding reservoir. For that purpose, it is compulsory to conduct field
engineering-geological and geotechnical investigation works and laboratory testing, in
order to determine the geological history structure of the foundation, its tectonic
geology, stratigraphy, faulting, foliation and jointing, as well as structural relationships,
the permeability of the rock, the level of groundwater and its chemical composition,
deformation characteristics and strength characteristics of the materials in the active
zone of the dam foundation, etc.

By means of the geological structure of the ground in the zone of the impounding
reservoir, it is necessary to establish the possibilities for storing water, as well as the
consequences that such an action would have for the environment. At the same time, it
is particularly important to determine the direction of the strike and dip of the permeable
and impermeable layers and their position regarding the backwater and the banks of the
river valley. Tectonic relationships and disturbances are also very important, particularly
the existence and activities of faults and the degree of the disturbance of the layers in
the zones of the fault. The knowledge gained by means of geological and tectonic
investigations represents a basis for programming further investigations.

By means of geological mapping on the surface of the ground it is possible to obtain

only a small part of the quoted necessary attainments and data, whereas for obtaining a
complete understanding regarding the structure and properties of the material below the
surface, indirect and direct investigation methods are applied.

Of particular significance are the deep investigation works, in connection with the
selected dam site. Location, number, and depth of the boreholes is determined on the
basis of preliminary geological studies, while investigations are carried out through the
following methods:

(1) sounding drillings by pulling out disturbed and undisturbed samples of

earth materials and cores from the rock;
(2) digging pits, trenches, adits and shafts, which enable direct insight into the
materials, as well as sampling specimens;
(3) measurements of the level of underground water in piezometers;

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(4) measurements of the permeability of the rock in particular sections of the

sounding boreholes, of lengths from 2 to 5 meters, pressing water under
pressure and measuring the flow; in the case of non-cohesive materials,
measurements of permeability are much more delicate, while the results
are less certain;
(5) geophysical measurements, which enable one to forecast the spreading
out of the layers between boreholes; and
(6) measurements of the deformability and strength of rocks by means of trial
loading. By applying a good combination of indirect and direct methods of
investigations it is possible to achieve savings with regard to expensive
drilling, without a visible loss in the quality of the obtained results.

[Link] Indirect investigation methods

Indirect methods of determining geological conditions and rock and soil mechanical data
include a number of geophysical methods. The common deficiencies of all such
methods are difficulties in interpreting the results because of the heterogeneity of rock
and soil masses. Accordingly, their application has mainly an auxiliary character and is
of minor importance compared to the direct field investigations. Out of a number of
geophysical methods, the two most commonly used are:

 geoseismic sounding, which is used for measuring the velocity and spreading out
of direct and reflected waves, caused by impact and weak explosions on the
surface of the ground, or by means of sounding boreholes, and
 geoelectrical sounding, by means of which it is possible to measure the change
of electrical resistance of the soil and rock formations at depth.

Within the first group the most common method is a seismic refraction measurement to
identify boundaries between features with different physical properties. It is applied to
find the bedrock below the overburden of soil, thus assessing the necessary depth of
excavation. Because of easy handling and low costs, a seismic refraction survey is
often applied to remote projects where difficulties arise in operating heavy machinery
like drill rigs. Seismic waves are generated at a shot point at the surface by light
blasting, by dropping a weight or by hitting a metal plate with a sledgehammer. The
waves are reflected by a solid bed and monitored by geophones at the surface, or by
hydrophones in water-covered areas. The geophones or hydrophones are arranged
along a measuring profile at various distances from the source of the waves. These
convert ground or water motions into a varying electrical current. The depth of the solid
bed can be derived from the time of wave transfer between the source and the
geophone, providing that the velocity of wave propagation in different layers is known,
at least approximately, and providing that the layers are sufficiently isotropic. In general,

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the wave velocity increases with increasing strength and density of the penetrated
medium.

