/.

Historical development of
dam analysis

Even t h o u g h the history of d a m c o n s t r u c t i o n h a s been covered

1
recently in the l i t e r a t u r e , such a history m u s t also be included in
2
a b o o k on d a m analysis because historical d e v e l o p m e n t s help better
to u n d e r s t a n d p r e s e n t - d a y m e t h o d s .

I.I. Earth and rockfill dams

C o n s t r u c t e d six t h o u s a n d years a g o (Waja D a m in J o r d a n i a ) , the
oldest d a m s were m a d e of e a r t h a n d rockfill because of their simple
technology a n d favourable costs. Different d a m failures slope slips
(1842 Cercey D a m in B u r g u n d y , F r a n c e ) , u n d e r g r o u n d leakage (1802
Estrecho de Rientes, Spain) a n d o v e r t o p p i n g (1889 S o u t h F o r k of the
C o n e m a u g h River n e a r J o h n s t o w n , Pennsylvania, U S A ) h a v e
d e m o n s t r a t e d the lack of a d e q u a t e design m e t h o d s for e m b a n k m e n t
d a m s a n d distinguished the different types of c o n s t r u c t i o n a l r e a d y
in use in the 19th C e n t u r y such as hydraulic or c o m p a c t e d fill of a
uniform or zoned m a t e r i a l with a central core or i m p e r v i o u s surface
of clay, a s p h a l t or concrete. It is therefore r a t h e r surprising t o learn
t h a t the U S B u r e a u of R e c l a m a t i o n did n o t begin research i n t o
the p r o b l e m s of e a r t h a n d rockfill d a m s w i t h g r e a t e r intensity before
1936.
T h e major p r o b l e m is the possibility of sliding of d a m slopes,
especially the u p s t r e a m slope as a result of r a p i d lowering of the
reservoir level. Simple sliding planes of straight lines a n d circles
(Fig. 1), for which the sliding b o d y is considered as u n d e f o r m a b l e
3
(after Fellenius ), m u s t be t a k e n into a c c o u n t , as should m o r e c o m
plicated geometries with deformable sliding bodies (Fig. 2).
Coulomb's law of friction (of 1773) is still the valid criterion of
sliding as long as the influence of p o r e pressure in the d a m b o d y
with the help of Terzaghfs effective stress is considered. I n earlier

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 2 I Practical dam analysis

times only the t w o - d i m e n s i o n a l or p l a n e case was analysed. But since

the c a t a s t r o p h i c M o n t e T o e Slip i n t o the full V a i o n t reservoir in 1963
6 , 7
the t h r e e - d i m e n s i o n a l o r spatial c a s e h a s been considered. Herzog*
1
extended t h e p l a n e strip m e t h o d of Fellenius by introducing
differential c o l u m n s of the slip b o d y a n d integrating over t w o
o r t h o g o n a l directions (Fig. 3). This calculation m e t h o d yields recog-

Section as designed

Crack Original profile

|J Profile after slip

Drainage
^^Z^^^y^ channel

Ballast

Section after slip

Fig. 2. Non-circular slip of the downstream slope of Lea River Dam near Chingford,
s
Essex, England, in July 1937

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 Historical development of dam analysis I 3

nition of where the slip starts a n d w h e n the p o i n t of n o r e t u r n is

reached.
T h e second p r o b l e m is vertical settlements a n d h o r i z o n t a l displace
m e n t of the d a m . C o n s t r u c t i o n settlements t h a t occur d u r i n g the fill
phase m u s t be distinguished from c o n s o l i d a t i o n settlements t h a t s t a r t
9
after d a m c o n s t r u c t i o n (Fig. 4 ) , b o t h for the d a m b o d y a n d the c o m -

Fig. 4. Construction settlements u\ (maximum value at midheight) and consolidation

103
settlements ui (maximum value at surface)

