INVESTIGATING THE STRUCTURAL SAFETY OF CRACKED CONCRETE

DAMS

Glenn S. Tarbox, P.E., P. Eng., S.E.C.B., F. ASCE1

Robin Charlwood, PhD, P.E.2
Chris Hayes, P. Eng.3

ABSTRACT

CEATI’s Dam Safety Interest Group has recently completed (published) a research report
titled, “Investigating the Structural Safety of Cracked Concrete Dams” [1]. The objective
of the CEATI report was to provide dam owners, operating staff and engineers with a
basic framework and practical tools for identifying and evaluating cracks in concrete
dams during field inspections and making wise decisions consistent with sound
international practices in the assessment of cracks in concrete. An international team of
engineers experienced in the design of concrete dams was assembled to perform the
analysis and prepare the report presenting a practical step by step process for the
evaluation of cracking in concrete dams and the determination of appropriate steps to
address any issues identified by that process and to establish and carry out a dam crack
management program. Sound practice requires that engineers and operating staff of dams
be able to identify if a particular type of crack can lead to a dam safety problem, whether
it is merely one to be routinely observed, or is a maintenance problem that needs
attention.
Presented in this paper, and based on the research report, is a crack management
approach including crack evaluation and management logic, potential cracking failure
modes, and risk management of a cracked dam. Seven steps of a crack management logic
flowchart are presented and discussed briefly. The seven steps are (1) Discovery, (2)
Crack Characterization, (3) Dam Type and Construction Methods, (4) Root Cause
Analysis, (5) Case Histories, (6) Potential Failure Modes Analysis and (7) Managing the
Cracking. Underlying the discussions in the paper is the identification of eight “root
causes” of cracks, (a root cause of crack formation being the physical mechanism or
chemical process that creates a tensile or shearing stress field that exceeds the tensile or
shear strength of the concrete resulting in cracking of the concrete). Included among the
root causes are structural behavior, foundation and abutment behavior, shrinkage, thermal
effects, freeze-thaw effects, expansive chemical reactions, earthquakes, and corrosion of
rebar and embedded parts.

INTRODUCTION

The objective of the CEATI [1] report was to provide dam owners, operating staff and
engineers with a basic framework and practical tools for identifying and evaluating
cracks in concrete dams during field inspections and making wise decisions for

1
MWH Global, now part of Stantec, Bellevue, Washington, USA, glenn.s.tarbox@mwhglobal.com
2
Robin Charlwood & Associates, PLLC, Freeland, Washington, USA, robincharlwood@gmail.com
3
CEATI International, Montreal, Quebec, Canada, chris.hayes@ceati.com

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 1

appropriate and safe management of the structures consistent with sound international
practices.

APPROACH

The approach was to assemble an international team of engineers experienced in the

design of concrete dams to perform the analysis and prepare the report presenting a
practical step by step process for the evaluation of cracking in concrete dams and the
determination of appropriate steps to address any issues identified by that process and to
establish and carry out a dam crack management program. Sound practice requires that
dam engineers and operating staff of dam owners be able to identify if a particular type of
crack can lead to a dam safety problem, whether it is merely one to be routinely observed,
or is a maintenance problem that needs immediate attention.

Drawing upon the research report, the following are presented: a crack management
approach including crack evaluation and management logic flow chart, types of cracks,
root causes of cracks, potential cracking failure modes in dams, the use of cracked dam
case histories process and critical actions for the management of cracks in dams.
To evaluate either a new or existing crack(s) in a dam, the logic diagram provided in
Table 1 presents seven recommended steps for users to follow. The steps outlined require
a knowledgeable, experienced and trained team to be fully effective.

The approach to investigations of cracking in dams is intended to apply to conventional

vibrated concrete (CVC) and roller compacted concrete (RCC) dams including mass
concrete in appurtenant structures such as spillways, integral to the structure of the dams.

