EARTHFILL DAM DESIGN AND ANALYSIS

RossRr B. JeNseN JoHN Lowe III

Consulting Civil Engineer Consuking Engineer
B e llingham, Washington Yonkers, New York

Rrcnnno W. Knelren Sreve J. Poulos

Civil Engineer President
U.S. Bureau of Reclanwtion GEI Consultants, Inc.
Denver, Colorado Winche ste r, Mas sachus ett s

INTRODUCTTON

Rosenr B. JnNseN

Earthfill dams may be designed with any of a wide range mation of the materials in the dam and in its foundation.
of cross sections and compositions, depending upon the In an earthfill dam with several internal zones having dif-
setting. They must be optimum products of the local ma- ferent material characteristics, degrees of compaction, and
terials and must harmonize with their sites. One of their moisture content, there almost inevitably will be apprecia-
principal merits is adaptability to foundarions rhar mighr be ble interzonal adjustments in response to the various im-
unsuitable for other types of dams. Although earth dams posed forces.
can accommodate difficult site conditions, they still must The design and analysis of an earthfill are governed
be provided with foundation support that will keep defor- Iargely by the engineering properties of the available ma-
mations within acceptable limits. terials; the topography and geology of the site; the cli-
The simplest earthfill dam is the one commonly classi- matic, hydrologic, and seismic settings; and the relation-
fied as homogeneous. This type is composed essentially of ships to other developments upstream and downstream.
the same material throughout the embankment. Many em- The possible compositions and gradations of soils are
bankments of this type have become saturated to such a practically unlimited, as are the conditions to which they
high level that their stability has become questionable. In may be subjected when incorporated into embankment
some cases, the emergence of seepage on the downstream dams.
face has been followed by retrogressive erosion that, if un- Design criteria for earthfill dams require (l) embank-
arrested, could have resulted in breaching. ment and foundation stability under all reasonably postu-
In present practice, the earth embankment is likely to be lated conditions, including flood and earrhquake; (2) con-
designed with a core composed of relatively impervious trol of seepage quantities and pressures in the embankment
material enclosed by coarser shells. Zoning is an important and its foundation; (3) safeguards against overtopping; and
safeguard against failure. Selecting the appropriare mare- (4) control of surface erosion.
rials for each zone and ensuring proper construction will Earth dams require special attention to details. For ex-
provide control of normal seepage as well as leakage aris- ample, the design and trcatment of filters, drains, and in-
ing from distortion of the fill or from foundation displace- terfaces may be critical to the contrcl of concentrated leaks
ment. Important internal changes that occur in embank- with destructive potential.
ments result from uncontrolled migration of fines, chemical A dam will change the natural balance of conditions at
alteration, compression, shear strain, and/or plastic defor- its site. As water is brought into storage, a new seepage
2s6
 EARTHFILL DAM DESIGN AND ANALYSIS 257

patternwill develop in the barriers that confine the reser- area immediately downstream from the dam. The shear
voir. Unless seepage is intercePted and conveyed away strcngths of foundation materials in these zones may be
safely, it may exert detrimental pressures or rcmove essen- reduced to less than those in the prcproject conditions. Carc
tial materials. The integrity of a dam depends upon a proP- must also be taken to remove or treat foundation soils that
erly designed and well-maintained drainage system. might tend to collapse upon saturation, and those suscep
The panem of seepage through an embankment and its tible to liquefaction under dynamic loading.
foundation will be influenced by the reservoir operating Damsites crossed by active faults are generally consid-
regimen and the vertical and horizontal permeabilities of ered to be unacceptable. However, earthfills have been
materials in the dam and in the underlying foundation. placed on such foundations by taking precautions to ac-
In the course of time, an earth dam may undergo changes commodate displacement. More often, designers are con-
that have an impact on its performance. The materials in fronted with the need to build dams on sites that' though
its zones may become more anisotropic. Drain elements free of suspect faults, are in seismically active regions. [n
may become obstructed because of deterioration, deposi- such settings, earth dams must be provided with the capa-
tion, displacement, or biological gro*th. Advene foun- bility to undergo vibratory loading without suffering ex-
dation adjustments may occur. Usually the changes are cessive deformation. Conventional measures to ensure re-
gradual. sistance include heightening the crest, widening the
In analyzing Potential seePage pattems, one must be embankment zones, building the upper part of the core of
careful not to idealize too much. For instance, conven- relatively plastic material, flanking the core with filten at
tional flow nets in some cases may be too'dePendent on both its faces, and avoiding or treating sands and silts of
assumptions of average properties of materials. Real hy- relatively low density in the embankment and in its foun-
draulic gradients may not be as gentle as they are drawn in dation.
the theoretical scenario. Irregularities may apPear quickly New analytical methods enable more accurate determi-
in the presence of cracks or nonuniform zones in the em- nation of the ultimate level of resistance of an earth dam.
bankment or in its foundation. ln many cases, the calculated reserye of capability beyond
To the extent possible in the design of dams, adverse that required to carry the postulated loads is substantial,
conditions must be mitigated by introducing controlling yet there is not much tendency to reduce the traditional
elements to ensure that the performances of the structure conservatism in earthfill design and analysis. This caution
and of its foundation would not be significantly altered even may be well justified in view of the intrinsic uncertainties
during extreme events. The necessary controls for an earth- related to materials properties and foundation interaction.
fill may be provided by such features as filter-protected While conventional safety factors in limit equilibrium
chimney drains, horizontal drain blankes, foundation cut- stability analyses are still important, other considerations
offs, relief wells, and abutment drainage curtains. The con- of an embankment's adequacy need to be evaluated also,
trol of seepage through and under the embankment must be including its deformation Potential and its resistance to the
as complete as possible to ensure stability and resistance to effects of seepage.
piping. Interception of seepage immediately downstream The finite-element method and other advanced tech-
from the core not only enhances stability but allows eco- niques for analysis of dams have enabled the study of
nomical placement of a wide range of materials in the earthfill behavior under a wide range of conditions. The
downstream shell. expanding volume of data from numerous analyses has fa-
An earthfill dam is most likely to be vulnerable at its cilitated the drawing of envelopes of predictable dam per-
interzonal boundaries, its foundation contact, and its inter- formance. By coupling this with observations of real re-
faces with other structures. In each case, the stability sponse, a basis has been provided for testing the capability
needed to preclude internal erosion of the fine materials in of embankments and, by simplified examination, screening
the embankment must be ensured by confinement. At the those that are clearly adequate from others that may require
interface of the earthfill core with a concrete dam block, morc comprehensive evaluation. However, the finite-ele-
for example, the contact may be enhanced by appropriate ment method is not yet developed to analyze soils that are
sloping of the concrete face. Some designen also advocate dilatant during shear. Also, appreciable differences in
enlarging the area of the transverse interface. On the other stress/strain characteristics may exist between laboratory-
hand, an impervious zone that is wrapped around a rigid compacted and field-compacted soils.
structure may be susceptible to cracking due to its move- Simulation oldam performance by a mathematical model
ment at the comers. To accommodate such deformation may entail unknowns, especially for old earthlills that were
safely, upstrqtm and downstream filters should be placed not constructed under strict quality control. Material
to control the potential seepage paths. strengths and internal water pressurcs may range widely.
High pore pressures in foundations may be of special Also, any foundation must be expected to be hetemge-
concern where overburden restraint is minimal, as in the neous. The nonuniform conditions must be kept in mind in
 258 ADVANCED DAM ENGINEERTNG FOR OESIGN. CONSTRUCTION, AND REHAEILTTATION

evaluating the results of any numerical analysis, whether it guarding earthfills against most forces from operations and
be simplified or comprehensive. Numbers computed from natural events, their vulnerability in the event of overtop-
averages can be misleading. Whatever the method em- ping remains essentially undiminished. The best protection
ployed, several analyses may be advisable, using para- from this hazand is still provision of adequate flood reten-
metric variations of material properties to bracket the pos- tion and spill capability. Measures for increasing an em-
sible embankment and foundation behavior. bankment's resistance to erosion during overpour deserve
Although substantial progress has been made in safe- continuing development.

DESIGN FEATURES
RoseRr B. JnNseru

Alignment ment for placement and compaction of fill (Fig. 9-l). The
minimum zone width normally is about l0 ft (3 meters).
In usual practice, the alignment of an earthfill is designed
Although the stability of the embankment usually is not
to conform optimally with the topographical and geological
influenced significantly by details of the top, some struc-
conditions of the site. Thin abutment ridges are avoided if
tural aspects musr be considered. A width of at least 25 ft
possible. Any changes in the centerline preferably should
(7.6 meters) is advisable to allow for general weathering,
be gradual so that the potential for transverse cracking is
traffic wear, cracking, and damage in extreme events. In
minimized. At some narrow sites, embankments have been
conventional practice, some camber is built into the top to
curved with convexity upstream to introduce longitudinal
compensate for future settlement, and the finished surface
compression under reservoir loading, thus reducing sus-
is given a slight transverse slope toward the reservoir to
ceptibility to transverse cracking.
drain runoff away from the more erodible downstream
slope.
Freeboard At some older embankment dams, stbrage levels have
been increased by adding fill or constructing a parapet. In
Earthfill dams particularly need freeboard as a margin of
such enlargements, care must be taken to extend the im-
safety to accommodate unusual events. Because of their pervious element so that seepage near the top is well con-
relatively high erodibility, they should be safeguarded
trolled. Long-term settlement of the original core is not
against even temporary overtopping during floods or earth-
uncommon. Embankments are sometimes heightened by
quakes. Customary practice requires calculation of possi-
local slope steepening or by construction of bins backfilled
ble water rise and wave characteristics under the most ex-
with earth. Reinforced earth is an alternative that has been
treme postulated conditions. Criteria for freeboard
developed in recent years. Parapets originally designed as
allowances vary from agency to agency. For earthfills with
ornamental features or guard walls may be structurally
highest hazard ratings, there is general agreement that free-
marginal. They may have to be strengthened to support the
board should be adequate to pass the probable maximum
added load.
flood or to survive an extreme earthquake without overtop-
ping. However, in recognition of the need to consider site
specifics, universal mles for determining freeboard re- Zoning
quirements have not been adopted. The factors to be
weighed at each project would include flood durations, Core. The seepage barrier in a zoned earth dam usually
wave potential, and resistance to erosion of the crest and consists of a core of compacted impervious soil located
slopes. centrally or sloping upstream. Its dimensions will depend
on the availability and properties of materials in and near
Crest Details the site, and the need ro avoid high seepage gradients. A
commonly used rule specifies that the base width of the
The top width of an earthfill dam may be governed by re- core should be at least 25% of the maximum difference
quirements for passage of vehicles, both during construc- between reservoir and tailwater elevations. However, thin-
tion and in service. Zone dimensions in the upper part of ner cores have been successful where appropriate materials
the dam must be adequate to accommodate heavy equip- were selected. Thin cores preferably are flared at their bases
 EARTHFILL DAM OESIGN AND ANALYSIS 259
te&
9CE.
E
gE E E{ and at the abutments to increase the contact area for
Ets t:G
seepage control. Where thc core is thin at its interface with
Eg E: i
E
:E
the natural formation. effective filter pmtection is essential.
i EE $$E
d
Another important consideration in the dimensioning and
s
the selection and placemcnt of materials for the core is the
E EE need to minimize the potential for horizontal cracking due
5 hE
'6 to arching of this zon,: between the shells.
Eo
si' A core may be made resistant to cracking in its upper
-.8 part by selection of materials of high plasticity and by com-
e€ -,;.
paction at a relatively high water content in this zone. [n
ta I
some cases, core flexibility has been enhanced by addition
E
of a proportion of clay. For example. part o[ the core of
g6 // td Sugar Pine Dam at a potentially seismically active site in
i 8l California was made more plastic by adding Wyoming
o
,,i
,l
,= bentonite to silty sand from the borrow area (Fig. 9-2).
-t Mixing was done by a pugmill. The proportion was 6.6%
e
ao powdered bentonite by dry weight of the minus-No. 4 ma-
!
terial (5% by wet weight of excavated borrow material).
q- This material was placed in the top 33 ft (10 meten) of the
Us
o9
a= core and at the core-foundation contact' This treatment
<cc
(.) served to increase resistance to cracking and erosion.l The
Pr tA
>l-i lower part of a core, as well as adjacent shells, should be
f/-'\ 5l
T r\ EI;
\l
well compacted to reduce compressibility and thereby re-
Xli.l duce the tendency for cracking in the upper part.
ei €l { o-.lI
>-lH :-o
Trenching has been used effectively to place nalrow cores
\I rq l-
I :l l.-
u,.JS
lo
tu
I -.! i
U
;a in both new and existing embankments. Backfilling has in-
ol 6i
lu {o
o cluded various materials. A typical plastic concrete core
Yt -o ql ? wall constructed by this technique, for instance, might be
_L *: o.1
.-l{
(i
B
composed of portland cement, bentonite or other clay, silt,
\---.,' ^{.=
""J d,
o- sand and small-sized gravel. There is a wide range of ac-
J.-

<6 ceptable proportions and gradations of aggregates. A de-

l-=
I lll- sirable objective is to obtain a wall stiffness compatible with
( o3
\
a that of the enclosing embankment. Trenchin-q has also been
P @{ .9 used to place chimney drains.
€ F.
-i -i Outer Zones. The shells of an earthfill dam may be con-
!) structed from a wide range of materials at or near the site.
\\ 6
r\\ r' l!
{ Preferred properties include adequate shear strength and
drainage capability to ensure economical slopes. With filter
G:
Eq
\\i protection at interzonal boundaries and filtered drainage
outfall facilities at the foundation contact, as needed, ran-
EE dom materials of lesser quality may be enclosed in down-
sb' stream shells. The upstream shell generally should be free-
draining for stability during drawdown and for resistance
6r o
H-E
to liquefaction during earthquake.
o

a Berms. Many earthfill dams have been constructed with

qi
lir"
/ l3< berms. On the upstream face, a berm at thc base of the
h ltI l; t
i l*i riprap facilitates placement and retention of the slope pro-
s
.E
. ;s
-
i
E!
xa
tection. Berms also have been common t'eatures on down-
stream slopes, where they have been regarded as useful in
s
3 tE controlling erosion. However, runoff interccpted by clown-
kits
35 ; stream bemrs must be positively directed to prevent spill-
ing over their edges, or concentrated tlows may seriously
 260 AOVANCED OAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHAEITTTATION

E MSANKMENT EXPLANATI ON () Sond fitter

@ Setecta cby, srtt,nnd ond grovel Grovet fitter -
@ minus 75 mm
@ Selecta cloy,silt,sond oN grovel lhooughly nrred in Rockfitl - minus ts
pugmill rilh 5t by volune of dry po*derd &,nlonrte @ mm

Mottnum rofer surfoce, @ Rochfitt - plus 7s mm

EL t09.t (vifhdtf ptes) Cresl of dom
Togof octive conserroton EL noz.5 l--€
copoctfy, EL ttOe.e - Crest EL nt2.5
tt: t
z!:t
l.O n Loyer of lorqer \ 2t: t
L!*!_1--EL tt02.s
rockftll mofertol ---1 i
zt, t
Lorqer noternl lo be
ploced odjocenf to
downstreon foce

,a'"@;
._ o./o/
"

Slripping os directed
2:l
3.0 n Thick Zone 2A blonkel ptaced
l.o m Loyer of Zone 3.O ogoinsl downstreom ohrl nenls under
Ortginol qround surfoce Zone 3 noleriol
sur{oce of firm fumotion
MAXIMUM SECTION Grout holes of 3 m t centers
rooro2030ao
1,,i.1,,,,1'ltlrlrl
SCALE Of METERS

Figure 9-2. Maximum section, sugar pine Dam. courtesy: u.s. Bureau of Recramation.

erode the slope. Such problems have caused berms to lose tensions of inclined drain zones or chimneys. The need for
favor. When they are added to existing embankments, pre- filter protection at drains and zone interfaces must be as-
cautions must be taken so that internal drainage is not im- sessed thoroughly.
paired. Safe channeling of surface runoffshould be ensured An argument can be made in favor of seepage intercep_
by sloping the berm inward for water collection and by tors (chimney drains and filters) inclined (dipping) up-
providing pipes or lined ditches that are secure and of suf- stream.2 They ensure downward stabilizing pressures.
ficient capacity to carry flows from extreme storms. The However, if the chimney drain is near the centerline of the
armoring of the groins of the embankment is useful to pre- dam, seepage forces usually are not critical. Capacities of
vent erc,sion. This may be accomplished by concrcte or chimney and blanket drains must be established conserva-
shotcrete paving, grouted cobbles, riprap, or gabions. In tively. Most designers provide for many times the calcu-
very wet climates, where large flows can be expected, drop lated seepage. Such allowances are prudent to compensate
structures or other means for energy dissipation may be for possible reduction in capacity by excessive fines,
required. compression, vibration, or long-term contamination by
chemical or biological prc,cesses.
Drains. Safe interception and conveyance ofseepage are The possibility of gradual adulreration of originally
necessary to ensure that vital embankment or foundation cohesionless embankment zones must be considered. Ctog-
materials are not washed away, or that internal water pres- ging could result from migration of clayey fines or depo-
surcs do not jeopardize stability. placement of more per- sition of chemicals from seepage. Clean, hard, crushed rock
vious materials in the outer zones is a fundamental ap- and sand and gravel in embankments may not undergo sig-
pmach to seepage control. Where materials available for nificant changes during the life of a reservoir. In contrast,
the shells may be of widely ranging quality, internal drain- some weathered alluvial materials and soft rocks suscepti-
age elements are advisable. These may be relatively nar- ble to deterioration and/or recementation should not be used
row, vertical or inclined zones immediately downstream where cohesionless zones are specified.
from the core, a filtered drainage blanket at the foundation Pervious materials incorporated in an embankment
contact (including abutments) under the she[, a zone at the should be compacted to attain about g5% of relative den-
toe of the embankment, trenches filled with pervious ma- sity. This is sufficient to preclude detrimental volume de-
terial, or combinations of these measures. Horizontal drain crease due to saturation and loading.
blankets preferably should be used as companions and ex- Careful consideration must be given to the selection of
 EARTHFILL OAM DESTGN AND AI{ATYSIS 261

permeable material for drainage of an embankment or of a need to be armorcd effectively. The downstrcam face may
natural reservoir barrier. Aggregate drains must function require less extensive treatment to provide rcsistance to
as filters to retain soil or rock particles and as conduits to runoffand general weathering. An embankment is not likely
convey water safely to discharge points. To meet the first to be jeopardized suddenly through failure of its slope cov'
requirement, a graded filter-a coarse aggregate layer pro- ering. The protection may be reduced gradually by a
tected by one or more layers of finer aggregate-is effec- succession of storms. Regular maintenance is necessary.
tive. In controlling large seepage flows, filter aggregates The initial cost and the expense of continuing care of the
fine enough to resist piping are not usually sufficiently embankment facing may amount to a substantial part of the
coarse to meet the full discharge requirement. The neces- investment in the dam. Slope protection thereforc requires
sary capacity can be provided either by pipes or by the much attention.
coarse element of a graded filter. If the seepage outfall must
extend over a relatively long distance, water can be col- Upstream Slope. The extent of treatment required at the
lected by open-jointed, slotted, or perforated drainpipe and upstream face will depend on the operational regimen' the
conveyed to a closed pipe discharge system. All pipe open- size and the shape of the reservoir, the climate, and the
ings must be sized to prevent the entrance of the surround- typical wind patterns. Heavy armoring may not be essential
ing aggregates. As a general guideline, drainpipes should below the usual operating range. The erodibility of mate-
be placed only where they will be accessible for repair, rials in the main upstream zone may govem the amount of
replacement, or cleaning. protection, if any, needed on the Iower part of the slope.
Earthfill dams on permeable foundations should be de- The primary protection is conventionally extended from the
signed so that uplift will be limited, and seepage will be top to about 5 to l0 tt (1.5 to 3 meters) below the active
controlled without internal erosion of foundation or em- storage range. The slope cover at and below the minimum
bankment materials. At sites where an effective cutoff pool should be designed with a view toward the operational
would be infeasible, the necessary control can be provided criteria during first reservoir filling and during other pe-
by upstream impervious blanketing, pervious downstream riods when the water level may be held close to the mini-
shells, horizontal drain blankets, relief wells, and/or toe mum for a relatively long time. In such circumstances, ex-
drains. If foundation water is confined by more imperme- tra material may be needed to compensate for, or to prevent,
able strata at ground level, relief wells or trenched drains erosion.
can be effective. For enhanced stability, the embankment In estimating the characteristics and effects of waves that
can be extended downstream to lengthen seepage paths and may have an impact on the dam, consideration must be
to provide weight to counter uplift. given to the wind velocity, duration, and direction, the res-
Trench or finger drains may be used as alternatives to ervoir configuration, and the orientation and slope of the
continuous blankets, especially where drain materials are embankment. The duration of exposure is also an impor-
very expensive. If such drains are used, the material must tant factor. For example, earthfills of moderate size that
be thoroughly compacted to ensure that it does not consol- serve exclusively for flood control, and so are subjected to
idate on saturation. Otherwise, an open seepage conduit water loading only for short periods, may need less than
may develop in the top of the trench, bridged by the over- normal slope protection.
lying embankment. Sufficient tests should be made on the Riprap is the most common armor for upstr€am faces of
compacted drain material to verify that it will not be sub- earth dams. Specifications typically have required that it be
ject to excessive consolidation. In view of this potential well graded from small to large sizes, and.that it be dura-
weakness, as well as the Possibility of contamination, fin- ble. However, uniformly graded riprap having the same
ger drains require special attention to ensure adequate long- D5o size is actually more effective than weil-graded riprap.
term performance. Riprap should be placed upon bedding material that is com-
In usual practice, drainpipes are not incorporated deep patible with it so that it will remain in place while retaining
in an earthfill, because of the possibility of breakage, de- the soils in the main body of the embankment.
terioration, or joint opening. However, pipes a:e com- Determination of required riprap rock sizes and layer
monly used in toe drains, where there is ready access for thickness usually entails considerable judgment, taking into
inspection, maintenance, and repair. To permit monitor- account the expected wave height. Although rock dimen-
ing, manholes are sometimes provided along the drain, and, sions and weights sometimes are tightly specified' require-
to facilitate maintenance, cleanout fittings are installed at ments must be based practically on the materials available
frequent intervals. and on comparison of combined initial cost and future
maintenance expense. For the range ofconventional earth-
fill slopes, depen<ling on the estimated severity of wave
Slope Protection
attack, required average rock sizes may vary from 8 in. (20
Earthfill dams must be protected from erosion. Where se- cm) to 24 in. (61 cm), and specified riprap thickness may
vere wave action can be expected, the upstream slope will range from 12 in. (30 cm) to 36 in. (91 cm). The required
 262 ADVANCED OAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHASILITATTON

total bedding layer thickness is commonly between 6 in. used in soil-cement is usually limited to 8. However, ad-
(15 cm) and 24 in. (61 cm). Two layers of bedding may equate soil-cement has been made of silty and clayey soils.
be necessary to satisfy filter criteria for both rhe adjoining Uniformity of the materials is an important requirement.
embankment zone and the riprap. Typically, the minimum Large amounts of clays are objectionable because they may
allowable thickness of each of the layers would be 6 in. prevent adequate bonding of the soil-cement layers.
(15 cm).3 Soils with large percentages of fines or soils that are rcl-
In the placement of riprap, care must be taken to prevent atively plastic need extra cement to attain comparable
segregation, which.could result in erosion of areas where strength and resistance to wetting and drying cycles. The
small stones are concentrated or in washing of bedding ma- cement content may range from about lVo to l4Vo of tle
terials through pockets of large stones. Specifications must dry weight of the soil, depending on the soil properties and
be enforced strictly to ensure that the riprap is composed the expected severity of weather and wave attack. Type I
of sound rock that will be adequately resistant to weather- cement is commonly used in soil-cement mixes, but Type
ing and wave pounding. II may be preferred if sulfates are present in the soil or
Where acceptable riprap is not available at a reasonable water.a
cost, soil-cement or roller-compacted concrete can be con- Standard tests are made of soil-cement for moisture and
sidered as an altemative. Soil-cement typically is placed density relationships, wetting and drying, freezing and
and compacted to a thickness of 2 ft (61 cm) normal to the thawing, and strength. Typically specified compressive
slope in a series of horizontal layers approximately 8 to l0 strength requirements range from 600 psi (4.1 Mpa) ar 7
ft (2.4 to 3 meters) wide and 6 in. (15 cm) thick (Fig. 9-3). days to 875 to 1000 psi (6.0 MPa to 6.9 Mpa) ar 28 days.
The soil-cement preferably is mixed in a central plant. Compressive strengths of soil-cement in service have inj
Nearly any type of soil may be used, except those with creased from abour 1000 psi (6.9 MPa) at 28 days to 2000
significant amounts of organic or alkali-reactive constitu- psi (13.8 MPa) or more ar one year and to nearly 3000 psi
ents. Sandy and gravelly materials with low plasticity are (20.7 MPa) after 20 years.s
preferred. (If only about l0% or less passes the No. 200 In designing the mix and establishing the dimensions of
sieve, the material can be considered to be roller-com- the soil-cement facing, the severity of wave action must be
pacted concrete.) Maximum sizes of such a mix can range considered. At large reservoirs subjected to strong winds,
up to 6 in. A desirable gradation would be limited to sizes waves as high as 8 ft (2.4 meters) might be expecred.
smaller than 2 in. (5 cm). Nonorganic, low-plasticity soils The necessary thickness of the facing normal to the em-
with at least 85 % finer than the No. 4 sieve and l0 to 25% bankment slope is determined by construction require-
passing the No. 200 sieve require the minimum amount.of ments as well as by the conditions to which the dam will
cement. For soil-cement, fine materials (passing the No. be subjected. Thicknesses of 2.0 to 2.5 ft (0.61 to 0.76
200 sieve) normally should nor be less than 5% and should meter) have been adequate. Although a 6-in. compacted
not exceed 35% of the total. The plasticity index of soils layer thickness has been common, facings with 8-in. and
9-in. layers have been constructed successfully. Layers of
l2-in. thickness have been used with roller-compacted
concrete. The heavier layen provide greater resistance to
wave pounding and runup.
At 425-ft (130-meter)-high Castaic Dam in southern
California, completed in 1973, approximately 250,00O yd3
(191,000 m3; of soil-cement wasplaced oniZ.ZS: I slope
with a minimum normal thickness of 2 ft (0.61 meter). The
average gradation of the materials was 100% 0.75-in. or
smaller, with 8l% passing the No. 4 sieve and ll Vo pass-
ing the No. 200 sieve. The soil-cement was prepared in
SOIL-CEMENT Crcsl of dan
continuous-mixing pugmills. Average cement content was
about 87o. Hauling was by bottom-dump tnrcks. Layen
were dressed by a Jersey spreader, with the objective of
limiting compacted thickness to 6 in. Compaction was done
by a l2-ton pneumatic roller. (ln present practice, some
engineers would prefer a 50-ton roller.) Minimum required
compaction was 95% of laboratory density, but field tests
averaged close to 1007o. Curing wiis accomplished by
RIPRAP water sprinkling for a minimum of 7 days. Reported av-
erage strength of a limited number of core specimens was
Figure 9-3. Typical slope pmtecrion. 1660 psi ( I 1.4 MPa) after 28 days.
 EARTHFITL DAM OESIGN AND ANALYSIS 263