Thus, the reliability of the results increases with the differences of wave propagation
within the penetrated layers and with the homogeneity of the layers. Therefore, in
practice, the interpretation of the measurements is more difficult when differently
weathered layers of rock exist between the surface and the solid bedrock. In these
cases, it is necessary to calibrate the seismic measurements with the help of core
drillings in order to correlate the seismic readings with the profile of boreholes. The
spacing of the geophones depends on the number of different layers, on the
consistency of layer thickness and on the homogeneity of each layer, and may be up to
50m. Approximate values of wave velocities for some common media are given in Table
1.3.

Table 1.3 Approximate velocities of propagation of longitudinal elastic waves.

Another geophysical tool is the measurement of electrical resistance. This method is

based on the measurement of the property of resistivity, which is the electrical
resistance between opposite faces of a unit cube of a given rock. The values of
resistivity of rocks and minerals range from 10−6 to over 1012 ohm-m, with no simple
relationship in the spread of values to a genetic classification of rocks. Some minerals,
like clays, conduct electricity well, but the predominant factor controlling the resistivity of

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most rocks and soils is the presence or absence of groundwater in them, and the
relative concentration of dissolved salts, which acts as electrolyte. Crystalline rocks
normally have high resistivity, except locally where they are broken by faults or joints
and groundwater fills the voids. The method requires near horizontal stratification of a
foundation. It can be used to determine the extent of a given layer. The reliability of the
method depends again on the homogeneity and isotropy of the substrata and,
necessarily, on the experience of the measuring and interpreting team.

[Link] Direct investigation methods

Direct investigation methods are:
 sounding drilling for sampling specimens from the ground, and
 digging test pits, trenches, adits and shafts.
A brief description of the methods details can be found in the books dealing with
engineering geology and geotechnics (Bell, 1980; Fell et al. 1992, Maslov, 1987;
Kutzner, 1997; McLean and Gribble, 2005).

Sounding drilling
Making a hole in soils and rocks is referred to conveniently as drilling. Sometimes
making a hole in soil is called boring. Drilling is usually carried out using one of several
available techniques: rotary drilling, auger drilling and percussion drilling.

Rotary drilling is performed using a so called rotary machine, and is suitable for both
soil and rock investigation. Rotary drilling can involve either core or non-core drilling.

Core drilling is often called diamond drilling, and consists of a crown (either diamond-
studded or made of tungsten carbide) rotated at the end of a hollow barrel which holds
the cylinder of rock produced by the drill. High core recovery is important using this
method, and this is influenced by core size and type of rock being drilled. Every effort is
required to recover as much core as possible. Recovery in low strength, fractured rock
and in the vicinity of faults is extremely poor, usually less than 30%, because of the
brecciation of the rock. Drill bit sizes are chosen to suit the type of rock and depth of
hole being drilled. In most engineering site investigation work, 75mm diameter cored
holes or larger are recommended. In soft rocks, to give a high core recovery, a double-
tube core barrel is used, arranged in such a way that the inner tube is fixed while the
outer one, in contact with the bit, rotates and water circulates between them. The hole
size is about 75mm diameter in total, and the rock core obtained is about 50mm in
diameter.

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The drilled core is placed in boxes (Fig. 1.5), and logging of the core is performed. The
logging should emphasize sections where core was not recovered as these may
represent crucial zones in the foundation. It is recommended that each borehole log
should contain the following information:
(a) borehole identification, grid reference, contract details (client,
contractor, site and reference number);
(b) drilling method, inclination and equipment used;
(c) drilling progress, rock resistance to drilling, in situ tests;
(d) groundwater levels and changes in standing water level;
(e) detailed geological description including rock types, discontinuities
encountered, core recovery, rock quality designation, degree of
weathering and any simple field tests carried out.

Figure 1.5 the drilled core at one borehole below Knezhevo dam (Macedonia), depth 39
to 45m.

