GEOLOGY 125
throughout the world.l and 30 areas of surface deformation
caused by petroleum production have been identified in thc
United States.l The greatest subsidence of record due to
fluid withdrawal is almost 30 ti (9.15 meteru). measured at
the Wilmington Oil Field. California.a followed by ap-
proximately 29 ft (8.84 meters) in San Joaquin Valley. Cal-
ifornia. due to groundwater withdrawal.5 Exploitation of
geothermal fluids has caused 14.8 ft (4.51 meters) of ver-
tical ground displacement in New Zealand and 0.43 ft (13
cm) at the Geysers, Califomia.6
Subsidence at Inglewood Oil Field, Califomia. initiated
the catastrophic failure of Baldwin Hills Dam (see Chapter
l). An c-arthfilldanr locatcd in the Lcrnra Valley southwcst
of Mexico City is known to have breached as a result of
fissures associated with subsidence due to groundwater
withdrawal: however, details of this failure have not been
made available.T In Arizona. Picacho Dam, located about
9 miles (14.5 km) southeast of Coolidge, was reportedly
dama-sed. This earthfill dam has a structural height of 33
ft ( 10 meters), crest length of 27. 150 ft (8275 meten). crest
width varying from l2 to l6 ft (3.66 to 4.88 meters), ca-
pacity of 13,730 acre-feet (16.93 million mr). and maxi-
muin water surface elevation of 1508 ft (460 meters).
Groundwater withdrawal in the vicinity of the dam has
caused a decline in water levels. associated subsidence, and
earth fissuring. Failures of the embankment that occurred
in 1955 and 196l have been attributed to surface cracking.
The findings of a more recent investigation of Picacho
Dam, undertaken by the Bureau of Reclamation for the Bu-
reau of Indian Affairs, were not available at the time of this
writing.E
Mechanics. Subsidence due to fluid withdrawal is a pro-
cess of consolidation conforming to the Tezaghi theory.
However, predictions of rates. duration. magnitude, and
areal extent of subsidence based on results of soil tests
generally have not been satisfactory. The affected sedi-
ments too often are loose or friable, and therefore easily
lost or disturbed during the sampling process. Further-
more, most fluid reservoirs contain large volumes of inter-
mixed and complexly stratified deposits, often extending
to considerable depths. For these reasons, the cost of ob-
taining sufficient, representative samples upon which to
base predictions is usually prohibitive.
The most successful predictions have been those where
sufficient data were available to permit confident extrapo-
lations of graphs depicting subsidence developing over a
long period. Some sophisticated methods havc been pro-
posed for predicting trends during early stages of subsid-
ence, but they remain largcly rescarch-oricntcd.')
Detection and Monitoring. Surface elevations should
be monitored when dams are located or proposed in areas
where withdrawal of fluids is occurring or expected. This
entails the establishmcnt of pcrmancnt benchmarks on thc
dam. on its important appunenances. and at points loc'atcd
as close as pructical to the centcr of the area exp*ctcd to
be affected first. Levclings arc bcst commenccd at an c'arly
stage-pret'crubly prior to construction-in order to obtain
a reliable base from which future elevation chan-ees can be
calculated. Elevations should be determined periodically
and results plotted on graphs. Subsidc'nce contour maps are
usually prepared once a problem is d'Jtected. as. lor ex-
ample. at Baldwin Hills resen'oir (see Chaptir 21. Expe-
rience has demonstrated that implcmentation of subsidence
countenneasures can be time-consunring and may be de-
layed by political or legal processes. Consequently. detec-
tion of surflace deformations at their very earliest appear-
ance is essential.
Identification of the depth zones afi'ected and their thick-
nesses. areal extent, and consolidation rates are determined
by subsurface monitoring. Several procedures and types of
instruments have been used for this purpose.l0 The tops of
piles driven to a stable base or lips of well casin,ss that
extend through the compactible overburden have sen'ed as
satisfactory reference points from which to measure con-
solidation occurring in shallow depth intervals. Where
deeper zones in groundwater basins are affected. downhole
extensometers (compaction recorders) are used.
Figure 4-8 depicts two versions of a simple but effective
extensometer that has been developed by the United States
Geological Survey. The cable device (l) is the less expen-
sive, but has stretch problems if installed deeper than about
1000 ft (305 meters). The pipe version (B) is more precise
for use at greater depths.
More complex procedures and instruments have been
tried in the oil fields where fluid-producing horizons exist
at depths of several thousand feet. These techniques in-
clude: casing collar surveys for periodically measuring the
shortening of well casings caused by subsidence. and the
emplacement of radioactive bullets at selected depths fol-
lowed by periodic logging of their positions with downhole
detectors. Such procedures are specialized and costly.ll
Prevention. The only practical method for control of
subsidence caused by fluid extraction involves maintaining
groundwater elevations or oil field fluid pressures above
critical levels, below which consolidation is activated. This
can be accomplished in groundwater basins by curtailing
the pumping ol wells and in oil or geothcrmal fields by
controllin-e production. The clfect of diminished ground-
water extructions on subsidcncc is illustrated by Fig. 4-9.
which dcpicts thc stabilization of a benchrrtark in Kern
County. Calilornia. whcrc thc purnping of ntany water
wells was cliscontinucd in 1950. [n this instancc. cornple-
tion ol the Friant-Kcrn Canrl utadc surface wilter available
to water users at a cost lcss than that oi opcrating their
wells. This incident suggests that onc way oi alleviating
 126 AOVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCTION, AND REHAEITITATION

countefr.rght
Graduat?d
com9adron
lro?

Srcrl St"el
tablc lablc | .o,","*o,nn,

I ench
mark
mart
Concretc
slab

rr:-
I ;:..
I". :

I [ ",'.
Cable, Yrinch
stainless steel
t-|,.-.-- Exrensomerer
l l'r:.,
oioe

ted
Pe rfo ra
casing

. Well Well-
casing casing

Anchor weighl
in ooen hole

Reference Extensometer gige

point cemenled in ogen hol"

Fig. 4-8. Recording extensomeler installations. two types: (/) Cable extensometer. accurirte to depths ofabout I0O0 ft: (B) freestanding pipe extensometer.
which is more expensive rhan (..1). but is more precise at depths erceeding l0O0 fr. Counesy: Benjamin E. Lofgren & Associates, Sacramenro. Califomia.

this kind of subsidence in the vicinity of a dam might be
to provide local water users with an attractive substitute
supply, perhaps derived from the threatened dam and res-
ervoir.
Surface elevations have been stabilized successfully at
the Wilmington Oil Field. Long Beach. Califlornia, by in-
jecting water into the exploited zones. thereby maintaining
fluid pressure at depth (see Fig.4-10). The hi-eh cost of
injection wells and the equipment required for trcatment
and reinjection of fluids has lirnitcd the application of rhis
procedurc to curtailment of subsidencc at clil and gas liclds
whcrc the expense can be justified.
variously as hydrocompaction. "shallow subsidence," or
hydroconsolidation.
Requisite Conditions. Susceptible deposits are com-
monly moisture-Ceficient.'of low density. and of loose
structure. They usually consist either of products of nrud-
flows or associated features wherein fine-grained sedinlents
and clay are transported and deposited in a quasi-saturdted
state, or oI loess or acolian dcposits. Regions of low annual
rainfall undcrlain by low-dcnsity soils should be suspcct.
particularly in areas overlying stcep alluvial fans that fonn
coalcscing aprons bctwccn the lans o[ nrajor strcanls. l]

Subsidence Due to Hydrocompaction Effects. Spectacular crircks and lorv-stepped scarps that
flank canals or surround ponds or rcservoirs are common,
The structure of certain low-density soils collapses upon the visible cvidence varving consiclembly over short dis-
application ol water, causing a type oF subsidence known tances. These surtace defbnnations have impaired fanning
 GEOLOGY 127

24r 26- 2 eOl 30a Z

9
F
3()0 302
/8M I68 U
F
- llooml tu
E'ur
300
F Z,
EW wELL 24l20-33Ht o
298 2
6
=
E
U
F 400
2e5
3
o
F
I
F
q
E
o
tr
'{150n) 150 ?
500
WATEN OE LIVER IES F ROM o
FRIANT KEBN CANAL
oi!
Zu
50 ;*
o
F
'I 945 I 955
1940 r950
YEAR

Fig. 4-9. Subsidence srabilization. Delivery of inexpensive warer to sourhern San Joaquin Valley. California. commencing in 1950. resulted in a sub'
wa(er *ell No.
stantial curtailment in water well production within that region. Consequently. the prevailing do*nward trend in ground*ater levels at
21i l6-33H I was spectacularly revened. and subsidence ar Benchmark T88 is shou n to have decreased markedly-. Source: Geological Society of Amenca.
Reliex's in Engineering Geologl' ll, 1969-

VERTICAL MoVEMENT practices by disrupting ditches and drains. in some tn-

SENCH MARK
No- l350 stances necessitating a switch t'rom flood irrigation to
''.!H sprinkler applications regulated so as to prevent soaking of
the soil. Roads, pipelines. and buildings have also suffered
damages. No failures of dams due to hydrocompaction are
recorded: ho'*'ever, durin-e the 1950s the Bureau of Recla-
I ro.s
-50. mation faced serious difficulties while constructing dams
G
I
z on loess deposits in the Missouri River Basin. These prob-
o
F- 16.0 lems were resolved by using applications of water to pre-
)
U subside the foundations.'r This experience showed that
U
loess could be effectively consolidated by sprinkling and
r5.5 -t.'a light loading. Pondin-e was found sometimes to tre ineffec-
tive because inflowing water agitated the loess' which upon
settling would seal the soil. preventing wate r penetration.r{

Y EAR
Fig. .t- 10. Subsidcncc at Wilnrington Oit Ficld. Calitirrnia. has bccn halted
and evcn revenicd in stlntc locations by injcction of trciltcd brinc into thc
oil-producing horizons. The spectacular ellcct of lluid injection on thc
venical nlovenlent of a benchnlark is shown on this gmph. Surlacc dc-
tbnnation relatctJ to oil production l'ront lnglcwood Oil Ficld. Calititrnia'
lcd to the catastrophic failure of Baldwin Hills Danl and Rescrvoir' Los
Angeles, in December 1963. as describcd in Chapter 2. Aticr Alten.r
Mechanics. Hydrocontpaction dillcrs t'ronr consolida-
tion in that soil parriclcs are rcarrangicd whcn watcr is ap-
plicd to the soil. Subsidence usually occurs rapidly and is
confincd to arcas undcrlying or itnlncdiatcly adjaccnt to the
wetted clcposits. Susccptiblc soils olten retain strength un-
dcr hcavy loads in thc dry state: howcver. upon wetting,
they can lail spectacularly. In sotne regions the high dry
 128 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILITATION

Fig' 'l-l l. Prototl'pe scale test demonstrates effectiveness of presubsidence as a subsidence countermeasure in hydroconrpactible
soil. The foundation for
the undamaged section of canal had been presubsided by ponding, whereas the ruptured section was eKcavated
in virgin soil. photo counes' of Califomia
Department of Water Resources.

Fig' 4-12' Etrly stagcs of tcstin-q at a small-scalc test plot tbr studying induced hy<irocompaetion. The
eoncentric scarps anil fissures are tlpical mani-
fcstations of hydrocornpaction. surfacc subsirlencc tt rhis lest sitc ultintatcly artained alnrost 9 (2.7
ti mcters). Subsirlence was iicrivatcd by filling the
comrgated tank with rvaterand was measured pcriodically by leveling to the venical pipes, which are
inscribe6 sinrilarly ro srandartl surveying mtls. The
rods extend to subsurface benchmarks enrplacerl at dcpths of 25, 50, 7.5, and 150 fr (7.6, 15.2.
22.g, :rnd 45.7 merers). Subsidcnce of rhe sevcral
bencltntarks at a similar test plot is tlepictctl graphicatly in Fig. 4-13. Phtlto courtesy of thc
calilbrnia Depanrnenr of tVater Resources.
 GEOTOGY 129

strength has been determined to be due to clay bonding

between the soil particles. Saturation dissolves this bond.
' IEXCX l^*,'
and rapitl collapse and compaction follow.r5 (t l.ail)

Detection and Monitoring. Identification of compac-

tible deposits entails recognition of the requisite geologic LAST IPUC^TrOX
12- n-s9
setting tbllowed by soils testing. and ultimately by con-
struction of test ponds to observe the effects of saturating 50
(r
BEXCX f,m( 5
tao
3.2h)
deposits in situ. In areas that already have experienced some
subsidence. the characteristic cracks and slumping that t50
flank ditches and surround ponds are reliable indicators. o
a

Contacts with farmeru. local residents. oropemtors of water = 9

convevance systems also can be helptul. These people are

2s tR
<x 8
o 'ro
e
usually the first to be aware of a problem and may be able o -3
;x x
to point out affected areas where surface manifestations ie
E.'>
a eo

have been obliterated by releveling the land surface or by oi!

Erz 9
removal or reconstruction of damaged structures.
;i .o
=;
>=
,o
SURFACE BEI€X IARX I
Prevention. Hydrocompaction is controlied either by re- I

moving the susceptible soils where they are shallow or. s

when their removal would not be economical. by saturating
and thus presubsiding them. An e\tensive program of re-
search and testing was conducted by the California De-
panment of Water Resources to develop effective and eco-
nomical procedures for coping with h-v-drocompaction. In
the San Joaquin Valley the alignment of the California Aq-
ueduct crossed over about 75 miles (lll km) of compac-
tible deposits that occurred in zones at various depth inter-
vals dorvn to about 200 ft (6 I meters) in some places. It
was determined that without treatment these deposits would
subside from 2 to I I ft (0.6 to 3.4 meters), causing serious
damage to the canal. The state's investi,eation entailed: ( 1)
the drilling of several hundred exploratory holes along the
alignment. obtaining approximately 3l0O "undisturbed"
samples: (2) laboratory and field soils testing: (3) the em-
placement of test ponds (miniature test plots): and (4) the
construction of a prototype section of lined canal. This last
rvas filled with water to observe full-scale effects of hydro-
compaction. to test various types of lining. and to obtain
additional data essential for the development of a presub-
sidence program for stabilizing subsidence-prone reaches
of the alignment (Fig. 4- I I ). One of 57 miniature test plots
that were emplaced at intervals along the canal route is
shown in Fig. 4-12. These plots consisted of an open-
ended. 8-ft (2.44-meter)-diameter comrgated metal pipe
into which a metered supply of water was applied. The
small-diameter vertical pipes that are shown extend through
casings to subsurface benchmarks (bodics of concrctc)
placed at selectcd depths, often 25, 50. 75. and 150 ft (7.6'
15.2,23. and 46 meters). Figurc 4-13 dcpicts thc magni-
tude. rate. and stabilization times for bcnchmarks obscrved
at a typical plot.
The information obtained during thc several phases oi
this investigation was used to develop presubsiclence tech-
niques. select canal design criteria, detemline the tintes re-
Fig. .{-13. Subsidence rr";":.::chmarks at a tesr Plot located on
"r
mudflow deposits in the San Joaquin Valley. California. The graphs de-
pict subsidence rates for benchmarks emplaced at depths of 0. 2-5. 50.
and 103 ft (0. 7.6. 15.f. and 31..1 meten). Hldrocompaction was accel-
emted on l0-6-59 by flcxding the entire subsidence depression u ith water.
A t)'pical test installation is sho*n in Fig. '1-12. Counesl of Calitornia
Depanment of Water Resources.
quired for soil stabilization. and estimate construction costs.
The presubsidence operations are shown in pro-eress in Fig'
,l-14. The state's research program is described and illus-
trated in detail in an unpublished report, including three
appendixes o[data. that is on file at the California Depart-
ment of Water Resources, Sacramento.l6 Subsequent con-
struction and operation of this project have demonstrated
that. given antple time and funding. hydrocontpaction can
be stabilized to acceptable limits for most purposes.
Presubsidence has provcd effective at several projects.
Its disadvantages are that largc quantities of water and con-
siderable time nray bc required to stabilize ftrundations
constructcd on deep susceptible soils. In ct)nstruction of
the Calitbmia Aquccluct. presubsidence was accclerated by
installing gravel-packcd intiltration wclls up to 200 ft (61
nrctcrs) in dcpth along vulncrable sections of thc canal and
injecting watcr into the cornpactiblc zoncsrT.
Subsidence Due to Collapse of Natural Cavities
Cavitics are classilicd as natuml. induccd, or mincd, ac-
cording to ntodc of origin. Natural openings (caverns) are
created without hunran assistance. rvhercas induced open-
 130 ADVANCED DAM ENGINEERING FOR OESIGN, CONSTRUCTION, AND REHABILTTATTON
Fig' 4- ll' Presubsidence of the alignment of the California Aqueduct prior to excavation and lining of the canal prism.
by infiltntion wells to accelerate the process. Photo courtesy of the California Depanmenr of Water
ings develop as an indirect consequence of imposed con-
ditions. In contrast, mine cavities are excavated deliber-
ately, either by hard rock mining methods or through
dissolution and extraction of evaporite minerals utilizing
injection and recovery wells. No worldwide inventory, in-
dicating the locations of regions affiicted by subsidence in
carbonate or evaporite rock terrains, is available. How-
ever. in Alabama alone over 4000 collapses are known to
have occurred, and similar activity has been experienced
in Florida, Georgia. Maryland, Pennsylvania, South Car-
olina. and Tennessee.lE It has been estimated that approx-
imately one-fourth of the land areas of the world may be
underlain by evaporite deposits, which in the United States
occur mainly in three major basins, the Michigan-Appa-
lachian, the Gulf Coast, and the Southwestern or permian
Basinre. The widespread distribution of water-soluble de-
posits suggests a growing potential for subsidence-related
problems as construction activities expand into new re-
gions throughout the world.
Requisite Conditions. Natural cavities most commonly
form in carbonate rocks when acidic groundwatcr causes
of limestone (CaCO3) or dolomitc
dissolution
(CaMg[CO3]2). They are also created in gypsum
(CaSO*.2HrO) and common salt (NaCl) by sirnple disso-
lution. Openings occur less frequently in volcanic rocks
such as lava tunnels or roofed fissures. Induced cavities
The surface ponds were augmenred
Resources.
develop in soil mantles that overlie fissured or cavernous
rock formations.
Effects. Collapses of underground openings are re-
flected on the surface as depressions, pits, or craters. Where
created by dissolution, these features are known as sink-
holes. Diameters vary from a few feet up to 2 miles (l
meter to 3.2 km). with depths ranging from a few feet to
about 150 ft (l ro 46 meters) (Fig. a-15). Where several
sinkholes occur dispersed over the countryside, a charac-
teristic, pitted landscape (karst topography) results.
The development of sinkholes beneath highways, rail-
roads, buildings, sewers, and pipelines has seriously dam-
aged these facilities in some areas. Damages to dams have
been related chiefly to large volumes of leakage through
solution channels or sinkholes that have developed in the
walls and floors of reservoirs.
The potential for structural damage to dams in vulnera-
ble locations is apparcnt. Logan Martin Dam on the Coosa
River in Alabama is an exantple. located in a region un-
dcrlain by a limestone contplex, which is capped by a thin
layer of soil and alluvium. Upon initial filling of this res-
ervoir, dcprcssions and incipient sinkholcs appeared in the
vicinity o[ the dam. Onc such fcature, which developed
near thc crest of rhe east dike extension about 400 ft (122
meters) from the spitlway, posed a serious threat. A major
failure was averted by immediate corrective action con-

