THREE PRACTICAL EXAMPLES FOR THE INTERACTION BETWEEN CONCRETE

DAMS AND FOUNDATION ROCK

WALTER WITTKE, Prof. Dr. Ing.
STEPHAN SEMPRICH,Dipl. Ing.
BERTOLD PLISCHKE,Dipl. Phys.
KARL H. HOSANG, Dipl. Ing.
Institut fiir Grundbau, Bodenmechanik, Felsmechanik und Verkehrswasserbau, Technische
Hochschule Aachen, Miesvan<ierRohe-Strabe 1, Aachen, Fed. Rep. Germany

Summary
Finite element calculations on the seepage around and underneath dams and on
the stresses and deformations in the foundation rock are explained. For an
approximately 100 m high arch dam, it was seen that the anisotropy of the rock
revealed a large influence upon the deformations at the foundation level and
within the foundation rock which thus influence the loading of the wall. The
anisotropy of the foundation rock also has a considerable influence upon the
design of a 60 m high gravity dam. Finally a pre-stress anchoring is proven to
be necessary for an - 21 m high powerhouse founded upon clay slate and it can
be shown that the results of finite element calculations can also be a suitable
basis here for the design.
1.

Introduction

The special characteristics of the foundation rock often have a decisive influence upon the design of concrete dams. Unfortunately, it is not possible to
determine the actual conditions, especially the interaction between the dam
and its foundation, using the conventional simplifying methods of examining
the stability.
In contrast, the behavior of the rock mass can be better simulated using numerical methods and the results of such calculations can give a usable basis
for the design of ,concrete dams. This fact will be shown in the following
Using the example of three concrete dams that are currently being planned.
For the concrete arch dam "Ernstbach" in Germany, which is to be founded in
clay slate, the relatively low modulus of elasticity of the foundation rock
for stress directions perpendicular to the schistosity influences the deformation of the foundation and thus the loading and the optimum shape of the dam
Considerably. For a concrete gravity dam in Taiwan the inhomogenous deformations of the foundation due to the anisotropy of the foundation rock also have
a considerable influence upon the design and construction of the dam.
Finally, along with the foundation of a powerhouse in Mali, horizontal discontinuities of low shear strength influence the stability decisively and make
the installation of prestressed anchors necessary. ,
It will be shown for all three cases, that the interaction between the dam and

III.67

the foundation rock can be determined quite reasonably with the aid of finite
element calculations. In all three cases the same rock mechanical model and
the same method of calculation were used. These will be briefly explained in
the following section.
2. Rock Mechanical Model
In recent years the senior author repeatedly has analysed the stability of
structures in rock with similar mechanical properties and permeability. These
analyses were based on a physical model of the rock mass, idealizing the geometry of the discontinuities, the stress strain behavior, the strength and the
permeability (Wittke 1977).
To describe this model of a jointed rock mass we shall begin with a phenomenological description of a jointed rock. From the photograph of a jointed clay
slate (fig. 1, see also chapter 6) it can be realized that the rock is partly
as well as completely separated by several sets of approximately plane and
parallel discontinuities (e.g. S, K1, K2' fig. 1).

K1 (joint set,vertical)
K2 (joint set, horizontal)
S

Fig.

(schistosity, vertical)

Jointed clay slate. Construction pit of powerhouse of Barrage de

Selingue, Mali (see chapter 6)

Such jointing, consisting of one or more sets of discontinuities, is very common and encountered in most of the practical cases. Since along the discontinuities the shear strength in comparison to that of the intact rock is considerably diminished, the jointing reveals a remarkable influence on the
strength of a rock mass. Within the adopted model' the shear strength along the
discontinuities including the schistosity (S in fig. 1) is described by the
Mohr Coulomb criterion of failure (c, ~). For the schistosity, which is a property of the intact rock, the corresponding shear parameters are valid in
every point of the rock mass. Since the spacing of the discontinuities of the
other sets usually is small in comparison to the dimensions of the structure
also for these directions the reduced shear parameters are assumed to be valid
in every point of the rock mass. The Mohr Coulomb criterion of failure finally
is also adopted for the intact rock for directions deviating from that of the
schistosity or the other discontinuities.
Our personal experience reveals that when one considers the magnitude of
stresses occuring in every-day practice of dam foundations, except in certain
cases, the stress strain law of jointed rock can be assumed to be linear
elastic. Isotropy however cannot be assumed in all cases. For example, in the

III.68

case of a clay slate shown in fig. 1 the compressibility perpendicular to the

schistosity very often is considerably higher than that parallel to the
schistosity and it could be proven that this stress-strain behaviour can be
dealt with by five independent elastic constants (E1, E2' v1, v2' G?; transversal anisotropy) as a good approximation. In case of a higher rat10 of the
two Young's moduli a = E1/E2' this rock mass property often even dominates '
the stress distribution and the resulting displacement of the rock mass.
The linear elastic stress strain behavior ends, where the above failure criterion is violated. For such zones, which are in practical cases usually very
limited in extent, an approximately ideally'plastic stress strain'law is assumed. In addition to the above described homogeneous jointing faults and shear
zones with considerable extent and thickness occur quite frequently. Discontinuities of this type are very often filled with cohesive soil and consequently reveal considerable compressibility and very low shear strength. Since
the spacing and the frequency of faults and shearzones is usually large in Comparison to the dimensions of the dam foundations these discontinuities deserve
Special consideration within the analyses. Usually their influence is not directly incorporated in the stress strain law adopted for the rock mass, since
within the analyses they are simulated by special rows of finite elements
(see chapter 6).
With regards to the permeability of the rock mass it is assumed, that the intact rock is completely impermeable and that seepage occurs only along the
discontinuities. According to the spacing of these discontinuities, which as
mentioned usually is small in comparison to the dimensions of the structure,
the rock mass permeability can be described by the generalized Darcy's law,
i.e. by means of an anisotropic permeability tensor [kJ (Snow, 1965; Wittke,
RiBler and Semprich, 1972).