Normally drilling is vertical, but in some instances, the drill holes may have to be angled
to provide maximum information including the orientation of rock defects. Angled holes
are slower to drill and slightly more expensive, but they should not present any
problems to the professional driller.

Auger drilling In this method a spiral flight auger is used to penetrate and remove the
material below the surface. Auger drilling is suitable for weaker rocks and cohesive

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soils. The auger is a tool like a corkscrew rotated by hand or mechanically. With this dry
drilling method a depth of 30m can be reached using the common auger rig equipped
with either solid or hollow flight augers. A steel blade ‘V’ bit will penetrate most fine-
grained soils and extremely low strength rocks but usually refuses when faced with
coarse gravel or low strength rock. A tungsten-carbide bit will grind slowly through low
and medium strength rock. Inspecting disturbed samples of soil, conveyed to the
surface, we can identify the stratification of the subsoil and the suitability of the material
for dam construction. Therefore, the method is suitable to investigate embankment dam
construction material deposits.

Percussive drilling In the case of high strength rock, drill holes may be sunk using
chisel drill bits and percussive hammers inside the hole to break the rock. Holes drilled
in this way vary in diameter between approximately 110mm and 80mm (sometimes
even less). Earlier, using traditional techniques, only small rock chips and dust were
recovered for inspection so that information on the rock mass obtained by this method
was limited. Recently a Swedish company has improved the method, involving lowering
a miniature television camera into the hole and examining the rock quality and other
properties of the rock mass, including fissures, joints, weathering and the location of any
fault planes. It is clear that this technique works only if the hole is dry, i.e. without water
(McLean and Gribble, 2005).

[Link] Digging test pits, trenches, adits and shafts

Test pits excavated by a rubber-tyred back-hoe or tracked excavator are relatively
cheap, quick and effective in providing information on subsurface conditions. In the pit
the subsurface profile is visible and can be logged and photographed. Material types,
their boundaries and structure can be observed and recorded in three dimensions, as
well as the presence and source of inflow of groundwater. Undisturbed samples can be
taken from the pit’s bottom and sides and in situ tests can be performed. Pit depth is
limited by the reach of the machine and its ability to dig the material. Thus, the
maximum depth is 4–6m. Sometimes it is possible to dig cylindrical pits (or wells)
manually, with a diameter of 80–100 cm, and a depth up to 12m, if there is no
groundwater.

Trenches are extensions of the use of test pits. They are excavated using either a
tracked excavator or bulldozer and they provide virtually continuous exposures of the
subsurface materials at sites. Trench exposures are logged and photographed in plan
and elevation in a similar manner to test pits. The trenches practically have the same
purpose as pits. In non-cohesive soils the excavating depth is limited by the
groundwater. In cohesive soils it is usually limited by the risk of collapse. It must be

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emphasized that all pits or trenches must be adequately side-supported before any
inspection is made.

Adits and shafts Some sensitive and suspicious parts of the dam site at large
important dams may impose the necessity of investigation by the excavation of adits or
shafts into the area of concern. The adits and shafts provide the opportunity for direct
observation of the ground conditions, measurement of orientation of defects and
comparison with surface measurements, in situ testing, underground investigation
drilling etc. Similar to test pits and trenches, the adits and shafts should be logged and
photographed. As underground works, adits and shafts usually are expensive and slow
to excavate, especially if they require support, ventilation and drainage. Thus, they
should be carefully planned, located and designed. Very often exploratory adits have
been incorporated in the final design of the dam, usually as drainage or grouting
galleries.

2.7 Sampling
As was already said, during the execution of the investigation works samples are
extracted from the ground. They are used to determine the spreading out and dip of the
layers, their composition and properties, the existence of faults and other
discontinuities, as well as for establishing the physical and mechanical properties of the
materials by means of laboratory testing.

Soil samples taken from boreholes, pits and trenches can be either disturbed or
undisturbed. Disturbed samples are collected as representative of different material
types of the investigated site. They are identified by location and depth and stored for
laboratory testing. For cohesive soils about 3 kg of sample material is required for
classification testing and 30 kg for compaction tests to evaluate probable performance
as fill material in an embankment.

