Routine Instrumented and Visual Monitoring of Dams Based on Potential Failure Modes Analysis

1. Routine Instrumented and Visual Monitoring of Dams Based on Potential Failure Modes Analysis USSD Committee on Monitoring of Dams and Their Foundations White Paper (Draft) Authors: Jay Statler (US Bureau of Reclamation) and ManoshreeSundaram (FERC-CRO) Presented By: Mike Carpenter, GEI Consultants, Inc.

2. U.S. Society on Dams Vision To be the nation's leading organization of professionals dedicated to advancing the role of dams for the benefit of society. Mission — USSD is dedicated to: Advancing the knowledge of dam engineering, construction, planning, operation, performance, rehabilitation, decommissioning, maintenance, security and safety; Fostering dam technology for socially, environmentally and financially sustainable water resources systems; Providing public awareness of the role of dams in the management of the nation's water resources; Enhancing practices to meet current and future challenges on dams; and Representing the United States as an active member of the International Commission on Large Dams (ICOLD).

3. White Papers by the USSD Monitoring of Dams and Their Foundations Committee: • “Why Include Instrumentation in Dam Monitoring Programs (Nov 2008, Barry Myers and Jay Stateler – published Nov 2008) • “Development of an Instrumentation Program” (Jim Hamby, Lead Author, with Pierre Choquet and Brad Long as Co-Authors, in progress)   • “Operation and Maintenance of an Instrumentation System” (Amanda Sutter, Lead Author, with Pierre Choquet and Brad Long as Co-Authors, in progress) • “Instrumentation Data Management and Analysis” (Chris Hill, Lead Author, with Manoshree Sundaram as Co-Author, in progress) • “Routine Instrumented and Visual Monitoring of Dams Based on Potential Failure Modes Analysis” (Jay Stateler, Lead Author, with Manoshree Sundaram as Co-Author, in progress)

4. Why Provide Instrumentation? • The purpose of instrumentation and monitoring is to maintain and improve dam safety by providing information to: • evaluate whether a dam is performing as expected and • warn of changes that could endanger the safety of a dam

5. Principal Causes of Concrete Dam Failures and Incidents (FERC Ch. 9, ICOLD 1992, ASCE 1988) • Overtopping • Foundation leakage and piping • Foundation sliding

6. Condition of lift chains for spillway gates – corrosion and pitting can lead to potential failure during operation leading to overtopping Gate Hoist Failure

7. Piping in pervious foundation strata

8. Sliding Along Foundation

9. Principal Causes of Embankment Dam Failures and Incidents(FERC Ch. 9, ICOLD 1992, ASCE 1988) • Overtopping • Erosion of embankments • Embankment Leakage and piping • Foundation leakage and piping • Sliding of embankment slopes • Sliding along clay seams in foundations • Cracking due to differential settlements • Liquefaction

10. Spillway blockage; inadequate spillway capacity; erosion of aux. spillway

11. Flow through Conduits; aging conduits

12. Piping in pervious foundation strata

13. Piping in Embankment

14. Slope Instability & Liquefaction

15. Purpose of Instrumentation Provides data to: • Characterize site conditions • Verify assumptions; • Evaluate initial construction • Evaluate performance design features • Observe performance of known anomalies • Evaluate performance with respect to PFMs.

16. FERC Guidelines – Ch. 9 Instrumentation and Monitoring “Every instrument in a dam should have a specific purpose. If it does not have a specific purpose, it should not be installed or it should be abandoned.”

17. FERC Guidelines – Ch. 9 Instrumentation and Monitoring “Installation of instruments or accumulation of instrument data by itself does not improve dam safety or protect the public. Instruments must be carefully selected, located, and installed. Data must be conscientiously collected, meticulously reduced, tabulated, and plotted, and must be judiciously evaluated with respect to the safety of the dam in a timely manner. A poorly planned program will produce unnecessary data that the dam owner will waste time and money collecting and interpreting, often resulting in disillusionment and abandonment of the program.”

18. PFMA Performance Parameter Process (BuRec) Three basic steps: • Identify the most likely failure modes for the dam and associated structures. • Identify the key instrument monitoring parameters. • Define thresholds and actions.

19. Outcomes of the PMFA relative to surveillance and monitoring • Identification of enhancements to the surveillance and monitoring programs; • Identification of gaps in data (Category III); • Identification of risk reduction opportunities.