3. Method of Calculation
A finite element program, which was developed several years ago by the senior
author and his co-workers is available for the calculation of three-dimensional
stress and deformation states as well as of three-dimensional seepage based
upon the mechanical and permeability model mentioned above. In the program
for the analysis of stresses and displacements stress states beyond failure
according to the model explained in section 2 are iteratively simulated according to the initial-stress-method (Wittke, Wallner and Rodatz, 1972). The
investigation of the seepage was based upon the so-called continual model as
explained in section 2 of this paper (Wittke, RiBler and Semprich, 1972). Both
programs are based upon a subdivision of the continuum into octagonal spatial
elements, which in turn are subdivided into tetrahedrons, for which a linear
distribution for the displacements or the piezometric heads respectively is
assumed.
4. Concrete Arch Dam, Ernstbach
4.1 Project
In the vicinity of the city of Wiesbaden, Germany, a reservoir with a capacity
of 41 million m3 is to be built in the Ernstbach valley in the southern part
of the Taunus mountains. An dam is planned as an arch dam, which will have a
height of 100 m and a crest length of 400 m (fig. 2). The valley floor and the
slopes in the reservoir area consist of a homogenous, jointed clay slate. Within the feasibility study a rock mechanical investigation on the stability of
the dam foundation and abutments was performed by the authors. The results of
the corresponding analyses will be presented within the subsequent paragraphs.
At the present time further investigations to determine the relevant rock mechanical parameters as well as the water permeability of the foundation rock
are being made. On the basis of the results of these investigations further
investigations of the stability will be done at a later point in time and then

III.69

the final design of the dam and its foundation will be done.

HWl 2453

1
88m

Fig. 2

Planned Ernstbach reservoir and cross section of planned concrete

arch dam

4.2 Geology
According to the results of the geological mappings of adits, boreholes
(fig. 3), test pits and outcrops underneath a several meters thick slope debris and loosened zone the rock at the dam site consists of a homogeneous clay
slate with low or no sand content, which belongs to the lower devoniano

CD-aJit
CIJ-horizontal tlat jack test
applied sh"essesapproxl'matety perpendicularly to
schistosity
(3)- vertical tlat jack tests.
applied stresses parallel
to schistosity
1;)- multi~e extensooeter
(5)-canveryency measurement
cross secfions
(fi)-tixed point for surface
levelling
JOO

a) plan
Fig. 3

boreholes with
water ~essure
tests
boreholes tor
mstallatKin ot
multiple extensometers

U=:lm

b) exploration adit, right abutment;

location of field measurements
Adits, boreholes and field measurements

1II.70

Though the rock within the reservoir area reveals an intensive faulting, which
is characteristic for the southern Taunus mountains, the rock conditions at
the dam site are very favourable, as e.g. larger fault zones are practically
completely missing.
The schistosity and a regular jointing are the deciding elements of the texture of the rock mass. The orientation of the schistosity (K ) as well as
that of the other set of discontinuities K2 are represented ~n1 fig. 4.

00-7'/.
~

II!iII

mean ~trike

and dip.

schistasi ty

Joonting
Fig.

KI'
K]'

7-10'/,
11-15'1.
>15'1.

N 58 E /50" SE
N 11.8EI goo

Orientation of schistosity K1 and joints K2 of the clay slate as

mapped in adits and boreholes

The following mean angles of strike and dip can be considered as representative for the area of the dam site: schistosity K1 N 580/500 SEj joint set K2:
N 1480 E/900 The mean spacing of the discontinuities running parallel to the
schistosity K1 is in the order of magnitude of several meters and the average
length of the intersections with the walls of the adits, test pits or outcrops
amounts to 1.5 m. The joints of sets K1 and K2 are mostly plane and smooth and
do not have coatings. The explorations further have shown, that a slope parallel ground water table is to be expected. An idealized representation of the
encountered foundation rock is shown in fig. 5.
Here the prevailingly latently developed schistosity K1 as well as the discontinuities of set K2 are represented according to their mean strike and dip.

43

Rock Mechanical Investigations and Evaluation of the Parameters as Introduced into the Analyses

The elastic constants of the intact rock were determined on bore cores in unConfined compression tests and in torsional shear tests (fig. 6, 7). As mentioned, a considerably higher elasticity modulus (E1, fig. 6) resulted for
stress directions parallel to the schistosit~ than for the case of loading
Perpendicular to the schistosity (E2, fig. 6).
Both values measured on intact rock are, however, not representative for the
rock mass since the influence of the joints is not expressed in the laboratory
tests. Therefore, in the test adit on the right abutment two large flat jack
tests with 3 and 4 jacks respectively were additionally carried out (fig. 3).

III.71

rock
[1

moss

Intact
=12000 MN/m2, 2/1=0,25

CPr: 30
cr:

62 = 1470 MNI m2

(ftr=

10 MN/m2
8 MN/ m2

E2 = 3000 MN/m2, 212= 0,02

permeability

along

joints

K1 and K2:

grout

curtain:

7'10-6

rock

cm/s

--------

kK1'kKt 110-6 cm/s

------joint

set

K2

'PK2 ' 30'

Ips = 25

cK2:
4 MN/m2
2
!JjK2 = 0,2MN/m

Cs

Fig. 5

= 1 MN/m2

(Tts = 0 MNI m2

CD grout curtain
ill dra inage screen

Rock mechanical parameters assumed in t~e

analyses

The flat jacks of the two performed tests were oriented approximately perpendicularly and parallel respectively to the schistosity. Also extensometer and
convergency measurements were performed parallel to the excavation of the
adit.
The values measured in these tests were interpreted with the aid of three dimensional finite element calculations (Wittke 1977, fig. 8). The moduli E1 and
E2 which resulted from this recalculation and are compiled in fig. 5 also
clearly show the anisotropy of the clay slate. They are located on the lower
border of the range of scatter - not shown here - of the values obtained in
the laboratory tests and were used as a basis for the stability analyses. For
the same reasons the minimum value obtained in the laboratory tests was chosen
for the shear modulus G2, which could not at the present time be measured in

III.n

IMN/m1J

00

[,. _v_.

