Proceedings of Indian Geotechnical Conference

December 15-17, 2011, Kochi (Paper No. G-007)

GEOTECHNICAL INSTRUMENTATION, MONITORING AND SURVEILLANCE IN

EARTH DAM SAFETY PROGRAMME
Amit Srivastava, Assistant Professor, Jaypee University of Engg & Tech, Guna, MP. Email: 2002.lala@gmail.com

ABSTRACT: Earth dams are considered to be structures of public utility and it always poses threat to the downstream
population and economy in case of catastrophic failure. Field observations, including quantitative measurements obtained
by field instrumentations not only provide the means by which a geotechnical engineer can design a project to be safe and
efficient but also this give an opportunity to the constructors to execute the work with safety and economy. Field
instrumentation is vital in case of earth dams dealing with natural material like soil and/or rock, where risk of encountering
surprises is inevitable. Although field instrumentation cannot guarantee good design or trouble free construction, but it can
be useful in monitoring the construction procedures, installing the early warning systems, and can provide useful input in
forensic geotechnical studies. One of the main purposes of instrumentation installed within an earth dam is to study the
behavior according to the design predictions. In the present study, a general role and methods of the instrumentation for
earth dams in the light of USACE guidelines are discussed.

The frequency with which instrumentation data are

obtained must be tailored to the monitoring purpose, period
of construction, investigation, or other interest, and project
operating conditions. In all cases, sufficient calibration
must be performed and background data must be obtained
to ensure that a valid and reliable database is developed,
maintained, and available to facilitate subsequent
comparisons. After a baseline of performance is
established, the subsequent reading of instruments during
construction and operating conditions should be based on
an anticipated rate of loading or changes in reservoir levels.
The timely reduction and interpretation of instrumentation
data are essential for a responsive safety evaluation.

INTRODUCTION
Embankment dams should have an adequate level of
instrumentation to enable design engineers to monitor and
evaluate the safe performance of the structures during the
construction period and under all operating conditions. This
includes all appurtenant structures and facilities whose
failure or malfunction would cause or contribute to loss of
life, severe property damage, or loss of function or
interruption of authorized mission. Instrumentation is not a
substitute for an inadequate design. It is a tool to monitor
and verify the performance of the design as constructed.
The responsible person or authority should ensure the
following [1]: (i) An appropriate level of instrumentation
exists at each project, (ii) Adequate maintenance is
programmed and accomplished, (iii) A sufficient level of
effort and funding is devoted to the program, (iv) A timely
reduction, interpretation, and evaluation of the data occur,
(v) This information is incorporated into a project
performance evaluation, and (vi) Monitoring results are
permanently documented and made available for
appropriate action.

Information relative to instrumentation systems is an

invaluable resource that is necessary to evaluate instrument
and system performance, as well as influence the
assessment of dam performance and should be preserved
and readily accessible. Such information includes, but is not
limited to, installation reports, testing results, modification
to the sensors or system components, maintenance records,
manufacturers performance specifications, warrantees, and
other information.

In view of concerns for dam safety, it has become

increasingly important to provide sufficient instrumentation
in earth and rock-fill dams for monitoring the performance
of the structure during construction, and for all anticipated
stress conditions throughout the operational life of the
project. Visual observations and the interpretation of
instrumentation data from the embankment, foundations,
abutments, and appurtenant features provide the primary
means for engineers to evaluate dam safety. In recent years,
technology of devices for measuring seepage, stresses, and
movements in dams has improved significantly with respect
to accuracy, reliability, and economics. These technologies
should be used to the extent necessary to acquire sufficient
information within the required timeframe to assure the
thorough understanding of dam performance.

TYPE OF INSTRUMENTATION
Fig 1 shows various types of instrumentation used in an
earth dam monitoring program. Generally, the types of
measurements are as follows: (i) Horizontal and vertical
movement, (ii) Alignment and tilt, (iii) Stresses and strains
in soil and rock fill, (iv) Pore pressure, (v) Uplift pressure,
(vi) Phreatic surfaces, and (vii) Seepage clarity and
quantity. The type, number, and location of required
instrumentation depend on the layout of the project and the
construction techniques employed.
Devices may consist of the following: piezometers (open
tube, such as the Casagrande type, electrical, vibrating wire,
331

Amit Srivastava
to confirm that devices are operational, and that they
deliver the measurement accuracy required for proper
monitoring.

or occasionally closed systems) located in the foundation

abutment and/or embankment, surface monuments,
settlement plates within the embankment, inclinometers,
movement indicators (at conduit joints, outlet works, and
intake tower), internal vertical and horizontal movement
and strain indicators, earth pressure cells, and
accelerographs (in areas of seismic activity).

