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Chapter

Geotechnical Engineering Applied

on Earth and Rock-Fill Dams
Raúl Flores-Berrones and Norma Patricia López-Acosta

Abstract

This chapter presents the importance of geotechnical engineering on the site

selection, design, construction, operation, and maintenance of earth-rock dams
and earth structures; it emphasizes the geotechnical engineering work related to
dam safety during the operation stage. Preliminary geological studies required to
select the best dam site are described first. Next, the field and laboratory studies
related to the curtain design and dam foundation treatment, as well as geotechni-
cal studies required for the construction, operation, and maintenance of the
dam, are discussed. Recent developments in the following three areas are also
included: (a) seismic considerations for the design, construction, and main-
tenance of earth dams; (b) importance of water flow control through the dam
embankment and dam foundation, required to avoid internal soil erosion and
excessive pore pressure; and (c) dam safety in Mexico and around the world. A
case history of a recent failure is used for illustration purposes. In this example,
design and construction shortcomings resulted in serious damages on an earth
dam. Conclusions and recommendations related to this topic are presented at the
end of this chapter.

Keywords: earth-rock dams, dam safety, geotechnical engineering, hydraulic works,

soil erosion

1. Background

As is well known, the construction of earth dams dates back many centuries,
whose main objective has been the storage of water and flood control.
Due to many reasons, mainly social and environmental, the construction of new
dams has led to the operation and conservation of existing structures. This fact has
caused geotechnical engineering to be involved in the dam safety management;
therefore, it is essential to know the principles of analysis and design with
which they were constructed.
There are multiple factors that intervene in the selection of the type of dams; but
the topography, regional geology, the availability of construction materials, seis-
micity of the area, the hydrology of river basin, the environment and
geotechnical conditions of the reservoir, and the curtain site are the most
important [1]. Thus, the type and classification of the dam dictate the magnitude
of the previous and definitive studies to execute the work [2, 3].

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Hydraulic Structures - Theory and Applications

2. Geotechnical engineering in preliminary studies

Geological studies play a key role in the early stages of analysis. Its objective is
to know the quality and characteristics of the materials, mainly of the areas where
the dam is to be constructed. However, these studies must continue at the
preliminary stage, project, and throughout the construction of the work.
Some examples of geological investigations can be geological and geotechnical
cartography, exploratory excavations (trenches, galleries, or tunnels), and identifica-
tion of rock mass discontinuities and their geomechanical classification (e.g., [4–
6]).
In the case of soil mechanics studies, it is advisable to include the following
activities:

• Collection of information: geologic maps, previous studies, aerial photographs

and satellite images, etc.

• Recognition visit: preliminary identification and classification of soils

and, in particular, its geological origin, visual classification, and soil
site characterization.

• Programming of geotechnical boreholes: depth of the explorations, number

and type of boreholes, sampling method, etc.

• Measurement of in situ properties: shear strength, permeability, shear

modu- lus, and instrumentation

• Laboratory tests: index properties, mechanical properties, and compaction

tests Regarding rock mechanics analysis, it is advisable to carry out studies of the

rock
mass, for example, origin and degree of weathering of the rocks, rock quality,
clas- sification, characteristics of the joints, location of faults or old landslides,
perme- ability, compressibility, deformability, shear strength, and susceptibility of
the rock to the change of its properties due to wetting.

3. Geotechnical engineering in design

At the design stage, there are two conditions to keep in mind: safety and
economy. However, the selection of the type of dam depends on geotechnical
aspects such as (a) type, quality, characteristics, and location of the materials for its
construction; (b) characteristics of the foundation at the dam site; and (c)
stability of slopes in the reservoir and embankments of the dam. In addition, the
dam axis depends on the characteristics and geotechnical properties of the
foundation.
Concerning the characteristics of the materials for the construction of earth
dams, those that are dispersive, collapsible, or susceptible to piping should not be
used. In addition, for the design of this type of dams, the mechanical properties of
earth materials must be taken into account, for example, shear strength, compress-
ibility, and permeability. If the dam is located in a seismic zone, the dynamic
shear modulus and damping of the materials must also be obtained.
Regarding the compressibility and shear strength of the foundation materials,
the short- and long-term settlements of the dam have to be analyzed. As for the
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volume of water that passes through the foundation, the type of treatment and
alternatives to reduce the flow will be defined by the permeability of the materi-
als. Similarly, when the dam is located in a seismic zone or an area susceptible to

