EM 1110-2-2300

31 July 1994

US Army Corps
of Engineers

ENGINEERING AND DESIGN

Earth and Rock-Fill Dams-

General Design and
Construction Considerations

ENGINEER MANUAL
 DEPARTMENT OF THE ARMY EM 1110-2-2300
U.S. Army Corps of Engineers
CECW-EG Washington, DC 20314-1000

Manual
No. 1110-2-2300 31 July 1994

Engineering and Design

EARTH AND ROCK-FILL DAMS—GENERAL DESIGN
AND CONSTRUCTION CONSIDERATIONS

1. Purpose. This manual presents fundamental principles underlying the design and construction of
earth and rock-fill dams. The general principles presented herein are also applicable to the design and
construction of earth levees. The construction of earth dams by hydraulic means was curtailed in the
1940’s due to economic considerations and liquefaction concerns during earthquake loading and are
not discussed herein.

2. Applicability. This manual applies to HQUSACE elements, major subordinate commands, districts,
laboratories, and field operating activities having responsibility for the design and construction of earth
and rock-fill dams.

FOR THE COMMANDER:

WILLIAM D. BROWN
Colonel, Corps of Engineers
Chief of Staff

___________________________________________________
This manual supersedes EM 1110-2-2300, dated 10 May 1982.
 DEPARTMENT OF THE ARMY EM 1110-2-2300
U.S. Army Corps of Engineers
CECW-EG Washington, DC 20314-1000

Manual
No. 1110-2-2300 31 July 1994

Engineering and Design

EARTH AND ROCK-FILL DAMS—GENERAL DESIGN
AND CONSTRUCTION CONSIDERATIONS

Table of Contents

Subject Paragraph Page Subject Paragraph Page

Chapter 1 Partnering Between the Owner

Introduction and Contractor . . . . . . . . . . . . . . . . 4-9 4-3
Purpose . . . . . . . . . . . . . . . . . . . . . . 1-1 1-1
Applicability . . . . . . . . . . . . . . . . . . . 1-2 1-1 Chapter 5
References . . . . . . . . . . . . . . . . . . . . 1-3 1-1 Foundation and Abutment
Overview of Manual . . . . . . . . . . . . . 1-4 1-1 Preparation
Preparation . . . . . . . . . . . . . . . . . . . . 5-1 5-1
Chapter 2 Strengthening the Foundation . . . . . . . 5-2 5-2
General Considerations Dewatering the Working Area . . . . . . . 5-3 5-3
General . . . . . . . . . . . . . . . . . . . . . . . 2-1 2-1
Civil Works Project Process . . . . . . . . 2-2 2-1 Chapter 6
Types of Embankment Dams . . . . . . . . 2-3 2-2 Seepage Control
Basic Requirements . . . . . . . . . . . . . . 2-4 2-5 General . . . . . . . . . . . . . . . . . . . . . . . 6-1 6-1
Selection of Embankment Type . . . . . . 2-5 2-5 Embankment . . . . . . . . . . . . . . . . . . . 6-2 6-1
Environmental Conditions . . . . . . . . . . 2-6 2-6 Earth Foundations . . . . . . . . . . . . . . . 6-3 6-1
Rock Foundations . . . . . . . . . . . . . . . 6-4 6-4
Chapter 3 Abutments . . . . . . . . . . . . . . . . . . . . 6-5 6-5
Field Investigations and Adjacent to Outlet Conduits . . . . . . . . 6-6 6-5
Laboratory Testing Beneath Spillways and Stilling
Geological and Subsurface Explorations Basins . . . . . . . . . . . . . . . . . . . . . . 6-7 6-6
and Field Tests . . . . . . . . . . . . . . . . 3-1 3-1 Seepage Control Against Earthquake
Laboratory Testing . . . . . . . . . . . . . . . 3-2 3-3 Effects . . . . . . . . . . . . . . . . . . . . . . 6-8 6-6

Chapter 4 Chapter 7
General Design Considerations Embankment Design
Freeboard . . . . . . . . . . . . . . . . . . . . . 4-1 4-1 Embankment Materials . . . . . . . . . . . . 7-1 7-1
Top Width . . . . . . . . . . . . . . . . . . . . 4-2 4-1 Zoning . . . . . . . . . . . . . . . . . . . . . . . 7-2 7-1
Alignment . . . . . . . . . . . . . . . . . . . . . 4-3 4-1 Cracking . . . . . . . . . . . . . . . . . . . . . . 7-3 7-5
Embankment . . . . . . . . . . . . . . . . . . . 4-4 4-1 Filter Design . . . . . . . . . . . . . . . . . . . 7-4 7-8
Abutments . . . . . . . . . . . . . . . . . . . . 4-5 4-1 Consolidation and Excess Porewater
Earthquake Effects . . . . . . . . . . . . . . . 4-6 4-2 Pressures . . . . . . . . . . . . . . . . . . . . 7-5 7-8
Coordination Between Design and Embankment Slopes and Berms . . . . . . 7-6 7-8
Construction . . . . . . . . . . . . . . . . . . 4-7 4-2 Embankment Reinforcement . . . . . . . . 7-7 7-9
Value Engineering Proposals . . . . . . . . 4-8 4-2

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Subject Paragraph Page Subject Paragraph Page

Compaction Requirements . . . . . . . . . . 7-8 7-9 Chapter 10

Slope Protection . . . . . . . . . . . . . . . . 7-9 7-13 Instrumentation
General . . . . . . . . . . . . . . . . . . . . . . 10-1 10-1
Chapter 8 Instrumentation Plan
Appurtenant Structures and Records . . . . . . . . . . . . . . . . . 10-2 10-1
Outlet Works . . . . . . . . . . . . . . . . . . . 8-1 8-1 Types of Instrumentation . . . . . . . . . 10-3 10-1
Spillway . . . . . . . . . . . . . . . . . . . . . . 8-2 8-1 Discussion of Devices . . . . . . . . . . . 10-4 10-1
Miscellaneous Considerations . . . . . . . 8-3 8-1 Measurements of Seepage
Quantities . . . . . . . . . . . . . . . . . . . 10-5 10-2
Chapter 9 Automatic Data Acquisition . . . . . . . 10-6 10-2
General Construction
Considerations Appendix A
General . . . . . . . . . . . . . . . . . . . . . . . 9-1 9-1 References . . . . . . . . . . . . . . . . . . . . . . . . . . . A-1
Obtaining Quality Construction . . . . . . 9-2 9-1
Stage Construction . . . . . . . . . . . . . . . 9-3 9-1 Appendix B
Stream Diversion . . . . . . . . . . . . . . . . 9-4 9-2 Filter Design . . . . . . . . . . . . . . . . . . . . . . . . . B-1
Closure Section . . . . . . . . . . . . . . . . . 9-5 9-3
Construction/Design Interface . . . . . . . 9-6 9-3 Appendix C
Visual Observations . . . . . . . . . . . . . . 9-7 9-3 Slope Protection . . . . . . . . . . . . . . . . . . . . . . C-1
Compaction Control . . . . . . . . . . . . . . 9-8 9-4
Initial Reservoir Filling . . . . . . . . . . . . 9-9 9-4 Appendix D
Construction Records and Automatic Data Acquisition
Reports . . . . . . . . . . . . . . . . . . . . 9-10 9-5 Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D-1

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Chapter 1 operating activities having responsibility for the design

Introduction and construction of earth and rock-fill dams.

1-3. References
1-1. Purpose Required and related references are listed in Appendix A.
This manual presents fundamental principles underlying 1-4. Overview of Manual
the design and construction of earth and rock-fill dams.
The general principles presented herein are also applicable The objective of this manual is to present guidance for the
to the design and construction of earth levees. The con- design and construction of earth and rock-fill dams. The
struction of earth dams by hydraulic means was curtailed manual is general in nature and is not intended to sup-
in the 1940’s due to economic considerations and lique- plant the judgment of the designer on a particular project.
faction concerns during earthquake loading and are not
discussed herein.

1-2. Applicability

This manual applies to HQUSACE elements, major subor-

dinate commands, districts, laboratories, and field

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Chapter 2 pool or be used for short-term storage), the influence of

General Considerations valley configuration and topographic features on wave
action and required slope protection, the seismic activity
of the area, and the effect of construction on the
environment.
2-1. General
2-2. Civil Works Project Process
a. Introduction. The design of earth and rock-fill
dams involves many considerations that must be examined a. General. The civil works project process for a
before initiating detailed stability analyses. Following dam is continuous, although the level of intensity and
geological and subsurface explorations, the earth and/or technical detail varies with the progression through the
rock-fill materials available for construction should be different phases of the project development and imple-
carefully studied. The study should include the determ- mentation. The phases of the process are reconnaissance,
ination of the quantities of various types of material that feasibility, preconstruction engineering and design (PED),
will be available and the sequence in which they become construction, and finally the operation, maintenance,
available, and a thorough understanding of their physical repair, replacement, and rehabilitation (OMRR&R).
properties is necessary. Failure to make this study may
result in erroneous assumptions which must be revised at b. Reconnaissance phase. A reconnaissance study
a later date. For example, a rock-fill dam was originally is conducted to determine whether or not the problem has
designed to utilize sandstone in rock-fill shells. However, a solution acceptable to local interests for which there is a
subsequent investigations showed that the sandstone Federal interest and if so whether planning should proceed
would break down during excavation and compaction, and to the feasibility phase. During the reconnaissance phase,
it was necessary to redesign the embankment as an earth engineering assessments of alternatives are made to deter-
dam. mine if they will function safely, reliably, efficiently, and
economically. Each alternative should be evaluated to
b. Embankment. Many different trial sections for determine if it is practical to construct, operate, and main-
the zoning of an embankment should be prepared to study tain. Several sites should be evaluated, and preliminary
utilization of fill materials; the influence of variations in designs should be prepared for each site. These prelimi-
types, quantities, or sequences of availability of various nary designs should include the foundation for the dam
fill materials; and the relative merits of various sections and appurtenant structures, the dam, and the reservoir rim.
and the influence of foundation condition. Although The reconnaissance phase ends with either execution of a
procedures for stability analyses (see EM 1110-2-1902 Feasibility Cost Sharing Agreement or the major subordi-
and Edris 1992) afford a convenient means for comparing nate command (MSC) Commander’s public notice for a
various trial sections and the influence of foundation report recommending no Federal action
conditions, final selection of the type of embankment and (ER 1110-2-1150).
final design of the embankment are based, to a large
extent, upon experience and judgment. c. Feasibility phase. A feasibility study is con-
ducted to investigate and recommend a solution to the
c. Features of design. Major features of design are problem based on technical evaluation of alternatives and
required foundation treatment, abutment stability, seepage includes a baseline cost estimate and a design and con-
conditions, stability of slopes adjacent to control structure struction schedule which are the basis for congressional
approach channels and stilling basins, stability of reservoir authorization. Results of the engineering studies are
slopes, and ability of the reservoir to retain the water documented in an engineering appendix to the feasibility
stored. These features should be studied with reference to report. A general design memorandum (GDM) is norm-
field conditions and to various alternatives before initiat- ally not required. However, design memorandums are
ing detailed stability or seepage analyses. required to properly develop and document the engineer-
ing and design studies performed during preconstruction
d. Other considerations. Other design considera- engineering and design phase. The engineering data and
tions include the influence of climate, which governs the analyses cover hydrology and hydraulics, surveying and
length of the construction season and affects decisions on mapping, real estate, geotechnical, project design, con-
the type of fill material to be used, the relationship of the struction, and marketability of hydroelectric power. An
width of the valley and its influence on river diversion operation and maintenance plan for the project, including
and type of dam, the planned utilization of the project (for estimates of the Federal and non-Federal costs, will be
example, whether the embankment will have a permanent

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developed. All of the project OMRR&R and dam safety e. Construction phase. This phase includes prepa-
requirements should be identified and discussed with the ration of P&S for subsequent construction contracts,
sponsor and state during the feasibility phase. A turnover review of selected construction contracts, site visits, sup-
plan for non-Federal dams that establishes a definite turn- port for claims and modifications, development of opera-
over point of the dam to the sponsor should be docu- tion and maintenance (O&M) manuals, and preparation
mented in the initial project management plan and in the and maintenance of as-built drawings. Site visits must be
feasibility report. The turnover of the dam should occur made to verify that conditions match the assumptions used
immediately following the first periodic inspection. Ade- in designing the project features. Site visits may also be
quate engineering data must be obtained and analyzed and necessary to brief the construction division personnel on
sufficient design performed to define the appropriate level any technical issues which affect the construction. The
of risk associated with the contingencies assigned to each O&M manual and water control manual will be completed
cost item in the estimate (ER 1110-2-1150). and fully coordinated with the local sponsor during this
phase of the project. As-built drawings are prepared and
d. Preconstruction engineering and design phase. maintained by engineering during the construction phase
During the preconstruction engineering and design (PED) (ER 1110-2-1150).
phase, it may be determined that a GDM is necessary
because the project has changed substantially since admin- f. Operation and maintenance phase. The project
istration review of the feasibility report (with engineering is operated, inspected, maintained, repaired, and rehabili-
appendix) or authorization, the project was authorized tated by either the non-Federal sponsor or the Federal
without a feasibility report, there is a need to readdress Government, depending upon the project purposes and the
project formulation, or there is a need to reassess project terms of the project cooperation agreement (PCA). For
plans due to changes in administration policy (ER 1110-2- PCA projects and new dams turned over to others, the
1150 will be followed). For a complex project such as a Corps needs to explain up front the O&M responsibilities,
dam, results of the engineering studies for individual formal inspection requirements, and responsibilities to
features of the project such as the spillway, outlet works, implement dam safety practices. Periodic inspections will
embankment, and instrumentation will be submitted in be conducted to assess and evaluate the performance and
separate design memorandums (DMs) with sufficient safety of the project during its lifetime. Modifications to
detail to allow preparation of plans and specifications the features of a project which occur during the operating
(P&S) to proceed during the review and approval process. life of a project will be reflected in the as-built drawings
Contents and format of a DM are given in ER 1110-2- (ER 1110-2-1150).
1150, Appendixes B and D, respectively. A significant
level of geological investigation and exploration and stud- 2-3. Types of Embankment Dams
ies on the availability of construction materials are accom-
plished to support the DM. While final design parameters a. Introduction. The two principal types of
are not selected at this stage of design, it is necessary that embankment dams are earth and rock-fill dams, depending
the testing for engineering properties of materials and on the predominant fill material used. Some generalized
hydraulic model testing that may be necessary for the sections of earth dams showing typical zoning for differ-
project be in progress. In preparation for the beginning of ent types and quantities of fill materials and various meth-
each major construction contract, engineering will prepare ods for controlling seepage are presented in Figure 2-1.
a report outlining the engineering considerations and When practically only one impervious material is avail-
providing instructions for field personnel to aid them in able and the height of the dam is relatively low, a
the supervision and inspection of the contract. The report homogeneous dam with internal drain may be used as
will summarize data presented in the engineering appen- shown in Figure 2-1a. The inclined drain serves to pre-
dix to the feasibility report but will also include informal vent the downstream slope from becoming saturated and
discussions on why specific designs, material sources, and susceptible to piping and/or slope failure and to intercept
construction plant locations were selected so that field and prevent piping through any horizontal cracks travers-
personnel will be provided the insight and background ing the width of the embankment. Earth dams with
necessary to review contractor proposals and resolve impervious cores, as shown in Figures 2-1b and 2-1c, are
construction problems without compromising the design constructed when local borrow materials do not provide
intent (ER 415-2-100). Format of the report on engineer- adequate quantities of impervious material. A vertical
ing considerations and instructions for field personnel is core located near the center of the dam is preferred over
given in Appendix D of ER 1110-2-1150. an inclined upstream core because the former provides

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Figure 2-1. Types of earth dam sections

higher contact pressure between the core and foundation However, for high dams in steep-walled canyons the
to prevent leakage, greater stability under earthquake overriding consideration is the abutment topography. The
loading, and better access for remedial seepage control. objective is to fit the core to the topography in such a
An inclined upstream core allows the downstream portion way to avoid divergence, abrupt topographic discontinu-
of the embankment to be placed first and the core later ities, and serious geologic defects. For dams on pervious
and reduces the possibility of hydraulic fracturing. foundations, as shown in Figure 2-1d to 2-1f, seepage

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31 Jul 94

control is necessary to prevent excessive uplift pressures b. Earth dams. An earth dam is composed of suit-
and piping through the foundation. The methods for able soils obtained from borrow areas or required exca-
control of underseepage in dam foundations are horizontal vation and compacted in layers by mechanical means.
drains, cutoffs (compacted backfill trenches, slurry walls, Following preparation of a foundation, earth from borrow
and concrete walls), upstream impervious blankets, down- areas and from required excavations is transported to the
stream seepage berms, toe drains, and relief wells. Rock- site, dumped, and spread in layers of required depth. The
fill dams may be economical due to large quantities of soil layers are then compacted by tamping rollers, sheeps-
rock available from required excavation and/or nearby foot rollers, heavy pneumatic-tired rollers, vibratory
borrow sources, wet climate and/or short construction rollers, tractors, or earth-hauling equipment. One advan-
season prevail, ability to place rock fill in freezing cli- tage of an earth dam is that it can be adapted to a weak
mates, and ability to conduct foundation grouting with foundation, provided proper consideration is given to
simultaneous placement of rock fill for sloping core and thorough foundation exploration, testing, and design.
decked dams (Walker 1984). Two generalized sections of
rock-fill dams are shown in Figure 2-2. A rock-fill dam c. Rock-fill dams. A rock-fill dam is one com-
with steep slopes requires better foundation conditions posed largely of fragmented rock with an impervious
than an earth dam, and a concrete dam (or roller- core. The core is separated from the rock shells by a
compacted concrete dam) requires better foundation con- series of transition zones built of properly graded mater-
ditions than a rock-fill dam. The design and construction ial. A membrane of concrete, asphalt, or steel plate on
of seepage control measures for dams are given in the upstream face should be considered in lieu of an
EM 1110-2-1901. impervious earth core only when sufficient impervious

