Modern Dam Safety

Concepts and
Sustainability

Dr. Martin Wieland

Chairman, Committee on Seismic Aspects of Dam Design,
International Commission on Large Dams (ICOLD)
Poyry Switzerland Ltd., Zurich, Switzerland

Overview on Subjects
Dam Safety
Hazards and Modern Design and Performance
Criteria
Dam Safety Management
Emergency Planning
Other Aspects of Dam Safety
• effect of climate change
• sustainability
• life-span of storage dams

1
 SUSTAINABILITY
dam safety,
ageing,
service life,
and
environmental,
economic, and
social aspects

Maigrauge Gravity Dam, 1872, Switzerland

2
Augst-Wyhlen Run-of-River Power Plant at
Rhine River, Swiss-German Border, 1912

Pier Strengthening Augst-Wyhlen

3
Extreme environment, Grande Dixence gravity dam, Switzerland

DAM SAFETY

4
 Integral dam safety concept
1. Structural Safety
Design of dam according to state-of-practice (codes,
regulations, guidelines) (earthquake and flood
design criteria, methods of seismic analysis)
2. Dam Safety Monitoring
Dam instrumentation, visual inspections, data
analysis and interpretation, annual reports, etc.
3. Operational Safety
Guidelines for reservoir operation under usual and
unusual conditions, qualified staff, maintenance
4. Emergency Planning
Emergency action plans, water alarm systems, dam breach
analysis, evacuation plans, Engineering back-up, etc.

1. STRUCTURAL SAFETY

FLOOD SAFETY

5
Overtopping of Palagnedra arch-gravity dam in
Switzerland in 1978 and rehabilitated dam and
spillway

6
Run-of-river power plants (2008 Wenchuan earthquake)
Overtopping of Taipingyi hydropower station

Overtopping of Run-of-River Power Plant (Gates blocked)

7
 Overtopping: Taum Sauk CFRD failure

Protection of spillway and power intakes

from floating debris by log boom

8
Erosion and sediment transport in steep rivers

Flooding of Construction Site in Laos (Dec. 2013)

9
 STRUCTURAL SAFETY

EARTHQUAKE SAFETY

Seismic Design of Dams

Dams were the first structures designed
systematically against earthquakes
Concrete dams: Method by Westergaard in the 1930s for
Hoover dam; found worldwide acceptance and was used until
the late 1970s.
• Method accounts for inertial effects of dam and hydrodynamic
pressure and used seismic coefficient of typically 0.1.

Embankment dams: First dynamic analysis by Mononobe

et al. in 1936
• Pseudo-static slope stability analysis and use of seismic
coefficient of 0.10 to 015.

10
 International Commission on Large Dams (ICOLD)
Committee on Seismic Aspects of Dam Design since 1968
Bulletin 112 (1998): Neotectonics and dams (active faults in
dam foundation) Hazard
Bulletin 137 (2011) Reservoirs and seismicity (reservoir-
triggered seismicity) Hazard
Bulletin 148 (approved 2010): Selecting seismic parameters
for large dams Design Criteria
Bulletin 52 (1986): Earthquake analysis procedures for dams
(linear analysis) Analysis
Bulletin 120 (2001): Design features of dams to effectively
resist seismic ground motion Design
Bulletin 123 (2002): Earthquake design and evaluation of
structures appurtenant to dams Design
Bulletin 62 (1988/2008): Inspection of dams following
earthquakes Inspection

Seismic Hazard a Multi-hazard

• Ground shaking causing vibrations in dams, appurtenant
structures and equipment, and their foundations (most
earthquake regulations are concerned with this hazard
only!)
• Fault movements in dam foundation or discontinuities
in dam foundation near major faults which can be activated
causing structural distortions;
• Fault movement in reservoir causing water waves in the
reservoir or loss of freeboard;
• Mass movements (rockfalls) causing damage to gates,
spillway piers, retaining walls, powerhouses, electro-
mechanical equipment, penstocks, transmission lines, access
roads to dams, etc.
• Other site-specific and project-specific hazards

11
 Dams on Faults or ‚Active Discontinuities‘

Numerous Rockfalls Wenchuan Earthquake 2008

12
 Rockfalls, Sefid Rud Dam

EMBANKMENT DAMS

13
 Tohoku earthquake, March 11, 2011
Fujinuma Dam (Japan)

Bhuj earthquake 2001, Irrigation dams

14
Bhuj earthquake 2001

Bhuj earthquake 2001

15
Bhuj earthquake 2001

16
Sharredushk Dam, Albania, after 2009 Earthquake, M=4.1,
Peak Ground Acceleration = 0.07 g

17
 Aratozawa Rockfill Dam (74 m high), Iwate
Miyagi Earthquake, Magnitude 7.2, June 2008
• A 67 Mm3 landslide at upstream end of reservoir with 1.5 Mm3
sliding into reservoir with 2.4 m rise in water level.
• PGA in foundation gallery: 1.0 g. Epicentral distance: 15 km.

