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The Effect of Impervious Clay Core Shape on the Stability of Embankment

Dams

Article  in  Geotechnical and Geological Engineering · July 2011

DOI: 10.1007/s10706-011-9395-z

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Geotech Geol Eng (2011) 29:627–635
DOI 10.1007/s10706-011-9395-z

TECHNICAL NOTE

The Effect of Impervious Clay Core Shape on the Stability

of Embankment Dams
R. Nayebzadeh • M. Mohammadi

Received: 10 June 2009 / Accepted: 4 February 2011 / Published online: 4 March 2011
Ó Springer Science+Business Media B.V. 2011

Abstract One of the most important dangers that
treat earth dams which can lead to interior failure
over a prolonged period is the hydraulic fracturing
factor. In the case of zoned dams, due to differences
in stiffness of the core and its abutment zone,
differential settlements occur between them. This
factor is responsible for the arching phenomenon.
Differential settlements between core and shell cause
cracks within the core initially sub-surface, Those
cracks may develop the first impounding causing
internal erosion on the dam core. In this research,
using a computer modeling of Ghavoshan rockfill
dam (located the west part of Iran) as a case study
computed by SIGMA/W program, the role of the dam
core shape on those factors is demonstrated. It is
found that an inclined core shape is preferred in a
condition that is especially important settlements of
construction during for dam body. The result of finite
element analysis indicates desired conditions from
the point of view of stress, deformation and resistance
against hydraulic fracturing for the same width of
R. Nayebzadeh
Faculty of Engineering, Urmia University,
P O Box 165, 57169-33111 Urmia, Iran
e-mail: Rezvan_7@yahoo.com
M. Mohammadi (&)
Faculty of Engineering, Urmia University,
P O Box 165, 57169-33111 Urmia, Iran
e-mail: m.mohammadi@mail.urmia.ac.ir
dam designs. Moreover, this can be higher priority for
embankment dam designs.
Keywords Embankment dam  Clay core shape 
Arching  Hydraulic fracturing  SIGMA/W
software
1 Introduction
The main purpose of stability analysis of an embank-
ment dam is to answer the following two fundamental
questions:
(1) How safe is the structure against a total or
partial failure?
(2) Will the deformations of the structure remain
within tolerable limits for the operation and
function of the structure?
The integration of dam structure should be
protected in its operation period or probable events
that occur in the dam operation. The stability of an
embankment dam should be secured by resting stress
at acceptable levels and dam core integrity in all of
anticipated events. One of the important subjects in
embankment dams is arching phenomenon occurring
in the interior body of the dam. Arching action is also
one of the hydraulic fracturing factors for embank-
ment dams (see Ng and Small 1999; Sherard 1991;
Narita 2000 for more detail). To minimize the

