The 1st International Symposium on Rockfill Dams

DESIGN CONSIDERATIONS OF A HIGH ROCKFILL DAM

NAM NGUM 2 CFRD, LAO PDR
Ruedi Straubaar1, Eva van Gunsteren2 and Stephen Moll3
1

Geotechnical and Dam Engineering Expert, Pyry Energy Ltd. (formerly Electrowatt Engineering Ltd.)
Hardturmstrasse 161, CH-8037 Zurich, Switzerland,
E-mail: ruedi.straubhaar@poyry.com
2

Project Engineer and Assistant Project Manager for Nam Ngum 2, Pyry Energy Ltd. (formerly
Electrowatt Engineering Ltd.) Hardturmstrasse 161, CH-8037 Zurich, Switzerland
E-mail: eva.van-gunsteren@poyry.com

Dam Engineer, Pyry Energy Ltd. (formerly Electrowatt Engineering Ltd.) Hardturmstrasse 161,
CH-8037 Zurich, Switzerland
E-mail: stephen.moll@poyry.com

Abstract: Nam Ngum 2 dam, a large concrete face rockfill dam (CFRD) of 182 m height, is under
construction and impounding is scheduled to start at beginning of April 2010. The dam is situated in a
narrow valley and founded on sedimentary rock of variable strength.
Dam design principles comprising dam zoning, face slab design and instrumentation are outlined. Foundation
treatment including grouting and measures below the plinth are presented. The properties of the available
rockfill materials and their influence on the dam zoning are discussed.
Emphasis is given to the rockfill properties and placement procedures which influence dam behaviour during
construction, impounding and operation.
Key words:

CFRD, Rockfill, Face Slab, Instrumentation

Nam Ngum 2 Hydropower Scheme

The Nam Ngum 2 (NN2) hydropower scheme is located on the Nam Ngum river in Lao PDR, about
90 km north of the capital city of Vientiane and some 35 km upstream of the existing Nam Ngum 1
dam and powerhouse. With an installed capacity of 615 MW, the project will produce energy for
the Thai electricity grid. A significant component of the scheme is the 182 m high concrete face
rockfill dam, with a volume of 9.5 M m3 and a crest length of 500 m. The dam will impound a
reservoir with a volume of approximately 4.2 M m3.
Construction of the NN2 Project commenced in late 2005 and is scheduled for completion in the
second half of 2010. Rockfill placement in the dam body commenced in January 2008, and will be
finished in early November 2009. Face slab construction, which is divided into an upper and lower
stage, commenced in December 2008 and will be completed by beginning of April 2010, when

The 1st International Symposium on Rockfill Dams

impounding will begin. The reservoir will fill during one rainy season, enabling commissioning to
take place during the second half of 2010.

Figure 1. Layout of the Nam Ngum 2 hydropower scheme

2

Considerations with respect to dam deformations

Concrete face rockfill dams are considered inherently safe for a wide range of weak and strong
rockfill (Cooke 1991) and deformation of the rockfill is often assumed not being a governing
concern provided the dam is well engineered and the dam foundation is of adequate quality. It is
often assumed that dam settlements are a simple function of the dam height and that they are not
likely to exceed 1 % of the compacted fill height with horizontal deformations less than 50 % of the
settlements. Predictions are also often made based on laboratory tests and dam deformation
analyses.
2.1 Rockfill testing performed for NN2 CFRD
For the construction of the the NN2 dam quarried rock of sedimentary formations are available.
The source material, consisting basically of sandstone and siltstone, has been investigated by
drilling, quarry trials, laboratory testing and trial embankment construction. The essential tests are
index property tests, compressive strength and basic friction angle tests. Tests were also performed
on saturated specimen, which normally gives more representative lower values.
Of particular interest are always large scale triaxial and compressibility tests, which have been
carried out for NN2 by the IWHR1 in China.
2.2 Dam analyses and zoning of NN2 CFRD
Test results from the IWHR as well as results from the AIT2 and site laboratories were used as
basis for dam analyses. Stability as well as 2D and 3D deformation analyses were carried out by the
IWHR. Based on the results of the analyses and also based on visual observation which indicated a
very high desintegration potential of the siltstone, it had to be concluded that only sandstone is