As at Castaic Dam, construction is generally accom- Downstream Slope. The prutection nccdcd on the
plished with conventional heavy equipmenr. The soil-ce- downstream face will be govemed by thc extcnt of expo-
ment mix may be transported from the central plant to the sure to runoff, wind, general weathering. and tailwatcr
dam by trucks or conveyor belts. Compaction has been washing. Embankment materials vulnerable to erosion can
done by pneumatic-tired roller, and vibrating rollers also be covered by a blanket of gravel or broken rock, usually
have been used. At Castaic Dam, finishing of the edge of not less than 12 in. (30 cm) thick. On long slopes, runoff
each layer was accomplished by a nearly horizontal, hy- may attain enough volume and velocity to cut gullies in
draulically controlled, rubber-tired wheel on the side of the such blankets if the slope protection is too thin. Unless
compactor. To ensure adequate bonding of the soil-cement carelully controlled, retrogressive erosion could seriously
layers, care muit be taken to clean and lightly moisten the jeopardize the embankment. Gullies should be backfilled
surfaces. Some specifications have required roughening of promptly with resistant materials. The potential for erosivc
each layer by a power-driven steel broom after compaction, damage can be reduced by using the proper thickness of
as well as conventional brooming immediately before free-draining surfacing or suitable grass cover. tf intercep-
placement of the next layer. In current practice. many en- tor ditches are used, they must be conservatively sized.
gineers believe that scarification should not be done, and Otherwise, their failure mi_eht intensify runoff problems.
edge finishing is unnecessary. Where the soils are sditable and the climate is favorable.
The facing will tend to crack transversely. Where suit- grass may protect a downstream face adequately. This re-
able mixes and construction procedures have been used, quires seeding and maintenance based on knowledge of lo-
crack spacing may be in the range of l0 to l5 ft (3.0 to 4.6 cal conditions. To the extent possible, the placement of
meters). The resulting large blocks of soil-cement have topsoil and the planting should be done as construction of
been demonstrated to be resistant to displacement under the embankment progresses, and as the season allows.
wave impact. Where there may be a potential uplift due to Grass may not be easy to mow on slopes steeper than about
water passing through cracks or unbonded layers ofthe fac- 2.5:I. Earthfills should be kept free of trees and brush,
ing, underdrainage can be provided. Additional drainage which hamper turf maintenance and slope inspection and
may be provided by pipes through the facing. Drains should could eventually weaken the dam.
have sufficient filter protection. At Castaic Dam, pressure If part of the downstream slope is subject to submer-
relief during drawdown was ensured by placing under the gence by tailwater, a filter-protected riprap layer or a rock-
soil-cement a layer of streambed sands and gravels in which fill toe zone may be placed to control erosion.
particles passing the No. 200 sieve were less than 3% by
weight.
Foundation Preparation
Other kinds of slope protection include conventional
concrete, shotcrete, and asphaltic concrete. These are not Design of an earthfill necessarily entails design of the foun-
widely used at present for large-scale facing of earthfill dation treatment. If the natural formation at the site is in-
dams, but are found on some older embankments and are capable of supporting an embankment with economical
employed sometimes for repairs. The current technology slopes, the deficient materials must be removed or im-
for construction of upstream slabs of portland cement con- proved. Irregular rock surfaces in the foundation increase
crete or asphaltic concrete provides satisfactory results, as the potential for differential strain and consequent embank-
has been demonstrated recently at a few large projects. ment cracking: so careful attention to foundation shaping
In comparing riprap and other facings, wave runup must under the core and the adjoining transitions is necessary.
be considered. Runup will be less on a dumped rock sur- Overhangs should be eliminated, and rock protuberances
face than on a smooth lining. In the design of Castaic Dam, should be trinrmed. To preclude disturbing acceptably
wave runup was investigated for a 60-mph wind, an effec- sound foundation rock. this excavation preferably should
tive fetch of 1.6 miles (2.6 km), and an embankment slope be done without blasting. In conjunction with rock exca-
of 3.25: l. The vertical runups on riprap and smooth (soil- vation, or as an alternative, concrete may be placed under
cement) facings were determined to be 2.4 ft {0.73 meter) overhangs or at other irregularities to give the foundation
and 6.1 ft (1.86 meters), respectively. Forconservatism in an acceptable shape.
that study, the soil-cement was assumed to be smooth. Secpage through a rock joint or crack imnrecliately un-
However, on the usual stepped surface resulting lrom con- derlying erodible nraterial in the enrbankment nray cause
struction in horizontal layers, with the edgcs lcft un- fatal darnage. Fine sands, silts, ancl dispersive clays are
trimmed, the runup would be less than on a smooth face. susceptiblc to such erosion. In sonre cases, an initial con-
The difference would be important in setting freeboard al- tact layer o[ plastic clay has becn placed on the foundarion
lowances. At San Antonio Dam, in California's Monterey for protection. While the benclits ol this may be argucd,
County, a band of riprap was placed in the area of greatest there should bc no qucstion ol the value of sealing tbun-
wave action, extending between the embankment crest and dation openings with grout or concrere to isolate the em-
the top of the soil-cement facing. bankment from potentially danraging underflow, In com-
 254 ADVANCED DAM ENGINEERING FOR OESIGN, CONSTRUCTION, AND REHABILITATION

mon practice on many projects, this is accomplished than removing weak foundation materials. The seepage
effectively with slush gmut, mortar, dental concrete, or paths in the abutments and in the valley bottom can be
shotcrete. An additional line of defense is provided by fil- lengthened by flaring the impervious zone. A broadened
ters and drains in the downstream part of the embankment. section, particularly on the upstream side, may subsran-
tially improve seepage control where the abutment is highly
permeable. In such cases, the impervious cover of the nat-
Abutment Details
ural slope can be extended further by blanketing if neces-
Shaping of abutments to provide gradual changes in slope sary.
is particularly important where materials with a large dif- On steep abutments, measures must be taken to reduce
ference in deformation modulus must be used, such as the effects of differential settlement. In construction of
rockfill and a sloping clay core with a high moisture con- earthfills at such sites, relatively higher placement water
tent. In these cases, substantial shaping with concrete may contents are sometimes used. At potential tension zones,
be needed if the rock contours are irregular (Fig. 9a). the core and its adjacent transitions and filters may be
At abutments composed of relatively weak materials, broadened so that any cracks that develop will heal more
special measures may be advisable in detailing the adjoin- readily. In some projects, selected soils or blended soil
ing embankment zones. Stability may be enhanced by wid- mixes with higher plasticity have been placed on steep or
ening the fill at the ends, which may be more economical irregular foundations to improve the embankment ability to

Re nove ol I orc rho nrt ----_-\r - -/- Allslapes to be lflnmed or

presphl lo 0.5:t or flotler

Miniqun
_ /-0.3n
Fotn swfaces itl!
os directed 0.5: t or floller-
Covtfies ond deoressioos to be f,lled rtth
denlol coocrele os dtrecled. Dental concrelc
Slush qroulinq, cortor
or reDoir os d,rected

---\-5195; groul os dtrected

Excorote lo groding plon

ar'
\-t
Slush grouf os a.ecfed

ties ond deD?c5'ions

fo be bockf illed nth
dentol concrafc os direcfed

(cl

Figurc 9-4. Typical foundation shaping requirements.

 EARTHFILL DAM DESIGN ATTID ANALYSIS 255

Covities ond depnssions

lo be bockfilled rith Slush grouring, morlor
denfol coocrcta ot dtftc4 or regoir os dirccled

Slush grout os directed

Remove lasc debris ond

weather$ rocl os directed

Dentol concrete

L@se blocl
ond depressions la be
bockfi ile d vith concrete os
directed

(e)

Figure 94. (Continued .)

deform without excessive cracking. It is also beneficial to bankment, several rows of grout holes are generally pref-
defer placement of the upper part of the ftll, if possible, to erable to a single row.
minimize the effects of settlement.
lmpervious Blankets. Where an effective foundation
Foundation Seepage Control cutoff is not feasible, the impervious zone of the embank-
ment can be extended upstream as a blanket. In combina-
Grouting. In designing to control foundation seepage, a tion with downstream drain wells, this alternative may pru.
reasonable balance must be aftained between drainage and vide economical seepage control. A complete blanket
provisions for reducing flows (i.e., blankets, cutoffs, and would extend into an impervious contact along its full
grout curtains). The conditions peculiar to each site will boundary. Partial blanketing is sometimes done to lengthen
dictate the optimum combination of protective measures. the path of seepage. The availability of materials and the
A primary function of a seepage barrier is to prevent ex- reservoir topography at the dam will influence the design-
cessively concentrated flows through foundation disconti- To be most effective, an earth blanket normally should have
nuities. Grouting, for example, tends to close the largest at least a 3-ft (0.9-meter) thickness and should be thor-
mck openings and thus to distribute flows more evenly so oughly bonded to the adjoining impcrvious elements. In
that drainage downstream from the treated zone can be en- locations where thc blanket might be subjected to erosion,
hanced. Grouting may not be very beneficial by itself, but it should bc covered by protective material.
often it is dependable when combined with adequate drain- The arca of the blanket is usually determined by balanc-
age systems. The grout must be mixed to proper pmpor- ing costs with the value of the desired degree of seepage
tions for the site conditions and has to be injected undcr control. The benefits of future sealing by reservoir silution
controlled pressures to avoid damaging the dam or the also should be considercd. Although upstream blankets can
foundation. In establishing a grout curtain under an em- be useful in dccreasing water losses and uplift pressur€s,
 266 ADVANCED DAM ENGIN€ERING FOR DESIGN, CONSTRUCTION, AND REHAEILITATION

they may have limitations that should be recognized. Even bentonite slurry trench cutoffs have properties similar to
with extensive blanketing, a potential for piping may still those of stiff clay. Their effectiveness has been demon-
exist due to high internal water pressures at downstream strated in many projects where they have adjusted to em-
exits of foundation strata. Hydraulic gradients through bankment or foundation deformations without significant
blankets may be very high. A typical upstream blanket may cracking. Preferably, they are located just upstream from
be placed upon a nonuniform foundation without a filter the dam where their settlement would not affect lhe em-
Iayer. The thin earth element is subjected directly to heavy bankment. They have been incorporated into original de-
reservoir loading. Under such conditions, a blanket could signs of dams, and they can also be effective in remedial
be susceptible to cracking and/or piping, as was observed work at existing structures.
at Tarbela Dam in Pakistan. These possible disadvantages Another method that offers many advantages involves
must be weighed carefully in analyzing seepage control op- addition of cement to the bentonite-water slurry just before
tions. Often a partial cutoff under the embankment will be its introduction into the trench. The cement-bentonite slurry
safer and more effective than a blanket, because of hori- remains to set up and form the permanent cutoff wall.
zontal stratification of foundation materials. Techniques have also been developed for the installation
At some sites, the natural soil on the reservoir basin may of concrete walls or diaphragms through the use of slurry
have superior qualities as a seepage barrier, including filter trenches. Tremie concrete has been placed successfully in
capability. In such cases, particularly where a positive cut- this way to achieve a positive cutoff. Concrete diaphragms
off would be difficult to secure, care should be taken to have been built at several major dams, including N{ani-
preserve the natural blanket and to incorporate it into the couagan 3 in Qudbec. This 350-ft (107-meter)-high earth-
embankment design. fill is founded on alluvium over 107 meters deep, consist-
ing of sand, gravel, cobbles, and boulders. The cutoff
Cutoffs. Seepage under an earthfill dam is controlled through this material was established by two parallel con-
most effectively by a cutoff into an impervious foundation. crete walls 2 ft (0.6 meter) thick, spaced with centerlines
At many sites this can be accomplished by excavating a l0 ft (3 meters) apart, composed of interlocking piles and
trench and backfilling with compacted earth, which is in panels.
effect part of the embankment core. Such a cutoff should When a cutoff is to be constructed at an existing dam,
be sufficiently wide to ensure an acceptably low seepage its influence on stability must be carefully analyzed. The
gradient, and its excavated slopes should be flat enough to preferable location for the cutoff may be at or near the up-
preclude excessive stress concentrations. The base width stream toe.
of the cutoff trench is commonly specified to be at least One ofthe least effective alternatives for seepage reduc-
one-fourth, and preferably should be at least one-half, the tion is sheet piling. Although it was installed at many early
maximum net head on the dam. If there is any possibility dams, it has not proved dependable. The use of steel sheet
of piping of the backfilled material into the pervious foun- piling cannot be regarded as a positive means of controlling
dation, a filter layer should be placed on the downstream seepage. Vibrating pile hammers and other measures may
face of the trench to separate the incompatible materials. improve pile alignment, and bentonitic slurry may be help-
If the cutoff trench would have to be extended to an un- ful in sealing the piling interlocks; but sheet piling in most
economical depth, a slurry trench might be a feasible al- applications cannot be expected to provide a watertight
ternative. Trenches of this type can be placed practically barrier.
to maximum depths of at least 180 ft (55 meters), usually
by means of dragline, clamshell, backhoe, or other trench- Foundation Drainage. Usually an earthfill can be made
ing equipment. The walls of the trench are stabilized by a impermeable enough that it will not pass much seepage.
pool of bentonitic slurry. The backfill that finally displaces Reservoir water losses are likely to be greater through the
the slurry must contain enough fine-grained soils to be ef- underlying natural formations. Underseepage can be con-
fectively impervious and sufficient coarse material to min- trolled by grouting, cutoffs, and/or earth blanketing, in
imize settlement. A generally acceptable range for mate- combination with drain layers, foundation galleries, toe
rials passing a No. 200 sieve is from 10 to 30Vo. To obtain drains, and/or relief wells. Drainpipes have been placed
and retain a uniform slurry mix, backfill components of under embankments and under the earth linings of reser-
clay, well-graded sand and gravel, and bentonite prefera- voirs. However, such installations have possible disadvan-
bly should be weight-batched into mixers for blending with tagcs that should be considered carefully. A conduit laid
a predetermined quantity of water. On some projects, the under an embankment must not be susceptible to rapid de-
trench backfill has been mixed by windrowing, dozing, or terioration. Any failure may be difficult to detect and to
blading. Although mechanical mixing with aggregate or remedy. Access for monitoring and repair is highly desir-
concrete mixers is generally superior, mixing on the ground able.
has been sufficient in many cases. Properly constnrcted soil- In designing a pipe system for drainage of the abut-
 EARTHFITL DAM DESIGN ANO ANALYSIS 267

ments, two preferred guidelines are: (l) provide two out- Relief wells are especially beneficial where an impcr-
falls connected together so that. ifone outfall fails because vious foundation laycroverlies pervious material. The wells
of crushing under construction or movement or plugging should be drilled deep enough into the underlying forma-
during operation, there will still be a reserve discharge line; tisn that destabilizing water pressurcs are reduced to safe
and (2) extend the upper end of each abutment drain to limits. Well spacing may vary from abour 25 fr (7.6 mc-
serve as access for cleaning and testing. ters) in very pervious foundations to l0O ft (30.5 merers)
Underdrains in zones subject to movement should be di- in less pervious materials. Spacing of wells generally
vided into sections with separate outfall systems so that should not be more than about one-half their depth.
areas of leakage can be identified. Drains on one side of a In common practice, a pressure relief system is devel-
foundation shear can be isolated from those on the other oped in stages, with a minimum numbcr of wells installed
side to avoid possible fracturing of lines at the shear. initially and others added later based on monitoring of
Rigid pipes commonly used for drains, such as clay tile foundation pressures as the reservoir operatin_e regimen is
and asbestos cement, require extra care in handling and established. The wells should be designed to be accessible
bedding because they are relatively brittle and easily dam- for maintenance. Even with periodic cleaning, their effi-
aged. Some metal pipes are very susceprible to corrosion, ciency may gradually decline, so that rehabilitation and/or
particularly when located in a moist embankment. Al- supplemental wells may be needed eventually.
though such pipes are found at many older dams, their use Where the upper part of the foundation is permeable,
in new construction or in rehabilitation would have to be relief wells may not be effective seepage interceptors. A
thoroughly justified in comparison with usually preferred toe drain may be beneficial in collecting and conveying
alternatives such as sand and gravel drains. flows issuing from the embankment and the foundation.
The need for filters must be assessed in designing drains. This kind of drain typically consists of a filter-protected
Also, filter layers may be required at the foundation contact pipe in a trench under the toe of the dam. Toe drains often
beneath pervious shells if there is a possibility of flushing are placed in combination with drain blankets. They are
foundation material into the embankment. This is particu- installed also on impervious foundations to lower the
larly important on soil foundations. In some cases, the em- groundwater level immediately downstream from the em-
bankment zones may be fully compatible with the under- bankment. For any earthfill, they may be useful in detect-
lying material. Thorough investigation is necessary, ing and monitoring seepage sources.
however, to ascertain that conditions at the contact are suf- Because properly designed toe drains are accessible for
ficiently uniform to justify omission of a filter. maintenance and repair or replacement, various kinds of
Relief wells are used in combination with various other pipe may be used in their construction. including concrere,
schemes to control water pressures in the downstream zones clay tile, plastic, or comrgated steel. The minimum trench
of the embankment and in its foundation. Wells drilled in depth usually specified is about 3 or 4 ft ( I .0 or I .2 meters)
erodible material must be prorected from piping. Under (Fig. 9-5). The maximum depth normally is dictated by the
usual conditions, the well casing inside diameter should be need for a continuously positive drain slope on each abut-
at least 6 in. (15 cm) so that seepage head loss will be ment. The pipe size is determined by drainage require-
minimized. A filter of not less than 6-in. thickness should ments and may range from a minimum of 6 in. (15 cm) up
be provided around the well screens. The recommended to 30 in. (76 cm) or larger. Collector pipes are open-jointed
minimum ratio of the 85% size of the filter to the size of or perforated and are surrounded by filter material. Two-
the screen opening is 2.0. layer filters may be necessary to prevent foundation piping

, _.-L,m,ts of speaol
- \ c1moocton

t2" Corrugoled polfelhttcnc

6" Min tubing fli lh pcrforofiaos

Envclope of r'narmol morimum

og9rcqot€

Figure 9-5. Typical toc dr.rin.

 €.18' 0lo, perfordted
relnforceo concrete
toe droln

€i6' Dlo. perforoted

reln{orced corcrafe ouffol plN

Danr s+o. 4 llOO

JA
2-0 Nortple openl
t 84' t .D. precosf relnforced Cost lnploce bose collor
cotErote rlser vlth cutouts
0-6 N ln.
l8' Dlo. perforoted
relnforced concreta l-0 Relnforced corErete bose slob
toe draln

OUTFALL INSPE.CT ION WELL NO. I . PLAN V IEW

Nontole cover oN fr@n€ cover

No. R-5902-E Neenoh Foundry
Conpony or equol
f'.';: Irspect lon we II

l-O M ln-

Et. 2t89.O
2-O Hortpl€ openlng 0-6 Precost relnforced concre+e
flot slob top

f relnforced concreta
rlser vlth bose collor ond cutouts

t8. Dto. Nrforoled toe

dro I n, lnvert E1.2174.

36- Dlo. perforoted relnforced

cortcrele ouffoll plp€
Cat lnploce bose co I lor

-1_
?l

2t 72.0

Rglfrforcad corcrele bose stob

OUTFALL INSPECTION WELL NO. I.SECTION A-A

figure 9{. Typical inspection well, Calamus Dam. Courtesy: U.S. Bureau of Reclamation.
268
 Itef aell collector
l8 lil. Corcrdto Dl@

12 tN. 1utfotl
d lnsDectlon val I

Seol edges of plote

v/fi ca.,/k/rx?L-: _1
_T
I lN. Corcrete
Stoff goge outfol I plN
I

lnlass sfsol
onchors oN balls I

I I
V-Notch rclr plote
"i
9 Sfolnless sfeel
orolprs orl bo I

I
I

OU|FALL INSPECTION flELL NO.

PLAN V IEW
TO SCALE

I lN. Corvrele
outfol I DIN

aASose slob--d-

SECTION 8-8
IA SCAL€

Figure 9-7. Typical inspection well with weir, Calamus Dam. Courtesy: U.S. Bureau of Reclamation
269
 27O ADVANCED OAM ENGINEERING FOR OESIGN. CONSTRUCTION, AND REHABILITATION

and drain clogging. To facilitate inspection, maintenance, foundations of embankments. They enable supplemental
and flow measurement, manholes may be installed for ac- drainage by drilling, and they also may be used for grout-
cess into the toe drain at convenient intervals (Figs. 9-6 ing. Because of the cost of such facilities, they may be
and 9-7). uneconomical for many projects.
Galleries or tunnels sometimes are provided to drain the

SEEPAGE ANALYSIS
JoHN Lowe III

Filters of separation, as indicated in Fig. 9-9. For a self-filtering

material the D,, size of the coarser fraction should be no
Filterdesign is a critical item in the design of earthfill dams. more than 5 times the Dr5 size of the finer fraction. As is
Filter criteria must be met wherever water is seeping from evident from Fig. 9-9, whenever the slope of the grain size
less pervious into more pervious materials. Sirch seepage curve is flatter than 15% per a 5-time change in grain size,
occurs at various places in an eafthfill dam and its foun- the material is not self-filtering. When such is the case,
dation: from the core of the dam to the downstream shell; then the D,, of the filter should be based upon the D* of
from the upstream portion of a dam of homogeneous sec- the finer fraction rather than on the D6 of the total mate-
tion to the chimney drain; from the foundation to a hori- rial. An illustration of this design is given in Fig. 9-10.
zontal drainage blanket; from the foundation to relief wells; Here the grain size curve for the portion of material coarser
from the upstream shell of the dam into riprap slope pro- than 0.I mm is too flat. By trial it is found that if the grain
tection, due to drainage out of the shell upon drawdown of size curve for only the minus 1.0 mm fraction is plotted,
the reservoir and/or due to surging of wave action; and then the entire grain size curve is steeper than l5 % /5+ime
from the core of the dam into the upstream shell, due to change in grain size. The D,, of the filter is then set at 5
drainage from the core upon drawdown of the reservoir. times the D* of the minus 1.0 mm fraction.
Fundamentally, Terzaghi's filter criterion based upon A broadly graded, low-plasticity impervious material
tests performed by Bertram is correct. Terzaghi's criterion may be self-filtering if well compacted, whereas if not so
is that the diameterof the 15% size of the filter (D,r) should well compacted, it may not be self-filtering. This phenom-
be no more than 4 or 5 times the diameter of the 85% size enon was observed at Tarbela Auxiliary Dam No. l. Leads
of the material being held back (Dss). The concept is that for instruments located in the sloping core of the dam were
the size of the voids of the filter is about one-tenth the Ds5 taken through a series of risers and horizontal sections
size. Thus, if the D6 size of the material being held back through the core to instrumentation readout houses. Hori-
is one-fourth or one-fifth the D,, size, there is a factor of zontal double fluid settlement devices passed close to a
safety of about 2 against the Dr5 size fitting into the voids dozen or so of the risers. In all cases the settlement device
of the filter. The assumption is made that if the Ds5 size of indicated that at least several feet of settlement had oc-
a material is held back, then this size togerher wirh the 15% curred at the adjacent riser. In one instance a sinkhole de-
of the material that is coarser will hold back the remaining veloped at the riser. The area in the immediate vicinity of
85Vo. the riser had been compacted by small compactors, whereas
Recently at Balderhead Dam, Tarbela Dam, and others elsewhere the core had been well compacted with 100-ton
it has been found that if the material being protected is rubber+ired rollers. Laboratory tests showed that the well-
skip-graded or very broadly graded, the Dr5 and coarser compacted broadly graded core material could resist a gra-
sizes will not necessarily retain the finer fraction of the ma- dient of at least 40 without piping (40 was the largest gra-
terial. The broad gradations of the Balderhead and Tarbela dient used in the laboratory tests), whereas material rela-
Dam core materials are shown in Fig. 9-8. Also shown is tively poorly compacted, as in the immediate vicinity of
the skip-graded alluvial material of the Tarbela Dam foun- the risers, would pipe under the gradients of 2 to 3 that
dation. actually occurred across the core at the risers.
It has been found that the Terzaghi criteria can be used Generally, concrete sand is a satisfactory filter for silt
to check the self-filtering ability of broadly graded and skip- and clay soils. Clay soils usually are not readily erodible
graded materials. The material can be checked by separat- because of their stickiness and the fact that they pass very
ing the grain size curve into two parts at any arbitrary point little water. Concrete sand is an adequate filter for clay
 EARTHFILL DAM DESIGN AND ANALYSIS 271

Srzt - rrcHCt I arava eEilxo - lrcx!! - l- Ul. tttvl twl[it

'TAilOAAO

FIN€R BALOERHEAO DAI( CORE iIAIERIAL

F
t I
I 3
i
o
a 4
G
= o
F
z
o TARBELA OAM RIVER ALLUVIUM
2
o
E

!4I 2 '€ 6
to I .t
GRAIN SIzE IN MILLIMET

SILT AND CLAY SOILS

Figure 9-8. Grain size curves, Balderhead core. Tarbela core. and Tarbela foundation alluvium.

soils even though its D,5 size may exceed 5 times the Ds5 size of the filter not exceed 5 times the Dr5 size of the silt
size of the clay. On the other hand, dispersive clays and or dispersive clay gradation.
nonplastic silt soils are readily erodible, and even though Filter gradations coarser than concrete sand generally
the water that they pass is small, it is prudent that the D15 should be narrow, having no more than about a 2-time vari-

FIN€R FRACTION

F
z
6
E
(D15)gSHOULD 8E NOMORE
E

l*
lz
ln
F
6
G
THAN 5 TIMES ( DB5 lF

t:
lo
ld
lu (15r(X1(x)-XI
t
( r59il{ X
^ }

I
(xt
I
lD15 )s ( osg )p

+
roo.o ro.o ,.o o.' o.or o.oor mm
I I I
SILT & CLAY SIZES

Figure 9-9. Criteria for self-filtering material.