50B50MN/m1

"
Vl'

~;;

0.25

schistosity

7870 MNI ml

0.02

Fig. 6

Results of unconfined compression tests on core samples of clay

slate, mean values

IMN/mlJ

sChis10sity

Fig. 7

value fram the lawer

boundary af the range
01 scatter resulting
fra m the tests

Result of torsional shear tests on core samples of clay slate,

minimum value determined for the shear modulus G2

in situ tests (fig. 7 and fig. 5). In contrast, the values measured in the laboratory tests for the Poisson's ratio (v1' v2) (fig. 6 and fig. 5) were introduced in the analyses.
The shear parameters (cS' s
~ ) and the tensile strength (Vts) of the schistosity
as well as the corresponding parameters (cr, r
~ ' crtr) of the intact rock directions deviating from that of the schistosity also were derived from the results of the laboratory and field tests (fig. 5). As can be seen the strength
parameters cs' ~S' VtS are decisively smaller than the values cr' ~r' Vtr' The
strength of the discontinuities K2 has not yet been determined by large scale
in situ shear tests. Therefore the corresponding parameters have been approximately evaluated with the aid of intact rock strength parameters (cr' ~ , crt )
and the plane degree of separation, as derived from the geological mappifigs r
(fig. 5). Results of measurements of the in situ stresses were not yet available, when the analyses were performed. Therefore it was assumed that the in
situ stresses merely result from the self weight of the rock and consequently
can be determined from a finite element analysis accounting for the topography
and the above described rock mechanical parameters.
The coefficient of permeability ~arallel to the schistosity (kK1) and the disContinuities K2 (kK2) (fig. 5) were derived from the results of water pressure
tests in core borings directed perpendicularly to both sets of joints (fig. 3a).

11I.73

Ii[MN/rnlJ

ulMWm2J
measured curves

12

12
~0::>8

O.

EE

iaa.

00

----Y'

X'

100 1.0

----

----

onolYSed

O~

100

section
~

I" looding

200
611/m]

relooding

m~

b) stress displacement curves for the

a) analysed section and finite
various gages of the slot
element mesh
Interpretation of results of vertical LFJ tests by 3D finite element
Fig. 8
analysis
It could be shown that the water ~ermeability of the rock mass was clearly
smaller at depths> 120 m (fig. 5). The anisotropic permeability tensor of the
rock mass, not shown here, was derived from the permeability coefficients of
both sets of discontinuities (K1, K2) in the course of the seepage analyses.
The undisturbed ground water level runs, according to the results of the borings, approximately parallel to the slopes, at about 15 m below the surface.
In order to improve the reliability of the assumed rock mechanical parameters,
further large flat jack tests, in situ stress measurements and large scale in
situ shear tests as well as further permeability tests in core borings are
currently being carried out. The results of these tests will be published at
a later date.
4.4

Finite Element Analyses of Seepage Through and Stresses and Displacements in the Foundation Rock

Since the topography of the valley is nearly symmetrical to the axis of the
valley, the schistosity strikes nearly perpendicularly to the axis of the
valley, and furthermore, since the vertical set of joints K runs parallel to
the axis of the valley, the seepage due to reservoir impoun&ing as well as the
stresses and displacements resulting from the loads are symmetrical to the
vertical plane through the axis of the valley. The calculations can therefore,
be limited to the section shown in fig. 9a. The element mesh also shown in
fig. 9a was used for the seepage analyses as well as for the calculation of
the stresses and displacements .
In the first calculatory step, the undisturbed ground water level parallel to
the slope and the "corresponding" seepage were simulated. Since the natural
seepage has a component parallel to the axis of the valley because of the anisotropic permeability of the rock mass, it was assumed as a boundary condition for the nodal points located in planes A and B (fig. 9a) with the same
x- and z-coordinates that the amounts of seepage water that entered the analysed section on one side must exist on the other side (fig. 9, compare also
Wittke, Semprich, 1976; Zienkiewicz, 1977). For the shaded portion of the
bordering plane z = 260 m the piezometric head was assumed to be equal to the
geometric head (h = z), while the other bordering planes (z = 0, x = 0, x =
- 400 m) were assumed to be an impermeable boundary.

11I.74

r---

!:S

360
232

a) analysed ection
with finite element mesh, equipotentials for undisturbed
~
ground water flow before construction

b) equipotentials for seepage due to reservoir impounding accounting for grout

curtain, drainage screen and drainage of downstream slope
Fig. 9

Evaluation of seepage through foundation and abutment

For the seepage due to reservoir impounding, investigated in the next calculatory step, the planes A and B (fig. 9a) were assumed to be impermeable
boundaries, while the other boundary conditions were retained. Additionally,
the grout curtain was simulated by locally reduced permeabilities and the
drainage sreen was simulated by the given piezometric heads (fig. 9b). The
water level in the slope on the downstream side was also lowered by additional
drainage measures. The distribution of the piezometric heads obtained in the
second calculatory step is shown in fig. 9b.
The relationship of the coefficient of permeability of both sets of joints,
the location and the inclination of the grout curtain as well as the effectiveness of the drainage were varied in calculations not shown here.
The seepage pressure and the uplift forces within the rock mass resulting from
the analysis of seepage due to reservoir impounding were introducted into the
analysis of stresses and displacements. Here the calculation was also done in