Undisturbed samples consist of material which is extracted from the site. Due to
economic reasons soil samples usually have a cylindrical form, despite the ideal sample
being a cube of approximately 0.3m sides, hand cut from a test pit or trench, carefully
packed and sealed to preserve the natural moisture. Samples prepared in such a way
should be transported to the laboratory as soon as possible and with a minimum of
disturbance.

To obtain samples of cohesive soils from bore holes, thin-walled steel tubes are used.
The tubes are pushed into the soil using an adaptor connected to the drill rods. The drill
hole should be cleaned out before sampling and the drilling water or mud level should
be maintained during sampling to avoid “blowing’’ of material into the hole. The larger

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sample diameter is preferable because of lower probability of disturbance. Typical thin

walled tube sizes are 50, 63 and 75mm. The wall thickness and cutting edge shape are
defined by codes to limit sample disturbance. Samples should be identified and sealed
against moisture loss using either a sample tube sealing device or several layers of
molten wax. Despite all preventive measures undisturbed samples can rust into the tube
or dry out, therefore they should be transported to the laboratory and tested as soon as
possible, preferably within two weeks.

The rock sample, taken for testing of strength and mineralogy, is usually a core. The
core should be carefully stored (Figure 2.8), properly logged, photographed and
sampled as soon as possible after drilling. A drill hole with full core recovery should
present a complete linear profile through the rock mass below the ground surface. The
core should be stored safely in the covered boxes because it serves to satisfy the needs
of the site investigator, but also it should be used in the design and tendering period of
the project realization. The core also provides samples for testing. A practical example
of a stored part of a core is shown in Figure 1.5.

2.8 Testing
Extracted samples from the ground are used to determine the spreading out and dip of
the layers, their composition and properties, the existence of faults and other
discontinuities, as well as for establishing the physical and mechanical properties of the
materials by means of laboratory testing.

Soil materials in the foundation beneath the dam are investigated by methods of soil
[Link] possible, it is necessary to investigate undisturbed samples of the
material, while laboratory conditions of loading should be as realistic as possible in
order to simulate the real conditions that will take place on the ground. There are a
number of parameters and characteristics by means of which it is possible to express
the properties of the earth materials. These can all be divided into two basic groups:

1. Physical and mechanical characteristics, which enable one to predict

the behaviour of the material under various forces and influences and
which are used directly in calculating deformations, stability, seepage,
etc.;
2. Classification characteristics, which aid in carrying out classification of
the materials and thus assessing approximately the calculation
characteristics by applying analogous and empirical relationships.

Among the physical and mechanical characteristics of earth materials, the most

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important are the following: unit weight, moisture, coefficient of compressibility,

coefficient of lateral pressure, modulus of deformation, Poisson’s ratio, coefficient of
pore pressure, angle of internal friction, cohesion, coefficient of permeability, critical
gradients at various kinds of seepage deformations, etc. Of the classification
parameters, the most important are the granulometric composition (grain size
distribution, as well as limits of plasticity or limits of consistency for clayey materials. For
a determination of the strength characteristics of earth materials, tests for direct
shearing and triaxial testing are being used, for which standard methods and apparatus
have been developed. It is assumed that the readers are familiar with basic soil
mechanics.

2.9 Improvements of foundation

The rock foundation, upon which dam construction is anticipated, and which has some
deficiencies, generally speaking, may be improved in two ways:

1. by grouting and
2. by backfilling of fractures and tectonic zones.

In the case of soil foundations, grouting is much more difficult and can be applied only in
limited cases. In the case of soil foundations, separation elements in the form of
diaphragm walls are more often constructed.