 272 ADVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCTION, AND REHABTLITATION

o GRAIN OIAUETER IN UILLIUETERS

q
so o o-

loo-F 8..o.. * ;o
Ya€ola d Jaool6 d
-o
OoOata ( (,a60?6 e
o
o

80
F F
(-,70
I
(,
tr
504
]>50 '
@
ao@
E
E lr,l
(,
Hro 50E
E J
i40
l,
so!
o ll,
o
Eso
A
to oa
l,
o.
20

GRAIN OIAMETER IN MILLIMETERS

to 20
F F
g?O
50;
lrJ
]
'>6 60 roi
o. E
tr, lrJ
z3o 508
t!
F J
zao
trJ
608
(, lrJ
()
frso
o.
708UJ
o-
?o 80

10

Figure 9-10. Example of filter design for widcly graded material.

ation in sizes in order to minimize segregation during Fig.9-ll, the D6 of the fine side of the band of the ma-
placement. Concrete sand having the gradation band shown terial being protected should be compared with the D,, of
in Fig.9-11 coutd be filtered by in. to No.4 concrete
! the coarse side of the filter band. It simplifies construction
coarse aggregate, and this in turn could be filtered by 3 in. if the same aggregates can be used for filters as those used
to 1.5 in. coarse aggregate. The 3 in. to 1.5 in. material for concrete aggregates. However, filter sand need not al-
would be suitable for bedding of riprap overriding a gnzzly ways be as clean as concrete sand.
having, say, a 9-in. opening between bars. As shown in Filter layers for horizontal drainage blankets in dams and
 EARTHFILL OAM DESIGN AND ANALYSIS 273

3[VE AUtVttt tsYOaqtTtl aialYtra

rlsf Fl trzl .- sr!lrrtTti! ---l

rrzE - rEHt! tl:vE oPENltO - rExtt I u.t. 3T^rcaao ttEv€

I o" 24 r2E6 l 2t

E
;3
3 60
o
6 E
G
z
o
I
F
z
q
,o E

I .l I

GRAIN SIZE IN MILLIMET€RS

Figure 9- I l. T1 pical filter grrdations.

for bedding underneath riprap slope protection should be layer is required. If two layers are required. they may be
at least I ft (30 cm), and preferably 2 ft (60 cm). thick. each one-half lane wide and placed simultaneously by
Filter layers between core and pervious downstream shell spreader box. A photograph of such placement is shown in
generally should be one construction lane wide if only one Fi-e. 9-12. To minimize the quantiry of filter required tbr a

Figurc 9-11. Simultaneous phcentent oi two filter larcrs, Etnborcaqio Dant' Brazil
274 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILITATION

SANC ILT€R
\
\
\i \ \
F I
ti
- EFOOIBLI sll T
o
3
>60
\
@

tol OF SLOTI tn

T
P.V.C, PIPE

=
!40
a
E

\ \
\
I
I

o.o?
S o.oo5 0.002

SILT AND CLAY SOIL

Figure 9-13. Gradations of emdible silt and filtersand at spillway drainage cunain, Tarbela Dam Project.

single layer chimney drain where filter material is expen- then backfilled with filter material, placed in layers, and
sive, the following procedure has been used. Several lifts compacted. The procedure is repeated for the full height of
of impervious rnaterial are placed without incorporating the the chimney drain. A vertical chimney drain is most suir-
chimney drain, and then a trench is dug with backhoe able for this type of operation.
through the several lifts of impervious fill to contact the In placing filter packs in relief wells it is also imporrant
chimney drain placed in the underlying fill. This trench is that the filter be narrowly graded in order to avoid segre-

FILTER SAND

2" EPOXY SEAL

FILTEFED OBAIN HOLE

FILTER SANO

GLUEO & PINNED

2. EPC'XY SEAL
DRAINAGE ADIT

SLOTTEO P.V.C, PIPE TYPICAL DRAINAGE

AND SANO FILTES ARRANGEMENT

Figure 9-14. Sandwich filter drain, Tarbela Dam Project.

 EARTHFILL OAM DESIGN AND ANALYSIS 275

gation. This is particularly the case for filten placed into helpful to install drainpipe equippcd with filten. Thesc
water below the groundwater table. Filter packs generally drainpipes may have filter material bonded to them wirh
should be designed to prevent migration of the strata of epoxy. or a double drainpipe may be used with lilter sand
finer emdible material in the foundation. In the case of the in the annular space between the two pipes. Such a "sand-
foundation for Tartela Dam, the alluvium contained opcn- wich" system was used in the spillway ridge druina-ee sys-
work cobble/gravel layers, fine sand layers, and cobblei tem at Tarbela Dam Project to prevent piping of erodible
gravel choked with sand. The relief well filter pack had to silt, which occurred in joints and seams in the sedimentary
be designed to retain the fine sand. However, the main limestone/phyllite foundation. The gradations of the silt and
water-bearing layers were the openwork. A very narow filter are shown in Fig. 9-13. and a sketch of the drainpipe
gradation of filter pack was important so that the maximum and filter in Fig. 9-14. The filter pipes were fabricated in
permeability of a fine filter pack could be obtained. 5-ft len-gths and inserted in both the up drainage holes and
To install filters in flowing abutment drain holes, it is the down drainage holes extending from the draina,ee adit.

STABILITY ANALYSIS
JoHN Lorve III

lntroduction The shearing strengths of the embankment and founda-

Stability analyses for earthfill dams generally are made by tion materials are different for each of the cases mentioned
limit equilibrium methods. Whenever the total driving force above. The differences are due primarily to differences in
the conditions of consolidation and drainage that obtain in
along any surface through the embankment or through the
embankment and its foundation exceeds the total resisting
each of the cases. Selection of the test method and of the
way to express the shear strength for analysis of particular
force along that surface, stability failure occurs. The trace
cases is described below. The shear strength to use is that
ofthe surface ofsliding on a cross-sectional view generally
may be approximated by an arc of a circle or two or three found at 15 to 20% strain in laboratory tests. Because of
the possibility of progressive failure due to the significant
straight lines. However, other curves, such as the log spiral
or a combination of surfaces, may be used. The stability strains that develop in earthfill dams, it is not prudent to
assume that the peak strength. which usually occurs at small
analysis is made by considering various possible surfaces
and computing the factor of safety against stability failure strains, will obtain along the entire assumed failurc sur-
face.
for each. The factor of safety is defined as the total avail-
able shearing resistance divided by the total driving shear-
Laboratory test specimens compacted dry of the opti-
ing force. The sliding surface with the lowest facror of mum water content for compaction usually have peak
safety is the critical one. strengths higher than those compacted wet of optimum.
The various cases of loading for which embankment Also different methods of compaction, such as tamping,
kneading, and static, give different peak strengths. How-
slopes are analyzed. together with the minimum factors of
safety recommended for these cases, are tabulated below: ever, the strength at 15 to 20% strain usually is about the
same for a particular soil at a particular unit weight irre-
Min. factor spective of water content for compaction and method of
Condition of sdfery
compaction.
End of construction case, both upstream The slices method and the sliding block method are the
and downstream slopes 1.25
With earthquake loading in addition
two most common methods for carrying out linrit equilib-
(pseudostatic) I.0
rium analyses. The slices method may be carried out as-
suming: (a) that no lorces exist on the sides of the slices;
Steady seepage at partial pool. upstream
(b) that the forccs on the sides of thc slices are horizontal:
slope t.5
With earthquake loading in addition and (c) that the forces on thc sidcs of the sliees acr at a
(pseudostatic) 1.25 reasonable angle to the horizontal. The last assurnption is
Steady seepage, downstream slope the most realistic. and the one that is rccommended for use.
t.5
With eanhquake loading in addition At tirnes it makes a significant difference in the factor of
(pseudostatic) 1.25 safety conrputed. Because computer progranls now are
Rapid drawdown, upstream slope 1.25
available for carrying our the slices method, assumptions
With earthquake loading in addition (a) and (b), which are simplitying assumptions, are no
(pseudostatic) 1.0 longer justified. The infinite slope and sliding block meth-
 276 ADVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCTION. ANO REHABILITATION

ods of analysis are special cases of the slices method. These

three methods are discussed in more detail below. J. SatP GE
roicc
The Newmark method of analysis may be used to deter-
mine the possible slumping of a dam under earthquake
loading. The basic assumption in this method is that move-
DRIVII.G FORCES
ment along limit equilibrium sliding surfaces in the dam
occurs due to the portions of the accelerations applied by
the earthquake that exceed the acceleration that would re-
sult in a factor of safetyof 1.0 in the limit equilibrium
analysis. If
the earthfill material is dilatant during the F.,
lt.
shearing caused by the earthquake, no further movement
will occur on the sliding surface once the excess accelera-
/t. i
lr t,
lP
rN
RESISTING FORCES

tion stops. A time history of the earthquake adopted for

," l->
l./
I
coxEsrotLEas sorL r.- la6 6
tan i
design must be known, and from it the time history of ac-
celerations for the sliding mass determined. Because of the Figure 9-15. Forces acting on element in infinite slope analysis.
triangular shape of earthfill dams, accelerations near the
crest are greater than ground motion accelerations applied
at the base of the dam by the earthquake. The total move-
F: tan $/tan i
ment of the sliding mass is then the sum of ttie movements
during cycles where excess accelerations occur. During
where d is the angle of internal friction, and i is the angle
shearing, earthfill materials invariably first tend to com-
press under initial increments of deviator stress and then,
of the slope. (Nore: These and other symbols used in this
section are defined in a symbols list at the end of the sec-
if they are granular and reasonably well compacted, tend
to dilate. In the earthquake situation, the dam material tion.) Thus, to have a factorof safety of 1.5 forshell ma-
terial having an angle of friction of 33 o , a slope of angle i
would have been subjected to shear stresses below the fail-
ure condition due to static loadings, and consolidated under = 23.4" , or of I V on 2.5H, would be required.
these stresses. Thus, during earthquake loading, as a gran-
For the case of saturated cohesionless material and
seepage parallel to the face of the shell, rhe facror of safety
ular, reasonably well-compacted material was brought to
can be computed as:
shear failure, it would tend to dilate. On the other hand,
materials that are strain-softening may continue to fail once
they are brought to failure by the earthquake acceleration. P : (tan g/tan i) x (t*o-/y*,)
The finite-element method of analysis can be used to de-
termine the major and minor principal stresses throughout It is assumed that all pore pressures in the shell of the dam
an earthfill dam and its foundation. From the principal are being created by the pattern of seepage, and that no
stresses, the shear stresses can be determined, and these pore pressurcs due to changes in loading conditions are
may be compared with the shear strength throughout the present. Seepage more or less parallel to the face of the
dam and its foundation. At this writing, however, dilatant upstream shell of a dam occurs upon relatively rapid draw-
soils cannot be properly handled in the finite-element down of the reservoir. In the upper paft of the shell,
method of analysis. This is a limitation to the use of the seepage is somewhat steeper than the angle of the slope.
finite-element method of analysis, as it is desirable to use In the middle part of the shell, seepage is more or less
soils that dilate upon shearing in earthfill dams. parallel to the face. At the bottom of the slope when the
shell is founded upon relatively impervious material,
lnfinite Slope Analysis seepage is horizontal out of the slope. In the upper part of
the shell, the factor of safety is greater than for the middle
Where the shell of an earthfill dam is composed of cohe- part where seepage is more or less parallel to the face. At
sionless, relatively incompressible semipervious material, the bottom where seepage is horizontal, the factor of safety
the infinite slope analysis can be used to determine the fac- is slightly less. For example, if the angle of internal fric-
tor of safety of the slope. The method applies to the case tion of the shell material is 30o, and the ratio 7",6*/7*, =
of a long shallow sliding mass where the length of the mass 0.5, for a factor of safety of 1.25 for the rapid drawdown
is great compared with the depth, so that end effects on the case, a slope of lV on 4.45 would be required where seep-
sliding mass are negligible. The forces acting on a typical age is parallel to the slope, and lV on 4.7 5 where seepage
element in the infinite slope analysis are shown in Fig. is horizontal. Where the seepage is parallel to rhe slope, the
9-15. seepage gradient is closely approximated by sin i; where
For the case of no seepage, the factor of safety, F, can seepage is horizontal at the botiom of the slope, the gra-
be computed as: dient is closely approximared by tan i.
 EARTHFILL DAM DESIGN AND ANALYSIS 277

A-
For the case of partial drawdown, where the lower part
of the slope is submerged, seepage is out of the slope in a
direction normal to the face of the slope, and the factor of
safety for the submerged part of the slope is greater for flat
slopes but less for steep slopes. For example, for a factor
of safety of 1.0, a 20o slope would require a friction angle
of 36.5' for seepage parallel to the slope, and a friction
angle of 30o for seepage that is perpendicular out of the
I

slope. On the other hand, a 30o slope would require a fric-

/,- I

Er i' lrt
tion angle of 48.5" for seepage parallel to the slope, and
tol
'l2l^
55o for seepage that is perpendicular out of the slope. The \*
highest friction angle required for a factor of safety of 1.0 <J
is for seepage that is out of the slope upward at an angle
with the horizontal equal to the angle of the slope.
The stability of shells subjected to seepage can be im- Figure 9-16. Method of slices-only eanh forces shown.
proved by overlaying them with free-draining slope protec-
tion, thus making steeper slopes possible. Detailed stability
analyses of such cases have been made by Reinius,6 who
has presented his findings in chart form. Eniering the charts
with the angle of the slope and the effective thickness of
slope protection, one can obtain the required angle of in-
ternal friction of the slope.
Another situation where flow occurs parallel to the face
of a dam is that of rain runoff flowing in slope protection
overlying impervious embankment material. Seepage is
parallel to the face of the dam, and it increases in quantity
with distance below the crest of the dam because the sur-
face area that can collect rainfall similarly increases. For
the slope protection to be stable at a slope steeper than on
the order of lV on 4H to lV on6H, the runoff must saturate \"
only part of the thickness of the slope protection. There
Figure 9-17. Forces acting on a slice in slices method.
must be sufficient unsaturated material to weigh down and
stabilize the lower portion in which water is flowing. Anal-
ysis is made by considering an element of the slope pro-
tection at various positions on the slope and including the either hydrostatic excess pore pressure due to consolidation
proper seepage force parallel to the slope in checking the or pore pressure developed during shearing.
stability of the elements. The force polygon for a typical slice is shown in Fig'
9-18. The weight force, W, and the water forces, Un, UL,
and Us, are determined for each slice. The solution for the
Slices Method
magnitude of the lateral earth forces and the magnitude and
In the slices method, the stiding mass is divided into slices,
as illustrated in Fig. 9-16. The eanh forces acting on the
typical slice are shown in Fig. 9-17. The earth forces con-
sist of: the weight force, ll/i the lateral earth forces on the
slides of the slice, Ep and EI and the resultant earth force
on the base of the slice, P. A reasonable direction has to
be assumed for the lateral earth forces. Generally this di-
rection is taken as about midway between the direction of
the top and bottom faces of the slice. However, the obliq-
uity of the earth force should be somewhat less than the
developed friction angle for the case being considered. In
addition to the earth forces, water forces frequently are
present on the sides, U3 and [J2, and on the bottom of the
slice, Us. These water forces generally are computed only
for the fully consolidated condition and do not include Figurc 9-18. Foree polygon for a slice.
 278 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTBUCT]ON, AND REHABILTTATION

direction of the force P depends upon the factor of safety. mass divided into slices, and also the closurc force poly-
The proper value of the factor of safety is determined by gons, to check the reasonableness of the solution.
trial and error. The shear strength of the soil is expressed
as .r = c * on tan d. The shear strength that must be de-
Sliding Block Analysis
,F 9- +
veloped to resist the driving forces is sp, and equals
Examples of the sliding block method of stability analysis
ootan 6
T t , where F is the factor of safety. The cohesion de- are shown in Fig. 9-20. The sliding block method is ad-
vantageous when the critical sliding surface can best be
veloped, cp, is equal to c f F, and the angle of friction de- represented by planes. Such is the case when the upstream
veloped, Sp, is equal to arc tan face of the central core of the dam is the critical surface
value of factor of
ry. ^ for sliding, or when a planar layer in the foundation or shell
safety is assumed, and a first trial carried out. Starting at of the dam is critical.
the topmost slice, the magnitude of the E force on this The method is basically the same as the slices merhod.
slice is determined. An equal but opposite force is the E^ The factor of safety required to cause the active or driving
force on the adjoining slice. With F assumed, c, and g, forces to balance the passive or resisting forces is deter-
are determined, and with Ep known, the E force on the mined by trial. The forces of the active and the passive
second slice is determined. In similar manner the forces on wedges, E^and 86, respectively, can be determined from
each slice are obtained until the Ep force on the bottommost earth pressure charts when the sliding surface of the wedge
slice is determined as equal and opposite to the E4 force on is not controlled by a plane of weakness. as, for example,
the next-to-bottommost slice. If a prcper value has been the upstream face of the core of the dam. The shear strength
assumed for the factor of safety, the forces on the bottom- parameters to use in entering the eanh pressure charts are
most slice should close. If they do not, additional trial fac- cohesion developed, cp, and friction angle developed, do.
tors ofsafety should be assumed, as needed, until practical Curved and/or composite curved and planar surfaces should
closure of the forces on the bottommost slice occurs. At be used for the sliding surface of the active and passive
times some adjustment in the direction of the lateral earth wedges when such surfaces give the critical active and pas-
forces facilitates closure also. An example of a trial force sive forces.
polygon and the closing force polygons is shown in Fig. A sliding block analysis and an analysis by the slices
9- 19. method for a circular sliding surface approximating the
Computer solutions for the above-described slices composite planar surfaces of the sliding block will give
method of stability analysis are available. One of the first comparable factors of safety, provided comparable
was that of Morgenstern and Price.? When computer so- strengths are used for lengths along the circular surface and
lutions are used, it is well to display graphically the failure along the composite planar surfaces that are comparable.

Pl-
w

TRIAL CLOSIriG

Figure 9-19. Method of slices-rrial and closing force polygons. Figure 9-20. Sliding block anulysis.
 EARTHFILL DAM DESIGN AND ANALYSIS 219

In all methods of limit equilibrium stability analysis it is material. Undisturbed samples of softer materials can bc
critical that the shear strength used in the analysis be the obtained using stationary piston thin-wall tube samplers.
proper one for the case being analyzed, as determination Stiff materials may be sampled using a Denison double-
of the proper strength is the key part of a stability analysis. tube core banel with liners. If the material is saturated in
Laboratory tests for determination of the shear strength situ, it should be saturated in the laboratory with back pres-
must duplicate site loading and drainage conditions. The sure. To determine the in-situ consolidated undrained
basic types of tests are: unconsolidated (under overbunden strength ideally, the material should be consolidated to the
loading) undrained (during shear loading)-the UU test; anisotropic consolidation conditions obtaining in situ. Al-
consolidated undrained-the CU test; and consolidated tematively, the soil may be consolidated to an all-around
drained-the CD test. Consolidation in consolidated un- pressure, which is the average of 01. &tld o3..
drained tests may be under all-around equal loading, that When earthfill materials contain gravel and cobble sizes,
is, the three major principal stresses are equal, ok = o?, large specimens must be tested, and such testing equipment
= o3ri or consolidation may be under anisotropic condi- generally is not readily available. The diameter of a spec-
tions where 06 ) o2": o3". ID all consolidated undrained imen should be at least six times the diameter of the max-
tests on materials saturated in situ, it is essential that the imum-size particle, and preferably eight times. An approx-
soil be 100% saturated; otherwise, larger shear strengths imation of the shear strength of clean coarse granular
generally will be obtained than actually occur in situ. Dur- material can be determined by testing a model material with
ing consolidated undrained tests, it is customary to mea- particles of the same shape and mineralogical content as
sure pore pressures. With these pore pressures known, the the prototype particles, but with all particles being some
effective angle of friction, d', can be determined. For nor- fraction of the size of the particles in the protorype mate-
mally consolidated soils, a plot of shear strength versus rial. A report on such testing is given by Lowe.E
effective normal stress usually passes through the origin; On the other hand, if the material is widely graded from
effective cohesion is zero. For soils that are overconsoli- coarse to fine particles, it may be possible to approximate
dated, by either loading or compaction, the best-fitting the strength of the prototype material by testing its matrix
straight line for the plot of shear strength versus effective material. Generally if the fine fraction amounts to 307o or
normal stress in the range below overconsolidation fre- more of the total material, it acts as a matrix and controls
quently intercepts the ordinate axis, resulting in a small the strength of the total material. This is particularly true
effective cohesion. Unless consolidated undrained sheartest ifthere is a break in the grain size curve indicating that the
data show effective stress plots passing through the origin prototype is a mix of materials from two different geolog-
or having only a small cohesion intercept, and have effec- ical sources. If the matrix material is tested at the unit
tive friction angles typical for the material being tested, the weight at which it occurs in the compacted prototype ma-
data should not be used until a satisfactory explanation for terial, it should give a reasonable approximation of the
the discrepancies is obtained. strength of the prototype material.
In consolidated undrained tests with pore-pressure mea- Control of drainage during shear can be done far better
surements, the pore-pressure coefficients /y and B can be in the triaxial test than in the direct shear test; thus the
determined. Coefficient z{y is the ratio of pore pressure at triaxial test generally should be used for determination of
failure to the deviator stress causing failure. For normally shear strength. Slow direct shear tests may be used for de-
consolidated soils it varies from about 0.7 to 1.0; the greater termination of the effective angle of friction and for deter-
the plasticity of a soil, the higher the ^47 value. For soils mination of the residual strength of certain clay soils. The
that are 100% saturated, coefficient B should be 1.0. The determination of residual shear stren-eth requires very large
coefficients are useful for predicting porc pressures in the strains, and special direct shear test apparatus is needed.
field and for conducting stability analyses using effective The apparatus may have an annular shear box or a shear
stresses; also, coefficient B is useful in checking for 100% box that can shear back and forth.
saturation in the laboratory. If a small increase of all-around The triaxial shear test should duplicate the major and
pressure is applied to the triaxial test specimen under un- minor principal stresses that occur in the field. The prin-
drained conditions, an exactly equal increase in pore pres- cipal stresses that occur along a typical failure surface are
sure should result. shown in Fig. 9-2 t. These are the orientations of principal
The shear strength of proposed embankment materials is stresses at the time of theoretical failure, that is, when the
determined by tests on specimens compacted to the unit actual shear strength, s, has been divided by the factor of
weight proposed for the earthfill material. Saturation for safety to give the shear resistance clevcloped, sp. A factor
consolidated undrained specimens is achieved by using of safety is provided to take care of inaccuracies that occur
back pressures of 100 psi (690 kPa) or more as necessary. in location of the most critical failure surface and in the
The shear strength of existing foundation and embank- method of slices analyses, as well as in the determination
ment materials is determined on undisturbed samples of the of shear strength. However, uncertainties regarding shear
280 ADVANCED OAM ENGINEERING FOR OESIGN. CONSTRUCTION, AND REHABILITATION

struction, is illustrated in Fig. 9-22. The dam is con-

structed in layers, with each layer compacted in a narrow
range of water contents close to the optimum water content
for compaction. Under these conditions the embankmcnt
material usually has a degree of saturation in the range of
85 to 95%. As construction proceeds, the dam rises pro-
gressively to levels B, C, and D" and more and more load
is applied to the element. Initially, when the element is
placed, the directions of the major and minor principal
stresses are vertical and horizontal, respectively. By the
time the end of construction is reached, the principal
Figure 9-2 l. Principal stresses along failurc surface.
stresses have rotated until they are close to the orientations
required for failure of the element on the assumed failure
strength are by far the greatest; so the factor of safety can plane. If, at the end of construction, the factor of safety
be considered primarily intended for it. were 1.0, then the orientations would be those required for
failure of the element on the assumed failure plane.
Construction Case A conservative assumption to make for material of rel-
atively low permeability. say less than l0-3 cm/sec, is
The sequence of loading that an element on ihe prototype that no drainage will occur during construction. On this
assumed failure surface undergoes, up to the end of con- basis the triaxial test specimen is tested without drainage.

(il FI€LO 5€OUENCE QICONY€NTIOilAL LAAORATORT

PROC€OURE
- IA q'
'1'I;
r'q
#
tqi

,r
th
1/
Codwctd
(qs*tstd
,r,*-/ t
fr il,r^W
Conwctd Le*n
b@rroAd ffiibtd
&aoo tt* @14
udil loilu.;udroqd

IJ) R€SULT5 OF UUU TRIAXIAL T€ST

lr1

-//
--L

I
al Normdl 5 lrcss

Figure 9-22. Construction case-stresses and shear strength determination.

 EARTHFILL DAM OESIGN AND ANATYSIS 281

An all-around equal pressure is applied first, and then a der the steady seepage condition is illustrated in Fig. 9-23.
deviator stress is applied and increased until 15 to 2O% Generally, under steady seepage conditions the down-
strain is reached, again without drainage. stream portion of thc dam remains dry because the dam has
The results of a series of UU tests are represented by the either a free-draining downstream shell or a chimney drain.
UU envelope of Fig. 9-22. Also shown are the applied The core, however, after compaction and being subjected
stress and effective stress Mohr failure circles for a single to the weight of overlying material, becomes saturated un-
test. The shear strength is determined by the point of tan- der the steady seepage condition and readjusts (consoli-
gency of the effective stress Mohr failure circle and the dates) under this latter loading. Under such circumstances
effective angle of internal friction. The UU s v€6us 06en- the consolidated drained strength of both the core and shell
velope is not tangent to the applied stress Mohr failure en- materials may be used in the stability analysis.
velopes but rather through the points where the 45 + 6' f 2 The consolidated drained shear strength test would also
line intersects the circles of the series of tests. The differ- be representative of conditions for the upstream slope for
ence between the applied stresses and the effective stresses the case of steady seepage, and for the case where the up-
of a test at failure is the pore pressure that occurs at failure, stream slope is dry for a long period of time.
rg. Normally pore pressures are not measured in UU tests. The critical reservoir level for stability of the upstream
The effective friction angle is obtained from CU tests with slope under steady seepage conditions is at partial pool. At
pore pressure measurement or from fully drained direct full pool the driving weight of most of the upper part of the
shear tests. The pore pressure developed at. failure, a7. is sliding mass would be computed on the basis of the sub-
positive (compressive) for all points on the UU envelope merged unit weight of the material, whereas under partial
to the right of the effective friction angle line and negative pool conditions it would be computed on the basis of the
(tensile) for all points to the left. The UU test automatically wet unit weight of the material, which would be about two
incorporates the effects of pore-pressure development. The times as great as the submerged unit weight. Stability anal-
factor of safety is in effect applied to the shear strength yses have to be made at several paftial-pool levels to de-
determined by the effective normal stress on the failure termine the level resulting in the lowest factor of safety.
plane, o6', and the effective friction angle. The effective Where seepage is occurring in the sliding mass. the water
normal stress is the total normal stress developed on the forces on the sides and bottom of slices should be obtained
failure plane at time of failure, og, minus the pore pressure from a proper flow net. Because stratification occurs una-
at failure, ay. voidably in compacted embankment material, the flow net
generally should be drawn on a transformed section having
s c, on! tan $' a ratio of horizontal to vertical permeability of at least 9
,r:F:F_ F and perhaps 100 or more if appropriate. The transformed
flow net should be brought back to natural scale for use in
Limit equilibrium analyses carried out using the UU determining water pressures on the slices.
strength envelope for shear strength will give the factor of
safety for the construction case. As time passes and the Rapid Drawdown Case
positive pore pressures dissipate, the factor of safety will
improve. Reservoirs may be drawn down in a matter of days or
If there is a possibility that prototype pore pressures may weeks. Under such rates of drawdown, practically no
be greater than those that developed during the UU tests drainage of impervious earthfill material occuts. Thus the
because greater water contents or lesser degrees of com- assumption of hypothetical instantaneous drawdown is not
paction obtain during construction than in the laboratory unreasonable for analysis. The critical situation occurs
tests, it is prudent to install piezometers in the earthfill to when a reservoir has been at high level for an appreciable
check on pore-pressure development. For the case where period of time so that the embankment material has come
the laboratory test specimen is at the same dry unit weight to equilibrium (consolidated) under the high reservoir con-
as the prototype, the laboratory test indicates that failure dition. Generally, the upstreanr face of the impervious zone
would occur at pore pressure ao. The most likely location of the dam is critical for stability. The deeper the sliding
for development of high pore pressures is in the central surface is assumed in the impervious zone, the larger the
portion of the dam where the weight of overlying material seepage force applied to the sliding nlass at time of con-
is the greatest. solidation under high reservoir. The result is that the deeper
the sliding surface is, the greater its consolidation load, ancl
thus the greater its shearing strength as compared with ma-
Steady Seepage and Partial Pool Cases
terial at the face of the impervious zone. The critical po-
The sequence of loading that an element on the prototype tential sliding surface for a dam with central impervious
assumed failure surface undergoes until consolidation un- core and free-draining upstream shell is shown in Fig.
 242 ADVANCED DAM ENG]NEERING FOR DESIGN, CONSTRUCTION. ANO REHABILITATION

(D-FIELD SEOUENCE 14cotvv€ilrtoNAL LAS0RATORT

la lo'o;
_v
N
CotlNH
t 8oitdcd
Coaslnrtoa
lod opplicd
Reservoir filled:
the molcrtblof corc
Cat.pa:tc< Al oround lhfur pfuPl
asotvord caBoli&o,
o;r'oJ

tlrcss hcrc6cd
qsofuroled, bccomcs solumlcd lad oppLl lill foilue- droiocd
drolcnol cotlsoli- ond coo solidolcd
undcr lhc slcdd,

'
sccpogc looding ./
I,}RESULTS OF
'CO TEST
condilioo-
/4:-
5
or
\c L

Droincd foilurc
t\ circlc

s\
a
g-''?
s
I

Figure 9-23. Steady seepage-stresses and shear strength determination.

