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Safety of Existing Dams: Evaluation and Improvement (1983)
Commission on Engineering and Technical Systems (CETS)

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183
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6 Concrele and Masonry Dams GRAVITY DAMS Gravity dams (see Figure 6-1) are the most common of the concrete and masonry types and the simplest type to design and build. A gravity dam depends on its weight to withstand the forces imposed on it. It generally is constructed of unreinforced blocks of concrete with flexible seals in the joints between the blocks. The most common types of failure are overturn- ing or sliding on the foundation. The foundation for a gravity dam must be capable of resisting the ap- plied forces without overstressing of the dam or its foundation. The hori- zontal forces on the dam tend to make it slide in a downstream direction, which results in horizontal stresses at the base of the dam. These in turn may try to induce shear failure in the concrete at the base or along the concrete-rock contact or within the rock foundation. Uplift forces, in com- bination with other loads, tend to overturn the dam, which in turn may cause crushing of the rock along the toe of the dam. There are a number of older dams in existence constructed of rock and cement or concrete masonry. These generally have been relatively small and are usually of some form of gravity-type configuration. Their greatest weakness generally lies in the tendency for the masonry or cement between blocks to deteriorate with resultant leakage, deformation, and general disintegration. 183

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184 SAFETY OF EXISTING DAMS Mox. I. S. El. 1065 - ~ ~ - El. 1077. 5 . A . o - : I'.'.' , :...'. !,;. .'.' \ . . - · . -. ~ - ~ . . ~ .. .N ~ - . Assumed gene ~ ~\,~\~ :: I. .~: foundation level.- .: .. : . . ok'.= !. A----- ~ c) loll i__ ~ ! '-~{ 5'`7'Tunnel in- - - - -High pressure grout holes. FIGURE 6-1 Gravity dam. SOURCE: Courtly, U.S. Bureau of Reclamation. Buttress Dams This is a form of gravity (see Figure 6-2) dam so far as the force distribution is concerned. It consists of a sloping slab of concrete that rests on vertical buttresses. Because of its shape there are high unit loads underneath the buttresses; thus, the foundation must not undergo unacceptable settlement or shearing. In addition to the factors mentioned for gravity dams, particular atten- tion must be paid to the quality and performance of the concrete in the face slab. Because of its relative thinness it cannot withstand excessive deterio- ration, pitting, or spelling that will decrease the strength of the slab and

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Concrete and Masonry Dams 185 increase its potential for seepage through the concrete. The buttresses also must be designed to withstand overturning forces. If their footings are too small, the resulting high unit loads can induce crushing in the rock. Because of their shape, buttress dams usually do not require extensive, if any, drainage systems, and drainage galleries within the dam would not be feasible. Arch Dams Arch dams (see Figure 6-3) are relatively thin compared with gravity dams. The forces imposed on such a dam are, for the most part, carried into the abutments, and the foundation is required only to carry the weight of the structure. The shape of the dam may resemble a portion of a circle, an .--Flat-slob or Ambursen dec k . . . 4] ~ At - | - struts or braces SECTION A-A , Tronsition section or corbel : - ---- Single - wal I buttress - - - ~D ,~ o ~ o o o O O O O ELEVATION FLAT-SLAB OR AMBURSEN TYPE I1''~ i.'., ·1, _ -fir ~ . lll r I ! + l.' _ lll ll .'!' If, ,., ., I r 11! 1;' 1 , Jim al,' 1 1 111 1! Cat lll 1 _ _ ''I DOWNSTREAM ELEVATION FIGURE 6-2 Simple buttress dam. SOURCE: Courtesy, U.S. Bureau of Reclamation.

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186 - SAFETY OF EXISTING DAMS - I\/iaximum cantilever element ~ Crown - ~ Top of dam-` ~ t 1 ~ ~ if ~ ~ -a - ~ al l! Ill l Cantilever ~~ 1' 11 1 / ~,=?~ - at, ~ - = - ~ by-== -= ~ = = 5- ,= ~ \t 1, 1 1 ,;Arch it', il ,' ., ',element ~t it 'I/ 11 ll , __D __ 1~ 1 1 \, ELEVATION (developed ) ~ Maximum cantilever element | Arch el ement PLAN SECTION AT CROWN CANTI LEVE R \_ FIGURE 6-3 Plan, profile, and section of a symmetrical arch dam. SOURCE: Courtesy, U.S. Bureau of Reclamation. ellipse, or some combination thereof. The dam usually is constructed of a series of relatively thin blocks that are keyed together (see Figure 6-4~. The construction joints that result may be grouted during or after construction or left open. In the latter case it is expected they will close under the reser- voir load. Occasionally, flexible seals may be installed in the vertical joints between the blocks. Because of the translation of imposed forces into the abutments, the de- sign must consider the amount of deformation (modulus of deformation) that will occur in the abutments when the various loads are imposed on the dam. If the deformation exceeds design criteria, tension cracking can occur in the concrete. (See the section Abutment or Foundation Deformation.) Because the design is predicated on the flexibility of an arch, it is generally