Grouting is a procedure in which a special pump within the foundation injects a

suspension with different binding agents, solutions or artificial resins – either neat or
with some infill and additions. Grouting is carried out in appropriately positioned
boreholes, so that the grouting mixture is backfilling fractures, voids, and pores in the
rock mass. Three methods for improvement of the foundation by grouting are singled
out:

1. contact grouting,
2. consolidation grouting, and
3. construction of a grout curtain

1. Contact grouting causes possible gaps, voids and fractures at the contact between
the rock and the hydraulic structure to be filled up, in order to obtain a monolithic bond
between the concrete and the rock. The definition implies that it is a question of shallow
grouting, by means of which it is possible to achieve a penetration into the rock of 0.5 to
1.5m. It is particularly often applied for the backfilling of voids and gaps between the
rock and the lining in the hydraulic tunnels. A cement–bentonite mixture is used
exclusively for contact grouting.

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2. Consolidation grouting is deep grouting as compared to the contact grouting and it

is aimed at increasing the strength of the rock below the foundation of the dam in order
to reduce seepage through it, to prevent insertion of fine particles from the core of the
dam into the fractures of the foundation, and also to improve the bond between the
foundation and the concrete structural members upon it. In the case of embankment
dams, consolidation grouting is carried out only below the waterproof element, whereas
in the case of concrete dams, it is beneath the entire dam.

The need for consolidation grouting and its depth depend on the condition of the rock
and on the loading caused by the structure. The depth usually ranges from 5 to 15m,
and below the earth core of the highest embankment dam in the world, Nurek
consolidation grouting has been carried out up to a depth of 20m.

Figure 1.6 Consolidation grouting beneath the core of an embankment dam. (1) Clay
core; (2) coarse grained material; (3) filter zones; (4) rock in the foundation; (5) concrete
layer; (6) boreholes; and (7) consolidated foundation.

A concrete layer (Fig. 1.6) is used as bedding for consolidation grouting, which receives
the required pressure and prevents the appearance of a water cement mixture (laitance)
on the surface. The thickness d of the concrete layer is determined by the condition: the
weight of concrete should be larger than the pressure at grouting:

…………………………………………………………………………..… (1)

where p=maximum pressure at grouting (MPa); γb = weight by volume of the concrete

(kN/m3); k s = safety coefficient, which allows some increase in p, and is usually
assumed 1.5–2.

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Table 1.4 Permissible relative loss of water q and permissible coefficient of permeability
k

Consolidation grouting uses a solution of water, bentonite, and high-strength cement. or

foundations beneath embankment dams a solution is prepared with maximum density in
order to fill up only large fractures. In the case of foundations for arch dams, it is
necessary to fill up even the smallest cracks in the rock mass, which is achieved by
means of cement-colloidal solutions. Grouting itself is carried out through boreholes set
up at a mutual spacing of 1.5 to 3m.

3. Grout curtains are water-impermeable separations, constructed below the water

proof element of embankment dams (or at the upstream end, in the case of concrete
dams). Grout curtains have the task of reducing the seepage water quantity through the
foundation, increasing its stability, drawing down the water table line at lateral seepage
in the banks of the structure, and lowering the seepage uplift pressure in the foundation
(of concrete dams). They are made by the extrusion of grouting mixture into the
fractures of the rock, through sounding boreholes and by the application of special
equipment. Facilities and methods of work are selected depending on the structure,
features, and conditions of the foundation, as well as on the purpose of such grouting.

While injecting the grouting mixture, which can be from lean suspension to dense
mortar, there is a rise in the pressure; this is necessary to enable the grout mixture to
penetrate into the fracture, which tightens gradually. At the same time, grouting
proceeds until it achieves the anticipated limit pressure, which is maintained up to
lowering the mass flow to a certain specified quantity. The water from the grouting
suspensions and mortars, under the action of the gradient of pressure, drains into the
tightest fractures in the rock, so that in the other, larger fractures, what remains is a
compacted mass with a binding agent that, in the course of time, will completely
consolidate and harden.