9-24. ln the case of a dam with impervious upstream shell, to minor principal stresses at time of consolidation is 2.
the critical surface for sliding frequently is at a shallow Thus, depending upon the effective angle of internal fric-
depth below the riprap slope protection. tion and the factor of safety at high reservoir, the ratio of
The sequence of loading of an element on the prototype major to minor principal stresses at time of consolidation
assumed failure surface together with the laboratory test usually falls in the range 1.8 to 2.2.
procedure and results of ACU triaxial tests are also shown Proper testing requires that the test specimen be consol-
in Fig. 9-24. To determine the stresses under which the idated anisotropically to a ratio of major to minor principal
material along the rapid drawdown sliding surface is con- stresses ofabout 2 and then sheared undrained. Because all
solidated at time of high reservoir, it is necessary to carry materials initially tend to compress when the deviator stress
out a steady seepage type analysis for this surface under is increased to cause shearing, and many that are well com-
high reservoir. The consolidated drained strength would be pacted tend to expand in the later part of the test before 15
used in the steady seepage case analysis. From the analysis to 20% strain is reached, allowing consolidation under a
the shear stress, r/c, and the normal stress, o/c, on the po- major to minor principal stress ratio of about 2 tends to
tential failure surface are determined at time of consolida- eliminate much of the pore pressure that would develop
tion under high reservoir. The shear stress, r4, is equal to under the initial tendency for compression. If the soil tends
the shear strength developed, sp". The major and minor to expand as the principal stress ratio is increased from
principal stresses existing at the time of consolidation can about 2 to failure, tensile pore pressures would develop
be closely approximated by making the construction using instead of compressive pore pressures, and much greater
the 45 * $' f 2line, as shown in Fig. 9-25. If the effective strength would be obtained for the soil. Although the term
angle of internal friction is, say, 30o, then the ratio of ma- tensile pore pressures is used above, because of high back
jor to minor principal stresses at failure is 3. If the factor pressures used in testing, pore pressures measured in test-
of safety under high reservoir is 1.5, then the ratio of major ing are always reasonably high compressive pore pres-
 EARTHFILL DAM DESIGN AND ANATYSIS 283

Frcc &ahiq
thall
,ry38r l€vel olt€t
prd dru*dm

(I}- FI€LD S€OUENCE {* LA EORATOR Y PRA CEOU1E

ls, fic h t4 *ll ;

,1,c1/r.sl, Itl
lA 1S1*1M--"
,W I
^#'fli#"w 'ry'tr',fly
CfficlcC
uraucld
6,t^ain
bd q;d
@sotlcl4
ffaserwt
lill.d,
Nlcrbl
Otu$vd bC
cr7lid @dEfrd
lo ilv soluoled
ffi#,g tib cvt?W.*
!P{,"ffib
qdrorcd @hl
molciol bM| notsbl b tg\ te@? fo,l,rc xc6
Cetoldd gluftled, cqtdn@, frtuod
cqsdtdot$
qder ne( 72'ir:
B} RESULTS OFACU TilAXIALTESTS

O.
Kc'oo

#
/r,t
/
,/t'
forol ond €ffcclirc
Foilurc Circlcs
Coincide ol uS: O
y'r
\\

ll Consolidolion Circle
Kc= 2'o \
I
I

Figure 9-24. Rapid drawdown-stresses and shear strength detemlination.

sures. Tensile pressure in this case amounts to a reduction

in compression.
A plot can be made of shear strength versus nolrnal stress
on the failure plane at time of consolidation, as shown by
the heavy solid line in Fig. 9-24. This same figure shows
the Mohr circles for consolidation and for failure for the
particular point where no excess pore pressure exists at the
time of failure. For ACU tests at lower consolidation pres-
(,
2_ sures (same anisotropic consolidation ratio). negative Pore
(r pressures develop during shearing, and for tests at higher
t!
consolidation pressures, compressive pore pressures de-
o
velop.
Because air bubbles may come out of the pore water in
nature when compressive porc water pressures are reduced
significantly, it is conservative not to rely on shear strengths
greater than the Limit Line shown in Fig. 9-24. The shear
Figurc 9-25. Relationship of the resultant stress on potential failure sur'
strength used in the limit equilibriunr analysis would then
face to principal stresses. be represented by the heavy line portion of the Linit Line
 284 AOVANCED DAM ENGINEER]NG FOR OESIGN, CONSTRUCTION. AND REHABILITATION

and the portion of the J versus or plot to the right of the copyright 1979 (1982) (1985), and elsewhcre. The hori-
Limit Line. Different r versus o/r plots and Limit Lines zontal seismic load is the weight of the slice times the coef-
would be obtained for different anisotropic consolidation ficient. At times an upward vertical seismic load is also
ratios. Interpolation between the results of tests at two, or applied to each slice concurrent with the horizontal seismic
possibly three, different anisotropic consolidation ratios can load. The magnitude of the vertical load is generally taken
be done to obtain the shear strengths for the actual aniso- as one-half the magnitude of the horizontal load.
tropic consolidation determined in the high reservoir limit The analysis as developed by Seedro is made in a manner
equilibrium analysis. similar to the rapid drawdown analysis described above.
If anisotropically consolidated undrained tests are not That is, the normal stress on the failure plane at time of
available, but conventional all-around equal prcssure con- consolidation prior to the earthquake togethcr with the ma-
solidated undrained tests are, a close approximation of jor to minor principal stress ratio is determined first. Then
ACU strengths can be computed from the conventional CU the stability analysis is made, including the earthquake
tests. From pore-pressure measurements made during the loads and using the undrained shear strength for the above-
progress of a conventional CU test, the ratio of major to mentioned normal stress and principal stress ratio. Gener-
minor principal stresses can be computed. Their ratio starts ally it is found that if an earthfill dam and its foundation
at 1.0 and increases progressively to the failure value, usu- do not contain liquefiable materials, and if the limit equi-
ally in the range of 2.5 to 3.5 for impervious materials. librium factors of safety are equal to or greater than the
The shear strength obtained in the test may b.e considered minimum specified in the table in the introduction to this
to apply to the normal stress on the failure plane accom- section (particularly for the cases of steady seepage), lim-
panying each ratio of major to minor effective principal ited deformation and slumping of the dam will result during
stresses occurring during the test. In a similar manner if an earthquake loading. Movement on limit equilibrium slip
ACU test were performed at a ratio of 1.5, when the ratio surfaces would occur only for the portion of seismic ac-
reached 2.0 it could be assumed that the shear strength also celerations in excess of the acceleration corresponding to
applied to that ratio and the intergranular normal stress act- the horizontal load required for a factor of safety of 1.0.
ing at that time upon the ultimate failure plane in the test. Further information on stability analysis is provided in
The ultimate failure plane makes an angle of 45 + g' f2 reference I [.
with the major principal stress plane.
An example of stability computations for the rapid draw- List of Symbols
down case is given in pp. 18-47 of reference 9.
A Pore pressure coemcient
Earthquake Loading ACU Anisotropically consolidated undrained
shear
A pseudostatic limit equilibrium stability analysis can be B Pore pressure coefficient
made for earthquake loading. Generally, a horizontal seis- c Shear strength parameter, "cohesion"
mic load is applied to each slice of the analysis, the mag- force per unit area
nitude of the load depending upon the seismic zone in which c' Shear strength parameter, "cohesion"
the dam is located. A tabulation of seismic coefficients is force per unit area, used in effective stress
given below:
expression
Seismic Sersmic Cp Developed "cohesion" force per unit area
zone Description of seismic zone coeficient C "Cohesive" force
I Minor damage, distant earthquakes may 0.005 CD Developed "cohesive" force
cause damage to structures with CD Consolidated drained shear
fundamental periods greater than 1.0 sec; CU Consolidated undrained shear
corresponds to intensities V and VI of E^, Eu E, E* Earth pressure forces (acting on the sides
the Modified Mercalli scale.
2 of slices or blocks)
Moderate damage; corresponds to 0. l0
Modificd Mercalli Scale Vll. F Factor of safety
3 Major damage; corresponds to Modified 0. r5 i Slope angle
Mercalli Scale VIll and highcr. J Seepage force
4 Those areas within Zone 3 detcrmincd by 0.20 K" Ratio of major to minor principal stress at
the proximity to ccnain nrajor fault
the end of consolidation
systenrs.
L Length
A seismic risk map showing the four zones for the United N Normal force
States is given in the "Uniform Building Code," published P, P^, Pc, Pp Reaction forces, acting on the failure sur-
by the International Conference of Building Oflicials, face
 EARTHFILI DAM DESIGN AND ANALYSIS 285

Pt "Frictional" part of reaction force acting 6' Shear strength parameter, "angle of fric-
on the failure surface tion."used in effective stress expression
s Shearing strength per unit area 6o' Developed "angle of friction" effective
Sp Developed shearing strength per unit area o Normal stress
.s Resisting shear force o' Effective normal stress
sD Developed resisting shear force O1' O3 Major and minor principal stresses
T Tangential force 01', 03' Effective major and minor principal
u stresses
Porc pressure
uf
og6' o2q, O3, Principal stresses at the end of consoli-
Pore pressure at failure
dation
up Pore pressure at load application
ok Normal stress on the failure plane at the
UR, UL, UB Water forces acting on the sides and bot-
end of consolidation
toms of slices or blocks
o rf, olf Major and minor principal stresses at flail-
UU Unconsolidated, undrained shear ure
W Weight force of, Normal stress on the failure plane at fail-
a Angle of obliquity, inclination of result- ure
ant stress to normal oj Effective normal stress on the failure plane
,Y
Unit weight at failure
?sat Saturated unit weight 7 Shearing stress
Tsubm Submerged unit weight rk Shearing stress on the failure plane at end
lw Unit weight of warer of consolidation
6 Shear strength parameter, "angle of fric- 0l 45o + 6'f 2, inclination of failure plane
tion" to the major principal plane

SPECIAL CONSIDERATIONS
Roernr B. JexseN

Differential Settlement and Cracking compressible adjacent zones. Arching may also occur over
foundation soils subject to settlement when saturated.
An earthfill dam may be susceptible to cracking under cer- Longitudinal cracking may result from settlement of up-
tain circumstances. As not all cracking can be prevented, stream shells due to initial saturation by the reservoir or
the design must incorporate provisions to minimize the ad- due to drawdown. It may also be caused by differential
verse effects. Transverse cracking is of primary concern. consolidation in adjacent materials or by seismic shaking.
This may be caused by tension related to differential em- Although any tendency of the embankment to crack must
bankment settlement or to differential foundation consoli- be carefully assessed, strictest attention must be directed
dation. It may also result from shrinkage. Differential set- to those parts ofthe dam where seepage paths through frac-
tlement may be most severe at steep abutments or at tures would be short and direct.
adjoining structures where compaction is difficult. Fill The potential tension zones in an earthfill danr can be
placed against irregular rock foundations or concrete sur- analyzed by the finite-element merhod, taking into account
faces should have enough plasticity to accommodate move- the boundary conditions and the stress-strain characteris-
ment without severe cracking. Differential settlement in the tics of materials, Such analyses have shown that suscepti-
lower part of the embankment is usually not of serious con- bility to cracking can be reduced by (l) eareful shaping of
sequence, because of high compression and the relatively thc foundation and srructural intertaces, (2) thorough com-
broad section. In contrast, at and near the top there is not paction of the upstreanr shell to mininrizc settlenrent from
much confining weight to oppose tensile cracking, and saturation, (3) selcction and treatmcnt of core materials in
transverse seepage paths are short. Filter protection in these the uppcr part of the dam to ensure relatively high plastic-
areas may be essential. ity, and (4) stagcd consrruction to lessen the ellects of ser-
Horizontal cracking of the impervious zone may be tlement of the foundation and the lower parts of the enr-
caused by its tendency to settle and arch across the less bankment.
 286 ADVANCED DAM ENGINEERING FOR OESIGN, CONSTRUCTION, AND REHABILITATION

Wherc prevention of cracks cannot be ensured. as in The real margin of safety is measured by the rcsidual frce-
cases of shrinkage or seismic impact, wide transition or board.
filter zones may be valuable safeguards. Full consideration To evaluate the capability of an embankment under
must be given to the vulnerability of the upper part of an earthquake loading, an estimate can be made of the yield
earthfill to transverse cracking and to separation at the con- acceleration at which initial significant mass deformation
tact with the abutment. Because leakage paths are short, would occur. Then the cumulative displacement due to mo-
and intemal embankment pressures may be too low to close tions above this threshold can be computed. This will de-
cracks at that level, special prccautions are required. A pend upon the time history of foundation and dam motion
well-graded sand and fine gravel mixture placed as a zone during the earthquake. The response of a dam to a strong
on the upstream side ofthe core can be an effective stopper shake relates to its ability to dissipate energy. It will tend
for cracks. to resonate with ground motions that have periods equal to
its own. Hence. cumulative deformation should be esti-
mated by consideration of all the embankment properties
Hydraulic Fracturing
and the total pattern of the postulated earthquake.
Hydraulic fracturing of the cores of embankment dams has In making a simplified deformation estimate, the yield
been known to be caused by excessive fluid pressures in- acceleration can be calculated by pseudostatic analysis. For
troduced while dritling. Some authorities also suggest that this purpose, the consolidated undrained (CU) strength is
hydraulic fracturing of impervious earthfill zones com- customarily used for materials that are not highly perrnea-
monly develops as a result of reservoir water pressures.12 ble. The potential increase in pore pressures due to shak-
Preexisting unbonded internal faces could be separated ing, which is not accounted for in the conventional CU
where water pressurcs exceed earth pressures. New cracks test, can be factored into the analysis by using a lower
could propagate where water pressures exceed earth pres- strength, sometimes recommended to be about 80 to 90%
sures, and the strenglh of the materials is insufficient to of the laboratory-indicated CU strength. However, many
prevent cracking. Such conditions could exist as a result of soils, including some sandy clays and certain dense cohe-
arching of the fill at structural interfaces or at abrupt sionless materials, will retain essentially the total original
changes in the foundation contact profile, or as a result of strength, even under sustained cyclic loading.
arching of a relatively narrow vertical core between the ad- The yield acceleration has often been assumed as con-
joining zones. Calculations by the finite-element method stant for purpose of simplified analysis. However, it really
have indicated that even a small differential settlement may varies with the resistance along the assumed slip surface,
. reduce embankment pressures sufficiently to allow hy- which increases or decreases in response tp the earthquake
draulic fracturing. Low earth pressures may also result from motions and to pore-pressure variations. In a more com-
shrinkage of the core material. Because of these various prehensive analysis, these factors must be taken into ac-
possibilities, some geotechnical specialists believe that hy- count. For some kinds of soils, particularly those in which
draulic fracturing occurs in embankment dams of nearly substantial pore pressures may be induced by seismic
any size, and in both cohesive and cohesionless core ma- forces, yielding may occur over a range of accelerations.
terials. Most earthfills can accommodate such cracking to In some embankment zones assumed to be free-draining,
a considerable extent without detrimental leakage. The es- there actually may be enough fine-grained material from
sential safeguard against the consequences of any kind of natural grain-size distribution or from segregation or crush-
cracking is a fully intercepting system of filters and drains. ing to limit pore-pressure dissipation under dynamic load-
ing.
Simplified Estimating of Deformation under Seismic If an earthfill and its foundation are not susceptible to
Loading liquefaction, deformation can be expected generally to be
within tolerable limits if all of the following conditions ap-
An essential measure of the adequacy of an embankment ply:t3
is its ability to deform safely within prescribed limits. Al-
though conventional safety factoB are useful indicators, the l. The embankment is well compacted.
evaluation of an important dam should not be regarded as 2. Peak bedrock acceleration is not higher than 0.2 g.
complete until its potential deformation under extreme 3. The dam slopes are not steeper than 3: l.
loadings has been considered. 4. The static factor of safety is not less than 1.5 with
A factor of safety greater than unity, as determined by reservoir full.
conventional pseudostatic (seismic coefficient) analysis, 5. The design freeboard is at least 2Vo sf the dam height.
does not necessarily ensure that the dam will not be altered
by an earthquake. Any embankment may tend to deform to Franklin and Hynes-Grifhnra have reviewed the well-
some extent when subjected to severe seismic vibrations. known methods of Newmark.s' Makdisi-Seed,s8 and oth-
 EARTHFILL DAM OESIGN AND ANALYSIS 2A7

ers and have concluded that, unless there is a liquefaction measurcments is expanded. The term k-u in the Jansen equa-
potential, many embankments with acceptable static safety tion must take into account the factors that differentiate
factors would not undergo excessive displacement under earthfills from rockfills. and dumped rOckfills from zoned
seismic loading. They suggest a pseudostatic analysis for and compacted mckfills. The influence of the embankment
screening those dams with adequate earthquake resistance age and history also must be considered. For example, in-
from those requiring more extensive study. For pervious vestigators of Cogoti Dam concluded that the 1943 earth-
materials, they cite the Corps of Engineers' use of a com- quake in Chile precipitated settlement of the embankment
posite shear strength envelope based on the consolidated that possibly would have occurred eventually anyway. The
drained test at low confining pressures and the consolidated implication is that recurrence of such a quake would cause
undrained test at high confining pressures. This conserva- no more than minor settlement in the well-seasoned Cogoti
tively allows for possible dissipation of negative pore pres- embankment. This view appeam to conflict with recent ob-
sures in the dam that would not occur in an undrained test servations of La Villita Dam in Mexico, where progres-
in the laboratory. For materiais of low permeability, they sively increased settlement was recordcd in successive.
recommend use of the undrained strength envelope. comparable earthquakes.
The following equation has been developed by Jansen The methods that have been discussed are approximate,
for estimating the settlement of an embankment subjected and are applicable only where the potential for liquefaction
to acceleration greater than the yield threshold:15 is negligible. Because the quality of the materials in an
embankment will not be completely uniform, some local-

(J- x(M/ lo)r(k, - ized differences in performance must be expected within

k-")
(e-l )
t" zones of the dam. Also, the yield acceleration may vary
with time, depending on the changing condition of the em-
where: bankment and/or its foundation. For example, La Villita
(Jos6 Marfa Morelos) Dam is a 197-ft (60-meter)-high
U: total settlement in feet earth-and-rockfill embankment founded on alluvium (boul-
M: magnitude of earthquake ders, gravel, sand, and silt) as deep as about 250 ft (76
&- : maximum crest or neat-crest acceleration factor meters), through which an ICOS-type concrete cutoff wall
k, : average horizontal acceleration coefficient of the was extended into bedrock. The dam was completed in
potential sliding mass that results in a safety factor 1968. It has been subjected to several earthquakes, ofwhich
of 1.0 the more important were in 1979 (M,7.6), l98l (M,7.3),
X : an empirical coefficient and 1985 (M" 8.1 main shock followed by M, 7.5 after-
Y : an empirical exponent shock).16 The incremental crest settlements resulting from
these events were reported to be 4.5 cm in 1979, 14 cm in
Tentative values of X and Y, which appear to be repre- 1981, and 45 cm after the two 1985 shocks. The peak hor-
sentative for observed settlements, are l9 and 8, respec- izontal crest accelerations recorded in 1979 and 198 I were
tively. Using these values in equation (9-l), the estimated 0.38 g and 0.34 g, respectively. Comparable reported 1985
total settlement is: crest accelerations were 0.45 g in the main quake and 0.16
g in the aftershock. The increases in incremental settle-
U_
tg(M/to)E(k^ - k")
(e-2)
ments in l98l and 1985, compared with the settlement in
&ro't 1979, may be attributable partly to changes in ernbankment
and foundation capabilities following the earlier quakes. or
As a rough yardstick for estimating settlement caused by possibly to other influences. However, considering the
seismic shaking, this equation seems to give credible re- many factors involved, including the durations and orien-
sults, approximating the order of actual settlements in ma- tations of seismic loading, such differences in response may
jor events at Leroy Anderson and Coyote dams in northern be expected.
California; Santa Felicia Dam in southern California; Co- In contrast to the performance of La Villita Dant, the
goti, Culimo, and Lliu-Lliu dams in Chile; Infiernitlo and settlements of El Infiernillo Dam. a 492-ft ( 150-meter)'high
La Villita dams in Mexico; Miboro Dam in Japan; and rockfill in the same region, were not progressively greater
Hebgen Dam in Montana. Because the data base is small, in the cited events, even though its erest accelerations in
with no measured settlement greater than 6 ft, adjustment these earthquakes were comparable to those at La Villita.
of the coefficient and the exponents in the tentative equa- lts incremental settlement caused by the 1985 events was
tion undoubtedly will be advisable as the collection of field about I I cm. El Infiernillo Dam is foundecl on bedrock.
288 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABITITATTON

CASE HISTORIES
RtcHnno W. Knl,Nlsn

Sugar Pine Dam*Seismic Design A seismotectonic hazand evaluation was made for the
damsite with the following objectives:
The U.S. Bureau of Reclamation's Sugar Pine Dam is a
central-core rockfilldam, having a height of 184 ft (56 me-
ters) above streambed, a crest length of 594 ft (l8l me-
l. Define the regional geology and tectonic setting.
2. Evaluate the historical seismicity of the region.
ters), and a volume of approximately 980,000 yO3 IZSO,OOO
3. Assess the age and earthquake potential of faults in
m3; 1Figs. 9-2 and 9-26). Core material is of CL and ML
the immediate vicinity.
types, and the rockfill shells are of quarried serpentinite
4. Estimate the potential for other seismically induced
and excavated amphibolite.
hazards including surface faulting, slope failure, and
reservoir seiche.
Seismic Potential. Sugar Pine Dam is located in the
foothills segment of the relatively stable Sierra Nevada Several Maximum Credible Earthquakes (MCEs) were
block in California. Prior to the 1975 Oroville earthquake, proposed for estimation of potential ground motion at Sugar
the Foothills fault system, a north and northwest trending Pine damsite. Those of interest are:
system within the Sierran block, was considered seismi-
cally inactive. Following this event, however, it was real- l. The Melones fault, Richter magnitude {M) 6.5, at
ized that portions of the Foothills fault system, including an epicentral distance of 0.43 km.
the Melones fault, which passes immediately upstream of 2. The Tahoe fault, an M 7.5, at an epicentral distance
Sugar Pine damsite, may be seismically active. of 50 km.

Figurc 9-26. Sugar Pine Dam.