111.75

two steps. In the first step the stresses due to the self weight of the rock
and due the loading resulting from .the natural flow through the slope (seepage pressure and uplift) were calculated. In so doing, it was assumed for
the nodal points of the element mesh located in the planes z = 0, x = 0 and
x = - 400 m, that the displacements perpendicular to the surface in which
they are located are zero. On the other hand, the nodal points with the same
x- and z-coordinates located in the planes A and B (fig. 9a) are assigned the
same deformations. These boundary conditions contain the assumption that the
slope is of infinite length in the y-direction (compare Wittke, Semprich, 1976;
Zienkiewicz, 1977).
In the following section the self weight of the dam, the hydrostatic pressure
on the upstream face of the dam as well as the uplift and seepage pressure due
to reservoir impounding are considered. The forces transferred from the dam to
the rock at the foundation level were determined in an iterative calculation
in cooperation with the structural engineers performing statics of the wall.
The manner of proceeding will be reported on at another place. The nodal points
located in the planes A and B (fig. 9a) are assigned the displacements obtained in the first calculatory step for the second calculatory step, that
means, that they are assumed to be fixed with regards the loads resulting from
reservoir impounding. All other boundary conditions were kept the same as in
the first calculatory step.
The three-dimensional perspective representation of the deformations obtained
in the second calculatory step (fig. 10a) show that the wall is subject to considerably larger settlement in the area of the valley floor than in the upper
portion of the slope. Furthermore it was shown that the rock deformations resulting from reservoir impounding reached far up and downstream as well as down
to great depths. It can be seen especially well from the representation of
fig. 10b that the dam leans due to the effect of its self weight towards the
upstream side. Due to the loading resulting from reservoir impounding follows
a displacement in the opposite direction. This special deformation behavior
which has a remarkable effect on the stressing of the dam results from the
greater compressibility of the rock mass perpendicular to the schistosity (E ).
2
5.
5.1

Concrete Gravity Dam for the Lower Reservoir of the Pump Storage Project
Mingtan, Taiwan
Project

A gravity dam is planned as the retaining structure for the lower reservoir of
the pump storage project Mingtan in Taiwan. The dam is 60 m high, approx. 60 m
wide at the foundation level and 367 m long (fig. 11). Two drainage and grouting galleries are planned at the upstream toe of the dam. The dam adjoints a
steep slope on the left abutment(fig. 12). The right abutment is formed by a
natural ridge.
Within the framework of the planning of the project, calculations on the seepage underneath the dam and the stability of the gravity dam were carried out,
the results of which are given briefly in the following.
5.2

Foundation Rock (Waichecheng Series)

The foundation rock of the Waichecheng series consists of interchanging layers

of sandstone of varying grain sizes (fine sandy to gravelly) and siltstone
each with a varying thickness (fig. 12, 13).
With the aid of exploration galleries in the step slope, test borings and surface mappings the geometry of the discontinuities in the area of the dam was
investigated.
Accordingly the bedding in the area of the left steep slope has an orientation
of 400 E/400 SE (compare fig. 3). Since the direction of strike changes to the
valley slope forming the right abutment to N 200 E, the mean spatial orientation

III.76

a) perspective representation

250m a.s I.

-,

./ j..---selt
i.
and
i :

.~-

weight. hydrostatic
seepage

__:..>~ ~ ..\ .,/< /" -

165 m o.s. l.

'0.

---_

'.

~"'~

-..-

"

pressure

r---

.....
-.- ....

.. \.!

"L_ ..._.:"l

:::::.::.:::.::.: :::.:.-::::.~

_:1cm

b) cross section of dam along axis of valley

Fig.

10

Displacements of foundation rock due to self weight of dam, hydrostatic pressure on upstream face and seepage pressure acting on
foundation rock

11I.77

..
concrete gravity dam
lower reservoir
transformer and powerhouse
cavern
pressure shafts
headrace tunnels
surge tanks
analysed section
adit E
outlet
inspection gallery
grout curtain
EL373.0m a.sl.

drainage screen

section A-A

CD

'"
'"

./
Fig.

Fig.

11

12

Gravity dam; plan and cross section of dam

Waichecheng series at left abutment slope

111.78

1, transversal jOnts
1007 7S'NE

joints

+Iault and shearzone

respectively

b) representation of orientation of
discontinuities mapped in exploration adi t E

a) Waichecheng series at left

abutment slope
Fig. 13

Jointing of Waichecheng series

0

of the bedding in the area of the foundation results as N30

E/40 SE (fig.
14)
The angles of strike and dip of the transversal- (T), longitudinal- (L), and
diagonal joints (D) are to be taken from fig. 13 as well as the corresponding
mean values. The avarage spacing of the discontinuities of these sets in the
vicinity of the dam are: T: 0.4 m; L: 3.3 m and D: 8.4 m. The model of the
jointed rock mass sketched in fig. 14 results from these data.
Of great importance for the rock mechanical behavior of this formation are the
shearzones occurring parallel to the bedding at an average spacing of only
_ 1.4 m with an average thickness of - .4
cm, the filling of which consists
of mixed grained soil with Es _ 50 MN/m ~ which possess a large compressibilty.
~
If one takes into consideration that an elasticity modulus of E - 4000 MN/m
was measured in in situ tests for the jointed sand and siltstone located between the shearzones, it becomes clear that the shearzones considerably reduce the compressibility of the Waichecheng series normal to the stratification (fig. 14). Since the planes of separation of the other sets running approximately perpendicular to the stratification (T, L, D) possess practically
no filling, the rock modulus is considerably larger for loading parallel to
the stratification (fig. 14). It is, therefore, appropriate to describe this
anisotropic deformation behavior for elastic states also with the transverBelly anisotropic stress strain law used for the clay slate. Both E moduli
for the stress parallel (E ) and perpendicular (EZ) to the stratification
were thereby determined us~n1g the following relat~onships:
E1