A grouting curtain is obligatory in cases where the relative loss of water in the rock q
and the coefficient of permeability k are larger than the permissible ones given in Table

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1.4. The relative loss of water is the quantity pressed through 1m of the length of the
sounding borehole at a pressure of 0.01MPa:

…………………………………………………………………………………….. (2)

Where Q = the loss of water in the investigated section having a length L, while p = the
pressure by means of which water is being impressed.

Figure 1.7 Schematic presentation of measurements of permeability according to

Lugeon’s method (a), and diagram of loss of pressure into the pipes (b).

In practice, the measurement of water permeability of rock is most often carried out
according to the method of Lugeon, proposed in 1933. According to his method, the
permeability of a fractured mass if is assessed by the flow q expressed in l/min through
1m of the borehole at a pressure of 1MPa, while injecting water into a selected section
of the borehole. Taking into consideration that water can only circulate through a rock
through its fractures, then it is clear that the differences in the flow q in different
investigated sections of the borehole through the same formation, show the degree of
fracturing of the rock. In such a way, measurements according to Lugeon’s method that
are carried out in the course of investigation drilling, in addition to the degree of
permeability, also enable an assessment of the homogeneity of the rock.

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The measurement of permeability is carried out so that at the end of the selected
measuring section (3), whose length usually is L=1–5m (Fig. 1.7a), boring ceases, while
the section is isolated from the remaining part of the borehole by a special stopper
(plug) (2), located at the end of the water supply pipe (1). That pipe, at ground surface,
is connected to a pump, which presses water under pressure into the measuring
section. Attached to the pipe is a pressure gauge (manometer) M for measuring the
pressure and a water gauge V for measuring the flow. At the beginning water is pressed
into the hole under low pressure as long as a constant flow has been established, and
what follows afterwards is a record reading at several time intervals of 5minutes each,
as long as the difference between the flows is smaller than 10%.

For a calculation of the permeability, a mean value of measured flows is assumed. The
procedure is repeated in the same section a number of times with higher pressures, up
to p = 1MPa, and again with smaller pressures, down to the lowest. In practice,
sequences of pressure of 0.2, 0.4, 0.6, 0.8, 1MPa and vice versa, are usually applied.
Pressure at the midpoint of the length of the measuring section is calculated by the
pressure on the pressure gauge (manometer). This takes into consideration the level of
the pressure gauge, the elevation of the level of underground water, as well as hydraulic
losses of pressure in the supply pipe of the pressure gauge to the end of pipe in the
upper edge of the measuring section. The loss of pressure p should be determined prior
to the test for different lengths of pipes and be given in a form of curves, depending on
the flow Q, as is shown in Figure 1.7b.

The Lugeon permeability (LU, l/min/m) is calculated from the expression:

…………………………………………………………………………….... (3)

Where Q = total flow in (l) in the course of measurement; Δt = time of measurement

(min); L = length of measuring section (m); p = pressure of water at the midpoint of the
measuring section (kPa).

The pressure at the midpoint of the measuring section, according to the markings in
Figure 1.7a, will be:

……………………………………………………………..… (4)

Where PM = pressure in the pressure gauge (kPa); H = difference in elevation between

the level of the pressure gauge and level of groundwater (m).

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The capacity of the pump depends on the permeability of the rock, but it must be a
minimum of 200 l/min at a pressure of 1MPa. The level of underground water must be
precisely determined prior to the test, whereas the stopper (plug) around the end of the
pipe should be well inserted in order to prevent penetration of underground water into
the measuring section.

In applying the Lugeon method as a criterion whether grouting is necessary or not, the
value of 1 LU was valid until 1970. In the last ten years that limit has been moved up to
5 LU, except in cases of erodible filling of joints of the rock, when that criterion
decreases to 3. This criterion has been applied in most new dams, and satisfactory
results have been obtained, which implies a reduction of seepage water within
acceptable limits from the viewpoint of the stability of the dam, and a loss of water from
the impounding reservoir, as well as the life-duration of the dam.