strength has been determined to be due to clay bonding
between the soil particles. Saturation dissolves this bond.
and rapitl collapse and compaction follow.l5
Detection and Monitoring. Identification of compac-
tible deposits entails recognition of the requisite geologic
setting tbllowed by soils testing, and ultimately by con-
struction of test ponds to observe the effects of saturating
deposits in situ. In areas that already have experienced some
subsidence. the characteristic cracks and slumping that
llank ditches and surround ponds are reliable indicators.
Contacts with farmers. local residents. or operators of water
conve!'ance systems also can be helptul- These people are
usually the first to be aware of a problem and may be able
to poinr out affected areas where surface manifestations
have been obliterated by releveling the land surflace or by
removal or reconstruction of damaged structures.
Prevention. Hydrocompaction is controlied either by re-
moving the susceptible soils where they are shallow or.
when their removal would not be economical. by saturating
and thus presubsiding them. An e(tensive pro-uram of re-
search and testing was conducted by the Califomia De-
partment of Water Resources to develop effective and eco-
nomical procedures for coping with hy'drocompaction. In
the San Joaquin Valley the alignment of the California Aq-
ueduct crossed over about 75 miles (1ll km) of compac-
tible deposits that occurred in zones at various depth inter-
vals dou'n to about 200 ft (61 meters) in some places. It
was determined that without treatment these deposits would
subside from 2 to I I ft (0.6 to 3.4 meten), causin-s serious
damage to the canal. The state's investigation entailed: (1)
the drilling of several hundred exploratory holes alon,q the
alignment. obtaining approximately 3100 "undisturbed"
samples: (2) laboratory and field soils testin-e: (3) the em-
placement of test ponds (miniature test plots): and (4) the
construction of a prototype section of lined canal. This last
was filled with water to observe full-scale effects of hydro-
compaction. to test various types of lining. and to obtain
additional data essential for the development of a presub-
sidence program for stabilizing subsidence-prone reaches
of the alignment (Fig.4-l l). One of 57 miniature test plots
that were emplaced at intervals along the canal route is
shown in Fig. 4-12. These plots consisted of an open-
ended. 8-ft (2.44-meter)-diameter comrgated metal pipc
into which a metered supply o[ water was applicd. The
small-diameter vertical pipes that are shown extend through
casings to subsurface bcnchmarks (bodics ol concrctc)
placed at selected depths, oftcn 25, 50, 75. and 150 ft (7.6.
15.2,23. and 46 mcters). Figurc 4-13 depicts thc magni-
tude. rate. and stabilization times tbr benchmarks obscrved
at a typical plot.
The information obtained during the scveral phascs of
this investigation was used to develop prcsubsidence tech-
niques. select canal design criteria, detemrine the tinres re-
GEOTOGY 129
Lasl lFlrc To{
r2-29-50
z o
g
23 tR 8 rzo
9
<6 9
6
a r- 3
6 JE 90
oi
g,
9
jg 6
f
f6 0
,5
,o
o
Fig. .l-t3. Subsidence ., -"r:ac. ;"chmarks at a lest plot located on
mudflow deposits in the San Joaquin Vellel-. California. The graphs de-
pict subsidence rates for benchmarks emplaced at depths of 0' 25. -50.
and 103 ft (0. 7.6. t5.1. and 31..1 metcn). H1-drocompaction was accel-
erated on l0-6-59 by flooding the entire subsidence depression with *ater.
A typical test installation is shoun in Fig. 'l-12. Couflesr oi Calitomia
Departnrent of Water Resources.
quired tbr soil stabilization. and estimate construction costs.
The presubsidence operations are shown in progress in Fig.
4-14. The state's research program is described and illus-
trated in detail in an unpublishc'd report. including three
appendixes of data. that is on file at the California Depart-
ment of Water Resources. Sacramento.'u Subsequent con-
struction and operation of this project have demonstrated
that. given antple time and funding. hydroconrpaction can
be stabilized to acceptable lirnits for most purposes'
Presubsidence has proved effective at several projccts.
Its disadvantagcs are that large quantities of *'ater and con-
siderablc time nray be requircd to stabilize fcrundations
constructed on deep susceptible soils. In ct-rnstruction of
the Calitbrnia Aqueduct. prcsuhsidencc was accelerated by
installing gravel-packcci infiltration wells up to 100 ft (6 I
nrctcrs) in clcpth akrns vulncrable sections of the canal and
injecting water into thc corupactible zoneslT.
Subsidence Due to Collapse of Natural Cavities
Cavities are classilicd as natural. induced' or mined, ac-
corcling to mode ol origin. Nltural openings (caverns) are
createcl without hunlan itssistancc. whereas induccd opcn-

Fig.,1-15. A sinkhole. measuring about 425 ft (l-i0 meters) long, 350 ft (107 meters) wide. and 150 ft (.16 metcm) deepthat developed in central Alabama.
The roof of the "December Giant" is believed to have collapsed on December 1. 19'72. and this may be the largest sinkhole to have ftrrmed in recenl
years in the United States. The collapse caused no harm to persons or structures. Photo courtesy of the U.S. Geological Survey. Depanment of the
Interior.
sisting of filling this sinkhote and other newly formed
depressions nearby with selected materials followed by re-
medial grouting.20 The project now is monitored continu-
ously, and corrective measures are implemented promptly
upon the earliest indications that a sinkhole may be devel-
oping at a critical location.
Mechanics. The creation of cavities by natural dissolu-
tion usually progresses slowly. requiring from tens to thou-
sands of years. On the other hand. induced cavities have
been observed to develop within minutes or hours in re-
sponse to the stimulus of human activities. For example.
of 4000 incidents that occurred in carbonate rocks in Ala-
bama, only 50 collapses were considered triggered by nat-
ural processes.2: lnduced cavities result from the transport
(piping) of the soil mantle into subjacent openings. In this
manner the overburden is attacked at its base and stopcd
upward to create a cavern with little or no disturbance of
the surface up until the time of appeannce of an opening.
The initial breakthrough may be a small hole although oc-
casionally spectacular roof collapscs have occurrcd without
warning. Withdrawal o[ groundwatcr from wells, mincs.
and quarries; or the creation of surfacc ponds and rcscr-
voirs on terrain underlain by cavernous rock: or the con-
veyance of watcr across such lands is the principal cause
of induced cavities. The effect of fluid withdrawal is, first,
GEOLOGY 131
to increase the velocity of groundwater underflow. thereby
strengthening its erosive power: second. to lower the water
table. thus reducing buoyant support to the cavity roof: and,
third. to amplity water table fluctuations where wells are
pumped seasonally with consequent flexing of the roof. The
creation of surface impoundments or unlined conveyance
systems results in diversion of surface water into natural
fissures with consequent acceleration of subsurface ero-
sion.:l
Regardless of the mode of ori-ein. the characteristics of
a collapse feature are governed by the dimensions of the
underground opening, its depth below the surface. the
physical nature of the overburden, and the excavation pro-
cess. Fi-uure 4-l6 illustrates an observed relationship of
these factors and a generalized concept of the distribution
of strain and horizontal displacements at ground surface.
As indicatcd. the arca affected at the surface is determined
by the an,ele of draw. which in turn. depends upon such
characteristics of the ovcrburdcn as the intensity of the
jointing. shearing. and othcr flaws and its cohcsive streng,th.
Coltapsc mcchanisrlls have bcen elaborated by
Rellensnrann:r and Gray and Bruhn.2a
Detection. Techniques lor locating shallow buried cav-
ities inclucle drilling, seisrnic. and resistivity geophysical
methods. Radar surveys have been tried with varying de-
 132 ADVANCEO OAM ENGINEERING FOR DESIGN, CONSTRUCTION,
AND REHAEILITAT]ON
t{oRtzot{TAL
DISPLACEMENT
\ ,l
tt 'Tfont'' ol broak
\ r! | ,/
,\.f Anere or dmw //
.---------,
ltlenrt h ot cavity +l
Fig. 4-16. ldealized dia,eram showing the effects that a collapse of an
undergmund cavity has on subsidence, horizontal strain. and displace-
ment of the ground surface. Modified after Rellensmann:r
and Gray and
Bruhn.:r
grees of success, but for the present they remain largely in
the realm of research.:s.16
In some instances the collapse of sinkholes has been pre_
ceded by visible disturbances. To assist in the detection of
shallow-roofed cavities, the following list
compiled by New.ton and Hydez7 is quoted verbatim:
l. Circular and linear cracks or fractures in soil. as-
phalt, and concrete paving and floors.
2. Appearance of depressions in soil or pavement that
may result in the ponding of water and are some_
times bordered by radial fractures.
3. Slumping. sa_sging, tilting, or warping of highways,
rails, fences, curbin_es, pipes, poles, si-enboards, and
other vertical or horizontal structures.
4. The downward movement of small-diameter verti_
cal structures such as poles or posts.
5. Fractures in foundations and walls resulting from
subsidence. This can be accompanied by jammed
doors and windows. Loud, sharp cracking noise in
or under a structure often accompanies damage to
foundations.
6. Small conical holes that appear in the ground in a
relatively short period of time.
7. Diversion of drainage into small holes or fractures
in the ground without rapid filling.
8. Sudden muddying ol warer in a well that has been
producing clear water. This indication often is as-
sociated with precipitation.
9. Water spouts erupting during rainstorms from open_
ings in soil in basins adjacent to highland areas.
These generally occur in areas ofactive sinkhole de-
velopment where downward migration
solidated deposits has resulted in blockage
derlying openings in bedrock.
10. Relatively small openings in the soil zone that are
Tonrlo sometimes angular in shape and appcar to bc dcep.
I l. Discolored or dead vegetation in slight dcpressions
in the soil zone.
12. Tilted or toppled trees with depressions ar rheir
bases.
13. Scour holes inareas subject to flooding where warer
erodes soil into the subsurface. Similar openings
without eroded surfaces occur in areas havin_e a thiit
grass cover.
14. Streams discharging into the ground or springs reen_
tering the ground. Where flow exceeds water loss.
small whirlpools accompanied by sucking or drain-
ing noises are sometimes present.
15. Sudden draining of a pond or inability of a new pond
to hold water.
16. Depressions in wooded areas where collapses have
occured but where the root zone maintains soil and
leaf cover. The ground in the area moves when
stepped on. A person stepping on the area feels like
he is walking on a net.
17. Sound of running water in the subsurface being
emitted through small openings at land surface.
of precursors Prevention. Induced cavities are prevented by control-
ling the quantities and velocities of water moving throu_eh
the ground. Activities that lower the water table or provide
access of surface waters to underground openin_es should
be discoura_eed or closely regulated. Subsidence resulting
from underground mining is prevented by adopting ac-
ceptable methods of excavation and roof support during ac_
tive operations and by backfillin-q stopes and passages with
waste rock (gob) before they are abandoned.
Subsidence Due to Consotidation of Organic Soits
Histosols, commonly called peat or muck, have been as-
sociated with subsidence at engineering projects for many
centuries, probably since the development of the Dutch
polders between the ninth and thirteenth centuries.2E Esti-
mates of the area of the earth's surface covered by peat
range from 570 to 850 million acres (231 to 344 million
ha) including 52 million acres (21 million ha) in the United
States. The bulk of the deposits occur in scattered patches
of two to several hundrcd acres (one to a few hundred ha)
although some extensive deposits do exist, such as the ex-
panse in the Florida Evcrgladcs rvherc more than 1.5 mil-
lion acrcs (607,000 ha) of peat ancl muck are located.le
Requisite Conditions. peat has bcen defined as soil
containing less than 50Vo dry weight of nrineral matter,
whercas muck consists of 50 to 80Zo minerals.30 Histosols
of uncon- develop in manhlands, bogs, river backwaters, and lake
of un_ beds, and consequently are most frequently encountered in
lowland regions with little topographic relief. Sphagnum