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 2

 Table 1. Crack Evaluation and Management Logic Flow Chart – Seven Steps

1. Identify cracking in dam concrete

2. Document key crack characteristics:

• Location
• Shape
• Shape parameters
• Environment/Features

3. Review dam type, age, design basis and construction methods to identify
potential root causes of cracking at time of construction

4. Seek to identify the “root cause” of the cracking

5. Conduct Potential Failure Mode Assessment if an apparent safety issue and

assign a Risk Category using FERC system

6. Compare the cracking with available case histories

7. Establish appropriate response to manage the cracked dam:

• If Category I or II: Plan and implement monitoring and risk reduction

measures.
• If Category III: Plan investigations and/or analysis program and upon
completion repeat Step 7 and implement appropriate measures.
• If Category IV: No further action required.

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 3

 CRACKING OF CONCRETE

Types of Crack
The process starts with a general characterization and documentation of the cracks by
size (length, width and depth), open, closed or hairline, and individual or part of a pattern
of cracks.

Open cracks that penetrate deeply into or through the body of a dam regardless of
location are usually more critical than shallow, hairline cracks that can be seen on
horizontal, vertical or sloping surfaces such as a parapet wall or roadway although
surface cracks may be important indicators of internal mechanisms such as chemical
expansion. Cracks that offset concrete on either side are frequently significant because
they indicate differential movements within a structure regardless of location. Cracks
that occur in the concrete of the dam either parallel or perpendicular to its foundation
are significant because all types of dams rely on a sound bond with their foundations.
Any cracks through which water is leaking are also significant because the passage of
water is unintended and indicative of an abnormal condition requiring investigation to
understand the cause of cracking and the source of the water.
Observation of cracks and/or deterioration in a dam should lead to a detailed crack
inspection. Inspection should include categorized observations that can be consistently
applied at subsequent inspections.
Table 2 is provided as a guide for characterizing and documenting cracking. It is
suggested that these descriptors are used in conjunction with an inspection sheet similar
to that provided in ACI 201.1R [2] (see example in Appendix A). Information gathered
with this outline can then be carried forward to assist in the determination of the root
causes of observed cracking. This table is intended to also provide the user with the
necessary means to document the observed crack, and as reference descriptors for
determining if any changes have occurred at future observations. It is recommended that
notes be taken in this format as a standard reference.

Determination of crack opening as cited in Table 2 under Local shape parameters can be
measured using a simple device called a crack meter as shown in Figure 1.

Figure 1. Example of simple crack meter (MWH, 2012).

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 4

 Table 2. Guide for Characterizing and Documenting Observations at Cracks

Root Causes of Cracks

A root cause of crack formation refers to the physical mechanism or chemical process
that creates a tensile or shearing stress field that exceeds the tensile or shear strength of
the concrete resulting in cracking of the concrete. These mechanisms can be external
and/or internal forces. A crack in and of itself is a detectable (usually visible)
manifestation of these phenomena indicating that the strength of the concrete has been
exceeded either locally or more generally. Once the crack occurs, the causal stresses are
relieved or diminished sufficiently to arrest the crack unless reinitiated.

Examples of external force mechanisms applied to a dam that may cause cracking include
hydrostatic pressure from the reservoir or ground shaking from earthquake.

Internal forces that cause cracking in concrete by volume changes can be caused by a
variety of mechanical, physical and chemical processes such as stresses from applied
loads, moisture variations, temperature variations, cement hydration, carbonation and
phenomena like sulfate attack or alkali-aggregate reaction. Some are characterized by a
volume decrease (shrinkage) while others by a volume increase (swelling).

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 5

Separate sections are presented in the CEATI Report describing the types of cracking for
each of the “root causes” along with general remarks about the potential impact on the
dam structure behavior. Eight root causes of cracking are identified and discussed in the
CEATI Report: structural behavior, foundation and abutment behavior, three types of
shrinkage, thermal effects, freeze-thaw effects, chemical expansion, earthquakes and
corrosion of rebar and embedded parts. Each root cause is described in terms intended to
help inspectors make visual identification in the field. While initial cracking can be due
to one or more of the root causes noted, once a crack has formed it becomes a weak point
and other causes can act to amplify the damage.