Bear in mind that grouting works are expensive, so it is advisable that in adopting the
criterion, a technical and economic analysis be performed so that a comparison can be
made between the gains from grouting versus the cost of the works. New, more
complex criteria have of late been proposed (Kutzner, 1991) in which the anisotropy of
the rock is taken into consideration, the size of the fractures, the kind of dam to be built,
and certain special conditions.

Depending on the number of rows of sounding boreholes, the grout curtains can be
single-row grout curtains or multiple-row grout curtains. Depending on their position in
relation to the dam, they can be built in the riverbed below it, in the banks beneath the
dam, or in the banks to the side of the dam. In the case of multiple-row curtains, the
spacing between boreholes most often ranges from 1.5 to 3m.

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Figure 1.8 Unfolded sections along the grout curtain at the Tikvesh dam.

The kind of material from which grout curtains are constructed depends on the
characteristics of the dam foundation, as well as on the properties of the underground
water. In that respect, we distinguish the materials as follows: cement grout curtains,
clay–cement, chemical, bituminous, and other types of grout curtains.

Cement grout curtains have the most frequent application. They are made with a
solution of cement in water and are applicable for fractures in the rock that are wider
than 0.1mm, provided the underground water moves with a velocity lower than 7×10−3
m/s and is not aggressive to the cement.

Clay–cement curtains are applied when most of the fractures are narrower than 0.1
mm. They are prepared from a cement and clay compound. Such a grout curtain has
been constructed in the foundation of the highest dam in Macedonia – Tikvesh.

Chemical grout curtains are prepared with sodium silicate, calcium chloride, and other
chemicals. They are used for fractures smaller than 0.1mm.

Figure 1.9 Curtain grout holes with a depth and situation determined by the local
geological conditions existing in the foundation

The depth and thickness of a grout curtain depends on the kind and condition of the
foundation rock below the dam, i.e. on its seepage characteristics. During the initial
stage of design, the depth could be assumed to be (0.50–0.75)H. In cases when the
positioning of fractures is rather irregular so that any rational analysis is not possible,

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the depth of grouting is assumed to be (0.50–1.5)H. The empirical formula 0.3H+C

is also applied, in which C is a constant equal to 7.5m for hard and sound rocks and
10.5m for fractured rocks.

In practice, grout curtains have a depth of (0.75–1)H, regardless of the fact that
theoretical analyses usually yield lower values. If the foundation is composed of karst
limestone, marble or dolomite, then the depth of the suspended (hanging) curtain could
amount to up to 3H.

The depth of a curtain could be determined theoretically, while the specific conditions in
the foundation determine the need for careful analysis of the geological conditions, so
that grouting boreholes should be located in such a manner as to diminish or eliminate
the potentially hazardous penetration of water below or around the theoretical grouting
boundary. Figure 1.9, on which the theoretical boundary of grouting is shown by means
of a dotted line, presents several cases in which the depth and attitudes of grouting
boreholes are determined by the specific geological conditions, and not only by the
calculated theoretical depth. The diagram represents only specially deepened or
positioned boreholes, dictated by the geological conditions, and not normal ones,
dictated by the theoretical line.

In the case (a), special inclined holes are aimed at intersecting a wide broken zone
along a steep fault, and particular vertical pattern grout holes are deepened to intersect
another fault in an abutment. The permeable zone in a steep-walled canyon (b) along
gravity-slip faults is intersected by a row of grout holes. In diagram (c), pattern grout
holes intersect a limestone layer and extend into an inclined layer of brittle fractured
sandstone. In case (d), grouting holes are deepened to penetrate into fractured layers of
brittle quartzite in a metamorphic sequence containing schists and gneiss. In case (e),
grout holes are extended beyond the theoretical formula depths in order to intersect the
limestone layer. Diagram (f) presents a case in which deep grout holes probe highly
fractured zones associated with tight folds in sedimentary rocks.

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