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vibrations (e.g., near borrow areas where explosives or related works are used), the
susceptibility to the liquefaction phenomenon must be evaluated.
The compacted layers thickness, the inclination angle, the materials, and con-
struction procedures of the dam embankments are governing by the upstream and
downstream slope stability analyses. These analyses must consider different loading
conditions: full dam, empty dam, rapid filling, rapid drawdown, seismic effect,
and so on. Additionally, the susceptibility to piping must be analyzed, which is
why it is important to consider the design and installation of filters and transition
zones.
Finally, in the economic aspect, transportation and the treatment processes for
the materials directly influence the total cost of the work.

4. Geotechnical engineering in construction

The participation of the geotechnical engineer is indispensable in the different

stages of the construction of dams, in particular, to verify that the materials and
activities correspond to the design and planning of the work.
Special care should be taken in the construction of structures that cross the dam,
for example, the spillways and intake structure, among others. The inadequate
control of the compaction and characteristics of the materials in the periphery of
these ele- ments can cause the phenomenon of internal erosion and piping. In fact,
it is in these areas that erosion and piping processes begin. Both situations have
caused the failure of numerous earth dams. A particular case is the Teton Dam that
[7] described.
It is also important to control the grain-size distribution specifications of the filter
and drainage areas, especially when they are placed on the site. There are experiences
of plugging and malfunctioning of filters, precisely because of the segregation of soil
particles or because of the lack of compliance in their characteristic grain-size.
Likewise, in the construction process, it is important to implement the dam to
evaluate its behavior as the construction progresses. The above will allow
taking corrective measures before any eventuality, for example, reduce the speed of
con- struction and build berms on the slopes to reduce the stresses acting at the
bottom of them, among others.

5. Geotechnical engineering in operation and maintenance

The presence of the geotechnical engineer in the operation and

maintenance of a dam helps to solve any eventuality. In addition, its presence
supports quick decision-making to avoid damage or failure in the behavior of
the dam and the foundation.
According to the life of the dams, the aging of the materials is an
important aspect of their safety. This effect causes the earth materials to undergo a
change in their structure, composition, and properties, which are due to the
microbiological activity of chemical or mechanical processes that have during
the useful life of the work. As a result, these changes cause the softening, loss or
gain of rigidity or
strength of the material, alteration of its hydraulic conductivity, and so on. Aging of
the materials can also cause the clogging of drains and filters. Mitchell [8] described
an example of a dam affected by age.
It is vital to establish a dam security system that evaluates and prioritizes
those that require immediate attention. In this sense, geotechnical engineering can
contribute significantly to the design of mechanisms to assess their condition and
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Hydraulic Structures - Theory and Applications

define the hazard level for their repair or rehabilitation. In this regard, several coun-
tries have developed techniques for this essential part of the life of dams [9, 10].

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6. Seismic considerations in dams

The damage or effect of an earthquake on earth and rock-fill dams depends on

the geology of the site, soil conditions, stability of the foundation, characteristics
of the slopes, and slopes in the reservoir, as well as the seismo-dynamic
consid- erations that are taken into account in the analysis of complementary
structures (spillways, intake structures, etc.).
The seismic effects on dams usually result in dam settlement, landslides in the
area of the reservoir, or embankments. Such effects also appear as cracks in the
structures that complement the dam, which can cause excessive water seepage
through the dam and soil erosion. In addition, the earthquake can cause soil
liquefaction if dam is constructed on low density or uncompacted soil layers [11,
12].

6.1 Analysis methods

There are several methods of analysis for the evaluation of seismic effects in
dams; however, they can be summarized in two stages of main interest:

1. Establish the seismic environment under which the dam does not fail. In this
case, the ICOLD [13] in its Bulletin 72 recommends considering the
design earthquake for two levels of severity: maximum credible
earthquake and operating basis earthquake.

2. Define the analysis methodology according to the magnitude and relevance of

the dam, as well as the design stage (preliminary or final) and the risk involved
in the failure of the dam.

Some traditional methods of analysis for seismic design in dams can be

pseudostatic [14, 15] and finite element. Table 1 summarizes the general aspects of
each of them.
The information required by the above methods is summarized in the following
points:

a. Seismicity of the area. Acceleration and maximum velocity of the terrain,

spectral acceleration, magnitude, epicentral distance, seismic sources, return
period, and accelerogram representative of the area.