An important assist to categorizing the root cause of cracks is to place the dam in the
appropriate era of concrete construction development discussed by Tim Dolan [3]. Many
older dams are in need of rehabilitation due to shortcomings in early concrete mixing,
delivery and consolidation techniques. Any one or a combination of these shortcomings
may contribute to poor quality concrete, e.g. concrete having been “sluiced” and/or
“chuted” in some early cases as shown in Figure 2 and result in cracking. This step can be
helpful in pointing an analyst towards likely causes or help eliminate spurious issues.

Figure 2. Concreting operations at Salmon Creek Dam, Alaska circa 1914. Photos
courtesy AEL&P.

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 6

Case Histories of Cracking in Dams
Although there are a small number of catastrophic concrete dam failures, there are many
cases where significant cracking has occurred without “failure” and has been reported.
Many are reported in ICOLD congresses and symposia which are a primary source of
information. The following Professional Society and Incident Databases were also
consulted: ICOLD, USSD, FERC, Stanford NPDP, and ACCEL of Paris.

Typical PFMs that may develop as a result of cracking from the identified “root causes”
are presented in the CEATI report. The descriptive headings used for each case history
were: Project Description, Relevance of Case Study, Description of cracking, Root
Cause, and PFM description. The following typical example for cracking initiated by
earthquake loading is excerpted from the CEATI Report for Koyna Dam:

Koyna Dam || Koyna Nagar, Satara District, India

Dam Type: Gravity || Height: 103.2m || Crest Length: 807.2m || Crest Width: 14.8m ||
Construction Date: 1964
Project Description:
Koyna Dam is a large
gravity dam located in
India. During
construction, changes to
the design had to be
made, resulting in an
atypical profile for this
gravity dam. In
December 1967, a
magnitude 6.5
earthquake caused cracking at these irregular changes in section.
References: [4] [5] [6]
Relevance of Case Study: Cracking extending through the entire thickness of the dam near
the base of the “chimney” section following a M6.5 earthquake attributed to Reservoir-
induced Seismicity (RIS). This is one of the classic cases of this phenomenon.
Description of Cracking: Large structural cracks occurred at the changes in section on
both faces of the dam. Fine cracks also occurred in similar vicinity. An approximately
horizontal crack at the change in cross section occurred on the upstream and downstream
side of the monolith. Fine cracks were noticed on either side of the main crack. Leakage
from some of the cracks was also found, indicating cracking across the section. This
allowed for potential for toppling of chimney section and loss of reservoir.
The Root Cause: The earthquake initiated cracking at the irregular changes in the cross
section.
The PFM: Sliding of the upper portion of the dam, “chimney section,” under full water
level and eventual failure of this section.

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 7

 Predicted
cracking with
FEA model

Potential Cracking Failure Modes in Dams

A potential failure mode analysis (PFMA) is an effective procedure to assess the
significance of cracking exhibited in dams and, if necessary, provide a rational basis to
develop a dam safety management plan. The PFMA process is a state-of-the-art
technique for dam safety assessment which was developed by USBR and others and has
been used extensively by FERC since 2003 and has gained usage worldwide. FERC’s
PFMA Guidance Document [7] outlines the necessary steps to seek to ensure that all
potential failure modes (PFMs) are identified and adequately addressed in a systematic
procedure and leads to a risk categorization scheme. The risk categorization is used to
determine the appropriate level of actions to manage the cracking. It is recommended
that either the FERC process, or another equivalent process as may be prescribed outside
of the United States, be used to assess the significance of cracking.
Managing Cracked Dams
Once it is determined that a significant crack(s) exists in a concrete dam, it is necessary to
manage the extent and changes that can occur. In this section, each of the root causes of
cracks, as introduced previously under Root Causes of Cracks are cited as shown in
Column 1 of Table 3. Three critical actions are listed in the table for the management of
cracks in dams: (1) options for analyzing the causes and effects of cracks, (2) means of
monitoring the status of cracks and (3) options for controlling and/or reducing risks
associated with the presence of the cracks in the dam.

