Chapter 96

FOUNDATION STUDIES FOR A ROLLER-COMPACTED CONCRETE

GRAVITY DAM
by Gregg A. Scott
Civil Engineer, Bureau of Reclamation
Denver, Colorado
ABSTRACT
Upper Stillwater Dam is to be a roller-compacted concrete gravity
structure, founded on nearly horizontally bedded sandstone and
argillite rock. An overview of the testing and analyses used to
evaluate the adequacy of the foundation relative to deformation,
seepage, and stability is presented.
INTRODUCTION
Upper Stillwater Dam will be the Bureau of Reclamation's first
roller-compacted concrete gravity dam. It is located on the south
flank of the Uinta Mountains in northern Utah. The maximum height of
the dam is 82 m, and the crest length is 812 m at elevation 2492 m.
An ungated overflow spillway will be constructed near the center of
the dam. Water is diverted to Stillwater Tunnel or regulated to Rock
Creek through a single intake structure. The general features of the
dam are shown in figure 1.
The dam will be founded on interbedded sandstone and argillite of
the Precambrian Uinta Mountain group. The bedding structure is
nearly horizontal at the site. The bedrock has been subdivided into
five rock units for mapping purposes as follows: (1) an upper
sandstone unit near the top of both abutments, (2) a middle sandstone
unit with numerous interbeds of argillite and siltstone, (3) a thick
argillite designated unit M extending to near the base of both abut-
ments, (4) a lower sandstone unit which forms most of the foundation,
and (5) a small but continuous argillite interbed designated unit L
within the lower sandstone unit. A construction contract was per-
formed to strip surficial materials, exposing seven minor faults
922
ROLLER-COMPACTED CONCRETE GRAVITY DAM 923
-- F -
/
PROFILE ALONG AXIS
o
o6
Fgue 1. - nea] design and geology
OER SADSTE
TYPIGL
desJgnated F-[ through F-4 and F-7 through F-9. They ae nealy
vertical, coss the foundation fom upstream to downstream, and
generally consJst of a gouge zone several mJllJmetes wJde wJthJn a
factued zone of ock about [ m wde. OoJntJng, othe than bedding
joints, Js 1JmJted to nea vertical ses pedomJnantly oiented
parallel to the faults. OoJnt spacJngs average between 0.5 and 3 m
dependJng on the set and 1ocatJon. Thee Js no dJstnct weatheMng
pofJle, but most joJnts ae fJlled wJth sand and oganJc mateMals
to depths aveagJng 6 m. An eosJonal channel foms a bedrock low
about [4 m deep nea the Mght side of the foundatJon. ThJs channel,
temed the tough, should elJeve any lage hoMzontal stresses.
AddJtJonal detaJls of the geology ae shown Jn fJgue [.
DEFORRATION STUDIES
Initial attempts to estimate in situ foundation deformation modulus
were based on correlations with RMR (Rock Mass Rating, Bieniawski,
1978) and geophysical shear wave frequency. However, neither method
was found to be totally acceptable for the rock at the Upper
Sti 1 lwater damsite.
In situ jacking tests were performed at the site utilizing the
Goodman borehole jack. The data were reduced according to the method
described by Goodman, Van, and Heuze (1968). Adjustment factors were
also considered. However, the measured modulus values were low
924 ROCK MECHANICS IN PRODUCTIVITY, PROTECTION
enough that corrections were considered unnecessary. The results
from argillite were used directly because they were consistent and
indicated a modulus parallel to the bedding consistently 1.5 times
that perpendicular to the bedding. The sandstone results required
further analysis. Goodman (1982) suggests evaluating the data
according to the following equation:
1/Erm : 1/E r + 1/(KnS' ) (1)
where Erm is the rock mass modulus from the jacking tests, E r is the
modulus of intact rock, K n is an effective joint stiffness, and S' is
the effective spacing of joints. S' can be calculated from RQD (Rock
Quality Designation) using the relationship proposed by Priest and
Hudson (1976).
The value of K n is determined from the jacking tests and should be
fairly constant. However, the best behaved Goodman jack tests in
sandstone indicate that K n is not constant as shown in figure 2.
Modulus values calculated from the K n vs. RQD relationship using
equation (1) are also plotted in figure 2. The results indicate that
the modulus is relatively insensitive to changes in RQD. This is in
part due to the fact that S' (or RQD) is a measure of fracturing in
the direction of the drill hole, and the Goodman jack tests rock in a
direction perpendicular to the drill hole. The small volume of rock
tested by the Goodman jack probably also contributes to the observed
results. Therefore, empirical relationships between RQD and labora-
tory modulus reduction factors were used.
Two-dimensional plane strain finite element studies were performed
at five sections perpendicular to the dam axis. A typical mesh is
shown in figure 3. The sections were located so as to be about
evenly spaced and to take advantage of the available drill hole data.