[Link] aspects. The occurrence of superficial faults, induction of seismicity

due to the effect of the first filling of the reservoir, and liquefaction of
sands in the foundation and/or body of the dam must be foreseen, in addition to
the existence of landslides in the area of the reservoir or the dam.

c. Material properties. The G modulus (obtained from the dynamic shear stress-
strain curve) and hysteretic damping, D.

[Link] the case of clays, the dynamic effect of the shear strength with respect to the
resistance in static conditions must be taken into account.

e. In the case of sands, susceptibility to liquefaction should be considered accord-

ing to their relative density.

6.2 Inspection after an earthquake occurred

In dams located in seismic zones, there must be a guide to carry out immedi-
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Hydraulic Structures - Theory and Applications

ate and subsequent inspections. Both inspections should focus on the dam, the

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Generalities Method

(1) (2) (3) (4)

Consider a rigid sliding wedge X X
Consider a single dynamic pulse X
The resistance of the soil is assumed constant during the occurrence of the earthquake X X X
The coefficient of kinetic friction remains constant and equal to static friction X X X X
The creep acceleration is constant throughout the sliding surface X X X X
It assumes a single fault surface X X X
Does not take into account superior vibration modes X X X
Does not consider the three components of the earthquake X X X X
Note: (1) Pseudostatic, (2) [15]; (3) [14]; (4) 2D finite element

Table 1.
Overview of traditional methods for seismic analysis of dams.

embedments, the foundation, the area of the reservoir, and the auxiliary works
(inlet and outlet channels, spillways, intake structures, tunnels, and electrome-
chanical equipment, among others).
In the case of immediate inspections, it is necessary to report any damage such
as landslides, settlements, cracks, and groundwater seepage that did not exist
before the earthquake. Similarly, it will be relevant to analyze the information
recorded
by the instrumentation, mainly to know the condition and behavior of the elements
of the dam. The immediate inspection must be maintained for a period of not
less than 48 hours. Thus, those responsible may establish emergency strategies if
there is a potential risk of failure.
On the other hand, in the subsequent inspections, groups of engineers who are
familiar with the project and the construction of the dam must be involved. In
this way, the magnitude of the damage and the risk that the work represents are
evalu- ated. Unquestionably, the purpose of the subsequent inspection will be to
determine the forms and possible causes of failure. In particular, the inspection
should focus on the condition of the foundation, for example, differential
settlements, land- slides, excessive pore water pressures, groundwater seepage, etc.
It should be added that the North American Great Dams Committee 1986
proposes a format for the inspection of these works. Likewise, [16] mention some
recommendations for the inspection of these structures.

[Link] of seepage control

There are three main causes related to dam failure due to groundwater move-
ment: (1) soil piping, (2) uplift, and (3) excessive water seepage through the dam.
Some typical measures to solve these problems are (a) adequate selection of
mate- rials for construction. (b) reduction of water seepage through a design that
considers the geological conditions of the site and the permeability of the materials,
(c) control of the compaction of the material and other construction procedures, (d)
definition of transition zones between materials of different granulometries (filters),
and (e) construction of relief wells that reduce and control pore water pressures.

7.1Soil piping

Piping is a consequence of the seepage forces caused by the groundwater move-

ment. This phenomenon is produced by the removal and dragging of soil solid
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Hydraulic Structures - Theory and Applications

particles. Piping occurs when the resistant forces of the soil are less than seepage
forces. Resistant forces depend on several factors, but the cohesion, binding, and
weight of the solid particles are the most important. Thus, for example, in earth
dams, the filters located upstream and downstream of the dam help to combat the
piping phenomenon [17]. Table 2 relates the resistance to piping for different types
of soil. In summary, the soils most susceptible to piping are the fine sands that are
poorly compacted, whereas the soils with greater resistance are the clays of high
plasticity.
The problem of piping can start in any crack caused by differential settlements
of the dam, earthquakes, tension cracks, holes left by roots and rotten tree trunks,
and, even, by holes or burrows excavated by animals. Frequently, soil piping occurs
between contacts of rigid structural members of the dam and loose or poorly
compacted materials.