1 China Institute of Water Ressources and Hydropower Research

2 Asian Institute of Technology, Bangkok

The 1st International Symposium on Rockfill Dams

suitable as rockfill for the construction of the high embankment. By using only sandstone for
rockfill it was concluded that the dam deformation will be within acceptable and normal limits.
During construction it was observed that also fine grained sandstone, porous or weathered
sandstone of moderate quality is being obtained from quarrying which can not always completely
be separated and wasted. Therefore the dam zoning was adjusted to permit also placement of lower
quality rockfill in the central part of the dam embankment. The adjusted dam zoning is shown in
Figure 2.

Figure 2. Adjusted dam zoning of NN2 CFRD

3

Observed deformations on constructed dams

Often it is assumed that for strong rockfills the settlements are small, less than about 1% of the
fill height. It is further commonly assumed that the settlements develop essentially during
construction.
Although these assumptions were correct for many dams, a few dams did show much more
settlements (Kjaernsli et al. 1992). More recent data of observed crest settlements are presented in
Figure 3.

Figure 3. Crest settlements observed

The 1st International Symposium on Rockfill Dams

For the 165 m high Atatrk dam in Turkey high post construction settlements developed. The
post construction settlement rate of 0.02 % per year, which can be considered as maximum
acceptable creeping pace after impounding, is even 10 years after completion of construction still
exceeded.
It has to be taken as a fact that deformations often exceed common values and are not always
predictable. Laboratory tests are restricted to small maximum particle sizes and do not always
reflect the behaviour of large size rockfill.
4

Factors influencing the deformations of rockfill dams

Factors influencing the magnitude of settlements are discussed in the following. Some information
are taken from an unpublished research by Victor Milligan and Lisa Coyne Review of factors
influencing the settlement of rockfill dams.
4.1 Particle size and shape
There is evidence that the modulus of deformation increases with increasing particle size. Tests by
Marachi et al. (1969) indicated that compressibility is highest for 150 mm particle size and least for
12 mm particle size. It has to be assumed that for particle sizes exceeding 150 mm the
compressibility will further increase. A similar effect has to be assumed for the shear strength of
rockfill. Increasing particle size somewhat reduces the shear strength depending on the basic
characteristics of the source rock.
The effect of particle shape on compressibility is well known. McDowell et al. (2004) stated that
the particle shape seems to have a greater effect (on compressibility) than mineralogy. There is a
pronounced reduction in modulus as the particle shape changes from rounded to angular.
4.2 Gradation and state of packing
It is well known that uniformly graded rockfill is much more compressible than broadly graded
rockfill. In general a uniformity coefficient of 30 is desired to obtain a reasonable gradation.
Gradation and density have an essential effect on the state of packing.

Figure 4. Compressibility as affected by: a) Packing; b) Gradation (after Kjaernsli 1965)

4.3 Wetting and compaction
The method of rockfill placement has a considerable influence on the compressibility of the rockfill.
Water added to the rockfill weakens the rock and induces breakage and crushing of the rock

The 1st International Symposium on Rockfill Dams

particles, in particular if the rockfill particles have a relatively high porosity. This will in general
cause increased settlement and result in an increase of the long term stiffness of the fill. It is also
well known that with smaller lift thicknesses and increased compaction energy the dam
deformations are reduced.
4.4 Effects of degradation
Degradation depends on the stress level and the strength of the rock particles. Under a given stress
level, the breakage of rounded particles is much less than that of angular particles. Well graded
rounded particles have more contact points and thus experience less stress at contact points. In
contrast uniform and sharply shaped particles experience much higher stresses at contact points
with an increasing potential for particle breakage and creep.
4.5 Predicted versus observed settlements
Although the various factors affecting the compressibility of rockfill are well known, it is not
always possible to predict the dam deformation with the desired reliability. Laboratory testing and
analytical modeling may not be sufficient to conclude on the dam behaviour, in particular the long
term creeping of the structure. It is a fact that the observed deformation can exceed the predicted
ones.
Some of the factors influencing the compressibility can be controlled by the construction
methodology. Other factors as the particle shape and strength can not be influenced, they are rather
given by the rock type.
Important is an adequate instrumentation of the dam and to compare the observed behaviour of
the dam with the predictions and observations.
4.6 Rockfill used at NN2
For NN2, the conditions of the rockfill are as follows:
- The particle size of the rockfill is relatively large and the particle shape is quite angular.
- The gradation of the rockfill is often uniform and gap-graded, with a lack of rock fragments
of gravel size.
-