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 4 I Practical dam analysis

pressible u n d e r g r o u n d a b o v e the b o t t o m rock. T h e prediction of d a m

d e f o r m a t i o n s d e p e n d s o n the values of d e f o r m a t i o n moduli for b o t h
the d a m b o d y a n d t h e u n d e r g r o u n d . T h e y are difficult to estimate
in a d v a n c e , as exemplified by the case of the 153 m high G e p a t s c h
1 0 1 1
D a m in the Tyrol, A u s t r i a . T h e surface displacements of
e m b a n k m e n t d a m s , especially crest displacements (Fig. 5), are a func
tion of the reservoir level, d a m d e f o r m a t i o n a n d the u n d e r g r o u n d
12
s i t u a t i o n . A b o v e r o c k only the d e f o r m a t i o n of the d a m b o d y is
i m p o r t a n t . I n general, the w a t e r p r e s s u r e o n the d a m ' s central core
surpasses the difference of e a r t h pressures of the d o w n s t r e a m a n d
u p s t r e a m shells due to their different effective densities ( d o w n s t r e a m
shell n o t s u b m e r g e d a n d u p s t r e a m shell s u b m e r g e d ) . A b o v e a com
pressible u n d e r g r o u n d the influence of reservoir load can pre
p o n d e r a t e . T h e n , the crest of the d a m can m o v e u p s t r e a m for a
full, reservoir. A b o v e a sloped f o u n d a t i o n rock the different
thicknesses of the compressible valley fill c a n cause additional crest
displacements.
P o r e pressures in the d a m b o d y , which have t o be c o m p a r e d with
13
interior stresses due t o d e a d w e i g h t a n d external w a t e r p r e s s u r e ,
form the t h i r d p r o b l e m . But here c o m m o n sense m u s t prevail. There
is n o sense in considering p o r e pressure in a rockfill d a m of high
p o r o s i t y , w h e r e a s in h o m o g e n e o u s e a r t h d a m s a n d in the clay core
of rockfill d a m s it is vital t o keep the p o r e pressure below the over
b u r d e n pressure. In the central core of a rockfill d a m vertical d e a d l o a d
9
stresses c a n be lowered (by the so-called 'silo' a c t i o n ) to such a value
t h a t the t h e n p r e p o n d e r a n t p o r e pressure causes the feared hydraulic
fracture. T h e arising c r a c k s in the d a m core then n o t only allow
increased seepage (an a l a r m signal of p r i m e i m p o r t a n c e ) b u t they also
r e n d e r possible internal erosion with all its consequences a n d which
c a n n o t be s t o p p e d once started.

Fig. 5. Crest displacement of a well compacted dam upon a compressible underground

12
due to reservoir load

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 Historical development of dam analysis I 5

The fourth problem is the possibility of sliding of the dam as a

whole, as experienced in the earthquake of 1925 in Santa Barbara,
California, which led to the liquefaction of the underground consist-
ing of silty sand. 14
Using the method of finite elements, 1 5 - 1 7 stresses in and
displacements of earth and rockfill dams (Fig. 6) can now be
predicted, even with consideration of seepage both in the dam body
and in the underground at any point of the dam. l x As the cost of such
three-dimensional analyses is still large, the use of simple approximate
methods that can cope with slope stability, settlements and dis-
placements, silo action of the core and interior stresses is recom-
mended for design studies and preliminary designs. In the case of
narrow valleys 19,20 the portion of water load carried to the valley
flanks (Fig. 7) can be quantified sufficiently accurately by the so-called
'arch' actions in both longitudinal and transverse directions of the
valley.9

(a) Vertical stresses Principal stresses Settlements

Fig. 6. Results oj model tests and finite clement analyses for the 220 m high
Dabuklamm Dam in the Darter Valley. Eastern Tyrol1''2"

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 6 I Practical dam analysis

1.2. G r a v i t y d a m s

U n t i l the r u p t u r e of the Bouzey D a m n e a r E p i n a l in F r a n c e (Fig. 8)