7.2Seepage forces

The seepage forces intervene in the stability of the slopes of the dam. Among
the most critical conditions to which a dam may be subject during its useful life are
(a) rapid filling of the reservoir, (b) steady-state groundwater flow with the normal
water level, and (c) rapid drawdown of the reservoir. Before this, whatever the
condition of analysis, it is necessary to draw a flownet or establish some analytical
or numerical procedure to determine the pore water pressures and seepage forces
on the failure surface of the slope of the dam.

7.3Seepage control measures

The reduction of groundwater flow and exit hydraulic gradients is achieved with
several procedures. Some examples are cutoff walls, grout curtains, waterproofing
membranes or full face waterproofing to the face upstream of the dam,
construction of impermeable cores at the dam, partial or total penetration trenches
located in per- meable zones, etc. Usually, these measures are complemented with
the installation of filters and drains [6]. The latter serve as an additional line of
defense against water seepage problems. However, filters must meet certain
granulometric requirements, which can be found in the methods proposed by
Terzaghi [18–23], among others.

7.4 Numerical modeling in groundwater flow analyses

Currently, the increasing development of computers allows the numerical solu-

tion of different seepage problems, which, by graphics or analytical methods, are

Resistance Type of material

High • Clay with high plasticity, well compacted
• Clay with high plasticity, poorly compacted
• Well-graded sand-gravel or sand-gravel mixtures packed in the clay of medium plasticity, well
compacted
Media • Fine-graded sand or mixtures of sand-gravel packed in the clay of medium plasticity, poorly compacted
• Well-graduated gravel-sand-silt mixtures without cohesion (IP < 6), well compacted
Low • Gravel-sand-silt mixtures well graduated without cohesion (IP < 6), badly
compacted
• Fine sands, without very uniform cohesion, well compacted
• Fine sands, without very uniform cohesion, poorly compacted

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Table \.
Empirical relationship between the resistance to piping and the type of material [24].

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Hydraulic Structures - Theory and Applications

usually difficult to solve [25]. However, numerical modeling makes it easier to study
different cases of analysis, for example, heterogeneous and anisotropic ground-
water flow, steady-state and transient state flows, as well as the groundwater flow
in saturated and unsaturated media. In this area, the methods of finite differences
(Figure 1) and finite elements (Figure 2) are usually the best known. Different
publications show the facilities provided by these procedures [26–28].
Numerical techniques have wide advantages over any other analysis procedures.
Two of the most relevant are coupled groundwater flow-slope stability analyses
and groundwater flow deformation. In both cases the scope is to analyze the pore
water pressure, with which more realistic results are obtained from the problem
analyzed [29].

Figure 1.
Solution of a water flow problem by the finite difference method [30].

Figure \.
Solution of a water flow problem by the finite element method [29].

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8. The security of dams in Mexico

In Mexico, from 1926, when the National Irrigation Commission was created,
the design and construction of several dams were undertaken in order to store
water for agricultural irrigation, hydroelectric generation, water supply, flood
control, aquaculture, and recreation. These works allowed dam engineering and soil
mechanics in Mexico to become the two disciplines with international prestige for
Mexican engineering.
The design, construction, and operation of dams in Mexico, especially earth and
rock-fill dams, have had a high level of technological development, whose influence has
transcended in the international arena. However, until recently, there was no
official standard for the safety of dams that would specify in a theoretical and legal
framework the minimum requirements to be met in the basic stages of the life of the
dams, that is, design, construction, first filling, operation, maintenance, and
abandonment.
Recently, the National Water Commission (formerly the National Irrigation
Commission) established a multidisciplinary working group made up of experts
from various government agencies and research institutions. Its objective was to
establish a Mexican Standard, in addition to setting the minimum requirements that
must be met in the different life stages of a dam and establishing the solution plans
for different emergency scenarios, as well as the management and technical deci-
sions that significantly affect the safety of existing dams in the national
territory, and thus reduce risks to people, property, and the environment.

8.1 International context

In the last 30 years, the construction of new dams has decreased in developed
countries [9]. Currently, the actions have been aimed at rehabilitation, prolonging
the useful life and increasing safety and final closure of those that are not in opera-
tion. Therefore, dam safety management programs have focused on:

• Maintain and operate the dam at the security level considered in its design.

• Verify that the dam meets design expectations, and identify possible deviations
from safety levels by monitoring its behavior and surveillance.