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Concrete and Masonry Dams 187 desirable that the modulus of elasticity of the rock abutments be less than that of the dam concrete. Although controversial, some designs do consider the possibility of up- lift. Thus, there may be drainage galleries and their appurtenant drain holes within the dam; drainage galleries and drain holes are generally in- stalled in the abutments. Possible failure modes in an arch dam are overturning, excessive abut- ment movement causing tension cracks in the concrete and subsequent rup- ture of the dam, mass movement of the abutments causing dam failure or disruptive stresses in the dam, and excessive uplift in the foundation that causes movement of rock blocks in the foundation and/or overturning of the dam. Arch-Gravity Dams In arch-gravity dams imposed loads are carried partially by the foundation and partially by the abutments. These dams are of block construction and have a cross section that has a mass somewhere between that of an arch and FIGURE 6-4 Concrete arch dam under construction; shows keys between blocks.

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188 SAFETY OF EXISTING DAMS that of a gravity dam. The comments made earlier for arch and gravity dams are applicable to this type of structure, too. Miscellaneous Types Various combinations of the types of dams described above may be de- signed for unique site situations. These include multiple arch (see Figure 6-5), multiple dome, compound arch, and gravity-buttress. The type of dam indicates the mode of distribution of the forces imposed on it. COMMON DEFECTS AND REMEDIES The following discussions are intended, first, to emphasize the defects and remedies that generally could be relevant to any type of concrete dam and, ~ . .. - am. ~ - : .-MultiDIe-arch deck ' -~ - Double -wall buttress A, . ..: it ~ . . : . -.- . c . . _ . ~ ~ . - ~3~- Transition section or face slab SECT I ON C-C Stiffener or cross-wolfs ELEVATION DOWNSTREAM ELEVATION FIGURE 6-5 Double-wall buttress multiple-arch type. SOURCE: Courtesy, U.S. Bureau of Bec- lamation.

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Concrete and Masonry Dams second, to indicate those remedies that are applicable primarily to a spe- cific type of dam. A summary of the discussions is presented in a matrix format in Table 6-1. 189 Abutments Joints, Fractures, Faults, and Shear Zones The orientation of major discontinuities in abutments is critical in relation to the distribution of stresses from an arch dam but not as critical for a gravity structure. For an arch dam the main consideration is whether the direction of such discontinuities is parallel to or closely parallel to the direc- tions of thrust from an arch (see Figure 6-6~. If so, movements can occur that would result in weakening or possible loss of large blocks in the abut- ment. For a gravity dam the potential for sliding may be greatest when the foundation rock has horizontal bedding, particularly where combines] with slick bedding planes. Consideration also must be given to a zone within the foundation rock that is peculiarly susceptible to the develop- ment of unacceptable uplift forces. The presence and behavior of large faults or shear zones in those abut- ment areas within the zone of stress influence of the structure is of potential concern. Mass abutment movement may occur because percolation of wa- ter through these zones or water-softening of the rock material may reduce the shearing strength or cause consolidation of the rock. If at the upstream side of the dam the zone is more pervious than at the downstream side, uplift or pressure buildup can occur. Seepage or Leakage Seepage developing in the abutments for any type of concrete dam can pro- duce a critical condition. It usually is associated with fractures or shear zones. Of particular note is whether such seepage at the outlet is clear or contains silt or rock fragments. If the water is cloucly, silty, or muddy the water flow may be eroding the rock material itself or washing out clay or other impervious material that has been in the rock cracks. Continuation of this process (piping) can weaken the overall strength of the abutment or can produce increasingly large channels for water flow. If left untreated, the openings can enlarge sufficiently to cause abutment collapse or major movement of the abutment with the creation of unacceptable stresses in the body of the arch. Clear water leakage may be of concern if the quantity represents an unacceptable loss of reservoir storage, or the water may lubri- cate rock surfaces or reduce the strength of the rock element or discontinui-

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190 TABLE 6-1 Evaluation Matrix of Masonry Dams SAFETY OF EXISTING DAMS Indicator Possible Causes Possible Effects Potential Remedial Measures (listed roughly in order of recommended action) (A) Concrete (general) Cracking (shallow) Crazing Spalling Freeze-thaw cycling Accelerated Reactivity deterioration Sulfate attach Reduction of Leaching allowable stresses Aging (B) Concrete (local) Spalling Stress and concentrations cracking Freeze-thaw action Differential movement Reduction of effective section Increased stresses Loss of weight Increased leakage deterioration Increase leakage Loss of section Stress concentrations Determine concrete qualities by testing. Coring Petrographic Density Sonic (geophysical) Porosity and permeability Impact Modulus of elasticity Determine loss of section and weight. Perform stress/stability analysis. Protect (seal) surfaces from exposure and water. Coatings Gunite Concrete Steel Remove and replace affected sections if cost- effective and if moisture can be kept out. Remove (in extreme cases only). Progressive Conduct survey and establish movement monitoring system. Install pins, monuments, or other devices to accurately measure opening and closing of joints. Determine quality of deteriorated concrete similarly to (A). Remove and repair deteriorated sections. Protect other surfaces with coatings or cover.