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628
horizontal cracking potential due to the arching
action such factors have important roles namely core
size and shape, material selection and its placement.
In this research, by considering much usage of clay
material on the core part of the earth and rockfill
dams is used for evaluation of the hydraulic fractur-
ing problem and core arching phenomenon. The
Ghavoshan storage dam located at the western part of
Iran is selected as a case study that has been
considered with changes at the geometric core shape
from vertical to inclined one.
2 Background and Literature Survey
Arching importance and its existence in rockfill dams
was reported for the first time by Lofquist in the year
1951 (Ohne and Narita 1977). Using pressure mea-
surements, he turned to considerable stress decrease
of lateral and vertical pressures of rockfill dam
having weak cores. Lofquist showed stress decrease
is greatly relevant to core settlements towards the
shell with the consequent load transfer from core
towards the shell. By the year 1960, a few consid-
erations about load transfer subject has been taken
into account, while by the year 1961, Nonvieller and
Anognosti had developed stress theories in respect to
the settlement of the core towards the shell (Ohne and
Narita 1977). By the year 1976, Kulhawy and
Gurtowski had considered load transfer and hydraulic
fracturing phenomenon in zoned dams and found that
load transfer within zoned dams will take place due to
the hardness differences of the adjacent zones (see Ng
and Small 1999; Sherard 1991 for more detail).
However, it is believed that the arching phenomenon
Fig. 1 Core shapes
and their location in
embankment dams sections
123
Geotech Geol Eng (2011) 29:627–635
is still one of the key issues in embankment dams
anguishing any civil and embankment dam engineers.
2.1 Zoned Dam Cores
The seepage preventative in zoned embankment
dams usually comprises a central or inclined com-
pacted toward upstream impermeable earthen core or
puddle clay core. Core size will depend on accessi-
bility, locality, and the properties of material. It will
also need to prevent high seepage gradient. Imper-
meable clay cores are constructed in embankment
dam sections at three major location and shapes,
namely: central vertical core, moderately sloping
core, sloping (inclined) core (see Fig. 1a–c).
When core downstream slopes are at 1V:0.5H or
more towards upstream, it is called moderately
sloping core. It is called sloping (inclined) core, if
the downstream shell and core contain a self-stable
slope about 1V:1.25H or less, This slope is usually
used in rockfill dams that downstream rockfill shell is
constructed in the form independent and the post
time, the upstream filter and core are performed
(French National Committee 1973; Reinus 1973).
2.2 Interior Erosion (Internal Failure)
By uncontrolled releasing of the water stored in dam, it
cab be distinct that a small amount of failure occurred.
Any abnormal appearance at soil shear resistance
which is against the original water operation suitably
shows failure may be due to the differential settle-
ments made by arching action. On the basis of studies
given by Babb and Mermel (1968) after overtopping, a
commonly important factor in embankment dam
failures is piping (or hydraulic erosion) (Ohne and
Geotech Geol Eng (2011) 29:627–635
Fig. 2 Differential settlement and cracking in core for
embankment dam (Ohne and Narita 1977)
Narita 1977; Babb and Mermel 1968). One of the
factors is cracking due to negative effective stress
arising from imported forces on dam body that can be
estimated by Finite Element Method (FEM).
2.3 Load Transfer or Arching Phenomenon
Since core is softer than shell, load transfer occurs
from core to shell. As a result of this action, pore water
pressure can become more than total stress within core
(Sherard 1991; Ono and Yamada 1993). This action
may lead to hydraulic fracturing and make of cracks
due to excessive water pressure. There is also the
possibility of piping in this case. Since more settle-
ments are within core with respect to the shell causing
differential settlements and core leaning to shell as a
result of much transformation of loads. Consequently,
it can create longitudinal cracks between them in
beneath the surface. Figure 2 shows cracking on the
zoned dams. If a zoned dam contains soft shell and
hard core, its reverse occurs, in other words load will
transfer from shell to core. This case of load transfer
may cause over stresses on core and it can be led to the
plastic yielding and brittle cracking on the core too.
Load transfer is evaluated with calculation of
vertical stresses (rv)in core toward overburden
stresses (cth)in each depth under crest. Less than 1
ratios shows that load of core will transfer on shell