20. Assessment of Monitoring Needs Based on the PFMA An instrument must answer a specific question or monitor an identified potential failure mode of the dam or foundation to: • Provide an early detection of unusual/ unexpected performance • Provide confirmation of satisfactory performance

21. Monitoring Consideration for Common PFMs • Seepage-related failure modes for embankment dams (example 1) • Earthquake-related failure modes for embankment dams (example 2) • Failure modes for concrete dams under all loading conditions (example 3) • Flood-related failure modes associated with spillway failure (example 4)

22. Illustrative Example – PFM No. 1 • Seepage-Related failure due to breaching caused by flow through embankment dam that results in piping and transport of embankment material out of the dam or into the toe drain system

23. Illustrative Example 1 – Monitoring Considerations • Perform regular visual inspections of: • D/S slope and toe area • Dam crest • U/S slope • Reservoir water surface

24. Illustrative Example 1 – Monitoring Considerations • Toe drain and seepage flows • Piezometers and observation wells • Increase monitoring frequency during a flood • Video inspect toe drain system

25. Key monitoring concepts for seepage-related PFMs for embankment dams • Monitoring water pressures • Data is obtained at discrete points • Regular visual monitoring

26. Illustrative Example – PFM No. 2 • Seepage-related failure of embankment dam in the aftermath of an earthquake due to the formation of a transverse crack in the dam, where seepage flows through the crack and eventually erodes and breaches the dam

27. Illustrative Example 2 – Monitoring Considerations • Compare baseline data to post-seismic event data • In the aftermath of a significant earthquake, perform an immediate visual inspection of: • D/S slope, D/S toe, and areas • Dam crest • U/S slope • Reservoir water surface

28. Illustrative Example 2 – Monitoring Considerations • In the aftermath of significant shaking, promptly obtain readings • Seismic monitoring equipment with telemetry

29. Key monitoring concepts for earthquake-related PFMs of embankment dams • PGA criteria • Detection of changed conditions • Automated and/or remote detection capabilities • Baseline data is a must for post-earthquake comparison

30. Key monitoring concepts for earthquake-related PFMs of embankment dams • Recognized and addressed earthquake issues prior to the event • Installation seismic monitoring equipment • Strong motion data used to validate dynamic models

31. Illustrative Example – PFM No. 3 • Sliding failure at the dam/foundation contact due to poor bonding of the dam’s concrete to the foundation rock and/or insufficient keying under normal, flood or earthquake conditions

32. Illustrative Example 3 – Monitoring Considerations • Perform regular visual inspections of: • D/S face of the dam and gallery walls, floors, and ceilings • Place scribe marks • Structural monitoring survey points

33. Illustrative Example 3 – Monitoring Considerations • Significant seismic event • Major flood event

34. Key monitoring concepts for concrete dam failure modes • Failures of concrete dams caused by their foundations • Original construction photographs • Sliding along dis-bonded lift lines

35. Key monitoring concepts for concrete dam failure modes • Changes with respect to historical performance • Visual monitoring and instrumentation baseline data • Difficult gate operations

36. Illustrative Example – PFM No. 4 • Spillway flow surfaces have flaws such that when subjected to large flows, cavitation results leading to structural damage, headward erosion, and breaching of the reservoir

37. Illustrative Example 4 – Monitoring Considerations • Perform regular visual inspections of: • Flow surfaces • Spillway gallery • Spillway discharges • Post-flood conditions

38. Key monitoring concepts for flood-related PFMs associated with spillway failure • Pre- and post-flood comparisons • Smaller flood events can identify issues

39. Key monitoring concepts for flood-related PFMs associated with spillway failure • Issues need to have been recognized • Recognize when failure may be imminent

40. Closing Remarks • The PFM categories discussed are most common • The PFMA team may find that the available instrumentation is: • Sufficient to reach conclusions re. the PFM, (Category 1 or 2), or • Useful, but important issues remain unresolved and more instrumentation is needed (Category 3), or • That instrumentation can be eliminated or monitoring frequency reduced because the PFM was found to be non-plausible (Category 4)

41. Closing Remarks The added value to integrating the PMFA with the dam safety surveillance and monitoring includes: • Uncovering data and information • Identifying the most significant PFMs • Identifying risk reduction opportunities • Focusing surveillance, instrumentation, monitoring and inspection programs

42. Closing Remarks • Instrumentation monitoring program established at one dam may not be appropriate at another dam • Each project be independently evaluated • Structured process that identifies plausible unique PFMs • Develop appropriate monitoring to plausible PFMs

43. Questions/Comments