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Concrete and Masonry Dams TABLE 6-1 Evaluation Matrix of Masonry Dams (continued) 191 Indicator Possible Causes Possible Effects Potential Remedial Measures (listed roughly in order of recommended action) (C) Concrete Deep Excessive loading Increased leakage Determine depth/extent of crack- Overstress Accelerated cracking. ing Uplift deterioration Sonic testing Shrinkage (usually Progressive cracking Coring occurs early in Stress redistribution Interior inspection, from life) Increased stresses galleries if present Expansion Reduced stability Seal or grout cracks. Foundation Differential Evaluateshort- and long- movement movement term effects. Seismic activity Assess effects on stresses Loss of strength and stress Concrete creep redistribution. Assess potential for leakage and consequent results. Determine cause. Check for movement. Perform loading analysis. Perform stress analysis. Perform stability analysis. Eliminate cause if feasible. Increase drainage. Seal upstream face. (D) Leakage Moist or Cracks Increased rate of Review to determine if wet Deteriorated deterioration causes relating to (A) surfaces concrete Leaching apply and pursue same on Porous concrete Loss of weight remedial measures. concrete Loss of strength Determine depth and Increased leakage extent of cracks and see (C) for possible remedial measures. (E) Leakage Concen- Cracks Loss of concrete Map location of all leaks. bated Differential matrix Monitor quantities and through movement Loss of structural relate to reservoir concrete Open joints integrity elevation and other High uplift Increased uplift potential influencing Leaking pipes and conditions. conduits Determine path of water if Plugged drains possible.

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92 SAFETY OF EXISTING DAMS TABLE 6-1 Evaluation Matrix of Masonry Dams (continue&) Indicator Possible Causes Possible Effects Potential Remedial Measures (listed roughly in order of recommended action) Erosion or cavitation of concrete Leaching (F) Leakage (G) Leakage Detail inspection Dye tests Check condition of pipes, conduits, drains, etc. and repair if necessary. Assess short- and long-term consequences. After determining source, try to plug or seal the crack or opening at upstream side. Determine basic cause, e.g., movement, stress conditions, and correct. Through Self-sealing of Increased uplift Pursue essentially same concrete cracks Loss of concrete measures as for (E). (notice- Plugged drains Stress redistribution Improve drainage. able Broken drains change) Differential movement Concrete failure Foun- Foundation Foundation Map location of all peaks. cation deterioration weakening with Observe vegetation or and Inadequate drains potential failure other signs of moisture. abut- Openingof joints, Piping through Infrared film a meets seams, shears, foundation possibility etc. Increased uplift Pursue measures similar to Movement Loss of stability (E) Differential Specifically assess hazards movement of associated with slides, dam piping, or sloughing. Loss of revenue/ Seal source of leakage with water impervious membrane. Loss of storage Seal with sand-cement, chemical grout, or other cutoff. Provide controlled drainage system. Add free-draining stability material on downstream side.

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Concrete and Masonry Dams TABLE 6-1 Evaluation Matrix of Masonry Dams Continued 193 l Indicator Possible Causes Potential Remedial Measures (listed roughly in order of recommended action) (H) Movement Foundation settlement or heave Abutment movement Seismic activity Overtopping Excessive loading or uplift Concrete expansion due to chemical action (I) Development Foundation of offsets movement Differential movement Seismic activity Unforeseen loads (~) Erosion and Inadequate channel loss of capacity foundation at Channelization of toe or at outlets and spillway water (spills or stream flow) Lack of protection Overtopping Increased leakage Inoperable appurtenances Severe cracking Stress redistribution Reduction in stability Anomalous changes in section or plan Increased cracking and spelling Increased leaks Binding of gates and operators Undermining Loss of stability Complete failure of appurtenances Establish survey control system. Monuments for horizontal control— some must be sufficiently far from dam to be out of influence zone. Monuments for vertical control. Pins, monuments, plates, gages, etc., across joints. Inspect after each seismic event. Establish photographic record. Check for changes in leakage. Isolate whether cause is in foundation/abutment or dam. Review loadings. Analyze foundation or abutment similarly to embankment dam. Remedial measures are highly dependent on results of above. Same measures as for (H). Channel uncontrolled flows. Improve drainage with pipes, lined ditches, etc. Protect eroded area with concrete, "unite, rock or gabions as appropriate.