• Periodically review the design and performance of the dam to identify safety
problems and formulate action or remediation measures.

• Establish action plans in case of any incident of the dam.

• Decide which safety issues or existing problems in the dam require immediate
attention or can be handled within a framework of the dam safety improve-
ment program.

8.2 Situation in Mexico

In Mexico, there are 5166 dams administered by different agencies. Of the

slightly more than 5000 dams, 836 are classified as large dams [31]; most of them
with earth and rock-fill curtains built in the middle of the last century. However,
there are also a significant number of masonry and concrete curtains; several of
them are from the nineteenth century or the beginning of the twentieth century.
A large part of the dams in the country is about to reach their useful life.
Others are at an advanced age, that is, between 20 and 50 years old. Seventy-one
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Hydraulic Structures - Theory and Applications

percent of the dams exceed 20 years old, and on average, they are 36 years old.
Therefore, in dams where there is no efficient maintenance, there will be a loss of
capacity due to silts, contamination, and possible deterioration of the curtain and
its elements.
Another situation that is observed is the change of use for which the dam was
originally built. Dams initially intended for irrigation or hydropower generation
are now adapted for human consumption. Similarly, projects that were developed
for the storage of rainwater are now mixed with wastewater, which attacks
normal concrete and reinforcing steels.

8.3 Safety assessment of dams

To know the security status of a dam, it is advisable to carry out annual inspec-
tions, every 5 years and whenever an extraordinary event occurs. Botero et al. [9]
recommend that the annual inspections seek to know the behavior and operation
of the dam in the short term. In inspections every 5 years, a detailed analysis
of the condition of the dam must be made and possible corrective actions
identified. Finally, in the case of inspections after an extraordinary incident,
these should focus on the study of the effects that it could have on the dam. In any
case, inspec- tions should consider the following aspects:

• Collect all available information of the dam followed by a visual visit to the site.

• Know the behavior of the dam under normal and extraordinary conditions.

• Review hydrological safety.

• Update weather information.

• Evaluate the stability of the dam and the surrounding structures.

• Identify any problem or incident in the area of the dam and its foundation.

• Evaluate the seismic risk.

• Define the safety factors for the steady-state conditions, rapid drawdown,
and earthquake for different reservoir water levels.

• Calculate the stress state and deformations, pore water pressures,

groundwater discharge, and free board losses and identify landslides on the
reservoir.

Additionally, Figure 3 shows a flowchart for decision-making in the

evaluation of dam safety. In addition, Table 3 indicates a classification of risk
levels in dams.

8.4 Dam removal

With regard to dams that have ceased to operate or are abandoned, the conces-
sionaire must prepare a project that defines the work for putting out of service and
the conditions in which the area of influence will remain. In addition, the project
must specify the necessary adaptations so that an incident does not occur due to
the inappropriate behavior of the remnants of the dam. Therefore, in order to
ensure that the removal is carried out correctly, it is necessary to verify that any
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danger to human lives or important properties has been eliminated.

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Hydraulic Structures - Theory and Applications

Figure 3.
Flowchart of the proposed method for structures higher than 15 m (modified from [32]).

Risk Description
level

Remote The physical conditions for the development of a problem are nonexistent or unlikely to
occur Very low The possibility cannot be taken into account, but there is no convincing evidence that it
has
ever happened or that there cannot be a situation that could lead to the development of that
failure
Low The causes of the defects are known. Indirect evidence suggests that it is feasible but
indicates a low probability of failure
Moderate The fundamental conditions or defects that can produce the fault are known, and the
evidence suggests that it is directly possible
High There is considerable evidence, direct or indirect, suggesting that such an event has
occurred or is likely to happen
Very high There is direct evidence that the problem is occurring actively or is very likely to happen

Table 3.
Risk levels in dams [9].

It should be noted that the problem of the removal of the dam does not end with
the removal of the structures. The final phase consists of determining the impact
of sediments on water quality and concentration of pollutants, flood potential,
conservation of fish and wildlife, downstream infrastructure, cultural resources,
and recreational activities that were carried out in the reservoir and determining if
it is necessary to build new structures or mitigation measures.