The densities obtained after placement are adequate, although segregated areas observed
may lead to increased post construction settlements.
Due to the gap grading and the high sand content, wetting of the fill leads to the
development of a mud layer on the rockfill surface, which needs to be removed.
The amount of water effectively added to the fill is around 100-150 l/m3 which is
considerably lower than the initially foreseen amount of 250 l/m3.

The currently available information from settlement monitoring data indicate that there is a
significant increase of settlements at higher stress levels and also a tendency of quite pronounced
creep settlements. The modulus of deformation during construction has decreased from initial
values as high as 150 to 200 MPa to currently quite low to moderate values of around 30 to 70
MPa.

The 1st International Symposium on Rockfill Dams

Foundation Treatment

The geological formations at the dam site consist of medium bedded to massive cliff-forming
sandstone and interbedded thin to thick bedded siltstone. Three easterly trending folds whose axes
are nearly perpendicular to the Nam Ngum river are present at the dam site. The cliff-forming
sandstone is generally slightly jointed to massive, whereas the interbedded siltstone is moderately
to closely jointed. The quality of the foundation rock varies within the following limits:
- Sandstone: fresh, hard and slightly fractured to weathered and heavily fractured.
- Siltstone: fresh and hard to weathered, soft and slaking.
The foundation treatment at Nam Ngum 2 mainly aims on:
- Positive control of seepage below the plinth.
- Providing a stable and non-erodible foundation beneath and around the plinth.
- Protection of foundation rock susceptible to erosion.
- Levelling of abrupt irregularities in the dam foundation and very steep abutment slopes to
reduce differential settlements.
With respect to foundation treatment requirements the embankment foundation is divided into
three areas. The foundation for the plinth is considered separately since it has more stringent
requirements for rock quality and preparation.
The upstream third of the embankment is founded on fresh to slightly weathered rock. The
central part of the embankment is founded on slightly to moderately weathered rock. The
requirements for the downstream third are less rigorous, and the foundation on moderately
weathered rock is acceptable. At the riverbed the present dense alluvium of maximum 15 m
thickness was left in place only in the central part of the dam body.
Particular attention is paid to areas where the foundation of the dam consists of siltstone or
highly weathered or intensively fractured sandstone. Such foundation rock is susceptible to erosion
and requires special protection. For this purpose a 100 mm wire mesh reinforced shotcrete blanket,
covered by filters, is provided to cover the erodible rock within the foundation downstream of the
plinth up to a distance of 0.3 H (H = reservoir head) from the plinth. In addition, and within the
entire dam foundation area up to the downstream slope erodible foundation rock is protected by
filter material, normally 2A or 2B material and a transition layer as required.
At locations below or close to the plinth such features are additionally treated with dental
concrete. From about H/2 downstream of the plinth up to the downstream slope seams or joints are
protected by filter and transition layers.
In certain locations the abutments are irregular and vertical or even overhanging. At these
locations the rock surface is trimmed in order to create a rock surface against which well
compacted fill can be placed and thus reduce differential settlements. The requirements for the
slope inclination are most stringent close to the plinth and below the face slab and getting less
stringent towards downstream.
The plinth, which is laid out with horizontal contours normal to the plinth alignment is founded
on stable and non-erodible rock. Local gullies and depressions are backfilled with concrete.
For the plinth the concept of external and internal plinth is adopted. The total plinth width is
selected considering the Plinth Design Index as a function of the Rock Mass Rating (RMR) of the