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202 SAFETY OF EXISTING DAMS amounts of material have been removed, simple repairs have been made at some dams with a very smooth epoxy coating. Large repairs have needed extra strong concrete, such as fiber-reinforced concrete. Steel plates have in some cases been installed on cavitated surfaces. Also, cavitation erosion of- ten can be prevented by the introduction, under the water flow, of air through slots or other openings. Where strength is a question, nondestructive tests, such as the rebound hammer or sonic velocity measurements, are only qualitative. The most accurate evaluation of strength can be made by extracting cores of a diame- ter two to three times the size of the largest particles in the concrete. These can be tested for compressive and tensile strength, for modulus of elasticity and Poisson's ratio, and for density. All of these properties are needed for any analysis of the behavior of a dam. Careful attention should be paid to the appearance of weathered con- crete surfaces. Pattern cracking may denote either drying shrinkage or, in extreme cases, alkali-aggregate reaction. Heavy surface scaling may indi- cate freeze-thaw effects or insufficient cement and, consequently, low strength. Experience with Deterioration at Drum Afterbay Dam The story of Drum Afterbay Dam is a good example of the detection and investigation of a dam with deteriorating concrete. Built in 1924, this dam was a thin arch structure, 95 feet high, situated at elevation 3,200 feet on the western slope of the Sierra Nevada Mountains in California. Aggregate for the concrete was crushed from the rock (schist) at the dam site, which turned out to be an unfortunate decision. Twenty years after construction the downstream face showed visible signs of deterioration due to frost action, with particularly noticeable deterioration in the horizontal joints between lifts. At that time some repairs were made by chipping out poor concrete and filling with "unite. After another 20 years it was apparent that a more thorough investigation should be made to pinpoint the causes of the worsening deterioration. This later study found, in addition to freeze-thaw action, visible signs of a possible alkali-aggregate reaction. At this time a more elaborate study was made, utilizing 6-inch and NX cores and sonic velocity measurements. From the cores, measurements were made of strength, modulus of elasticity, Poisson's ratio, density and ther- mal diffusivity, also, a careful petrographic examination was made. Corre- lations between pulse velocity measurements and strength were used to tar- get the areas of generally deteriorated concrete, which by this time had reached strengths as low as 1,400 psi. The petrographic examinations showed that the principal culprit was pyrites in the aggregate, which in

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Concrete and Masonry Dams 203 combination with the lime from the hydrating cement set up new com- pounds of low strength. After this the prognosis for the concrete was more of the same or worse. The dam was deteriorating at an accelerating rate, and the decision was made to replace the dam entirely (Pirtz et al. 1970~. Experience with Synthetic Materials for Concrete Repairs The strength and exceptional adhesive ability of certain synthetic materials have led to their application in repairing concrete both for surface treat- ment and for injection to seal cracks. Resins with low sensitivity to water have been used as bonding agents between old and new concrete. Epoxy- based and polyester-based resins have been widely used for facing on dams and other hydraulic structures. Epoxy-based resins of appropriate mix have been found to be more effective on damp concrete than polyester-based resins. The viscosity of resins used for injection can be varied from pump- able mortar to very thin grout. Careful workmanship is required to ensure lasting protection by resins. The Southern California Edison Company has made effective use of syn- thetics in sealing concrete surfaces. For example, the upstream face of Rush Meadows Dam, a concrete arch at high elevation in the Sierra Nevada, was coated in 1977 with a layer of "unite covered by two coats of polysulfide. The first layer of polysulfide was thin, placed over a primer, and was fol- lowed by a thicker final layer. The treated face effected a substantial re- duction in seepage and has shown no signs of distress, neither peeling nor general deterioration. Edison has made such applications on other dams with comparable success. Pacific Gas and Electric Company also has used similar techniques successfully. Repair of concrete by injection of synthetics has a less extensive record but holds promise in special cases. At the Corbara Dam in Italy an experi- mental attempt was made to seal cracks in buttresses (due to thermal shrinkage) by application of epoxy resins. Remedial work was done in the winter to ensure the widest opening of the cracks. The work entailed drill- ing, chemical washing of cracks, blowing with air, placing small copper pipes to drain and control grouting, superficial mortaring, and grouting at about 60 to 70 psi. Some of the work was done by flowing warm air into the crack prior to the injection. Several difficulties were incurred at some cracks, such as only partial penetration due to excessive viscosity or inade- quate adhesion because of moisture or unfavorable temperature. However, there was an appreciable improvement in shear strength along the cracks sufficiently treated with the resin. For internal remedy of general fine cracking in concrete structures, the potential for success can be enhanced by injection of resins into boreholes,