Aratozawa Rockfill Dam

Crest settlement: 40 cm, no serious damage

18
 CONCRETE DAMS

Chi-Chi Earthquake 1999, Shih-Kang Dam, Taiwan

Damage due to fault movement

19
Sefid Rud Buttress Dam, 105 m high, 1990
Manjil Earthquake, Iran

Cracks in Sefid Rud Buttress Dam

20
 Sefid Rud Dam, Repair Works

Appurtenant Structures and

Equipment

21
Buildings at dam site, Sefid Rud dam

Control room of power plant

22
 Switchyard on fill

Derailed transformer

23
Transmission tower failure due to rockfall,
Sefid Rud dam

Structural Safety:
Seismic Design Criteria

24
 Seismic design criteria large dams (ICOLD)
Dam and safety-relevant elements (spillway,
bottom outlet):
Operating basis earthquake, OBE (return period: 145
years) (negotiable with dam owner)
Safety evaluation earthquake, SEE (ca. 10,000 years)
(non-negotiable)
Appurtenant structures (powerhouse, desander):
Design basis earthquake, DBE (ca. 475 years)
Temporary structures (coffer dams, river
diversion) and critical construction stages:
Construction level earthquake, CE (> 50 years)

Risk Classification of Dams

What is a large dam?

25
 Example: Classification of large dams in Switzerland
Return period
Dam height (m) (SEE earthquake)

Klasse 1:
10,000 years

Klasse 2:
5,000 years

Klasse 3:
1,000 years

Note: Flood and

seismic design
criteria should
be consistent.

Reservoir volume (m3)

Example: Definition of large dams in China

Class 1: Reservoir volume > 1000 Mm3

Class 2: Reservoir volume 100 to 1000 Mm3
Class 3: Reservoir volume < 100 Mm3
Note: According to this definition less than 10 Swiss dams
would fall under Class 2 and the remaining ones under Class 3,
but actually some 160 large dams fall under ‘Klasse 1’ (highest
safety class) in Switzerland.
This difference in classification of large dams has major
implications on the design of dams as the return periods of the
design earthquakes and floods depend on the class of the dam.

26
2. DAM SAFETY MONITORING:
Failure Modes and Dam
Safety Management

Critical failure modesfor embankment dams

The critical failure modes for embankment dams are as follows:
1. Overtopping of rockfill dam due to (i) inadequate spillway
capacity, or (ii) malfunction or blockage of spillway gates
2. Excessive seismic settlements of rockfill dams causing
overtopping
3. Internal erosion
4. Damage of contact between rockfill dam and concrete intake
and/or spillway structure causing piping
5. Large mass movemens into the reservoir causing impulse
waves in reservoir and overtopping of dam and erosion of dam

27
 Dam Instrumentation
The dam monitoring system must be selected in
such a way that the development of critical
failure modes can be monitored and detected as
early as possible so that remedial action can be
taken in time.

Kasho Gravity Dam (49 m high), Japan,

2000 Tottori Earthquake, Mw=6.6

28
 Tottori Earthquake, Oct. 6, 2000, MW = 6.6, Kasho dam
600 Peak Acc.
400
200
N -S -2000
-400 0.54g
-600
600
Gallery

400
200
E -W-2000 0.54g
-400
-600
600
400
200
U -D-2000 0.49g
-400
-600
0 10 20 30 40 50 60
Time (s)
2000
1000
Dam Crest

N -S 0 2.1g
-1000
-2000
1500
1000
500
E -W-5000
-1000
1.4g
-1500
1000
500
U -D 0 0.9g
-500
-1000
0 10 20 30 40 50 60
Time (s)
Acceleration Records

6
Water level in cm

4
2
0
-2
-4
-6
0 2 4 6 time (h)
100
Fourier spectrum

Natural period
T= 6.5 min
10
Damping ratio
3 0.02
3 period (min.) 10

Free vibration of reservoir of Kasho dam

29
Need for periodic seismic (flood) safety checks
Seismic (flood) safety evaluations have to be carried
out repeatedly during the life-span of a dam, i.e.
• New information on seismic (flood) hazard and/or
seismotectonics (land use) is available;
• Dam has been subjected to strong earthquake
shaking or large flood;
• New seismic (flood) design criteria are introduced;
• New seismic (flood) performance criteria are
introduced;
• New methods of analysis are introduced;
• Seismic (flood) vulnerability of dam has increased;
• Seismic (flood) risk has increased, etc.

3. OPERATIONAL SAFETY
OF DAMS

30
 Taum Sauk CFRD dam failure, USA, 14.12.2005
Pump Storage Reservoir, overtopping due to uncontrolled
pumping (no spillway was provided)

31
 Taum Sauk: CFRD dam was replaced by RCC dam

Amplified shaking on top of spillway intake tower of Zipingpu

HPP (2008 Wenchuan earthquake China) damaging gate
room building and vital equipment installed in building

32
 Overturned control board at Zipingpu dam
preventing operation of vital gates

4. EMERGENCY PLANNING:
Water Alarm Systems for
Large Dams

33
 Consequences of dam failure
• Loss of life (top priority)
• Environmental damage
• Property damage in flood plain
• Damage of infrastructure projects
• Loss of reservoir (irrigation, water supply…)
• Loss of power plant and loss of electricity
production (dam owner)
• Socio-economic impact
• Political impact