moss pcat. which dcvclops on higher lands. forms in cool
moist climatcs. It occun mainly in high latitudes. northcrn
parts of Canada and Europe. for example .
Effects. Structures constructed on Histosols have expc-
rienced extremc settlement. deformation. and disruption.
Damage to dams has been rare, probably because thcse de-
posits occur mostly in low relief terrains. topographically
unsuited tbr dam sites. However. se!ere dama-ues have
been sustained by dikes along canals and waterways and
by such structures as roads. buildin-es. bridges' and pipc-
lines.
Mechanics. Peat has been accused of being the poorest
foundation material imaginable. Its high compressibility.
low density, weak strength. propensity for oxidation. and
commonly high permeability make it susceptible to failure
by collapse or piping.3r Sphagnum moss peat may contain
water up to l6 times its dry weight. catisin-e pronounced
expansion. It is particularly treacherous in foundations.
Subsidence of areas underlain by Histosols may be acti-
vated by (1) consolidation caused by surface loading. (2)
reduction of buoyant supporting forces due to lowering of
groundwater levels. (3) soil shrinkage resulting from de-
siccation of the organic constituents. (4) burning. and (5)
biochemical oxidation. The first four of these mechanisms
require no further explanation; the fifth. biochemical oxi-
dation. is a microbial process governed by the temperature.
pH, and aeration of the deposit. It involves an actual loss
of soil.ll
Detection and Monitoring. Peat is recognized readily
by its spongelike or fibrous texture. dark color. low den-
sity, and odor of decay. Remote sensing techniques for de-
tecting and assessing these deposits on a re-gional scale re-
main in the research stage; however. aerial photos have
been used successfuly in the investigation of bog deposits
in Canada.-1-1
Highly expansive sphagnum moss peat often produces a
bulge or domelike surface profile, characteristic of lands
underlain by these deposits.
Surface monitoring of shallow beds of Histosols is prob-
ably best accomplished by embedding a pile or post firmly
in an underlying stable basement. Changes in elevation of
the surrounding surface then can be detemrined by pcriodic
lcveling, using the tops of such installations as bcnch-
nrarks. The Holme Post. located at Holnrc Fcn. England'
has been so uscd since about 1848. and had shown a pro-
grcssive subsidcnce of up to about I l.-5 tt (3.5 nlctcrs) as
G€OLOGY 133
of l980.rr Monitoring of dccp dc'posits requircs installation
of spccial instrumcntation such as thc extcnsomctcr. dc-
scribcd abovc and shown in Fig. 4-8.
Prevention. Histosols at dam sitcs are bcst treatcd b,Y ( I )
their completc rcmoval tiom thc tbundation and abutments
or (2) rclocation of the sitc. Whcre ncither of these alter-
nativcs is acccptablc. scvcre maintcnance and repair prob-
lems are to bc anticipated. Stabilization of Histosols. par-
ticularly peat. by grouting or other techniques has not
proved feasible. Exploration of sitcs underlain by Histosols
must bc sufiicicnt to define the extent and depth of all de-
posits located beneath and in thc immediate vicinity of im-
ponant structures.
Subsidence Due to Tectonic Activity
This kind of surface detbmration, often of regional dimen-
sions. is caused by stresses due to movements of the earth's
crustal plates.
Requisite Conditions. Significant tectonic deforma-
tions nray occur in seismically active regions and are often
associated with earthquakes.
Effects. With the exception of disruptions along faults.
which are discussed in Chapter 5 and elsewhere in this
chapter. warping of the land caused by tectonic forces is
usually so slow that its effects are insignificant over the life
span of most en-eineering projects. However. exceptions
have occurred during strong earthquakes. For example, the
floor of Hebgen Lake. Montana. subsided 22 ft (6'7 me-
ters) during the West Yellowstone earthquake of Au-eust
17. l959.ls A substantial regional tilt also was measured
following this event. which resulted in reversal of the slope
of the pre-earthquake channel of the Madison River where
the rivir passed beneath the surface of the lake.36
Heb-een Dam is an earthfill embankment structure 123 ft
(37.5 nreters) high with a crest length of 718 ft (219 me-
ters.)r7 The dam was overtopped by several successive
water waves. which were attributed largely to a rapid de-
fonnation of the reservoir floor. Although the spillway was
ovenaxed and suffered severe damage. and the embank-
ment settlcd seveml fect. the darn luckily remained intact.
This incidcnt has dcmonstrrtcd that tectonic dcformation
can prove hazarctous tilr darus. a tact to considcr in deter-
r.nining lrccboard allorvanccs. dcsigning spillways. and
planning opcn channcl watcr convcyanccs.
 134 ADVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCTION, AND REHABILITATION
FOUNDATION DEFECTS
ARTHUR
lntroduction
Dams should be located on a competent foundation in a
geolo-eically and seismologically stable area. Most of the
good sites to construct dams have been utilized. so dams
are now being constructed on less than idc.al foundations
in a more complex geological environment. This requires
an intensive investigation of the site to define the founda-
tion defects, analyze the significance of the defects, and
design the structures and embankments to accomnrodate
them.
New and improved exploration techniques. including re-
mote sensing, age dating of faults, downhole geophysical
and rock property measurements, and advanced seismicity
studies aided by computer and graphic methodi, are used
to investigate the geology and evaluate the foundation de-
fects of the more geologically complex damsites.
Many foundation defects affect the design and safety of
a dam. The "case histories" presented in this chapter are
considered to represent the more common foundation prob-
lems and their effect on dam performance.
Seepage
The major cause of most dam foundation problems is
seepage. which can contribute to abutment sliding, em-
bankment failures, and piping of the foundation.
To avoid or minimize seepage problems, it is necessary
to recognize the potential for seepage during design. This
requires a thorough geological investigation of the site and
a careful interpretation of the data. Foundation prepara-
tion, grout curtain, and drainage features should be care-
fully considered during the design phase of the project and
the geological investigations not only should explore all of
the potential seepage problems but also should include a
quantitative assessment of seepage potential.
The instrumentation placed in the dam and foundation to
monitor and evaluate seepage should include piezometers,
observation wells, and weirs. The weir locations should be
selected so that changes and location of the seepage can
readily be observed.
Colstrip Surge Pond Dam.1 The Colstrip Surge pond
Dam and power plant are located in Montana about 30 miles
southeast of Billings. The Surge Pond Dam is a zonecl
earthfill embankment with a central impervious core. The
dam is 70 ft (21 meters) high and ll00 it (335 nreters)
long, and was completed in 1974.
The geology of the area is characterized by extensive
sedimentary and alluvial deposits. The Fort Union For-
mation of Paleocene age is the foundation for the dam. and
B. AnNolo
consists largely of mudstone, bcntonitic shale. fine-grainecl
sandstone. siltsrone, and coal beds. The beds dip one to
two degrees to the southeast and display two major sets of
near vertical joints trending about N80.W and N20.8.
These joints are inconspicuous, closed vertical fractures or
sand-filled cracks spaced 5 to 20 ft apan. Locally, how-
ever. these joints are open, with gaps of up to one-half
inch.
In early lvlay 1975, as the reservoir reached elevation
3254. water be_gan to flow from an observation well. and
the right abutment groin became saturated. To cut off the
source of the seepage flow, additional grouting was carried
out in the coal seam on the right abutment.
In mid-Au_sust 1975, electrical resistivity and streaming
potential surveys across the dam and abutments indicated
three zones of possible seepa_qe. and a second phase of re-
medial groutin-s was carried out in the three areas.
In order to test the effectiveness of the additional grout-
ing and further observe the behavior of the dam under op-
eratin-9 conditions, the reservoir was raised incrementally
during 1976. Surprisingly. the volume of seepage in-
creased again. in step with the rising reservoir. By late
spring of 1976 when the pool level reached 3273, the
seepa_qe rate was 300 gpm (l136 liters/min). Clearly, the
grout program had only reduced the seepage flow in part,
and the reservoir seepage rate at design elevation of 32g4
might have exceeded 1000 gpm (3785 liters/min.). Con-
sequently, to reduce the seepage further. a slurry cutoff wall
was constructed. The location of the walls and observation
wells is shown in Fig. 4-17.
The most decisive evidence confirming that the seepage
occurred through joints was the loss of slurry during ex-
cavation of the slurry wall. In several cases, slurry or
muddy water appeared in the hydrauger discharge. When
such slurry losses developed. additional bentonite was
pumped into the trench until leaka-se stopped. After this
treatment, or after the panel was backfilled, the total
seepage discharge from the hydrauger drains declined. On
December 9, atier the last panel was treated, the seepage
ffow measured at the flume near the toe of the dam was less
than 2 gpm (7.6 liters/min. ).
Figure 4-l8 shows the geology ancl cutoff wall construc-
tion [or the right aburment. Thc complcted right-abutment
cutoff wall was 340 ft ( 104 nrctcrs) long and approximately
70 tt (21 mcters) dccp.
Refilling of the surgc pond to its maximum pool level of
3284 ft began as the wall was conrplcted at its maximum
elevation of 3284. The seepage clischarge from the right
abutrnent alter trcatment was less than about l0 gpm (3g
liters/min. ).
 GEOTOGY T35

DOWNSTREAM

CUT
CUT OFF
I

o 20 40 50 ao too t20 MEiERS

EX PLANATION
a Locotion of ground woler observolion well

Fig. 4- 17. The location of the cutoff walts for the Colstrip Surge Pond Dam.

RIGHT ABUTMENT UNION FORMATION

r:oo ( toos.c n

t:.o ( t99.1 a,

lrro ( t9!,66 )

tr.o (9!:.561

lrro ( trt.a n,

EXPLANATION
t--:"rl
iil sANosroNE W ,*ro***u*,

E-d
- 'HALE W :i::l^?o.1'r.,*,,.o.,
E COA L
rN OF IOOO Frl(28
EXCESS

3:1 cur oFF wALL eANELS

3 m!)

. 4-18. Thc right abutnrent cutofiwall at the Colstnp Surge Pond Danr.
136 ADVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCTION. AND REHAEILITATION

As the surge pond was filled to capacity during early
[977, ncw seepage began downstream from thc left abut-
ment. No seepage had previously occurred in this area bc-
cause this was the lint time that the rescrvoir surtace had
reached elevations higher than 3275 leet.
To control the lefi abutment seepage. it was decided to
construct a slurry cutoff wall similar to the one installed in
the right abutntent. The cutoff was designed to penetmte
the jointed sandstone and siltstone high in the abutment.
and to key into sound, impervious shale just beneath the
McKay coal seam. The left abutment wall was completed
in 1977.
The reservoir has been operated at the maximum water
surface elevation since 1978 with only a small amounr of
seepa_qe.
Colstrip Effluent Pond Dam. The Effiuent Pond Dam,
a 138 lt (42 meten) high earthfill structure, was con-
structed about 5 years after the Surge Pond Dam at Col-
strip. Because of effiuent storage and environmental re-
quirements. the dam and reservoir were constructed so that
seepage would bc essentially zcro. This rcquirrd a slun-v
cutoff wall complctely around thc rcscrvoir and undcr thc
dam.
The geology is essentially the same as dcscribcd for thc
Colstrip Sur-ee Poncl Dam.2
The procedure for estimating sccpage was to r,-fine cal-
culations derivcd with an analytical modcl by the use o[ a
numerical model. The numerical studies analyzcd seepage
along a vertical geological section through thc pond. allorv-
in-e assessment of both vertical and horizontal florv as *'c'll
as considering transient effects. The results ol the nunre.r-
ical analysis were used to refine the initial analytical esti-
mates of total pond seepage by the use of calibration thc-
tors.
Figure 4-19 is the geolo-eical section used in the numer-
ical analysis. Fi-gure 4-20 is the finite-elemenr mesh used
in the seepa_ee calculations.
To evaluate the effects of contamination and the need to
restrict and essentially eliminate seepage. the analy'tical and
numerical methods may provide a more definitive and thor-
ough approach than methods previously used.

trsr r&tv€{r
6X VERTICAL EXAGGERATIOX

44
6

o 500 rooo 1500 2000 F'r.

o r50 300 450 600 METERS

PE RMfA A'II TY
tFrlYR, -(cmlrac)
I 8A(EO SXALE rso@ (6 r lo-2)
2 UPPER rHrERBEoo€o Rocx (tox€ tl roo (3rto-4)
3 UPPE! rllrERsEoo€o Rocx (toHE 2t zo (zrto-51
- 4 coAL ?oo (?rlo-4)
5 sAr0sT0flE {zoNI t)_ roo (t rto-4)
6 slr{oSToHE (toNE 2t ro (5rto-3)
7 LoWEF DrrEFEEDoE0 ROCX _ , (5r lo-61
I sorl r 5o (rrrd4)
9 Errlurnt uATERTAL(sLUoGE, 2o (zxrd5t
lO --__, crlv
cospact€o 1 {rrt0-6)
II ceuerrr- aENtoNry€ sLURRy r (trto-6)
l2 oAH | ( tr to-6)
l3 wEatHER€o Rocx tro oEprx oF 30 rt, !oo (3rto'4)
Fig. '{-19. Thc geological section used in the numerical analysis for rhe Colstrip Eflluent Pond Dam.
 GEOTOGY 137

EAST ABUTMENT
MAIN OAM

x vERTICIL ExlGGfR tlor

TTT] i lrrr
ffil

itli iiiiirlli
'1'r Itl'
ll

o 500 t000 t500 2000 Fr

't--l--
ri_ llii
o t50 3oo 450 500METERS

Aa,Ba:Co.oD' : Constont-heod boundories

EF. FG : Pool locotions
ra,r.l:x:'s,s' : Selected seclions for seepoge colculotions
- Fig' 4-20. The finite-element mesh used in the seepage calculations for rhe Colsrrip Effiuent pond Dam.

Boardman Dam. Boardman Dam is a zoned earthfill
dam with a maximum hei-sht of I 18 ft (36 meters) and a
volume of 161,12l cy (123,186 mry 1fig.4-21). Located
in northeastern Oregon, it is owned and operated by the
Portland General Electric Company. The foundation for the
dam consists of tuffs and basalts overlain by thin deposits
of silts and sands. Figure 4-22 shows the strati-eraphic col-
umn at the damsite.
Analysis of the water test data and results of geological
mapping indicated the seepa,ge could be controlled. and that
a positive cutoff would not be necessary. However. a sin-
-ele-line grout curtain was provided to explore and seal any

@ Existing ground surface @ Continuous drainage blanket

@ Compacted random earth
@ Chimney drain
@ Compacted clay core @ Stabilizing material
@ Acceptable foundation e Maximum flood pool
@ Grout curtain
@ SanO and gravel - on basalt foundations

Fig. 4-21. Eoardman Dam cross scction show,ing thc zoncs in rhe danr.
138 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHAEIL3TATION
E XPLANATION
=--\g:--: @ Fftk tyE d.m ltundrti@
-___-__.--: \
@l*
-'--r(9--.-: @ ortto to*tt*
i trdsit @ Elehmt Mounuin lld
O F.(l.sk. ErdF h!6!Er
=
o
= @ Pomd. bdlt
: r'- -\
-:-
1-L---_-_-_-_1
z .- : -,l.- -'- -\
o -_-_-_:.:i_-_-j-_-f
E --:-'---I--:-------\
-:-------------3=
i(174 m
(158 m
Fig. .t-22. Boardman Dam stratigraphic column showing rock types en-
countered in the foundation.
open joints and fractures in the foundation. Drains and hor-
izontal relief u'ells were installed to control seepage through
the abutments, and a sand drainage blanket was provided
to control seepa_se at the base of the dam.
Monitoring programs, includin-e daily measurements of
observation wells, were established before filling of the
reservoir. During the filling, a rapid rise in several obser-
vation wells occurred, abutment drains started to flow, and
seepage areas were observed below the dam. During this
period of increased seepage, additional observation wells
and pneumatic piezometers were installed to monitor
groundwater more closely so that a reevaluation of abut-
ment and dam stability could be made. Subsequently. ex-
ploratory holes were drilled, and samples were tested for
stability; the analysis confirmed that the embankment and
abutments were stable. A seepage collection system with a
pumping plant was constructed to collect the water and re-
turn it to the reservoir.
The seepage control at Boardman has been satisfactory
and could be considered as an alternative to a more costly
positive seepage cutoff barrier where a dam has similar
foundation conditions. l
To illustrate the serious consequences of a floundation
seepage problem, St. Francis Dam is cited below.
St. Francis Dam. St. Francis Darrr. located in southern
California, was a curved gravity dam, 205 ft (62 nreters)
high and 700 ft (213 meten) long.a Construction of the
dam rvas started in April 1924 and rescrvoir impoundmcnt
began in March 1926.
The dam failcd on March 12, 1928, with thc rcseryoir
about 0.5 ft (15 cm) below the spillway crest. Over 450
people perished as a result of this catastrophe. In the Re-
port of the Commission to determine the causes of failurc
the main conclusion was:
that the initial foundation failure occurrcd near or at the old fault
or contact bctwccn thc congkrmerate and schist undcr thc west
end, an,l was due to the pcrcolation of water inro and through this
section of the foundation. with rcsulting soliening of thc con-
glomcrate undcr the dam. Either a blowout undcr. or a scttling of
the concrctc at this place. or both. occurred, quickly followed by
the collapse oI largc scctions of the dam.
Figure .l-23 shows the geolo-ey under the section of dam
that failu'd. (See Chaptcr 2 for details of the failure.)
Faults
Faults at damsites are usually discovered or suspccted dur-
ing the preliminary geological investigation of the site.
However. vegetation and deposits of alluvium. colluvium.
and so on. may cover the area so that their presence and/
or significance is not understood until they are uncovered
during the final phase of exploration or during constnrc-
tion. This can result in major design changes such as oc-
curred at Cedar Springs Dam or major construction delays
such as those at Auburn Dam. Baldwin Hills Dam is cited
below as a dam where faults in the foundation area con-
tributed to the failure of the embankment.
The most significant characteristic of a fault in a dam
foundation is the potential for movement. Methods and
techniques for treating a fault zone to prevent seepage or
to remove incompetent rock are well known. However, the
design of a dam and appurtenant structures to withstand
displacement is unique to the fault and the seismic history
of the area. (See Seismotectonic Investigations in this
chapter. )
Cedar Springs Dam. This dam, located in Southern
California. is a rolled earth and rockfilled dam with a struc-
tural height of 249 ft (76 meters) and a crest length of 2230
ft (680 meters). The spillway is an ungated concrete chute
with the outlet works located in a tunnel beneath: both have
a comnron energy dissipator. Construction work on the
dam was started Novenrber 10, 1968. and completed dur-
ing the summer of 197 l. Reservoir filling started on Jan-
uary 5, 1972.
The enrbankment consists of a zoned earth-rock section
that utilizcs thick shells of rolled rockfill and dumped large
rock. both upstream and downstream of the impervious
core. Alignment of the ernbankment is buttressed by a
downstrearn knolI so that downstream dcflection com-
prcsses thc core. In addition, the core is thickened in such
critical ilreas as thc convex clownstreanr curvature of the
dam and throughout thc leti abutrnent arca where a shear
zone cxists.5
The final clesign of a 216.000-acre-foot (266 x l0u mr)
storage rcservoir and clanr conrmenced during July 1964.
In April 1965, the Calitbrnia Departnrent of Water Re-
sources' Consulting Board tbr Earthquake Analysis con-
 GEOLOGY 139

l 835

1 800
F
u / .bsu'*.+.// ."
.
i ov / ..'
9 750
F 1

u
u
-J

1 700
'.)
Schist
1 650
Roak line after failure

Schist - in many places strongly sheared. commonly Conglomerate - composed chiefly of detritus derived
along planes roughly parallel with the schistosity. from the schist and granite. Hard when dry,
disintegrates in water.