ESst + B EFilling

Ea.
E

--

ESst

B
EFilling

+ ------

2
Here, ESst is the E-modulus of the jointed sandstone and siltstone (4000 MN/m )
and EFilling is the E-modulus of the filling of the shearzones (EFilling =

III.79

elastic

mass

iniac track

strengt hs

to bedding)

fPG = 45

cG=15 MN/m2

01 rock

constants

El = 400D MN/m2

(parallel

E2 = 1000 MN 1m2

(perpendicularly

uzG= 7,0 MN 1 m2

to bedding)

G2 = 500 MNI m2
11 = 0.2
; 1/2 = 0.05
1

E,

strength

E,

V,

along

bedding

parallel sherzones (](/,/400

illS = 25
Cs=OMN/m2
uzs=OMN/m2

Fig. 14

SE

,V,

streng th along
longitudinal jai n ts
(45 /400 NW)

strength a lorg
diagonal. joints

iIIL=l,(Jo, cL = 0 MN/m2

c.oo=l,(Jo, cO=2.0MN/m

strength
along
transver sol joints
0
(105 /S0
NE )
CP,=400, c,=O MN/m2

uzL=O MN/m2

UZO=0 MN/m2

UZ' = 0 MNI m2

(175 145 SW )

Rock mass model and adopted rock mechani?al parameters

50 MN/m2). a is the proportion of the sand and siltstone and B (- 4 %) is

that of the shearzones in percent of the total thickness of the layer. Thus
for loading parallel to the bedding
E1
3842 MN/m2
4000 MN/m2
results and for strain perpendicular to the stratification
E2
962 MN/m2 ~
1000 MN/m2
results.
N

Thus, one obtains for stress strain analyses for larger volumes of rock a ratio
of anisotropy of 4: 1. The Poisson's ratios (v1' v2) and the shear modulus (G2)
were estimated by experience in this case (fig. 14).

11I.80

The strengths of the intact rock also shown in fig. 14 were, as was the shear
parameters of the filling of the shearzones, derived from the results of laboratory tests. The strengths along the other sets of discontinuities (T, L, D)
were estimated on the basis of the results of the mappings and of experience
(fig. 14).
The evaluation of the water pressure tests carried out in the borings lead to
kf values between 10-2 and 10-4 cm/s. Since the majority of the shearzones
parallel to bedding are filled with clayey silty fillings and extend over wide
areas of the rock mass, they produce, over a large area an extensive sealing
of the rock perpendicular to bedding. Additionally one can assume that the
water perme~bility parallel to the diagonal 'joints is small enough to be neglected, while the transversal and longitudinal joints are relatively permeable. Thus the main axes of the anisotropic permeability tensor run parallel
to the intersection of the bedding, of the transversal and longitudinal joints
(x'. y', z' in fig. 15) and the permeability tensor reveals the following form:

upstream

[)

longltudinol

joinls

0)

transversal

join1s

beddil'l,J parallel

Fig.

15

shear zones

Idealised representation of seepage paths through foundation rock

Because the main permeabilities kx'x" ky'y" kz'z' could not be reliably determined in the water pressure tests they were varied in the calculations
corresponding to the parameters given in table 1.

III.8J

o
o
o

assumed
model

permeabilities
kx'x' ky'Y' kz'z'
[cm/s] [cm/sJ [cm/s]

10-3

10-3
10-4

10-3
10-4

10-6
10-6

10-3

10-6

Right hand cartesian coordinate system: x' ,y',z' (oriented parallel

to intersections of bedding, transversal and longitudinal joints
respectively)
Tab. 1

5.3

Permeability tensor of rock mass

FE Cal.culations of the Seepage Through the Dam Foundation

A 10 m thick slab 400 m long and 200 m high was chosen in the direction of the
dam axis as a calculatory segment (fig. 11). Both bordering planes of the calculatory segment which run perpendicularly to the dam axis are devided into 110
plane elements with 4 nodal points each resulting in 132 nodal points for each
plane. For these planes the same boundary conditions were assumed as for the
border planes labeled in fig. 9a with A and B in the example in section 4.
Thus practically, a dam of infinite length was simulated. The results obtained
are, therefore, characteristic for the middle sections of the dam in which the
influence of the abutments is to be neglected. The border of the calculatory
segment on the upstream and downstream side as well as the lower boundary were
assumed to be impermeable. On the upstream side of the dam a 60 m deep and
10 m thick grout curtain with a permeability that is ten times lower than that
of the rock mass was simulated. Additionally, in the calculations a 100 % effective drainage of the rock at the downstream side of the grout curtain as
well as of the dam foundation were assumed (fig. 16).
The calculations gave for case A (table 1), isotropic permeability parallel to
the bedding, a relatively regular reduction of the difference of the piezometric heads at the upstream and downstream sides (fig. 16). In case C the permeability of the transversal joints was chosen tobe ten times lower than that
of the longitudinal joints. The reduction of the potential difference here
occurs mainly in the area near the surface on the upstream side. For the case
B, which according to the present state of results of the investigations,
corresponds most nearly to the actual conditions, the greatest potential
gradient occurs directly below the grout curtain (fig. 16). The results of
the calculation thus show the large influence of the rock anisotropy upon the
course of the seepage flow and thus upon the distribution of seepage forces
transferred from the seepage water to the rock mass.

5.4 FE Calculations of the Stresses and Displacements in the Foundation Rock

In this calculation the same FE mesh was used for the foundation rock. Nine
elements were, however, added in order to simulate the dam. Here the displacement boundary conditions in both border planes of the calculatory segment perpendicular to the dam axis is chosen so that the calculatory results correspond
to those of a dam of infinite length and thus are representative for the middle
portions of the dam (compare section 4, fig. 10). The parameters compiled in
fig. 14 are assumed in the calculations.
Due to the anisotropy of the "foundation rock displacements at the foundation
levpl result from the self weight of the dam, which are directed nearl~ orthogonal to the bedding and thus lead to a tilting of the dam (fig. 17).

