International Journal of Computer & Mathematical Sciences

IJCMS
ISSN 2347 – 8527
Volume 7, Issue 3
March 2018

Causes of Failure of Earthen Dams and Suggested Remedial

Measures

Ismeet Singh Saluja

ZHCET, AMU, ALIGARH
Mohammad Athar
ZHCET, AMU, ALIGARH
Sarfaraz A. Ansari
ZHCET, AMU, ALIGARH

ABSTRACT
Dam is a solid barrier constructed at a suitable location across a river valley to store flowing water. Earth Dams are
mainly built with clay, sand and gravel, hence they are also known as Earth fill dam or Rock fill Dam. They are trapezoidal
in shape. They are constructed where the foundation or underlying material or rocks are weak to support the masonry
dam. Earthen dams are relatively smaller in height and broad at the base. Earth Dams are less rigid and hence more
susceptible to failure. Earth Dams may fail, like other engineering structures, due to improper designs, faulty
considerations, lack of maintenance etc. The various causes leading to the failure of earth dams can be grouped into three
categories i.e. Hydraulic failure, Seepage failure and Structural failure. About 40% of earth dams failure have been
attributed to hydraulic failure. The failure under this category may be due to overtopping, wave erosion, top erosion and
gullying. Uncontrolled or concentrated seepage through the dam body or through its foundation may lead to piping or
sloughing and the subsequent failure of the dam. More than 1/3 rd of the earth dams have failed because of these reasons.
About 25% of the dam failures have been attributed to structural failures. Structural failures are generally caused by shear
failures, causing slides. Various remedial measures has been suggested for controlling dam failures. This includes
treatment of control of excessive seepage, structural defects failure and non-structural defects failure. This paper deals
with the various causes of failure of earthen dams and the various remedial measures.
Keywords
Earth Dams, Hydraulic failure, Seepage Failure, Structural Failure, Clay core

INTRODUCTION
Earthen Dams are the dams which are built with highly compacted soil or rock fragments. Earthen dams and
earthen levees are the most ancient type of embankments, as they can be built with the natural materials with a
minimum of processing and primitive equipment. This dam is classified as a type of embankment dam, being
built in the shape of an embankment or wedge which blocks a waterway. These dams have been built by various
human societies for centuries, and they continue to be produced in some regions of the world when they appear
to be suitable for the location and intended use. Earth dams can be very cost effective to build, which makes
them appealing in some regions of the world. They can be made with local materials, cutting down on the
expenses involved in acquiring and transporting materials to the dam site. In addition to earth, earth dams also
often contain rock, and may be filled with a core of rock. Clay is another building material utilized in the core
region of the earth dams to fully cut the seepage through the body of the dams.
The design of an earth dam may be solid and consistent all the way through, or it may include layers of material.
Layered materials may create an avenue for drainage which is designed to relieve pressure in emergencies. The
weight of the dam as a whole creates a tight seal which secures the bottom and sides of the dam and the pressure
of the water behind the dam can also act to seal the dam in place. Likewise mass concrete dams, earthen dams
may also be utilized in number of purposes such as flood control, irrigation, domestic water supply and power
generation etc. Numerous designs can be used and software programs designed for engineering earth dams can
be utilized to test possible scenarios to confirm that the earth dam will be safe once it is finished. For earthen

60 Ismeet Singh Saluja, Prof. Mohammad Athar, Prof. Sarfaraz A. Ansari

 International Journal of Computer & Mathematical Sciences
IJCMS
ISSN 2347 – 8527
Volume 7, Issue 3
March 2018

dams safety measures are very important. It may fail in many ways such as overtopping, seepage, cracks etc. If
the earth dam is overtopped, it can erode the material from the dam, making it weak and prone to failure.
Repeated overtopping can eventually result in a catastrophic collapse of the dam. Earth dams can also
experience seepage and structural failure caused by poor engineering and planning.
An earth fill dam, like other types of dams, benefits from routine inspection and maintenance. Inspections ensure
that any problems with the dam are identified in the early stages, so that they can be addressed before the dam
fails. Maintenance keeps the dam in good condition, reducing the risk of a catastrophic failure which could lead
to loss of life and financial losses in communities located downstream side of the dam .The aim of the present
paper is to study critically various modes of failure of earthen dams and also measures are suggested to control
it.