San Francisquito Fault - I

clay 9ou9e up to inches
(20 cm) wide. Schist is crushed and sheared in a
zone up to l0 feet (3m) wide.

Fig. .l-23. St. Francis Dam cross section showing foundation conditions and rock surface atier failure.

cluded that, although the probability of a fault offset oc-
curring through the damsite was small. the design should
consider that it could occur. As a result. the size of Silver-
wood Lake was limited to approximately 78,000 acre-feet
(96 x 106 m3). This lowering of the dam also provided a
wider ridge for the abutment contact.
Cedar Springs Dam is in the northwest portion of the San
Bernardino Mountains, near the boundary of the Trans-
verse Ranges geomorphic province with the Mojave
Desert. Bounded on the south by the San Andreas fault and
on the north by a series of east-west faults. the San Ber-
nardino Mountains fornr an east-west-trending block about
55 miles (88 km) long and up to 30 milcs (48 km) wide.
Rock types are mainly gneissic and granitic rocks of Me-
sozoic age. Pre-Cambrian gneiss, which includes sonle
scattered bodies of marble, is dominant in the southwcst
portion of the range. Tertiary to Quaternary continental
sediments and older and Recent alluvium are tbund locaily
along structural troughs and valley floors. The dam is 7
miles (11.2 km) from the San Andreas fault and l0 miles
(16 km) from the San Jacinto fault. Several faults, sonte
associated with the San Andreas. pass through the reservoir
area.
It was necessary to consider the effects of a fairly large
earthquake in design of the dam and appurtenant structures
because of their proximity to the San Andreas and San Ja-
cinto fault zones. Instrumentally' determined epicentral data
are available from 1937. and records of earthquake inten-
sities were available from 1857 to 1974.
During the 1857 earthquake. the ground along the San
Andreas fault was fractured from San Bernardino to Cho-
lame Valley, a distance of about 200 miles (322 km). An
cstimatcd 20 ti (6. I mcters) of horizontal displacement of
thc land surfacc occurrcd near Gorman, 95 rniles (153 km)
northwcst of thc dam.
Thc San Jacinto fault was the sourcc of two earthquakcs
cluring the past 70 years cstimatcd to have Richter magni-
tudcs of 6.8 and 6.3. Both caused severe damagc ncar Hc-
rnct, San Jacinto. ancl San Bernardino-locatcd 47 miles
(76 km),43 miles (69 km), and l8 miles (29 km) southwest
oi the dam, respectively.
Two presumably active taults were discovered during
 140 ADVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCT!ON. AND REHAEILITATION
excavation of the foundation material near the axis of Ce-
dar Springs Dam, and were traced a distance of from I to
3 miles (t.6 to 4.8 km). A vertical displacemcnt of 3 to 5
ft (l to 1.5 meters) was measured of one exposed fault in
the exploration trench. During the life of the dam. it is
highly improbable that displacement along these faults in
any direction will exceed 5 ft (1.5 meter). Separation
movement of the fault wall is not expected.
The State of California Department of Water Resources
decided to analyze the dam for a maximum credible acci-
dent. The maximum credible accident is defined as a major
earthquake producing a 3- to 5-ft (l- to l.5-meter) dis-
placement in the foundation, occurrin-e when the reservoir
is at maximum water surflace with spillrvay and outlet works
operating at maximum discharge.
Six possible conditions that could result from the maxi-
mum credible accident were analyzed. resulting in 20 spe-
cific provisions being incorporated into the design to pro-
tect against their effects. Provisions included: selecting a
material for the impervious core that can deform plastically
without cracking, thickening transition zones to accom-
modate a 5-ft (1.5-meter) displacement along a fault while
maintaining sufficient thickness to operate as designed,
avoiding placing the core on known faults, providing ad-
ditional freeboard to guard against overtopping, and locat-
ing the spillway so that the chute does not cross a fault until
it is well downstream of the crest. Figure 4-24 shows the
location of the faults and the dam layout.
Two conditions resulting from the maximum credible
accident were applied in the design stability analyses for
the danr embankment: a full reservoir was assumed against
the face of Zone 3 downstream of the impervious core, and
upstream Zone 2 was assumed liquefied with all loss of
strength. These conditions were additive to the normal
static forces plus the force due to the 0. 15 g horizontal
earthquake acceleration.
o ,t @ 4d t6raa:
, @ rs e.arErt
Fig. 4-2a. CedarSprings Dam layout to accomnrodare faults in thc tbun-
dation.
Eanhquake loads applied to the appunL.nant structures
were scaled as to the importance of the stnrcture and thc
consequences of its failure.
The dam embankment is a zoned rockfitl structure with
a core consisting of an impcrvious. plastic marerial (Zone
l) flanked by narrow zones of nonplastic natural matcrials
(Zone 2). Transition zones are provided on each sidc of the
core, consisting of either streambed sands and gravels or
fines produced from the processing of material for thc
downstream shell (Zone 3). The upsrream shell is rolled
quarry-run rock (Zone 4A). The inner porrion of the down-
stream shell is rolled processed rock (Zone 5). Figure 4-25
is a section of the dam showing the zoning of rhe embank-
ment.
A plastic clay was chosen tbr the core because it will
deform rather than crack if the foundation should settle or
shift durin_e an ea(hquake. Even if the clal' should crack,
it has the added ability to resist erosion.
Because of the seisnric hazard. the core and filters were
made thicker than usual. A wide cross secrion resulted at
the elevation of the normal reservoir water surthce. In place
of a wide crest. the slopes were extended upu'ard to a nar-
rower, higher crest to provide additional freeboard above
the normal water surface.
Blankets of streambed gravels were provided under the
upstream and downstream rock shells of the dam. The pri-
mary reason for these blankets was to provide a filter over
the minor faults passing through the foundation.
The downstream two-thirds of the dam foundation is
granitic rock. and the upstream one-rhird is slightly indur-
ated sandstone of the Harold formation. u'hich makes a
nearly venical contact with the granitic rock. Movemenr
along both the granitic rock-Harold formation fault and in-
tersection faults displaced alluvial stream gravels. indicat-
ing that the fault system was active durin_e Recent geologic
time. As a precaution. the dam was designed to maintain
a minimum distance of 200 ft (61 meters) betrveen the dam
axis and the granitic rock-Harold formation fault contact.
Removal of the alluvium, colluvium, and all hi-ehly weath-
ered and severely fr.rcrured bedrock from beneath the em-
bankment was specified. to ensure a foundation at least as
strong as the embankment rockfill.
To minimize potential cracking. the core was located en-
tirely on the granitic rock portion of the foundation. and
the dam axis was bent sharply near the center to accom-
modate this condition. The core at the bend was thickened
and buttressed against the knoll locatcd berrveen the left
abutmcnt and thc rivcr channel. The axis then was arched
toward the rcservoir on both sides of the bend for addi-
tional insurance against crucking due to enrbankment creep
under rescrvoir pressure.
To ensurc thc inrperviousncss o[ the foundation. a grout
curtain up to 150 ft (46 meters) deep was required beneath
the Zone I material, rvith a secondary grout curtain 25 ft

? Y.r lr
EX PLANAT ION
I CLAY CORE 4& 44 ROLLEO PROCESSEO ROCKFILL
2 SILTY SANO 5 OUMPEO ROCKFILL
3 SANO ANO GRAVEL . 6 ALLUVIUM WAS
UNOER THE OAM
Fig. .l-25. Cedar Springs Dam cross section show'ing geology and faults
(7.6 meters) deep upstream of the main grout curtain. Blan-
ket grouting [holes up to 25 ft (7.6 meten) deep] of the
foundation under embankment Zones I and 2 was specified
to strengthen and seal the foundation where fracturing might
be a problem.
Desi-en considerations for seismic activity necessitated
placing large shells of rolled rockfill both upstream and
downstream of the core. removal of all alluvial material
under the dam. and provision of ample freeboard above the
normal water surface. The large-size dense rock used pro-
vided the dam with highly stable zones as the major sup-
porting elements. Removal of all alluvial materials elimi-
nated any possibility of liquefaction of foundation materials
during an earthquake. With the rolled rockfill shells. set-
tlements and deflections due to earthquake shaking are
minimized, and the expected amount of slumping will not
lower the crest to the elevation of the probable maximum
floodwater surface.
This dam design is illustrative of a structure that has been
planned to accommodate movements of faults in the foun-
dation.
Baldwin Hills Dam. The failure of the Baldwin Hills
Darn in Calitbrnia on December 14, 1963 illustrates the
serious consequences of rather small faults in an erodible
floundation material.
The reservoir and dant were locatcd near thc Inglcwood
Oil Field in a region of known subsidencc accompanicd by
development of localized tension cracks resulting from oil
and gas production.
The foundation of the reservoir is broken by sevcral
GEOTOGY 141
_oar c!ts-r- &, t yl!!r ilort i r
!-r!!rr0t2.t
GRANIIES
SECON OA R Y
6 ROUr CURtArr{
IT GROUI CURTAIN
SCALE
o rco ?oo 300 Fr
@
o 25 50 /3 ME r€ns
REMOVEO
faults, which are apparently part of the nearby Newport-
Inglewood fault system. These faults, trending generally in
a north-south direction, represent planes of weakness in
the foundation at which tensile stresses such as those de-
veloped by subsidence can be expected to act. Stretching
of the ground surface by areal subsidence action caused an
openin-e of the foundation along these faults. r.r'ith a drop-
ping of the foundation blocks simulating a descending
staircase. Undoubtedly, the subsidence began long before
construction of the reservoir ( l9a7) and continued through-
out its life.
Although it is likely that some leakage occurred into the
general reservoir foundations. the most significant and most
damaging leakage was concentrated at the foundation
faults. where the greatest hazard existed. Figure 4-26 shows
the location of the faults in the reservoir. Quite possibly.
long-term leakage into the faulted foundation during the
years of reservoir opcration. 195 I to 1963. resulted in cre-
ation of cavities, both immediately beneath the reservoir
lining and at depth in the foundation at the faults. Appar-
ently, such cavities were flormed by percolating water mov-
ing downward into thc faults, causing particle readjustment
and erosion of foundation nraterials along fault openin-es
crcated by earth tcnsion.6 Trcnch l2A. shown in Fig. 4-27.
is typical of trenches cxcavatcd along Fault L Chapter 2
includcs a dctailcd dcscription o[ the Baldwin Hills Res-
crvoir [ailurc.
Auburn Dam. Thc proposed Auburn Dam was designecl
by the United States Bureau of Reclamation to be a con-
crete arch structure, 670 ti (2Of meters) high. The site is
 142 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABITITATION

/
/' \ Y,.---
,"- ig
).
/
t..
u
li=*-
I 't...
,ul*o--- - II
t{
t

ili
L___
FAULT 5
--4,

FAULT I

i lpl':!!s'-loe-_9a S- z
\ o.a,ta6t ,iset{ I or

o!,,.. ". -ll l+,.'.r ,,^.

\il
"5 tll i
x r.\ ll
Bill
..lr l :--
---@-z
o
o
too 200 500 FT

2, 50 ?5 tooM

Fig. 4-26. Bald*'in Hills Reservoir showing the location of faults and the failed section of the embankment

near Auburn, California, in the foothills of the Sierra Ne-
vada.
The geology consists of a series of meta-sedinlents, am-
phibolites, talc zones, and serpentine. The site is probably
the most intensely explored damsite ever investigated, with
corc holes. adits, trcnches, and finally stripping of the en-
tire foundation. Detailed geological mapping has bcen donc
in a large section of the canyon as well as at thc damsitc.
Numerous small faults and talc zoncs have been traced for
1000 to 3000 ft (300 to 900 metcrs).7
The faults and seismic activity arc cliscusscd briefly hcre
because of their effect on the design of the dam and pos-
sible economic feasibility of the projcct.
On August l,1975, a 5.7 Richter magnitude earthquake
---..-
occurred near Oroville. California. Until that time. the sci-
entific conrmunity had considered that the potential for ac-
tive faultin-q in the Sierra Nevada foothills was low. based
on existing mapping and historical seisnricity. The Oroville
event also suggestcd the possibility that at least part oF the
old Mesozoic Foothills fault systcm south of Oroville might
bc active. At thc tirnc of thc Orovillc earthquake. the foun-
dation of the concrete arch danr at Auburn was being ex-
cavatcd and trcatcd. Since the Autrurn damsite is located
ccntrally in the Sicrra Ncvada foothills. a seismic stucly
was initiatcd by the Bureau of Rcclanration in September
1975 to dctcnnine whcthcr or not an intensive earthquake
reevaluation was required.
Of the stnrctural discontinuities at the site (fault and shear
 GEOTOGY 143

t.tr , I aoa'
! lttzr t.r
'r- --
- coGrto
- -.>- -:-
zo.l. i- (sf
- - -:Y3- "
d crn
-:-a;:--= trffi',
,_-l -)-/'\L
*-*rn.c5.d
r I tIll) , _O{.asq.i(6
_O..a-e{.i.u - L
b--
aO?'r
( ra 2.50)
'P),1 i,{p,.rrcfrrt aor'
q ILll:l- 5r.-ts.f (r22 2r
- lL..l {i,ah
j
7 /t-2"*,*"., aoo'
(r2 r.9n,

'rrl;31 398'
6t

(rzr.36)

397''
(l2r.On,
FAULT 1 -
TRENCH I2A
NORTH FACE 39 5'
s.frtalo i a6.f
rrcrcx (r 20.a)
MAPPEO 8Y F.C. KRESS€

5.O tril.5 n' lo.o,r(a.o

lO.O ,l(a.O ml ml t5.o lr (a_6 m,

Fig. 4-27. Baldwin Hills Reservoir Trench l2A showing geology and Fault l.