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204 SAFETY OF EXISTING DAMS with careful temperature control, drying with hot air, and proper venting (Vallino and Forgano 1982~. Experience with Steel-Fiber Concrete Where concrete is subjected to high impact or erosion or cavitation, im- provement can be obtained by removing damaged material and replacing it with a mix containing randomly distributed steel fibers. This was success- fully accomplished by the U.S. Army Corps of Engineers at Dworshak Dam in Idaho in the stilling basin and at a sluice. The fibrous concrete had a low water/cement ratio and a high cement factor and was placed in the more deeply damaged areas. Some surfaces were polymerized to improve durability. Fibrous concrete was used similarly for remedial work on the stilling basin at Libby Dam in Montana. Additionally, certain areas of floor slabs in the stilling basin were polymerized. Shallower repairs at Dworshak were done with epoxy mortar but did not prove satisfactory; most of it failed after a rather short period of service. Nonetheless, in other projects with less demanding service conditions, epxoy mortar has provided effective repair. STABILITY ANALYSES Concrete and masonry dams must interact with the rock foundation to withstand loads from the weight of the structure, forces from volume change due to temperature, internal water pressures (uplift), external wa- ter pressures, backfill, silt, ice, earthquake forces, and equipment (see Fig- ure 6-8~. Uplift pressures used in stability analyses should be compatible with drainage provisions and uplift measurements if available. Dams should be capable of resisting all appropriate load combinations and have adequate strength and stability with acceptable factors of safety. The fac- tors of safety recommended for various loading combinations are given in U. S. Bureau of Reclamation (1976, 1977) . The foundation has a significant influence in the stability evaluation of masonry structures. It must have adequate strength to support the heavy loads of the structure without excessive displacement. In addition, it must function as the water barrier with adequate provisions for drainage and relief of uplift. It should also be as free as practicable of such weaknesses as extensive weathering, faults, jointing, and clay seams. The existence of such defects at existing dams should be evaluated carefully to determine if they require treatment. Gravity dams can be analyzed by the gravity method, trial-load twist analysis, or the beam and cantilever method, depending on the configura- tion of the dam, the continuity between the blocks, and the degree of re-

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Concrete and Masonry Dams Hydrodynam ic horizontal forces from earthquakes (-) Reservoir water Coefficient of sliding friction between concrete ,, and rock (+) or (-)' Reservoir surface (+) ( ) Ice (T) ~ : .' (T) o . D. . . .. Concrete '4 (+) Stability Factors Instability Factors Seasonal Temperature Changes Cause These Loads to Vary \\ ~ . '\~A ~ '_ ~ :~r tAIPinht Load Components Force Direction . . . , ~ ~ 3~5Shear resistance of rock (+) ', _ ~ ~ ,' ~ _ ~ ~ , ~ Bearing capacity .' i ~ _ _ of rock (+) ,, ~ ~;: Tailwater Pressures (-) Drainage gallery FIGURE 6-8 Expected loads on a concrete dam. 205 finement required. The gravity method is the most common and is applica- ble when the vertical joints between individual monoliths are not keyed or grouted. Trial-loacl twist analysis and the beam and cantilever method are appropriate when the monolith joints are keyed and grouted; however, the gravity method can be used in this situation for an approximate or prelimi- nary analysis. Descriptions of these methods, together with safety factors and allowable stresses, can be found in U.S. Army Corps of Engineers (1958-1960) and U.S. Bureau of Reclamation (1976~. Arch dams are usually analyzed by the independent arch theory (limited to relatively small structures or analyses preliminary to more refined meth- ods) or by trial-load methods. Both two- and three-dimensional finite ele- ment methods of analysis are available and can be used to perform trial- load analysis or other stress-determination methods. Details of some methods, with appropriate safety factors and allowable stresses, can be found in U.S. Bureau of Reclamation (1977~. Flood Loading The evaluation of stability of gravity dams during a spillway design flood is necessary in deciding whether modifications, such as added spilling capac-

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206 SAFETY OF EXISTING DAMS ity or strengthening measures, should be accomplished. In most existing dams a probable maximum flood would overtop the dam. However, con- crete gravity dams on firm rock foundations are inherently resistant to overtopping flows provided stability against overturning and sliding are ensured and that the groin and foundation downstream of the dam are ca- pable of resisting erosion and disintegration resulting from impingement of the overtopping water. An analysis to determine stability during great floods should be based on conservative estimates of headwater and tailwater elevations. The analysis must consider site-specific conditions, such as quality of materials in the dam and auxiliary structures, foundation permeability and competence, and overturning. However, extensive damage to the structural components may be acceptable in certain cases for this extreme event. In addition to estimates of headwater and tailwater elevations, it is necessary to estimate the possible increase in the uplift loading on the structure. Seismic Loading Ground Motions The ground motions to be used in an analysis of the seismic load conditions are discussed in Chapter 5. Concrete Dam Response The way in which a dam responds to an earthquake is complex and varies with the type of dam and its foundation. For example, at a concrete dam on a rock foundation the earthquake motion is first felt at the foundation as rapidly changing motions in all directions, and many motions per second. Usually the horizontal accelerations are stronger than the vertical compo- nents of the motion, but all are present. The vertical acceleration adds to or subtracts from the weight of the dam. The dam responds by deforming elastically and developing stress. For a given seismic record methods now exist for determining these stresses and deformations. The computed stresses developed by the earthquake are compared with the strength of concrete cores obtained from the dam. In the latter circum- stance an allowance must be made for the rapidity of loading and the lin- earity of the analysis. Fresh cores must be used in these strength tests. Some concrete dams have been damaged by earthquakes; others have been left untouched. For example, Koyna Dam, a concrete gravity dam in India, suffered a number of major cracks near the top after the Koyna earthquake in 1967 (Chopra and Chakrabarti 1973~. However, these