 EARTHFILL DAM DESIGN AND ANALYSIS 289

3. The San Andreas fault, an M 8.5. at an epicentral and longitudinal dircctions. Embankmcnt measurcment
distance of 205 km. All events considered were es- points, internal vertical movement (crossaml) dcviccs' in-
timated to have focal depths of 8 km. clinometeru, and extcnsometer monumcnts werc positioned
to provide detailed information at thosc locations whcrc
Earthquake-Resistant Design To compensate for the significant displacements might occur. Extensomcteni pro-
potential seismic effects, numerous earthquake-resistant vide an especially important rccord oI matcrial bchavior at
features were incorporated in the dam. The major deterrent the sensitive contact between the core and the spillway
to earthquake damage is the mass of the rockfill shell ma- walls. Porous tube, pneumatic, and hydraulic (twin tube)
terial. In addition, the core material was compacted to piezometers monitor embankment pore pressures.
100% of the Bureau's standard Proctor density. A key ele- Pneumatic total pressure cells measure stresses at se-
ment of the earthquake-resistant design is the system of lected points rvithin the embankment and allow the reso-
wide, graded filters and drains located upstream and down- lution of possible stress concentrations, which in conjunc-
stream of the central earthen core and beneath the down- tion with displacement measurements, aid in evaluating the
stream rockfill shell (Fig. 9-2). The upstream graded filter potential for cracking.
acts as a transition zone between the pervious rockfill shell Strong-motion instrumentation is designed to obtain data
and the impervious core, and prevents core fines from mi- on the nature of strong ground motion and on the perfor-
grating into the upstream shell during rapid drawdown. It mance of the dam when subjected to earthquake loading.
also will seal cracks that may develop in the core due to an Remote recording borehole-type strong-motion accelero-
earthquake, differential settlement, or cross-valley tensile graphs were located at several elevations within the em-
strai ns. bankment, and surface-type accelerographs were placed on
The downstream fine filter and chimney drain, Zone 2, the abutments.
serve to filtercore fines, carry normal seepage to the drains,
reduce seepage pressures, and will prevent concentrated Rockfill Test Section. In order to establish'compaction
flows from eroding the core if cracking should develop. requirements for the serpentinite rockfill material to be used
The fine filter has also been placed between the core and in the dam shell, a rockfill test section was constructed dur-
the downstream cutoff trench face to prevent movement of ing the design phase of the project. The test section was
the core fines into the foundation due to either normal intended to provide information about placement tech-
seepage or potential cracks resulting from earthquakes. A niques and the characteristics of the compacted rockfill, that
coarse filter and drain, Zone 2A, has been placed between is, optimum placement thickness and number of roller
lift
the fine filter and the rockfill material, Zone 3, to ensure passes, the density of the compacted rockfill. and the ex-
drainage capacity for concentrated flows. This drain ex- tent of the material breakdown under conrpaction. The
tends as a blanket beneath Zone 3 to transfer flow to the quarried rock selected for the test section had a maximum
downstream shell and toe. size of about 0.6 meter and contained an average 35% mi-
In the top 33 ft (10 meters) of the core, which would be nus 75 mm material. The test section was constructed with
particularly sensitive to cracking from an earthquake or to lift thicknesses of 0.6 meter and 0.9 meter. Measurements
differential or tensile cracking and to the erosive flows of of the lift surflace were taken after two, four, five, and eight
water, a more plastic impervious core material was used. passes ofa l0-ton (9072-kg) self-propelled vibratory roller.
The material is a mixture of core material and 57o by vol- In-place density tests were also made on each lift.
ume dry powdered bentonite. The resulting higher-plastic- The rockfill test section provided useful indications of
ity material was also placed as a l-meter layer along the material behavior and optimal placement methods. Test re-
bottom and upstream face of the cutoff trench. sults suggested that compaction in 0.6-meter lifts with four
Other earthquake-resistant features include larger than passes of the roller was the most efficient placement pro-
usual freeboard and a much widened contact between the cedure. Degradation of the serpentinite rockfill was not
core and the foundation. The crest width is 39.4 ft (12 me- found to be a problem. Additionally, the excess of fines
ters). naturally occurring in the quarried material was felt to in-
hibit compaction and the free-draining character of the
lnstrumentation. Sugar Pine Dam is comprehensively rockfill. Therefore, a zoned rockfill was designed with the
instrumented. The instrumentation package enables exten- outer shell comprised of plus 75 mnr material compacted
sive monitoring of embankment stresses, horizontal and in 0.9-meter lifts and the inner-zone consisting of minus
vertical displacements, and pore-water pressures in the em- 75 mm material compacted in 0'6'meter lifts.
bankment, abutments, and foundation. Information on em-
bankment seepage and seismic motion is also recorded. An Unique Spillway and Outlet Works Designs. The
array of instrumentation was specified to closely follow spillway is an ungated concrete crest with chute and ter-
embankment movements and settlements in the transverse minal structure. Topography ancl certain other restrictions
29O ADVANCED DAM ENGINEERING FOR O€SIGN, CONSTRUCTION. AND REHABILTTATION

dictated that the spillway be located on rhe left abutment has a structural height of about 95 ft (29 metes) and a crest
and terminate in the channel at an angle of approximately length of 7200 ft (2195 meters). The foundation for Cala-
60' with the existing stream. Because there was insuffi- mus Dam required comprehensive investigations, testing,
cient space to locate a normal hydraulic jump stilling basin analyses, and design to formulate the treatment required.
without seriously undercutting the dam, and a flip bucket Calamus Dam is near the southeastern edge of the Sand-
would have caused water to impact on the opposite abut- hills region, a rolling expanse of sand dunes and interdune
ment resulting in unacceptable erosion, another solution depressions that overlie extensive alluvial and fluvial de-
was necessary. posits, which in turn overlie the Ogallala Formation. The
Hydraulic model studies were undertaken to determine Ogallala Formation, an aquifer in the central United States,
the shape of a terminal structure that would (l) tum and consists of weakly indurated sands and silts interlayered
contain the flow forthe design flood and (2) provide energy with unconsolidated silts, sands, and gravels.
dissipation for the flow of a 1000-year flood.r7 The termi- The surficial deposits overlying the Ogallala Formation
nal structure emerged as a curved stilling basin with direc- are 30 to 150 ft (9 to 46 meters) thick and consist of fluvial
tional vanes, baffie blocks, and a high end sill. deposits in the old river channel (Fig. 9-28). On the abut-
Because of the steep gradient of the stream at the dam- ments, the alluvial-fluvial deposits have been capped by
site, the stream is approximately 92 ft (28 meters) below sand dunes that were derived from wind erosion of the ex-
the outlet works tunnel at the downstream end. Because of tensive Ogallala Formation and alluvial and fluvial deposits
the limited space available for an energy dissipator at stream in the area.
level, two-stage energy dissipation is utilized. Energy is
dissipated at the downstream portal in a stilling well with Design. The erodible nature of the foundation and avail-
a 54-in. (1372-mm) ported sleeve valve. The flow from the
able embankment materials, the highly variable perrnea-
stilling well is then discharged into a chute and flipped into bilities in foundation deposits, the moderately to highly
the stream channel for the second-stage dissipation. compressible peat and loess, and the sand dune deposits
were the significant physical features controlling the de-
Calamus Dam-Seepage Contro! Measures sign. The control of high volumes of seepage and the ex-
Dominant in Design and Construction cessive exit gradients in these erodible soils were major
factors compounding design requirements. Effects of con-
lntroduction. The U.S. Bureau of Reclamation's Cala- solidation of the foundation during and after construction
mus Dam (Fig. 9-27) on the Calamus River in Nebraska of the embankment were considered in the design of the
 EARTHFILL DAM OESIGN ANO ANALYSIS 291

lntrD.ddcd Sond ond 9liy Sond

Crcst ol oom tlat lvfk! Dunc Sond

originol ground P.ol

Lorss I rEAr
\
Sond ond Siliy Sond ->r--
---a---

Slntcrbcddcd
G\tl'-:t7.--V'
Fine Son<l ond Silt u----->--
-- ogollolo Fcmoiion /.a..,,-

Figure 9-28. Calamus Dam, profile looking downstreanr.

internal filter and drainage features. A three-dimensional excavated and prewetted to maximize compression during
seepage analysis was Perfonned to evaluate potential construction and correspondingly preclude collapse during
seepage volumes, gradients, exit locations, and control mea- reservoir filling. Diatomaceous earth and organic deposits
sures. The effects ofoutlet channels ofthe outlet works and were removed between the upstream limit of the loundation
spillway on seepage, and the colresponding effectiveness trench and the downstream toe of the dam.
of design features such as the slurry wall, impervious up-
stream blanket, chimney drain, toe drain, relief wells, and Upstream Blanket.
Natural deposits of peat. loess. and
downstream drainage blanket in controlling the seepage' clay offer variable degrees of impervious blanketing over
were evaluated. the reservoir floor. It was considered necessary to include
The permeability and density of foundation materials are an impervious blanket. -qenerally extending 800 to 1300 ft
shown in Table 9-1. Pump-out tests were used in conjunc- (240 to 400 meters) upstream of the centerline of the crest
tion with ring permeameter tests to evaluate Ks f Kv ratios' of the dam for the full length of the dam, to control en-
The slurry wall and the relief wells were modeled to trance conditions to the foundation and to increase the
evaluate their effects on seepage. The total flow for the length of the seepage path through the foundation.
right and left valley without slurry wall and relief wells was
calculated to be 37 cfs. The calculated seepage flow for the Slurry Wall. The decision to construct a slurry wall was
case with the slurry wall and relief wells was 34 cfs. Even made following extensive analyses. A major advantage of
though the calculated change in quantity was small, it was the slurry wall is that it provides a physical barrier in the
considered prudent to construct the features to mitigate the alluvium and minimizes Potential for uncontrolled seepage
potential for concentrated flows and their effects' and to through the foundation. Three-dimensional finite-element
provide some redundancy in a complex foundation' analyses indicated that the slurry wall would not. by itself,
reduce seepage quantities and exit gradients to be within
Foundation Trench. The foundation trench serves as a safe limits. The calculated reductions in seepage are less
cutoff through low-density silty sand surficial deposits, dis- than anticipated because of the relatively high permeability
persive clay strata near the left abutment, the upper portion of the Ogallala Formation. The combination o[ the fully
of loess deposits near the left abutment, diatomaceous earth penetrating slurry wall on the right bank with a partially
deposits, and highly compressible organic deposits varying penetrating slurry wall on the left bank was selected as the
in thickness up to 4.5 ft (1.4 meter). The lower-density most effective treatment.
dune sands were replaced with compacted earthfill for ap- The slurry wall was located upstream of the foundation
proximately 300 ft (90 meters) beyond the normal water trench because:
surface contacts with the abutments. The dispersive clay
o Analyses indicated the seepage and exit gradients are
stratum is isolated between the foundation trench at the
center of the dam and the collector drain trench at the not significantly influenced by the slurry wall loca-
downstream toe of the dam. The loess deposit was partially tion.
r There was concern for the stability of the slurry trench
located within the foundation trench.
Table 9-1. PermeabilitY. . The potential effects of failure ol the trench on the
Density Permeability embankment and rivcr outlct works structure had to
Ceologic units (tblfc) (ft /yr) K,, / K, be considercd.
o Construction of the slurry wall upstream would not
A, B, and C 81.8 to 103.6 15.000 r.5
D 103.6 to I 18.0 30,000 25 delay the completion of the foundation trench.
E 104.3 to I 15.5 12.000 50
F 100.5 to I18.0 140,000 t0 Toe Drain. The toe drain will intercept near-surfacc
3.500 25
CandH 91.8 to 126. I seepage near the toe of the dam. The toe drain was de-
 292 ADVANCED DAM ENGINEERTNG FOR DESIGN, CONSTRUCTION, AND REHAEILITATION

signed using a factor of five times flow predicted by model strcam horseshoe conduit containing a 9-ft pressurized steel
studies. pipe. At the river outlet works control srructure. the pipe
branches allow for releases to both the Calamus River and
Relief Wells. The construction of the relief wells is con- the Mirdan Canal. The Mirdan Canal has a 9-ft stecl-lined
sidered to be a very important feature in the design. These pressurized conduit.
wells will control exit gradients at the downstream toe. The Experience with similar structures on similar founda-
wells are variably spaced, depending upon the permeability tions has indicated that settlement can be anticipated. The
of the foundation materials, ranging from 50 ft in highly designs have allowed for settlement by providing steel con-
pervious coarse sand to 200 ft in fine-to-medium sand de- duit linen welded into a watertight conveyance system after
posits. The relief wells are fully penetrating to the Ogallala the embankment or backfill was placed to its full height
Formation. Relief wells designed for free flow and for above the structures. A drop structure was provided in the
pumping are located around the stilling basins for the river river channel to set the tailwater elevation for the spillway
outlet works and spillway. and river outlet works stilling basins. The "artificial" tail-
water prevents the highly erodible outlet channels from de-
Hydraulic Structures. The spillway is a morning-glory- grading to an elevation such that the stilling basins would
type structure, with a 20-ft-diameter steel-lined free-flow not operate as designed. The drop structure will establish
conduit. The river outlet works consist of a box+ype, l0- a control for exit gradients and will also prevent erosion of
foot steel-lined upstream conduit and a l4-ft 6-in. down- filter material in the outlet channels.

LTOUEFACTION AND RELATED PHENOMENA

Srsve J. Poulos

Currently there is a sense among members of the geotech- own study of the 1938 Fort Peck dam liquefaction and his
nical profession in civil engineering that there are different concept of "critical void ratio" in sands (which should not
schools of thought with respect to the mechanism causing be confused with the present use of the term ..critical
liquefaction and the appropriate methods for analyzing and state") had previously concluded that rhe likelihood ofliq-
designing to prevent liquefaction. Two of these schools can uefaction became greater as the consolidation pressure in-
be traced to differences between the use of the term lique- creased. He and his students in 1938 had measurcd a de-
faction by Professor Arthur Casagrande and his students at crease in the "critical void ratio" of sands with increasing
Harvard Univenity, of which the author is one, and the consolidation pressure, which meant that sand in the ground
use of the same term by Professor
H. Bolton Seed, himself at a given void ratio would behave more like a ..loose"
a former student of Professor Casagrande, and his students soil as the pressure was increased. Seeing the dichotomy
at Berkeley. between his long-held views and the results published by
The distinction arose originally when Seed and Leeas Seed and Lee he wondered why there was this apparent
published research on cyclic load tests on sands in which difference.
they measured momentary 100% pore pressures in labo- Gonzalo Castro, also a student of Arthur Casagrande,
ratory tests, with concomitant large cyclic strains. This demonstrated liquefaction, as Casagrande used the term. in
stage of the tests was referred to as "initial liquefaction," monotonically-loaded undrained tests, soon after the pub-
probably because at that time it was the prevalent feeling lication by Lee and Seed. Castroae also measured the de-
that liquefaction entailed near-zero shear strength and that crease in the "critical void ratio" with increasing pressure
100% pore pressure always meant zero shear strength. in undrained tests. That result had previously been ob-
Laboratory cyclic load tests were then used by those au- tained mainly in drained tests, and it was inferred fronr the
thors to analyze earthquake-triggered ..liquefaction. " results of undrained tests, but the nreasurements had not
Casagrande interpreted the data by Seed and Lee to mean been considered definitive. Castro was able to explain the
that resistance to "liquefaction," as Seed and Lee defined Fort Peek dam failure based on his test data.
it based on the laboratory cyclic load tests, increased with As a result of Castro's tests and his own evaluation of
consolidation pressure, since the cyclic shear stress needed the cyclic load tests on sands, Casagrande conclueled (a)
to reach a given strain in a given number of cycles in- that the large cyclic strains measured in the cyclic tests on
creased with confinement. But Casagrande, based on his sands were due largely to test error and probably did not
 EARTHFILL DAM DESTGN AND ANALYSIS 293

bear any relation to field behavior of sands at the same void 4. Whether the state of laboratory testing is satisfactory
ratio, and (b) that the development of 100% Pore Pressure to measure the undrained steady state strength. u/ith
in cyclic tests in the laboratory was essentially unrelated to sulficient accuracy for practical applications.
the mechanism of "liquefaction" in the field, as Casa- 4. Whethe r laboratory cyclic load tests can or should be
grande understood the term. used to predict liquefaction,
During the late 1960s Professor Casagrande tried to clar- 6. Whether and under what conditions laboratory cyclic
ify the situation by corresponding with various people in load tests are accurate enough to be useful for pre-
an attempt to reach consensus on terminology. The term dicting deformations due to earthquake shaking,
"cyclic mobility" was introduced and apparently accepted 7. Whether the condition of 100% pore pressure in-
by many as the name of the phenomenon of large strains duced by cyclic loading in the laboratory means the
that occur during cyclic loading of saturated soils, partic- strength of the soil is zero and whether that condition
ularly sands, in the laboratory. is or is not related to liquefaction in'situ, and
During this period the author, then teaching at Harvard, 8. Whether the state of the art is sufficiently modest that
recognized that the results of cyclic load tests being re- we should rely at present principally on index tests
ported at that time, whether they were or were not an ac- (such as blowcounts) measured for past cases in
curate representation of field behavior, were measurements which "liquefaction" or other inadequate behavior
of deformations, not of stability failure. The author had occurred on level ground during earthquake to judge
suggested use of the term ''cyclic deformation" to refer to whether measures need be taken to modify a design
the movements measured in cyclic load tests. Thus "liq- or an existing embankment to avoid liquefaction-
uefaction" as observed by Seed and Lee in undrained cyclic whatever its definition may be.
load tests and "liquefaction" as it was observed by Castro
in undrained monotonic tests were two different phenom- The author has attempted to clarify the above questions
ena. One was a phenomenon of excessive deformation and in the following section based on the complementary prin-
the other was a stability failure. ciples of effective stress and steady state deformation. Much
The author taught the above information in a course on more work needs to be done to improve laboratory and field
stability analysis in the fall of 1969, making clear the dis- testing for design for both the stability problem and the
tinction between strength and deformation problems with deformation problem and to disseminate understanding of
the aid of the concept of steady state deformation, which this interesting and wide-ranging subject among geotech-
he had introduced in 1968.re Based on the steady state of nical engineers.
deformation, one can understand within a consistent frame The term liquefaction has been associated with the fail-
of reference the behavior of soils in (l) undrained cyclic ure ofdeposits ofsaturated loose sands and "quick" clays.
load tests leading to large deformations with or without sta- In this section the phenomena that occur due to seismic
bility failure (even though 100% pore pressure can develop loading of saturated soils at all densities will be described.
momentarily in some cases) and (2) monotonic undrained Emphasis will be placed on the undrained shear behavior
triaxial tests in which stability failure occurs. Understand- of loose, saturated sands within and beneath embankments.
ing the principle of steady state deformation also permits The phenomena described are liquefaction, due to static
one to understand the cases for which progressive failure or seismic undrained loading, the "quick" or quicksand
becomes important in practice so that it can be taken into condition, sand blows, and deformation during seismic
account in stability analysis. loading. The phenomena that occur within a slope and be-
The author feels that the apparent differences among the neath level ground are discussed.
so-called "schools of thought" now revolve around the
following items: PART 1. PRINCIPLES

l. The definition of the term "liquefaction" itself- Effective Stress and Steady State Deformation
should it be used for a class of field phenomena in
loose, saturated soils or should it be applied only to The stress-strain behavior of soils and the phenomena gov-
the stability problem to which it was applied origi- erned by stress-strain behavior (e.g., liquefaction) require
nally, even though the mechanism was not then well understanding of two principles of particulate mechanics.
understood, These are the principle of effective strcss't'2-'and the prin-
le'20
2. The need to distinguish between stability and defor- ciple of steady state dcformation. .

mation problems for practical applications, The principlc of efl'ective stress may be stated as fol-
3. Whether or not earthquake shaking causes significant lows:
changes of the undrained steady state strength due to
redistribution of water content in situ in the soils that The strcss-strain behavior of soils is controlled by the effective
cause the failure, stress, which is defined as the load, P, transmitted through the
 294 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILTTATION

soil particles in a dircction normal to a total cross-sectional area, cepts of critical void ratioz' and residual strength.?:':6.:?
,{, divided by the area z{. This principle is useful for understanding the selection and
measurement of shear strength for stability analysis, which
This principle means that changes in the pore fluid pressure includes evaluation of liquefaction potential.
should have no effect on stress-strain properties, as long
as the effective stress remains unchanged. It also means
Factors that Control Stress-Strain Behavior of Soils
that the strength of uncemented soils will be zero if the
effective stress remains zero during shear. The variety of parameters that affect the stress-strain curves
The principle of steady state deformation may be stated of soils is conveniently divided into the following four fac-
as follows: torsl

There exists a unique steady state line for any given soil which o Soil composition
is the locus of points at which the soil mass can strain continu- o Structure
ously at constant: void ratio, shear stress, effective norrnal stress, . State
and strain rate. r Loading method
When a soil specimen is sheared to large enough strains
To remember these four factors, it is helpful to use the
to reach the steady state, the state (i.e., the shear stress,
acronym SSSL.
effective normal stress, and void ratio) will lie on a steady-
The stress-strain curve of a given soil specimen usually
state line that is unique foreach soil. A series of tests used
has both a peak and a steady state strength. Evaluation of
to determine the steady state line for one sand is shown in
stability is best done if one knows both of these strengths
Fig.9-29. At large strains, all tests ended up on a single
for the soils involved because the relationship between the
line.
two often govems the factor of safety that should be used
The steady state of deformation is reached at strains that
in design.
normally would be considered extremely large, and that
Table 9-2 is a breakdown of each of the four factors that
have been discussed in the past only in connection with
control stress-strain curves. Table 9-3 is a list oftests used
residual strength.2l'22'27 For clean sands, triaxial tests can
to measure the parameters, either quantitatively or quali-
be used to approach the steady state fairly closely, which
tatively.
is the case for the tests shown in Fig. 9-29.
The soil composition is the basic soil material. It is de-
The friction angle at steady state, d' generally is con-
fined by the grain size distribution, the grain sizes, the
stant for a wide range of effective stresses of interest in
shapes of the particles and the edges of the particles, the
engineering practice. It is a fundamental constant for each
mineralogy of the particles, the ions adsorbed on the sur-
soil.
faces, and the pore fluid, be it water or gas, together with
Corollaries to the principle of steady state deformation
the ions in the pore fluid and the water content. In other
are: (a) soil samples subjected to drained shear reach a cer-
words, the term soil refers to the basic soil material. This
tain steady-state void ratio that is a function only of the
term preferably should not be used to refer to the "struc-
effective minor principal stress,* and (b) soil samples sub-
ture" or the "state" of a particular sample.
jected to undrained shear reach a certain effective minor
The structure refers to the arrangement of the particles
principal stress at steady state that is a function only of the
within a specific soil sample in the ground or in the labo-
initial void ratio. In this sense the principles of effective
ratory. Structurt includes such parameters as the number
stress and steady state deformation are complementary
of contacts per grain and the manner in which the particles
principles governing the behavior of particulates, including
of the soil are packed or distributed.2s'2e qualitative terms
soils.
that have been used to describe structure include: undis-
The principle of steady state deformation was introduced
turbed, disturbed, remolded, compacted; flocculent,
in 1969.2a It is a generalization and clarification of the con-
honeycombed, single-grained; stratified, layered, lami-
+At steady state the effective minor principal strcss, 7r,. and the nated, varved; openwork; card-house, flocculated, defloc-
shear
stressr L, arc constant. Hence the effective major principal slress, 7,,. culated;3o and isotropic, anisotropic, Although structure
also is constant. being related to 83, and r, thruugh the steady state friction cannot yet be specified quantitatively. it nevertheless has a
angle, @,, as follows:
strong influence on the shapc ofthe stress-strain curve prior

.",=f.n.d, to reaching steady state delormation.

The structure of a sample has its most important influ-
=q,cosd, ence on the modulus of deformation, on the peak strength,
Thercfore, at steady state 73" or 7,, can be used as the intlepcndent vari- and on the decay of strength after peak, That is, the srruc-
able that represents effective normal stress. ture affects the first part of the stress-str.rin curve. Once a
 EARTHFILL DAM OESIGN AND ANALYSIS 295

0.9
(a)

O RIO
o.8 - o.o

o Rro
I
o.oet

t o.7
,E
AOY STAT L IN]
o
I

\36 { R o
;
G
o I

o 0'6
-o Rto2

LEGEN D

O Al and ofcon3olido ron

<
a Al tlcod, rlolG -rf
o293 Fros

o.5
Slop. of E, vt. C
a242
b.tr.ane:l5o/oond
25o/o , 9si / olo ,
Scolc I i^.2 ?o/o
e min

- = O.4 ? tat-l 8.6 pc

o.4 loo 200
o.l

EFFECTIVE MINOR PRINCIPAL STRESS, d. , Psi

loo
(b)

80

Q. '3t'to
a
a
'so
.l
bl
,l*
b-l
--R lO5
rr 40

>/
B
STEADY ST
LINE -F roz

20

x'o'
o 20 .o 60 80 loo l2o l4O 160

{'r,
-P=-;-,Ort
srress gath diagram. Both diagrams are needed to dofioo th€ sl€ady stale,

Figure 9-29. Determination of steady state line using undrained triaxial tests.
296 ADVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCTION, AND REHABILITATION

Table 9-2. Factors that lnfluence Strength Table 9-3. Tests for Observing or Measuring
Properties of Soils. Factors that lnfluence Strength Properties of Soils.
Factor Defi ning Characteristics Factor Typc of Mcasuremcnt