Element boundaries were chosen to correspond to boundaries of equal
RQD for a given rock type, and appropriate modulus values were
assigned to each element. The foundation was considered to be
massless in the models, because it has already deformed as much as it
will under its self-weight. Loads consistent with constructing the
dam and filling the reservoir were applied to each model. The non-
uniform foundation modulus values were then replaced with a uniform
value, and the analyses were repeated for various values of uniform
modulus. The calculated deformation at the base of the dam was
plotted for each case as shown in figure 4. Deformation patterns
were compared for cases of uniform and nonuniform modulus, and an
equivalent uniform modulus was estimated for each section. The
deformation pattern and modulus distribution were determined to be
acceptable across the foundation.
The deformation modulus of the unit M argillite is considerably
less than that of the surrounding sandstone, and differential defor-
mation of the abutments was considered worthy of study. Three-
dimensional finite element meshes were developed as shown in figure
ROLLER-COMPACTED CONCRETE GRAVITY DAM 925
zo
_ \
0
A Erin (calcula ted)
0.4
I
o ;o ;o o ,o
I10
I0.0
9.0

80
o
7'0
60
5.0
40

$.0
2.0
1.0
Figure 2. -Results from
Goodman Jack tests.
NODAL POINTS AT BASE OF DAM
0 0 0 0 0 0
Erin - 6895 MPo.
Non-uniform modulus -
. .... --. _ _ _C)... _..0______4 .. )
Erin-S448 MPo
Dsplocement scale
Figure 4. - Deformations at
base of dam.
Figure 3. -Typical two-dimensional
finite element mesh.
Figure 5. - Three-dimensional
finite el ement mesh.
5, because two-dimensional analyses were not considered appropriate.
Comparisons were made between various ratios of sandstone to
argillite modulus, and a uniform abutment modulus. Deformation pat-
terns on the abutment were examined and determined to be acceptable.
Maximum tensile stresses in the dam structure at the abutment are
nearly horizontal on the upstream face. These 'stresses result from
water load bending and are actually reduced by the presence of softer
rock units in the abutments.
SEEPAGE STUDIES
Upper Stillwater Dam will contain a drainage gallery from which a
drainage curtain will be drilled into the foundation. The uplift at
the line of drains was calculated using the equations presented by
Casagrande (1961). As an approximation, it was assumed that the
926 ROCK MECHANICS IN PRODUCTIVITY, PROTECTION
total head at the drains is constant and equal to tailwater elevation
plus the uplift at the line of drains. This total head was assigned
to a line of nodal points to represent the drains in finite element
models.
Two-dimensional finite element seepage studies were conducted at
the five study locations previously discussed. Element boundaries
were chosen to also correspond to those of equal permeability, iden-
tified by results from packer pump-in tests. Equipotential lines
were constructed from the results of the studies, as shown in figure
6. Several sensitivity studies were conducted to examine the effects
of length and orientation of drains, isotropic or anisotropic per-
meabilities, and other uplift assumptions. The results indicate that
water forces acting on foundation planes are relatively insensitive
to the assumptions of the seepage studies, provided the drains are
accounted for and extend below any potentially critical sliding
plane.
Figure 6. - Equipotential
lines.
Figure 7. - Direct shear
test results.
STABILITY STUDIES
A number of direct shear tests were conducted on open bedding
joints in sandstone and argillite. A portable direct shear device
was used to perform tests in the field on samples of the unit L
argillite under in situ moisture conditions. Tests were conducted on
50- and 100-mm-diameter core containing sandstone joints. The
results, shown in figure 7, indicate that the strength of the
argillite is somewhat less under in situ moisture conditions than
dry. The size of core had little effect on the strength of sandstone
joints. Because the bedding joints do not daylight and other joints
are near vertical, instability of the foundation requires movement
through some portion of intact rock. Therefore, triaxial tests were
ROLLER-COMPACTED CONCRETE GRAVITY DAM 927
conducted on intact rock, cored at various angles to the bedding, to
establish friction angles and cohesion values for the materials.
The concept of an active and passive block, as shown in figure 8,
was used to evaluate the stability of the foundation. This was con-
sidered appropriate based on the orientation of jointing at the site.
Side plane resistance was not considered but could be included if
results from conservative two-dimensional analyses indicated more
resistance was required. Water forces acting on the foundation pla-
nes were calculated by integrating pressure heads from the seepage
analyses. Solution of the two-block problem then involves these
steps: (1) a factor of safety, FS a, is assumed for the active block;
(2) a value for the interblock force, P, is then calculated; (3) a
factor of safety, FSp, is computed for the passive block; and (4) if
the calculated value-of FSp is not equal to the assumed value of
FS a, an adjustment is made-to FS a and the process is repeated.
Analyses of this type were performed at each time step (0.01 S)
during a Richter M6.0 design earthquake located at a 2-km fault
distance. Forces from the dam were calculated from response history
finite element analyses which included hydrodynamic interaction, and
vertical and horizontal components of ground motion. Inertia forces
from the two components of ground motion were also included.
Sensitivity studies indicated that, aside from shear strength, the
results were most sensitive to the assumed value of the interblock
force angle, e. The value of e should approach the friction angle of
the block interface. However, the orientations of principal stresses
near the toe of the dam were also evaluated at each time step to
study the potential value of e. The minimum value of e estimated in
this manner was 33 . However, to be conservative, 15 was used for e
in the analyses. The value for a friction angle of the active plane
was selected from figure 7 by examining maximum normal stresses. Two
cases were examined relative to the shear strength of the passive
block. In one case, the strength results from the triaxial tests
were reduced by an appropriate factor to account for jointing. In
the other case, the empirical criterion proposed by Hoek and Brown
(1980) was used to evaluate the limit strength of the rock mass.