CAUSES OF FAILURE OF EARTHEN DAMS

Failures of earthen embankment dams or dikes can generally be grouped into three categories such as hydraulic,
seepage and structural.

HYDRAULIC FAILURE
Hydraulic failures from the uncontrolled flow of water over and adjacent to the embankment are due to the
erosive action of water on the embankment slopes. Various modes of failure of earthen dams are shown in Table
1. Earth embankments or dikes are not normally designed to be overtopped and therefore are particularly
susceptible to erosion. A well vegetated earth embankment or dike may withstand limited overtopping if its top
is levelled and water flows over the top and down the face in an evenly distributed sheet without becoming
concentrated in any one area [1, 7].

Hydraulic failure
A. External (i) Overtopping

(ii) Wave erosion

(iii) Toe erosion

(iv) Gullying

B. Internal seepage loss of water

Seepage erosion (concealed internal erosion)

C. Instability foundation slip

downstream face

upstream face

flow slide

D. Deformation

Settlement

Internal

Table 1 Various Modes of Hydraulic Failure

61 Ismeet Singh Saluja, Prof. Mohammad Athar, Prof. Sarfaraz A. Ansari

 International Journal of Computer & Mathematical Sciences
IJCMS
ISSN 2347 – 8527
Volume 7, Issue 3
March 2018

Hydraulic failures may be related directly or indirectly to the following

Wave Erosion - Notching of upstream face by wave action reduces the embankment cross section thickness
and weakens embankment material.
Top Erosion - Erosion of downstream toe of the earth slope caused by misdirected spillway outlet discharge.
Gullying - Rainfall erosion of embankment slopes. Also caused by traffic from people and vehicles.

SEEPAGE FAILURE
Most embankments exhibit some seepage. However, this seepage must be controlled in velocity and quantity.
Seepage occurs through the earthen embankment or dike and/or through its foundation. Seepage, if
uncontrolled, can erode fine soil material from the downstream slope or foundation and continue moving
towards the upstream slope to form a pipe or cavity to the pond or lake often leading to a complete failure of
the embankment. This action is known as “piping.” Seepage failures account for approximately 40 percent of
all embankments or dyke failures. Seepage can also cause slope failures by saturating the slope material, thereby
weakening the adhesive properties of the soil and its stability. Burrows or holes created by animals such as the
groundhog, woodchuck, or muskrat create voids in the embankment or dyke, which weaken the structure and
may serve as a pathway for seepage.
Tree roots can provide a smooth surface for seepage to travel along. When trees die, their decaying roots may
leave passageways for seepage to concentrate in. Pipes through the embankment may also provide smooth
surfaces for seepage to concentrate along as well [1, 7].

Figure 1: Failure mechanisms for earth dams

STRUCTURAL FAILURE
Structural failures involve the separation (rupture) of the embankment material and/or its foundation. Structural
failure of an earthen embankment may take on the form of a slide or displacement of material in either the
downstream or upstream face. Sloughs, bulges, cracks or other irregularities in the embankment or dike

62 Ismeet Singh Saluja, Prof. Mohammad Athar, Prof. Sarfaraz A. Ansari

 International Journal of Computer & Mathematical Sciences
IJCMS
ISSN 2347 – 8527
Volume 7, Issue 3
March 2018

generally are signs of serious instability and may indicate structural failure Structural failures can occur in either
the embankment or the appurtenances. Structural failure of a spillway, lake drain, or other appurtenance may
lead to failure of the embankment. Cracking, settlement, and slides are the more common signs of structural
failure of embankments. Large cracks in either an appurtenance or the embankment, major settlement, and
major slides will require emergency measures to ensure safety, especially if these problems occur suddenly. If
this type of situation occurs, the lake level should be lowered, the appropriate state and local authorities notified,
and professional advice sought.

Fig. 2: Structural Failures of Earthen Dams

OTHER TYPE OF FAILURES

Trees growth on an earthen embankment or dike can be a contributing factor in the failure of an earthen structure
and part of any one of the three previously described type of failures. Tree growth directly on the crest or top
of the structure could lead to a hydraulic failure should the tree be blown over. This may displace embankment
material within the root ball creating a low area susceptible to flows from the impoundment. Tree root systems
may also create seepage paths through an earthen embankment or dike and structural failure of an upstream or
downstream slope could occur with the displacement of a large tree implanted within the earth slope.