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 8

 Table 3. Managing Cracked Concrete Dams
Root
*
Caus Analysis Risk Reduction
e Description Options Monitoring ** Options
Structural distress
Plumblines, Inverted might call for
Plumblines, reducing the
Extensometers reservoir water
Structural
(MPBX), Foundation level thus reducing
Behavior:
Deformation Meters, the stresses in the
structural
Joint Meters, Tape dam.
distress for any Refer to
Gauges, Collimation,
reason FERC
EDM, Triangulation,
1 regardless of Engineering
GPS, Levels (survey Update risk
root cause Guidelines,
monuments), LiDAR, assessment
including Chapter VIII
Inclinometers, covering all
flooding and
Tiltmeters, Crack structural design
overtopping
Gauges, Strain Meters, parameters.
loads.
Accelerometers,
Piezometers, Weirs,
Flumes, Flowmeters Pre-stressed
tendons.
Foundation
Grouting,
deformation meters,
Drainage, Pre-
Extensometers
Two- and stressed Tendons,
(MPBX),
Three- Shear Keys,
Foundation Inclinometers,
Dimensional Shotcrete, Dental
2 and Abutment Tiltmeters,
Stability Concrete,
Behavior Piezometers,
Analysis, Reshaping
Mapping,
FEA (benching,
Stereographic
flattening slopes),
Projections, Joint
Toe Blocks, Berms
Rosettes,
Physical inspection,
Drying Sealing, epoxy
3 N/A crack gauges,
Shrinkage grouting
chronological photos
Physical inspection,
Crack gauges,
Thermal Thermal Chronological photos, Cooling, Heating,
4
Effects FEA Thermocouples, Insulation
Thermistors,
Thermometers

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 9

 Root
*
Caus Analysis Risk Reduction
e Description Options Monitoring ** Options
Sealing: Upstream
Visual Surveillance, Membrane,
LiDAR surveys, Shotcrete, Restore
Freeze-Thaw Structural
5 Coring, Chronological original lines and
Effects FEA
photos, Petrographic grades via build
Analysis back, Epoxy
Grouting
Physical Inspection,
Chronological photos,
Crack mapping,
Petrographic Analysis, Slot Cuts; Pre-
Expansive stressed Tendons,
Structural Plumblines, Inverted
6 Chemical Water Proofing,
FEA Plumblines,
Reactions Membranes,
Extensometers Grouting, Drainage
(MPBX), Collimation,
EDM, Triangulation,
GPS,
Review ground Site specific
motion data, Post- seismic hazard
Structural
7 Earthquake earthquake physical assessment, Pre-
FEA
inspection and damage stressed Tendons,
assessment Grouting
Chip, saw-cut
surrounding
concrete to grit
blast steel or
remove damaged
Visual Surveillance metal and replace
Corrosion of
and Physical steel (epoxy coated
Rebar and
N/A Inspection, rebar) or embedded
Embedded
Chronological photos, part and re-
Parts
Samples concrete.
Corrosion
inhibitors can also
be included in the
concrete mix such
as, calcium nitrite.
* Numbered cause corresponds to those listed previously under Root Causes of Cracks.
** Refer to “ASCE Guidelines for Instrumentation and Measurements for Monitoring Dam Performance”
and CEATI’s “Dam Safety Performance Monitoring and Data Management – Best Practices” [8].

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 10

Analysis Options
The approach used in the CEATI Report is to provide guidance on when analysis is
recommended and suggestions of useful tools without emphasis on the details of the
tools. Detailed descriptions of the analytical methods are presented elsewhere in technical
papers, academic research reports, user manuals of computer programs offered by
commercial software vendors, etc. contained in the professional literature.