Several depths of potential sliding planes were considered, including
that of the unit L argillite, at the five study sections previously
discussed. The factor of safety was plotted for each time step as
shown in figure 9, and was found to be acceptable in all cases.
To study the possibility of localized overstressing of the foun-
dation, leading to progressive instability, studies were performed
using the structural and seepage finite element analyses previously
discussed. Mass was included in the foundation for these studies to
obtain the appropriate stress distribution. A case was also examined
which included a temperature load in the dam structure. Local fac-
tors of safety were computed for each element considering water
pressures, normal and shear stresses on the bedding, and the
appropriate shear strength from figure 7. The potential for
928 ROCK MECHANICS IN PRODUCTIVITY, PROTECTION
p iwp
o
,4CTIV BLOCK
Figure 8. - Two-block potential
mode of instability.
0.00 1.25 2.50 3.75 5.00 6.25 7.50 8.75 10.00
TIME - SECONDS
Figure 9. - Factor of safety vs.
time.
progressive instability was then evaluated in the following manner:
(1) for elements with local factors of safety less than 1.0, the
excess shear force was transferred to the adjacent element; (2) a new
shear stress and local factor of safety was computed for this adja-
cent element; (3) if the new local factor of safety was less than
1.0, the excess shear force was transferred to the next adjacent ele-
ment; and (4) the process was repeated until stability was reached.
An adequate margin of safety was found for all five study locations.
Buckling of a tabular zone near the toe of the dam was evaluated
according to the Euler formulation. A critical buckling load per
unit width was calculated. This load was compared to the actual load
as estimated from finite element studies. Several lengths of poten-
tial buckling zones were evaluated at the five study locations pre-
viously discussed and an adequate margin of safety was found in all
cases. The Euler formulation assumes pinned ends and neglects the
weight of overlying materials, which are both conservative assump-
tions. However, it ignores the effects of cross jointing.
FOUNDATION TREATMENT AND INSTRUMENTATION
Foundation treatment for Upper Stillwater Dam will follow standard
Bureau of Reclamation practice. Controlled blasting will be utilized
to excavate below the majority of fracturing and fracture fillings.
Consolidation grouting will be performed over the entire foundation,
and a grout curtain will be installed from the gallery. The grouting
will be monitored using a computerized system. A drainage curtain
will also be installed from the gallery as discussed earlier. The
grout and drainage curtains will extend below the unit L argillite.
Several three-dimensional finite element studies were performed to
evaluate the effects of fault treatment. Deformations on both sides
of the faults, with and without various dental treatment concrete
ROLLER-COMPACTED CONCRETE GRAVITY DAM 929
alternatives, were examined. Principal and shear stresses were exam-
ined in the treatment concrete and in the dam adjacent to the foun-
dation. No adverse conditions were found, largely due to the fact
that the loading is relatively uniform on both sides of the faults.
Exit gradients were also calculated at the toe of the dam for various
treatment depths. Extra treatment depths were not required to keep
exit gradients to an acceptable level. Therefore, fault treatment
will 'consist of excavating the fault material to refusal using mecha-
nical methods. The zones will then be backfilled with dental treat-
ment concrete and grouted.
Piezometers will be installed at the base of the dam, in the abut-
ments, and near the depth of the unit L argillite. Seepage flows
will also be monitored. Foundation movements will be monitored with
extensometers anchored deeply in vertical and angled holes. The
extensometers will be installed after completion of the gallery to
moni tot deformati OhS during constructi on.
ACKNOWLEDGMENTS
Many Bureau of Reclamation personnel contributed to these studies,
including several at the Uinta Basin Construction Office in Duchesne,
Utah.
REFERENCES
Bieniawski, Z. T., 1978, "Determining Rock Mass Deformability:
Experience from Case Histories," Int. J. Rock Mech. Min. Sci. and
Geomech. Abstr., vol. 15, pp. 237-247.
Casagrande, A., 1961, "Control of Seepage through Foundations and
Abutments of Dams," Geotechnique, vol. 11, no. 3, pp. 161-182.
Goodman, R. E., Van, T. K., and Heuze, F. E., 1968, "The Measurement
of Rock Deformability in Boreholes," Proceedings, loth Sj/mposium on
Rock Mechanics, Austin, Texas.
Goodman, R. E., 1982, "Recommendations Concerning Foundation
Investigations for Upper Stillwater Damsite," USBR Contract
No. 2-07-DV-00162.
Hoek, E., and Brown, E. T., 1980, "Empirical Strength Criterion for
Rock Masses," Proceedings, ASCE J. Geotech. Enqr. Div., GT9,
pp. 1013-1035.
Priest, S. D., and Hudson, J. A., 1976, "Discontinuity Spacings in
Rock," Int. J. Rock Mech. Min. Sci. and Geomech. Abstr., vol. 13,
pp. 135-138.