The 1st International Symposium on Rockfill Dams

foundation rock, following the method suggested by Materon (2002). The maximum acceptable
hydraulic gradient depends on the quality of the foundation rock and ranges from minimum 2
(RMR < 20) to maximum 20 (RMR > 80).
The external plinth has a width of 10 m at its lowest point, which is sufficient to accommodate a
3-row grout curtain and two rows of consolidation grouting. This width is decreased to 8 m above
EL 230 masl, and to 6 m above level 290 masl to the dam crest. These widths are sufficient to allow
a 2-row curtain and a single row of holes to be drilled, together with the upstream and downstream
rows for consolidation grouting.
Due to the complex geology the grout curtain has a depth of about 2/3 of the reservoir head H.
Consolidation grouting is performed to a depth of 0.1 H.
An internal plinth of 3 m width in the lowest part, 2 m width in the central part and 1 m width in
the upper part is provided. To achieve the required total plinth width in areas of poor rock
foundation the internal plinth is extended by 150 mm thick reinforced shotcrete or concrete. A
conceptual sketch of the plinth is shown in Figure 5.

Figure 5. Dimensions of the plinth of NN2 CFRD

6

Face Slab

The dam is situated in a steep V-shaped valley. The concrete face slab has an area of about
88,000 m2 and the valley shape factor is A/H2 = 2.7 (A = face slab area). Considering this valley
shape factor, increased movements of the face slab panels towards the river bed and resulting
horizontal stresses in the central face slab panels are expected and are considered in the design.
Figure 6 shows the valley shape factor of NN2 plotted on the graph developed by Pinto (2007).
Assuming a deformation modulus of 50 to 100 MPa the conditions at NN2 are about the same as
at Campos Novos and Barra Grande CFRD where compression cracks on the face slab occurred.
The face slab is designed with a thickness of 0.3 + 0.003 H. At the upper portion of the central
slabs (above EL 293.4 masl) the thickness is somewhat increased to 0.4 + 0.0018 H to improve the
resistance of the slab under compression. The face slab is constructed in panels of 15 m width. At
the steep abutments the slab width is reduced to 7.5 m to cope with expected increased differential
settlements along the abutment slopes.

The 1st International Symposium on Rockfill Dams

Figure 6. Graph deformation modulus vs. valley shape factor (after Pinto 2007)
The vertical tension joints at the abutments are designed with bottom copper waterstop and
GB-waterstop system (see Figure 7) at the surface. An asphaltic bond breaker is applied at the
concrete surface at the joint. The central joints are designed as compression joints with 20 mm
thick compressible cork filler to allow some movement of the slabs towards the valley under
compression. At the bottom a copper waterstop and at the surface a GB-waterstop, without
corrugated rubber waterstop, is provided. To maintain the designed slab thickness at the joints, the
central loop of the copper waterstop is reduced and the chamfer at the slab surface is removed. The
perimeter joint is designed with copper waterstop at the bottom and GB-waterstop system at the
surface. A 20 mm thick bitumen painted wood filler is provided at the joint.

Figure 7. GB-Waterstop system

The face slab is constructed in two stages: Stage 1 up to EL 293.4 masl and stage 2 from EL
293.4 masl up to the top (connection to the parapet wall). The horizontal joint between the first and
second stage of the face slab is constructed as movement joint with 20 mm joint filler board and
bottom copper waterstop and surface GB-waterstop. This joint will reduce the compressive stresses
in slope direction.