21
in 1 8 9 5 , it w a s c u s t o m a r y t o check the highest cross-section of
the d a m ( a s s u m e d to be rigid) only for tilting a b o u t the toe, for
the safety against sliding of the d a m base, a n d for the vertical interior
12
stresses. W h e n Rankine w a s a s k e d for advice o n the design of Periyar
D a m in I n d i a in 1870, he m e n t i o n e d t w o a d d i t i o n a l design criteria for
gravity d a m s . First, the n o r m a l stress of the inclined d o w n s t r e a m face
is bigger t h a n its vertical c o m p o n e n t . Second, the resultant force m u s t
stay within the middle third of the cross-section if tension o n the d a m
23
surface is to be prevented. It w a s n o t until 1898 t h a t Levy reported
e q u a t i o n s of interior stresses in a gravity d a m considered as a n elastic
2425
wedge. In 1905 a n d a g a i n in 1907 - 1908 Wilson a n d Gore
r e p o r t e d tests with r u b b e r m o d e l s to clarify the question of interior
26
stresses in gravity d a m s (Fig. 9). In 1909 Richardson showed
h o w the p l a n e stress e q u a t i o n of the t h e o r y of elasticity for a gravity
d a m c a n be solved w i t h t h e m e t h o d of finite differences. It is a pity
t h a t his solution w a s n o t noticed by d a m designers at t h a t time.
21
In 1889 Kiel m e n t i o n e d t h a t reservoir w a t e r can enter a d a m b o d y
in cracks a n d o p e n c o n s t r u c t i o n j o i n t s only w h e n the w a t e r pressure is

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 Historical development of dam analysis I 7

(373-10) (372-95)

Fig. 8. Cross-section of Bouzey gravity dam near Epinal, France, built from 1877 to
21
1882 and collapsed in 1895

2%
larger t h a n the vertical compressive stress. I n 1898 Lieckfeldt for
m u l a t e d a p r o o f of stresses considering j o i n t w a t e r p r e s s u r e . T h e p r o b
lem of p e r c o l a t i o n considering d a m s as p o r o u s m e d i a w a s
29
t a k e n u p by Fillunger in 1913. H i s theoretical views were vigorously
30
contested by Terzaghi a n d in 1934 he c o m m i t t e d suicide. I n 1938
31
Heinrich showed t h a t the correct solution of the p e r c o l a t i o n p r o b
32
lem m u s t start from a t w o - p h a s e system. In 1936 Brahtz reported
the application of b o t h Airy's stress function a n d photoelasticity
t o the stress analysis of gravity d a m s , considering different elastic
properties for b o t h d a m a n d u n d e r g r o u n d . Different Young's m o d u l i
of elasticity for d a m a n d u n d e r g r o u n d were t a k e n i n t o a c c o u n t in
33
the m a t h e m a t i c a l t h e o r y of functions by Tolke in 1938 (Fig. 10).
T h e e n o r m o u s a m o u n t of c o m p u t a t i o n involved w a s a v o i d e d in 1947
34
by Zienkiewicz w h o solved the system of difference e q u a t i o n s with
35
the help of the m e t h o d of relaxation, devised by Southwell in 1940.
W h e n designing the 285 m high gravity d a m G r a n d e D i x e n c e in
36
Switzerland, Stucky studied the influence of r o c k elasticity with
the help of m o d e l tests as h a d been d o n e for the 221 m high H o o v e r
D a m in the U S A a b o u t 20 years previously. O f p a r t i c u l a r i m p o r t a n c e
to the p r o o f of stability of gravity d a m s is the a s s u m e d d i s t r i b u t i o n of
3 7
w a t e r pressure at the d a m base (Fig. I I ) w h i c h d e p e n d s b o t h o n the
position of the g r o u t c u r t a i n a n d o n the efficiency of the d a m base
3S
d r a i n a g e . In 1965 Rescher r e p o r t e d a detailed analysis of the m a i n

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 8 I Practical dam analysis

Vertical stress Vertical stress

Zienkiewicz Wilson and Gore

1 ft = 0-305 m

1 25
Fig. 9. Stresses in a gravity dam according to tests with rubber models * and to finite
3
difference analysis *

cross-section of the 285 m high G r a n d e Dixence D a m as a

t w o - d i m e n s i o n a l p r o b l e m , even considering its c o n s t r u c t i o n in steps.
Since the first p u b l i c a t i o n of the finite element m e t h o d by Turner et
39
al. in 1956 (originally developed for the analysis of a e r o p l a n e
structures) it w a s only four years until the cross-section of a gravity
40
d a m w a s analysed by this new m e t h o d in I 9 6 0 . In 1975 Campbell
41
a n d Zienkiewicz analysed the three-dimensional load-carrying
a c t i o n of a gravity d a m (Fig. 12) with the finite element m e t h o d .
42
I n 1989 Herzog o n the basis of l o n g - t e r m m e a s u r e m e n t s in