Figure 2-2. Two types of rock-fill dams

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material is not available (such was the case at R. W. (4) Spillway and outlet capacity must be sufficient
Bailey Dam; see Beene and Pritchett 1985). However, to prevent overtopping of the embankment.
such membranes are susceptible to breaching as a result
of settlement. The rock-fill zones are compacted in layers b. Special attention. Special attention should be
12 to 24 in. thick by heavy rubber-tired or steel-wheel given to possible development of pore pressures in
vibratory rollers. It is often desirable to determine the foundations, particularly in stratified compressible mate-
best methods of construction and compaction on the basis rials, including varved clays. High pore pressures may be
of test quarry and test fill results. Dumping rock fill and induced in the foundation, beyond the toes of the embank-
sluicing with water, or dumping in water, is generally ment where the weight of the dam produces little or no
acceptable only in constructing cofferdams that are not to vertical loading. Thus, the strengths of foundation soils
be incorporated in the dam embankment. Free-draining, outside of the embankment may drop below their original
well-compacted rock fill can be placed with steep slopes in situ shear strengths. When this type of foundation
if the dam is on a rock foundation. If it is necessary to condition exists, instrumentation should be installed dur-
place rock-fill on an earth or weathered rock foundation, ing construction (see Chapter 10).
the slopes must, of course, be much flatter, and transition
zones are required between the foundation and the rock 2-5. Selection of Embankment Type
fill. Materials for rock-fill dams range from sound free-
draining rock to the more friable materials such as sand- a. General. Site conditions that may lead to selec-
stones and silt-shales that break down under handling and tion of an earth or a rock-fill dam rather than a concrete
compacting to form an impervious to semipervious mass. dam (or roller-compacted concrete dam) include a wide
The latter materials, because they are not completely free- stream valley, lack of firm rock abutments, considerable
draining and lack the shear strength of sound rock fill, are depths of soil overlying bedrock, poor quality bedrock
often termed “random rock” and can be used successfully from a structural point of view, availability of sufficient
for dam construction, but, because of stability and seepage quantities of suitable soils or rock fill, and existence of a
considerations, the embankment design using such mater- good site for a spillway of sufficient capacity.
ials is similar to that for earth dams.
b. Topography. Topography, to a large measure,
2-4. Basic Requirements dictates the first choice of type of dam. A narrow
V-shaped valley with sound rock in abutments would
a. Criteria. The following criteria must be met to favor an arch dam. A relatively narrow valley with high,
ensure satisfactory earth and rock-fill structures: rocky walls would suggest a rock fill or concrete dam (or
roller-compacted concrete). Conversely, a wide valley
(1) The embankment, foundation, and abutments with deep overburden would suggest an earth dam. Irreg-
must be stable under all conditions of construction and ular valleys might suggest a composite structure, partly
reservoir operation including seismic. earth and partly concrete. Composite sections might also
be used to provide a concrete spillway while the rest of
(2) Seepage through the embankment, foundation, the dam is constructed as an embankment section (Golze
and abutments must be collected and controlled to prevent 1977, Singh and Sharma 1976, Goldin and Rasskazov
excessive uplift pressures, piping, sloughing, removal of 1992). The possibility of cracking resulting from arching
material by solution, or erosion of material by loss into in narrow valleys and shear cracks in the vicinity of steep
cracks, joints, and cavities. In addition, the purpose of abutments must be investigated and may play a role in the
the project may impose a limitation on the allowable selection of the type of dam (Mitchell 1983). At Mud
quantity of seepage. The design should consider seepage Mountain Dam, arching of the soil core material within a
control measures such as foundation cutoffs, adequate and narrow, steep-sided canyon reduced stresses making the
nonbrittle impervious zones, transition zones, drainage soil susceptible to hydraulic fracturing, cracking, and
blankets, upstream impervious blankets, and relief wells. piping (Davidson, Levallois, and Graybeal 1992). Haul
roads into narrow valleys may be prohibited for safety
(3) Freeboard must be sufficient to prevent over- and/or environmental reasons. At Abiquiu and Warm
topping by waves and include an allowance for the nor- Springs Dams, borrow material was transported by a belt
mal settlement of the foundation and embankment as well conveyor system (Walker 1984). Topography may also
as for seismic effects where applicable. influence the selection of appurtenant structures. Natural

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saddles may provide a spillway location. If the reservoir be constructed, it may be desirable to combine the
rim is high and unbroken, a chute or tunnel spillway may spillway and dam into one structure, indicating a concrete
be necessary (Bureau of Reclamation 1984). overflow dam. In some cases where required excavation
from the spillway channel can be utilized in the dam
c. Geology and foundation conditions. The geology embankment, an earth or rock-fill dam may be advanta-
and foundation conditions at the damsite may dictate the geous (Golze 1977, Bureau of Reclamation 1984).
type of dam suitable for that site. Competent rock
foundations with relatively high shear strength and resis- f. Environmental. Recently environmental consid-
tance to erosion and percolation offer few restrictions as erations have become very important in the design of
to the type of dam that can be built at the site. Gravel dams and can have a major influence on the type of dam
foundations, if well compacted, are suitable for earth or selected. The principal influence of environmental con-
rock-fill dams. Special precautions must be taken to cerns on selection of a specific type of dam is the need to
provide adequate seepage control and/or effective water consider protection of the environment, which can affect
cutoffs or seals. Also, the liquefaction potential of gravel the type of dam, its dimensions, and location of the spill-
foundations should be investigated (Sykora et al. 1992). way and appurtenant facilities (Golze 1977).
Silt or fine sand foundations can be used for low concrete
(or roller-compacted concrete) and earth dams but are not g. Economic. The final selection of the type of
suitable for rock-fill dams. The main problems include dam should be made only after careful analysis and com-
settlement, prevention of piping, excessive percolation parison of possible alternatives, and after thorough eco-
losses, and protection of the foundation at the downstream nomic analyses that include costs of spillway, power and
embankment toe from erosion. Nondispersive clay foun- control structures, and foundation treatment.
dations may be used for earth dams but require flat
embankment slopes because of relatively low foundation 2-6. Environmental Conditions
shear strength. Because of the requirement for flatter
slopes and the tendency for large settlements, clay foun- This policy applies to all elements of design and construc-
dations are generally not suitable for concrete (or roller- tion. Actions to be taken in some of the more important
compacted concrete) or rock-fill dams (Golze 1977, areas are:
Bureau of Reclamation 1984).
a. Overflow from slurry trench construction should
d. Materials available. The most economical type not be permitted to enter streams in substantial quantities.
of dam will often be one for which materials can be Settling ponds or offsite disposal should be provided.
found within a reasonable haul distance from the site,
including material which must be excavated for the dam b. Borrow areas must be located, operated, and
foundation, spillway, outlet works, powerhouses, and drained to minimize erosion and sediment transport into
other appurtenant structures. Materials which may be streams.
available near or on the damsite include soils for embank-
ments, rock for embankments and riprap, and concrete c. Alterations to the landscape caused by clearing
aggregate (sand, gravel, and crushed stone). Materials operations, borrow area operations, structure excavations,
from required excavations may be stockpiled for later use. and spoil areas must be controlled and treated by final
However, greater savings will result if construction sched- grading, dressing, turfing, and other remedial treatments
uling allows direct use of required excavations. If suit- as to minimize and eliminate adverse postconstruction
able soils for an earth-fill dam can be found in nearby environmental effects, as well as to eliminate unsightly
borrow pits, an earth dam may prove to be more econom- areas and promote aesthetic considerations. General state
ical. The availability of suitable rock may favor a rock- and local requirements on erosion control, dust control,
fill dam. The availability of suitable sand and gravel for burning, etc. should be followed. Such postconstruction
concrete at a reasonable cost locally or onsite is favorable alterations planned for these purposes must be compatible
to use for a concrete (or roller-compacted concrete) dam with the requirements of safety and performance of the
(Golze 1977, Bureau of Reclamation 1984). dam.

e. Spillway. The size, type, and restrictions on d. Study with a view to their elimination must be
location of the spillway are often controlling factors in the given to other potentially undesirable by-products of con-
choice of the type of dam. When a large spillway is to struction operations related to the particular environment

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of a given damsite. Public Law 91-190, National prevent or eliminate damage to the environment and
Environmental Policy Act of 1969, as amended, biosphere.
establishes a national policy promoting efforts which will

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Chapter 3 (5) Procedures for surface and subsurface geotechni-

Field Investigations and Laboratory cal investigations and geophysical explorations are given
in EM 1110-1-1804 and EM 1110-1-1802, respectively.
Testing
Soil sampling equipment and procedures are discussed in
EM 1110-2-1907 (see also Hvorslev 1948). Foundations
believed to have a potential for liquefaction should be
3-1. Geological and Subsurface Explorations and thoroughly investigated using in situ testing and dynamic
Field Tests response analysis techniques (see Sykora et al. 1991a,
1991b; Sykora, Koester, and Hynes 1991a, 1991b; Sykora
a. General requirements. and Wahl 1992; Farrar 1990).

(1) Geological and subsurface investigations at the b. Foundations.

sites of structures and at possible borrow areas must be
adequate to determine suitability of the foundation and (1) The foundation is the valley floor and terraces
abutments, required foundation treatment, excavation on which the embankment and appurtenant structures rest.
slopes, and availability and characteristics of embankment Comprehensive field investigations and/or laboratory
materials. This information frequently governs selection testing are required where conditions such as those listed
of a specific site and type of dam. Required foundation below are found in the foundation:
treatment may be a major factor in determining project
feasibility. These investigations should cover classifica- (a) Deposits that may liquefy under earthquake
tion, physical properties, location and extent of soil and shock or other stresses.
rock strata, and variations in piezometric levels in ground-
water at different depths. (b) Weak or sensitive clays.

(2) A knowledge of the regional and local geology (c) Dispersive soils.
is essential in developing a plan of subsurface investiga-
tion, interpreting conditions between and beyond boring (d) Varved clays.
locations, and revealing possible sources of trouble.
(e) Organic soils.
(3) The magnitude of the foundation exploration
program is governed principally by the complexity of the (f) Expansive soils, especially soils containing
foundation problem and the size of the project. Explora- montmorillonite, vermiculite, and some mixed layer
tions of borrow and excavation areas should be under- minerals.
taken early in the investigational program so that
quantities and properties of soils and rock available for (g) Collapsible soils, usually fine-grained soils of
embankment construction can be determined before low cohesion (silts and some clays) that have low natural
detailed studies of embankment sections are made. densities and are susceptible to volume reductions when
loaded and wetted.
(4) Foundation rock characteristics such as depth
of bedding, solution cavities, fissures, orientation of joints, (h) Clay shales (compaction shales) that expand and
clay seams, gouge zones, and faults which may affect the lose strength upon unloading and/or exposure to weather-
stability of rock foundations and slopes, particularly in ing frequently have low in situ shear strengths. Although
association with seepage, must be investigated to deter- clay shales are most troublesome, all types of shales may
mine the type and scope of treatment required. Further- present problems when they contain sheared and slicken-
more, foundations and slopes of clay shales (compaction sided zones.
shales) often undergo loss in strength under reduction of
loading or by disintegration upon weathering. Careful (i) Limestones or calcareous soil deposits contain-
investigation of stability aspects of previous excavations ing solution channels.
and of natural slopes should be made. Foundations of
clay shales should be assumed to contain sufficient fis- (j) Gypsiferous rocks or soils.
sures so that the residual shear strength is applicable
unless sufficient investigations are made to prove (k) Subsurface openings from abandoned mines.
otherwise.

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31 Jul 94

(l) Clay seams, shear zones, or mylonite seams in abutments. The valley walls immediately upstream and
rock foundations. downstream from the abutment may have steep natural
slopes and slide-prone areas that may be a hazard to
(m) Rock formations in which the rock quality des- tunnel approach and outlet channels. Such areas should
ignation (RQD) is low (less than 50 percent). be investigated sufficiently to determine if corrective
measures are required.
(2) Subsurface investigation for foundations should
develop the following data: e. Spillway and outlet channel locations. These
areas require comprehensive investigations of the orienta-
(a) Subsurface profiles showing rock and soil tion and quality of rock or firm foundation stratum.
materials and geological formations, including presence of Explorations should provide sufficient information on the
faults, buried channels, and weak layers or zones. The overburden and rock to permit checking stability of exca-
RQD is useful in the assessment of the engineering quali- vated slopes and determining the best utilization of exca-
ties of bedrock (see Deere and Deere 1989). vated material within the embankment. Where a spillway
is to be located close to the end of a dam, the rock or
(b) Characteristics and properties of soils and the earth mass between the dam and spillway must be investi-
weaker types of rock. gated carefully.

(c) Piezometric levels of groundwater in various f. Saddle dams. The extent of foundation investi-
strata and their variation with time including artisan pres- gations required at saddle dams will depend upon the
sures in rock or soil. heights of the embankments and the foundation conditions
involved. Exploratory borings should be made at all such
(3) Exploratory adits in abutments, test pits, test structures.
trenches, large-diameter calyx holes, and large-diameter
core boring are often necessary to satisfactorily investigate g. Reservoir crossings. The extent of foundation
foundation and abutment conditions and to investigate investigations required for highway and railway crossing
reasons for core losses or rod droppings. Borehole pho- of the reservoir depends on the type of structure, its
tography and borehole television may also be useful. height, and the foundation conditions. Such embankments
Core losses and badly broken cores often indicate zones may be subjected to considerable wave action and require
that control the stability of a foundation or excavation slope protection. The slope protection will be designed
slope and indicate a need for additional exploration. for the significant wave based on a wave hind cast analy-
sis as described in Appendix C and the referenced design
(4) Estimates of foundation permeability from document. Select the design water level and wind speed
laboratory tests are often misleading. It is difficult to based on an analysis of the risk involved in failure of the
obtain adequate subsurface data to evaluate permeability embankment. For example, an evacuation route needs a
of gravelly strata in the foundation. Churn drilling has higher degree of protection, perhaps equal to the dam
often proven satisfactory for this purpose. Pumping tests face, than an access road to a recreational facility which
are required in pervious foundations to determine founda- may be cheaper to replace than to protect.
tion permeability where seepage cutoffs are not provided
or where deep foundation unwatering is required (see h. Reservoir investigations. The sides and bottom
EM 1110-2-1901). of a reservoir should be investigated to determine if the
reservoir will hold water and if the side slopes will
c. Abutments. The abutments of a dam include that remain stable during reservoir filling, subsequent draw-
portion of the valley sides to which the ends of the dam downs, and when subjected to earthquake shocks.
join and also those portions beyond the dam which might Detailed analyses of possible slide areas should be made
present seepage or stability problems affecting the dam. since large waves and overtopping can be caused by
Right and left abutments are so designated looking in a slides into the reservoir with possible serious conse-
downstream direction. Abutment areas require essentially quences (see Hendron and Patton 1985a, 1985b). Water
the same investigations as foundation areas. Serious seep- table studies of reservoir walls and surrounding area are
age problems have developed in a number of cases useful, and should include, when available, data on local
because of inadequate investigations during design. water wells. In limestone regions, sinks, caverns, and
other solution features in the reservoir walls should be
d. Valley walls close to dam. Underground river studied to determine if reservoir water will be lost through
channels or porous seepage zones may pass around the