Evacuation
Map: Water
Alarm
Flood plain
Basis:
inundation
map from
dam breach
flood wave
analysis

34
 Evacuation map
of Zurich:
Water Alarm Dam
Break Sihlsee dam:
dam about 30 km away
from Zurich, reservoir
volume: 100 Mm3

Public warning system:

Water alarm and general alarm sirens

35
 Conclusions
• Emergency planning and the installation of water
alarm systems in the downstream region of large
dams is a must. Even if a dam is structurally safe,
there are natural or man-made events that could
cause failure.
• For emergency planning to be effective, the
population affected must be involved and
informed about what to do in an emergency.
• The first water alarm systems for dams were
installed in Switzerland some 50 years ago and
Swiss engineers have been at the forefront of
emergency planning ever since.

Life-span of Dams

36
 Economical life of dams

SAFETY: The life span of any dam is as

long as it is technically safe and operable!

MAINTENANCE: This implies, that the life

span is as long as appropriate
maintenance can be provided.
Maintenance slows down ageing.

Factors Affecting Life-span of Dams

• Changes in design criteria (hydrology and seismic
hazard, seismic design criteria) based on new information
obtained since the initial design of dam;
• Changes in methods of analysis and new safety
concepts (e.g. n-1 rule for flood discharge facilities of
embankment dams; dynamic analysis methods – inelastic
behaviour);
• Results of risk assessments (new risks and change in
risk acceptance criteria, seismic vulnerability of dams);
• Ageing of construction and foundation materials (decrease
in seismic safety),and
• Sedimentation in reservoir (change in dynamic
interaction with reservoir).

37
 Ageing

Ageing: Corrosion, vegetation..

38
 Deficiencies in hydromechanical equipment:
Leakage of spillway gates and corrosion of
penstocks

Mauvoisin Arch Dam, 250 m, Switzerland

Condition of dam after successful operation for over 50 years

39
 Leakage traces in 75 years old gravity dam
(high water-cement ratio, effect of pore pressure on dam stability)

Mahabad dam, Iran (47 m high)

Crest deformations caused by saturation
settlement of upstream rockfill shell

40
Ataturk rockfill dam, 170 m, Turkey

Reconstruction of Top 15 m of Dam

(crest deformations)

41
 Risk of Storage Dam

Risk = Probability of dam failure

x
Consequences (flood)

Geotechnical Failure Modes (event tree)

Blockage of relief wells

Successful remedial
measures (changing filters,
drilling new wells, etc.) taken

Emergency drawdown
made in time
Uplift pressure begins
to increase below Powerhouse becomes No dam breach
powerhouse unstable (limited leakage only)
p = 0.2 p = 0.05
Emergency drawdown
not made in time
Blockage of Remedial measures fail & p = 0.5 (present state)
almost all relief uplift pressure continues to and 0.1 (if emergency
wells rise below powerhouse spillway is built) Dam breach occurs
p = 0.02 p = 0.3 p = 0.5
Powerhouse remains
stable in spite of larger
uplift pressures
Uplift pressure does
not increase below no uncontrolled water release
powerhouse
uncontrolled water release
p = 0.8

42
 Risk Acceptance Criteria for Dams USBR
1E-01

design, and maximum loading conditions

consideration generally govern, consider
alternative means for life - loss reduction
Risk outside generally
1E-02 acceptable limits

available methods, multiple defence

Low consequence level - economic

High consequence level - use best

Annual probability of failure

1E-03

1E-04

1E-05

1E-06 Risk within generally

acceptable limits
1E-07

1E-08
0 1 10 100 1'000 10'000
Estimated number of lives lost if failure occured
Swiss practice: Minimise consequences (target: no
loss of lives) as probability of failure cannot be
calculated (each dam is a prototype)!

Conclusions
For dam safety to be credible an integral dam safety
concept has to be used, which includes the following:
– Structural safety
– Dam safety monitoring (dam safety management)
– Operational safety and maintenance
– Emergency planning

All 4 safety elements are equally important.

43
 Conclusions
• The seismic hazard is a multi-hazard for most
large dam projects. Ground shaking is the main
hazard considered in all earthquake guidelines for
dams. The other seismic hazards are addressed
less rigorously than the ground shaking or may
have been ignored.
• Dams are not inherently safe against earthquakes.
• The updated ICOLD guideline on ‘Selecting
seismic parameters for large dams’ covers most
structures and elements of large dams.

Conclusions
• Infrastructure projects must be sustainable such that
they can serve the needs of the people for a very
long time. Water storage projects, however, cannot
be considered sustainable if their safety according to
modern standards is not assured.
• Sustainability requires a safe technology and the
main factor is safety.

44
 Conclusions
• Life-span of a dam is as long as it is safe, i.e. as
long as proper maintenance can be guaranteed.
• A dam, which is safe at the time of completion, does
not automatically remain safe.
• Neglecting civil maintenance will lead to a
shortened life-span, which signifies an economic
loss, and in a loss of confidence in the safety of
dams by the affected people.

45