and transient zone, whereas more than 1 ratios
indicates that load will transfer from shell and
transient zone to core of dam. Arching coefficient
(Acoef.) on dam core obtains from Eq. 1 as:
rv
Acoef ¼ ð1Þ
c: h
herein rv = Total vertical pressure (KPa), c = unit
weight (KN/m3), h = embankment height (m).
629
2.4 Hydraulic Fracturing Phenomenon
One of the most important problems that dam
designers confront with them is probability of the
cracking in zoned dams. In recent years, hydraulic
fracturing has been a matter of great concern in the
design and construction of embankment dams (Ogita
et al. 2002). considerable attentions on this subject
have been done with examination of previous sam-
ples. Extensive studies have been made on this
subject, especially since failure of the Teton Dam
(USA) occurred in the year 1976. Hydraulic fractur-
ing can be considered equivalent to the well-known
seepage failures such as quick sand and piping (Wang
et al. 2007). A typical pattern of cracking arises from
arching, which engineers often encounter in the field,
is shown illustrated in Fig. 3.
With respect to Fig. 3, both stresses namely r1 and
r3 decrease due to the arching action in the upper part
of the core, which cause internal cracking. It can be
seen that total stress circle becomes small (drop of r1
may be larger in this case) and shifts left. The
effective stress circle shifts left by the action of
upstream water pressure (pw) and touches failure
envelope to occur cracking and seepage fracture. Two
distinct patterns of hydraulic fracturing can be
considered in embankment dams:
(a) One is the case where differential settlement
after construction is contributive to cause
cracking in the embankment and erosion takes
place due to the flow of the reservoir water
passing through open cracks. When embank-
ment deformation is accompanied by differen-
tial settlement, tensile strains develop on the
surface or in the interior of the embankment,
and the minor principal stress (r3) tends to
decrease locally to open tension cracks. The
criterion for the possibility of hydraulic fractur-
ing in this case is given by the following
condition:
r3 \  pt ð2Þ
where, pt is the tensile strength in terms of total
stress. Corresponding stress state is indicated in
Fig. 4a, where the initial stress circle (I) grows on the
left side due to the decrease in r3 and touches the
failure envelop at the circle (II) to open tension
cracks.
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630
Fig. 3 Cracking arised in
dam core due to the arching
action (Ohne and Narita
1977)
Fig. 4 The hydraulic fracturing phenomenon in embankment
dams. a conditions for cracking: differential settlement after
construction causes decrease in minor principal stress (r3)
which leads to open cracks and internal erosion in embank-
ment. b conditions for seepage fracture: effective stresses in the
(b) The other pattern is the case where pore water
pressure in the core increases according as the
reservoir filling proceeds and the effective stress
0
(r3 ) decreases up to the effective tensile
0
strength (pt ) to open hidden or latent cracks
and stress states are illustrated in Fig. 4b, where
the initial stress circle (I) shifts to the left
without diameter change and touches the enve-
lope at the circle (II).
The criterion in this case is given by:
0 0
r3 \  pt
Hydraulic fracturing has been considered with
compare of principle stresses at construction final
stage to hydrostatic pressures that occurs under
reservoir loading.
3 A Brief Summary of Ghavoshan Dam
(A Case Study)
Ghavoshan rockfill dam has a vertical clay core
including 125 m height that is upon Gave Roud River
123
Geotech Geol Eng (2011) 29:627–635
core decrease as reservoir filling proceeds, where decrease in
0
effective stress (r3’) beyond tensile strength (pt ) causes open
cracks and erosion
located the western part of Iran. It is 38 km away
from Sanandaj city that it has been constructed to
provide the drinking water of Kermanshah city and
also needing water for irrigation.
By consider of done tests and reports on stability
analysis of dam foundation, it is assumed as rigid
materials.
4 Geotechnical Parameters and Modeling of Dam
Stress and strain behavior of dam materials has been
ð3Þ
considered by using finite element modeling and
computer simulating by plane strain method (Krahn
2008). So one case of stress transfer that is observed
in dam section, it can be expected with this analysis,
thus possible conditions of cracking potential can be
estimated with the analysis. To simulate in analysis of
dam stage construction, the dam height can be
divided into ten layers (12.5 m) at critical section
(Zienkiewicz and Naylor 1986). Tables 1 and 2
present some geotechnical parameters of the hyper-
bolic model usage for effective and total stress
analyses.
Geotech Geol Eng (2011) 29:627–635 631