One of the main analytical approaches to evaluate cracking is the use of finite element
analysis (FEA). FEA has the potential to assist in developing an understanding of
cracking mechanisms and their potential impacts. While not a cure-all tool, FEA can
simulate numerous phenomena that may impact a dam structure during its lifetime.
Depending on the severity of the impacts and complexity of the phenomena under
evaluation, either linear or nonlinear analyses may be appropriate with FEA computer
programs. For instance, the inclusion of load redistribution due to cracking can be
important or the use of appropriate material behavior laws to model the time and stress
dependent effects of expansive chemical reactions can be essential.

Monitoring
Means and methods of monitoring various crack types are discussed briefly in the CEATI
report and shown in Table 3. The list of instrument types presented in the Table for Root
Cause 1- Structural Behavior, are used in general for monitoring concrete dams. A
tailored list of instruments applicable to particular root causes are shown for each
subsequent root cause.

Monitoring cracks is accomplished by visual inspection of the cracks combined with

photographic records to document the condition of cracks, measurements of the behavior
of the dam structure and its foundation due to cracking using instruments and
instrumentation systems, and plotting the recorded data chronologically to display
patterns and changes in measurements with time. The reservoir level and ambient air and
water temperatures should also be recorded simultaneously, as the structural behavior
data is gathered and plotted on the same charts.

The identification of a “Threshold Level” (recheck reading, investigate cause of reading

beyond the threshold limit) and an “Action Level” (reading is beyond normal range,
indicates a potential adverse situation and requires an action to rectify situation and if
necessary, to preserve the safety of the water retaining structures) are effective
monitoring tools and can be shown on the monitoring data plots as triggers beyond which
certain actions are required by a dam owner’s organization.

A detailed treatment of instrument types, their purpose, operating principle, and

applicability to measuring particular material and structural behavior of concrete dams is
covered in the American Society of Civil Engineers (ASCE) publication “Guidelines for
Instrumentation and Measurement for Monitoring Dam Performance.” The guideline is
currently under revision and is expected to be reissued in 2017. Similar information is

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 11

provided in the CEATI publication “Dam Safety Performance Monitoring and Data
Management – Best Practices” [8].

Risk Reduction Measures

A summary of typical risk reduction options that have been taken by dam owners is also
presented in Table 3. Risk reduction measures can be achieved by affecting: (1) the
probability of an applied load through reservoir management practices (drawdowns and
filling schedules) and spillway gate operation protocols, (2) the probability of a particular
response of the dam by redesigning, repairing, strengthening, grouting, sealing, slot-
cutting, insulating or re-configuring the dam and foundation, reducing uplift pressures by
adding or improving drainage, and (3) the probability of an unacceptable downstream
consequence by installing early warning systems, revising emergency response plans,
restricting human use of public lands, flood plain set-asides, zoning restrictions, etc. Dam
owners have used one or a combination of such risk reduction measures to lower the risk
of a serious dam incident to within tolerable limits. No general guidelines for
implementing emergency actions are provided in the CEATI Report as the need to take
any such action must be determined on a case-by-case basis.

CONCLUSIONS

• Concrete dams crack for a variety of reasons, and it is important for owners to be
able to assess the significance of observed cracks within a dam structure in a timely
and effective manner. The identification of cracking or other anomalous behavior
may be by the owner’s operating staff or engineering resources. Their causes and
effects are not always obvious. Some are superficial and have limited consequences
while others may have structural, operational or maintenance consequences which
need to be addressed. Cracks can occur during the initial hydration process of the
fluid concrete and during the service life of a dam as structures age. The
investigation process and tools must address such diverse scenarios.

• Once determined that a crack(s) exists in a concrete dam, best practice throughout
the industry has shown that owners seek to manage the cracks and the mechanisms
causing them. There are three principal activities that responsible owners follow to
manage cracking in their dam(s): (1) analyze the causes and effects of the cracks,
(2) establish means and methods of monitoring the status of cracks, and (3) decide
which option(s) to select for remediation of the situation from among all available
options for controlling and/or reducing risks associated with the presence of cracks
in the dam.