zones,joint sets, and cleavage planes), the most significant
is a local fault system referred to as F-zones. Most of these
fault zones crosscut the foliation, strike mostly N 50o to
80"W, and dip 40o to 55 o to the southwest. There are also
numerous joint sets and minor shears within the founda-
tion. Many of the joints, minor shears, and fault zones are
partly or totally healed with quartz and calcite, and locally
both have been intruded by fine-grained diorite and latite
dikes. The largest foundation F-zone, F-1, traverses most
of the left abutment concrete dam foundation excavation.
F-O, the longest F-zone delineated, is located upstream of
the dam foundation. Figure 4-28 is a generalized fault map
of the damsite.
The California Department of Water Resources and the
United States Bureau of Reclamation Consulting Boards re-
viewed the large volume of information gathered on the
faults and seismicity and generally agreed that 5 in. (12.7
cm) of movement could occur on one or several of the F-
zone faults, and that the dam should be designed to accom-
modate 9 in. (22.8 cm) of movement where the fault crosses
the foundation. The effect of these faults and seismicity on
the design, schedule, and cost of the Auburn Dam has
caused a complete reevaluation of the project and the con-
sideration of alternative sites.
Joints in Foundations of Dams
Joints in the abutments of dams often lead to slope stability
problems, and joints under a dam can provide avenues for
seepage that could contribute to piping or foundation ero-
sion.
Teton Dam. Teton Dam is located in eastem ldaho. The
failure of the dam illustrates the problem of open joints in
a foundation. The dam was a central-core zoned earthfill
embankment, whose maximum section rose 305 ft (93 me-
ters) above the original valley floor, and 405 ft (123 me-
ters) above the lowest point in the foundation. The dam
was completed in November 1975.
At the damsite the Teton River occupies a steep-walled
canyon incised in rhyolitic ash-flow tuff. Extensive joints
are common in this rock and were numerous near the upper
part of the abutments. An important feature in the dam was
a key trench excavated through this highly jointed surficial
layer and later backfilled with embankment to provide a
barrier to reservoir leakage.
The dam failed on June 5, 1976, when the reservoir water
level was at El. 5301.7 ft (1615.9 meters). That level was
22.6 ft (6.9 meters) below the maximum water level and
3.3 ft (1.0 meter) below the spillway sill.t'e
The welded tuff in the right abutment. both upstream and
downstream of the axis of the dam, contained open joints.
In the early stages of design. during the test grouting pro-
gram. it was concluded that the upper 70 ft (21 meters) of
the rock on both abutments was too open for successful
grouting; consequently the key-trench design was adopted.
The open nature of the joints on the upstream face of the
right abutment key trench was confirmed by postfailure in-
 1ZT4 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHAEILITATION
d/i
i,t
9tt
tr i,'/
-ll ,
FAULT I
,.a:) FAULT
r('
Fig. 4-28. Auburn Dam plan and section showing taulrs and foundation trearmcnt.
vestigation after removal of the key-trench fill. It can be
concluded that reservoir water had ready access to the en-
tire upstream face of the key trench, including the portion
adjacent to the failure section.
Beneath the level of the base of the key trench, the rock
was also jointed and permeable, as judged by the water
tests in exploratory drill holes and by the grout takes in the
curtain. Because the curtain was confined to the key trench.
there is no doubt that the rock at depth, upstream of the
curtain, was also permeable. Inspection of the face of rock
remaining along the right abutment after the erosion by the
escaping floodwaters disclosed many open joints below
key-trench level, some partly filled with grout, both up-
stream and downstream of the grout curtain.
It is particularly evidcnt rhat. in thc failurc area, signif-
icant large open joints existed at the top of rhc downsrrcarn
face of the key trench between Sta. 14 + 00 and Sta. 15
* 50 near the downstrcam toe of Zone l. About 500 ycll
(382 m3) of gravity grout was placecl in just one o[ the
foundation zones. This is shown in Fig. 4-29 as a shacled
area.
tr
E
,\
\ ror*oor,oN FoR aRcH oaM
CREST EL. II35
I
tr
t
FOUNOATION BLOC(
F-zONE (Foull Zon.l
T-ZONE (Tolc 2onrl
% FOUNDANOX TREATHEHi
A conclusion of the independent panel that reviewed the
cause of the failure was:e
Thc volcanic rocks at the Teton Danrsite are highly pernreaLrle
and ntoderately to intensely jointcd. Water was therefore free to
move with almost equal ease in most directions, except locally
whcre the joints had been effectively grouted. Thus during res-
ervoir filling. water was able to nrove rapidly to the foundation
of the dam. Open joints existed in the upstream and downstream
faces of the right abutrnent key trcnch. providing potential con-
duits for ingrcss or egress of water.
A detailed account of the Teton Darn failure is presented
in Chaptcr 2.
Green Lake Dam. The Grccn Lake Hydroelcctric Proj-
cct is locatcd about l2 miles (19 knr) southcasr oi Sitka.
Alaska. The project. including a 210-fr (64-nreter)-high
double-curvature arch dartr. a concrctc-lined power tunnel,
and a 16,600 kW incloor-typc powcrhouse was consrructcd
 GEOTOGY I45

-ICNa@A

to.rc a

,/

-==60 Fr
rt.3u

REPRESENTS LOCATION OF GRAVITY JOINT TRACE

'ra.o cnourrNc oF RocK JorNTS, SURFACE WITH STRIKE ANO DIP

AOJACENT NUMEER REPRESENTS VOLUME OF STRIKE OF VEBTICAL JOINT.

GBOUT PLACEO IN CUBIC YABOS.

AppRoxrMATELy soo yARos3 (ggz.3) ot

GROUT WAS PLACEO IN THE SHAOEO AREA.

Fig.4-29. Teton Dam. location of joints and gravity grouting on the right abutment

by the City and Borough of Sitka and was complctcd in During excavation of thc lelt abutment foundation, tec-
early 1982. The Green Lake arch dam is located across the tonic relief joints were encountcred, which were open to a
Vodopad River at the mouth of Green Lake, an existing greatcr extent than had been anticipated from the geotech-
glacial lake. nical investigations pertbrmed tbr design of the arch dam
 146 ADVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCTION. AND REHAEILITATION

EXP'.ANATION

o R.lr.t loi6l!
Itr
\l
o Grorroctr am

3S lrc
@ Pnrllit.
l

3&
@ Groy rocra /ohyll' l. 310
r l5
310
(u, Erplorolron mft
3€o M

350

l.o t6
a.0 ^tlll
€l rtt l
no rm

\ llll ,! n0
3t0 95

SECTION A, A

o r0 m to.t
E--1
O I tO u€t€Rs

2CO

EXPLANATION

O rouroerrolsxrprNccoNcRErE O RcKEoLG
ffio*r,r", @ caour ae @ conrcttoertol csouT HoL€s

@ cur orr reercx @ oRArN HoLEs

Fig. 4-30. Geological section of the left abutment of Green [.ake Dam
showing open relief joints.
(Fig. a-30). The open reliefjoints traversed across the key-
way and were open to such an extent that normal founda-
tion grouting techniques could not be relied upon to pro-
vide a structurally sound foundation and to seal
foundation against reservoir seepage.
Alternative methods of foundation treatment were ana-
lyzed to assess the structural stability and deformation
characteristics of the foundation and the reliability of each
method with respect to sealing and drainin_e the foundation.
Detailed construction and grouting procedures were devel-
oped for the remedial treatment of the left abutment (Fig.
4-3 l). The performance of the structure and foundation
subsequent to reservoir filling indicates that the remedial
treatment was appropriate from both structural
seepage/drainage considerations. l0
Rebound of Dam Foundations
in "soft" rocks usually occurs as rebound of
Stress relief
the foundation. Differential rebound can cause serious
foundation problems.
Oahe Dam. Oahe Dam is located on the Missouri Rivcr
in central South Dakota, 6 miles (9.6 km) northwcst of
Pierre. The dam was designed by the U.S. Army Corps o[
Engineers and was completed in 1961.
During excavation for the stilling basin o[ the outlet
works on the Missouri River, a maximum of l2 tons/ftr
( 117,000 kg/.t) of overburden loa<l had been removed.
Fig. .1-31. Foundation treatment of the relief joints on the Ieft abutmenr
of Green Lake Arch Dam. (Section B-B looks into the abutment perp€n-
dicular to Section A-A.)
and normal rebound was expected. However, differential
the rebound occurred along preexisting fault surfaces. creating
an unusual redesign problem for the stilling basin struc-
ture.ll
The Pierre Shale. the foundation material at the site. is
a compaction shale derived from clays and silts of Creta-
ceous age that were consolidated by an overlying sediment
load of 80 to 100 tons/ff (781.000 to 976.000 tg/m:t.
Excavation began in the stilling basin area in April 1952
and was essentially completed by January 1955. Bet*'een
January 7 and 10, 1955, abrupt differential rebound move-
and ments up to l.l ft (0.3 meter) occurred in the bottom of
the excavation alon_e the preexisting fault surfaces. Instru-
mentation was installed as rapidly as possible to measure
movenlents along fault planes at the surfiace and at depths
up to 40 ft (12 mcters).
At the tinre the differential movements occurred, the ini-
tial designs had been completed. and the contract for con-
struction signed. The foundation movements posed an im-
mediate question as to the adcquacy of design of the
stnrcturcs that were to bc placcd thereon, and furthermore
were a threat to the dam cornplction schcdule. Several vari-
ations of rcdcsign wcrc considcred on an entergency basis.
Simultaneously. prototypc data wcrc bcing coltected in the
ficld, to predict future foundiltion moverncnts, to evaluate
the efl'ect thc movements nright have on thc superinrposed
structures, and to suggcst corrective measures that could
be taken to reduce nrovenlent and damage. The adopted
 GEOLOGY 147

redesign included increased articulation to prcvent severe

damage in case of continued movement, and added many u/s toE of
deep anchor bars under the structures to retard the expan-
OAT AXIS
sion of the foundation.
a-rr tsa H6 -l_la
The conclusions reached by the project enginees and
geologist were that abrupt major differential rebound can ';o r,-q-l-13^-l-
tl_" a3t-a t:
occur in foundations under certain conditions, and the a 3l-, 3r-5
!-S
a
quantitative effect on the structures to be placed thereon
appears to be virtually impossible to determine. Conse-
quently, the design must be based upon qualitative data and
SPILLWAY
the best judgment that can be brought to the problem.

Garrison Dam. Garrison Dam is located on the Missouri o 20@ at€t

River in central North Dakota. Excavations for the pow- o !oa! 6094r€r€B
erhouse, spillway stilling basin, and intake structure were --
made in the clay-shale Ft. Union Formation. Rebound of a i-. t€3oqo G^68
up to 2 ft (0.6 meter) was measured in the excavations. \ e-, a sr-a s€TTLftEir Gl5€

Rebound was also a factor in locating the grout curtain

Fig. 4-32. Location of rebound and setllement measuremenl points at
and in grouting the lignite beds in the foundation. A 500- Castaic Dam.
ft (152-meter) length of the curtain, originally grouted in
1949, when regrouted a year later took an additional quan-
tity that was 6OVo of the original take. Four years later the
remaining 100-ft (30-meter) length of curtain was re-
grouted, and the grout take was 100% of the original take.
Both these regrouted sections were close to excavated areas;
-
long-term rebound may have caused rupturing of the pre-
r2
viously grouted lignites.

a
Castaic Dam. Castaic Dam is located in southern Cali-
fornia, and is a zoned earthfill dam 425 ft (130 meters)
high. The embankment volume is 46.3 million yO3 1lS.+ ;
million m3). The dam is 4900 ft (1494 meters) long and
has a base width of 2350 ft (716 meters).
o2 0! ot o.5 07 fEt,
The entire project area is underlain by the marine Mio- ho6J tooil lot2;
tta@io ti a€el aio rtifls
oril

cene Castaic Formation. Bedrock is composed of approx-

imately two-thirds shale interbedded with one-third sand- OOAM FOUNOATIOIT NAPPOTEXCAVII|O(5
I I rsp'r.wev rro xrox
stone. Silty shales and sandy shales comprise approximately O SPILLWAY
-lm
|HTAXEI

O HIGX INTAKE *roa flcavttrqts

9O% of the shale areas; clay shales comprise an estimated -LLLI (oAe rouf,oarrotr

l0%. Bedding thickness ranges from I in. (0.6 cm) to 15

ft (4.6 meters). Average thickness is 4 in. (10 cm) in the
shales and 2 ft (0.6 meter) in the sandstones.
Shearing or faulting in the Castaic Formation has pro-
duced soft clay gouge zones. These zones may be from
fractions of an inch up to 2 ft (0.6 meter) in thickness. A
small amount of differential rebound was observed along
one of the shears on the spillway cutslope.
Rebound of the Castaic Formation was essentially as ex-
pected and was more closely related to the shape, depth'
and volume of the excavation than to the geologic structure
or rock type. Figure 4-32 shows the location of the rebound
gages. In general, nalTow, long excavations, such as the
high intake and the spillway chute, averaged about 0.2 ft
(0.06 meter) of rebound for 100 ft (30.5 meters) of exca-
vation (Fig. 4-33). The large, wide areas excavated for the
Fig. 4-33. Plot of excavation depth vs. rebound for the spillway. dam.
and high intake.
dam foundation resulted in an average rebound of 0.45 ft
(0.14 meter) for an excavation depth of 100 ft (30.5 me-
ters). Most of the rebound occurred within 2 months of the
completed excavations. Foundation grouting and place-
ment of structural concrete were performed after rebound
had occurred. Settlement of the dam foundation was ap-
proximately 2 [t (0.6 metcr) undcr the maximum section of
the embankment (Fig. 4-34). Most of the settlemcnt oc'
curred during construction, although 0.3 ft (0.09 meter)
was recorclecl as much as a year after completion of the
embankment.ll
 148 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, ANO REHAEILITATION

crosses the axis of the dam. This zonc coincides with a

CONTOURS OF REBOUND
zone of closcly spaced joints along thc axis of a monoclinal
steepening of the dip on rhe sourhwest-dipping limb of thc
anticline that underlies thc lock and spillway. It is 70 to
100 ft (21 to 30 meters) wide at rhe top.
The deep channel crosses the axis of the dam, an<I so
constituted a serious foundation problcm involving both
watertightness and bearing strength. The latter problem was
IN FEET ANO METERS
solved by placing a thick reinforced concrete slab over it.
thus permitting the construction of the lock to go ahead.
The problem of watertightness was solved by minin-e out
the filling through large-diameter corc borings and con-
structing a concrete cutoff across the channel at the a.ris of
the dam. This cutoff is a subterranean arch dam, 195 ft (59
meters) high, built from the top downward.

Douglas Dam. Douglas Dam, built by the Tennessee

CONTOURS OF SETTLEIVIENT IN FEET AND METERS
rooo 2000 F€€T
SOaa 5O96C€T€is
Fig. 4-3.1. Contours of settlement and rebound for Castaic Dam Foun-
dation.
Foundation Cavities
Most foundation cavities or solution features that permit
seepage through a dam foundation are a resultof solution-
ing or dissolving of limestone. In the United States. the
Tennessee Valley Authority has experienced solution cav-
ity problems at several damsites.ra
Kentucky Dam. Kentucky Dam, built by the Tennessee
Valley Authority. is located in southwestern Kentucky on
the Tennessee River. The entire concrete part of the struc-
ture is founded on the Fort Payne Formation (Mississip-
pian), which consists of thick-bedded. fine-grained, dark-
gray to black siliceous limestone containing nodular masses
and interstratified layen of black chert.
Despite its highly siliceous character. the Fort payne
Formation is deeply and extensively dissolved at Kentucky
Dam. Solutioning has been conrrolled rigidly by the lith-
ologic character of the rock and the geologic structure, par-
ticularly bedding planes and vertical joints. Tabular cavi-
ties developed on bedding planes and vertical channels
developcd on joints gave rise to diflicult, expcnsivc, and
time-consuming tbundation problems.
The greatcst problem, involving a dcep vertical solution
channel, was encountered at the lower lock gate where an
unusually large, deep, and extensive zone of solution
Valley Authority, is located on the French Broad River. I7
miles (27 km) east of Knoxville. The dam is located on the
limestone and dolomite of the Knox group. The strike of
the strata is essentially parallel to the channel of the river,
and the dip is 20" to 30" SE. The rock is extensively jointed
throughout the dam site, and, in some places, it is ex-
tremely brecciated but is recemented thoroughly with sec-
ondary dolomite. Only three faults were encountered in the
entire dam site, and in each case the displacement rvas
small, and the structures presented no difficult or unusual
problems.
The bedrock at Douglas Dam was quite cavernous. There
was a large cave in each abutment, and the rock in the river
and floodplain areas was very extensively dissolved. Ex-
tensive solution was, in most places, restricted to the upper
15 to 60 ft (4.5 to l8 meters) of rock. and its downrvard
limit was rather sharp and determined by beddin_e planes.
Some of the cavities under the river were large enough for
a person to walk in and were quite extensive alon-s the
strike. Most of them were filled or partially filled with clay,
sand, and gravel, but many of them soon were washed clean
by streams that developed as a result of excavation and
pumping within the cofferdam.
The greatest problem at Douglas Dam was that of con-
trolling water in the rock cofferdams. To a depth of 30 to
60 ft (9 to 18 meters) below the water table the rock was
quite cavernous. Cavities developed along the bedding
planes. and those developed on strike joints scrved as con-
duits to pipe water into the cofferdams, All attenrpts to shut
the water out of the cofferdants were inetlective, and ex-
cavating progresscd with dilliculty, btock by block. Pumps
in constant opcration dischargcd 100,000 gprn (378.540 li-
ters/rnin.).
As concreting of the dant progrcsscd, the foundation and
abutment wcrc made watcrtight by grouting with cenrent
grout introduced under high prcssure. The rock below the
 GEOLOGY 149

iS ".' at'
:l
Frt" "J":,$,a
,(rt .,ii(

{/rrr[t,'t/,fit
I I I t / I I ti' t
t/lttttll/
tlt,tlt/ Sc hisl /
i:lrtt"i'r 'r )' ,E l'r"r-
v;,
.L'

fr/
Limcsione
I I / t / t I l.t./ /,//t//4 I l-t /, /,
lllr/,t//,//

Geological section along dam axis.