Table 1 Geotechnical parameters for effective stress analysis

Materials type cwet (kN/m3) csat (kN/m3) K Kur n Rf C (kN/m2) / degree K (m/s) n%

Clay core 19.42 19.91 95 175 0.8 0.77 0 27 1 9 10-8 0.36

Filter & transient zone 18.63 19.12 458 687 0.18 0.8 0 35 – 0.18
Shell 20.6 21.09 780 936 0.23 0.67 0 45 – 0.28

Table 2 Geotechnical parameters for total stress analysis

Materials type cwet (kN/m3) csat (kN/m3) K Kur n Rf Kb m C (kN/m2) / degree

Clay core 19.42 19.91 97 136 0.363 0.93 40 0.2 39.23 7

Filter and transient zone 18.63 19.12 458 687 0.30 0.80 200 0.2 0 35
Shell 20.6 21.09 780 936 0.23 0.67 340 0.2 0 45

Fig. 5 Critical section

of Ghavoshan dam
(Ghavoshan Powerhouse
and Dam Design 2004)

Fig. 6 Vertical stress contours in the dam sections: a vertical core b inclined core

Tables 1, 2 give some geotechnical parameters of
dam core for stability analysis (Ghavoshan Power-
house and Dam Design 2004).
Figure 5 shows major section of the Ghavoshan
dam that in this research it is analyzed at downstream
and upstream critical sections (Ghavoshan Power-
house and Dam Design 2004).
5 Analysis of the Results
According to the analysis done (as Fig. 6a), it has
illustrated a lack of stress compatibility in the case of
the vertical core: load transfer from core to the shell
below the surface creates the possibility of brittle
cracking, representing a risk to the stability of the
dam. Stress concentrations exist on both upstream
and downstream sides of the vertical core, but in the
case of the inclined core, they occur only on the
upstream side, as it can be seen in Fig. 6b. Here,
brittle cracking might occur, but on the downstream
side, stress concentration is lower and the conditions
are more favorable than the vertical core.
According to the relevant stress analysis in the
upstream part of an inclined core, stress whirlpool
phenomenon (we call it) appears, in this special case.

123
632 Geotech Geol Eng (2011) 29:627–635

Fig. 7 Evaluation of Hydraulic Fracturing Hydraulic Fracturing

horizontal cracks in the dam (a) 140 (b) 140
P.W.P
core comparing with P.W.P 120
120

Elevation (m)
Total Vetical Stress
Total Vertical Stress
vertical stress and

Elevation (m)
100 100
hydrostatic pressure:
80 80
a vertical core b inclined
core 60 60

40 40
20 20
0 0
0 500 1000 1500 2000 2500 0 500 1000 1500 2000 2500
Pressure (kpa) Pressure (kpa)

Fig. 8 Evaluation of Hydraulic Fracturing Hydraulic Fracturing

vertical cracks in dam’s (a) 140 (b) 140
core comparing with P.W.P P.W.P
120 120
horizontal stress and Total Horizontal
Total Horizontal

Elevation (m)
Elevation (m)

hydrostatic pressure: 100 Stress 100 Stress

a vertical core b inclined
80 80
core
60 60

40 40

20 20
0 0
0 500 1000 1500 2000 0 500 1000 1500 2000
Pressure (kPa) Pressure (kPa)

This phenomenon causes the concentration of stress
and plastic yielding in an inclined core (see Fig. 6b).
The probability of hydraulic fracturing becomes
critical when the reservoir reaches its top level
quickly and the core has not sufficient time for
consolidation. Nobari and Duncan indicated that
rapid reservoir filling does not cause considerable
changes of core stresses (Nobari and Duncan 1972).
Then the present research compares the core major
stresses at the end of construction in the upstream
surface along with hydrostatic pressures due to full
reservoir loading that proceeded to detectable
hydraulic fracturing (see Figs 7, 8). These Figures
illustrate the relationship between reservoir water
pressure (pore water pressure) and total vertical stress
and consequently hydraulic fracturing.
Horizontal cracks represent an important problem,
because they are not observable and dam impairment
may occur before they become detectable.
Evaluation of vertical hydraulic fracturing in both
of dam cores does not suggest cracking of the
inclined core. but in the vertical core and comparison
between horizontal stresses and hydrostatic pressures
of the reservoir water at dam greater elevation
indicates that the possibility of vertical cracking and
long-term risk on the stability of the dam exist.
In a case of hydraulic fracturing or cracking
arising from arching, because of these cracks prob-
ability of destruction of core integrity exists.
Although total collapse may not be occurred, how-
ever the operation of the dam could be at risk,
because the possibility of obvious crack removes
don’t exist with passing of time. In a case of
occurring hydraulic fracturing or deformation and
or unsymmetrical displacement that dam endure
duration of this movements it will be caused various
cracks in dam. The importance of deformations is for
this reason that cracking potential after construction
of dam dependent to them. By reason of unsymmet-
rical settlement related to the different zones, longi-
tudinal cracks often occur in zoned dams.
Longitudinal cracks can develop parallel of dam axis
at the excessive length. with considering the analysis
made in the Fig. 9, concentration of settlement
contours in both of sides of vertical core indicated
differential settlements between core and shell that
can be led to longitudinal cracks in the body of dam,
but the settlement concentrations have seen in

123
Geotech Geol Eng (2011) 29:627–635 633

Fig. 9 Vertical displacement contours in dams having: a vertical core b inclined core

Fig. 10 Horizontal displacement contours in dams having: a vertical core b inclined core

Fig. 11 Upstream core (a) 140 (b) 140

horizontal displacements in X-Displacement
Y-Coordinate (m)