1II.82

37
35

315

35

373m as I

370

350
3~0
330
(as slinulaled In annlysisl
smulated
drOinage screen
f-i

Fig.

16

10m

Equipotentials evaluated from finite element analyses

This deformation also leads to a relative displacement between the dam and
the right abutment.
This tendency is somewhat reduced by the loading of the dam due to the water
pressure created by the reservoir impounding and of the foundation rock by
the seepage pressure (case B, table 1, fig. 16), but stronger deformations in
the direction of the downstream side occur (fig. 17, 18). Furthermore it can
be clearly seen that the deformations of the rock reach far into the upstream
and downstream sides and also into greater depths.
6.
6.1

Foundation of the Powerhouse of the Barrage de Selingu~,

Mali

Project

In Mali, North Africa, at the present time aoiam structure is being built
which will impound the Sankarani, a tributary of the Niger to a height of max.
21 m along a length of approximately 600 km (fig. 19). The powerhouse of this
Barrage de Selingu~ consists of four 42.5 m long and 16.5 - 19.5 m wide blocks
which are separated by joints from one another. Each powerhouse block is divided into the upstream funnel shaped intake, machine hall as well as the
downstream outlet.
During excavation of the construction pit that is maximally 11.70 m deep, it
was seen that the foundation rock consisting of clay slate is separated by far
reaching, nearly horizontal discontinuities, which are often filled with cohesive soil and which therefore, influence the stability against sliding of
the powerhouse unfavorably.
Calculations with conventional calculatory methods showed that the stability
against sliding of the powerhouse could only be guaranteed by the use of prestress anchors. Since these calculations are based upon a series of simplifying assumptions and also did not allow any estimation of the deformation of

III.83

Displacements of the foundation rock due to self weight

Fig. 17

~ \\\\
,

relah ve
. displacemenl
betv.een dam
and slape
\
\

\\\ \\ \ ~0

upstream

..............

r1ain

c ~ _.

':-'..J

'"
I

.'

I
I
I

I
I

I
I

.J.

Fig. 18

Displacements of the foundation rock due to self weight of dam,

hydrostatic pressure on upstream face and seepage pressure acting
on foundation rock

11I.84

downstream

upstream
350,00
-

339,50

Jl8,90

Fig. 19

42.5m

+_

2&,2m

----1

Longitudinal section of the powerhouse

the powerhouse and of the anchors, supplementary stability investigations

according to the finite element method were carried out.
6.2 Foundation
According to the geological investigations the foundation rock, in the areas
which are decisive for the stability consists of clay slate. A photograph of
this clay slate is shown in fig. 1 (see section 2). Since in this case, the
jointing of this rock is decisive for the mechanical properties and for the
water permeability, the walls and floor of the excavation pit as well as of
several prospecting pits sunk in the floor were mapped with regards to the
jointing. Additionally, several core borings sunk in the area of the powerhouse were correspondingly evaluated.
In the area of the excavation pit 347 discontinuities were mapped and statistically evaluated with regards to their spatial orientation. This evaluation
led to the block picture shown in fig. 20.
As can be seen, the mean angle of strike of the schistosity forms an acute
angle of approx. 200 with the flow direction (~ S - N) of the Sankarani. The
angle of dip of the schistosity is predominantly steep. The long side walls
of the excavation pit, which reach from the upstream side to the downstream
side, for the most part follow the schistosity surfaces (fig. 1). Coatings of
iron oxide and often also fillings of cohesive soil show that the rock is
often separated parallel to the schistosity even in the undisturbed state.
The planes of separation of the set of joints K1 that strike approximately at
right angles to the direction of flow of the Sankarani were recognizable especially in the floor of the excavation pit and on the up- and downstream
walls. These discontinuities are also almost vertical (fig. 20). They also
often have coatings of iron oxide which is an indication of seepage and thus
of an opening of these joints under natural conditions. In general, the extent
of these discontinuities is considerably less than that of the discontinuities
parallel to schistosity. The statistical evaluation of the mapping of the excavation pit gave a mean extent of the joints K1 of ~ 2 m and a mean spacing
of ~

1 m.

In all four excavation pit walls mapped flat lying discontinuities of the set
of joints K2 were relatively frequent (mean spacing ~ 1 m) (fig. 20). At least
one discontinuities with an extent of > 20 m appeared in each of the pit walls.

11I.85

intact

rock
; VI

0.25
!(J

E2 =1000 MN/m2, 17=0.06

cr

rock

r = 28
= 7.5 MN/m2

MNI m2

U! r = 2

joint set K2 (horizontal)

surfaces in
Immediate can!ac!:

fillings:

!{JK2 = 35

Et =20 MN/m2

!{JKl : 30

!{Js

cK2

vI = 0.4

cKl = 1 MN/m2

Cs

U! Kl = 0

uts =

= 0

U!K2 = 0

!{Jf =

25

cf : 0
Ut! = 0

Fig. 20

Mechanical

parameters

of the rock mass

11I.86

= 30
= 0
0

The greatest length measured was 36 m. These lengths are of the approximate
size of the dimensions of the foundation of the individual powerhouse blocks.
The mean lengths of the joint outcroppings were _ 5 - 10 m. Between 22 - 50
of the horizontal discontinuities are filled with cohesive soil. Filled joint
segments were measured in lengths of up to 18 - 26 m. Furthermore, it appears
that the filled joint segments become less frequent with increasing depth and
that the lengths of the joint outcroppings become smaller with increasing
depth. However, flat lying joints were also met in two prospecting pits which
reached below the foundation level of the powerhouse.