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them. Areas containing old mines should be studied. In during handling and compaction; and physical properties
areas where there are known oil fields, existing records such as compacted density, permeability, grain-size distri-
should be surveyed and reviewed to determine if plugging bution, and shear strength of proposed embankment
old wells or other treatment is required. materials. Often this information is not available from
previous experience with similar borrow materials and can
i. Borrow areas and excavation areas. Borrow be obtained only by a combination of test fills and labora-
areas and areas of required excavation require investiga- tory tests. Test fills can provide a rough estimate of
tions to delineate usable materials as to type, gradation, permeability through observations of the rate at which
depth, and extent; provide sufficient disturbed samples to water drains from a drill hole or from a test pit in the fill.
determine permeability, compaction characteristics, com- To measure the field permeability of test fills, use a dou-
pacted shear strength, volume change characteristics, and ble-ring infiltrometer with a sealed inner ring (described
natural water contents; and provide undisturbed samples in ASTM D 5093-90; see American Society for Testing
to ascertain the natural densities and estimated yield in and Materials 1990). It is important that test fills be per-
each area. The organic content or near-surface borrow formed on the same materials that will be used in
soils should be investigated to establish stripping require- construction of the embankment. The test fills shall be
ments. It may be necessary to leave a natural impervious performed with the same quarry or borrow area materials
blanket over pervious material in upstream borrow areas which will be developed during construction and shall be
for underseepage control. Of prime concern in consider- compacted with various types of equipment to determine
ing possible valley bottom areas upstream of the embank- the most efficient type and required compaction effort. It
ment is flooding of these bottom areas. The sequence of is imperative that as much as possible all materials which
construction and flooding must be studied to ensure that may be encountered during construction be included in
sufficient borrow materials will be available from higher the test fills. Equipment known not to be acceptable
elevations or stockpiles to permit completion of the dam. should be included in the test fill specifications so as not
Sufficient borrow must be in a nonflooding area to com- to leave any “gray areas” for possible disagreements as to
plete the embankment after final closure, or provision what will or will not be acceptable. Plans and specifica-
must be made to stockpile low-lying material at a higher tions for test quarries and test fills of both earth and rock-
elevation. The extent of explorations will be determined fill materials are to be submitted to the Headquarters,
largely by the degree of uniformity of conditions found. U.S. Army Corps of Engineers, for approval. Test fills
Measurements to determine seasonal fluctuation of the can often be included as part of access road construction
groundwater table and changes in water content should be but must be completed prior to completion of the embank-
made. Test pits, dozer trenches, and large-diameter auger ment design. Summarized data from rock test fills for
holes are particularly valuable in investigating borrow several Corps of Engineers projects are available (Ham-
areas and have additional value when left open for inspec- mer and Torrey 1973).
tion by prospective bidders.
l. Retention of samples. Representative samples
j. Test quarries. The purposes of test quarries are from the foundation, abutment, spillway excavation, and
to assist in cut slope design, evaluate the controlling geo- borrow areas should be retained and stored under suitable
logic structure, provide information on blasting techniques conditions at least until construction has been completed
and rock fragmentation, including size and shape of rocks, and any claims settled. Samples should be available for
provide representative materials for test fills, give pro- examination or testing in connection with unexpected
spective bidders a better understanding of the drilling and problems or contractor claims.
blasting behavior of the rock, and determine if quarry-run
rock is suitable or if grizzled rock-fill is required (see 3-2. Laboratory Testing
EM 1110-2-2302).
a. Presentation. A discussion of laboratory tests
k. Test fills. In the design of earth and rock-fill and presentation of test data for soils investigations in
dams, the construction of test embankments can often be connection with earth dams are contained in EM 1110-2-
of considerable value, and in some cases is absolutely 1906. Additional information concerning laboratory com-
necessary. Factors involved in the design of earth and paction of earth-rock mixtures is given by Torrey and
rock-fill dams include the most effective type of compac- Donaghe (1991a, 1991b) and Torrey (1992). Applicabil-
tion equipment, lift thickness, number of passes, and ity of the various types of shear tests to be used in
placement water contents; the maximum particle size stability analyses for earth dams is given in EM 1110-2-
allowable; the amount of degradation or segregation 1902. Rock testing methods are given in the Rock Testing

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31 Jul 94

Handbook (U.S. Army Corps of Engineers 1990). Since laboratories have consolidation and triaxial compression
shear strength tests are expensive and time-consuming, equipment capable of testing 12-in.-diam specimens.
testing programs are generally limited to representative
foundation and borrow materials. Samples to be tested c. Sample. For design purposes, shear strength of
should be selected only after careful analysis of boring rock-fill and earth-rock mixtures should be determined in
logs, including index property determinations. Mixing of the laboratory on representative samples obtained from
different soil strata for test specimens should be avoided test fills. Triaxial tests should be performed on specimens
unless it can be shown that mixing of different strata compacted to in-place densities and having grain-size
during construction will produce a fill with characteristics distributions paralleling test fill gradations. Core samples
identical to those of the laboratory specimens. crushed in a jaw crusher or similar device should not be
used because the resulting gradation, particle shape, and
b. Procedure. Laboratory test procedures for deter- soundness are not typical of quarry-run material. For
mining all of the properties of rock-fill and earth-rock 12-in.-diameter specimens, maximum particle size should
mixtures have not been standardized (see Torrey and be 2 in.
Donaghe 1991a, 1991b; Torrey 1992). A few division

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Chapter 4 axes of high dams in narrow, steep-sided valleys should

General Design Considerations be curved upstream so that downstream deflection under
water loads will tend to compress the impervious zones
longitudinally, providing additional protection against the
formation of transverse cracks in the impervious zones.
4-1. Freeboard The radius of curvature forming the upstream arching of
the dam in narrow valleys generally ranges from 1,000 to
a. Vertical distance. The term freeboard is applied 3,000 ft.
to the vertical distance of a dam crest above the maxi-
mum reservoir water elevation adopted for the spillway 4-4. Embankment
design flood. The freeboard must be sufficient to prevent
overtopping of the dam by wind setup, wave action, or Embankment sections adjacent to abutments may be flared
earthquake effects. Initial freeboard must allow for subse- to increase stability of sections founded on weak soils.
quent loss in height due to consolidation of embankment Also, by flaring the core, a longer seepage path is devel-
and/or foundation. The crest of the dam will generally oped beneath and around the embankment.
include overbuild to allow for postconstruction settle-
ments. The top of the core should also be overbuilt to 4-5. Abutments
ensure that it does not settle below its intended elevation.
Net freeboard requirements (exclusive of earthquake con- a. Alignments. Alignments should be avoided that
siderations) can be determined using the procedures tie into narrow ridges formed by hairpin bends in the river
described in Saville, McClendon, and Cochran (1962). or that tie into abutments that diverge in the downstream
direction. Grouting may be required to decrease seepage
b. Elevation. In seismic zones 2, 3, and 4, as delin- through the abutment (see paragraph 3-1c). Zones of
eated in Figures A-1 through A-4 of ER 1110-2-1806, the structurally weak materials in abutments, such as weath-
elevation of the top of the dam should be the maximum ered overburden and talus deposits, are not uncommon. It
determined by either maximum water surface plus con- may be more economical to flatten embankment slopes to
ventional freeboard or flood control pool plus 3 percent of attain the desired stability than to excavate weak materials
the height of the dam above streambed. This requirement to a firm foundation. The horizontal permeability of
applies regardless of the type of spillway. undisturbed strata in the abutment may be much greater
than the permeability of the compacted fill in the embank-
4-2. Top Width ment; therefore, it may be possible to derive considerable
benefit in seepage control from the blanketing effects of
The top width of an earth or rock-fill dam within conven- flared upstream embankment slopes. The design of a
tional limits has little effect on stability and is governed transition from the normal embankment slopes to flattened
by whatever functional purpose the top of the dam must slopes is influenced by stability of sections founded on
serve. Depending upon the height of the dam, the mini- the weaker foundation materials, drainage provisions on
mum top width should be between 25 and 40 ft. Where the slopes and within the embankment, and the desirabil-
the top of the dam is to carry a public highway, road and ity of making a gradual transition without abrupt changes
shoulder widths should conform to highway requirements of section. Adequate surface drainage to avoid erosion
in the locality with consideration given to requirements should be provided at the juncture between the dam slope
for future needs. The embankment zoning near the top is and the abutment.
sometimes simplified to reduce the number of zones, each
of which requires a minimum width to accommodate b. Abutment slopes. Where abutment slopes are
hauling and compaction equipment. steep, the core, filter, and transition zones of an embank-
ment should be widened at locations of possible tension
4-3. Alignment zones resulting from different settlements. Widening of
the core may not be especially effective unless cracks
Axes of embankments that are long with respect to their developing in it tend to close. Even if cracks remain
heights may be straight or of the most economical align- open, a wider core may tend to promote clogging. How-
ment fitting the topography and foundation conditions. ever, materials in the filter and transition zones are
Sharp changes in alignment should be avoided because usually more self-healing, and increased widths of these
downstream deformation at these locations would tend to zones are beneficial. Whenever possible, construction of
produce tension zones which could cause concentration of the top 25 ft of an embankment adjacent to steep
seepage and possibly cracking and internal erosion. The

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31 Jul 94

abutments should be delayed until significant embankment instructional sessions, and laboratory testing sessions
and foundation settlement have occurred. (ER 1110-2-1150).

c. Settlement. Because large differential settlement c. Preconstruction orientation. Preconstruction

near abutments may result in transverse cracking within orientation for the construction engineers by the designers
the embankment, it may be desirable to use higher place- is necessary for the construction engineers to be aware of
ment water contents (see paragraph 7-8a) combined with the design philosophies and assumptions regarding site
flared sections. conditions and function of project structures, and under-
stand the design engineers’ intent concerning technical
4-6. Earthquake Effects provisions in the P&S.

The embankment and critical appurtenant structures d. Construction milestones which require visit by
should be evaluated for seismic stability. The method of designers. Visits to the site by design personnel are
analysis is a function of the seismic zone as outlined in required to ensure the following (ER 1110-2-112,
ER 1110-2-1806. Damsites over active faults should be ER 1110-2-1150):
avoided if at all possible. For projects located near or
over faults in earthquake areas, special geological and (1) Site conditions throughout the construction
seismological studies should be performed. Defensive period are in conformance with design assumptions and
design features for the embankment and structures as principles as well as contract P&S.
outlined in ER 1110-2-1806 should be used, regardless of
the type of analyses performed. For projects in locations (2) Project personnel are given assistance in adapt-
of strong seismicity, it is desirable to locate the spillway ing project designs to actual site conditions as they are
and outlet works on rock rather than in the embankment revealed during construction.
or foundation overburden.
(3) Any engineering problems not fully assessed in
4-7. Coordination Between Design and the original design are observed, evaluated, and appropri-
Construction ate action taken.

a. Introduction. Close coordination between design e. Specific visits. Specifically, site visits are
and construction personnel is necessary to thoroughly required when the following occur (ER 1110-2-112):
orient the construction personnel as to the project design
intent, ensure that new field information acquired during (1) Excavation of cutoff trenches, foundations, and
construction is assimilated into the design, and ensure that abutments for dams and appurtenant structures.
the project is constructed according to the intent of the
design. This is accomplished through the report on engi- (2) Excavation of tunnels.
neering considerations and instructions to field personnel,
preconstruction orientation for the construction engineers (3) Excavation of borrow areas and placement of
by the designers, and required visits to the site by the embankment dam materials early in the construction
designers. period.

b. Report on engineering considerations and (4) Observation of field conditions that are signifi-
instructions to field personnel. To ensure that the field cantly different from those assumed during design.
personnel are aware of the design assumptions regarding
field conditions, design personnel (geologists, geotechnical 4-8. Value Engineering Proposals
engineers, structural engineers, etc.) will prepare a report
entitled, “Engineering Considerations and Instructions for The Corps of Engineers has several cost-saving programs.
Field Personnel.” This report should explain the concepts, One of these programs, Value Engineering (VE), provides
assumptions, and special details of the embankment for a multidiscipline team of engineers to develop alterna-
design as well as detailed explanations of critical sections tive designs for some portion of the project. The con-
of the contract documents. Instruction for the field struction contractor can also submit VE proposals. Any
inspection force should include the necessary guidance to VE proposal affecting the design is to be evaluated by
provide adequate Government Quality Assurance Testing. design personnel prior to implementation to determine the
This report should be augmented by appropriate briefings, technical adequacy of the proposal. VE proposals must

4-2
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31 Jul 94

not adversely affect the long-term performance or condi- a. Establish a new relationship through personal
tion of the dam. contact.

4-9. Partnering Between the Owner and b. Craft a joint statement of goals and establish
Contractor common objectives in specific detail for reaching the
goals.
Partnering is the creation of an owner-contractor relation-
ship that promotes achievement of mutually beneficial c. Identify specific disputes and prevention pro-
goals. By taking steps before construction begins to cesses designed to head off problems, evaluate perfor-
change the adversarial mindset, to recognize common mance, and promote cooperation.
interests, and to establish an atmosphere of trust and
candor in communications, partnering helps to develop a Partnering has been used by the Mobile District on Oliver
cooperative management team. Partnering is not a con- Lock and Dam replacement and by the Portland District
tractual agreement and does not create any legally on Bonneville Dam navigation lock. Detailed instructions
enforceable rights or duties. There are three basic steps concerning the partnering process are available in
involved in establishing the partnering relationship: Edelman, Carr, and Lancaster (1991).

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Chapter 5 characteristics than adjacent foundation soils). Differen-

Foundation and Abutment Preparation tial settlements along the dam axis may result in trans-
verse cracks in the embankment which can lead to unde-
sirable seepage conditions. To minimize this possibility,
steep abutment slopes and foundation excavation slopes
5-1. Preparation should be flattened, if feasible, particularly beneath the
impervious zone of the embankment. This may be eco-
a. Earth foundations. nomically possible with earth abutments only. The por-
tion of the abutment surface beneath the impervious zone
(1) The design of dams on earth foundations is should not slope steeply upstream or downstream, as such
based on the in situ shear strength of the foundation soils. a surface might provide a plane of weakness.
For weak foundations, use of stage construction, founda-
tion strengthening, or excavation of undesirable material (6) The treatment of an earth foundation under a
may be more economical than using flat slopes or stability rock-fill dam should be substantially the same as that for
berms. an earth dam. The surface layer of the foundation
beneath the downstream rock-fill section must meet filter
(2) Foundation preparation usually consists of gradation criteria, or a filter layer must be provided, so
clearing, grubbing to remove stumps and large roots in that seepage from the foundation does not carry founda-
approximately the top 3 ft, and stripping to remove sod, tion material into the rock fill.
topsoil, boulders, organic materials, rubbish fills, and
other undesirable materials. It is not generally necessary b. Rock foundations.
to remove organic-stained soils. Highly compressible
soils occurring in a thin surface layer or in isolated (1) Rock foundations should be cleaned of all loose
pockets should be removed. fragments, including semidetached surface blocks of rock
spanning relatively open crevices. Projecting knobs of
(3) After stripping, the foundation surface will be rock should be removed to facilitate operation of compac-
in a loose condition and should be compacted. However, tion equipment and to avoid differential settlement.
if a silty or clayey foundation soil has a high water con- Cracks, joints, and openings beneath the core and possibly
tent and high degree of saturation, attempts to compact elsewhere (see below) should be filled with mortar or lean
the surface with heavy sheepsfoot or rubber-tired rollers concrete according to the width of opening. The treat-
will only remold the soil and disturb it, and only light- ment of rock defects should not result in layers of grout
weight compaction equipment should be used. Where or gunite that cover surface areas of sound rock, since
possible without disturbing the foundation soils, traffic they might crack under fill placement and compaction
over the foundation surface by the heaviest rollers or operations.
other construction equipment available is desirable to
reveal compressible material that may have been over- (2) The excavation of shallow exploration or core
looked in the stripping, such as pockets of soft material trenches by blasting may damage the rock. Where this
buried beneath a shallow cover. Stump holes should be may occur, exploration trenches are not recommended,
filled and compacted by power-driven hand tampers. unless they can be excavated without blasting. Where
core trenches disclose cavities, large cracks, and joints,
(4) For dams on impervious earth foundations not the core trench should be backfilled with concrete to
requiring a cutoff, an inspection trench having a minimum prevent possible erosion of core materials by water seep-
depth of 6 ft should be made. This will permit inspection ing through joints or other openings in the rock.
for abandoned pipes, soft pockets, tile fields, pervious
zones, or other undesirable features not discovered by (3) Shale foundations should not be permitted to dry
earlier exploration. out before placing embankment fill, nor should they be
permitted to swell prior to fill placement. Consequently,
(5) Differential settlement of an embankment may it is desirable to defer removal of the last few feet of
lead to tension zones along the upper portion of the dam shale until just before embankment fill placement begins.
and to possible cracking along the longitudinal axis in the
vicinity of steep abutment slopes at tie-ins or closure (4) Where an earth dam is constructed on a jointed
sections, or where thick deposits of unsuitable foundation rock foundation, it is essential to prevent embankment fill
soils have been removed (since in the latter case, the from entering joints or other openings in the rock. This
compacted fill may have different compressibility

5-1
EM 1110-2-2300
31 Jul 94

can be done in the core zone by extending the zone into reasonably uniform slope on the entire abutment. Over-
sound rock and by treating the rock as discussed above. hangs must be eliminated by use of concrete backfill
Where movement of shell materials into openings in the beneath the overhang or by barring and wedging to
rock foundation is possible, joints and other openings remove the overhanging rock. Concrete backfill may
should be filled, as discussed, beneath both upstream and have to be placed by shotcrete, gunite, or similar methods
downstream shells. An alternative is to provide filter to fill corners beneath overhangs. Vertical rock surfaces
layers between the foundation and the shells of the dam. beneath the embankment should be avoided or, if per-
Such treatment will generally not be necessary beneath mitted, should not be higher than 5 ft, and benches
shells of rock-fill dams. between vertical surfaces should be of such width as to
provide a stepped slope comparable to the uniform slope
(5) Limestone rock foundation may contain solu- on adjacent areas. Relatively flat abutments are desirable
tion cavities and require detailed investigations, special to avoid possible tension zones and resultant cracking in
observations when making borings (see EM 1110-1-1804), the embankment, but this may not be economically possi-
and careful study of aerial photographs, combined with ble where abutment slopes are steep. In some cases,
surface reconnaissance to establish if surface sinks are however, it may be economically possible to flatten near
present. However, the absence of surface sinks cannot be vertical rock abutments so they have a slope of 2 vertical
accepted as proof that a foundation does not contain solu- on 1 horizontal or 1 vertical on 1 horizontal, thereby
tion features. The need for removing soil or decomposed minimizing the possibility of cracking. Flattening of the
rock overlying jointed rock, beneath both upstream and abutment slope may reduce the effects of rebound crack-
downstream shells, to expose the joints for treatment, ing (i.e., stress relief cracking) that may have accompa-
should receive detailed study. If joints are not exposed nied the development of steep valley walls. The cost of
for treatment and are wide, material filling them may be abutment flattening may be offset by reductions in abut-
washed from the joints when the reservoir pool rises, or ment grouting. The cost of foundation and abutment
the joint-filling material may consolidate. In either case, treatment may be large and should be considered when
embankment fill may be carried into the joint, which may selecting damsites and type of dam.
result in excessive reservoir seepage or possible piping.
This consideration applies to both earth and rock-fill 5-2. Strengthening the Foundation
dams.
a. Weak rock. A weak rock foundation requires
(6) Where faults or wide joints occur in the individual investigation and study, and dams on such
embankment foundation, they should be dug out, cleaned foundations usually require flatter slopes. The possibility
and backfilled with lean concrete, or otherwise treated as of artisan pressures developing in stratified rock may
previously discussed, to depths of at least three times their require installation of pressure relief wells.
widths. This will provide a structural bridge over the
fault or joint-filling materials and will prevent the b. Liquefiable soil. Methods for improvement of
embankment fill from being lost into the joint or fault. In liquefiable soil foundation conditions include blasting,
addition, the space beneath the concrete plug should be vibratory probe, vibro-compaction, compaction piles,
grouted at various depths by grout holes drilled at an heavy tamping (dynamic compaction), compaction (dis-
angle to intersect the space. This type of treatment is placement) grouting, surcharge/buttress, drains, particulate
obviously required beneath cores of earth and rock-fill grouting, chemical grouting, pressure-injected lime, elec-
dams and also beneath rock-fill shells. trokinetic injection, jet grouting, mix-in-place piles and
walls, insitu vitrification, and vibro-replacement stone and
c. Abutment treatment. The principal hazards that sand columns (Ledbetter 1985, Hausmann 1990, Moseley
exist on rock abutments are due to irregularities in the 1993).
cleaned surfaces and to cracks or fissures in the rock.
Cleaned areas of the abutments should include all surfaces c. Foundations. Foundations of compressible fine-
beneath the dam with particular attention given to areas in grained soils can be strengthened by use of wick drains,
contact with the core and filters. It is good practice to electroosmotic treatment, and slow construction and/or
require both a preliminary and final cleanup of these stage construction to allow time for consolidation to
areas. The purpose of the preliminary cleanup is to facili- occur. Because of its high cost, electroosmosis has been
tate inspection to identify areas that require additional used (but only rarely) to strengthen foundations. It was
preparation and treatment. Within these areas, all irregu- used at West Branch Dam (now Michael J. Kirwan Dam),
larities should be removed or trimmed back to form a Wayland, Ohio, in 1966, where excessive foundation