Soil composition Mineralogy Soil composition X-ray and diffcrrntial thermal analysis
Grain size and shape distribution Chemical and petrugraphic
Porc fluid type and content examination
Ions on grains and in pore fluid Surface area measurcment
Specific gravity of solids
Stnrcture La; ers. panings lanisotropy)
Gradation, grain shape. edge shape
Joints, slickensides. voids. inclusions.
Crain photographs
pockets (nonhomogeneity)
Pore fluid analysis
Cementation
Water content
Terms used: single-grained,
Atterberg limits
fl occulent, honeycombed,
Maximum and minimum density
undisturbed. remolded, compacted,
consolidated from liquid limit Structure Visual description of aoisotropy and
nonhomogeneities aided by
State (initial) Minor principaI effective stress
breaking a section or scraping and
Shear stress (stress ratio)
partial drying
Void ratio (density)
Photographs, microphotographs
. Degree of saturalion-computed
Etching
from water content and void ratio
Anisotropic properties: modulus.
Temperature
Poisson's rntio, strength
Loading method Effective stress path
State (initial) Density and specific gnvity
o Total srress path (test type)
. Degree of drainage (drained. Total stress minus pore pressure
(effective stress)
undrained. intermediate)
Shear stress
Type of loading
Temperature
o lrlagnitude (amplitude)
o Rate (static, dynamic) Loading method Consolidation ( l-D, 3-D. constant
o Time history (monotonic, stress ratio )
repeated, variable) Triaxial. direct shear. true triaxial.
simple shear, rotation shear,
Shear stength:
torsion. vane shear. unconfined.
c 'fhe pcak strengr[ in situ is affected by all the above factom to varying degrces, plane strain, cone. and torvane tests
o The srccd-y state stength in situ is dependent chiefly on the soil composition
and (a) the nomal effective stress for droined tests and (b) the void mlio for
Drained, undrained
urulrained tests . Static. repeated (cyclic). dynamic
Vibratory (axial, torsional) test for
Strength entelopes: moduli-resonant column test
o The peat srreng/r envelope plotted in tems of effective stress. i.e.. the enve-
lope of peak strengths measurcd for one soil at varying effeciive consolidation
stress. is usually affected by a// the factoN.
. Tests show that the sread) srdle slrengtlr envelope is affected only by soil com-
position- represents a shear strain, tan 7, of 400%. Small ground
movements can reflect strains not usually reached in the
sample has been sheared to very large strains, the initial laboratory tests most commonly used. Thus, natural phe-
structure has been completely destroyed and no longer has nomena, especially liquefaction, are governed not only by
any influence on the shear resistance or the rate of strain the shape of the stress-strain curve at low strain but also
under a given shear stress. In a sense, one can say that the by its shape at very large strains, that is, at the steady state
early part of the stress-strain curve is a response to the of deformation.
initial structure for the particular sample. At large strains The selection of strength for stability analysis generally
the sample loses all memory of its initial structure.2o has been based on the peak strength.lr Skemptonll pointed
During the history of development of soil mechanics, out that the drained steady state friction angle of stiff clays
most attention has been paid to the peak strength, which is (the residual friction angle) controls their ultimate stability.
measured at low strains, that is, at shear strains in the range In spite of Skenrpton's work, it is not yet gcnerdlly rec-
0 to 40%, which are low enough, in all but relatively clean ognized that the peak strength, which is greatly influenced
sands, so that the original structure of a sample is not by initial structure, whethcr nleasured in drained or un-
greatly altered by the shear stresses applied. Very large drained tests, is ephemeral-it can be lost. Only the steady
strains, well beyond those reachable in a triaxial test, fre- state strcngth can be relicd upon. The major effon of re-
quently occur in the ground and are responsible for fail- search in geotechnical engineering has been focused on the
ures. A movement of, say, I ft of a zone that is 3 in. thick factors aft'ecting the peak strength, that is, initial structure,
 EARTHFILL DAM DESIGN ANO ANALYSIS 297

state, and loading method; but stability ultimately is con- forming continuously. The specimcn must be subjectcd to
trolled by the steady state strength. shear strain to get it into a steady state of deformation.
.Slale is defined by the void ratio, effective normal stress, The above definitions show that the commonly used
and the shear stress on the sample just prior to the loading terms-loose, dense, overconsolidated, soft, and so on-
condition of interest in practice. Note that state, as the term describe the state of a specimen. From the standpoint of
is used for particulates, is related to but not the same as the understanding stress-strain behavior, they can be replaced
state of a fluid. For fluids the state is defined by two co- by more specific terrns, contractive and dilative.
ordinates-specific volume and pressure. (Temperature is The temperature of a sample during loading does not
assumed constant.) For particulates, one must add the ini- often enter into soil mechanics. However, the stress-strain
tial shear stress to define state. curve of a soil sample and its steady state of deformation
The above distinction between the state of a fluid and the can be expected to be affected by temperature.
state of a particulate (soil) is important for undentanding The loading method (or test method) refers to all param-
liquefaction, and it also permits a clear definition of the eters that define the loading condition. Loading conditions
difference between a liquid suspension and a loose soil. A of interest with respect to liquefaction include eanhquake
soil, or a particulate, may be defined as a collection of par- shaking, blasting, toe erosion, construction loadin-e, foun-
ticles packed at a dense enough state that they can sustain dation movement, and tidal action. The extreme loading
a shear stress even if the rate of strain is zero. conditions for soils in nature are drained (free flo*'of water
On the other hand, a liquid suspension of particles has during shear) and undrained (no volume change during
no shear strength when the strain rate is zero. As soils be- shear). Monotonic axial extension, axial compression, pure
come looser and looser, they eventually reach a condition shear, torsion, and direct shear represent various ways in
in which they become suspensions. Suspensions have vis- which the total stresses can be changed to shear a speci-
cosity. A clay at the liquid limit still has a very low shear men. Specimens sheared continuously in one direction
strength; hence it is still a soil. But a normally consolidated eventually will reach a steady state of deformation at large
quick clay, after it has been remolded completely but be- unidirectional strains. Cyclic and vibratory loadings,-be
fore any water is allowed to drain, can be so loose that it they regular or irregular, and the rate of monotonic loading
is a liquid suspension rather than a soil. Mexico City clay, or frequency of cyclic loading, if they are variables, also
which reaches void ratios as high as 16 (6% solids by vol- are needed to define the loading method. [f the temperature
ume) is essentially a liquid suspension after it is remolded. is changed during loading, it too forms part of the loading
Similarly, some quick clays have zero shear strength after method.
being remolded. In summary, to understand stress-strain behavior and to
The states of a specimen are described by a variety of interpret or predict the shape of stress-strain curves, one
terms. The telms to be used in this section are as follows:le should ask:

o Contactive state: that state in which a specimen tends o What is the soil composition?
to decrease in volume when subjected to pure shear o What is the initial structure of the soil sample?
stress. Such soils as undisturbed "quick" clays, Mex- o What is the initial state of the soil sample?
ico City clay, loose sands, normally consolidated . How will the sample be loaded?
(soft) glacial clays, and medium- to low-density sands
and silty sands generally are contractive. Specimens The Two Strengths of Soil Samples-Progressive
having a void ratio and effective stress above the Failure
steady state line in Fig.9-29a are chiefly contractive.
t Dilative state: that state in which a soil specimen tends In soil mechanics several definitions of shear strength have
to increase in volume when subjected to pure shear been used. But for a particular soil sample-as defined by
stress. Specimens that lie below the steady state line the soil composition, its structure, and state-subjected to
in Fig. 9-29a are chiefly dilative. Specimens at the a given loading, two strengths are significant in practice.
same void ratio may be dilative at low effective stress These are the shear resistance at peak and the shear resis-
and contractive at high effective stress. Stiff clays, tance during steady state deflormation. These two stages of
heavily overconsolidated clays, dense or medium- the stress-strain curve for a given sample and loading
dense sands, silty sands, and sandy or silty clays are method will be referred to as the peak shear strength (or
usually dilative. peak strength) and the stcady state shear strength (or steady
state strengrh).
When a specimen is prepared at a state lying on the When load is applied to a soil in the ground, it responds
steady state line in Fig. 9-29a, it is said to be in a neutral by straining along the stress-strain curve that exists at each
state. However, it is not at the steady state unless it is de- point in the ground for that loading. At any given point in
298 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHAEILITATION

that have a peak in their stress-strain curve. such as loose,

saturated sands sheared undrained. have such a low strain
at peak that one normally should not rely in practice on
being able to mobilize more resistance than that given by
i s, dL.3t.,u
Some soil samples in situ do not have a peak in the
stress-strain curve. For example, contractive bulky-grained
sands sheared drained have no peak. Their shear resistance
rises to the drained steady state strength without passing
Figurc 9-30. Stress-strain curves along failure surface in situ. undrained.
through a peak. Also dilative sands sheared undrained do
not usually display a peak. The stress-strain curve displays
a peak for most other cases.re Examples of soil samples
the gmund, the peak strength is reached first. As strain is that have both peak and steady state strengths are: quick
continued, the strain at peak strength is surpassed, and the clays sheared drained or undrained, contrdctive sands
resistance drops down toward the steady state strength. The sheared undrained, cemented soils (e.g., loess), normally
stress-strain curves also vary from point to point in any consolidated and overconsolidated clays sheared drained or
given embankment that is being loaded, as shown in Fig. undrained. and clayey silts sheared drained or undrained.
9-30. Thus the shear resistance that is mobilized along any For stability analysis of slopes containing soils that have
continuous potential failure surface varies widely from no peak in their stress-strain curves, progressive strain still
point to point. This variation in mobilized shear resistance occurs during loading; but this progressive strain only af-
often is referred to as progressive failure or progressive fects the deformations that develop at various stages of
strain.32-x It is evident that the maximum possible shear loading. If all the soils along the potential failure surface
resistance that can be simultaneously mobilized along a po- have stress-strain curves in situ with no peak, then the mass
tential failure surface is equal to the sum of the peak will be unstable when the loads exceed J S, dL. That is, the
strengths. Similarly, the minimum possible shear resis- metastable state does not exist if none of the stress-strain
tance that can be simultaneously mobilized is the sum of curves has a peak. The mass is either stable or unstable
the steady state strengths. under the in situ shear stresses.
Using the notation So for peak shear strength and S" for
steady state shear strength, the above limits can be defined
Stability and Deformation Problems in Geotechnical
as follows:
Engineering Practice

: It is convenient to separate stability and deformation prob-

Maximum shear resistance
ft,o, lems for the purpose of analysis. A stability problem is one
in which the soil fails. A deformation pmblem is one in
J* r.
Minimum shear resistance : which the supported structure fails or behaves poorly be-
cause of deformation, rather than failure, of the soils.le'33
where L is length along the potential failure surface. For example, footing settlement is a deformation problem.
Failure cannot occur, and the mass is stable, if the shear Bearing capacity is a stability problem.
stresses in the mass, integrated over the potential failure Figure 9-31 contains a list of typical stability and defor-
surface, I ra dL, are smaller than J S, dL. The value ra is mation problems. As load is applied to a mass of soil, it
called the driving shear stress. It is caused by any constant deforms and eventually fails. In the case of an earth dam,
loads on the mass, such as weight. Failure will always oc- the deformations that precede failure of the soil may cause
cur-the mass is unstable-if the integral of the driving settlement and cracking of the dam, a central core wall, or
shear stresses is greater than J S, dL. other structure supported thereon. If the deformations are
The analysis of stability of slopes, retaining walls, and large enough, the dam will not perform adequately, in
footings in geotechnical engineering practice is basically which case the deformations must be limited by flattening
an attempt to evaluate whether the loads exceed I Sn dL or slopes, densifying the soils, decreasing the loads, or de-
are less than J S, dL. lf the loads lie between these two signing or operating the dam to enable it to perform even
extremes, one must be cautious because the mass is meta- if the predicted deformations occur. Thus it is important to
stable. Such a mass can fail if the strains caused by the have procedures available to estimate embankment defor-
loading are sufficient to strain a sufficient portion of the mations.
potential failure surface beyond the peak strain. Clays re- To understand liquefaction and related phenomena, as
quire so much strain to reach steady state3s that a large they witl be described and defined in the following sec-
percentage of the quantity J S, dL often can be mobilized tions, it is helpful to separate deformation and stability
in situ, at least for short time periods.2l But clean sands problems for the purposes of design.
 EARTHF]LL DAM DESIGN AND ANALYSIS 299

STABILITY AND DEFORMATION PROBLEMS ples that are at a void ritio and effective stress that lies
IN GEOTECHNICAL ENGINEERING below the steady state line are dilative; that is. they tend
to increase in volume when subjected to shear stress. Sam-
ples that lie above the steady state line in Zone II, which
STABILITY DE FORMATION is between the steady state line and a horizontal line through
point Q, are contractive.* Zone III lies above the horizon-
BearlnS capaclty seEtlehenc of foocinE3 tal line through point O. Soil samples that are subjected to
SEabtllty Earth pregsures beaween acllve shear stress at initial states lying in Zone III are extremely
and passlve
Suddeo draudoHn contractive.
Movedent3 durlot €arEhquakes
ConscrucEion loads (excepc ltquefaccton) The steady state line is shown in Fig. 9-32 to intersect
Llquefactlon (flow Sheec lng d lsplacemenE the zero effective stress axis at point Q. Measurements have
slides)
CrackinS of burled plpe not been made in detail to demonstrate that this intersection
DurlnS, earEhquakes
AllouabIe plle load exists, or whether the intersection is really a trdnsition.
Durlng, construcclon (partlcularly end bearing,)
Physically, this point, or range rvhere the steady state line
other (c ldes, Eoe Pave[ent EovehenEs due to traffic
eros lon) frosc act(on, Eolsture change reaches zero effective stress, is the demarcation between a
Ex cavaE lon crackinq of dans liquid suspension of soil particles and a true soil. At void
ratios smaller than that at point Q, the soil has shear
Active pressure strength; that is, the mass can sustain a shear stress with a
Pags lve pressure strain rate of zero. A clay at the liquid limit is generally
PiIe capaclcy attributed an undrained shear strength of about 50 psf (2.5
(part lcularLy f ricc ion
piles) kPa), which is a very small shear strength.ls Thus the void
Cracking of daos ratio at the liquid limit probably is close to the void ratio
at point Q. For a perfectly spherically grained, mono-sized
Figure 9-31. Stability and deformation problems in geotechnical engi- sand, the void ratio just at the point when the grains no
neering.
lon-9er have to touch ifthey are subjected to undrained shear
is about O.g2.3e
At void ratios above point Q, the soil prior to shear is at
Distinction between Liquefaction and Related
such a loose state that it breaks down to a tiquid suspension
Phenomena Using the Steady State Line
when it is remolded (strained) in undrained shear. Al-
Figure 9-32 is an arithmetic plot of the projection of a though the sample has a peak stren-eth, its undrained steady
steady state line for a given soil on the plane of void ratio, state shear strength is zero. An example of a soil that would
e, versus effective minor principal stress, o3. lie in Zone III is Norwegian "quick" clay. After being
Figure 9-32 can be divided into three major zones of fully remolded, this material would display viscosity but
interest. ZoneI lies below the steady state line. Soil sam- would have no undrained shear strength. It would have
shear resistance only if the strain rate is greater than zero-
it would be viscous.
To summarize, soil samples having an initial state in
Zone I on the state diagram in Fig. 9-32 will be dilative.
z
They will increase in volume when subjected to drained
9 ro3!r!Lf - shear, and the effective normal stresses in the sample will
ErrPar€tY L@3f
I hatrrLtY-cEx€rlo increase if they are sheared undrained. Dense sands, heav-
I !rLrt
-+- o ily overconsolidated clays, and clay shales usually can be
expected to exist in nature at states in Zone I.
I

I
,orsrll[ -
= !oo3f 9ro! Soil samples having states in the ground that lie in Zone
$at cLlY!
-i
OF
ZONE II II generally will be contractive. When subjected to drained
FA CONTRACfIVE
Sur LAaGER OafOFrAl*! shear, their volume will decrease, and when subjected to
'O
ijo undrained shear, the effective normal stresses will de-
NO
STEAOY STATE LIN€

rc? @ratE -
oar!( gr0!. rThere is a narrow zone above thc steady state line (e, vs.7.,) in which
!'Llt lro CLIY!
soil srmples are (irst contractive and then dilative until they rcach the
Lrrltfo oa/oaulor! sleady stile tine. In some cascs the steady state line is crossed as dilation
occurs, but with further strain thc specimen returns to the stcady state
line.:o The line above which the specinrens arc contractive throughout
03 monotonic shear is called the dilative-contrretive bountJary. or DC'
boundary.lq lts position is a function of the sample's strueturc, state. and
Figure 9-32. Zones on the state diagram. lo;rding method uscd.
 3OO AOVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTTON. ANO REHAEILITATION

crease. Samples in Zone II will have a finite undrained rections. If the shear stresses are reversed a sufficicnt num-
shear strength when they reach the condition of steady state ber of times, the effective stress can momcntarily pass
deformation. Loose sands and silts and normally or lightly through zero. In laboratory triaxial and direct sample shear
overconsolidated clays, clayey silts, and silty clays gener- tests, this condition results in a rapid incrcase in
ally will lie in Zone II. strain45'48'4e for contractive specimens. It has been postu-
. Soil samples that are in Zone III in the ground might lated to occur in situ.50
include the "quick" clays, silts, and silty clays, Mexico The Z-condition occurs when the point representing the
City clay, and possibly extremely loose silts that are de- state of the specimen in Zones I or II in Fig. 9-32 moves
posited in such a manner that the bonds between particles to the left to the zero stress axis, while in Fi-e. 9-33 the
hold them in a flocculent or honeycomb structure. These stress path goes through the origin. When the Z-condition
materials, when sheared undrained to large enough strains is reached, the soil sample is dilative because its position
to completely remold their structure, would be left with lies below the steady state line in Fig. 9-32.
zero shear strength and would become suspensions of soil The undrained steady state shear strength is not affected
particles in liquid. by the shaking, that is, by the fact that the Z-condition
occurred,sr'52 as long as the void ratio of the specimen re-
Terminology mains constant. If shear stress is reapplied, the state point
moves to the ri_ght toward the steady state line.
There are several terms used in the practice of geotechnical The moment when the Z-condition first occurs during a
engineering for the same or overlapping phenomena. To cyclic load test has been referred to as "initial liquefac-
aid the reader, the terms to be used in this section are de- tion."i6 The use of this terrn was reasonable because, at
fined below. Alternate terms used are given for reference. that time, it seemed to be the prevailing impression of geo-
Liquefaction (alternative terrn now used: flow technical engineers that liquefaction meant that the soil had
slide). Liquefaction is a stability failure due ro undrained reached a condition of zero shear strength.
shear of highly contractive, fully saturated masses of soil. Subsequently, it was pointed outsl'sl that the Z-condi-
This case is one in which the driving shear stresses, ra, ara tion does not imply zero shear strength. Also Casagrande{7
greater than the undrained steady state strengths, S,,, such suggested that the Z-condition probably occurs only, or
that the failure involves an acceleration of the mass. It much more severely, in the laboratory than in situ. To date
comes to rest as the driving shear stresses are reduced, and the writer knows of no cases for which the Z-condition has
the inertia of the accelerated mass is overcome by the un- been observed in the field.
drained steady state shear strength. re'36'37 It has been inferred52 that the Z-condition probably oc-
When the soils involved in a liquefaction failure are curs much more quickly (fewer cycles and lower cyclic
sands, the mass appears to "flow." For this reason Hazenal shear stress) in a laboratory cyclic test on sands than in
stated that the Calaveras Dam, a hydraulic fill dam that situ-so much more quickly that the test data cannot be
failed during construction, appeared to have "liquefied." used to predict field behavior. For c/a,rs, however, cyclic
When the soil involved is a "quick" clay, a progressive load test results may be reliable indicators of the defor-
series of slips occurs,x and as the mass strains, the mations that will occur under similar loading conditions in
"quick" clay turns into a viscous suspension. Its void ratio ri,r.3s' 52

lies above point Q in Fig. 9-32. The above description of the Z-condition indicates that
The failure of a soft clay due to undrained loading during it is a momentary phenomenon that can occur during shak-
constructiona2{o can be viewed as a "local" liquefaction. ing, but only if the seismic shear stress causes stress re-
The failure surface is circular, and the shear strength along
that surface drops from the peak to steady state. But the
failure does not look like a liquefaction because the clay
has low permeability. The pore pressures become high in
the thin failure zone only, but the adjacent soil retains most
of its peak strength and does not deform greatly.
Z-Condition (altemative terrns now used: liquefaction,a5
initial liquefaction,a6 100% pore pressure,45 cyclic mobil-
ity,o''t'momentary zero effective stress52l. The Z-condi-
tion is defined herein as rhar stage during seismic. blast-
induced, or other shaking when the effective stress within IEST LC 146
the soil momentarily becomes zero. The Z-condition can HEo8€RG (SEE 591

occur only if the shear stresses in the soil are reversed in

sign so that adjacent particles are sheared in opposite di- Figure 9-33. Undrained cyclic triaxial test showing the Z-condition
 EARTHFILL OAM OESIGN AND ANALYSIS 301

versal. When the Z-condition does occur. the measured between laboratory measured stnins and those that occur
strains begin to increase more rapidly in laboratory tests. in situ. The conventional cyclic load test does not modcl
The more contractive the specimen. the more rapid is the in-situ seismic loading for two important reasons:
development of strains after the Z-condition first occurs.{6 First, the inertia of the mass in situ is not modeled. Thc
There is no information available yet on the extent to which deformations that accumulate during a cyclic load test are
the Z-condition occurs in situ. Since cyclic loading can not directly related to deformations in situ. Softening of the
cause the Z-condition, which has been (incorrectly) asso- soils and the inertia of the mass above any given surface
ciated with zero strength, one can obtain the impression in situ both cause a reduction ol the seismic shear strcss.
that liquefaction and the Z-condition are one and the same Thus, as strain occurs in situ due to cycling. the stress
thing. drops, and the motions are then smaller than one would
It is important to distin-suish liquefaction from the Z- predict based on the assumption of constant seismic shear
condition for several reasons: stress.
Second, there are test errors in the undrained cyclic
l. Dilative soils can reach a condition of zero effective triaxial test that, to date, have not been well evaluated. A
stress during cyclic loading. However, dilative soils cyclic triaxial test is a repeated load test. Therefore, the
are not susceptible to liquefaction. Nevertheless' errors that occur in a conventional monotonically loaded
there are cases in which even dilative soils could de- test7o are increased with each cycle. Because of the cy-
form enough during cyclic loading in situ to cause cling, the water in the specimen can redistribute and cause
undesirable behavior of a structure. void ratio differences to develop in certain zones. The
2. To analyze whether liquefaction can occur, one needs looser zones then would tend to strain more, with the result
to compare z; with S,,. Cyclic load tests are not that the strains are larger than would occur if redistribution
needed. did not occur. The degree of redistribution is affected by
3. Liquefaction is a catastrophic failure; the Z-condition the rate of cycling and the soil permeability.
implies that large deformations may occur that may The question arises of rvhether the same kind of redis-
or may not be critical to a particular structure. tribution occurs in siru during the one-minute or so dura-
tion of an earthquake. To date there is no information
Deformations during Cyclic Loading. The cyclic load available to enable direct comparison between cyclic load
test, as developed, is a method for measuring the cyclic test results and in-situ deformations. To study the erron,
and cumulative strains during loadings that are intended to it would be useful to apply cyclic loads of varying fre-
model dynamic cyclic loading, such as earthquakes. As a quency to specimens of varying permeability. With such
means for usin,e the data of cyclic load tests (Fig. 9-33), tests it might be possible to gain insight into the magnitude
the number of cycles of a given shear stress required to of the errors.
cause a defined strain, most commonly 5%, has been re- Sand Blows (altemate terms now used: sand boils, sand
ferred to as the c1'clic shear strengtlr.sl This term is used volcanoes. quicksand, liquefactions6;. when earthquakes
even though it represents a specific deformation, just as in strike loose deposits of fully saturated sands, the develop-
the past the strength from a triaxial test has been arbitrarily ment of sand blows during and soon after the eafthquake
defined at, say, 15% strain.il is often observed. Housnet's described the cause and
The cyclic shear strength has been used most often to mechanism of sand blows. which represent a consolidation
mean the cyclic shear stress which gives 5% double am- (deformation) phenomenon as opposed to a stability fail-
plitude strain or cumulative axial strain in l0 cycles. How- ure.
ever, it can be used for any combination of strain and num- Sand blows are caused on level ground by the following
ber of cycles. sequence of events:
If the laboratory test were a perfect model of in-situ be-
havior, then application of the cyclic shear strength would l. A loose saturated sand exists in situ. The looser the
cause 5% strain in l0 cycles. But 5vo strain is not neces- sand, the more likely it is that a sand blow will occur.
sarily failure and usually is not important for embank- Also, a relatively low-pcrmcability stratum of soil
ments. Therefore, use of the term cyclic shear strength over the sand tends to favor the development of sand
seems inappropriate and perhaps misleading. Castro and blows.
Poulos52 proposed the term cyclic mobility ratio to replace 2. An earthquake or other disturbance causes the loose
cyclic shear strength, to eliminate the inference that it is a structurc of the soil to tcnd to collapse to some de-
strength. gree, depending on the magnitude and duration of the
Cyclic strain and cumulative cyclic strain are terms that disturbance.
the writer prefers to apply to the strains that occur during 3. The structural collapse causes a near-instantaneous
cyclic load tests, but one must be careful to distinguish drop in eftective stress as the structure tries to de-
 302 ADVANCED DAM ENGINEERING FOR DES]GN. CONSTRUCTION, ANO REHAEITITATION

crease in volume but is prevented from doing so be- along a swelling curve. As the volume increases, the effec-
cause drainage cannot occur instantaneously. The tive stress drops until, finally, if the upward gradient
pore pressure rises above hydrostatic. There is excess is equal to or greater than 7' f 7*. the effective strcss be-
POre pressure. comes zero, and the void ratio has reached its maximum
4. Drainage takes place. Assuming that lateral and value at or above point Q on rhe steady state line. euick-
downward drainage is negligible, drainage takes place sand then has been formed.
upward. If the maximum instantaneous upward gra- When a soil is in the quicksand condition, it is really a
dient is greater than about 1.0, a momentary zero ef- suspension of soil in water; it no longer is a true soil. The
fective stress condition occurs. The Mohr stress cir- mass has zero shear strength no matter how it is sheared;
cle is a point at the origin whenever this condition it now has only viscosity.
arises. Quicksand is a condition of constant flow that is achieved
5. Two events can occur at this stage. If the soil stratum under drained conditions, not undrained conditions. To
is homogeneous and no cracks develop during drain- achieve a quicksand state, the void ratio of the soil must
age, then water drains upward, the effective stress increase-inflow of water must occur. A sand blow is a
gradually rises to its original value, and settlement local quicksand condition that is so violent, because ofthe
occurs as the grains reach a denser packing due to the upward gradient, that soil particles are brought to the sur-
disturbance. face.
6. However, if local cracks occur, or if the overlying Quicksand also can develop due to undrained shear of a
soil cracks, then the flow of water concefltrates at the soil that lies in Zone III of Fi-e. 9-32, as nored earlier.
crack. The gradients can locally reach values consid-
erably higher than 1.0. Such gradients can carry sand
grains until the gradient tapers off. This process PART 2. PMCTICE
causes a sand blow to form at the crack.
Steps in the Evaluation of Seismic Stability and
Deformations of Embankments
Note that the above process occurs on level ground, and
it can occur on sloping ground if the shear stresses in the Figure 9-34 is a flow chart showing the principal steps in
sand due to the slope are smaller than the undrained steady the evaluation of seismic effects on embankments, based
state strength. Thus sand blows occur in level or fairly flat on the principles and terminolo-ey described in Part l. These
slopes. Ifthe slope is too steep and sand too loose, instead effects include stability, that is, liquefaction, and the de-
of a sand blow, liquefaction may be triggered. Of course, formations that occur during and after seismic events.
sand blows can occur even within a liquefied mass because After determination of the shape of the embankment and
the pore pressures after liquefaction can be much greater surrounding ground in locations that are expected to be most
than hydrostatic, and the mass will be cracked in many critical, usually the best first step is to drill borings to de-
places by the movements that occur. termine the stratification and water pressures within the
Sand blows reflect a consolidation phenomenon that is mass. For new dams the foundation is investigated, and the
triggered by an earthquake or other undrained loading. The cross section is developed based on available materials and
loose structure is disturbed, it tries to collapse, drainage foundation conditions. During the drilling operarions, stan-
occurs into cracks, and sand blows form above. Sand blows dard penetration tests (SPT) using ASTM Test Designation
are not the same as liquefaction, which is a catastrophic D1586 are very useful. The blowcounts (N-values) give an
shear failure. The similarity between sand blows and liq- idea of which zones are the loosest and weakest. When
uefaction lies only in the fact that the soil involved in both they are combined with thorough descriptions of the sam-
cases is saturated and usually highly contractive; that is, ples, one can develop a conservative cross section or model
the void ratio and effective stress in situ lie above the steady for analysis.
state line. It is quite advisable to take continuous N-values, at least
Quicksand (altemate tcrms now used: quick condition, in some of the boreholes, because weak zones may be thin
liquefactions6l. quicksand occurs for the ,i*" ."rron ,, , and can be missed. If the local geology shows evidence of
sand blow, namely, because of a strong upward gradient the presence of loose or weak layers, extra cautions should
that causes a zero effective stress condition. Whereas a sand be taken at this stage to develop a clear picture of the in-
blow occurs because of gradients that are high enough to ternal distribution of weaker or looser soils. Many stability
carry soil grains, quicksand can exist with a gradient of failures have occurred not because thc analysis was im-
only 7' f 7* (about 1.0) or slighrly grearer. properly done but because thin weak layers were missed.
Quicksand is a condition of zero effective stress that per- During the drilling operarions, observation wells or pie-
sists. It starts with an upward flow of water due to an up- zometers are installed to measure the horizontal and veni-
ward gradient. As upward flow continues, the soil swells cal distribution of water pressure. It is often worthwhile to
 EARTHFILL DAM OESIGN AND ANALYSIS 303

Ext.rn. I lowed by the reader as the analyses in the rcmainder of this

Ceofr! t ry part are discussed.