9. An historical case of an earth dam failure

In this section, a historical case of the failure of a homogeneous earth

dam is described. The dam was built in 2009 in San José Iturbide, Guanajuato.
The
objective of the dam was for the recharge of an aquifer and the supply of drinking
troughs by capturing rainwater and runoff from the mountains. The height of the
dam is 13.6 m, and the length is 98.5 m. The storage capacity of maximum water
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level (MWL) is 0.290 hm3 (Elev. 2199.50 m.a.s.l). The material for the construction
consisted of a sandy silt with some gravels and small boulders.
Downstream, approximately 3.7 km away, is the population called El Capulín,
whose number of inhabitants exceeds 3300. In addition, it should be clarified that
the dam was designed and built in a particular way without the consent of the
National Water Commission.
In February 2010, the spillway collapsed during the first filling of the
reservoir, for which more than 2000 people from El Capulín population were
evacuated.
Figure 4 shows the failure of the dam. The technical visits after the failure showed
that the material for the construction was highly erodible and was placed without
any compaction procedure. On the other hand, evidence was found that there was
no cleanliness in the contact of the dam with the basalt rock. In addition, water
seepage was observed in the dam-rock basal contact, and several local type faults
were identified on the upstream side of the dam.

9.1 Hydrological review

The results of the hydrological study for maximum avenues with different
return periods (including 1 of 10,000 years) showed that, from a return period
of 50, the maximum level of the dam was exceeded with hydraulic heads between
0.18 and 1.91 m. As a result, the safety of the structure due to overflow and erosion
represented an imminent danger. In fact, the hydrological risk represented by
the dam was high.

9.2 Geotechnical considerations

For the geotechnical investigation, six test pit excavations were carried out to
obtain soil samples to determine the index and compaction properties of the material.
In addition, in situ permeability tests were performed with the Matsuo Akai method.
Figure 5 shows the maximum section of the dam with the explorations made.

Figure 4.
Overflow and failure of the spillway of the La Salitrera dam, in 2010.

Figure 5.
Maximum section of the dam with the location of test pit excavations and material properties.
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Hydraulic Structures - Theory and Applications

Slope stability analyses were carried out with two limit equilibrium methods:
Morgenstern-Price and Bishop. Initially, the stability of the dam (upstream and
downstream sides) focused on steady-state conditions for water reservoir levels:
normal water level (NWL) and maximum water level (MWL). Table 4 indicates
the factors of safety for both conditions. In summary, it is observed that the fac-
tors of safety for the slopes of the dam do not satisfy the minimum factor of
safety requested by CONAGUA (FoSmin = 1.5). Figure 6 shows the minimum
factor of safety and the failure surface for the downstream side.
On the other hand, the slope stability was analyzed, assuming a rapid drawdown
of the reservoir. Table 5 indicates that the dam slopes have a factor of safety less
than 1.2. Therefore, both slopes of the dam are unstable and represent an imminent
risk of failure.
Finally, the earthquake stability of the dam was determined. The water level
was assumed at NWL, and a return period for the earthquake of 475 years was
considered. As shown in Table 6, the safety factor for the analysis is greater than
1.0. Therefore, the stability of the dam under a seismic event is not critical. Table
6 summarizes also the results for the three conditions of operation of the dam:
normal, unusual, and extreme.

9.3 Delimitation of flood danger zones

The evaluation of the danger zones by the flood was determined taking into
account two factors of main interest: (1) maximum depths and (2) maximum flow
velocities. In this case, the hydraulic analyses showed that the channel has a capacity
for an avenue with a return period of 10 years. In addition, the estimated maximum
water velocities exceed 4 m/s, and the maximum depth of the avenue is greater than
1.5 m.

Flow condition Slope Factor of safety Water level

Morgenstern-Price Bishop
Steady-state Upstream 3.105 3.108 MWL
Steady-state Downstream 0.975 0.961 MWL
Steady-state Upstream 1.815 1.820 NWL
Steady-state Downstream 1.310 1.306 NWL
Note: MWL = maximum water level

Table 4.
Factors of safety determined with slope stability analysis under steady-state groundwater flow conditions.

Figure 6.
Minimum factor of safety and critical failure surface in downstream side, steady-state groundwater flow
(maximum water level).

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9.4 Risk mitigation measures

Three alternative solutions are presented:

1. Construct a cylindrical type spillway (Creager) with a length of 16 m with a

water head of 2.75 m and a capacity of 145 m3/s. These characteristics
corre- spond to a return period of 10,000 years.