63 Ismeet Singh Saluja, Prof. Mohammad Athar, Prof. Sarfaraz A. Ansari

 International Journal of Computer & Mathematical Sciences
IJCMS
ISSN 2347 – 8527
Volume 7, Issue 3
March 2018

REMEDIAL MEASURES
Strengthening, repairs and remedial measures are not amenable to standardization and should be carefully
selected depending upon (a) the risk element as influenced by the height of the dam, reservoir volume and
potential loss to life and properties etc. (b) the economic value of water stored (c) nature of foundation stratum
and (d) materials and methods used in construction of the dam. Measures generally used are as follows:
1) Monitoring distress level
2) Seepage control measures
3) Construction and/or repair of drains filters and relief wells
4) Strengthening by grouting or other methods
5) Filling of fractures, cavities and sink holes
6) Construction or repair of slope protection
7) Reconstruction of deteriorated zones
8) Upstream stabilization methods
9) Downstream stabilization methods
10) Raising of dam
11) Increase in spillway capacity
12) Construction of fuse plug/breaching section;
13) Lowering of reservoir level.
Despite of above measures following measures are discussed in detail.

TREATMENT FOR CONTROL OF EXCESSIVE SEEPAGE

The main objective of treatment is to restore the water tightness of the dam and foundation. The method of
treatment may differ for foundation, dams with upstream membrane, dams with impervious core and
homogeneous dams.
Only the repair work which is simple, straight forward and within the limits of human capabilities is carried
out. For difficult, large-scale or technically complex work always skilled labour and qualified engineer are
needed. Poor repair work can be dangerous and lead to more serious problems developing later in the dam’s
life. Before starting any repair work, the cause of the damage is rectified so that the problem does not occur
again. Modes of failure can be attributed to four basic causes:
(i) Overtopping: can be counteracted by conservative spillway design, generous freeboard allowances, and
avoiding areas where landslides could affect the reservoir.
(ii) Slope failure: may be avoided by adopting correct design and construction procedures based on site
investigations and materials analyses.
(iii) Spreading of the embankment base: minimize risk by avoiding poor foundations, the adoption of flatter side
slopes and reducing the height of the dam.
(iv) Piping: avoid the development of piping by following correct design and construction procedures, filling of
cracks as they develop (normally after settlement of a new dam) and the introduction of drainage
downstream through filters and toe drains should seepage become excessive.
Problems can develop from structural defects associated with poor design and construction and can often have
catastrophic results when the dam breaches or collapses. Non-structural defects such as too small or too large
catchments and spillways relate directly to faults in design. The major results of these defects are outlined below
along with remedial measures that can be taken [2].

64 Ismeet Singh Saluja, Prof. Mohammad Athar, Prof. Sarfaraz A. Ansari

 International Journal of Computer & Mathematical Sciences
IJCMS
ISSN 2347 – 8527
Volume 7, Issue 3
March 2018

STRUCTURAL DEFECTS
These are all directly associated with the embankment and spillway and can be associated with foundation,
materials used, design and construction techniques [2].