Settlement/heave measurement devices

It is designed for the remote measurement of surface or
subsurface settlement in fills, surcharges, dams,
embankments, etc. A borehole is drilled which allows a
pressure transducer to be anchored to solid ground below
the area of settlement. A fluid filled tube extends upward
connecting the transducer to a reservoir which is located in
the moving strata or fills. The measurement of fluid
pressure indicates the elevation difference between the
sensor and the reservoir. This design eliminates the need for
long liquid filled tubes.
Stress measurements
Carlson soil stress meters
These instruments are designed for the direct measurement
of soil pressure against a solid structure. The meter consists
of
two
steel
discs
connected
along
their
circumferences/edges by a flexible rim. A thin film of
mercury fills the space between the discs. When subjected
to stress, the mercury deflects an internal diaphragm. The
device is calibrated in a pressure chamber under hydrostatic
pressure such that a relationship between pressure and
diaphragm deflection is established. When implanted in a
soil structure, the stress pattern over the area/face of the
meter is averaged. The Carlson soil stress meter is usually
placed next to a solid structure with its top side exposed to
soil. In such an installation, the flexible rim is covered with
neoprene rubber to prevent binding and damage to the
instrument.

Fig. 1 Various types of instrumentation used in an earth

dam monitoring application
(http://www.geokon.com/products/poster_edam.php)
DISCUSSION ON DEVICES
Displacement Measuring Techniques and Instruments
Slope indicators (inclinometers)
Slope indicators are used primarily to monitor earth
movement in undisturbed soil masses as well as compacted
embankments by detecting changes in slope within the soil
structures.
A specially designed plastic or aluminum casing with an
alignment groove along one edge may be installed in a bore
hole up to 900 ft deep. Slope indicator instruments are
lowered into the casings on spring-loaded rollers which ride
into the grooves to maintain alignment. Deviation from the
vertical is detected by monitoring an electronic signal from
either a Wheatstone Bridge circuit or piezoelectric crystals
within the sensor, which is generated by a change in stress
in a mechanical system such as a pendulum or cantilever
arm. Slope versus electronic signal from a slope indicator
instrument is established by calibration; therefore the slope
of the bore hole with depth is determined from the output
signal of the sensor as it is lowered into the bore hole.
Change in slope with time is an indication of embankment
movement.

Flat jacks
These stress measurement devices are variations of the
Carlson soil stress meter and consist, essentially, of a fluidfilled space between two flat parallel plates with a pressuretight hinged seal around the periphery. These instruments
are permanently installed in structures of interest at the
desired location and orientation. The average pressure
exerted by the soil on the face of the jack is transmitted to
the fluid inside, which is measured electronically or
mechanically. The main advantage of these devices is that
they require little deformation for activation; the main
disadvantage is that their stiffness may not match that of the
structure in which they are installed and, as a result, the
stress measured may be in error. Calibration of these
devices can be difficult, and installation must be performed
by an experienced technician.

Plots of slope versus depth at various locations over the site

of the embankment will indicate patterns of movement and
will therefore index the stability of the embankment.
Manufacturers of slope indicator instruments claim that
some models have the sensitivity to detect a deviation in
slope of one part in 10,000. A careful calibration is
recommended before installation of this or any instrument

Pore pressure measurement

Piezometers are instruments permanently installed in a soil
or rock structure to measure fluid pressure. Several types of
piezometers based on different pressure sensing
mechanisms are available for general use. Each type will be
identified and the operating mechanism briefly described.
332

Geotechnical instrumentation, monitoring and surveillance in earth dam safety program