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Concrete and Masonry Dams 207 cracks are confined mainly to horizontal construction joints. For safety the dam was later buttressed with additional concrete. On the other hand, Pa- coima Dam, a concrete arch dam in California, sitting practically on the epicenter of the San Fernando earthquake in 1971, was undamaged from a shock measured at over 1.2 acceleration due to gravity on one abutment. tThe recording at the abutment may be of questionable validity. However, peak horizontal acceleration at the dam base may have been on the order of 0.75 acceleration due to gravity (Seed et al. 107.~11. Methodology ,, Most existing concrete dams in potentially seismic zones were designed for seismic loads by using equivalent static forces. These forces were obtained by multiplying dam weight by a seismic coefficient. It is generally agreed that this method is adequate for structures located in seismic zones below 3 (see Figures 5-12 and 5-13~. In zones 3 and 4, or in other locations where the proximity to active faults warrants, a dynamic analysis should be made using, at a minimum, a response spectrum analysis. A time history analysis should be made where stress variations with time are critical. Descriptions of these methods can be found in Chopra and Chakrabarti (1973), Chopra and Corns (1979), U.S. Army Corps of Engineers (1958-1960), and U.S. Bureau of Reclamation (1976~. IMPROVING STABILITY General Measures An existing gravity dam that has questionable resistance against sliding or overturning may be improved in various ways, depending on the suspected cause of instability. If excessive uplift is a problem, foundation drainage can be improved by cleaning drains and/or adding more drains. Increased positive resistance has been accomplished by stressed tendons anchored in the foundation rock, addition of concrete mass, construction of concrete buttresses, or placing a buttressing embankment against the downstream face. Buttress and Multiple-Arch Dams Slab and buttress and multiple-arch dams built 50 to 70 years ago were designed on principles that may not meet modern standards. Many of these structures have been modified to overcome questionable stability, espe- cially in resistance to lateral loading, such as earthquake acceleration. In

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208 SAFETY 0F EXISTING DAMS some cases the strength of the concrete also has been found to be low. Cracks in various elements have indicated serious overstressing, even under normal loading. The arches forming the faces of some old multiple-arch dams have small central angles, so that the arches impose considerable thrust on the buttresses normal to their center lines. Such forces must be resisted partly by the adjoining arches if the buttresses are insufficiently braced. Some dams of this type originally had no steel reinforcement in the buttresses. In such cases cracking has typically been observed to extend di- agonally downward from the upstream to the downstream face, being open at the juncture with the arches but terminating in hairline cracks at the downstream extremity, suggesting a slight rotational movement of the buttress about its toe. Micrometer gage readings have generally not shown appreciable movement at such cracks after their initial formation. Stability analyses of slender buttressed concrete dams with minimal rein- forcement and bracing have disclosed typically that, even with relatively low seismic accelerations, the buttresses could be unstable. These weak- nesses can be overcome by reinforcing the buttresses in various ways. Suc- cessful methods of strengthening include posttensioning the buttresses and constructing bracing members between them. The addition of shear walls in alternate panels or bays has in some cases provided effective lateral resis- tance. Shear keys have typically been provided at the joints, and bolts have been extended through the buttresses, with large bearing plates on the back side to distribute the bolt load on the old concrete. Horizontal beams bolted between buttresses also have served effectively. A basic requisite is that the connections between bracing elements and buttresses be detailed in such a way that lateral loads are transferred safely. Otherwise, the struts might be of less benefit than intended. In an investigation of buttressed concrete dams in California, concrete strengths in some of these structures were found to average less than 2,000 psi. For example, the compressive strength of concrete cylinders taken from one old multiple-arch dam averaged 1,889 psi and varied from 1,225 psi to 3,185 psi. This wide variation was attributed primarily to deficiencies in quality control during construction. No evidence of alkali-aggregate reac- tion was found. Where such chemical activity has been involved, even broader ranges of strength have been observed, with the minimum being less than one-fourth the maximum in some cases. In such cases the principal emphasis must be on the low-strength zones of the dam. A complete deter- mination of structural adequacy necessitates data on the whole strength envelope, including both the range and distribution of values. Lack of uni- formity of strength may induce excessive stress concentrations in low- strength areas, particularly if the weak zones are large. A concrete dam may have the capability to bridge across defects of limited extent.