Practical dam analysis

 Historical development of dam analysis I 9

Switzerland (74 years for the 112 m high S c h r a e h D a m in the W a e g i

Valley, C a n t o n Schwyz a n d 40 years for the 285 m high G r a n d e
Dixenee D a m in the H e r e m e n e e Valley, C a n t o n Valais), succeeded
in proving t h a t the spatial action of straight gravity d a m s in n a r r o w

n=E /E
f b =2-0 =1-0 =0-5 n=E /Ei b =2-0 =1-0 =0-5

Fig. 10. Influence of the ratio of Young's moduli of elasticity of concrete and bedrock
33
on stresses in gravity dams

1 ft = 0-305 m

Fig. 11. Predicted and measured uplift distribution below the 89 m high Hiwassee
31
Dam of the Tennessee Valley Authority, USA

Practical dam analysis

 10 I Practical dam analysis

Fig. 12. Influence of the ratio of crest length to dam height on the base stresses of
1
gravity dams subjected to deadload and hydrostatic pressure*

valleys exists b e y o n d d o u b t . It c a n be a c c o u n t e d for with a simple

grid analysis considering only o n e cantilever a n d the inability of ver
tical c o n s t r u c t i o n j o i n t s t o c a r r y tension (Fig. 13). N e i t h e r the dissi
p a t i o n of the c e m e n t ' s h e a t of h y d r a t i o n n o r widening of the
valley due t o the reservoir l o a d p u t the three-dimensional
l o a d - c a r r y i n g a c t i o n in question.

1.3. A r c h d a m s
Analyses of a r c h d a m s were p e r f o r m e d until the 1920s (e.g. in 1925
for the 113 m high P a c o i m a D a m in California) with help of
Mariotte's (1620 - 1686) well k n o w n ring or t u b e formula. In 1889,
43
24 years before the w o r k of Ritter w h o is considered as the orig
44
i n a t o r of the m e t h o d in E u r o p e , Vischer a n d Wagoner described
the a d j u s t m e n t of r a d i a l displacements of a n a r c h d a m by assuming
several h o r i z o n t a l arches a n d only one (crown) cantilever. This
m e t h o d w a s first applied in 1904 t o the analysis of the 67 m high
Pathfinder D a m a n d the 99 m high Buffalo Bill D a m (Fig. 14) in

Practical dam analysis

 Historical development of dam analysis I 11

Strain of the arch's pressure line

\e = H/Ebt !'4g /3
0 0

0-1465 L\ 0-707 L 10-146J5L

P
l l l l l l l

Fig. 13. Horizontal section of a gravity dam in a narrow valley acting as a tension-free
42
beam with the strain distribution in the pressure line of an equivalent arch