Open standpipe piezometers
This type of device consists of an open tube in which the
level of fluid is measured by sounding, or by lowering a
tape into the tube to measure the water level.
Casagrande piezometers
The tip of the device consists of a 2-ft-long porous tube
connected to a riser pipe of 3/8-in. tubing. Water level
(pressure) is measured with an electronic sounding device
or a pressure gauge if the water level is higher than the
ground surface. Other types of piezometers include
wellpoint piezometers, hydraulic piezometers, diaphragm
piezometers, electronic strain gauge piezometers, and
vibrating wire piezometers. A detailed discussion on these
piezometers can be obtained in [2, 3].
Flow measurement
Flow measurement associated with dam construction may
be achieved using two basic devices, weirs and impeller
flow transducers. Each will be briefly described.
Weirs
A weir is an obstruction in a channel that causes water to
back up behind it and to flow over or through it. By
measuring the height of the upstream water surface, the rate
of flow is determined. Weirs constructed from a sheet of
metal or other material such that the jet, or nappe, springs
free as it leaves the upstream face are called sharp-crested
weirs. For example, the V-notch weir is a very effective and
widely used sharp-crested weir which may be calibrated
quite precisely and reliably for use in flow measurement.
Other weir types, such as the broadcrested weir, support
water flow in a longitudinal direction. The relationship
between flow rate versus height above the crest of a
particular weir is established by calibration against standard
with known volume discharge characteristics.
Impeller flow transducers
The impeller flow transducer consists of a flow chamber
around an impeller shaft and rotor. As fluid flows through
the chamber, it impinges on the blades to cause rotation of
the impeller shaft, the speed of which is measured
electronically with an encoder. A relationship between
quantity of flow and shaft rotation speed/electronic output
may be established by calibration. Impeller flow
transducers are generally used to measure relatively small
rates of flow which must be obtained precisely. However,
impeller flow transducers do not work well when used with
water containing sediment, as particles of grit tend to jam
the mechanism, causing it to seize.
Temperature measurement
One possible benefit of temperature measurement
connected with dam construction is that it may aid in
determining the source of seepage or leakage water.
Temperature measurement sensors may be permanently
installed in a compacted earth structure during construction
or may be mobile and simply lowered into boreholes for
333

spot temperature checks. Two electronic devices are

generally used for temperature measurement, the
thermocouple and the thermistor.
Thermocouples
A thermocouple is an electronic circuit consisting of two
dissimilar metals in which a voltage is produced when two
junctions of the metals are at different temperatures. For
example, the temperature of ice water is typically used as a
reference junction temperature and the voltage produced by
the opposite junction calibrated versus temperature (of that
junction).
In many commercial thermocouple instruments, the
function of the reference junction is simulated
electronically. For the temperature range expected in earth
dam construction, copper/constantan or iron/constantan
thermocouples (commonly called ISA (Instrument Society
of America) J-type or T-type thermocouples, respectively)
will be most appropriate and useful.
Thermistors
A thermistor is a composite semiconductor that has a large
negative temperature coefficient of resistance and, as such,
can be used for temperature measurement. The electronic
circuit associated with a thermistor is designed to measure
the resistance of the thermistor and, therefore, the
temperature-resistance characteristics of the device must be
established by calibration. The electronic circuitry
associated with thermistors is often designed to produce
readings directly in engineering temperature units.
Strong motion measurement
Strong motion monitoring is used to measure the response
of an embankment dam to seismic activity. The most
important benefit obtained is to guide decisions on
inspection and repair after the structure has been subjected
to a seismic event. The information may be used to
determine if the event was larger or smaller than the design
earthquake and to decide what repair or strengthening is
needed. Instruments for strong motion monitoring are
called strong motion accelographs of seismographs. The
key element of the instrument is an accelerometer, which
consists of a mass suspended in a case. The case itself is
securely fastened to the dam.
During an earthquake, relative movement between the mass
and the case is converted to an electrical signal which is
converted to either the acceleration or the velocity of the
ground motion. An accelograph also contains signal
amplifiers, a recording device such as paper, photographic
film, or magnetic tape, along with a rechargeable battery
power supply, a very accurate clock, and a motion trigger to
turn on the instrument when a predetermined level of
ground motion is exceeded. An important consideration in
the design and installation of such instruments is that they
be sensitive enough to give an accurate account of the