2. Cut down the height of the dam by 3 m, and build a 3 m high channel wall
from the left embankment; clean and excavate the ignimbrite rock 10 m long
and up to the height of 2192 m above sea level, at the right bank, where the
spillway was.

3. Remove the dam.

From these three alternatives, alternative 2 is considered the most feasible.

As a result, a 10 m long wide crest spillway is proposed. The height of the dam
must be reduced by 3 meters to reach a height of 2196.5 m.a.s.l. The modifica-
tion of the NWL to the level 2192 m.a.s.l. restricts the water level so that it does
not represent a risk to the dam. In addition, the modification of the MWL to the
level 2195.7 m.a.s.l. will allow the transit of extreme events without affecting the
security of the dam.
With regard to the mitigation of flood risk, cleanup work and release of the
main channel are recommended. In addition, build the necessary structures such as
bridges, culverts, etc. which will allow the free flow of water during
extraordinary events.

Flow condition Slope Factor of safety Reservoir water level

Morgenstern-Price Bishop
Rapid drawdown Upstream 0.838 0.803 MWL to NWL
Rapid drawdown Downstream 0.976 0.962 MWL to NWL

Note: MWL = maximum water level; NWL = normal water level

Table 5.
Factor of safety determined with the slope stability analysis under rapid drawdown groundwater flow
conditions (Section 1).

Operation Slope Factor of safety Flow condition Reservoir water level

Morgenstern-Price
Normal Upstream 3.11 > 1.50 Steady-state MWL
Downstream 0.98 < 1.50 Steady-state MWL
Unusual Upstream 0.86 < 1.20 Rapid drawdown MWL to NWL
Downstream 0.98 < 1.20 Rapid drawdown MWL to NWL
Extreme Upstream 1.72 > 1.00 Steady-state with an earthquake* NWL

*Note: Earthquake with PGA = 0.45 g and Tr = 4/5 years.

MWL = maximum water level; NWL = normal water level

Table 6.
Factors of safety obtained from slope stability analysis under normal, unusual, and extreme operating
conditions.

17
Hydraulic Structures - Theory and Applications

9.5 Additional geotechnical considerations

As can be seen in Tables 4 and 5, the stability of the dam in steady-state and
rapid drawdown groundwater flow conditions and the factors of safety are less than
unity; therefore, the structure is unsafe. Also, taking into consideration the granu-
lometric characteristics of the construction material of the dam, in addition to the
photographic evidence of Figure 4, the material seems susceptible to internal erosion
(piping); therefore, the safety of the dam is not adequate from this point of view.

10. Conclusions

The main conclusions of this work are:

• Geotechnics plays a fundamental role in the proper functioning of earth and

rock-fill dams. For this reason, it is essential to perform geotechnical studies
from the selection of the dam site and its intervention in the methodology of
the design of the embankment and other elements that make up the dam and
to monitor the behavior of the entire dam during its useful life.

• The failure of a dam can occur due to a deficient preliminary geotechnical

study, a bad design of its embankment or foundation, a poor control in the
quality of the construction, or a lack of maintenance in the instrumentation
and operation of the dam.

• There are methods nowadays to adequately take into account the forces
origi- nated from earthquakes, the groundwater flow, and the problems of
internal erosion (piping).

• The inspection visits to each dam should be carried out periodically and, espe-
cially, immediately after any extraordinary phenomenon, such as an
extreme flood, an earthquake, or any other anomalies not contemplated in
its design.

• It is convenient that the inspection visits are carried out by engineers with
width experience and that they include the areas of hydraulics, hydrology,
geotechnics, structures, and electromechanics.

Acknowledgements

The authors acknowledge and are in particular grateful to José Alfredo Mendoza
Promotor for his valuable help in reviewing the format and the edition of this
document.

1
8
Geotechnical Engineering Applied on Earth and Rock-Fill Dams
DOI: [Link]

Author details

Raúl Flores-Berrones1* and Norma Patricia López-Acosta2

1 Mexican Institute of Water Technology, MOR, Mexico

2 Instituto de Ingeniería-UNAM, CDMX, Mexico

*Address all correspondence to: rflores@[Link]

© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the
terms of the Creative Commons Attribution License
([Link] by/3.0), which permits unrestricted use,
distribution, and reproduction in any medium, provided the original work is properly
cited.
19
Hydraulic Structures - Theory and Applications

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