(R., Rr R,, R,) Grouting adits (right bank).
(L,, L,, L., L., L", L,,) Crotrting adits (left bank). EX PL ANATION
(L2A. L6A) Adits for cut off wall construction purpose.

W SCHIST CAVITIES

E LIMESTONE- MARBLE IBI uauon FAuLrs

Fig. 4-35. Cmss section parallel to the axis at Keban Dam showing the major faults and cavities.

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Geological Considerations; Regional-Areal Geoscience
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Dam," Fitih Congress on Large Dams, Paris. 1955.
13. Amold. A. 8.. and Hancgan. G. L., "Rchrund and Foundation Scr-
tlemcnt at Castlic Dam. Los Angelcs County, Catif.." Eullctin r[
the Associtttionof Engineering Geologists, Vol. ll. No. l. 1971.
14. Burwcll, B. 8., and lVloncymakcr, B. C.. "Ccology in Dam Con-
struclion." Thc Ccological Stxicry of Amcrica. Applicarion of Cc-
ology to Enginccring Pncrice, 1950.
15. Bozovic, A., Budanur. H.. Nonveiller,8.. and pavlin, B....The
T.,..Re- Keban Dam Foundarion on Kastificd Limcstonc." Bulletin of rhe
lnternational Associatkn of Engineering Geo!og."-, No. 2.1. pp. {5-
51.1981.
16. Esen, T., and Seghun. S.. "Foundation Problems in Keban Dam and
thc Cut-off Wall." Transuctions of the Tenth Inrernational Congrcss
on Large Dams. Montrcal. Canada. June l-5. 1970.
 SEISMOLOGY
Bnuce A. Bor-r
Professor of Seismology
Seismographic Station and Department of Civil Engineering
U niv e rs i r1' of Ca lifu rn ia
' Berkele-v, Califurnia
IMPACT OF EARTHOUAKES ON DAM SAFETY
A large dam represents an especially important t1'pe of
seismic hazard evaluation problem. Not only is the dam in
itself a relatively expensive project. but it is intimately in-
volved in the whole economy, through power generation,
flood control, irrigation, and so on. In addition, structural
failure of a dam may lead to a major disaster because large
populations may be exposed to sudden flooding.
A number of examples could be cited of major structural
damage to dams by "regular" earthquakes. for example,
Hebgen Damr in Montana, the Eklutna Dam2 in Alaska,
and the lower Van Norman Dam3 in Califomia. Manl'large
dams around the world are located in highly seismic re-
gions, close to areas that have in the past suffered major
eafthquakes. The likelihood of future damaging shocks
must always be kept in mind.
In addition to the danger from regular earthquakes, sev-
eral examplesa's have now occurred in different countries
of damaging earthquakes apparently related in some way
to reservoir loading behind the dam. Some of these cases
have occurred in regions that had not been thought to be
even moderately seismic. Hence, risk from induced seis-
micity must, for the time being, be considered for all pro-
posed large dams. Five of the clearest cases are Lake Ka-
riba in Central Africa, Koyna in India, Hsinfengkiang in
the People's Republic of China, Nurek in the Soviet Union,
and As,wan in Egypt. [n the first three examples. the largest
shocks reached magnitude 6.4. At Koyna6'7 in addition to
significant cracking of the concrete gravity dam, which re-
quired a major repair and strengthening operation, numer-
ous collapsed houses in the vicinity caused a large loss of
life. Hsinfengkiang Dam, located in an essentially aseismic
region, impounded a reservoir that, subsequent to 1959,
was the site of numerous small. shallow earthquakes.E The
principal shock in 1962 had magnitude 6.1 and produced
an 82-meter-long crack in the upper dam structure.
SEISMIC WAVE INPUTS TO DAM STRUCTURES
The Near Field of Earthquake Sources
Let us first consider some of the main seismolo,eical pro-
posals for the parameterization of strong ground motion for
dam engineering purposes. with emphasis on recent obser-
vational developments that may affect future design and
rehabilitation. The reader with a need for basic seismolog-
ical concepts and theory is referred to two intrcductory texts
by the author.e'lo
The first seismologists were most interested in the hi,sh
intensities and devastation that occurred near the centers of
earthquakes. After 1900 when seismographs became com-
mon, seismologists at last had quantitative records of
ground motion with which to work. However, most of the
seismographs were pendulum instruments. *'hich could re-
cord ground motions of very small amplitudes at great dis-
tances from the earthquake center. while near to the earth-
quake center the ground accelerations, which often exceed
307o of gravity, were so great that the pendulums would
strike against the stops and even destruct. For these rea-
sons, until recently. seisnrology has emphasized the study
of seismic waves at a distance from the source. in the so-
called thr field. It was dctcrmincd that in such cases, the
ground motion could sinrply bc separated into P and S body
waves and Love and Rayleigh surtace waves. ancl their var-
ious reflections from structural interfaces.lo For nrost work.
infinitesimal strain, linear theory, and point sources were
sufficient.
153
154 ADVANCED DAM ENGINEER]NG FOR DESIGN. CONSTRUCTION, AND REHABILITATION
At the same time, the study of the other vital seismological
area-that of waves near the seismic source, or lhe near
field-languished; and only in the last 15 years or so has
the subject come to life again in seismology. This devel-
opment rnay be laqgely attributed to stimulation from the
engineering profession, which, for the design of critical
structures in earthquake country, such as large dams, nu-
clear reactors, hospitals, bridges, and high rise buildings,
requires realistic inputs of ground motion at close distances
from sources of specified size. The seismological ability to
predict these motions has, up almost to the present, been
dependent observationally on strong-motion records ob-
tained mainly in California earthquakes. Of the earthquake
records available, only a few still come from earthquakes
with magnitude greater than 7, and none in California with
magnitude greater than 7.5 in the near field. Fortunately,
this observational base now is being supplemented increas-
ingly by accelerograms from other seismic areas, and this
trend will continue.
Not unexpectedly, theoretical aspects of elastic waves
near to their source turn out to be more complicated than
the earlier seismological problems.rr In the first place, the
seismic source is generally a moving dislocation along one
or more fault planes, which sweeps out an area of slip in a
given time. The model in many ways resembles radio
waves being radiated from a finite antenna . In the far field,
the theory of radio propagation gives complete solutions
for the reception of radio signals through stratified media.
However, when the receiver is very near to the extended
antenna, the signal becomes jumbled because of the finite-
ness ofthe source and interference through end effects. For
these reasons, in the near field, seismograms are not nor-
mally composed simply of completely separate portions of
P, S, and surface waves. The classical seismic wave types
do not have time to separate out, and there is generally a
mix of waves of various kinds.
The complexity of seismic waves in the near field cannot
be predicted unless the earthquake source is modeled in a
realistic way. The first specification of the physics of the
generation of the waves was made by H. F. Reid in his
studies of the faulting that occurred along the San Andreas
Fault in the 1906 San Francisco earthquake. Unfortu-
nately, no strong-motion records were obtained following
this great fault dislocation. Reid concluded that, after a pe-
riod of slow displacement. strains build up in the rocks
until they reach failure point; ruptures then take place; and
the strained rock rebounds under its own elastic stresses
until the strain is largely or wholly rclieved. Reid stated:
"lt is probable that the whole movement at any point did
not take place at once, but procccded by irrcgular steps.
The more or less sudden stopping of the movement and the
friction gives rise to the vibrations which are propagated to
a distance. The sudden starting of the motion would pro-
duce vibrations just as would its sudden stopping, and vi-
brations are set up by the friction of the moving rock just
as the vibrations of a violin string are caused by the friction
of the bow." This is a statement of the "elastic rcbound
theory of earthquake genesis," in which the rock rebounds
in irregular steps along the fault. We should note that this
theory @enerally held in some form by seismologists to-
day) suggests that near the fault there will be "a fling" or
unidirectional heave of the ground.l?
In the mid-1960s, Haskellr3 made key contributions and
additions to the above theory by modeling in more detail
the way that waves are generated near to the fault. He con-
structed a model "in which the fault displacement is rep-
resented by a coherent wave only over segments of the fault
and the radiation from adjacent segments is assumed to be
statistically independent or incoherent." The physical sit-
uation is that the rupture begins suddenly and then spreads
with intervals of acceleration and retardation along the rel-
atively weakly welded fault zone. A few yeani later. this
model was further refined by the introduction of physical
concepts such as areas of roughness or "asperities" along
the fault rupture surface. This representation has been re-
cently developed by Aki, his students, and others, who have
further drawn attention to the possible importance of seis-
mic "barriers" along the fault at which higher strains are
required for the dislocation to propagate.r{
It must be emphasized that the estimation of strong
ground motion depends not only on the ability to speciff a
realistic source but also on the ability to specify a realistic
crustal model in which the rock layers have seismic prop-
erties (including damping) appropriate for the region in
question. Most theoretical work to date assumes parallel
horizontal layers with soils underlain by rock of increasing
rigidity.'5''6 Sloping layers with the presence of low-ve-
locity zones and anomalous rock lenses may significantly
modify the surface ground motions through well-kno*'n
phenomena such as geometrical focusing. diffraction, and
scattering of the seismic waves. In the 1979 Imperial Val-
ley earthquake, high frequency motions, particularly on the
vertical component record at many sites, have been inter-
preted as P waves refracted sharply upward through the
surficial sedimentary layers which have strong velocity
contrasts. Unfortunately, such detailed geological structure
is not known for most sites, with consequent additional un-
certainties in the prediction of strong ground motion.
An earthquake source with this degree of physical real-
ism might be expected to bc a satisfactory starting point for
the computation of synthetic seismograms ol ground mo-
tion ncar to thc source, and to lead to the establishment of
appropriate paratnetcrs to dcscribe these motions. A diffi-
culty for practical purposes is that, in nearly all cases, the
detailed asperity and barrier structurc along the fault is not
known ab initio. Only after the earthquake can models be
constructed to lit the records.
There are differcnt types of tault rupture observed, some

involving purely horizontal slip or strike-slip motion. some
involving vertical slip or dip-slip motion. The physics of
the problem indicates that the wave patterns generated by
fault mechanisms of different kinds will be different. It must
also be remembered that for a moving source there will be
Doppler-like effects dependent on the speed of fault rupture
and the direction of faulting. The problem is analogous to,
but more difficult than, the problem of sound emission from
moving sources dealt with in acoustics. The acoustics
problem shows that in the far field the sound pressure is
the same as occurs when the source is at rest. However, in
the near field, the time dependence of both frequency and
pressure is a function of the azimuth of the site relative to
the moving source.
Observationally, in earthquakes there is some evidence
that such directiviry focusinge does occur, but that it might
not always be as large as theory would suggest, particularly
at high frequencies. One reason might be the presence, in
a zone of major faulting such as the San Andreas system
(where many strong-motion records have been obtained),
of a vertical layer of crushed and shattered rock and fault
gouge. This strongly attenuating material, at least in the
upper few kilometers of the fault zone, might play a sig-
nificant role in damping out high frequency motions oth-
envise concentrated or focused along the direction of rup-
ture.
Mathematica! Seismic Source Models
Let us now consider the main lines of approach to math-
ematical modeling of the seismic fields near to their source.
The first model is the kinematic approach, in which the
time history of the slip on the generating fault is specified
a priori. Several defining parameters may be specified, such
as: the shape, duration, and amplitude of the source time
function of the slip,tT'rE the velocity of the slip over the
fault surface, and the final area of the region over which
the slip occurs. In practice, an appropriate simple source-
to-site representation (such as a recorded foreshock) usu-
ally is used to calculate the resulting displacements at the
ground surface, and there are now available such functions
(called "Green's functions") for various classifications of
faulting. Many computational papers using this approach
have been published, and the reader is referred to a recent
summary textbook. le
A second approach is to use the differential equations
involving the applied forces along the fault, a dynamic pro-
cedure that has been followed in a number of publications.
The basic model is a shear crack that is initiated in the
preexisting stress field and causes stress concentrations
around the tip of the crack, which in turn cause the crack
to grow.lrThe key to the crack problem seems to be in
modeling the physical processes at the tip of the crack
sEtsMotocY r55
where there is interaction between the rate of crack growth.
the fracturc criterion, and the strcss accumulation.
Types of Waves Near to the Seismic Source
This section summarizes the kinds of seismic waves that
might be expected to be special to the near 6eld. In the fint
place, as mentioned above, the asymptotic separation of P
and S waves and Love and Rayleigh waves that is seen at
a distance does not occur completely, but at most places
on the seismogram motions are mixtures of the wave types.e
Depending on the frequency, an observer moving away
from the fault would start seeing the usual type of seis-
mograms.
Among the special phases encountered, one might ex-
pect stopping phases due to intermittent stopping of the
rupture front or the final cessation of the dislocation. When
the fault rupture reaches the free surface of the earth, pulse-
like waves may well occur, called breakout phases- One
might also expect to see a pulse associated with the fling
along the fault that occurs as the elastic rebound travels
along the fault.
This longer period pulse, the fling, may not have the
largest accelerations on the record, which often are of
higher frequency, but it may be associated with the greatesr
kinetic energy. Engineering studies of the damage to Olive
View Hospital in the 197 I San Fernando earthquaker? sug-
gest that failures in that structure occurred during the rel-
atively long-period pulse corresponding to the large move-
ment in the Pacoima horizontal velocity record.
Although the additional complexity of seismic waves
near to the seismic source has been stressed above, the gen-
eral shape of observed strong-motion records (particularly
velocity and displacement) can be simplified into three
parts: (l) an early part where the motion is largely P wave
motion of relatively small amplitude, followed by (2) large
amplitude motion corresponding to the arrival of S waves
of various types, merging into (3) the longer-duration sur-
face wave motions. Whether this pattern will be character-
istic of near-field records for great earthquakes above mag-
nitude 7.5 remains unclear. There is available a record from
an SMA-l accelerometer in Tabas, Iran, from the magni-
tude 7.8 earthquake in 1978. A rough tracing of the lon-
gitudinal component of this record is shown for demon-
stration purposes in Fig.5-1.
The main point of interest is that for this large earth-
quake (as with the recordcd ground motions in the March
3, 1985 Chile, and September 19, 1985 Mcxico earth-
quakes, M, = 7.8, 8.1, respectively) the motion of the
ground is not random or structureless, but the onsets of the
main body waves and the surface wave train can be iden-
tified fairly clearly.
The seismological theory referred to above has already
156 AOVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILTTATION

9
z
trl Surlocc Woves

ffos
J /' /.'
3o
o
<05
)
<l
z
o
!
G
o
I

5to15202530
TIME (SEC}

Fig 5- I . Form of strong ground nrotion (longitudinal component) at a distance of about 20 km from an M. = 7.8 eanhquake.

been used in some engineering studies involving the as-
sessment of likely stron_q ground motion for given earth-
quake sources. The two necessary but not sufficient param-
eters to specify the ground displacement records are the
seismic moment of the earthquake source and the rise tinre
of the source. The former is a measure of source size. and
the latter of the finite duration of time over which the fault
rupture occurs at any point. The moment Mo can be esti-
mated from the shear wave (SH) displacement pulse.
For horizontal motions and a simple source model, the
maximum ground acceleration can be shownl' to be pro-
poftional to the seismic moment and the inverse third power
of the rise-time r:
Acc.u. q Mo/Ar3
where A is the source distance. So far, retrofitting of syn-
thetic seismograms with observed strong-motion records
has yielded a wide range of estimates of rise times-from
I second to 5 seconds or more-with an indication that r
increases with the moment of the earthquake. A conse-
quence is that estimation of peak acceleration in this way
is most uncertain because of the cube power of r in equa-
tion (5-l). Scaling of peak acceleration must still come
chiefly from the available observations, a question to be
addressed in a later section.
SEISMICITY AND INTENSITY STUDIES FOR
DESIGN AND SAFE OPERATION
Regional seismicity or risk maps usually do not attempt to
reflect geological conditions or to take into account varia-
tions due to soil properties.20 It is necessary, thcrcfore. lor
construction of critical facilities, such as large danrs in
populated regions, to make special geological*engineering
studies for each site, the detail and level of concern used
depending on the density of occupancy as well as the pro-
posed structural type.
The following factors must be considered in assessment
of seismic risk of a site.
Geologicat lnput
Any of the followin-s investigations may be required:
l. Provision of a structural geological map (in color) of
the region. together with an account of recent tec-
tonic movements.
2. Compilation of active faults in the region and the type
of displacement (e.9.. left-lateral, strike-slip. etc.).
(s-l Field work is sometimes necessary here. Of particu-
)
lar importance are geological criteria for fault move-
ments in Holocene time (the past 10.000 years). such
as displacements in recent gravels. datin-e by radio-
carbon methods of organic material in trenches across
the fault, and other methods.
3. Mapping of the structural geology around the site.
with attention to scarps in bedrock. effects of differ-
ential erosion. and offsets in overlying deposits. Such
maps must show rock types. surface structures. and
local faults, and include assessments of the probable
length, continuity, and type of movement on such
faults.
4. In the case of throu-gh-going faults near the site. geo-
physical exploration to define the location of recent
fault rupturcs and othcr lincaments. Ceophysical
work sornctimes found useful inclirdes nleasurenrent
of electrical resistivity and gravity along a profile
nomral to the fault. Such data are oftcn affected by
the watcr table, which nuy change in elevation across
the fault because oF inrpenneable gouge barrien.
5. Reports of landslides. nrajor settlements, ground
warping, or inundation t-rom l'loods at the site.