6.3

Mechanical Parameters Used in the Calculations

The mechanical parameters of the rock are an important basis for the stability
calculations described below. Since only a few of the parameters could be determined in tests, the rock mechanical parameters had to, for the most part,
be estimated. Here the authors could base their estimations upon experience
gained in connection with the planning and execution of other structures in
clay slate as for example the Ernstbach valley dam described in section 4.
The selected rock mechanical parameters are compiled in fig. 20. Fromlaboratory tests a value of 1 : 4 resulted for the relationship of the E-moduli
perpendicular and parallel to the schistosity. In the calculation an angle of
strike parallel to the direction of flow of the Sankarani and an angle of dip
of 900 were chosen as a simplification for the schistosity. The shear strength
and tensile strength of the rock were clearly reduc~
along the schistosity
and the sets of joints K1 and K2 in comparison to other directions (fig. 20).
The horizontal discontinuities K2 unfavourably influence the stability against
sliding of the powerhouse, as mentioned above, to a considerable extent. The
shear parameters of these discontinuities are, therefore, of great importance.
Unfortunately their estimation was extraordinarily difficult because neither
an exact geometric description of these planes of separation (extent, roughness, and filling ) for the zones underneath the foundation was possible
nor could large scale shear tests be carried out. The values for the shear
strength parallel to K2 given in fig. 2 are differentiated for unfilled and
filled joint segments.
Since clay fillings occur more often parallel to. the schistosity as well as
parallel to the transverse joint K1' it can be assumed that the primary stresses
in the foundation rock are only dependent upon the self weight and the elastic
constants of the rock mass.
6.4

Stability Investigations

According to the Methods of the Finite Elements

Since the width of the powerhouse is large in relationship to the length, the
various sets of discontinuities are symmetrical to the direqtion of flow of
the Sankarani and, since the anisotropy in the deformation ehavior
does not
~
destroy this symmetry (fig. 20), the stability investigation can in an approximation be done on a vertical slide running parallel to the direction of
flow.
The calculatory section chosen is 3 m thick, 100 m long, and maximally 41.5 m
high (fig. 21). The 42.5 m long powerhouse was as a simplification introduced
into the calculation as a massive reinforced steel beam. In so doing the height
of this beam was so chosen so that it would approximately have the same bending resistance as the powerhouse (fig. 21). In the following calculations
EB = 30 000 MN/m2 and vB = 0.18 are assumed for the elastic constants of this
beam.
The calculatory segment was divided into 156 elements with 180 nodal points.
The FE mesh chosen allows the consideration of the joint fillings along the
discontinuities K2 To do this five t = 40 cm thick element rows in various
depths were assumed (fig. 21). Although the fillings of cohesive soil have
only thicknesses (t)in the cm range, the above mentioned thickness of the

11I.87

--------100

'2.5m
~

ups~.:m

31.5
doonslrrom

IdeallZ.d

undergro\J1d
profll.

326.50

'?
I

32.,00
nod. 39
+

.0

'!
--

110

.
IU
"-15.0
_ 15'

. no
n..

1
Fig. 21

156 .1. n15

180 nodol pIInts

"'

Finite element mesh, boundary conditions

element (t) was chosen for numerical reasons. So that the joints in the calculation would have the same normal stiffness as the clay fillings of only a
few cm thickness, ideal E-moduli in dependence upon the thickness of the joint
filling were introduced into the calculation. Since in the calculation different E-moduli and shear strengths could be chosen for each joint section, it
was possible to simulate an alternation of filled and unfilled joint sections
along the element rows simulating the joints K2
The boundary conditions assumed in the calculation are sketched in fig. 21.
Force boundary conditions were introduced for the nodal points located in both
vertical border planes x = 0 and x = 100 m above the height z = 30.6 m (fig.
~1). The magnitude of these forces acting in the horizontal direction was determined from the self weight of the rock mass and the elastic constants under
the assumption of zero transversal strain.
Loading Case Self Weight, Uplift and Water Pressure on the Upstream Side
The design criteria for the power plant make a stability against sliding of
~ = 1.5 necessary. But a safety coefficient cannot be explicitly derived from
the results of FE calculations. Therefore, the calculations were done with a
1.5 fold horizontal water load (fig. 22). The weight of the powerhouse was as
a simplification transformed into an evenly distributed load acting in the
foundation level (fig. 22). These loads were entered into the corresponding
nodal points (fig. 22). The uplift acting upon the foundation of the powerhouse was assumed according to the distribution shown in fig. 22. In so doing,
an unfavorably high downstream water level of 339.5 m above sea level was
assumed.
It was assumed for the shear strength in the horizontal direction that the
joints K2 pass through the entire calculatory segment. Along the especially
formed 40 cm thick element rows it was assumed that filled and unfilled joint
sections of ~ 15 m length alternated with one another (50 % / 50 %) (fig. 21,
22). An angle of friction of ~ = 250 was assumed for the filled joint segments

11I.88

339.5
downstream

-~

328.9

-~--:.~--

255 kNI m1

Fig. 22

191 kN/m1

uplift

Loading due to self weight, water pressure, anchor forces

according to fig. 20. In those remaining the angle of friction for shear in
the horizontal direction is ~ = 350 (fig. 20).
Furthermore, it was assumed that a normal pressure cannot be transferred to
the downstream vertical front surface of the foundation.
The principal normal stresses determined for this case of loading are represented in fig. 23. The large normal stresses below the floor are turned up to
- 500 out of the vertical in the vicinity of the intake tube as a result of
the shear strain. The maximum normal principal stress here is approx. 500 kN/m2
As a result of the self weight of the rock the stresses increase as the depth
increases and gradually with increasing depth pass over into the vertical direction.
The areas in which the strength of the rock is exceeded according to the calculations are especially marked in fig. 23. Accordingly at the elevation of
the foundation an area extending from the upstream to the downstream side
arises in which above all, the shear strength parallel to the joints K2 is
exceeded and which thus can be considered as a "sliding surface".
The displacements calculated are shown in fig. 24. The powerhouse is subject
to a translation and a rotation as a result of the horizontal water pressure
and the uplift. The rotation causes a heaving of the upstream face of the
powerhouse of approx. 2.5 mm and of the downstream face of only about 0.5 mm.
The translatorical displacement in the downstream direction is 2.5 - 3 mm.
Thus the displacements derived from the calculations are very small.
A representation of the displacement components Ox determined for the single
iterative steps of the elastic - plastic calculation shows, however, for the
nodal points 39 and 126 (fig. 21) that the displacements
increase even
after 20 iterative steps (fig. 25) and that a convergence ~gainst a final
value is not achieved. This means that no equilibrium is established in the

11I.89

!II

tenSile strength along KI

exceede,j

strength exceeded

IJOOkN/m2

t
Fig. 23

Principal normal stresses and zones, in which the rock mass strength
is exceeded (loading case: self weight, uplift and water pressure)

6res

'1',.....