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Concrete and Masonry Dams Rollcrete 209 The threshold of a new technology was recently crossed by design and con- struction of Willow Creek Dam in Oregon, by the U.S. Army Corps of En- gineers. This dam is made entirely of roller-compacted concrete, which is essentially a well-graded gravel fill containing cement. Other dams of this type are in the design phase. The costs of concrete placement and construc- tion time are reduced substantially by using this method. Rolicrete differs from soil cement in several important respects, primarily related to the mix, although both are placed in layers and are compacted by rollers. The cement content of soil cement may range as high as 18 % by weight. In contrast, the cement content of rollcrete may be between 2.S and To by weight. Compared with regular concrete, rollcrete requires less cement to attain equal strength, and its mix demands less strict processing and grada- tion. Compaction ensures denser concrete. The promise of this new tech- nology may be greatest in construction of large new structures, where the potential economies of scale are obvious. However, it would appear to offer advantages also in remedial work on existing dams. For example, it would have useful applications where mass concrete sections have to be enlarged or where spillways and other channels need to be extended. Experience at Condit Dam The 125-foot-high Condit Dam in the State of Washington was rehabili- tated in 1972 by improved drainage facilities and by installation of steel anchors (deSousa 1973~. This concrete gravity structure, 60 years old at that time, had been determined to have a marginal factor of safety under normal loading conditions and to have inadequate resistance to extreme loadings by flood or earthquake. The concrete was in satisfactory condi- tion, but the drains were only partially effective. Nearly full uplift pressure occurred at the midpoint of the dam base. In one phase of the remedial program a series of new drain holes was drilled radially from two sluice pipes that pass through the dam at low level. This reduced the uplift pres- sure from a maximum of 33 psi to less than 8 psi. Concrete cores recovered from the drilling had test strengths varying from 2,760 psi to 6,690 psi, with an average of 4,470 psi. Under extreme loading the dam would have been stressed in tension at the heel up to unacceptable levels. Therefore, as an additional remedial measure, steel anchors were installed to limit tension to 20 psi. Twenty-two posttensioned anchors were installed in the dam, and 3 were placed in the spillway foundation. The anchors varied in length from 50 to 100 feet and, each was loaded to about 300 Lips. The typical depth of embedment in the

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210 SAFETY OF EXISTING DAMS basaltic foundation was 25 feet. Other corrective work at the Condit Dam included pumping of 470 cubic yards of concrete into a fissure under the spillway structure and drilling six drain holes radially upward from the diversion tunnel to the base of the dam. Experiences at Spaulding Dams Three separate concrete dams form Pacific Gas and Electric Co.'s Lake Spaulding in California. The main dam is a 276-foot-high arch-gravity dam. Dam 2 (the main spillway dam) is a 42-foot-high gated gravity struc- ture. Dam 3 is a 91-foot-high gravity buttress dam. All three dams were built between 1912 and 1919, and the concrete had deteriorated signifi- cantly. The investigations and improvements to these dams illustrate some varied economical solutions to different problems. Investigation of the concrete in the main dam included determination of concrete strength, density, modulus of elasticity, and overall quality as de- termined by sonic velocity testing. Coring was done to determine depth of cracks and deterioration as well as the bond between lifts. Chemical analy- ses of reservoir and leakage water were made. Recording thermometers were installed in the dam to determine seasonal concrete temperatures. Stress/strain gages were applied to the surfaces to record these values for comparison to water loading and temperatures. Stress analyses were conducted using both two- and three-dimensional finite element methods of analysis. Various input parameters for concrete and foundation properties were used. For dams 2 and 3 conventional static stability analyses were made. Dam 3 was found to be marginally stable. Dam 2 was stable for existing loads but required anchors to accommodate loads resulting from increased flood loading. The main dam was improved by constructing a 12-inch-thick reinforced concrete membrane over most of the upstream face after the old deterio- rated concrete was removed. Vertical drains were placed between new and old concrete at the vertical joints. This membrane reduced leakage and prevented further deterioration of old concrete. The dam crest was raised slightly to increase the spillway capacity at dam 2. At floods greater than the 1: 500-year occurrence level the main dam will overtop, so protection for downstream appurtenances was provided. Two radial gates were added at dam 2 to increase spillway capacity. Posttensioned anchors were installed to improve stability under the in- creased water level conditions. An epoxy coating was applied to the con- crete to prevent further deterioration. Dam 3 was partially reconstructed with a trippable flashboard type spillway at its lower end. In its higher reaches, where overtopping could