120 X-Displacement
contact with shell: a vertical 120
Y-Coordiante (m)

core, b inclined core 100 100

80 80
60 60
40 40
20 20
0 0
-0.6 -0.5 -0.4 -0.3 -0.2 -0.1 0 0.1 0.2 0.3 -0.6 -0.5 -0.4 -0.3 -0.2 -0.1 0 0.1 0.2 0.3
X-Displacement (m) X-Displacement (m)

downstream side of the inclined core that made
differential cracks in back of reservoir.
Horizontal displacement contours have been pre-
sented at Fig. 10 in two dams with vertical and
inclined core sections.
Presented in Fig. 11, horizontal displacements
within upstream of dam cores in contact with the
shell and also presented in Fig. 12 vertical displace-
ments at central part of dams height.
6 Concluding
On the basis of presented analyses and results in
previous sections, the main conclusions are:
1. Concentration of settlement contours in both side
of vertical core represents differential settlements
between core and shell that can be led to
longitudinal cracks in dam body but they are not
seen in downstream of inclined core. However,
differential settlements create cracks on joint
surface in core that can be opened at the first
reservoir filling and also it can be led to the piping
phenomenon in core.
2. If reservoir reaches oneself to the top level quickly,
there is hydraulic fracturing probability in upstream
side of the vertical core dam that too possibility of
destruction on obvious cracks risks don’t exists with
lapse of time, consequently vertical core shows
unsuitable conditions for this action.

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634 Geotech Geol Eng (2011) 29:627–635

Fig. 12 Vertical Diffrential Settlement

displacements in core (a) Differential Settlement 0
0 (b)
middle height: a vertical 200 250 300 350 400 -0.5 200 250 300 350 400
-0.5

Y-Settlement (m)
core, b inclined core -1

Y-Settlement (m)
-1
-1.5
-1.5
-2
-2
-2.5
-2.5
-3 -3

-3.5 -3.5

-4 -4
Diffrential
Differential -4.5
-4.5 Settlement
Settlement

-5 -5
X-Coordinate (m) X-Coordinate (m)

3. Using stress analyses, vertical core dam shows Acknowledgments The present study is funded by the
excess stress decrease because of the occurrence University of Urmia. The support is gratefully acknowledged.
Authors would also like to acknowledge Dr. Antony W.
of arching in both sides namely downstream and Wakefield of the University of Stanford of UK, for his valuable
upstream core. at near of foundation within shell, comments and discussions.
It then prepares shear stress concentration and
plastic yield conditions. It consequently makes
risk on the stability of the dam. In a case of
Appendix
inclined core, it may be seen only shear stress
concentration and plastic yield conditions at the
Index
upstream side, which we call it stress whirlpool
phenomenon.
4. Upper half of vertical core dam indicates that the n% = porosity percentage
shell lean towards to the core which can be led to K = hydraulic conductivity
brittle cracks on the dam crest. An interesting cwet = Unit weight of wet soil
point is that within inclined core dam in its upper csat = Unit weight of saturated soil
section, horizontal displacements of shell creates / = Friction angle of soil
only in smallness zone and it shows some C = cohesive strength of soil
suitable conditions from the viewpoint of no
cracking on the crest.
Nonlinear Elastic (Hyperbolic) Model
5. By considering the horizontal hydraulic fractur-
ing in two cores, it doesn’t exist in both of them.
The vertical core stresses show excess difference
towards water pressure, but differences between
stresses and water pressures in an inclined core
may increase in lower depth locally.
6. After discovering on the stress transfer problems
from compressible thin core to its adjacent zones
on dam section, from the viewpoint of settle-
ments and total stability, it is concluded that an
inclined core will show better behaviors than a
vertical core. This is because of making stresses Rf = ratio between the asymptote to the hyperbolic
by rockfill zones of upstream and full reservoir curve and the maximum shear strength
and also seepage does exist naturally for consol- K = modulus number describing the soil stiffness
idation of the core. Then arching potential will Kur = unloading-reloading modulus
decrease in cases of that core is more compress- n = a value describing the rate of change of the
ible than rock fill. soil stiffness as a function of the confining stress.

123
Geotech Geol Eng (2011) 29:627–635
Kb = bulk modulus
m = a value describing the rate of change of the
bulk mudulus as a function of the confining stress.
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