4 5
the U S A . In o r d e r t o utilize better the e m p l o y e d c o n c r e t e in his
design of the 52 m high S a l m o n C r e e k D a m in A l a s k a (Fig. 15) in
46
1 9 1 3 - 1 9 1 4 , Jorgensen following a n earlier p r o p o s a l by
4 7
Eastwood in 1910, d e p a r t e d from the c o n s t a n t r a d i u s type of a r c h
d a m a n d realized the first c o n s t a n t angle d a m . Since t h e n c o n s t a n t
angle d a m s h a v e been the d o m i n a n t d a m s h a p e in n o t t o o wide valleys.
Nevertheless, there h a v e been a few retrogressions: t h e 114 m high
Spitallamm D a m in Switzerland built in 1926 - 1932, the 180 m high
Tignes D a m in F r a n c e in 1949 - 1953 a n d the 245 m high
S a y a n o s h u s h e n s k D a m in Siberia in 1970 - 1988. T h e 55 m high
M o n t s a l v e n s D a m built in Switzerland ( C a n t o n F r i b o u r g ) in
4S
1919 - 1920 w a s analysed by Stucky using a r a d i a l a d j u s t m e n t
of four arches a n d nine cantilevers (Fig. 16). This grid m e t h o d
was extended in the U S A from 1923 with t a n g e n t i a l a n d twist
49
adjustments, a n d p r e s e n t e d in 1929 by Howell a n d Jaquith as
the 'trial l o a d m e t h o d ' , because the division of l o a d s h a d t o be found
50
by successive trials. By 1925 Vogt h a d s h o w n t h a t the displacements
of f o u n d a t i o n rock could be predicted a p p r o x i m a t e l y using three
51
formulae derived from Boussinesq's t h e o r y of the elastic s e m i - s p a c e .
T h e trial load m e t h o d h a d already been checked in 1926 w i t h the help
of the Stevenson C r e e k Test D a m (Fig. 17), a n 18 m high a n d only
5 2
61 cm thick experimental a r c h d a m n e a r F r e s n o in California.
T h e trial load m e t h o d u n d e r w e n t its first a p p l i c a t i o n o n a truly g r a n d
scale in H o u k ' s analysis of the 221 m high H o o v e r D a m (Fig. 18)
5 3
in the U S A . T h e results of the e x t r a o r d i n a r i l y v o l u m i n o u s c o m p u t
ations were checked with a m o d e l test (scale 1 in 240) at the University
54
of C o l o r a d o at Boulder (Fig. 1 9 ) .

Practical dam analysis

 12 I Practical dam analysis

1 ft = 0-305 m

Fig. 14. The 99 m high constant radius arch dam Buffalo Bill near Cody, Wyoming
45
USA

Practical dam analysis

 C5

re
a

a
A Height in feet (1 ft 0-305 m) above river bed
B Height in feet
C Upstream radius in feet
D Ring stress in psi (1 psi = 0-007 MN/m2)

Fig. 15. The 52 m high constant angle arch dam on the Salmon Creek in Alaska**'

Practical dam analysis

 14 I Practical dam analysis

Portion of load

(a) Hydraulic pressure

800

(b) Temperature change

Fig. 16. Radial displacements and load distribution of the 55 m high constant angle
4
arch dam Montsalvens on the Jogne River in Switzerland *

Fig. 17. Radial displacements of the 18-3 m high constant radius arch dam on the
52
Stevenson Creek near Fresno in California

Because of the e n o r m o u s cost of c o m p u t a t i o n s , the trial load

m e t h o d did n o t find p a r t i s a n s in E u r o p e . In F r a n c e a n d Italy the
analysis of a r c h d a m s w i t h the help of h o r i z o n t a l elastic arches
w a s even prescribed by the official d a m regulations. It was n o t until
55
1948 t h a t Jurecka showed in his d o c t o r ' s thesis h o w the grid p r o b
lem could be solved w i t h o u t a l a b o r i o u s trial a n d e r r o r p r o c e d u r e
by a n algebraic system of elasticity e q u a t i o n s , resulting in the division

Practical dam analysis

 Historical development of dam analysis I 15

Fig. 18. The 221 m high Hoover Dam on the Colorado River in the Black Canyon
53
between Arizona and Nevada, USA

Practical dam analysis

 16 I Practical dam analysis

of l o a d s b e t w e e n h o r i z o n t a l arches a n d vertical cantilevers. Later,