Slumping and sliding of the downstream face

Occasionally this may apply to the upstream side of the dam. It is usually the result of poor quality material, too
steep side slopes, inadequate drainage and/or excessive seepage. If severe, the dam’s stability can be affected
and it is then very important to lower the reservoir water level as soon as possible. Use of good material and
well-designed side slopes at the time of construction and following correct construction procedures will prevent
these problems to develop. However, when serious problems do develop, especially in an old dam, major
reconstruction work is the only solution and should include drainage relief measures in and underneath the
downstream section, clay blankets upstream, the flattening of side slopes and reduction in reservoir water levels.
The latter can be maintained by lowering the spillway or drop inlet levels. Other factors, such as low strength
soils, poor compaction and compressible foundations also contribute to partial slope failures and can be very
difficult to remedy.
Foundation slope movements
Movement of the embankment on its foundation can lead to complete failure of the dam. Usually associated
with a poor choice of site and, with larger dams, movement of the embankment will lead to cracks appearing in
the structure. They are most serious when they extend transversely across the embankment and below the water
line. Reduce the water level immediately and fill all cracks with good material and plant to grass. Earth dams
can absorb some movement without suffering damage but if cracks continue to form, or suddenly appear in old
dams, it is best to seek expert advice immediately.
Piping
This occurs when seepage establishes a tunnel or pipe through an embankment and in severe cases can lead to
undermining and the eventual collapse of the dam. It is most serious in dams constructed of poorer soils with
greater permeability. To avoid this it is best to anticipate such problems at the design stage and construct drains
beneath the downstream section before the dam construction is started. However, when piping is excessive, or
not allowed for, measures already outlined to reduce seepage should be followed. When brown, muddy water
is seen to emerge from the downstream face of the dam or seepage starts to increase, this can mean serious
internal damage is occurring. This may be associated with the development of whirlpools on the upstream side
when most severe. Always reduce the water level and carry out repair and remedial works without delay.
Breaching
A dam breaches when a section of the embankment finally gives way and a hole appears that can cause complete
failure. Unless caused by overtopping by an exceptional flood (or too small a spillway), breaching is usually
the result of one of the problems outlined above developing into a major fault. Always investigate the cause of
the breach before commencing permanent repair work and, once the problem has been solved, the breach can
be filled and the dam restored to its design condition. However, to fill the breach, certain guidelines must be
followed, the following must be adhered to:
(i) Repair work must be carried out only in the dry season and it is ensured that there is enough time to complete
the repair works before the rain start.
(ii) All loose and poor material from the sides and the floor of the breach is removed and excavation is carried
to good foundation (i.e. subsoil, rock, firm well compacted embankment or core material).
(iii) The sides of the breach is cut back to a relatively flat slope (1:3 minimum and 1:5 or less where possible)
which ensures plant and machinery can pass up and down the cut slope (to back-fill and compact) rather
than through the breach area and that, when the gap is plugged, the repaired area is securely founded on the
old dam material.
(iv) Excavate key trenches as required.

65 Ismeet Singh Saluja, Prof. Mohammad Athar, Prof. Sarfaraz A. Ansari

 International Journal of Computer & Mathematical Sciences
IJCMS
ISSN 2347 – 8527
Volume 7, Issue 3
March 2018

(v) The embankment is reconstructed to the new design requirements ensuring all backfill is installed in layers
and is well compacted.
(vi) The repair is checked and inspected frequently immediately after reconstruction and special attention is
given to the area subsequently.

Figure 3- Repair of breached dams

An eroded spillway
Spillway erosion and the inability to carry flood flows are the main reasons behind many earth dam failures.
Once erosion on a grassed spillway or a friable rock spillway has started, it is very difficult to prevent it recurring
without continual maintenance and remedial procedures. Normally this signifies that solid rock should have
been used for spilling flood water. If a trickle flow has not been constructed, a lined channel in the spillway
should be excavated and, to reduce risks, another second spillway may be built on the other end of the dam
wall. Careful placement of sand bags or stop logs can then allow the alternating use of spillways to enable the
maintenance of one or the other to be initiated. Stone pitching and concreting of the spillways and embankment
are expensive solutions, which may have only partial success, if concrete is laid on earth it can easily be
undermined and eroded. Simpler measures, such as increasing the available spillway width; the construction of
a concrete sill at the spillway entrance (to prevent erosion in a sensitive area and dissipate some energy); the
generous grassing of the spillway bed and protection (stone pitching, loose rock or gabions) of the sides
66 Ismeet Singh Saluja, Prof. Mohammad Athar, Prof. Sarfaraz A. Ansari
 International Journal of Computer & Mathematical Sciences
IJCMS
ISSN 2347 – 8527
Volume 7, Issue 3
March 2018

including the outlet into the river or stream where the gullying will usually start; as well as continual inspection
and maintenance in the flood season, will always minimize risks. Where flood flows far exceed spillway
capacity, the backing up of water in the reservoir can attain a level where it overtops the embankment. The
correct assessment of anticipated flood flows and the maximizing of safety factors such as spillway width and
freeboard, especially where hydrological information is insufficient, are absolutely vital. A spillway that is too
wide is not a problem but one that is too narrow can, at worst, result in the loss of the dam and, at best, in further
expenditure that could easily have been avoided [6].