Case Histories
L tqu. f.c t Lon Da rn. t ton
fo
EY.lu.tlon Ev. lu. t ton
Many engineers have emphasized the need to correlate case
histories of failures with analytical techniques and with
simple index propertiesTl as an overall check to relate en-
gineering evaluations with actual behavior. With respect to
liquefaction there are few satisfactory case histories avail-
BortnBr or able, because of both the relative rarity of liquefaction fail-
Haerure S u! ccophtt lcel
R (cu) Tcsta Tcstr for ures and the lack of good index tests or engineering proP-
erties on which to base a correlation or analyses. Seedm
C.lcul.t! has collected a number of cases that can be used as a first
CalcuI.t! td S.limlc Shc.r step in judging from standard penetration tests and calcu-
Straatct
lation of in-situ driving shear stresses in critical zones
Cycllc Load Tc!tr whether liquefaction is unlikely or questionable.
or R Tclts to Based on the mechanics of a liquefaction failure (as de-
06t.tn Ylcld
fined in Part l), the geometry of the mass before and after
Calculate Detorn.- failure, the weights of the soils involved in the failure, and
tlon! 157, 58' 59) the distances traveled by the failure mass, one can estimate
For cl.y!, cstlhrte
deformtlonc bared the average shear strength that was mobilized during the
on cycllc !.!t! 135).
failure. On the other hand, the standard penetration test
involves shear of the penetrated soil. Therefore, with proper
attention to details that affect both the back-figured mobi-
lized shear strength for a particular case and the corre-
Ch.ck ltqu.- sponding N-values, one might expect a reasonable corre-
factlon poteq-
t16 I end lation between the two.
def orutlon! One can also make direct measurements of the undrained
steady state strength of the soils that may be involved in
the failure to determine how they compare with the
strengths backfigured from a failure or from those expected
by analyzing the standard penetration test. This approach
Figure 9-34. Flow chan for evaluation of seismic effects. will demonstrate whether or not laboratory measurements
of S,, are usable for liquefaction stability analyses.ao
Based on the above discussion, several steps are desir-
able to obtain a correlation and to check the laboratory
make in-situ permeability tests if there might be a subse- measurements and analytical techniques:
quent question about whether the seismic loading will be
mostly drained or undrained. Care should be taken to de-
termine whether upward gradients exist or might exist after
l. Compute the mobilized shear strength in situ, S-,
construction. from a liquefaction failure.
Based on this information and the estimated unit weights,
2. Obtain proper N-values for the weakest soils that par-
ticipated in the liquefaction failure.
one can judge, based on past case histories as described in
the next section, whether there is clearly no problem, or 3. Measure the undrained steady state strengths, S.,, of
whether further study is needed. At this point one should the weakest soils that participated in the failure.
make an economic comparison of (1) the cost of subse- 4. Calculate the in-situ driving shear stresses. 7.r, priot
quent investigations and (2) the cost of using an obviously to and after failure.
conservative design to avoid the investigation. For small
dams, less than 30 ft high, it is often the case that the sav- To back-figure the mobilizcd shear strength cturing a liq-
ings in design achievable by more detailed field, labora- uclaction, the concepts provicled by Westergaardte'61 were
tory, and analytical studies are not sufficient to justify their used. The assumption is marJe that after very little defor-
cost using current techniques. mation in situ, the strength drops down to its undrained
The subsequent steps shown in Fig. 9-34 can be fol- steady state strength, S,,. It is also assumed that during the
304 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHAEILITATION

few seconds or minutes of the failure, little drainage takes the cmss sections prior to and after failure. The range of
place, so that the S,,-value remains essentially constant. S--values was obtained from equation (9-3) by assuming a
Thus, at the start of failure, ra ) Su, so the mass is range of values of 6,, 6., and the slope anglc 0. The S--
accelerated. Then as the slope decreases, r7 drops below value used in the plot Fig. 9-35 is a "best guess" in the
S,, so that deformation of the moving mass is retarded and range shown.
ultimately stopped. Also shown in Table 9*4 are the N-values. Measure-
As a simplifying first step in back-figuring the field value ments after the failure were made for the first five cases.
of .t ,, which will be referred to by the symbol S- (mobi- For the last two cases, the N-values rvere guessed, based
lized strength), it was assumed that the final slope was zero. on descriptions of the way in which the embankmenr rvas
One can think of a liquefaction failure as the movement of built or on measured percent compaction or on relarive
the center of gravity of the mass from the original position density. The N1-values in Table 9-4 rvere obtained using
to a new lower position. For this simplified approach the the correction recommended by Seed.6:
mass accelerates down an original steep slope inclined at Figure 9-35 is a plot of the information shown in Table
angle 0, encounters the zero slope at the base, and de- 9-4. It represents an approximate correlation between N,-
celerates to zero velocity. The equation from which the values and the back-figured, mobilized strength, S-, based
value of mobilized strength can be estimated is: on equation (9-3). It is seen that the strength. S-. increases
rapidly with the N,-value, but the correlation tends ro bend
J,, : Of ru sin 0
(e-:;* to the right at an N,-value of about 3.
GF 6r For comparison, a straight line is drawn in Fig. 9-35 that
was computed by direct analysis of the standard penetra-
where: tion test. Based on the assumption that the penetration oc-
curs undrained, it is possible to relate the measured N-r.alue
w : weight per unit width of sliding mass to the S,,-value during penetration. For this purpose. it is
0 : angle of slope down which the mass accelerates necessary to know the dynamic forces generated at the
6r : distance a failure mass moves down the original sampler. Data obtained by Schmenmann63 were used for
steep slope, 0, during liquefaction, m this purpose. The equation has the form:
6z : distance that failure mass moves along zero slope
before it comes to rest, rn S,, : KrNr + K: (e-+)

Table 9-4 is a listing of the cases analyzed. The driving where:

shear stresses were computed by static stability analysis of
S- : Mobilized steady state shear strength durin_s
*Equation (9-3) *,as developed by S. Liao and the writer.
standard penetration test

Table 9-4. Details of liquefaction case histories: strength/blowcount correlation.

Blowcount Data
Driving Stress S.
Below o"
Pre Post Range Use l/ water Liner Energy Post Fines
Name Cause psf psf psf psf Post ?? % psf -200
STABILITY FAILURES (LIQUEFACTION)
Lower San Femando 0.6 g l00O 500-t000 750 t2lts Both No 70 10.000 50 31.3 E.-5
7.t 1.8
7 Fort Peck Const. 1800 50 500-1 100 700 3s/40 No2? 1.1.000 30 13 5.3
3 Mochikoshi Tailings 0.25 g 540 <50 50-l t0 60 0 Yes?? >60 0 0
Dike I
Mochikoshi Starter 0.25 g 470 470 No failure >170 1/1 Ycs??3.60040-8031.2
Dike I
Mochikoshi Tailings 0.25 g 390 100 75-200 130 0/r Yes ? '! 750 >60 0 0
Dike 2
6 Calavens Dam Const. 1500 250 600-1 100 700 None 76%
Percent conrpaction approx. >60 I 2
7 Solfatara Canal EI 105 0 >0 >0 None Relatividensiry-32% <5 0 0
Dikes Centro
'40,
on
faul'
 EARTHFlLL DAM DESIGN ANO ANALYSIS 305

0
CL

E
U'
!
F
(,
z
lr,
E
F
(tt
(r
trJ
-(/)
o
uJ
N
J
a
o
=

Nr- VALUES
Figure 9-35. Mobilized shear strength from liquefaction case histories vs. N,-values. nonplastic soils.

Nr : Blowcount corrected for depth using Cn'62 For this case the undrained strength was estimated to be
Kr, Kz : Constants that are a function of weight of sam- one-third of the drained strength based on the effective
pler and rods, penetration length, ratio of side stresses and the friction angle, @,, in the critical zone of
friction to strength of soil inside and outside the dam. Therefore, a point is shown at an N-value one-
sampler, the undrained sensitivity of the soil, third as large as the N,-value based on the measured blow-
S,,o/ Su", and the sampler dimensions count.
The above discussion demonstrates one of the precau-
Equation (94) is plotted in Fig. 9-35 for the weight of tions that should be used when correlating S--values with
sampler plus 20 ft of rods. Because this weight is about blowcounts. Atthe blowcount increases, and as the perme-
2201b, the line in Fig. 9-35 intersects the S--axis at a pos- ability of the soil increases, the blowcount tends more to-
itive value and then drops vertically to zero. Reasonable ward bein-e a drained rather than an undrained blowcount.
agreement is observed between the S--values calculated Hence the correlation in Fig. 9-35 should be used only in
from field failures and that calculated by analyzing the the low blowcount range, probably below Nr : 10.
standard penetration test. Another limitation of Fig. 9-35 is that it applies only for
Two blowcounts are shown for the case of the Lower nonplastic, uncemented soils with little "structure." For
San Fernando Dam failure. The one at the right is obtained clays or cemented soils, the N-values would reflect
by correcting the measured blowcount, which is shown in strengths nearer to the peak strength, rather than the steady
Table 9-4 to be about 21. The permeability of the sand in state strength that becomes mobilized as liquefaction oc-
the Lower San Fernando Dam is high enough that one can curs.
expect drainage to occur between blows, especially be- Numcrous additional limitations should be noted in con-
cause the measured blowcount is so high. If indeed the nection with Fig. 9-35:
strength measured in such a standard penetration test is
closer to a drained steady state strength, the measured l. The strengths o[ the soils throughout the failure sur-
blowcount would be correlated with a drained rather than face are not well known for each case. Hence the S--
an undrained strength. values are approximate.
306 ADVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCTION, AND REHABILITATION

2. The weights of the soils in the failure mass and the 9-36 lies in the difficulty of measuring the N-value in the
shape of the mass are not well known based on the same layer as the one in which the undisturbed sample was
available literature, except for the Lower San Fer- taken.
nando Dam. Based on Fig. 9-36, one clearly should be conservative
3. The measured blowcounts may be in error because of when selecting the S,,-values from laboratory tests on un-
the effects of test procedure, such as the energy disturbed samples. The technique now used by the writer
losses, wear of the cutting edge, hammer weight, is described in the next section.
turns of rope on the spool, and so on. They are also Figure 9-35 can be used for a preliminary evaluation of
affected by the ratio of peak to steady state strength whether liquefaction is unlikely or sufficiently questionable
and the possible presence of gravel sizes. to warrant more detailed study. Knowledge of the geome-
4. The blowcounts were measured after the failure event try of the embankment is required, and, preferably, rhe
in a zone that is estimated to contain soil similar to water pressure within it. The N,-values in a representative
that which had participated in the failure, but which zone of the dam also are needed, particularly in the weakest
had not failed. zone.
5. Blowcount measurements are relatively insensitive at From Fig. 9-35, the S--value is obtained, based on case
low values, that is, in the range where Fig. 9-35 histories. Then one computes the driving shear stress, 14,
would be most useful. in the critical zone using stability analyses, as described in
the next section. If za is conservatively below S-, it can be
In a recent case,oo measurements of both N-values and assumed that liquefaction will not occur. However, one
.S,"-values were obtained at side-by-side locations in an em- may have to compute the deformations, especially if the
bankment and its foundation. The data are plotted in Fig. design earthquake is intense, to be confident that they will
9-36, together with the band from Fig. 9-35. The lowest be tolerable. If ra is near the S--value in Fig. 9-35, then
laboratory-measured S,,-values show very good agreement the methods described in the next sections should be used
with the band of .S--values obtained from case histories. to enable a better judgment of the stability of an embank-
Part of the reason for the large scatter in the data of Fig. ment against liquefaction failure.

q
(r cl
ld-
FO
u- i-
<3
u, g.
Ho
fo
?a
;o
o; t!
s6
(rF
)l)
U'luJ
<E
UJ(r
>o()

Nr - VALUES
Figurc 9-36. Comparison of strength/blowcount correlation from case histories anct fmm labontory tests.
 EARTHFILL DAM DESIGN AND ANALYSIS 3O7

Liquefaction Evaluation Based on Laboratory Tests Trial sampling is needed to select the maximum hy-
draulic pressure that can be used without deforming the
If the preliminary evaluation shows that the embankment cutting edge. Short samples are acceptable for measuring
has questionable stability, and if the costs of subsequent void ratio and laboratory testing. The tube should not be
studies are justified, one may use the following liquefac- hammered. Removal of the tube from the hole should be
tion evaluation procedures, which are adopted with minor extremely slow (approximately I mm/sec or even slower)
modification from reference 36. to reduce the vacuum at the bottom. withdrawal should oc-
The determination of liquefaction potential is a stability cur without vibration, and the dritling water or mud should
analysis, which requires that the undrained steady state be kept above the water table.
shear strength, S,", and the in-situ driving shear stress, tr, When the sample is removed from the hole, the gap be-
be determined. The steps of the analysis involve the fol- tween the piston and the top of the soil should be measured.
Iowing determinations :
This gap is caused by ( I ) compression of the sample during
penetration, (2) downward movement as the soil fills the
l. In-situ void ratio. gap between the cutting edge and the inside wall, and (3)
2. Steady state line for compacted specimens. sample slippage during removal from the hole. To be con-
3. Undrained steady state strengths for "undisturbed" servative, it is usually assumed that, except for item 2, the
specimens. gap is caused entirely by sample compression. The in-situ
4. Correction of strengths for void ratio. sample volume is the stroke length times the area of the
5. In-situ driving stress and factor of safety. tube inside the cutting ed-ee. The measured gap is prorated
to each specimen tested. Thus when one knows the speci-
Step 1. ln-Situ Void Ratio. As shown in Fig. 9-34, men dry weight, specific gravity of solids, and specimen
undisturbed samples are required. Their purpose is to en- volume, one can calculate the void ratio it had in situ.
able estimation of the in-situ S,,-value, which is dependent Use of the above values to compute void ratio without
solely on the soil composition and the void ratio, as noted accounting for possible downward slippage of the soil in
in Part l. The undisturbed samples should be taken in the the tube during removal from the hole is conservative. If
loosest zones of the embankment or foundation to be con- slippage occurs, the void ratio will be overestimated. At
servative. Zones that have the lowest blowcounts, most present there is no satisfactory way for estimating slippa-ee
narrowly graded soils, and most rounded grains are the except when it is large enough that the calculated void ratio
zones likely to give the lowest S,,-values. is unreasonable. Thus trial sampling with various clearance
Currently, there are at least three satisfactory ways to ratios is helpful in judgin-e the clearance ratio needed to
obtain suitably undisturbed samples of loose sand at depth control slippage.
in situ: (l) fixed-piston sampling, (2) sampling in test pits, The above discussion shows that it is very difficult to
and (3) freezing of the ground and coring. A satisfactory measure in-situ void ratio accurately at depth in a borehole,
method not only should cause minimal volume changes but particularly for a sand. UnfortunatelY, one cannot evaluate
should provide sufficient data to estimate the volume Iiquefaction potential of sands directly without knowing the
changes that do occur during sampling. All three methods undrained steady state strength in situ. Therefore, at pres-
listed above require care. For clays, it is relatively simple ent the in-situ void ratio has to be measured and used with
to measure the in-situ void ratio using the procedures de- a procedure like that described in subsequent steps, to ob-
veloped by Hvorslev.fl For sands, considerably more carc tain a suitable measurement of the undrained steady state
is needed. Some of the important sampling details are dis- strength. The writer's experience has shown that careful
cussed below. fixed-piston sampling techniques will provide good void
ratio measurements. One usually need not reso( to freez-
Fked-Piston Sampling. The fixed-piston sampler con- ing,65 deep shafts, or test pits.
tains a piston that is fixed at the bottom of the hole by a
rod that extends to ground surface. One pushes a thin-wall Step 2. Steady State Line for Compacted Speci-
tube into the ground past the piston while holding the pis- mens. "Undisturbcd" samples of loose sand always
ton rod fixed. have a lower void ratio in the laboratory than in situ.
The clearance ratio of the cutting edge of the sampling Therefore, a procedure for correcting laboratory measured
tube should be adjusted for the particular sand so that the steady state strengths to the in-situ void ratio is required.
ratio has the minimum value necessary for sample reten- For sands the d,,-value is quite sensitive to void ratio;
tion. This ratio might vary from near zero to l%. The stroke therefore, conservative techniques for making this correc-
length during sampling must be measured within approxi- tion are important.
mately 0.2%. It should be corrected for rod compression Even if a sample is obtained by freezing the ground and
if the hole is deep. coring, the density may increase significantly during re-
 308 ADVANCED DAM ENGINEERTNG FOR DESIGN, CONSTRUCTION, ANO REHABILITATION

consolidation in the laboratory to in-situ stresses. In seveml The soil used should be as nearly as possible the same
cases studied, the density increase during consolidation has soil as that in the ground. Often several "undisturbed.'
been 3 to 8 pcf. Such changes often cause a soil that is samples from the upper part of sampling tubes can be thor-
contractive in situ to become dilative in the laboratory. The oughly mixed, as these zones may tre more disturbed than
sample is converted from a state in which it is liquefiable the lower samples, which are used for subsequent steps. At
to a state in which it is not liquefiable. this stage only the grain shape distribution need be well
One can judge the influence of apparently minor changes preserved because it has the major effect on the slope of
in void ratio on undrained steady state strength from Fig. the steady state line. It is also desirable to preserve the
9-37, which shows the results of measurements of steady grain-size distribution. The slope of the steady state line
state strengths for a clean subangular, quartz tailings sand for the compacted specimens then will be as close as pos-
as a function of density. An increase in density of only 3 sible to that for the associated undisturbed specimens to be
pcfchanges the undrained steady state shear strength from tested in Step 3.
400 psf to 2600 psf. Each compacted specimen should be placed in the test
In subsequent discussions the term "steady state line" apparatus at a void ratio and effective stress combination
will be used. It is the line drawn through points that show that is well above the steady state line. Such a specimen
the steady state void ratio versus the effective minor prin- will be highly contractive, and the strain needed to reach
cipal stress during steady state deformation. The effective steady state will be minimized.
stress may be plotted on an arithmetic or logarithmic scale. Figure 9-38 gives plots of the data for one undrained
The procedure for correcting laboratory-measured un- test. These graphs are suggested as a standard method for
drained steady state strengths to the in-situ void ratio is plotting stress-strain data.
based on two obsewations: (l) the slope of the steady state A typical stress-strain curve from an undrained triaxial
line on a semilog plot is affected chiefly by the shape of test on a contractive specimen is shown in Fig. 9-38c. The
the grains in a given soil, and (2) the vertical position of steady state is reached at that strain where the shear stress
the steady state line is affected even by small differences in and the effective minor principal stress are no longer
grain-size distribution.36' 37 changing as deformation continues. This is point .S in
One correction procedure now used requires that the graphs (a) and (c) of Fig. 9-38. Note rhar the srrain at peak
steady state line be obtained by testing five or six com- shear stress, point P in Fig. 9-38c, must be exceeded
pacted specimens of identical soil. Any suitable test method greatly to rcach the steady state of deformation.
may be used. For clean, narrowly graded sands, the triaxial The results of the tests on compacted specimens are plot-
test is satisfactory. It is advisable to check the steady state ted on one "state diagram," such as Fig. 9-29. The best
line using a second type of test, for example, a rotation fit line through the points representing the steady state is
shear test or a direct sample shear test. For soils with a the steady state line. Each point on this line represents a
substantial percentage of fines, it is often necessary to use condition of continuous deformation. The original struc-
a rotation shear test to achieve steady state deformation. ture is completely remolded at the steady state. Therefore,
For clays the vane test can be used.35 the method of specimen preparation, which controls the
original structure, has no influence on the position or slope
of the steady state line for the particular soil used.
As it is the steady state shear strength that is needed for
liquefaction analysis, it is convenient to plot the results of
85
the undrained triaxial tests in terms of void ratio versus
o.9 undrained steady state shear strength on the failure plane,
S,r, as shown in Fig. 9-39. To compute Su, from the results
9 90,; of each consolidated undrained triaxial test, one uses the
F
; o.8 '
!z following equations:
I ,
0
95o
o.7 Su, = 4, cos d, (e-s )
IIARROWLY. GRAO€O OUARTZ
SUSAilGULAR CRAINS roo
and:
o.6
o.or

sin S, : :i- = (9-6)

BAXIMUM SHEAR SIRESS AT IH€ STEAOY SfATEI q!,I!f
o* * e, (or" - u,) * e"
-L-
. Figure 9-37. Steady state line for a clean sand. (e-7)
Q,:(drc-d*)/2
 ETFECIIVE SIF€SS o
SI^ IE tEsr oErllLs
1 TSSL Oc: 7.a cr
o
9r
\- Lc: t6. a ci
Stratn rata-
Fo O.3tl ./rtn
E. \ 6c-0. 96
q gc; Uc-t06., pst
a c,
;
tb
>n
o
:
o
! t0 t0
(r3. ps I
o

o
o
a;

10 I
AXIAI. STBAIN, 6'. ps t
SOIL I Satch Elx. B.orn stlty tlne STAIE I u3c-28.5
sand about 30I non plrsttc ttn€s. lSHl
= P!l cc'0.762
Corilo3 Oon RlO3 qclf3c -0.0 Ydc-95.6 9ct
SIRUCIUREI .otst rt lo.5t
Conpactrd LOAorN6 |
Fatrr cont€nt ln !l layers to a Undratned. nonotonlc,.rlal compnas8lon
9rcdet?nntn€d sp€clmen helght.

Figure 9-38. R-test on compacted specimen from Casitas Dam.

o.8

a STEADY SIATE SHEAR STRENGTH MEASUREO

ON UNOISTURBEO SPECIMEN. PLOTTEO AT
VOIO RATIO OF SPECIMEN AFTER LA8
o.7 CONSO LI DATI ON.

o CORRECTEO STEAOY STATE SHEAR STRENGTH

AT VOIO RATIO IN TUBE MEASURED UPON
REMOVAL FROM BOREHOLE.
t 0.6
9
F
E STEADY STATE LINE FOR
COMPACTEO SPECIMENS
o
6 o.s
o-_-tlFzoz \
G.-
- - _]-
O- -!u.oo
-nzoz
o.4 _--
-! Faoo
tiloTE S ur . gr cor Qr l t|r: 36o
TESTS PERFORMEO MAY 1982
o.3
roo l0oo to,ooo l0o,0oo
STEADY STATE STRENGTH, Q,, PSf

Figure 9-39. Sready state strength vs. void rario. compacte<J and undisrurbcct specinrens.

309
 310 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCT]ON, AND REHABILITATION

where:

dr, - d:, = Principal stress difference at the steady state

from the triaxial test littoY l?ltt url
r0i rx3 corzrfito
6s, = Effective minor principal stress at the steady ttfctrEi!
state o
tr --\.,
dr" : Effective minor principal stress at start of c rr.3fru vof o aarto
rorc?xt -uiorlrui!ro'l
I
I x\ 7^!3urEO !lt^d nlrz
,a ttaztorr Ltit rca txtt
o tEqrri
shear (after consolidation) 6 o. ,-1'urotsrurtto'
&" : Pore pressure induced in the test specimen .T\
.l

- voro llYro \
at the steady state of deformation lI\ AtIti grrllr0.
I EXIiUSION AO
@, = Steady state friction angle ESTTTAtEO il.Srro
uroalrrED tlt^oY I
co{3oLlo^floi
ut0rrr{f0 SEAoY ntroTx
3tlTE tri€ictk
Ir , ror frt3 .lJtotsyut!!o'spEctgEf,

The quantities q' d3., and l" are obtained directly during rooo to.ooo

the triaxial tests. STEA0y STATE SHEAR STRENcTH, Ssq,gsf

The steady state srrength line, Fig. 9-39, obtained from
the compacted specimens is used to correct the strengths of Figure 9-40. Correction of measurcd S*-values.
"undisturbed" specimens, which are determined in the
following step.
rection of the results to the in-situ void ratio must be made,
as described in the next step.
Step 3. Undrained Steady State Strengths for ,,Un-
disturbed" Specimens. A series of consolidated un- Step 4. Correction of Strengths for Void Ra-
drained triaxial or other appropriate tests is performed on tio. From the measurements made during undisturbed
"undisturbed" specimens from the zone being evaluated. sampling, the in-situ void ratio for each of the tested "un-
Sufficient tests are needed to determine the average steady disturbed" specimens can be computed. Using the in-situ
state strength reliably. void ratio, the correction procedure given in Fig. 9-40 is
To define the steady state well in a triaxial test-at strains applied for each test in Fig. 9-39 on the undisturbed spec-
achievable in that test-it is best to ensure that the undis- imens. The dashed line is drawn through the point that
turbed specimen is contractive, just as was done for the shows the measured undrained steady state strength of the
compacted specimens. One procedure is to consolidate the "undisturbed" specimen at its void ratio in the laboratory.
undisturbed specimens to high effective stresses but not so The dashed line is drawn parallel to the steady state strength
high that the correction needed in Step 4 becomes exces- line for the compacted specimens.
sive. At high effective stresses sandy soils are more con- A horizontal line is drawn from the ordinate axis starting
tractive than at low effective stresses. If the stresses used at the calculated in-situ void ratio to intersect the dashed
are not high enough to make the specimens contractive, the line for the test on that undisturbed specimen. The esti-
steady state still can be dbtermined. However, the accuracy mated in-situ undrained steady state strength is selected
of the measurement is poorer than for contractive speci- from the abscissa.
mens. Substantially more redistribution of void ratio prob- Steps 3 and 4 are carried out for the tests on the undis-
ably occurs during tests on dilative specimens. turbed specimens. Enough data should be obtained to cat-
The stress-strain data for the tests on contractive, undis- culate a conservative average undrained steady state
turbed specimens are similar to those shown in Figs. 9-29 strength along a trial failure surface in the zone being eval-
and 9-38. The steady state point for each ..undisturbed" uated. Depending on the distribution of the looser and den-
specimen is plotted on the state diagram, together with the ser zones in the embankment being analyzed, and using the
steady state line for the compacted specimens, as shown in case histories cited as a guide, one canjudge the degree of
Fig. 9-39. The vertical distance berween the individual conservatism needed. Based on the procedures described
points and the steady state line for compacted specimens is herein, it has been found that the average of the lower two-
assumed to be due chiefly to minor differences in grain- thirds of the d,,-values is reasonable after extraneous high
size distribution. For rhe case in Fig. 9-39, all o[ the rests and low values are discarded.
on undisturbed specimens fetl below the steady state line
for the compacted specimens. However, they may fall Step 5. ln-Situ Driving Shear Stress and Factor of
above and/or below in other cases. Safety. The in-situ driving shear stress, 17, in the zone
The undrained steady state shear strengths shown by the being evaluated is calculated by conventional methods of
solid dots in Fig. 9-39 were obtained at rhe void ratio afrer stability analysis. It is the shear stress required to maintain
consolidation, not at the in-situ void ratio. Therefore, cor- static equilibrium.
 EARTHFILL DAM DESIGN AND ANALYSIS 311