6. Checks of groundwater levels in the vicinity to de-
termine if groundwater barriers are present that may
be associated with faults or affect the soil response to
the earthquake shaking.
Seismological lnput
Procedures for the estimation of ground shaking parame-
ters for optimum en-gineering design are still in the early
stages, and many are untested. It is important, therefore,
to state the uncertainties and assumptions employed in the
following methods.2r
l. Documentation of the earthquake history of the re-
gion around the site in detail. Seismicity catalogs of
historical events are particularly needed in preparing
lists of felt earthquakes. The lists should show the
locations, magnitudes, and maximum Modified Mer-
calli intensities for each eafthquake. This information
should be illustrated by means of regional maps.
2. Construction, where the record permits, of recur-
rence curves ofthe frequency ofregional earthquakes
down even to small magnitudes. Estimates of the fre-
quency of occurrence of damaging earthquakes can
then be based on these statistics.
3. A review of available historical records of ground
shaking, damage, and other intensity information near
the site.
4. Estimation of the maximum Modified Mercalli inten-
sities on firm ground near the site from felt reports
for each earthquake of significance.
5. Definition of the design earthquakes. The geological
and seismological evidence assembled in the above
sections should be used to predict the earthquakes that
would give the most severe ground shaking at the site.
(Several such design earthquakes might be necessary
and prudent.) Where possible. specific faults on
which rupture might occur should be stated, together
with the likely mechanism (strike-slip, thrust, and so
on). Likely focal depth and length of rupture and es-
timated amount of fault displacement should be de-
termined, with their uncertainties. These values are
useful in estimating the possible Richter magnitude
of damaging earthquakes from standard curves that
relate fault rupture to magnitude.lo
Soils Engineering lnput
When there is geological indication of the presence of
structurally poor foundation material, a field report on the
surficial strata underlying the site is advisable. [n addition,
areas of subsidence and settlement (either natural or from
groundwater withdrawal) and the stability of nearby slopes
sEtsMoLoGY 157
must h studied. Three factors may rcquire spccial scru-
tiny:
t. Study of engineering properties of foundation soils to
the extent warranted for the type of dam or associated
structure. Borings, trenchings. and excavations arc
important for such analyses, as well as a search for
the presence of sand layes that may lead to liquefac-
tion.
2. Measurements (density. water content, shear
strength, behavior under cyclic loading, attenuation
values) o[ the physical properties of the soil in situ
or by laboratory tests of borehole core samples.
3. Determination of attenuation values and P and S wave
speeds in the overburden layers by geophysical pros-
pecting methods.
ESTIMATION OF STRONG GROUND MOTION
PARAMETERS
Duration of Shaking
The duration D (in seconds) of strong seismic shaking is
one of the most important factors in predicting strong
ground motion. Most formulas express the key dependence
of D on magnitude M, which can be inferred at once from
the rupture model of earthquakes.
Two definitions have been widely used:
o The bracketed duration, at a particular frequency. is
the elapsed time window between the first and last ac-
celeration excursions greater than a given motion (0.05
g, say). Particularly for earthquakes with especially
complex multiple sources, this definition often leads
to a nonphysical upper estimate. For instance, accel-
' erograms often indicate that peak accelerations of 2 to
3 Hz waves occur separated by reduced motions. For
some design and liquefaction analyses, these episodes
of weak motion may allow some constitutive recovery
and should be excluded.
o The cumulative duration, at a particular frequency, is
the total time for which acceleration .4 exceeds a given
value. The interval is sometimes measured by cumu-
latively adding the squared accelerations and adopting
the 95 percentile time interval. It may equal the cor-
responding bracketed duration or be much less. and
appears to have a particular mechanical significance
in some design tests.
For high frequency waves, D is limited by attenuation
along the propagation path. For example, suppose waves
of relevant frequencies are generated at the moving rupture
with an amplitude of 1.0 g. Then. at each frequeney, be-
 158 AOVANCED DAM ENGINEERTNG FOR DESIGN, CONSTRUCTTON. ANO REHAEILTTATION

yond a certain distance on the slipping fault, the source-
site distance is too great for the site to continue to receive
waves with ,{ > 0.05 g. After the rupture has propagated,
say, for 150 km (correspondingto M : 7.5), only a small
proportion of I Hz (or greater) energy with amplitudes
above 0.05 g will ultimately arrive ar rhe site.
The evidence is that longer-period waves can persist for
only a minute or so at accelerations r{ < 0.05 g, because
of sharply lower attenuation and surface wave dispersion.
The long-period vibrations, taken with the aftershocks, add
to human exaggeration of the duration of shakin_s. (Hu-
mans can feel.4 > 0.001 g.)
Regression of available data indicates that durations of
higher-frequency shaking do not significantly increase
above magnitude 7.5, for .4 ) 0.05 g, and above magni-
tude 7, for A > 0.10 g. Bracketed durations (/ > I Hz)
within 25 km of the fault rupture of a magnitude M earth-
quake are not likely to exceed the following values for .4
> 0.05 g and I > 0.10 g, respectively:
resentative peak acceleration is obtained by developing his-
togmms. such as those shown in Fig. 5-2, computed from
the number of peaks and troughs on the observed records.
ln the case sho*'n for the N-S component of the El Cen-
tro 1940 record, the histogram clearly identifies the supre-
mum acceleration as an outlier at about 0.34 g compared
with the rest of the peak amplitudes. Such a display permits
a truncation scheme based upon some probability level. The
arrow shown in Fig. 5-2 corresponds to the 90% occur-
rence level. The use of such a definition for "effective peak
acceleration" reduces the scatter of the peak accelerations
when plotted against source distance, for example (Fig. 5-
3). Processed strong-motion records considered for dam
design inputs should be accompanied by histograms of the
type shown in Fig. 5-2. These would allow more consistent
decisions to be made on the parameters necessary for scal-
ing of time histories, spectra. and so on.
Time-History Synthetics

D : 17.5 tanh (M - 6.5) + 19.0 (s-2) Reasonable construction of time histories of ground motion
can now be made using available observations and with
and general guidance from the theory discussed above. A num-
ber of construction algorithms have been worked out,
mainly based on the use of Fourier transforms and Fourier
D : 7.5 tanh (M - 6.0) + 7.5. (s-3 )
series that are truncated after a reasonable number of terms.
At the outset, there is a need to specify the peak ground
Bracketed duration values above 0.05 g for six earth- acceleration, the peak ground velocity, and the peak dis-
quakes are listed in Table 5-1.
placement to be associated with the seismic waves (perhaps
based on an appropriate p€rcentile level of histograms like
Amplitude Suprema Fi-e. 5-2). It is also necessary to decide on a bracketed du-
ration of acceleration and the interval between the P and S
As mentioned above, the raw peak acceleration taken from wave onsets appropriate for the distance between the site
an accelerograph often is not a very dependable estimate and the seismic source.
of the overall maxima of ground motion. The actual supre- If the site is near to the seismic source, as mentioned
mum recorded often depends on the type of accelerometgr above, it is recommended that the record contain a longer-
used and the type offiltering applied during the record pro- period pulse following the first S wave arrivals in order to
cessing. It is usually of relatively high frequency. model the fling of the fault rebound as the fault dislocation
Recently, a more robust and easily computed parameter travels by the site. Because this longer period has a drastic
has been proposedlz for peak accelerations, which meets effect on the integration of velocity and displacement. the
many engineering requirements. A more statistically rep- actual amplitude and period adopted must be modified

Table 5-1. Sample maximum recorded ground motions.

Horizontal Venical
Dist. Accel. Vel. Disp. Dur. Acce L Vel. Disp.
Earthquake (km) ML (x s) (cm/s) (cm) (s) ( x $) (crn/s) (cm) Station
San Femando. California. t97l 3.2 6.4 1.25 I13.2 37.7 I-3 0.72 58.3 19.3 Pacointa
San Femando. Califomia. l9?l 16.9 6.4 0.20 I 1.6 5.0 1 0.09 5.9 2.3 Los Angelcs
lmpcrial Valley. Califomia. 1940 12.0 6.4 0.36 36.9 19.8 29 0.28 10.8 5.6 El Centm
Imperial Valley. California. 1979 l 6.6 0.72 I10.0 55.0 I r .8 1.74 50.6 13.0 El Centro No. 6
Kcrn County, California. 1952 42.0 1.2 0.20 11 .7 9.r 20 0. r2 6.7 5.0 Taft
Parkfietd. California. 1966 16. I 5.5 0.41 22.5 5.5 4 0. t7 4.1 L4 Tenrblor
Taiwan, l98l 30.0 6.9 0.24 19.3 2.6 3.5 0.09 <, 0.9 SMART I
 sErsMotocY 159

x
c
o
G
o
,
I
z

ACCELERATIOX G

Fig. 5-2. Histogram of number of pcaks on the N-S component accelerogram at El Centro. California' 1940.

cl EI
1" f * A
x0 AA A
6EI
x
Afu x
$
0.1 x
3 x
x
z.
o #,
trL A
A
F
ctr tr bA A
E tr
Irl Eltr
_J x
lrl tr A
CJ
CJ
xa
CE
o.ol tr5 11 <6 *ar
A
A6 t1 <7 tr

x7 n < 7.7 cl

g.t

OISINNCE ( KN )

Fig. 5-3. Peak horizontal acccleration data as a function ofdistance (Joyner and Boorc;.:5 The curve is a least squarcs fit for 6.0 s M3 7.7 given by
Bolt and Abnhamson.2:
 160 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTTON, AND REHAEIL]TATION
based upon the resulting velocity and displacement rccords
so that they will remain observationally reasonable.
Fourier series can be used to represent the wave motions
for the acceleration, velocity, and displacement records.
Coefficients of the sine and cosine terms can be varied in
order to obtain relatively smooth and physically plausible
spectra for frequencies from 8 to 0.5 Hz and appropriate
phase relations for the body waves, surface waves. and fling
pulse. The construction process is repeated by trial and er-
ror so that the pseudo-velocity spectrum finally resembles,
in shape and amplitude, similar spectra obtained by com-
bining seismic ground motions from many sources. Fi-
nally. additional higher-frequency motion can be super-
imposed randomly to produce a realistic-lookin_e accel-
erogram with continuous energy distribution through all
frequencies of interest.
Attenuation of Ground Accelerations
A necessary component in any evaluation of ground motion
is an attenuation curve for the strong-motion parameter in
question. Much progress has been made in this field re-
cently,2l-2s and it is known that attenuation curves can vary
widely, with much greater attenuation around I Hz in the
western United States than in the central and eastern United
States, for example. Attenuation curves in various parts of
the United States and seismic areas around the r.r,orld are
based upon data of variable quantity and quality.
For example, for Japanese acceleration recordings on
rock sites, for peak horizontal acceleration y at source dis-
tance -r:
log16 (0.981_r)
: .r*80_(-4.83 + 0.89M - O.U3M2) (5{)
* availability of a group of strong-motion instruments that
Usually such curves depend upon accelero_erams with
rather low amplitudes of seismic waves, the assumption
being that the attenuation seen in these cases can be ex-
trapolated to the case of much greater earthquakes-that is.
the system is a linear one.
In the westem United States, a moderate number of ac-
tual observations of maximum accelerations, velocities, and
so on, have now accumulated. A carefully setected set is
shown in Fig. 5-3. Using a two-stage regression analysis
of horizontal component acceleration extrema from 23
western North American earthquakes (182 observations).
Joyner and Boore25 obtained a prediction equation:
logroy : -1.02 + 0.249M - 0.5 log,0 (.t' + Z.:r)
- 0.002ss(l + '13\t/2 (s-5)
with standard error 0.26, when -y is in fractions of g. and
5.0<M<7.7.
Two limitations of the obscrvational data are imponant:
there is considcrable scatter at all distances,26 and few mea-
surements are available very close to the seismic source
(less than about 3 km). In addition, there are few data points
on stron-q motion near to the source for magnitudes grEater
than about 7.
In order to extrapolate to the near-source distances. it
seems important not to give undue weight to the measure-
ments at far distances. beyond 80 km. say. The curve
shown in Fig. 5-3 gives one fit:2 for the observations be-
tween magnitude 6 and 7.7. Its equation is:
Acc.o, {(x + 8.5)2 * , }-o 'n
:.6.^p
{-o.oz6(.r + 8.s)} (s-6)
where acceleration is in g, and r is in km.
The formal uncertainties in a regression such as this are
large, and such "averaging" curves must be used with
caution. The curve used here is, however, based upon
rather realistic physical assumptions, and it may provide a
sufficient basis for mean ground motion estimates for west-
ern United States earrhquakes in the Richter magnirude
range 6.0 to 7.0.
Variability of Parameters
More reliable and robust estimates of ground-motion pa-
rameters must depend upon obtaining more specific infor-
mation on the observational side, particularly from large
earthquakes for A ( 50 km, as theoretical developments
are already well advanced. Seismological studies of ser.eral
earthquakes stand out as highlights. largely because of the
provided records for intercomparison; for example, of the
1966 Parkfield earthquake, the l97l San Fernando earth-
quake, and the 1979 Imperial Valley earthquake.
The use of groups of interconnected instruments or seis-
mographic arrqys to study the source of significant earth-
quakes should expedite a fuller understanding of both the
generation of the seismic waves from the moving disloca-
tion and the effect of the intervening geology on the wave
propagation. It is not too strong to argue that specially de-
signed arrays are essential if basic questions on stnong
ground motion are ever to be answered clearly. [n the first
place, it is necessary to identify the various seisnlic waves
on the strong-motion rccords from their onset to the end of
the strong shaking. Bccause of the admixture of wave types,
this cannot bc done in practice by triaxial instruments at a
single station. Second, strong-motion arrays permit the
correlation of tirne histories, both in time and in space, in
 sErsMoLoGY 161

Lr r i
45505505
r I t t I r
ro
4.O r Ol2

1l
{ OOr

lo,o
3.O J
I Ur2
-.1 ur r
I uor
'{ ooz
lruro
,
E
I
uoz
lrJ -l oo8 _ irog
(., -.1 t tz
1".orl =toa
- coo
F
ct -.1 roe
itMoS
ros
6 I oos
1rt4oa
I uoo
I uoz
I rtros
t.otl ruoe
..1
ooe
II
-l
) ooz
i*u
o.o,J o06