Wave action
Wave action on the upstream face can cause erosion, which can increase the slope angle to an undesirable
steepness or establish ‘beaches’ on the slope that could lead to the slumping of this section. If this is allowed to
continue, it can reduce the crest level to below the full supply level. This is often exacerbated by poor grass
growth and erosion from animal tracks and, as a result, it may become necessary to reconstruct the entire
upstream area to reduce slopes and allow for the laying of rip-rap in the most susceptible areas. For large dams
with high fluctuations in water level, the works involved can become quite expensive.

NON-STRUCTURAL DEFECTS
A dam that does not fill with water has failed just as much as one that suffers from the problems of embankment
and spillway failures. Basically, non-structural defects result in the dam not meeting its design capabilities and
usually this leads to a reduction in available water storage [2, 3].

Dam silts up
This is usually a long-term problem that can be avoided if dams are not constructed on rivers that carry heavy
sediment loads. If undetected at the feasibility study stage, certain remedial measures can be taken:
(i) The local catchment land practices can be improved by better crop rotation, reduced stocking rates and by
introducing conservation methods.
(ii) The vegetation cover in the catchment can be maximized, especially in dry season type climates where
early rains lead to high erosion levels. Deforestation should be minimized throughout the catchment and the
practice of establishing gardens for fruit and vegetables close to the reservoir or river (to facilitate hand
irrigation), common in many locations, should be discouraged.
(iii) Where the latter does occur, improved cultivation practices such as contour ridging and ploughing,
maintaining a band of uncultivated land close to the river and reservoir and conserving waterways can reduce
runoff and erosion.
(iv) Gullies and other high runoff areas must be reclaimed or at least stabilized.
(v) Silt traps upstream of the main dam can be constructed. Small dams or sumps collect a major proportion
of the silt before it reaches the reservoir.

CONCLUSIONS
After the critical study regarding failure modes of earthen dams and their remedial measures it was found that:
(i) The Earth Dam may fail by Hydraulic failure. About 40% of earth dam failure have been attributed to
hydraulic failure. These may be due to overtopping, wave erosion, top erosion and gullying.
(ii) The Earth Dam may fail due to excessive seepage. More than 1/3rd of the earth dams have failed because
of these reasons. Uncontrolled Seepage can erode fine soil material from the downstream slope or
foundation and continue moving towards the upstream slope to form a pipe or cavity to the pond or lake
often leading to a complete failure of the embankment.

67 Ismeet Singh Saluja, Prof. Mohammad Athar, Prof. Sarfaraz A. Ansari

 International Journal of Computer & Mathematical Sciences
IJCMS
ISSN 2347 – 8527
Volume 7, Issue 3
March 2018

(iii) The Earth Dam may fail by structural failure. About 25% of the dam failures have been attributed to
structural failures. Structural failure of an earthen embankment may take on the form of a slide or
displacement of material in either the downstream or upstream face.
(iv) The three types of failure described are often interrelated in a complex manner. For example, uncontrolled
seepage may weaken the soil and lead to a structural failure. A structural failure may shorten the seepage
path and lead to a piping failure. Surface erosion may result in structural failure.
(v) To avoid these types of failures various remedial measures should be taken properly and adequately to
control modes of failure, to avoid heavy loss of property and life.

ACKNOWLEDGEMENT
The author is thankful to UGC for providing Maulana Azad National Fellowship.

REFERENCES
1. Ambikaipahan, R (2011), “Failure of an earth dam”, Master Thesis in Geosciences, University of Oslo.
2. B.I.S. (2001) Code 14954, “Distress and Remedial Measures in Earth and Rock fill Dams — Guidelines”, Bureau of
Indian Standards, New Delhi.
3. Barranco, A.P, “Responsibilities of Dam Ownership”, Association of State Dam Safety Officials, Lexington,
Kentucky.
4. Garg, S.K (2012), “Irrigation Engineering and Hydraulic Structures”, Khanna Publishers, New Delhi.
5. http://www.wisegeek.com/what-is-an-earth-dam.html (Accessed 2016-3-25).
6. Stephens, T (2010), “Manual of Small Earth Dams”, Food and Agriculture Organization of the United Nations, Rome.
7. Thandaveswara, B.S, “Causes of Dam Failure”, NPTEL IIT Madras.

68 Ismeet Singh Saluja, Prof. Mohammad Athar, Prof. Sarfaraz A. Ansari