The shear stresses along the potential failure surface in any uncertainty in the void ratio is accounted for. For ex-
the zone being evaluated can be computed by using limit- ample, a value of F,, = l.l can be considered safe for
ing equitibrium approaches. such as the slices method of sands and silts if the highest in-situ void ratios are known
the circular arc types{ or the wedge type," or by using a with sufficicnt confidence. and the undrained steady state
noncircular surface.6 strengths arc based on these void ratios. If, on the other
To calculate this shear stress, one must make an as- hand, a best estimate of the undrained steady state strength
sumption about the distribution of stresses along the failure is used in the analysis, then a substantially higher factor of
surface. Often the trial failure surface used in stability anal- safety should be required. The more narrowly graded and
ysis passes through dilative and contractive soils. The un- more rounded grained soils in the failure mass should be
drained steady state strength of the dilative soils is greater tested because they seem to be most susceptible to lique-
than their drained strengths. But to develop the full un- faction.
drained strength of dilative soils, negative pore water pres- When F,, is less than 1.0, such that I 2 dL > I (Su, dL
sures must be induced in situ. It has been recommended by + Sd, dL), the entire mass is metastable (see below, Fig.
Casagrandesa that such negative pore pressures not be re- 9-48). Erosion at the toe of the slope, a foundation move-
lied upon in most cases. Dissolved gases can come out of ment, an earthquake, a blast. or any other disturbance that
solution. Therefore, in zones where the soils are dilative' subjects the mass to undrained loading may trigger lique-
it is conservative to use the drained strength when estimat- faction. But the disturbance must be large enough, as il-
ing the factor of safety. The drained steady state strength lustrated in Fig. 9-41 and discussed in the next section.
at the bottom of each slice is given by: Therefore, factors of safety against liquefaction smaller
than 1.0 can be tolerated in some cases.
54, : o7 tan {, (e-8 ) When F,,., is greater than 1.0, liquefaction physically
cannot occur. The mass is in stable equilibrium. In such a
where: case, an earthquake or other temporary disturbance cannot
cause liquefaction regardless of its intensity. The strains
57, : drained steady state strength that occur in this case during an earthquake do depend on
d7 = effective normal stress on failure surface at base the earthquake intensity, but such strains stop (except for
of slice, computed from the stability analysis consolidation effects) when the earthquake stops and do not
{, : steady state friction angle' Drained and undrained lead to liquefaction. The driving shear stress is too small
tests give the same @,-value. relative to the undrained steady state strength to cause a
stability failure.
In the zones of contractive soils, if the loosest zones are Dilative soils are not susceptible to liquefaction because
tested, it is appropriate to use the average of the lowest their undrained strength is greater than their drained
two-thirds of the S,,-values, as recommended in Step 4. strength. If a slope is safe in the drained condition, and the
This combination of assumptions in the contractive and di- undrained steady state strength is greater than the drained
lative zones takes into account the effects of pore-water strength, then F,,., is greater than 1.0.
redistribution during or after an earthquake.
The factor of safety against undrained stability failure Loadings That Trigger Liquefaction. The in-situ driv-
(liquefaction), F",, is: ing shear stresses cause the large unidirectional deforma-
tions (stability failure) of a soil mass during liquefaction.
Fu, The driving shear stress is due to the static loads. not due

I Steady state shear strengths

X Sh"u. stress required to maintain static equilibrium

j {t,, r, + sd, ctL)

F,, (e-e)

\ o, r't
t' ' --^
I a,erEroc,on orE to
The undrained and drained steady state strengths in the
above equation are the minimum strengths that a soil mass STRAIN
can have at the void ratio in situ. Therefore, the factor of
safety need only be enough greater than 1.0 to ensure that Figure 9-4t. Triggcring liquefaction with cyclic loading.
 312 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHAEILITATION

to any temporary load such as a blast or an earthquake. The specimens that arc flo, susceptible to liquefaction arc re-
undrained steady state strength is a function only of the soil lated to the deformations that may occur in situ. However,
and its in-situ void ratio. It is not related to the structure of the considerable test errors that arise during cyclic load tests
the soil or the existing effective stress in situ. It is not re- on sands make extrapolation from the laboratory to the 6eld
Iated to the nature or magnitude of the temporary loading deformations very uncertain. These extrapolations proba-
that may cause liquefaction, or to the pore pressure or the bly are far more uncertain, for example. than conventional
strains that may accumulate during undrained cyclic load- settlement estimates for buildings founded on clays. In spire
ing. For this latter reason, cyclic load tests are not required of these test errors, if one wishes to estimate strains due to
for evaluating susceptibility to liquefaction. earthquake loading, one must either have in-situ measure-
Only if a soil mass rs susceptible to liquefaction do the ments or make use of the laboratory cyclic load test. This
magnitude and duration of cyclic loading govern whether topic is covered below.
or not liquefaction actually will be triggered.
The magnitude and duration of the disturbance needed
Triggering Analysis Based on Laboratory Tests
to cause liquefaction is a liquefiable mass can be expected
to be dependent on three principal factors: If an embankment is susceprible to liquefaction, that is. F,,
< l.l, the question arises of under what conditions might
1. The factor of safety against liquefaction. When d,, is liquefaction be triggered. The strains required to trigger
small (well below 1.0), small disturbances can cause liquefaction are quite different for narrowly graded sands
liquefaction. and for clayey soils, as illustrated in Fig. 942. For nar-
2. The strain required to reach the peak undrained rowly graded sands, very small strain-small energy in-
strength at the in-situ void ratio. put-is needed to trigger liquefaction. For clayey soils,
3. The rate at which the peak undrained strengrh decays much larger strain-far more energy input-is needed. For
with continued strain. this reason the engineer should be very hesitant to allow an
embankment composed of or placed on a sand that is sus-
These factors depend on the shape of the stress-strain curve ceptible to liquefaction to remain in place. The failures of
in situ. Thus the soil type, the initial soil structure, and the the Calaveras and Fort Peck Dams are examples of lique-
driving shear stresses all affect the intensity and duration faction-susceptible embankments that were caused by con-
of the disrurbance needed to trigger liquefaction. struction loading alone. No earthquake was needed to trig-
The strains measured in undrained cyclic load tests on ger the failures. But embankments on clayey soils or soils

50

40
o UNORAINED TRIAXIAL COMPRESSION TEST ON
o_ BANOING SAND (37, F - 605}
ta

$n
trJ
tr
F
a UNORAINEO VANE SHEAq TEST ON
THICKENED TAILINGS (CLAYEY SILTI
20
G,
Lrj
-
oro oRtvlNG 5HEAR STRESS. tO kPo _ :
- LIMIT OF STRAIN IN TRIAXIAL
TESTS, 30 %

S
too 200 300
ESTIMATED SHEAR STRAIN, TAN tr , % -r-
Figurc 942. Comparison of strains ro trigger liquefacrion.
 EARTHFILL DAM DESIGN AND ANALYSIS 313

that have a large strain at peak and are liquefaction-suscep- strcss 7,v is the equivalent seismic shear strcss, and S* is
tible can remain in place in some cases because design the peak undrained strength. For soils in situ that have
earthquakes may not cause sufficient strain to trigger fail- strains at peak larger than about 40%, it may be morc likely
ure . that the ratio ( 1 + rr)/ S,e would control the strains during
To evaluate whether liquefaction will be triggered in a cyclic loading, and hence the likelihood of triggering liq-
liquefiable mass, it is necessary to estimate the strains that uefaction. But for soil masses with lower strain at peak, it
will be caused by the seismic or other triggering stresses. may be that the ratio (27 * r,)f S* has more influence on
For this purpose, cyclic load tests in the triaxial cell, cyclic the strains during seismic loading.
vane tests, or centrifuge models might be used. It is necessary to judge or make preliminary tests to es-
In this section a technique is described for judging timate which ratio controls, so that the critical zone can be
whether seismically induced strains can trigger liquefaction modeled in the laboratory. For the case of one silty clay (a
in clayey soils. Comments on determination of triggering mine tailing), the strains at peak were large enough that it
potential in sandy, nonplastic soils are given at the end of was assumed the ratio (r, + r")f S,o controls. The plot in
this section. Fig. 943 was made to estimate the critical zone in the em-
bankment. However, if there is any question about whether
Probability of Triggering Liquefaction in Soil with the .S,o- or S,,-values may control, check tests are war-
Plasticity. If an embankment is susceptible to liquefac- ranted.
tion, it has previously been determined that F,, ( l.l in It should be noted in Fig. 943 that the shear stresses,
part or all of the embankment or its foundation. This, in including the seismic shear stress, did not exceed the peak
tum, means that J za dL > J 5,, dL. Such soils as saturated undrained strength S,o. Thus it is likely that the ratio (2
soft'or quick clays, slightly plastic, narrowly graded silts, * r,)f S* may control the cyclic strains. If this ratio is
and more widely graded silty fine sands or sands with slight greater than 1.0, cyclic load tests that are stress-controlled
to low plasticity can exist in situ at F,,-values less than l. I (which do not model in-situ inertial effects) most likely will
if: (l) the earthquake or other undrained loadings that struck trigger liquefaction in the laboratory even though failure
them in the past were not intense enough; or (2) one builds may not be triggered in situ. Such tests would give con-
an embankment on them slowly enough that drainage takes servative results, but they may be so consenvative as to be
place during construction, but the soils remain sufficiently unreasonable. In this case the deformations in situ should
contractive after consolidation under the new loads. be estimated using the procedures suggested by New-
One procedure for testing and evaluating such a case is mark.sT See "Design Considerations" (below).
as follows:
Pre-Earthquake Stresses and Strengths. The cyclic
l. Determine the critical sliding surface for the design load test specimens should be set up so that the F,,- and
earthquake or other undrained loading. .S,o-values in the laboratory are similar to those in situ. Also
2. Estimate the pre-earthquake stresses, which include the effective consolidation pressures, E3., in situ should be
(a) the driving shear stress, (b) the undrained steady modeled. AII these variables, S,p, .S,,, ra, and d3. c&onot
state strength, and (c) the range of effective normal be modeled simultaneously in any practical manner. There-
stresses for the soils in the critical zone(s). fore, a judgment, or check tests, must be made as to which
3. Calculate the equivalent cyclic loading for the design parameters have the most important effect on the strains
earthquake.6T measured during the tests.
4. Perform cyclic load tests on specimens that model the For mor'e plastic soils with large strains at peak, if the
in-situ pre-earthquake stresses and the seismic or ratio (ra + r)/S* is less than 1.0, it is likely to be im-
other undrained loading. portant to model this ratio properly in the tests, even if the
5. Evaluate the test results to judge whether liquefaction ratio (ra * r")f S* is not modeled well. Also it may be
will be triggered as a result of the strains caused in more important to model (ra I rr)f S,,p than to carry out
the critical zone(s) by the design undrained loading. tests at just the right effective consolidation stress, d3..
There are no data available at present on which to make
More details of this procedure are given below. It is as- the above judgments in advance. Therefore, they should be
sumed that an earthquake loading is the potential triggering made conservatively, to exaggerate the measured strains,
mechanism. A previously published case3s is used to illus- or check tests should be made to aid the judgment.
trate the procedures.
Seismic Shear Stresses. The earthquake-induced shear
Critical Sliding Surface during Earthquake. The crit- stresses may be determined utilizing the computer program
ical conditions may arise in the zone where the ratio (1 * SHAKE.68 The spectrum of the design earthquake should
r)/ S,o or the ratio (ra * rr)f 5,. is at its peak value. The be adjusted to the design peak ground acceleration and used
 314 ADVANCED OAM ENGINEERING FOR DESIGN. CONSTRUCTION, ANO REHABTLTTATION

SHEAR STRESS, KPO (Tr '1)/T0,"/"

20 40 60 80 roo 20 40 60 80
o

(b)
E5

I
UJ
(J
tr-
Eto PRoBABLE I
l OEPIH RANGE I
a FoR cRrr rcAL I
FAILURE sunrnce
u')
(9
z15 -,[
1
F
o
=20
J
td
m
T. 25
F
(L
s ,s Td fd rfy
ttJ x peok seismic sheor slress
o T._ =
lt
O.65
from SHAKE onotysis (68)

Figure 943. Shear stresses and strengths vs. depth.

to calculate the corresponding peak seismic shear stresses. The strains measured during cyclic load tests for a clayey
The dynamic shear modulus and damping as a function of soil may be reasonably representative of the strains that
strain for the SHAKE analysis should be determined from would occur in situ under the same stress conditions. For
resonant column or equivalent tests. One set of such data cyclic load tests on sands, this is not the case because their
is shown in Fig. 944.3s permeability is high enough that during cycling there is time
The peak cyclic shear stress obtained from SHAKE anal- for redistribution of the void ratio.
yses usually occurs once during the earthquake. In the Although the strains measured in cyclic triaxial tests may
triaxial tests, the cyclic shear stress, r-y, is usually applied not be greatly in error for plastic soils, the test itself is not
in uniform, sinusoidal Cycles. To account for this differ- a good model of in-situ shaking, principally because the
ence, the magnitude of the cyclic shear stress in the labo- inertia of the mass in situ restrains movement.5e Therefore,
ratory is taken as 0.65 times the computed peak seismic the predicted strains, based on cyclic triaxial tests, should
shear stress.67 The ratio of seismic stress to the effective be on the high (conservative) side.
normal stress on the failure plane prior to the earthquake is
set to be close to the in-situ value. Evaluation of Test Results. To estimate the intensity
of shaking that will trigger liquefaction, one needs to know
Cyclic Load Tests. Perform cyclic load tests on speci- (a) the strain that is necessary to reduce the resistance be-
mens that represent the critical zones in situ. The stress low the driving shear stress, and (b) rhe srrain that will be
conditions during the tests should be selected based on the caused by a given shaking intensity.
discussions under the previous subheadings. The strain needed to reduce the strength below the driv-
The results of a typical undrained cyclic triaxial test are ing shear stress is obtained from data such as shown in Fig.
shown in Fig. 9-45. The resulrs of a series of undrained 947, which represents an undrained vane test for a silty
cyclic triaxial tests are plotted in Fig. 946 in terms of the clay tailing. The driving shear stress is l0 kPa. Thus a
double amplitude shear strain reached for a given number shear strain tan 7 (Vo) of about 300% is needed to cause
ofcycles versus cyclic shear stress ratio. The axial strains, the resistance to drop below the driving shear stress. The
e1, from the triaxial tests were converted to shear strain acceleration caused by the difference between the driving
using the formula tan 7 = (l + y) e, where y(: 0.5) is shear stress and the decreased resistance when the local
Poisson's ratio. From such a plot one can estimate the strain strains exceed 300% would result in a liquefaction failure.
that will be caused by the earthquake loadings. The strains caused by a given cyclic loading are obtained
 EARTHFILL DAM DESIGN ANO ANALYSIS 315

(9
z9 -o (o)
ski
ac
50 tPo
roorPo
o l5O hPo
l'-n
loo,ooo

SIRESS. TIME. VOIO RAIIO (b)

80, ooo
24 OAYS, rc . I 46
o
o*
I

(9 . IOO tpo, l2 DAYS, !c . I 50

60,ooo
-f
J .sokPo, lO DAYS,
f
o
o 40,ooo

(r
UJ
I 20,ooo TORSIONAL VIBRATORY
a LOAOING
olc'_c
3c
H IOO mm Dio TOmm

to-5 lO-4 tO'5 tg-z tO-|

SINGLE AMPLITUDE SHEAR STRAIN , lon tr, 7o

Figure 9'1.4. Shear modulus and damping ratio vs. strain.

from Fig. 946. Extrapolation of the test data shows that a quake on the critical surface. Thus the cyclic shear stress
300% shear strain would be caused by ten cycles ofa cyclic needed to cause liquefaction is over three times larger than
shear stress ratio of 0.49. About ten cycles of a cyclic shear that induced by the design earthquake. It is reasonable to
stress ratio of 0. 14 are equivalent to the 0. I -g design earth- conclude that a 0. l-g earthquake would not trigger lique-
faction in this soil.

o 6c'l2t rPo
(o Strains Due to Design Earthquake. One can enter Fig.
)
--g dlc'roo rPo 9-16 with the design earthquake loading to estimate the
oe dr" ra
Q, z ' o'
strains in the vicinity of the critical surface. For the cyclic
2e==o
coMPRESsroN

c
Fe
@a-
rt t
I
I:'"j,]. -\uA
- --*==-?At
I !LLLL;-
10 ll{1il
sH€AR srREss REvERsAL vJ I I I
6= (q.O) OCCURS wrer qrzt*-0.t \lli I
o1o
oz -lO rN EXTENSToN V I
9; \ arra*.,on =trd
fFF
6u
z I
t
Ooubfa omglrlud! / -
throl ttrorn lor' az/
"::,:::i':T'_
MEASURE9 PCRE PRESSURES OO NOT FEFLECT
THOSE AT C:NTER OF SP€CIMEN EECAUSE RA1E

--f'::# --
&
- rO0
OF CyC:jNG {AS too aasi f0 PSIMTT PORE
PFESSUR€ EOUALIZATION

. U,.
---j-lyT
------f;t':':l--'- -
rb EXTENSIOil PEAK
COMPRESSION PEAX O.I e EARI}IOUAXE
6, ot rtrody rrot..3 lPo (b)
oo o

LOAD CYCLE NUMBER OOUBLE AMPLITUOE SHEAR STRAIN, TAN 7N

',
Figurc 9-{6. Cyclic stress r.rtio vs. stmin and nurnber of loatling eyclcs.
Figure 9-d5. Results of a cyclic triaxial test.
 316 ADVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCTION. AND REHABILITATION

c
Ate. 50 lpo o.

ls'l'61 o
o
U
G
o F
0
o_
-v E
U
I
(^
3.o
l! oaat2
E VANE DISPLACEMENT. mm
F O 20 /aO
U)
rrr I. y"
820
LrJ
:tr
U)
-tO kpo
Jrd

lo too t,ooo

ESTIMATED SHEAR STRAIN, TAN tr,7"

Figure 9-.t7. Undrained vane test on a silty clay tailing.

shear stress ratio of 0. 14 and for, say, ten cycles of load- ever, use of such a procedure for nonplastic soils is not
ing, a shear strain far less than 0. I % would occur. These advisable because the strains measured during cyclic load
movements are judged to be negligible forembankment de- tests are likely to be greatiy in error.s2
sign. This approach for estimating strains to be expected For the above reason, it is preferable to estimate defor-
in clayey soils due to seismic loading probably is conserv- mations of those embankments that are not susceptible to
ative, although reasonable. The water content redistribu- liquefaction by the methods of Newmark,sT Makdisi and
tion during cyclic load tests on low permeabiliry soils may Seed,sE Castro,se and GEI.6e These methods are beyond
cause only small errors. the scope of this section.
For design purposes the deformation that may be allow-
able is dependent on the embankment. The pertinent con-
Design Considerations siderations are: (l) the steepness of the valley walls; (2)
available freeboard; (3) the ability of a dam to withstand
Deformations during Seismic Loading. The defor- the effects of transverse or longirudinal cracking; (4) the
mations that occur due to seismic shaking in a mass that is quality of the core wall, if one is used; (5) the suscepribiliry
not susceptible to liquefaction, as opposed to the complete of supported structures to differential settlement; and (6)
failure and extreme deformations that follow a liquefac- the frequency of rccurrence of deformation-producing
tion, can be important to the design of an embankment. In events.
most cases, new embankments are designed so conserva- To date the deformation of embankments during seismic
tively, using standard procedures, that neither liquefaction shaking has not usually had an important influence on de-
nor seismic deformations are likely to have significant in- sign. However, if the factor of safety against liquefaction,
fluence on the design. However, for the foundations of new F*, is below 1.5, and if the design seismic event may ex-
dams and for existing dams that are being reevaluated, it ceed about 0. 15 g peak ground acceleration, it is worth-
may be cost-effective to evaluate potential seismic defor- while to estimate the deformations and evaluate their po-
mations. tential effects.
In the section on "Triggering Analysis" (see above), a
procedure was described for estimating whether strains Methods for Reducing Liquefaction potential. To
during seismic shaking of clayey soils may become large increase the factorof safety against liquefaction, 2., must
enough to cause failure. A similar procedure could be used be decreased or S* increased.
to estimate deformations of clayey soils even if they are The driving shear stress can be decreased by reducing
not susceptible to liquefaction, that is, F^ ) 1.0. How- the slope of the embankment, adding a berm at the toe, or
 EARTHFILL DAM DESIGN AND AilALYSIS 3T7

fa - vel.l
reducing the internal water pressurc. If practical, one could I
remove water from the critical zone to unsaturate it. In this (xsT^&E
way a seismic loading would permit the drained shear Itrrt'/rrtt
I
strength, Sa, to act, rather than the undrained strength. o I
The undrained steady state strength may be increased by o
J
densifying the critical layer, by replacing it with a com- G
I
J,.n, IETASTAALE
pacted material, by adding drainage columns so that sum- -o
lr,
I
cient drainage will occur during an earthquake to develop
a strength nearer to the drained strength, or by adding re- AVERAG€ LOAO.O€FORUATION
CTJNVE ALONG FAILNE SURFACE

inforcement, such as piles, caissons, cellular cofferdams, ",1*,

.frr", = /",r,
or slurry walls.
For embankment dams one could control the effects of SHEAR DEFORMATION

liquefaction potential by operating the dam with a low op-

Figure 9-48. Stability states in situ'
erating pool. The level should be low enough to cause tol-
erably low downstream damage if a liquefaction were to
occur.
greater than the corresponding steady state shear resis-
Selection of Factor of Safety against Liquefac- tances, as illustrated in Fig. 948, using the methods de-
tion. The factor of safety against liquefaction, Fu', com- scribed in this section.
puted using the procedures given above in the section on If an embankment is found to be in the metastable state,
"Liquefaction Evaluation Based on l-aboratory Tests," liquefaction is possible. For sands, one should avoid leav-
should be selected based on the nature of the soils, the de- ing the embankment in that condition. For clays, it is
sign loading conditions, and the consequences of failure. sometimes reasonable to leave the embankment in the
The F^-value should be considered in the same light as metastable state. One should assure that the strains that will
a factor of safety against the residual shear strength,22 be caused by future loading, taking into account progres-
which is often used when considering the long-term stabil- sive failure, will not be large enough to reduce the shear
ity of clay slopes in drained shear. Both are based on the resistance below the driving shear stress. However, if this
minimum strength (i.e., the steady state strength) that can is done, the deformations that may occur should be checked
be developed under the design loading, be it drained or to judge whether they will be tolerable.
undrained shear. Any embankment that is found not to be susceptible to
For the case of seismic loading of loose saturated sandy Iiquefaction may, nevertheless, deform excessively during
soils, the factor of safety, F,", needs to be only slightly a sufficiently intense earthquake. The more intense the de-
greater than 1.0 if the S,r-values are conservatively se- sign earthquake, the lower the factor of safety against liq-
lected based on sufficient test data. To use F^-values near uefaction and the more sensitive the structure to deforma-
1.0, it is necessary to carry out enough standard penetra- tions that may cause undesirable behavior, the more
tion tests to locate the l<iosest zones reliably and then to important it is to estimate and evaluate those deformations.
perform tests on sdmples from those zones. As the data Methods have been developed for evaluating liquefac-
become less reliable, higher factors of safety should be tion potential and the probability of triggering liquefaction,
used. This approach is similar to that used in clay slopes and for estimating deformations due to seismic loading. The
that may contain weak laYers. following areas require further study by members of the
In zones where the seismic loadings are significant, the geotechnical profession and related fields:
deformations of the embankment may control design. If
that is the case, then measures taken to limit deformations l. Evaluation of case histories to compare measute-
will also cause an incrcase in the factor of safety, Fu'. Thus ments of undrained steady state strcngth with the
when one increases Fu,, the likelihood of liquefaction and strengths mobil ized during liquefaction failures.
the magnitude of deformation during the design seismic 2. Procedures for calculating mobilized strengths during
event are both reduced. liquefaction failures.
3. Methods for measuring the undrained steady state
Closing Remarks. Liquefaction as defined in this sec- strength under dcsign conditions and for determining
tion is the undrained failure of an embankment that con- the uniqueness of the steady state line.
tains loose-saturated sands. Liquefaction may be triggered 4. Evaluation of case histories of deformations during
by construction loads, earthquakes, tide changes, and other seismic shaking and comparison with comPuted de'
undrained loading. To judge whether liquefaction is pos- formations.
sible, the engineer needs to determine whether the in-situ 5. Procedures for selecting parameters required to make
driving shear loads in the embankment are less than or deformation estimates, namely, shear moduli, damp-
 318 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHAEITITATION

ing ratios, equivalent seismic shear stresses, the yield ur Induced pore pressurc at steady state. kpa
strength, and the rate of softening due to continued w Weight of failurc mass, Newrons
shaking.
6. The relationship between strains measured in cyclic
Subscripts
load tests on sands and in-situ strains due to seismic
c After consolidation
loading; also the evaluation of test errors in cyclic p At peak in a strength test
load tests.
s At steady state in a strength test
Notations, Definitions, and Abbreviations
Greek
English cr Slope of line through origin and steady
state point on g-p- plot
Clearance ratio Inside diameter (ID) of tube minus ID of I Shear strain (radians)
cutting edge divided by ID ofcutting edge "Ya, Maximum dry unit weight from compac-
CPT Cone Penetration Test, ASTM D344172 tion test, N/m3
CU test Consolidated undrained test (R-test) 'f n Unit weight of water, N/m3
D Damping ratio, Vo ^[' Buoyanr unit weight of soil, N/m3
e Void ratio 6l Distance a failure mass moves down the
F Factor of Safety original steep slope, 0, during liquefac-
Fu" Factor of safety using undrained steady tion, meters
state strengths 62 Distance a failure mass moves along zero
G Shear modulus, kPa slope before it comes to rest after lique-
kPa Kilopascals (l kPa = 20 psf) faction, meters
L Length measured along failure surface, € Strain
meters €1 Axial or major principal strain
N-value Blowcount (per foot) measured using 0 Slope angle down which failure mass
Standard Penetration Test moves during liquefaction before encoun-
Nl N-value after correction for depth tering zero or near-zero slope
p One-half of sum of major and minor prin- v Poisson's ratio
cipal effective stresses on a specimen, kPa ol Major principal effective stress, kPa
q One half of principal stress difference on Er, Same, at steady state
a specimen, kPa at Minor principal effective stress, kPa
Q, q-value after consolidation 6t, Same, after consolidation
Qt q-value at steady state 6r, Same, at steady state
Q:' Cyclic component of q applied in cyclic oI Effective normal stress on failure surface,
load test.(single amplitude), kPa kpa
o Point where steady state line (e" vs. o-3") du Vertical effective normal stress in situ,
intersects dr" : 0 kPa
R-test Same as CU Test. A bar over the R sig- Tp Shear stress at peak ( = {, cos dp), kPa
nifies measurement of pore pressure dur- 7s Shear stress at steady state, kPa
ing shear. Ty Cyclic shear stress ( = {, cos d), kPa
s Shear strength, kPa oP Peak friction angle plotted in terms of ef-
Sap Drained peak shear strength, kPa fective stresses at peak points on stress-
sa, Drained steady state strength, kPa strain curves
.s_ Mobilized shear strengrh in situ or during 6, Same, but at steady state (same value for
a Standard Penetration Test, kPa drained and undrained shear)
sp Peak shear strength, kPa
s. Steady state shear strength, kPa
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