• An effective approach to conducting an assessment of cracks in a dam has been

proposed using a practical framework taking into consideration (1) the design
concept of the dam, (2) the constituent materials used in the concrete mix, (3) the
means, methods and sequence of constructing the dam, (4) the environment within
which the dam was built and operates, and (5) the behavior of the dam under the
loads to which it is subjected.

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 12

 • Dam owning institutions, public agencies and private companies seek logical bases
for planning required investigations and remedial actions to cure issues of cracking
in concrete dams. To that end, it is critical to the success of such endeavors that
dam owning entities understand that no two dams are the same and that, no singular,
universal approach necessarily applies for assessing how and why cracking occurs
in concrete dams. A tested process of diagnosis, analysis and planning that has
evolved among leading dam owning organizations uses standardized observation,
classification and recording systems for the cracks coupled with guides to recognize
possible “root causes” of specific mechanisms that may be present in a cracked
dam.

• If a critical situation exists where a crack(s) is discovered that threatens the safety
of the dam, it must be immediately communicated to the dam safety engineer for
response and action. Action may require a quick decision to immediately lower the
reservoir level to reduce a calculated amount of pressure off the dam in order to
reduce the stresses in the dam and stabilize the structure. This action is a first step
to stabilize the situation until any additional risk reduction measures might be
determined to be needed. In a parallel track, action must be taken to plan and
undertake investigations and analyses of alternative measures to be studied as
necessary major remedial action(s) as outlined in Table 2-1.

ACKNOWLEDGEMENTS

MWH, now part of Stantec prepared the research report for CEATI International under
the leadership of Chris Hayes, Vice President CEATI International with contributions
from an international team of concrete dam specialists drawn from ICOLD and USSD
Committees. The study was led by Glenn Tarbox with Robin Charlwood and
contributions by Alain Carrere from France and MWH, now part of Stantec staff from the
USA, including Vik Iso-Ahola and Jennifer Fordney. Michael Manwaring of MWH,
now part of Stantec, provided overall review.

The investigators are grateful to CEATI for the opportunity to have worked on this
interesting issue, authored this technical paper and for contributions from the following
individuals:

• Gus Tjoumas CEATI Technical Advisor

• Project Monitors
o Eric Bourdarot of EDF,
o Anders Sjodin of ELFORSK,
o Dave Hart and Tony Deakin of Environment Agency, and
o Jim Wagoner of OPG

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 13

 REFERENCES

[1] “Investigating the Structural Safety of Cracked Concrete Dams,” CEATI Report No.
T122700-0226, April 2014.

[2] American Concrete Institute (ACI), "Guide for Conducting a Visual Inspection of
Concrete in Service (ACI 201.1R)," 2008.

[3] T. P. Dolen, "Historical Development of Durable Concrete for the Bureau of

Reclamation," United States Bureau of Reclamation, Denver, CO.

[4] International Commission on Large Dams (ICOLD), "Bulletin 107: Concrete Dams -
Control and Treatment of Cracks," ICOLD Committee on Concrete for Dams, Paris,
France, 1997.

[5] L. Nuss, N. Matsumoto and K. Hansen, "Shaken, but Not Stirred: Earthquake
Performance of Concrete Dams," in Proceedings of the 32nd U.S. Society on Dams Annual
Conference, New Orleans, 2012.

[6] A. Mansouri, M. A. Lashteh Neshaei and R. Aghajany, "Fracture analysis of gravity

dam under earthquake induced loads," Journal of Applied Sciences and Environmental
Management, Volume 15, pp. 317-325, June 2011.

[7] Federal Energy Regulatory Commission, "Engineering Guidelines for the Evaluation
of Hydropower Projects," 28 June 2010. [Online]. Available:
http://www.ferc.gov/industries/hydropower/safety/guidelines/eng-guide.asp. [Accessed 7
January 2013].

[8] CEATI International Dam Safety Interest Group (DSIG), "Dam Safety Performance
Monitoring and Data Management – Best Practices (CEATI Report No. T082700-0210),"
CEATI International, Montreal, Quebec, Canada, 2012.

Copyright © 2017 U.S. Society on Dams. All Rights Reserved. 14