Amit Srivastava
motion, yet be protected so that they are not damaged
during the event.
AUTOMATED DATA ACQUISITION SYSTEM
(ADAS)
Developments in the field of electronics have now made it
possible to install and operate automated instrumentation
systems that provide cost-effective real-time data collection
from earth and rockfill dams. Installation of these
computer-based automated data acquisition systems
(ADAS) provides for more accurate and timely acquisition,
reduction, processing, and presentation of instrumentation
data for review and evaluation by geotechnical engineers.
Consideration should be given to providing an ADAS for
all new dam projects, dam safety modifications to existing
dams, and monitoring system rehabilitation that are
necessary to assure appropriate data acquisition.
The following are examples of conditions that would
benefit from the use of an ADAS: (1) the project is located
in a remote area, or would be inaccessible during critical
operating conditions. (2) Limited staffing is required to
perform other duties when extreme loading conditions
exist, such as flood fighting or emergency response, and is
not available for monitoring requirements. (3) High
frequency of data collection is necessary to help define
complex or interrelated conditions. (4) Rapid or immediate
dam performance assessments are required.
INVESTIGATION, MONITORING AND
SURVEILLANCE OF DAMS
Monitoring is defined as the measuring and recording of
physical parameters such as flow and water levels.
Surveillance is defined as the observation of the dam and its
associated structures. While surveillance is less visual,
rigorous and quantitative than monitoring, it is no less
important. The type, sophistication and extent of
monitoring depend on the size, type and hazard category of
the structure. Monitoring and surveillance are carried out at
all stages of a dams life.
There are seven main phases of investigation, monitoring
and surveillance of dams and their associated structures,
i.e., (i) development investigation (assess the viability of the
scheme), (ii) construction monitoring (to ensure safe
construction), (iii) commissioning monitoring (for safety
purposes), (iv) performance monitoring (to ensure the
safety and performance expectation of designer and owner
of dam), (v) event monitoring (to enhance the ability of the
dam to deal with extreme events), (vi) compliance
monitoring (to ensure that the scheme operates within the
allowable envelop defined by the various conditions given
in the resource contents for the scheme, (vii) operational
monitoring (to ensure required level of operational
performance).
The main parameters that should be considered for
monitoring for safety reasons are: ground water levels,
334

settlement and movement, leakage or seepage flows,

hydrological data, ecological/environmental effects,
dam/storage condition surveillance, and general
surveillance.
ALARMS SETTING AND RESPONSE
Alarms can be set at different levels, which will also
usually change during the lifetime of a dam as data on
historical performance accumulates. Three sets of alarm
levels are generally used, i.e., warning level, alert level, and
data check. Alarm levels are not necessarily set on all
instruments. Key instruments may be selected for one or
more alarm levels based on their significance and assessed
reliability. The remaining instruments without alarm
settings will provide a degree of backup. The response
depends on the level of alarm triggered (warning or alert)
and the pre-defined significance of alarm. A predefined set
of guidelines should be in place so that alarms, when
triggered, can be responded to as quickly as possible.
EMERGENCY ACTION PLAN
The primary purpose of emergency action plan is to reduce
risk of loss of life and property. The emergency action plan
needs to prescribe a set of actions that need to be
undertaken in the event of an incident. Key information that
needs to be in the emergency action plan includes: (i)
sequence and details of action to be taken, (ii) chain of
responsibility for dams, (iii) layout plans of the dam,
monitoring network and downstream area that should be at
risk, (iv) persons and agencies to be notified including
personnel and contact details, (v) correlation between the
emergency action plan and external, regional and central
government plans, (vi) communication system and backups,
(vii) backup power suppliers, monitoring systems and
equipment, (viii) list of contractors, specialists and other
personnel that can be contacted.
CONCLUSION
The paper discusses different types of instrumentation and
various issues related to instrumentation, monitoring, and
surveillance in earth dam safety program. It should be noted
that instrumentation is not a substitute for an inadequate
design. It is a tool to monitor and verify the performance of
the design as constructed. Hence, proper instrumentation,
setting alarms and documented emergency action plan is
necessary for all appurtenant structures and facilities whose
failure or malfunction would cause or contribute to loss of
life, severe property damage, or loss of function.
REFERENCES
1. USACE (2004). Engineering and Design - General
Design and Construction Considerations For Earth
and Rock-Fill Dams. Publication no. EM 1110-2-2300.
2. John Dunnicliff (1993). Geotechnical Instrumentation
for monitoring field performance. Wiley-IEEE. 608
pages.
3. Robert W. Day (1998). Forensic Geotechnical and
Foundation Engineering. McGraw Hill Publications.