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31 Jul 94

movements occurred during embankment construction water control subject to approval of the Contracting
(Fetzer 1967). Officer (but this must not relieve the contractor of his
responsibility for satisfactory construction). In establish-
5-3. Dewatering the Working Area ing payment lines for excavations, such as cutoff or drain-
age trenches below the water table, it is desirable to
a. Trenches. Where cutoff or drainage trenches specify that slope limits shown are for payment purposes
extend below the water table, a complete dewatering is only and are not intended to depict stable excavation
necessary to prepare properly the foundation and to com- slopes. It is also desirable to indicate the need for water
pact the first lifts of embankment fill. This may also be control using wellpoints, deep wells, sheeted sumps, slurry
necessary where materials sensitive to placement water trench barriers, etc. Water control measures such as deep
content are placed on embankment foundations having a wells or other methods may have to be extended into rock
groundwater level close to the surface. This may occur, to lower the groundwater level in rock foundations. If the
for example, in closure sections. groundwater is to be lowered to a required depth below
the base of the excavation, this requirement shall be stated
b. Excavation slopes. The contractor should be in the specifications. Dewatering and groundwater control
allowed a choice of excavation slopes and methods of are discussed in detail in TM 5-818-5.

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31 Jul 94

Chapter 6 (3) Vertical (or inclined) and horizontal drains.

Seepage Control Because of the often variable characteristics of borrow
materials, vertical (or inclined) and horizontal drains
within the downstream portion of the embankment are
provided to ensure satisfactory seepage control. Also, the
6-1. General vertical (or inclined) drain provides the primary line of
defense to control concentrated leaks through the core of
All earth and rock-fill dams are subject to seepage an earth dam (see EM 1110-2-1901).
through the embankment, foundation, and abutments.
Seepage control is necessary to prevent excessive uplift b. Collector pipes. Collector pipes should not be
pressures, instability of the downstream slope, piping placed within the embankment, except at the downstream
through the embankment and/or foundation, and erosion toe, because of the danger of either breakage or separation
of material by migration into open joints in the foundation of joints, resulting from fill placement and compacting
and abutments. The purpose of the project, i.e., long-term operations or settlement, which might result in either
storage, flood control, etc., may impose limitations on the clogging or piping. However, a collector pipe at the
allowable quantity of seepage. Detailed information downstream toe can be placed within a small berm
concerning seepage analysis and control for dams is given located at the toe, since this facilitates maintenance and
in EM 1110-2-1901. repair.

6-2. Embankment 6-3. Earth Foundations

a. Methods for seepage control. The three methods a. Introduction. All dams on earth foundations are
for seepage control in embankments are flat slopes with- subject to underseepage. Seepage control is necessary to
out drains, embankment zonation, and vertical (or prevent excessive uplift pressures and piping through the
inclined) and horizontal drains. foundation. Generally, siltation of the reservoir with time
will tend to diminish underseepage. Conversely, the use
(1) Flat slopes without drains. For some dams of some underseepage control methods, such as relief
constructed with impervious soils having flat embankment wells and toe drains, may increase the quantity of under-
slopes and infrequent, short duration, high reservoir lev- seepage. The methods of control of underseepage in dam
els, the phreatic surface may be contained well within the foundations are horizontal drains, cutoffs (compacted
downstream slope and escape gradients may be suffi- backfill trenches, slurry walls, and concrete walls),
ciently low to prevent piping failure. For these dams, upstream impervious blankets, downstream seepage
when it can be ensured that variability in the characteris- berms, relief wells, and trench drains. To select an under-
tics of borrow materials will not result in adverse stratifi- seepage control method for a particular dam and founda-
cation in the embankment, no vertical or horizontal drains tion, the relative merits and efficiency of different
are required to control seepage through the embankment. methods should be evaluated by means of flow nets or
Examples of dams constructed with flat slopes without approximate methods (as described Chapter 4 and Appen-
vertical or horizontal drains are Aquilla Dam, Aubrey dix B, respectively, of EM 1110-2-1901). The changes in
Dam (now called Ray Roberts Dam), and Lakeview Dam. the quantity of underseepage, factor of safety against
A horizontal drainage blanket under the downstream uplift, and uplift pressures at various locations should be
embankment may still be required for control of determined for each particular dam and foundation vary-
underseepage. ing the anisotropy ratio of the permeability of the
foundation to cover the possible range of expected field
(2) Embankment zonation. Embankments are conditions (see Table 9-1 of EM 1110-2-1901).
zoned to use as much material as possible from required
excavation and from borrow areas with the shortest haul b. Horizontal drains. As mentioned previously,
distances, the least waste, the minimum essential process- horizontal drains are used to control seepage through the
ing and stockpiling, and at the same time maintain embankment and to prevent excessive uplift pressures in
stability and control seepage. For most effective control the foundation. The use of the horizontal drain signifi-
of through seepage and seepage during reservoir draw- cantly reduces the uplift pressure in the foundation under
down, the permeability should progressively increase from the downstream portion of the dam. The use of the
the core out toward each slope.

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31 Jul 94

horizontal drain increases the quantity of seepage under excavation and backfill operations when below ground-
the dam (see Figure 9-1 of EM 1110-2-1901). water levels (TM 5-818-5). Because construction of an
open cutoff trench with dewatering is a costly procedure,
c. Cutoffs. the trend has been toward use of the slurry trench cutoff.

(1) Complete versus partial cutoff. When the dam (3) Slurry trench. When the cost of dewatering
foundation consists of a relatively thick deposit of pervi- and/or the depth of the pervious foundation render the
ous alluvium, the designer must decide whether to make a compacted backfill trench too costly and/or impractical,
complete cutoff or allow a certain amount of underseep- the slurry trench cutoff may be a viable method for con-
age to occur under controlled conditions. It is necessary trol of underseepage. Using this method, a trench is
for a cutoff to penetrate a homogeneous isotropic founda- excavated through the pervious foundation using a sodium
tion at least 95 percent of the full depth before there is bentonite clay (or Attapulgite clay in saline water) and
any appreciable reduction in seepage beneath a dam. The water slurry to support the sides. The slurry-filled trench
effectiveness of the partial cutoff in reducing the quantity is backfilled by displacing the slurry with a backfill
of seepage decreases as the ratio of the width of the dam material that contains enough fines (material passing the
to the depth of penetration of the cutoff increases. Partial No. 200 sieve) to make the cutoff relatively impervious
cutoffs are effective only when they extend down into an but sufficient coarse particles to minimize settlement of
intermediate stratum of lower permeability. This stratum the trench forming the soil-bentonite cutoff. Alterna-
must be continuous across the valley foundation to ensure tively, a cement may be introduced into the slurry-filled
that three-dimensional seepage around a discontinuous trench which is left to set or harden forming a cement-
stratum does not negate the effectiveness of the partial bentonite cutoff. The slurry trench cutoff is not recom-
cutoff. mended when boulders, talus blocks on buried slopes, or
open jointed rock exist in the foundation due to difficul-
(2) Compacted backfill trench. The most positive ties in excavating through the rock and slurry loss through
method for control of underseepage consists of excavating the open joints. When a slurry trench is relied upon for
a trench beneath the impervious zone of the embankment seepage control, the initial filling of the reservoir must be
through pervious foundation strata and backfilling it with controlled and piezometers located both upstream and
compacted impervious material. The compacted backfill downstream of the cutoff must be read to determine if the
trench is the only method for control of underseepage slurry trench is performing as planned. If the cutoff is
which provides a full-scale exploration trench that allows ineffective, remedial seepage control measures must be
the designer to see the actual natural conditions and to installed prior to further raising of the reservoir pool.
adjust the design accordingly, permits treatment of Normally, the slurry trench should be located under or
exposed bedrock as necessary, provides access for instal- near the upstream toe of the dam. An upstream location
lation of filters to control seepage and prevent piping of provides access for future treatment provided the reservoir
soil at interfaces, and allows high quality backfilling could be drawn down and facilitates stage construction by
operations to be carried out. When constructing a com- permitting placement of a downstream shell followed by
plete cutoff, the trench must fully penetrate the pervious an upstream core tied into the slurry trench. For stability
foundation and be carried a short distance into unweath- analysis, a soil-bentonite slurry trench cutoff should be
ered and relatively impermeable foundation soil or rock. considered to have zero shear strength and exert only a
To ensure an adequate seepage cutoff, the width of the hydrostatic force to resist failure of the embankment. The
base of the cutoff should be at least one-fourth the maxi- design and construction of slurry trench cutoffs is covered
mum difference between the reservoir and tailwater eleva- in Chapter 9 of EM 1110-2-1901. Guide specification
tions but not less than 20 ft, and should be wider if the CW-03365 is available for soil-bentonite slurry trench
foundation material under the cutoff is considered margi- cutoffs.
nal in respect to imperviousness. If the gradation of the
impervious backfill is such that the pervious foundation (4) Concrete wall. When the depth of the pervious
material does not provide protection against piping, an foundation is excessive (>150 ft) and/or the foundation
intervening filter layer between the impervious backfill contains cobbles, boulders, or cavernous limestone, the
and the foundation material is required on the downstream concrete cutoff wall may be an effective method for con-
side of the cutoff trench. The cutoff trench excavation trol of underseepage. Using this method, a cast-in-place
must be kept dry to permit proper placement and compac- continuous concrete wall is constructed by tremie place-
tion of the impervious backfill. Dewatering systems of ment of concrete in a bentonite-slurry supported trench.
wellpoints or deep wells are generally required during Two general types of concrete cutoff walls, the panel wall

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31 Jul 94

and the element wall, have been used. Since the wall in design and construction of downstream seepage berms is
its simpler structural form is a rigid diaphragm, given in EM 1110-2-1901.
earthquakes could cause its rupture; therefore, concrete
cutoff walls should not be used at a site where strong f. Relief wells. When a complete cutoff is not
earthquake shocks are likely. The design and construction required or is too costly, relief wells installed along the
of concrete cutoff walls is covered in Chapter 9 of downstream toe of the dam may be used to prevent exces-
EM 1110-2-1901. Guide specification CW-03365 is sive uplift pressures and piping through the foundation.
available for the concrete used in concrete cutoff walls. Relief wells increase the quantity of underseepage from
20 to 40 percent, depending upon the foundation condi-
d. Upstream impervious blanket.1 When a complete tions. Relief wells may be used in combination with
cutoff is not required or is too costly, an upstream imper- other underseepage control measures (upstream impervi-
vious blanket tied into the impervious core of the dam ous blanket or downstream seepage berm) to prevent
may be used to minimize underseepage. An example is excessive uplift pressures and piping through the founda-
shown in Figure 2-1f. Upstream impervious blankets tion. Relief wells are applicable where the pervious foun-
should not be used when the reservoir head exceeds dation has a natural impervious cover. The well screen
200 ft because the hydraulic gradient acting across the section, surrounded by a filter if necessary, should pene-
blanket may result in piping and serious leakage. Down- trate into the principal pervious stratum to obtain pressure
stream underseepage control measures (relief wells or toe relief, especially where the foundation is stratified. The
trench drains) are generally required for use with wells, including screen and riser pipe, should have a
upstream blankets to control underseepage and/or prevent diameter which will permit the maximum design flow
excessive uplift pressures and piping through the founda- without excessive head losses but in no instance should
tion. Upstream impervious blankets are used in some the inside diameter be less than 6 in. Geotextiles should
cases to reinforce thin spots in natural blankets. Effec- not be used in conjunction with relief wells. Relief wells
tiveness of upstream impervious blankets depends upon should be located so that their tops are accessible for
their length, thickness, and vertical permeability, and on cleaning, sounding for sand, and pumping to determine
the stratification and permeability of soils on which they discharge capacity. Relief wells should discharge into
are placed. The design and construction of upstream open ditches or into collector systems outside of the dam
blankets is given in EM 1110-2-1901. base which are independent of toe drains or surface drain-
age systems. Experience with relief wells indicates that
e. Downstream seepage berm. When a complete with the passage of time the discharge of the wells will
cutoff is not required or is too costly, and it is not feasi- gradually decrease due to clogging of the well screen
ble to construct an upstream impervious blanket, a down- and/or reservoir siltation. Therefore, the amount of well
stream seepage berm may be used to reduce uplift screen area should be designed oversized and a piezome-
pressures in the pervious foundation underlying an imper- ter system installed between the wells to measure the
vious top stratum at the downstream toe of the dam. seepage pressure, and if necessary additional relief wells
Other downstream underseepage control measures (relief should be installed. The design, construction, and rehabil-
wells or toe trench drains) are generally required for use itation of relief wells is given in EM 1110-2-1914.
with downstream seepage berms. Downstream seepage
berms can be used to control underseepage efficiently g. Trench drain. When a complete cutoff is not
where the downstream top stratum is relatively thin and required or is too costly, a trench drain may be used in
uniform or where no top stratum is present, but they are conjunction with other underseepage control measures
not efficient where the top stratum is relatively thick and (upstream impervious blanket and/or relief wells) to con-
high uplift pressures develop. Downstream seepage trol underseepage. A trench drain is a trench generally
berms may vary in type from impervious to completely containing a perforated collector pipe and backfilled with
free draining. The selection of the type of downstream filter material. Trench drains are applicable where the top
seepage berm to use is based upon the availability of stratum is thin and the pervious foundation is shallow so
borrow materials and relative cost of each type. The that the trench can penetrate into the aquifer. The exis-
tence of moderately impervious strata or even stratified
fine sands between the bottom of the trench drain and the
_____________________________ underlying main sand aquifer will render the trench drain
1
The blanket may be impervious or semipervious (leaks ineffective. Where the pervious foundation is deep, a
in the vertical direction). trench drain of practical depth would only attract a small