TIME (s.c,

Fig. 54. Acceleration waveforms of the N-S component of the January 29, l98l eanhquake. recorded by the SMART I array. Taiwan.

such a way that the effects of variations in soil and rock
structure over an appreciable area can be mapped.
A clear example2T of the variation in ground accelera-
tions over a distance of 2 km can be seen in Fig. 54. This
set of records is from the SMART I array of 37 digital
accelerometers deployed in three concentric rings of radii
200 meters, I km, and 2 km, respectively, in the northeast
cornerof Taiwan. The event is a magnitude 6.9 earthquake
at a distance of about 30 km from the array, on January
29, 1981.
Cross-spectral calculations indicate that the ground mo-
tions consist of various types of seismic waves with differ-
ent azimuths of approach to the array, depending on the
frequency of the waves and their slowness (inverse veloc-
ities) ofapproach. The spectral analysis indicates that there
are, in some cases, significant Fourier amplitudes of both
in-phase and out-of-phase motions, which may be impor-
tant in the dynamic response of linear engineering systems.
Another aspect of the phase relations between strong-mo-
tion components across SMART I in Fig. 54 is related to
foundation-structure interaction problems and arises from
frequency dependence of the dominant direction of wave
propagation.
Additionat arrays of strong-motion instruments are being
established in other highly seismic parts of the world. It is
anticipated that analysis of the records from these as well
as from the ever-growing number of conventional strong-
motion instruments will allow more quantitative resolution
of the mix of high amplitude waves and thus allow im-
proved quantification of strong ground motion.
SPECIAL CONSEOUENCES OF RESERVOIR.
INDUCED SEISMICITY
Local earthquakes, up to magnitude 5, followed the im-
pounding of water behind Hoover Dam on the Colorado
River in 1935-36: and since that time the occurrence of
earthquakes near large dams sometimes has been linked to
reservoir impoundment.2E'2e As pointed out earlier, the in-
cidence of large local earthquakes (M. > 6) following
water impoundment is very low; in the opinion of some
workers, only about ten cases worldwide provide sufficient
supporting evidence to establish a causal connection un-
equivocally. For a recent review of possible eanhquake ac-
tivity triggered by reservoir impounding, the reader is re-
ferred to case histories described elsewhere.a
It can be stated definitely that lor the great majority of
dams around the world no significant local earthquakes have
 162 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILTTATION
occurred after reservoir impoundment. In other cases.
where there have been earthquakes in the vicinity, the seis-
micity is consistent with long-term earthquake occurrence
in the area. In a few cases, there has been a considerable
delay between the start of impoundment and the onset of
detectable increases in seismicity in the area.
Because there often is debate on the inclusion of earth-
quakes in the list of reservoir-induced seismic events, it is
helpful to have a set of criteria against which such deci_
sions can be reached. In recent practice, such criteria have
been divided into those held necessar.v and those held to
be suficient for classification as induced seismiciry. The
key criteria are:
l. Necessary criteria
a. Increased earthquake occu[ence, relative to the
normal background seismicity in the vicinity prior
to the impounding of the reservoir.
b. Spatial association between local earthquake ac_
tivity and the areal extent of the reservoir or with
a geological fault that occurs close to or under the
reservoir.
2. Sufficient criteria
a. Significant increase in the seismiciry in the vicin-
ity of the reservoir during the initial filling of the
Iake.
b. Fluctuations in the level of earthquake occur-
rence, even months and years after the initial fill_
ing, that have a correlation with variations in the
water level in the reservoir or in the level of the
groundwater (measured, for example, in wells or
boreholes).
Calculation indicates that the stress due to the load of
the water in the reservoir is too small to flracture competent
rock. The most likely hypothesis is that the rocks near the
reservoir are already strained from tectonic forces (so that
existing faults are almost ready to slip), and the reservoir
adds a strain perturbation that triggers a slip, and/or in-
creased water pressure resulting from the impoundment
lowers the fault strength so that slip occurs from the ap_
plied tectonic stress.
A simple argument3o can be given for induced earth-
quakes with M, > 5. In this case, the minimum volume
of the strained region would require a focal depth z greater
than I km. A fracture at this depth occurs under lithostatic
stresses with the greatest principal stress pl
= pgz acting
vertically, and:
Pt=Pz={o/(l -o)}p, (5-7 )
where o is Poisson's ratio. The shear strength of a vertical
fracture with coefficient of friction p is then S
= pg,pzo /
( I - o), with inclined fractures being stronger. For normal
values of the parameten and g
= 0.5, the minimum shear
strength for a dry vertical fracture is thus about 50 bars at
I km depth. If water, density p*. perrneates the fault. its
strength is reduced by (p - p*) / p.
Therefore. the minimum shear strength for a !v,et vertical
fracture at I km depth is about 30 bars. By contrast, a res-
ervoir I50 meters deep produces a maximum shear stress
of about 5 ban in the rock, which is an order of magnitude
too small to induce earthquakes directly. It follows that
preexisting tectonic stresses are needed exceeding 25 ban
to ensure that faults are almost at the failure point.
Earthquake mechanisms in examples of reservoir induc-
tion have been calculated in a few cases.3l For the main
shock at Koyna Dam in India, the evidence indicates strike-
slip motion; at Hsinfengkiang Dam in China, the principal
shock was also strike-slip, with a stress drop of about l0
bars. At Kariba Dam in Africa and Kremasta Dam in
Greece, the mechanism was dip-slip on normal faults.
In contrast, earthquakes had thrust mechanisms at the
Nurek Reservoir in Tadjikistan, USSR. There, more than
1800 earthquakes (1.4 < M < 4.6) occurred during the
first nine years of filling of the 3OO-meter-deep reservoir.32
This rate is four times the average for the region prior to
filling. Increased seismicity occurred in a series of swarms;
the two most dense accompanied rapid increases in water
level during the first two stages of filling, to 105 meters in
1972 and to 205 merers in 1976. All periods of high seis-
micity occurred when the water level was higher than it
had been previously or was within l0 meters of iis previous
maximum. All of the largest earthquakes followed de-
creases in the rate of filling of the reservoir. As the reser-
voir approached its maximum size (extending 40 km up-
stream from the dam), the area of induced seismicity also
increased. A full review of reservoir-induced seismiciry is
given by Gough.30
ESTIMATION OF TIME HISTORIES AND
SPECTRA FOR ENGINEERTNG STUDIES
Analysis of seismic ground motion in both the time domain
and the frequency domain is usual nowadays. Fourier and
response spectra are calculated for all important strong-mo-
tion records, and are published with them.
Most commonly the amplitude spectrum alone is used in
strong-motion seismology and earthquake engineering.
However, the complementary phase spectrum that defines
the pattern of the recorded waves is also of value in inter-
pretation and in cngineering application. For the construc-
tion of artificial strong ground motions in the near field, an
amplitude spectrum flrorn a magnitude 7.5 earthquake, for
example. with adequate maximum amplitudes, can be
combined with a phase spectrum from another earthquake
(with smaller amplitudes, say, rhan required) appropriate
to the wave pattem for near fault motions. Broadty, the

form of the amplitude spectra can be explained according
to basic theory.ls'lE A permanent offset occurring in a fcw
seconds along a fault pmduces a seismic pulse rich in
longer-period components. Spectral curves from near-fi eld
rccords consequently show displacement amplitudes in-
versely proportional to the frequency of the waves. As the
seismic waves travel away from the seismic source, the
amplitudes of the longest-period motions (static offsets) are
reduced, with a consequent relative enhancement of the
higher-frequency waves. At larger distances. the effect is
significantly modified by the attenuation properties of the
medium, in that the higher frequencies are damped out more
rapidly.
Specification of a source model allows the near-field
spectrum as well as the far-field spectrum to be interpreted
in terms of parameters of the model. For small to moderate
earthquakes, some work has been done along these lines'
using the long-period sPectral level, the spectral comer fre-
quency, and the slope of the high-frequency spectral am-
plitude. Such identification with physical quantities prob-
ably would be very difficult for moderate to great
earthquakes using near-field records.
Scaling is usually at the high-frequency end of the am-
plitude spectrum, using the high-frequency maximum
(peak) acceleration on the accelerogram. Partly for this rea-
son, peak accelerations have come to play a central part in
strong-motion seismology. As indicated, observation shows
that this parameter is not rePresentative. It is easily dem-
onstrated that the high-frequency peak of acceleration can
be changed by lO% or more without a significant change
in the spectral curve or the overalt energy. Also, consid-
eration of the horizontal components of acceleration in
many recorded earthquakes demonstrates (a) that they are
made up of the superposition of wave types, and (b) that
the peak accelerations do not necessarily coincide in time
on the two horizontal comPonents.
SEICHES
Water waves may be generated by a sudden fall of rock
and soil into a reservoir or lake.lo Such avalanches may be
spontaneous, as, for example, the slide that caused over-
topping of the Vaiont Dam and downstream deaths in Italy
in 1963, or they may be triggered by a large earthquake.
A famous example of a landslide-induced sea wave oc-
curred at Lituya Bay, Alaska after a magnitude 7 earth-
quake on July 9, 1958. The main avalanche triggered by
the earthquake fell into the northeastem comer of the bay
and produced water waves that ran up the opposite sides to
a height of 500 meters. The amptitude of the surge was 60
meters, stretching completely acnrss the bay. Boats were
carried over trees 25 meters high on the peninsula, and
water velocities were so great that the vegetation was
stripped from the foreshore.
sElsMoLoGY '163
A seiche is a long wave set uP on an encloscd body of
water such as a lake or rcsewoir. Seiches arc undulations
of the water surface that travel back and forth across it at
rcgular periods determined by the depth and size of the
water body. The name was popularized by F. A. Forel'
who studied standing water waves on the L-ake of Geneva
about 1890, where the fundamental perid of oscillation is
72 minutes. On a more complicated body of water there
may be a number of important standing waves of different
periods.
Seiches may be caused by unusual tides' winds' or cur-
rents, but in certain circumstances are produced by earth-
quake ground motion. The shaking rocks the water back
and forth, setting up seiche waves, which may be destruc-
tive to facilities and banks along a shoreline-
Long-period seismic waves in great earthquakes have
been known to generate seiches at considerable distances.
The Lisbon earthquake of 1755 caused canals and lakes to
go into noticeable oscillations as far away as Holland,
Swiuerland, Scotland, and Sweden, while on the Firth of
Forth the water quickly rose 20 cm or more soon after the
time of the earthquake, and boats rocked at their moorings
for 3 minutes. The 1964 Alaska earthquake led to the ag-
itation of wells as far away as the coast of the Gulf of Mex-
ico (4000 km from the epicenter). Seiche surges along the
[,ouisiana and Texas coasts commenced some 30 to 40
minutes after the earthquake origin time, or at about the
time surface waves (Love and Rayleigh type) were passing
through the area. Minor damage was widespread, with
parting of barge moorings in the Mississippi River-
RECOMMENDED SEISMOLOGICAL
INSTRUMENTATION FOR DAMS
Purpose
For the quantitative study of either earthquake damage or
reservoir-induced seismicity, it is essential that instrumen-
tation be installed prior to the event. This section addresses
the basic seismographic instrumentation required. In ad-
dition, where they are feasible and warranted by dam size
and location, attention should be given to preconstruction
geodetig surveys of the region for purposes of detecting
changes in crustal deformation associated with reservoir
loading, and to the installation of devices for measuring
large excursions of water-wave motion such as seiches in
the reservoir.
Suitable recording instruments must be used to measure
the severity of earthquake ground motions and of the dam
response, or the occurrence of a strong earthquake will pose
many questions that cannot be answered. If structural dam-
age has occurred, such measurements provide the only way
to compare behavior with design earthquake conditions, to
 164 AOVANCED OAM ENGTNEERING FOR DESIGN, CONSTRUCTION, AND REHAEILITATION
estimate performance for other, perhaps larger shocks, or
to make rational design decisions for repair and strength-
ening of the structure. If no obvious damage has occurred.
it is difficult without measurements to decide on the extent
of inspection operations.
To evaluate the induction of earthquakes from reservoir
loading, a network of seismographs adequate to determine
the approximate location of small local earthquakes must
be in operation before the impoundin_e of the reservoir.le
Without such a network it is usually impossible to establish
the seismicity of an area prior to closure; so the extent to
which local earthquakes were a consequence of the reser-
voir, or were part of a more general seismic pattern, cannot
be decided. Such a decision is essential to an evaluation of
the probable size and location of future shocks, and hence
is of immediate practical importance.
I consider here only the minimum instrument require-
ments to cover the above two types of eafthquake prob-
lems.
For large dams the seriousness of the earthquake hazard
and the overall importance of the project often will require
an extensive instrumentation program under the direction
of expert consultants. Such projects go beyond the scope
of the present section, which aims only at establishing cer-
tain minimum standards that can be recommended for all
major dams at a high level of justification. Experience so
far suggests that reservoir-induced seismicity is associated
with dams of 100 meters or greater height. Smaller dams,
however, may have a high disaster potential. Therefore.
the local seismograph network could be planned for high
dams, with strong-motion instrumentation included for
smaller dams as well if dan-9er to populations is involved.
The following general principles may be used to guide de-
cisions on instrumentation:
l. An earthquake never can be exactly repeated. Fur-
thermore, moderately large earthquakes are rare occur-
rences, so that opportunities for direct measurement are in-
frequent. Therefore, the goal must be the ultimate in
reliability, which in turn requires basic, simple instruments
that have been thoroughly field-tested over a period of
years. For these reasons, the specific instrumentation rec-
ommended is of a relatively simple, time-tested type, far
from representing the ultimate data-collection capability.
Even for projects that can be directed by experienced in-
.strumentation experts, with resources available for the most
elaborate modem equipment, addition of the recommended
basic instrumentation would be good practice.
As more elaborate instrumentation (such as force-bal-
ance transducers, central recording systems, and direct dig-
ital systems) is suitably field+ested and achieves an ade-
quate level of reliability, the present recommendations
should be extended, as appropriate to the clam in queslion.
2. Many dams will be built in regions in which highly-
trained instrument technicians and seismologists are not
available on a permanent or even a temporary basis. In such
cases, the recommended instrumcntation is of a type that
can be installcd, operated, and maintained by competent
nonspecialist technicians with a minimum amount of direc-
tion. Generally, however, the ourput information shoutd be
in a form that will permit localjudgments of the importance
of specific recordings to be made. Provisions for more de-
tailed data analysis, which is usually available from a num-
ber of sources, should be made if the observations warrant
it.
3. Satisfactory commercially availabte equipment often
can be selected and acquired without the need for extensive
consultation with instrumentation specialists. Such consul-
tation will be required for more elaborate studies: but for
the minimum recommended system, suitable instrument
types are rvell enough defined to satisfy standard equipment
procurement guidelines.
Strong-Motion lnstrumentation
lnstrument Characteristics.33 The fint requirement
for stron_g-motion instrumentation is insensitivity-the
strongest possible earthquake ground motions should stay
on scale. In addition, a wide dynamic range is advanta-
geous because valuable information can be obtained from
small, nondamaging earthquakes. In order to study the dy-
namic response of the dam, a wide frequency response
range is also required. This implies high recording speeds
that make continuous recording impracticable. An inenia
trigger operated by the initial portion of the earthquake
ground motion has been found to be a satisfactory solution
to this problem.
The only commercially available, thoroughly tested in-
struments having the above special characteristics are so-
called strong-motion accelerographs.l{ The recommended
characteristics of a strong-motion accelerograph suitable for
the present purpose are:
e Three-component transducerof: 15-25 Hz natural fre-
quency, 60-70% critical damping.
r Mechanical-optical-photographic magnification and
recording: 70-mm film or l2-in. paper preferred: 35-
mm film acceptable.
o Recording speed: > I cm/sec.
o Recording time: approx. 30 minutes total-automatic
reset for at least five events.
o Full-scale acceleration level: > I g.
o Accelcration resolution: 0.00 I g (dynamic rang€
=
1000).
o Inertia starter: triggcr on vertical aceeleration, at ad-
justable levels >0.01 g. Time to full operation s0.l
sec. High frequency cutoff filter at approx. l0 Hz.
o Timing trace, with internal time generation, two marks
per second. accuracy +0.2%.