the i n t r o d u c t i o n of electronic d a t a processing allowed consideration
56
of u p t o six different a d j u s t m e n t s . Only this complete adjust
57
m e n t m e t h o d w a s able t o p r e d i c t the otherwise unpredictable
displacements (Fig. 20) of the 90 m high a n d n o t m o r e t h a n 1-5 to
4-2 m thick Tolla D a m in Corsica.
Parallel to the grid m e t h o d s , the d e v e l o p m e n t of a r c h d a m analysis
5
w i t h t h e h e l p of shell t h e o r y t o o k place. In 1919 Smith * reported
a n a p p l i c a t i o n of t a n k t h e o r y t o the p r o b l e m of valley flanks in
33
A u s t r a l i a . In 1938 Toelke tried, also n o t very convincingly, to solve
this p r o b l e m with a four-step p r o c e d u r e . It w a s n o t until 1951 t h a t
59
Tschech a n d Jaburek i n t r o d u c e d a self-evident artifice to cope with
the fixity of a r c h d a m s in their a b u t m e n t s . T h e integration of three
p a r t i a l differential e q u a t i o n s as r e q u i r e d by the shell theory is a very
60
considerable u n d e r t a k i n g . This w a s d e m o n s t r a t e d by Rescher in
1951 for the simplest case of a circular cylindrical shell of c o n s t a n t
35
thickness w i t h h e l p of t h e already m e n t i o n e d r e l a x a t i o n m e t h o d .
61
I n 1955 Lombardi carried o u t the i n t e g r a t i o n of the partial
differential e q u a t i o n s of a circular cylindrical shell of variable
62
thickness using suitable p o l y n o m i a l s . In 1956 Allen et al. reported
the a p p l i c a t i o n of finite differences t o a three-dimensional analysis
of the 117 m high c o n s t a n t r a d i u s D o k a n D a m in I r a q . Despite appli
c a t i o n of the r e l a x a t i o n m e t h o d , these c o m p u t a t i o n s t o o k three years
63
(1952 - 1955). I n 1970 Gilg r e p o r t e d analysis of the 130 m high

Practical dam analysis

 Historical development of dam analysis I 17

\Y) Radial displacement in situ

Analysis with six adjustments
(5) Usual analysis with three adjustments

Right side 563 Left side

Fig. 20. Crest displacements of the 90 m high and very thin Tolla Dam in Corsica after
57
in situ measurement and prediction by six adjustments

d o u b l e - c u r v a t u r e P u n t dal G a l l D a m (Fig. 21) in Switzerland by the

theory of shells. In this w o r k 700 e q u a t i o n s h a d t o be solved for
as m a n y u n k n o w n displacement c o m p o n e n t s . Self-evidently, Gilg suc
ceeded only with help of a powerful c o m p u t e r . A n u m b e r of m a t h
ematically elegant m e t h o d s t o solve systems of p a r t i a l differential
e q u a t i o n s d o exist b u t n o n e gained practical significance.

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 18 I Practical dam analysis

Fig. 21. Radial, tangential and vertical displacements by shell theory of 130 m high
63
constant angle dam Punt dal Gall in the Livigno Valley, Italy

64
I n 1992 Herzog p r e s e n t e d a n a p p r o x i m a t e m e t h o d for prelimi
n a r y design a n d checking p u r p o s e s . T h e m e t h o d w a s shown to be
entirely a d e q u a t e by the p o s t e r i o r analysis of some 60 a r c h d a m s .
It is b a s e d o n solution of the t a n k e q u a t i o n by the classic
e d g e - p e r t u r b a t i o n m e t h o d a n d yields, with the help of closed form
ulae, a conclusive picture of the stresses a n d displacements of a n a r c h
d a m subjected t o w a t e r pressure a n d t e m p e r a t u r e changes after only
a n h o u r of m a n u a l calculation.
3 9
T h e finite element m e t h o d h a d to wait for d e v e l o p m e n t of the
6 5
m a t r i x displacement m e t h o d before it b e c a m e possible to analyse

Practical dam analysis

 Historical development of dam analysis I 19

69
Fig, 22. Arch dam in fissured bedrock with percolation

6 6 67
a r c h d a m s with the help of i s o p a r a m e t r i c e l e m e n t s . A t present
6 8 6 9
b o t h the f o u n d a t i o n r o c k a n d p e r c o l a t i o n of the d a m (Fig. 22)
can be a c c o u n t e d for. T h e newest d e v e l o p m e n t s consider the o p e n i n g
70
of c o n s t r u c t i o n j o i n t s a n d the f o r m a t i o n of c r a c k s . I n general, analy
7 1
sis of a r c h d a m s using the finite element m e t h o d requires very
n
powerful c o m p u t e r s . H o w e v e r , even as early as 1986 Stevenson et a l
r e p o r t e d the finite element analysis of a n a r c h d a m o n a p e r s o n a l c o m
puter.

Practical dam analysis