6-3
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31 Jul 94

portion of underseepage, and detrimental underseepage downstream wall of the gallery will allow for determina-
would bypass the drain and emerge downstream of the tion of separate flow rates for foundation drains.
drain, thereby defeating its purpose. Trench drains may
be used in conjunction with relief well systems to collect 6-4. Rock Foundations
seepage in the upper pervious foundation that the deeper
relief wells do not drain. If the volume of seepage is a. General considerations. Seepage should be cut
sufficiently large, the trench drain is provided with a off or controlled by drainage whenever economically
perforated pipe. A trench drain with a collector pipe also feasible. Safety must be the governing factor for selec-
provides a means of measuring seepage quantities and of tion of a seepage control method (see EM 1110-2-1901).
detecting the location of any excessive seepage. The
design and construction of trench drains is given in b. Cutoff trenches. Cutoff trenches are normally
EM 1110-2-1901. employed when the character of the foundation is such
that construction of a satisfactory grout curtain is not
h. Drainage galleries. Internal reinforced concrete practical. Cutoff trenches are normally backfilled with
galleries have been used in earth and rockfill dams built compacted impervious material, bentonite slurry, or neat
in Europe for grouting, drainage, and monitoring of cement. Construction of trenches in rock foundations
behavior. Galleries have not been constructed in embank- normally involves blasting using the presplit method with
ment dams built by the Corps of Engineers to date. Some primary holes deck-loaded according to actual foundation
possible benefits to be obtained from the use of galleries conditions. After blasting, excavation is normally accom-
in earth and rockfill dams are (Sherard et al. 1963): plished with a backhoe. Cutoff of seepage within the
foundation is obtained by connecting an impervious por-
(1) Construction of the embankment can be carried tion of the foundation to the impervious portion of the
out independently of the grouting schedule. structure by backfilling the trench with an impervious
material. In rock foundations, as in earth foundations, the
(2) Drain holes drilled in the rock foundation impervious layer of the foundation may be sandwiched
downstream from the grout curtain can be discharged into between an upper and a lower pervious layer, and a cutoff
the gallery, and observations of the quantities of seepage to such an impervious layer would reduce seepage only
in these drain holes will indicate where foundation leaks through the upper pervious layer. However, when the
are occurring. thicknesses of the impervious and upper pervious layers
are sufficient, the layers may be able to resist the upward
(3) Galleries provide access to the foundation seepage pressures existing in the lower pervious layer and
during and after reservoir filling so that additional grout- thus remain stable.
ing or drainage can be installed, if required, and the
results evaluated from direct observations. c. Upstream impervious blankets. Impervious
blankets may sometimes give adequate control of seepage
(4) The additional weight of the overlying water for low head structures, but for high head structures
embankment allows higher grout pressures to be used. it is usually necessary to incorporate a downstream drain-
age system as a part of the overall seepage control design.
(5) Galleries can be used to house embankment The benefits derived from the impervious blanket are due
and foundation instrumentation outlets in a more conven- to the dissipation of a part of the reservoir head through
ient fashion than running them to the downstream toe of the blanket. The proportion of head dissipated is depen-
the dam. dent upon the thickness, length, and effective permeability
of the blanket in relation to the permeability of the foun-
(6) If the gallery is constructed in the form of a dation rock. A filter material is normally required
tunnel below the rock surface along the longitudinal axis between the blanket and foundation.
of the dam, it serves as an exploratory tunnel for the rock
foundation. The minimum size cross section recom- d. Grouting. Grouting of rock foundations is used
mended for galleries and access shafts is 8 ft by 8 ft to to control seepage. Seepage in rock foundations occurs
accommodate drilling and grouting equipment. A gutter through cracks and joints, and effectiveness of grouting
located along the upstream wall of the gallery along the depends on the nature of the jointing (crack width, spac-
line of grout holes will carry away cuttings from the ing, filling, etc.) as well as on the grout mixtures, equip-
drilling operation and waste grout from the grouting oper- ment, and procedures.
ation. A gutter and system of weirs located along the

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31 Jul 94

(1) A grout curtain is constructed beneath the 6-5. Abutments

impervious zone of an earth or rock-fill dam by drilling
grout holes and injecting a grout mix. A grout curtain a. Through earth abutments. Earth and rock-fill
consisting of a single line of holes cannot be depended dams, particularly in glaciated regions, may have pervious
upon to form a reliable seepage barrier; therefore, a mini- material, resulting from filling of the preglacial valley
mum of three lines of grout holes should be used in a with alluvial or morainal deposits followed by the down-
rock foundation. Through a study of foundation condi- cutting of the stream, in one or both abutments. Seepage
tions revealed by geologic investigations, the engineer and control through earth abutments is provided by extending
geologist can establish the location of the grout curtain in the upstream impervious blanket in the lateral direction to
plan, the depths of the grout holes, and grouting proce- wrap around the abutment up to the maximum water
dures. Once grouting has been initiated, the extent and surface elevation, by placing a filter layer between the
details of the program should be adjusted, as drilling pervious abutment and the dam downstream of the imper-
yields additional geological information and as observa- vious core section, and, if necessary, by installing relief
tions of grout take and other data become available. wells at the downstream toe of the pervious abutment.
Examples of seepage control through earth abutments are
(2) Careful study of grouting requirements is given in EM 1110-2-1901.
necessary when the foundation is crossed by faults, partic-
ularly when the shear zone of a fault consists of badly b. Through rock abutments. Seepage should be cut
crushed and fractured rock. It is desirable to seal off such off or controlled by drainage whenever economically
zones by area (consolidation) grouting. When such a fault possible. When a cutoff trench is used, cutoff of seepage
crosses the proposed dam axis, it may be advisable to within the abutment is normally obtained by extending the
excavate along the fault and pour a wedge-shaped con- cutoff from above the projected seepage line to an imper-
crete cap in which grout pipes are placed so that the fault vious layer within the abutment. Impervious blankets
zone can be grouted at depth between the upstream and overlying the upstream face of pervious abutments are
downstream toes of the dam. The direction of grout holes effective in reducing the quantity of seepage and to some
should be oriented to optimize the intersection of joints extent will reduce uplift pressures and gradients down-
and other defects. stream. A filter material is normally required at the inter-
face between the impervious blanket and rock abutment.
(3) Many limestone deposits contain solution The design and construction of upstream impervious
cavities. When these are suspected to exist in the founda- blankets is given in EM 1110-2-1901.
tion, one line (or more) of closely spaced exploration
holes is appropriate, since piping may develop or the
6-6. Adjacent to Outlet Conduits
roofs of undetected cavities may collapse and become
filled with embankment material, resulting in development
When the dam foundation consists of compressible soils,
of voids in the embankment. All solution cavities below
the outlet works tower and conduit should be founded
the base of the embankment should be grouted with multi-
upon or in stronger abutment soils or rock. When con-
ple lines of grout holes.
duits are laid in excavated trenches in soil foundations,
concrete seepage collars should not be provided solely for
(4) The effectiveness of a grouting operation may
the purpose of increasing seepage resistance since their
be evaluated by pre- and post-grouting pressure injection
presence often results in poorly compacted backfill around
tests for evaluating the water take and the foundation
the conduit. Collars should only be included as necessary
permeability.
for coupling of pipe sections or to accommodate differen-
tial movement on yielding foundations. When needed for
(5) Development of grouting specifications is a
these purposes, collars with a minimum projection from
difficult task, and it is even more difficult to find experi-
the pipe surface should be used. Excavations for outlet
enced and reliable organizations to execute a grouting
conduits in soil foundations should be wide enough to
program so as to achieve satisfactory results. Grouting
allow for backfill compaction parallel to the conduit using
operations must be supervised by engineers and geologists
heavy rolling compaction equipment. Equipment used to
with specialized experience. A compendium of
compact along the conduit should be free of framing that
foundation grouting practices at Corps of Engineers dams
prevents its load transferring wheels or drum from work-
is available (Albritton, Jackson, and Bangert 1984). A
ing against the structure. Excavated slopes in soil for
comprehensive coverage of drilling methods, as well as
conduits should be no steeper than 1 vertical to 2
grouting methods, is presented in EM 1110-2-3506.

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EM 1110-2-2300
31 Jul 94

horizontal to facilitate adequate compaction and bonding the chance of plugging. Outlets should be provided with
of backfill with the sides of the excavation. Drainage flat-type check valves to prevent surging and the entrance
layers should be provided around the conduit in the down- of foreign matter in the drainage system. For the stilling
stream zone of embankments without pervious shells. A basin floor slab, it may be advantageous to place a con-
concrete plug should be used as backfill in rock cuts for necting header along each wall and discharge all slab
cut-and-cover conduits within the core zone to ensure a drainage into the stilling basin just upstream from the
watertight bond between the conduit and vertical rock hydraulic jump at the lowest practical elevation in order
surfaces. The plug, which can be constructed of lean to secure the maximum reduction of uplift for the down-
concrete, should be at least 50 ft long and extend up to stream portion of the slab. A closer spacing of drains is
the original rock surface. In embankments having a ran- usually required than in the spillway chute because of
dom or an impervious downstream shell, horizontal drain- greater head and considerable difference in water depth in
age layers should be placed along the sides and over the a short distance through the hydraulic jump. Piezometers
top of conduits downstream of the impervious core. should be installed in the drainage blanket and deeper
strata, if necessary, to monitor the performance of the
6-7. Beneath Spillways and Stilling Basins drainage system. If the drains or wells become plugged
or otherwise noneffective, uplift pressures will increase
Adequate drainage should be provided under floor slabs which could adversely affect the stability of the structure
for spillways and stilling basins to reduce uplift pressures. (EM 1110-2-1602, EM 1110-2-1603, and
For soil foundations, a drainage blanket under the slab EM 1110-2-1901).
with transverse perforated pipe drains discharging through
the walls or floor is generally provided, supplemented in 6-8. Seepage Control Against Earthquake Effects
the case of stratified foundations by deep well systems.
Drainage of a slab on rock is usually accomplished by For earth and rock-fill dams located where earthquake
drain holes drilled in the rock with formed holes or pipes effects are likely, there are several considerations which
through the slab. The drainage blanket is designed to can lead to increased seepage control and safety. Geo-
convey the seepage quickly and effectively to the trans- metric considerations include using a vertical instead of
verse collector drains. It is designed as a graded reverse inclined core, wider dam crest, increased freeboard, flatter
filter with coarse stones adjacent to the perforated drain embankment slopes, and flaring the embankment at the
pipe and finer material adjacent to the concrete structure abutments (Sherard 1966, 1967). The core material
to prevent the migration of fines into the drains. Outlets should have a high resistance to erosion (Arulanandan and
for transverse drains in the spillway chute discharge Perry 1983). Relatively wide transition and filter zones
through the walls or floor at as low an elevation as practi- adjacent to the core and extending the full height of the
cal to obtain maximum pressure reduction. Wall outlets dam can be used. Additional screening and compaction
should be 1 ft minimum above the floor to prevent block- of outer zones or shells will increase permeability and
ing by debris. Cutoffs are provided at each transverse shear strength, respectively. Because of the possibility of
collector pipe to minimize buildup of head in case of movement along existing or possibly new faults, it is
malfunction of the pipe drain. Drains should be at least desirable to locate the spillway and outlet works on rock
6 in. in diameter and have at least two outlets to minimize rather than in the embankment or foundation overburden.

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31 Jul 94

Chapter 7 drying should be protected by adequate thicknesses of

Embankment Design nonshrinking fine-grained soils to reduce evaporation.
Clay soils should not be used as backfill in contact with
concrete or masonry structures, except in the impervious
zone of an embankment.
7-1. Embankment Materials
(4) Most earth materials suitable for the impervious
a. Earth-fill materials. zone of an earth dam are also suitable for the impervious
zone of a rock-fill dam. When water loss must be kept to
(1) While most soils can be used for earth-fill con- a minimum (i.e., when the reservoir is used for long-term
struction as long as they are insoluble and substantially storage), and fine-grained material is in short supply,
inorganic, typical rock flours and clays with liquid limits resulting in a thin zone, the material used in the core
above 80 should generally be avoided. The term “soil” as should have a low permeability. Where seepage loss is
used herein includes such materials as soft sandstone or less important, as in some flood control dams not used for
other rocks that break down into soil during handling and storage, less impervious material may be used in the
compaction. impervious zone.
(2) If a fine-grained soil can be brought readily b. Rock-fill materials.
within the range of water contents suitable for compaction
and for operation of construction equipment, it can be (1) Sound rock is ideal for compacted rock-fill, and
used for embankment construction. Some slow-drying some weathered or weak rocks may be suitable, including
impervious soils may be unusable as embankment fill sandstones and cemented shales (but not clay shales).
because of excessive moisture, and the reduction of mois- Rocks that break down to fine sizes during excavation,
ture content would be impracticable in some climatic placement, or compaction are unsuitable as rock-fill, and
areas because of anticipated rainfall during construction. such materials should be treated as soils. Processing by
In other cases, soils may require additional water to passing rock-fill materials over a grizzly may be required
approach optimum water content for compaction. Even to remove excess fine sizes or oversize material. If split-
ponding or sprinkling in borrow areas may be necessary. ting/processing is required, processing should be limited
The use of fine-grained soils having high water contents to the minimum amount that will achieve required results.
may cause high porewater pressures to develop in the For guidance in producing satisfactory rock-fill material
embankment under its own weight. Moisture penetration and for test quarrying, reference should be made to
into dry hard borrow material can be aided by ripping or EM 1110-2-3800 and EM 1110-2-2302.
plowing prior to sprinkling or ponding operations.
(2) In climates where deep frost penetration occurs,
(3) As it is generally difficult to reduce substantially a more durable rock is required in the outer layers than in
the water content of impervious soils, borrow areas con- milder climates. Rock is unsuitable if it splits easily,
taining impervious soils more than about 2 to 5 percent crushes, or shatters into dust and small fragments. The
wet of optimum water content (depending upon their suitability of rock may be judged by examination of the
plasticity characteristics) may be difficult to use in an effects of weathering action in outcrops. Rock-fill com-
embankment. However, this depends upon local climatic posed of a relatively wide gradation of angular, bulk
conditions and the size and layout of the work, and must fragment settles less than if composed of flat, elongated
be assessed for each project on an individual basis. The fragments that tend to bridge and then break under
cost of using drier material requiring a longer haul should stresses imposed by overlying fill. If rounded cobbles
be compared with the cost of using wetter materials and and boulders are scattered throughout the mass, they need
flatter slopes. Other factors being equal, and if a choice not be picked out and placed in separate zones.
is possible, soils having a wide range of grain sizes (well-
graded) are preferable to soils having relatively uniform 7-2. Zoning
particle sizes, since the former usually are stronger, less
susceptible to piping, erosion, and liquefaction, and less The embankment should be zoned to use as much mater-
compressible. Cobbles and boulders in soils may add to ial as possible from required excavation and from borrow
the cost of construction since stone with maximum dimen- areas with the shortest haul distances and the least waste.
sions greater than the thickness of the compacted layer Embankment zoning should provide an adequate impervi-
must be removed to permit proper compaction. Embank- ous zone, transition zones between the core and the shells,
ment soils that undergo considerable shrinkage upon seepage control, and stability. Gradation of the materials

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in the transition zones should meet the filter criteria pre- pavements on the top of the dam under conditions of frost
sented in Appendix B. action in the underlying core, see TM 5-818-2.

a. Earth dams. (5) Considerable volumes of soils of a random

nature or intermediate permeability are usually obtained
(1) In a common type of earth fill embankment, a from required excavations and in excavating select imper-
central impervious core is flanked by much more pervious vious or pervious soils from borrow areas. It is generally
shells that support the core (Figures 2-1b and 2-1c). The economical to design sections in which these materials
upstream shell affords stability against end of construc- can be utilized, preferably without stockpiling. Where
tion, rapid drawdown, earthquake, and other loading con- random zones are large, vertical (or inclined) and horizon-
ditions. The downstream shell acts as a drain that tal drainage layers within the downstream portion of the
controls the line of seepage and provides stability under embankment can be used to control seepage and to isolate
high reservoir levels and during earthquakes. For the the downstream zone from effects of through seepage.
most effective control of through seepage and seepage Random zones may need to be separated from pervious or
during reservoir drawdown, the permeability should impervious zones by suitable transition zones. Homoge-
increase progressively from the core out toward each neous embankment sections are considered satisfactory
slope. Frequently suitable materials are not available for only when internal vertical (or inclined) and horizontal
pervious downstream shells. In this event, control of drainage layers are provided to control through seepage.
seepage through the embankment is provided by internal Such embankments are appropriate where available fill
drains as discussed in paragraph 6-2a(3). materials are predominantly of one soil type or where
available materials are so variable it is not feasible to
(2) The core width for a central impervious core- separate them as to soil type for placement in specific
type embankment should be established using seepage and zones and when the height of the dam is relatively low.
piping considerations, types of material available for the However, even though the embankment is unzoned, the
core and shells, the filter design, and seismic consider- specifications should require that more pervious material
ations. In general, the width of the core at the base or be routed to the outer portions of the embankment.
cutoff should be equal to or greater than 25 percent of the
difference between the maximum reservoir and minimum b. Examples of earth dams.
tailwater elevations. The greater the width of the contact
area between the impervious fill and rock, the less likely (1) Examples of embankment sections of earth
that a leak will develop along this contact surface. Where dams constructed by the Corps of Engineers are shown in
a thin embankment core is selected, it is good engineering Figures 7-1. Prompton Dam, a flood control project
to increase the width of the core at the rock juncture, to (Figure 7-1a), illustrates an unzoned embankment, except
produce a wider core contact area. Where the contact for interior inclined and horizontal drainage layers to
between the impervious core and rock is relatively nar- control through seepage.
row, the downstream filter zone becomes more important.
A core top width of 10 ft is considered to be the mini- (2) Figure 7-1b, Alamo Dam, shows a zoned
mum for construction equipment. The maximum core embankment with an inclined core of sandy clay and
width will usually be controlled by stability and availabil- outer pervious shells of gravelly sand. The core extends
ity of impervious materials. through the gravelly sand alluvium to the top of rock, and
the core trench is flanked on the downstream side by a
(3) A dam with a core of moderate width and transition layer of silty sand and a pervious layer of
strong, adequate pervious outer shells may have relatively gravelly sand.
steep outer slopes, limited primarily by the strength of the
foundation and by maintenance considerations. (3) Where several distinctively different materials
are obtained from required excavation and borrow areas,
(4) Where considerable freezing takes place and more complex embankment zones are used, as illustrated
soils are susceptible to frost action, it is desirable to ter- by Figure 7-2a, Milford Dam, and Figure 7-2b, W. Kerr
minate the core at or slightly below the bottom of the Scott Dam. The embankment for Milford Dam consists
frost zone to avoid damage to the top of the dam. of a central impervious core connected to an upstream
Methods for determination of depths of freeze and thaw in impervious blanket, an upstream shell of shale and lime-
soils are given in TM 5-852-6. For design of road stone from required excavation, an inclined and horizontal