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Concrete and Masonry Dams 211 not be tolerated, the crest was raised slightly. A reinforced concrete mem- brane was constructed on the entire upstream face, and rockfill was placed against both upstream and downstream sides for part of their height, in order to increase stability. This is an example of a fully integrated approach to resolve deteriora- tion, stability, and spillway capacity problems. REFERENCES Abraham, T. I., and Lundin, L. W. (1976) T. V.A. 's Design Practices and Experiences in Dam and Foundation Drainage Systems, Transactions, ICOLD. American Society of Civil Engineers (ASCE) (1982) Proceedings, Grouting in Geotechnical Engineering, W. H. Baker, ea., New Orleans. Chakrabarti, P., and Chopra, A. K. (1973) "Earthquake Analysis of Gravity Dams Including Hydrodynamic Interaction," International Journal of Earthquake Engineering and Struc- tural Dynamics, Vol. 2, No. 2 (October-December), pp. 143-160. Chopra, A. K., and Chakrabarti, P. (1973) "The Koyna Earthquake and the Damage to Koyna Dam," Bulletin of the Seismological Society of America, Vol. 63, No. 2, pp. 381-397. Chopra, A. K., and Corns, C. F. (1979) Dynamic Method for Earthquake Resistant Design and Safety Evaluation of Concrete Gravity Dams, Transactions of ICOLD Congress, New Delhi. deSousa, S. A. (1973) Rehabilitation of an Old Concrete Dam, Proceedings of Engineering Foundation Conference on Inspection, Maintenance and Rehabilitation of Old Dams, Pa- cific Grove, California. Goodman, R. E., Amadei, B., and Sitar, N. (in press) Analysis of Uplift Pressure in a Crack Below a Dam, paper given at ASCE Annual Convention, New Orleans. Pirtz, D., Strassburger, A. G., and Mielenz, R. C. (1970) "Investigation of Deteriorated Con- crete Arch Dam,~' American Society of Civil Engineers, Power Division Journal, January. Seed, H. B., Lee, K. L., Idriss, I. M., and Makdisi, F. (1973) Analysis of the Slides in the San Fernando Dams During the Earthquake of February 9, 1971, Earthquake Engineering Re- search Center, Report No. EERC 73-2, University of California at Berkeley. U.S. Army Corps of Engineers (1958-1960) Gravity Dam Design, EM 1110-2-2200, Govern- ment Printing Office, Washington, D.C. U.S. Bureau of Reclamation (1976) Design of Gravity Dams, Design Manual for Concrete Gravity Dams, Government Printing Office, Washington, D.C. U.S. Bureau of Reclamation (1977) Design of Arch Dams, Design Manualfor Concrete Arch Dams, Government Printing Office, Washington, D.C. U.S. Committee on Large Dams (1975) Lessonsfrom Dam Incidents, USA, ASCE, New York. Vallino, G., and Forgano, G. (1982) Design Criteria for Improvement of the Concrete But- tresses of Corbara Dam, Transactions of 14th Congress, Rio de Janeiro, ICOLD. RECOMMENDED READING Chopra, A. K. (1970) "Earthquake Response of Concrete Gravity Dams," Journal of the Engi peering Mechanics Division, ASCE, Vol. 96, No. EM-4 (August), pp. 443-454. Dungar, R., and Severe, R. T. (1968) Dynamic Analysis of Arch Dams, Paper No. 7, Sympo- sium on Arch Dams, Institution of Civil Engineers.

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212 SAFETY OF EXISTING DAMS Golze, A. R., et al. (1977) Handbook of Dam Engineering, Van Nostrand Reinhold, New York. Howell, C. H., and Jaquith, A. C. (1928) "Analysis of Arch Dams by Trial-Load Method," ASCE Conference Proceedings International Commission on Large Dams (1970) Proceedings, Xth Congress, Montreal, Re- cent Developments in the Design and Construction of Concrete Dams. International Commission on Large Dams (1979) Proceedings, XIII Congress, New Delhi, "Deterioration or Failures of Dams." Jansen, R. B. (1980) Dams and Public Safety, U.S. Department of the Interior, Denver, Colo. Proceedings of the Engineering Foundation Conference (1973) Inspection, Maintenance and Rehabilitation of Old Dams, Pacific Grove, Calif. Proceedings of the Engineering Foundation Conference (1974) Foundations for Dams, Pacific Grove, Calif. Proceedings of the Engineering Foundation Conference (1976) The Evaluation of Dam Safety, Pacific Grove, Calif. Severn, R. T. (1976) "The Aseismic Design of Concrete Dams," Water Power and Dam Con- struction, pp. 37-38 January), pp. 41-46 (February). Structural Engineers Association of California (1975) Recommended Lateral Force Require- ments and Commentary, San Francisco. Thomas, H. H. (1976) The Engineering of Large Dams, Vol. I, John Wiley & Sons, New York. U.S. Bureau of Reclamation (1977) Design of Small Dams, Government Printing Office, Washington, D.C. Westergaard, H. M. (1933) "Water Pressure on Dams During Earthquakes," Transactions ASCE, Vol. 98.

Representative terms from entire chapter:

existing dams