--,
6x /

delor med system lor

laadl ng case
--self weight, uplift and
water pr~ssure
-.-sell weigh!, 'Jpllt', water
pressure end anchor torCl'S

..

.....

.......

/.

>----- -:::-...,
.-

--i

I
I

I
II

---

iI

L
Fig.

24

-L
lmm

q T
il

Displacements

11I.90

6z
I

~-

6res
--

6x

..:.

3.2
2,

2"
E

';:2,

0,8

0,'

10

15

,t.rativo

Fig. 25

st~

ot 111
Iastlc -plos"c

20

21

calculation

Convergency of displacements

system investigated and that the stability cannot be proven by the calculations,
if the 1.5 fold water load is assumed for the upstream side of the dam.
Loading Case, Self Weight, Uplift, Water Pressure Upon the Upstream Face
and Anchoring
The above mentioned loading case as well as further cases in which the assumptions on the composition and the mechanical behavior of the foundation rock
were varied have shown that a sufficient stability against sliding of the
powerhouse cannot be guaranteed without special measures being taken.
The following case will be examined to see what effect an anchoring of the
powerhouse with the aid of pre-stressed anchors which are inclined against the
upstream side has upon the stability of the structure (fig. 22). To dothis,
twenty-one 12 - 16 m long 1 MN anchors were installed in a 16.5 m wide powerhouse block. The resulting pre-stress forces were transformed into equivalent
nodal forces (fig. 22). The remaining calculatory assumptions correspond to
those of the above mentioned loading case.
It was shown that the displacements deviate only slightly from those of the
loading case without the anchoring (fig. 24). The representation of the horizontal components of the displacements of the nodal points 39 and 126 obtained
during the course of the iterative calculation shows, however, after approximately 20 iterative steps that a convergence is achieved (fig. 25). Furthermore, it can be seen from the states of stresses determined that no continuous
sliding zone arises between the upstream and downstream sides.
The stability of the powerhouse can thus be calculatory proven with the arrangement of the anchors chosen. Though the magnitude of the displacement of
the powerhouse in the downstream direction can hardly be reduced by the anchors, they produce a much more favorable stress distribution in the foundation

11I.91

rock and thus reveal the calculatory stability of the structure.

Since the anchors must be pre-stressed during construction, they undergo, according to the results of FE calculations an elongation during the first reservoir impounding, which leads to an increase of the pre-stress forces. In
order to prevent an overloading of the anchors it is therefore necessary to
either release them during this phase or not to pre-stress them according to
their capacity. The last mentioned method is more economical, but has as a
prerequisite an exact knowledge of the elongation of the anchors during the
first reservoir impounding which in turn is dependent upon the rock mechanical
parameters. Since the rock mechanical parameters are not exactly known, the
anchors should only be pre-stressed so far that they reach their working load
only at an extension of - 3 - 4 mm. At the same time possibilities for additional prestressing or releasing of the anchors during the first reservoir
impounding should be given. After the completion of the construction currently
being executed, the results of the corresponding measurements will be published.
References
SNOW, D.T., "A parallel plate model of fractured permeable media", Ph D thesis,
University of California, Berkeley, 1965
WITTKE, W., RISSLER, P. and SEMPRICH, S., "Dreidimensionale laminare und turbulente Stromungsvorgange in kltiftigem Fels nach einem diskontinuierlichen
und einem kontinuierlichen Modell", Proc. Int. Symp. Percolation through
Fissured Rock, Stuttgart, 1972, T1-H, edited by Deutsche Gesellschaft ftir
Erd- und Grundbau, Essen, Germany
WITTKE, W., WALLNER, M. and RODATZ, W., "Raumliche Berechnung der Standsicherheit von Hohlraumen, Boschungen und Grtindungen in anisotropem, kltiftigem Gebirge nach der Methode finiter Elemente; StraBe Brticke Tunnel 24, 1972, No.8,
pp 200-209
WITTKE, W., SEMPRICH, S., "Ernstbachtalsperre - Planungsunterlagen und felsmechanische Untersuchungen, Teil II: Felsmechanische Untersuchungen und Beurteilung der Standsicherheit der Mauerwiderlager", Proc. 2. Nationale Tagung
tiber Felsmechanik, Aachen, 1976, edited by Deutsche Gesellschaft ftirErd- und
Grundbau, Essen, Germany
WITTKE, W., "New Design Concpt for Underground Openings in Rock", Chapter 13
in Finite Elements in Geomechanicc by G. Gudehus, John Wiley & Sons, 1977,
pp 413-478
WITTKE, W., "Interpretation of Flat Jack Tests and Field Measurements in Tunnels by Means of Finite Element Analyses", Proc. Int. Symp. on Field Measurements in Rock Mechanics, Zurich, 1977, pp 997-1018
ZIENKIEWICZ, O.C., PANDE, a.N., "Time-dependent Multilaminate Model of Rocks
- a Numerical Study of Deformation and Failure of.Rock Masses", Int. J. Numer.
Anal. Methods Geomech., Vol. 1, Iss No.2, 1977, pp 219-247

11I.92