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sand drainage layer downstream of the core, and down- flow paths for concentrated seepage through the embank-
stream random fill zone consisting of sand, silty sand, and ment. Transverse cracking may be caused by tensile
clay. The embankment of W. Kerr Scott Dam consists of stresses related to differential embankment and/or founda-
an impervious zone of low plasticity silt, sloping upstream tion settlement. Differential settlement may occur at steep
from the centerline and flanked by zones of random abutments, at the junction of a closure section, at adjoin-
material (silty sands and gravels). Inclined and horizontal ing structures where compaction is difficult, or over old
drainage layers are provided in the downstream random stream channels or meanders filled with compressible
zone. Since impervious materials are generally weaker soils.
than the more pervious and less cohesive soils used in
other zones, their location in a central core flanked by c. Horizontal cracking. Horizontal cracking of the
stronger material permits steeper embankment slopes than impervious core may occur when the core material is
would be possible with an upstream sloping impervious much more compressible than the adjacent transition or
zone. An inclined core near the upstream face may per- shell material so that the core material tends to arch
mit construction of pervious downstream zones during wet across the less compressible adjacent zones resulting in a
weather with later construction of the sloping impervious reduction of the vertical stress in the core. The lower
zone during dry weather. This location often ensures a portion of the core may separate out, resulting in a hori-
better seepage pattern within the downstream portion of zontal crack. Arching may also occur if the core rests on
the embankment and permits a steeper downstream slope highly compressible foundation material. Horizontal
than would a central core. cracking is not visible from the outside and may result in
damage to the dam before it is detected.
c. Rock-fill dams. Impervious zones, whether
inclined or central, should have sufficient thickness to d. Longitudinal cracking. Longitudinal cracking
control through seepage, permit efficient placement with may result from settlement of upstream transition zone or
normal hauling and compacting equipment, and minimize shell due to initial saturation by the reservoir or due to
effect of differential settlement and possible cracking. rapid drawdown. It may also be due to differential settle-
The minimum horizontal thickness of core, filter, or tran- ment in adjacent materials or seismic action. Longitudinal
sition zones should be 10 ft. For design considerations cracks do not provide continuous open seepage paths
where earthquakes are a factor, see paragraphs 4-6 across the core of the dam, as do transverse and horizon-
and 6-8. tal cracks, and therefore pose no threat with regard to
piping through the embankment. However, longitudinal
d. Examples of rock-fill dams. Embankment sec- cracks may reduce the overall embankment stability lead-
tions of four Corps of Engineers rock-fill dams are shown ing to slope failure, particularly if the cracks fill with
in Figures 7-3 and 7-4. Variations of the two principal water.
types of embankment zoning (central impervious core and
upstream inclined impervious zone) are illustrated in these e. Defensive measures. The primary line of
figures. defense against a concentrated leak through the dam core
is the downstream filter (filter design is covered in
7-3. Cracking Appendix B). Since prevention of cracks cannot be
ensured, an adequate downstream filter must be provided
a. General. Cracking develops within zones of (Sherard 1984). Other design measures to reduce the
tensile stresses within earth dams due to differential settle- susceptibility to cracking are of secondary importance.
ment, filling of the reservoir, and seismic action. Since The susceptibility to cracking can be reduced by shaping
cracking can not be prevented, the design must include the foundation and structural interfaces to reduce differen-
provisions to minimize adverse effects. Cracks are of tial settlement, densely compacting the upstream shell to
four general types: transverse, horizontal, longitudinal, reduce settlement from saturation, compacting core
and shrinkage. Shrinkage cracks are generally shallow materials at water contents sufficiently high so that stress-
and can be treated from the surface by removing the strain behavior is relative plastic, i.e., low deformation
cracked material and backfilling (Walker 1984, Singh and moduli, and shear strength, so that cracks cannot remain
Sharma 1976, Jansen 1988). open (pore pressure and stability must be considered), and
staged construction to lessen the effects of settlement of
b. Transverse cracking. Transverse cracking of the the foundation and the lower parts of the embankment.
impervious core is of primary concern because it creates

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7-4. Filter Design by Snyder (1968). Procedures for stability analyses are
discussed in EM 1110-2-1902 and Edris (1992).
The filter design for the drainage layers and internal zon-
ing of a dam is a critical part of the embankment design. (3) Although excess porewater pressures developed
It is essential that the individual particles in the founda- in pervious materials dissipate much more rapidly than
tion and embankment are held in place and do not move those in impervious soils, their effect on stability is simi-
as a result of seepage forces. This is accomplished by lar. Excess pore pressures may temporarily build up,
ensuring that the zones of material meet “filter criteria” especially under earthquake loadings, and effective
with respect to adjacent materials. The criteria for a filter stresses contributing to shearing resistance may be
design is presented in Appendix B. In a zoned embank- reduced to low values. In liquefaction of sand masses,
ment the coarseness between the fine and coarse zones the shearing resistance may temporarily drop to a fraction
may be such that an intermediate or transition section is of its normal value.
required. Drainage layers should also meet these criteria
to ensure free passage of water. All drainage or pervious b. Embankments. Factors affecting development of
zones should be well compacted. Where a large carrying excess porewater pressures in embankments during
capacity is required, a multilayer drain should be pro- construction include placement water contents, weight of
vided. Geotextiles (filter fabrics) should not be used in or overlying fill, length of drainage path, rate of construction
on embankment dams. (including stoppages), characteristics of the core and other
fill materials, and drainage features such as inclined and
7-5. Consolidation and Excess Porewater horizontal drainage layers, and pervious shells. Analyses
Pressures of porewater pressures in embankments are presented by
Clough and Snyder (1966). Spaced vertical sand drains
a. Foundations. within the embankment should not be used in lieu of
continuous drainage layers because of the greater danger
(1) Foundation settlement should be considered in of clogging by fines during construction.
selecting a site since minimum foundation settlements are
desirable. Overbuilding of the embankment and of the 7-6. Embankment Slopes and Berms
core is necessary to ensure a dependable freeboard. Stage
construction or other measures may be required to dissi- a. Stability. The stability of an embankment
pate high porewater pressures more rapidly. Wick drains depends on the characteristics of foundation and fill
should be considered except where installation would be materials and also on the geometry of the embankment
detrimental to seepage characteristics of the structure and section. Basic design considerations and procedures relat-
foundation. If a compressible foundation is encountered, ing to embankment stability are discussed in detail in
consolidation tests should be performed on undisturbed EM 1110-2-1902 and Edris (1992).
samples to provide data from which settlement analyses
can be made for use in comparing sites and for final b. Unrelated factors. Several factors not related to
design. Procedures for making settlement and bearing embankment stability influence selection of embankment
capacity analyses are given in EM 1110-1-1904 and slopes. Flatter upstream slopes may be used at elevations
EM 1110-1-1905, respectively. Instrumentation required where pool elevations are frequent (usually +4 ft of con-
for control purposes is discussed in Chapter 10. servation pool). In areas where mowing is required, the
steepest slope should be 1 vertical on 3 horizontal to
(2) The shear strength of a soil is affected by its ensure the safety of maintenance personnel. Horizontal
consolidation characteristics. If a foundation consolidates berms, once frequently used on the downstream slope,
slowly, relative to the rate of construction, a substantial have been found undesirable because they tend to trap and
portion of the applied load will be carried by the pore concentrate runoff from upper slope surfaces. The water
water, which has no shear strength, and the available often cannot be disposed of adequately, whereupon it
shearing resistance is limited to the in situ shear strength spills over the berm and erodes the lower slopes. A hori-
as determined by undrained “Q” tests. Where the founda- zontal upstream berm at the base of the principal riprap
tion shearing resistance is low, it may be necessary to protection has been found useful in placing and maintain-
flatten slopes, lengthen the time of construction, or accel- ing riprap.
erate consolidation by drainage layers or wick drains.
Analyses of foundation porewater pressures are covered

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31 Jul 94

c. Waste berms. Where required excavation or of 2 percent dry to 3 percent wet of optimum water con-
borrow area stripping produces material unsuitable for use tent as determined by the standard compaction test
in the embankment, waste berms can be used for (EM 1110-2-1906). A narrower range will be required
upstream slope protection, or to contribute to the stability for soils having compaction curves with sharp peaks.
of upstream and downstream embankment slopes. Care
must be taken, however, not to block drainage in the (b) While use of water contents that are practically
downstream area by placing unsuitable material, which is obtainable is a principal construction requirement, the
often impervious, over natural drainage features. The effect of water content on engineering properties of a
waste berm must be stable against erosion or it will erode compacted fill is of paramount design interest. Soils that
and expose the upstream slope. are compacted wet of optimum water content exhibit a
somewhat plastic type of stress-strain behavior (in the
7-7. Embankment Reinforcement sense that deformation moduli are relatively low and
stress-strain curves are rounded) and may develop low
The use of geosynthetics (geotextiles, geogrids, geonets, “Q” strengths and high porewater pressures during con-
geomembranes, geocomposites, etc.) in civil engineering struction. Alternatively, soils that are compacted dry of
has been increasing since the 1970’s. However, their use optimum water content exhibit a more rigid stress-strain
in dam construction or repairs, especially in the United behavior (high deformation moduli), develop high “Q”
States, has been limited (Roth and Schneider 1991; strengths and low porewater pressures during construction,
Giroud 1989a, 1989b; Giroud 1990, Giroud 1992a, and consolidate less than soils compacted wet of optimum
1992b). The Corps of Engineers pioneered the use geo- water content. However, soils compacted substantially
textiles to reinforce very soft foundation soils (Fowler and dry of optimum water content may undergo undesirable
Koerner 1987, Napolitano 1991). The Huntington District settlements upon saturation. Cracks in an embankment
of the Corps of Engineers used a welded wire fabric would tend to be shallower and more self-healing if com-
geogrid for reconstruction of Mohicanville Dike No. 2 pacting is on the wet side of optimum water content than
(Fowler et al. 1986; Franks, Duncan, and Collins 1991). if on the dry side. This results from the lower shear
The Bureau of Reclamation has used geogrid reinforce- strength, which cannot support deep open cracks, and
ment to steepen the upper portion of the downstream from lower deformation moduli.
slope of Davis Creek Dam, Nebraska (Engemoen and
Hensley 1989, Dewey 1989). (c) Stability during construction is determined
largely by “Q” strengths at compacted water contents and
7-8. Compaction Requirements densities. Since “Q” strengths are a maximum for water
contents dry of optimum and decrease with increasing
a. Impervious and semi-impervious fill. water content, construction stability is determined (apart
from foundation influences) by the water contents at
(l) General considerations. which fill material is compacted. This is equivalent to
saying that porewater pressures are a controlling factor on
(a) The density, permeability, compressibility, and stability during construction. “Q” strengths, and pore-
strength of impervious and semi-impervious fill materials water pressures during construction are of more impor-
are dependent upon water content at the time of compac- tance for high dams than for low dams.
tion. Consequently, the design of an embankment is
strongly influenced by the natural water content of borrow (d) Stability during reservoir operating conditions is
materials and by drying or wetting that may be practicable determined largely by “R” strengths for compacted mater-
either before or after delivery to the fill. While natural ial that has become saturated. Since “R” strengths are a
water contents can be decreased to some extent, some maximum at about optimum water content, shear strengths
borrow soils are so wet they cannot be used in an for fill water contents both dry and wet of optimum must
embankment unless slopes are flattened. However, water be established in determining the allowable range of
contents cannot be so high that hauling and compaction placement water contents. In addition, the limiting water
equipment cannot operate satisfactorily. The design and content on the dry side of optimum must be selected to
analysis of an embankment section require that shear avoid excessive settlement due to saturation. Preferably
strength and other engineering properties of fill material no settlement on saturation should occur.
be determined at the densities and water contents that will
be obtained during construction. In general, placement (2) Dams on weak, compressible foundations.
water contents for most projects will fall within the range Where dams are constructed on weak, compressible

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31 Jul 94

foundations, the embankment and foundation materials than 95 percent of the maximum densities derived from
should have stress-strain characteristics as nearly similar this test.
as possible. Embankments can be made more plastic and
will adjust more readily to settlements if they are com- (6) Design water contents and densities. A basic
pacted wet of the optimum water content. Differences in concept for both earth and rock-fill dams is that of a core
the stress-strain characteristics of the embankment and surrounded by strong shells providing stability. This
foundation may result in progressive failure. To prevent concept is obvious for rock-fill dams and can be applied
this from occurring, the embankment is designed so that even to internally drained homogeneous dams. In the
neither the embankment nor the foundation will be latter case, the core may be compacted at or wet of
strained beyond the peak strength so that the stage where optimum while the outer zones are compacted dry of opti-
progressive failure begins will not be reached. Strength mum. The selection of design ranges of water contents
reduction factors for the embankment and foundation are and densities requires judgment and experience to balance
given in Figure 7-5 (Duncan and Buchignani 1975, the interaction of the many factors involved. These
Chirapuntu and Duncan 1976). include:

(3) Dams on strong, incompressible foundations. (a) Borrow area water contents and the extent of
Where the shear strength of the embankment is lower than drying or wetting that may be practicable.
that of the foundation, such as the case where there is a
strong, relatively incompressible foundation, the strength (b) The relative significance on embankment design
of the fill controls the slope design. The “Q” strength of of “Q” versus “R” strengths (i.e., construction versus
the fill will be increased by compacting it at water con- operating conditions).
tents at or slightly below optimum water contents and the
porewater pressures developed during construction will be (c) Climatic conditions.
reduced. Soils compacted slightly dry of optimum water
content generally have higher permeability values and (d) The relative importance of foundation strength
lower “R” strengths than those wet of optimum water on stability.
content. Further, many soils will consolidate upon satura-
tion if they are compacted dry of optimum water content. (e) The need to design for cracking and develop-
All of these factors must be considered in the selection of ment of tension zones in the upper part of the embank-
the range of allowable field compaction water contents. ment, especially in impervious zones.

(4) Abutment areas. In abutment areas, large differ- (f) Settlement of compacted materials on saturation.
ential settlements may take place within the embankment
if the abutment slopes are steep or contain discontinuities (g) The type and height of dam.
such as benches or vertical faces. This may induce
tension zones and cracking in the upper part of the (h) The influence on construction cost of various
embankment. It may be necessary to compact soils wet ranges of design water contents and densities.
of optimum water content in the upper portion of embank-
ment to eliminate cracking due to differential settlements. (7) Field compaction.
Again, shear strength must be taken into account.
(a) While it is generally impracticable to consider
(5) Field densities. Densities obtained from field possible differences between field and laboratory compac-
compaction using conventional tamping or pneumatic tion when selecting design water contents and densities,
rollers and the standard number of passes of lift thickness such differences do exist and result in a different behavior
are about equal to or slightly less than maximum densities from that predicted using procedures discussed in preced-
for the standard compaction test. This has established the ing paragraphs. Despite these limitations, the procedures
practice of using a range of densities for performance of described generally result in satisfactory embankments,
laboratory tests for design. Selection of design densities, but the designer must verify that this is true as early as
while a matter of judgment, should be based on the possible during embankment construction. This can often
results of test fills or past experience with similar soils be done by incorporating a test section within the
and field compaction equipment. The usual assumption is embankment. When field test section investigations are
that field densities will not exceed the maximum densities performed, field compaction curves should be developed
obtained from the standard compaction test nor be less for the equipment used.

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Figure 7-5. Peak strength correction factors for both embankment and foundation to prevent progressive failure in
the foundation for embankments on soft clay foundations (Duncan and Buchignani 1975)

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(b) Proper compaction at the contact between the simplifies construction and makes it possible to construct
embankment and the abutments is important. Sloping the cofferdams of pervious material by adding a temporary
fill surface up on a 10 percent grade toward a steep abut- impervious blanket on the outer face and thus permit
ment facilitates compaction where heavy equipment is to unwatering for the impervious cutoff section. The coffer-
be used. Where compaction equipment cannot be used dams subsequently become part of the pervious shells of
against an abutment, thin lifts tamped with hand-operated the embankment.
powered tampers should be used, but tamping of soil
under overhangs in lieu of removal or backfilling with c. Rock-fill.
concrete should not be permitted.
(l) It is often desirable, especially where rocks are
(c) Specific guidance on acceptable characteristics soft, for procedures to be used in compacting rock-fill
and operating procedures of tamping rollers, rubber-tired materials to be selected on the basis of test fills, in which
rollers, and vibratory rollers is given in guide specification lift thicknesses, numbers of passes, and types of compac-
CW-02212, including dimensions, weights, and speed of tion equipment (i.e., different vibratory rollers) are inves-
rolling; also see EM 1110-2-1911. tigated (paragraph 3-1k). Many test fills have been
constructed by the Corps of Engineers and other agencies,
b. Pervious materials (excluding rock-fill). and the results should be reviewed for possible applicabil-
ity before constructing test fills. Rock-fill should not be
(l) The average in-place relative density of zones placed in layers thicker than 24 in. unless the results of
containing cohesionless soils should be at least 85 percent, test fills show that adequate compaction can be obtained
and no portion of the fill should have a relative density using thicker lifts. As the maximum particle size of rock-
less than 80 percent. This requirement applies to drainage fill decreases, the lift thickness should be decreased. In
and filter layers as well as to larger zones of pervious no case should the maximum particle size exceed 0.9 of
materials, but not to bedding layers beneath dumped rip- the lift thickness. Smooth-wheeled vibratory rollers hav-
rap slope protection. The requirement also applies to ing static weights of 10 to 15 tons are effective in achiev-
filter layers and pervious backfill beneath and/or behind ing high densities for hard durable rock if the speed,
spillway structures. The relative density test is generally cycles per minute, amplitude, and number of passes are
satisfactory for pervious materials containing only a few correct. Quarry-run rock having an excess of fines can be
percent finer than the No. 200 sieve. For some materials, passed over a grizzly, and the fines placed next to the
however, field compaction results equal to 100 percent or core. Fine rock zones should be placed in 12- to 18-in.
more of the standard compaction test maximum density lift thicknesses.
can be readily obtained and may be higher than 85 per-
cent relative density. If 98 percent of the maximum den- (2) There is no need to scarify the surfaces of com-
sity from the standard compaction test is higher than pacted lifts of hard rock-fill. Soft rocks, such as some
85 percent relative density, the standard compaction test sandstones and shales, often break down to fine materials
should be used. The design should provide that clean, on the surface of the lift. Other sandstones may be com-
free-draining pervious materials be compacted in as nearly pacted in the same manner as other hard rocks. Scarify-
a saturated condition as possible. Otherwise compaction ing has been used on soft sandstone layers to move fines
at bulking water contents might result in settlement upon down into the fill. If breaking down of the upper part of
saturation. the layer cannot be prevented, it may be necessary to use
very thin lifts to break the sandstone so that the larger
(2) It is possible to place pervious fill such as particles are surrounded with sand. Ten-ton vibratory
free-draining gravel or fine to coarse sand, into a lift 3 to rollers and tracked equipment break the rock more than
4 ft thick in shallow water and to obtain good compaction rubber-tired equipment. If soft material breaks down
by rolling the emerged surface of the lift with heavy uniformly, vibratory or other equipment can be used, but
crawler tractors. However, less pervious soils cannot be the dam should be designed as an earth dam. Specifica-
compacted if placed in this manner or even on a wet tions should prohibit the practice often used by contrac-
subgrade. In general, sand containing more than 8 to tors of placing a cover of fine quarry waste on completed
10 percent finer than the No. 200 sieve cannot be placed lifts of larger rock to facilitate hauling and to reduce tire
satisfactorily underwater, and well graded sand-gravel wear. If such a cover of fines were extensive, it could
mixtures must contain even fewer fines. The ability to have a detrimental effect on drainage and strength charac-
place pervious soils in shallow water after stripping teristics of the outer rock zones.

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7-9. Slope Protection sodding, and planting. The type of protection provided is
governed by available materials and economics. Slope
Adequate slope protection must be provided for all earth protection should be designed in accordance with the
and rock-fill dams to protect against wind and wave procedures presented in Appendix C. Due to the high
erosion, weathering, ice damage, and potential damage cost, the initial slope protection design should be accom-
from floating debris. Methods of protecting slopes plished during the survey studies to establish a reliable
include dumped riprap, precast and cast-in-place concrete cost estimate. The final design should be presented in the
pavements, soil cement, bituminous soil stabilization, appropriate feature design memorandum.

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Chapter 8 least until a large part of the embankment fill has been
Appurtenant Structures placed.

e. Outlet structures. Where outlet structures are to

be located in active seismic areas, special attention must
8-1. Outlet Works be given to the possibility of movement along existing or
possibly new faults.
a. Foundation. If the dam’s foundation consists of
compressible soils, the outlet works tower and conduit 8-2. Spillway
should be founded upon or in stronger abutment soils or
rock where less settlement and horizontal spreading will a. Excavations. Excavations for spillways often
occur and where the embankment is lower. Seepage require high side slopes cut into deposits of variable
collars should not be used because adequate compaction is materials, often below groundwater table. If material
rarely achieved around the collars and because their pres- from the spillway excavation is suitable for embankment
ence may increase the separation of conduit sections fill, the stability of spillway slopes may be increased
should the embankment tend to spread. A drainage layer without increasing construction costs by excavating to
should be provided around the conduit in the downstream flatter slopes. The stability of slopes excavated into natu-
zone of embankments. Excavation slopes in earth for ral materials is much more difficult to assess than that of
conduits should be no steeper than 1 vertical on 2 hori- slopes of properly constructed embankment. For excava-
zontal to facilitate adequate compaction and bonding of tion into natural soil deposits, detailed subsurface explora-
backfill with the sides of the excavation. tion including groundwater observations and appropriate
laboratory tests on representative soils supply the informa-
b. Concrete plug. A concrete plug should be used tion needed for slope stability analyses. When required
as backfill in rock cuts for cut-and-cover conduits within excavation is in rock, the influence of structural discon-
the core area to ensure a watertight bond between the tinuities such as joints, faults, and bedding planes over-
structure and vertical rock surface. The plug, which can shadows the properties of the intact rock as determined by
be constructed of lean concrete, should be provided over tests on core samples. Consequently, detailed geologic
the length of the core contact area and extend up to the studies and subsurface investigations, together with empir-
original rock surface. The substitution of hand-tamped ical data on natural and man-made slopes in the vicinity,
earth fill is not considered an acceptable substitute for the are used for determining excavation slopes in rock and in
lean concrete. Seepage collars should not be used except clay shales.
where they function for alignment control. In embank-
ments having a random or an impervious downstream b. Grout curtains. It is often necessary to extend
shell, horizontal drainage layers should be placed along grout curtains beyond the dam axis to include the abut-
the sides and over the top of conduits downstream of the ment between the dam and spillway, as well as beneath
impervious core. and across the spillway structure. If the rock is of poor
quality, it may be necessary to build concrete walls or
c. Basins. Intake structure towers and outlet head- provide revetment to protect against erosion toward the
walls at stilling basins are often recessed into the embank- spillway.
ment to reduce the length of conduit. Since the tolerable
horizontal movements of these features are very small, 8-3. Miscellaneous Considerations
they should be designed for earth pressure at rest, taking
into account the surcharge effect of the sloping embank- a. Temporary slopes. Temporary excavation slopes
ment and water table considerations. Sidewalls should behind training walls are commonly shown on contract
also be designed for at rest earth pressures, considering plans as 1 vertical on 1 horizontal for pay purposes; how-
surface effects from the sloping embankment where ever, for major cuts and for cuts in weak materials, the
applicable. slopes should be designed for adequate stability and the
required slopes shown on the contract drawings. Drainage
d. Piers. When service bridge piers have been of the backfill must be provided to reduce pressures
constructed concurrently with placement of the embank- against the walls to a minimum. The backfill should
ment fill, they have often suffered large horizontal move- either consist entirely of free-draining material or have a
ments. Construction of such piers should be delayed until zone of free-draining material adjacent to the wall
after the embankment has been brought to grade, or at

8-1
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31 Jul 94

containing a collecting pipe drain along the lower part of concrete. A 10 vertical on 1 horizontal batter on the con-
the backfill near the wall. Where there is room to do so, crete contact surfaces will ensure that the fill will be
the most effective way to control drainage within the soil compressed against the wall as consolidation takes place.
backfill is an inclined drainage blanket with a longitudinal The interface of an earth embankment abutting a high
drain (see EM 1110-2-2502, paragraph 6-6). concrete wall should be aligned at such an angle that the
water load will force the embankment against the wall.
b. Channel slopes. Channel slopes adjacent to spill- The best juncture of a concrete dam with flanking earth
way and outlet structures must be designed to provide embankments is by means of wraparounds. Internal
adequate factors of safety against slope failure. For some drainage provided beneath the downstream portion of the
distance below stilling basins, the channel slopes and bed embankment should be carried around to the downstream
must be protected against scour with derrick stone and/or contact with the concrete structure. Compaction contigu-
riprap; guidance on the design of such protection is fur- ous to walls may be improved by sloping the fill away
nished in EM 1110-2-1602 and EM 1110-2-1603. from the wall to increase roller clearances. Where rollers
cannot be used because of limited clearance or where
c. Embankments. Special attention must be given to specifications restrict the use of rollers near walls, power
the junction of embankments with concrete structures such tamping of thinner layers should be used to obtain densi-
as outlet works, spillway walls, lock walls, and power- ties equal to the remainder of the embankment. It may be
houses to avoid piping along the zone. An embankment desirable to place material at higher water contents to
abutting a high concrete wall creates a tension zone in the ensure a more plastic material which can adjust without
top of the embankment similar to that occurring next to cracking, but then the effects of increased porewater pres-
steep abutments. Horizontal joints should not be cham- sures must be considered.
fered in the contact areas between embankment and

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Chapter 9 (4) Quality assurance (QA) is the procedure by

General Construction Considerations which the Government fulfills its responsibility to be
certain the CQC is functioning and the specified end
product is realized.

9-1. General b. Policy. Obtaining quality construction is a com-

bined responsibility of the construction contractor and the
The design of an earth or rock-fill dam is a process con- Government. The contract documents establish the level
tinued until construction is completed. Much additional of quality required in the project to be constructed. In
information on the characteristics of foundations and contracts of $1 million or greater, detailed CQC will be
abutments is obtained during clearing, stripping, and applied and a special CQC Section will be included in the
trenching operations, which may confirm or contradict contract. CEGS-01440 is to be used in preparation of the
design assumptions based on earlier geologic studies and CQC Section. QA is required on all construction con-
subsurface exploration by drill holes and test pits. Opera- tracts. The extent of assurance is commensurate with the
tions in the borrow areas and in required excavations also value and complexity of the contracts involved. QA
provide much data pertinent to characteristics of fill testing is required (ER 1180-1-6).
material and of excavated slopes. Weather and ground-
water conditions during construction may significantly c. Contractor responsibility. Contractors shall be
alter water contents of proposed fill material, or create responsible for all activities necessary to manage, control,
seepage and/or hydraulic conditions, necessitating modifi- and document work so as to ensure compliance with the
cations in design. Projects must be continuously evalu- contract P&S. The contractor’s responsibility includes
ated and “re-engineered,” as required, during construction, ensuring adequate quality control services are provided for
to ensure that the final design is compatible with condi- work accomplished by his organization, suppliers, subcon-
tions encountered during construction. Design and design tractors, technical laboratories, and consultants. For con-
review personnel will make construction site visits to tracts of $1 million or greater, contractors will be required
determine whether design modifications are required to to prepare a quality control plan (ER 1180-1-6).
meet actual field conditions (see ER 1110-2-112). Envi-
ronmental considerations discussed in paragraph 2-5 must d. Government responsibility. QA is the process
be given attention in construction operations. by which the Government ensures end product quality.
This process starts well before construction and includes
9-2. Obtaining Quality Construction reviews of the P&S for biddability and constructibility,
plan-in-hand site reviews, coordination with using agen-
a. Definitions (ER 1180-1-6).
cies or local interests, establishment of performance
periods and quality control requirements, field office plan-
(1) Quality is conformance to properly developed
ning, preparation of QA plans, reviews of quality control
requirements. In the case of construction contracts, these
plans, enforcement of contract clauses, and acceptance of
requirements are established by the contract specifications
completed construction (ER 1180-1-6).
and drawings.

(2) Quality management is all control and assur- e. QA for procedural specifications. Some QA
ance activities instituted to achieve the product quality testing in the case of earthwork embankment and concrete
established by the contract requirements. dam structures must be conducted continuously. A com-
prehensive QA testing program by the Government is
(3) Contractor quality control (CQC) is the con- necessary when specifications limit the contractor to pre-
struction contractor’s system to manage, control, and scriptive procedures leaving the responsibility for end
document his own, his supplier’s, and his subcontractor’s product quality to the Government (ER 1180-1-6).
activities to comply with contract requirements.1
9-3. Stage Construction
_____________________________
1 a. The term “stage construction” is limited here to
Additional information is given in EP 715-1-2 and
construction of an embankment over a period of time with
International Commission on Large Dams Bulletin 56
substantial intervals between stages, during which little or
“Quality Control for Fill Dams” (International Commis-
sion on Large Dams 1986).

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31 Jul 94

no fill is placed. Where a foundation is weak and com- puts a back head on the construction area and reduces
pressible, or where impervious fill is on the wet side of erosion of the downstream slope and adjacent foundation.
normally acceptable placement water contents, it may be
desirable to restrict the rate of fill placement or to cease (2) Cofferdams are often constructed in two stages:
fill placement for periods of time to permit excess pore- first, a small diversion cofferdam is constructed upstream
water pressures in the foundation and/or the fill to dissi- of the main embankment, and second, the main cofferdam
pate. Another beneficial effect of periods of inactivity is is constructed. The cofferdam may form a permanent part
that rates of pore-pressure buildup in partially saturated of the embankment wherever suitable strength and perme-
soils upon resumption to fill placement may be reduced ability characteristics of the fill can be obtained. Gravel
(see Clough and Snyder (1966) and Plate VIII-3 of fill is particularly suitable for cofferdam construction
EM 1110-2-1902). since it readily compacts under water. If seepage consid-
erations require an upstream impervious blanket on a
b. High embankments. Where high embankments cofferdam built of pervious soil, the blanket should be
are constructed in narrow valleys, it may be possible to removed later if it restricts drainage during drawdown.
place fill rapidly, which will increase pore-pressure
buildup in the embankment and/or foundation. Rather c. Cofferdam design. Major cofferdams are those
than reduce the rate of fill placement unduly, it may be cellular or embankment cofferdams, which, upon failure,
desirable to use flatter slopes, add stabilizing berms, or would cause major damage downstream and/or consider-
build the embankment in stages. able damage to the permanent work. Minor cofferdams
are those which would result in only minor flooding of
9-4. Stream Diversion the construction work. All major cofferdams should be
planned, designed, and constructed to the same level of
a. Requirements. Requirements for diversion of engineering competency as for main dams. Design con-
streamflow during construction and the relative ease and siderations should include minimum required top eleva-
cost of stream control measures may govern site selection. tion, hydrologic records, hydrographic and topographic
Since river diversion is a critical operation in constructing information, subsurface exploration, slope protection,
a dam, the method and time schedules for diversion are seepage control, stability and settlement analyses, and
important elements of design. sources of construction materials. The rate of construc-
tion and fill placement must be such to prevent over-
b. Methods of stream control. topping during initial closure of the cofferdam. The
cofferdam for Cerrillos Dam, Puerto Rico, was unique in
(1) The principal factors that determine methods that it was designed to handle being overtopped. The
of stream control are the hydrology of the stream, the overtopping protection consisted of anchoring welded
topography and geology of the site, and the construction steel rebar/wire mesh to the downstream face. Crest
schedule. A common diversion method is to construct the protection was provided by gabions with asphalt paving
permanent outlet works and a portion of the embankment (U.S. Army Engineer District, Jacksonville 1983). Minor
adjacent to an abutment in the initial construction period. cofferdams can be the responsibility of the contractor.
During the next construction period, at a time when flood Excavations for permanent structures should be made so
possibility is low and favorable embankment placement as not to undermine the cofferdam foundation or other-
conditions are likely, a cofferdam is constructed to divert wise lead to instability. Adequate space should be pro-
riverflow through the outlet works (guidance on planning, vided between the cofferdam and structural excavation to
design, and construction of cofferdams is given in accommodate remedial work such as berms, toe but-
ER 1110-2-2901 and EM 1110-2-2503). A downstream tresses, and foundation anchors should they be necessary.
cofferdam may also be required until the embankment has
been completed above tailwater elevation. In the period d. Protection of embankment.
following diversion, the closure section is first brought up
to a level with the remainder of the dam, after which the (1) Where hydrologic conditions require, emergency
embankment is completed to a given height as rapidly as outlets should be provided to avoid possible overtopping
possible in preparation for high water. In the final period, of the incomplete embankment by floods that exceed the
the entire dam is brought up to full height. Simultaneous capacity of the outlet works. As the dam is raised, the
closure of upstream and downstream cofferdams may probability of overtopping gradually decreases as a result
facilitate a difficult closure. The downstream cofferdam of increased discharge capacity and reservoir storage.

9-2
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31 Jul 94

Should overtopping occur, however, damage to the par- suitable procedure is to use flatter slopes or stabilizing
tially completed structure and to downstream property berms. Cracking because of differential settlement may
increases with increased embankment heights. It is pru- be minimized by making the end slopes of previously
dent to provide emergency outlets by leaving gaps or low completed embankment sections no steeper than 1 vertical
areas in the concrete spillway or gate structure, or in the on 4 horizontal. The soil on the end slopes of previously
embankment during wintering over periods. Excavation completed embankment sections should be cut back to
of portions of the spillway approach and discharge chan- well-compacted material that has not been affected by
nels, combined with maintaining low concrete weir sec- wetting, drying, or frost action. It may be desirable to
tions, may provide protection for the later phases of place core material at higher water contents than else-
embankment construction during which the potential dam- where to ensure a more plastic material which can adjust
age is greatest. without cracking, but the closure section design must then
consider the effects of increased porewater pressures
(2) When a portion of the embankment is con- within the fill. The stability of temporary end slopes of
structed before diversion of the river, temporary riprap or embankment sections should be checked.
other erosion protection may be required for the toe of the
embankment adjacent to the channel. This temporary b. Limit. If specifications limit the rate of fill
protection must be removed before placement of fill for placement, piezometers must be installed with tips in the
the closure section. foundation and in the embankment to monitor porewater
pressures. Conduits should not be built in closure sec-
(3) In some cases the cost of providing sufficient tions or near enough to closure sections to be influenced
flow capacity to avoid overtopping becomes excessive, by the induced loads.
and it is more appropriate to provide protection for possi-
ble overflow during high water conditions, as was done at c. Closure section. Closure sections, with founda-
Blakely Mountain Dam (U.S. Army Engineer Waterways tion cutoff trenches if required, are generally constructed
Experiment Station 1956). in the dry, behind diversion cofferdams. In a few cases,
the lower portions of rock-fill closure sections with
(4) Within the past 10 years innovative methods “impervious” zones of cohesionless sands and gravels
for providing overtopping protection of embankments have been successfully constructed under water (see Pope
have been developed. These include roller-compacted 1960). Hydraulic aspects of river diversion and closures
concrete and articulated concrete blocks tied together by are presented in EM 1110-2-1602.
cables and anchored in place (see Hansen 1992;
Powledge, Rhone, and Clopper 1991; Wooten, Powledge, 9-6. Construction/Design Interface
and Whiteside 1992; and Powledge and Pravdivets 1992).
It is essential that all of the construction personnel associ-
9-5. Closure Section ated with an earth or rock-fill dam be familiar with the
design criteria, performance requirements, and any special
a. Introduction. Because closure sections of earth details of the project. As discussed in paragraph 4-7,
dams are usually short in length and are rapidly brought coordination between design and construction is accom-
to grade, two problems are inherent in their construction. plished through the report on engineering considerations
First, the development of high excess porewater pressures and instructions to field personnel, preconstruction orien-
in the foundation and/or embankment is accentuated, and tation for construction engineers by the designers, and
second, transverse cracks may develop at the juncture of required visits to the site by the designers.
the closure section with the adjacent already constructed
embankment as a result of differential settlement. When 9-7. Visual Observations
the construction schedule permits, excess porewater pres-
sures in the embankment may be minimized by providing Visual observations during all phases of construction
inclined drainage layers adjacent to the impervious core provide one of the most useful means for controlling
and by placing gently sloping drainage layers at vertical construction and assessing validity of design assumptions.
intervals within semi-impervious random zones. How- It is not practical, for economic reasons, to perform
ever, acceleration of foundation consolidation by means of enough field density control tests, to install enough
sand blankets and vertical wick drains or reduction of instrumentation, and to obtain enough data from pre-
embankment pore pressures by stage construction is construction subsurface explorations to ensure that all
generally impracticable in a closure section. A more troublesome conditions are detected and that satisfactory

9-3
EM 1110-2-2300
31 Jul 94

construction is being achieved. While test data and for determination of field water content is available using
instrument observations provide more detailed and quanti- the microwave oven (see below).
tative information than visual observations, they serve
principally to strengthen and supplement visual observa- c. Oven system. A computer-controlled microwave
tions of the embankment and foundation as the various oven system (CCMOS) is useful for rapid determination
construction activities are going on. Field forces should of water content for compaction control. The principle of
be constantly on the alert for conditions not anticipated in operation of the system is that water content specimens
the design, such as excessively soft areas in the founda- are weighed continuously while being heated by micro-
tion; jointing, faulting, and fracturing in rock foundations; wave energy, and a computer monitors change in water
unusual seepage; bulging and slumping of embankment content with time and terminates drying when all free
slopes; excavation movements; cracks in slopes; and the water has been removed. A water content test in the
like. It is particularly important to make observations CCMOS requires 10 to 15 min, and the system has been
during the first filling of the reservoir as weaknesses in a field tested at Yatesville Lake and Gallipolis Lock pro-
completed dam often show up at this time. For this rea- jects. Test results indicated that CCMOS produces water
son, each reservoir project is required to have an “Initial contents within 0.5 percent of conventional oven water
Filling Plan” (discussed in paragraph 9-8). Visual obser- content. Special procedures must be used when drying
vations of possible distress such as cracking, the appear- materials which burst from internal steam pressure during
ance of turbid water in downstream toe drainage systems, microwave drying (which includes some gravel particles
erosion of riprap, soft wet spots downstream of the abut- and shales) and highly organic material, which requires a
ments or at the downstream toe or on the downstream special drying cycle. Gypsum-rich soils are dehydrated
slope, and other observations are important. Observations by the microwave oven system giving erroneous results
of instrumentation also yield valuable data in this respect. and should not be analyzed by this method. However, it
should be noted that a special drying procedure is
9-8. Compaction Control required to dry gypsum-rich soils in the conventional oven
(Gilbert 1990, Gilbert 1991).
a. Principal compaction. Principal compaction
control is achieved by enforcement of specifications relat- d. Compaction. In order to check the adequacy of
ing to placement water content, lift thickness, compacting compaction in the various embankment zones and to
equipment, and number of passes for the various types of confirm the validity of the design shear strengths and
fill being placed. Experienced inspectors can quickly other engineering parameters, a systematic schedule for
learn to distinguish visually whether the various contents obtaining 1-cu-ft test pit samples at various elevations and
are within the specified range for compaction, and to locations in the embankment should be established. Sam-
assess whether satisfactory compaction is being achieved. ples so obtained will be suitably packed and shipped to
This ability is gained by closely observing the behavior of division laboratories for performance of appropriate tests.
the materials during spreading and compacting operations.
9-9. Initial Reservoir Filling
b. Field compaction. A systematic program of field
compaction control should be established and executed, a. General. The initial reservoir filling is defined
involving determinations of in-place densities and water as a deliberate impoundment to meet project purposes and
contents, and relating the results to specified or desired is a continuing process as successively higher pools are
limits of densities and water contents. Special emphasis attained for flood control projects. The initial reservoir
must be placed in the compaction program on the need to filling is the first test of the dam to perform the function
obtain sufficient densities in each lift along the impervi- for which it was designed. In order to monitor this per-
ous core contact area on the abutments, and in each lift formance, the rate of filling should be controlled to the
on either side of the outlet conduit along the backfill- extent feasible, to allow as much time as needed for a
conduit contact to verify adequate compaction in these predetermined surveillance program including the observa-
and other critical zones. If good correlations can be tion and analysis of instrumentation data (Duscha and
obtained between direct methods and nuclear moisture- Jansen 1988). A design memorandum (DM) on initial
density meters, the latter may be used to increase the reservoir filling is required for all new reservoir projects.1
number of determinations with a minimum increase in
time and effort, but nuclear measurements cannot be used _____________________________
1
to replace direct determinations. A more reliable method Additional information is given in ETL 1110-2-231.

9-4
 EM 1110-2-2300
31 Jul 94

b. Design memorandum. As a minimum, the DM criteria and foundation report to provide a summary of
on initial reservoir filling will include the following significant design assumptions and computations, specifi-
(EM 1110-2-3600): cation requirements, construction procedures, field control
and record control test data, and embankment perfor-
(1) Reservoir regulations during project construc- mance as monitored by instrumentation during construc-
tion stage(s). tion and during initial reservoir filling. This report is
usually written by persons with first-hand knowledge of
(2) Water control plan. the project design and construction. The written text is
brief with the main presentation consisting of a set of
(3) Project surveillance. identified construction photographs, data summary tables,
and as-constructed drawings. This report provides in one
(4) Cultural site surveillance. volume the significant information needed by engineers to
familiarize themselves with the project and to re-evaluate
(5) Flood emergency plan. the embankment in the event unsatisfactory performance
occurs (see ER 1110-2-1901).
(6) Public affairs.
e. Construction foundation report. In addition to
(7) Safety plan. an embankment criteria and foundation report, all major
and unique dams require a construction foundation report
(8) Transportation and communications. to be completed within 6 months after completion of the
project or part of the project for which the report is
9-10. Construction Records and Reports written (see Appendix A of ER 1110-1-1801 for a sug-
gested outline for foundation reports). This report docu-
a. General. Engineering data relating to project ments observations of subsurface conditions encountered
structures will be collected and permanently retained at in all excavations and provides the most complete record
the project site (see Appendix A of ER 1110-2-100). of subsurface conditions and treatment of the foundation.
This information has many uses such as determining the The foundation report should be complete with such
validity of claims made by construction contractors, details as dip and strike of rock, faults, artisan conditions,
designing future alterations and additions to the structure, and other characteristics of foundation materials. A com-
familiarizing new personnel with the project, and provid- plete history of the project in narrative form should be
ing guidance for designing comparable future projects. written, giving the schedule of starting and completing the
These documents will include as many detailed photo- various phases of the work, describing construction meth-
graphs as necessary. This information provides the basis ods and equipment, summarizing quantities of materials
for analysis and remedial action in the event of future involved, and other pertinent data. An accurate record
distress. should be maintained as to the extent and removal of all
temporary riprap or stockpiled rock such as that used for
b. Field control data. Records including field con- diversion channel protection. The construction foundation
trol data on methods of compaction, in-place unit weight report saves valuable time by eliminating the need to
and moisture content, piezometers, surface monuments, search through voluminous construction records of the
and inclinometers are kept for use in construction, opera- dam to find needed information to use in planning reme-
tion, and maintenance of the project. Instructions regard- dial action should failure or partial failure of a structure
ing specific forms to use for field data control are given occur as a result of foundation deficiencies.
in ER 1110-2-1925.
f. Photographs and video tape taken during con-
c. As-constructed drawings. As construction of a struction. Embankment criteria and foundation and con-
project progresses, plans will be prepared showing the struction foundation reports should be supplemented by
work as actually constructed. Changes may be indicated photographs that clearly depict conditions existing during
in ink on prints of the construction drawings or the trac- embankment and foundation construction. Routine photo-
ings may be revised and new prints made to show the graphs should be taken at regular intervals, and additional
work as constructed, as specified in ER 1110-2-1200. pictures should be taken of items of specific interest, such
as the preparation of foundations and dam abutments. For
d. Embankment criteria and foundation report. these items, color photographs should be taken. The
Earth and earth-rock-fill dams require an embankment captions of all photographs should contain the name of

9-5
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31 Jul 94

the project, the date on which the photograph was taken, pointing in the direction the camera was pointing, with
the identity of the feature being photographed, and the each location keyed to the numbers on the accompanying
location of the camera. In reports containing a number of photographs (EM 1110-2-1911). Consideration should be
photographs, an alternative would be an index map with a given to using video tape where possible to document
circle indicating the location of the camera with an arrow construction of the dam.

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 EM 1110-2-2300
31 Jul 94

Chapter 10 d. An explanatory discussion of the purpose of the

Instrumentation devices to be installed.

e. Threshold limits, along with the predicted per-

formance levels, should be given.
10-1. General
ER 1110-2-1925 prescribes the forms to be used in
a. Dam safety. In view of concerns for dam safety, recording instrumentation observations.
it has become increasingly important to provide sufficient
instrumentation in earth and rock-fill dams for monitoring 10-3. Types of Instrumentation
the performance of the structure during construction, and
for all anticipated stress conditions throughout the opera- The type, number, and location of required instrumenta-
tional life of the project. Visual observations and the tion depend on the complexity of the project. Devices
interpretation of instrumentation data from the embank- may consist of the following: piezometers (open tube,
ment, foundations, abutments, and appurtenant features such as the Casagrande type, electrical, vibrating wire, or
provide the primary means for engineers to evaluate dam occasionally closed systems) located in the foundation
safety. In recent years, technology of devices for measur- abutment and/or embankment, surface monuments, settle-
ing seepage, stresses, and movements in dams has ment plates within the embankment, inclinometers with
improved significantly with respect to accuracy, reliabil- telescoping casing, movement indicators (at conduit joints,
ity, and economics. Guidance on the selection and use of outlet works, and intake tower), internal vertical and hori-
various types of instrumentation is presented in zontal movement and strain indicators, earth pressure
EM 1100-2-1908, Parts 1 and 2. cells, and accelerographs (in areas of seismic activity).

b. Instrumentation. Once instrumentation has been 10-4. Discussion of Devices

installed, a program must be developed to collect data on
an appropriate schedule established for each project. A a. Piezometers. The safety of a dam is affected by
minimum collection schedule is described in ER 1110- hydrostatic pressures that develop in the embankment,
2-100. Data must be promptly plotted, summarized, and foundation, and abutments. Periodic piezometer observa-
critically reviewed and evaluated by competent personnel. tions furnish data on porewater pressures within the
It is important to realize that installation of instrumenta- embankment, foundation, and abutments, which provide a
tion, without appropriate collection and review of data, check on seepage conditions and performance of the
does not accomplish the desired end result of evaluating drainage system. The installation should consist of sev-
the performance and safety of the structure. Data tabula- eral groups of piezometers placed in vertical planes per-
tions and evaluation summaries should be presented for pendicular to the axis of the dam so that porewater
record in periodic inspection reports throughout the opera- pressures and/or seepage pressures may be accurately
tional life of the project. determined for several cross sections. At each cross
section where piezometers are placed, some should extend
10-2. Instrumentation Plan and Records into the foundation and abutments and be located at inter-
vals between the upstream toe and the downstream toe, as
A separate design memorandum should be prepared out- well as being placed at selected depths in the embank-
lining the proposed instrumentation. This should include ment. In addition to the groups of piezometers at selected
a presentation of the following items: cross sections, occasional piezometers at intermediate
stations will provide a check on the uniformity of condi-
a. The number, location, and type of piezometers, tions between sections. Each piezometer should be placed
inclinometers, surface movement markers, settlement with its tip in pervious material. If pervious material is
gages, or other types of instrumentation. not present in the natural deposit of foundation material,
or if the tip is in an impervious zone of the embankment,
b. A separate plan of each feature of the project a pocket of pervious material should be provided. Two of
with the instrumentation clearly located. the more important items in piezometer installation are the
provision of a proper seal above the screen tip and the
c. A general schedule of installation and frequency water tightness of the joints and connections of the riser
of observation. pipe or leads.

10-1
EM 1110-2-2300
31 Jul 94

b. Surface monuments. Permanent surface monu- response of the embankment to the earthquake motion.
ments to measure both vertical and horizontal alignment ER 1110-2-103 provides requirements and guidance for
should be placed in the crest of the dam and on the installation and servicing of strong-motion instruments.
upstream and downstream slopes. Survey control should EM 1110-2-1908 discusses types of devices and factors
be maintained from reference monuments located in stable controlling their location and use. Digital accelerographs
material outside of the limits of influence from the con- are recommended as replacements for existing analog
struction. Monuments should be embedded in the film-type accelerographs. A status report on Corps of
embankment by means of a brass or steel rod encased in Engineers strong-motion instrumentation for measurement
concrete to a depth appropriate for regional frost action. of earthquake motions on civil works structures is pro-
All monuments must be protected against disturbance by vided annually. As of September 1993, the Corps of
construction and maintenance equipment. Guidance on Engineers has installed 431 accelerographs, 56 peak accel-
spacing is as follows: 50-ft intervals for crest lengths up erograph recorders, and 36 seismic alarm devices at
to 500 ft, l00-ft intervals for crest lengths to 1,000 ft, and 124 projects located in 33 states and the Commonwealth
200- to 400-ft intervals for longer embankments. These of Puerto Rico.
monuments should be installed as early as possible during
construction and readings obtained on a regular basis. 10-5. Measurements of Seepage Quantities

c. Inclinometers. Inclinometers should be installed The seepage flow through and under a dam produces both
in one or more cross sections of high dams, dams on surface and subsurface flow downstream from the dam.
weak deformable foundations, and dams composed at The portion of the total seepage that emerges from the
least in part of relatively wet, fine-grained soils. Inclino- ground, or is discharged from drains in the dam, its foun-
meters should be installed particularly where dams are dation, or abutments, is the only part that can be mea-
located in deep and narrow valleys where embankment sured directly. An estimate of the quantity of subsurface
movements are both parallel and perpendicular to the dam flow from flow net studies may be based on assumed
axis. It is essential that these devices be installed and values of permeability. The portion of the seepage that
observed during construction as well as during the opera- appears at the ground surface may be collected by ditches
tional life of the project. or pipe drains and measured by means of weirs or other
devices (monitoring performance of seepage control
d. Miscellaneous movement indicators. Various measures is discussed in detail in Chapter 13 of
types of instrumentation may be installed to measure EM 1110-2-1901).
horizontal spreading of the embankment (particularly
when the foundation is compressible), movements adja- 10-6. Automatic Data Acquisition
cent to buried structures, foundation settlement, and
internal strains. Strain measurements are particularly a. Electronics. Developments in the field of elec-
significant adjacent to abutments and below the crest to tronics have now made it possible to install and operate
detect cracking of the core. Where there is a possibility automated instrumentation systems that provide cost-
of axial extension, as near steep abutments, surface monu- effective real time data collection from earth and rockfill
ments should be placed on the crest at 50-ft intervals to dams. Installation of these computer-based automatic data
permit measurement of deformations along the axis. acquisition systems (ADAS) satisfies the growing demand
for more accurate and timely acquisition, reduction, pro-
e. Pressure cells. The need for reliable pressure cessing, and presentation of instrumentation data for
cells for measuring earth pressures in embankments has review and evaluation by geotechnical engineers. Consid-
long been recognized, and much research has been done eration should be given to providing an ADAS for all new
toward their development. Although many pressure cells dam projects. General guidance for developing an ADAS
now installed in earth dams have not proved to be entirely is presented in Appendix D. A database for automated
satisfactory, newer types are proving to be satisfactory geotechnical and some structural instrumentation at Fed-
and increased usage is recommended. Some types of eral and non-Federal projects is maintained under the
pressure cells installed at the interface of concrete Corps of Engineers Computer Applications in Geotechni-
structures and earth fill have performed very well. cal Engineering (CAGE) Program.1

f. Accelerographs. For important structures in areas ____________________________

1
of seismic activity, it is desirable to install strong-motion, Additional information is given in ETL 1110-2-316,
self-triggering recording accelerographs to record the Data Base for Automated Geotechnical Instrumentation.

10-2
 EM 1110-2-2300
31 Jul 94

b. Automatic data acquisition systems. It is also (4) If rapid data processing and presentation of
advantageous to retrofit existing projects with an ADAS if instrumentation data for review and evaluation is neces-
one or more of the following conditions exist: sary. For example, it is now possible with the use of
ADAS to force readings at any time, see those readings
(1) The project is located in a remote area, far immediately in the District office, and within an hour,
from the District office where instrumentation data would have the data plotted for presentation.
be difficult to obtain during critical operating conditions.
(5) Where it is economically cheaper to purchase,
(2) Because of a shortage of manpower at the pro- install, and maintain an ADAS.
ject, it would be difficult to obtain a sufficient number of
manual instrumentation readings when extreme loading
conditions exist.

(3) Where geotechnical engineers have a need for

either more accurate and/or more frequent readings than
operations personnel can supply.

10-3