The 1st International Symposium on Rockfill Dams

Double layer reinforcement of total 0.4 % in each direction is provided throughout the face slab.
The reinforcement ratio is increased to 0.5 % in each direction in an area of generally 20 m
perpendicular to the plinth alignment and up to 40 m from the plinth at the very steep right
abutment where higher stresses due to increased differential settlements are expected.
At the central slabs in an area of about 1/4 to 3/4 of the dam height, where the highest
compressive forces will occur, additional stirrups are provided to prevent buckling of the upper and
lower reinforcement under high compression. Anti-spalling reinforcement is provided along
compression joints.
For the ease of construction the extruded curb method is used for the upstream face
construction. Although constructed of lean concrete of low compressive strength (about 5 MPa),
the deformability of the extruded curbs is significantly lower than that of the underlain zone 2B
rockfill. Therefore, if the rockfill deforms and settles the relatively stiff curbs may not follow the
movements of the fill and potential voids may develop during dam construction.
When the concrete face is exposed to high water load (during impounding) the curbs may crack
in areas of voids. In this case the concrete slab is subject to rapid deformations and high stresses.
Therefore, the development of large voids beneath the concrete curbs must be avoided or already
developed voids should be filled before impounding as e.g. done at Karahnjukar CFRD where
extensive void grouting beneath the curbs and between face slab and curbs was performed.
To reduce the development of significant voids behind the curbs the curbs must be more flexible
to be able to move with the rockfill deformations. In this respect cutting of the curbs into smaller
pieces is promising. Therefore, at some recently constructed CFRDs in China the curbs were cut
vertically at the locations of the face slab joints before construction of the face slab. At NN2
grooves are excavated into the extruded curbs during its construction at each side of each face slab
joint to achieve predefined break lines in the curbs. During construction it was observed that
several cracks effectively develop along these grooves.
At a later stage of the project exploratory holes will be drilled through the face slab and curbs to
investigate if voids have developed between the face slab and the curbs or the curbs and the 2B fill.
If voids are encountered these will be grouted.
7

Dam Instrumentation

Instrumentation is provided to measure the performance of the dam and ancillaries during
construction, reservoir impounding and long term operation. Emphasis is given towards monitoring
the watertightness of the face slab and embankment deformations. The instrumentation system will
monitor the following behaviour:
- Movement of the perimeter joint and joints in the face slab.
- Deformation of the concrete face slab.
- Deformations within the dam body.
- Deformations on the surface of the rockfill and along the dam crest.
- Piezometric levels in the dam foundation and in the abutments.
-

Seepage quantities.
Location of seepage along the plinth.
Earthquake accelerations.

The 1st International Symposium on Rockfill Dams

Four main instrumented sections are provided and are located at chainages 140 m, 240 m, 340 m
and 440 m along the dam crest as shown in Figure 8. The section at chainage 340 m is through the
highest part of the dam.

Figure 8. Overview of the Nam Ngum 2 Dam Instrumentation

7.1 Concrete Face Slab Instrumentation
Movements of the concrete face slab relative to the plinth are measured by 3D joint meters. These
instruments measure movements of the slab normal to the joint (joint opening or closing), parallel
to the joint (joint shear in the plane of the concrete face) and normal to the concrete face
(settlement of the concrete face relative to the plinth). 3D joint meters are also installed along the
horizontal joint between the first and second stage face slabs to measure relative movements.
Movements of the concrete face slab panels relative to each other, along vertical joints, are
measured by 1D and 2D joint meters. Two lines of 2D joint meters are provided on the face slab,
parallel to the dam axis, at EL 346 masl (1 m above the minimum operation level) and EL 258 masl.
These 2D joint meters will measure movements normal to the slab (settlement of concrete face
slabs) and movements normal to the joint (joint opening or closing). 1D joint meters will be
installed to measure the movement across vertical joints in the face slab above reservoir FSL (at EL
376 masl). All joint meters are fixed to the top surface of the concrete without interrupting the
surface waterstop system.
Strain meters are provided in areas of the face slab where the highest deformations are
expected to measure the strain in the rebars (rebar strain meters) and in the concrete (concrete strain
meters) in three directions (all in one plane).
One inclinometer is installed on the surface of the concrete face slab at instrumented section 3
to allow monitoring of deflections of the face slab. Tiltmeters are provided at 20 m vertical
intervals on the surface of the concrete face slab at all four instrumented sections.

The 1st International Symposium on Rockfill Dams

7.2 Instrumentation in and along the dam body

Three vertical settlement gauges with inclinometer tubing are installed in the dam body 90 m
downstream of the dam axis, on instrumented sections 2, 3 and 4. These installations include a
series of magnetic plates located at 6 m intervals. The inclinometer tubing combined with the
magnets allows both settlements and inclinations to be measured. The settlement data allows the
vertical modulus of deformation of the rockfill to be determined during construction. The probe
inclinometer readings enable deformation monitoring of the dam body in two orthogonal directions
(parallel to the dam axis and normal to the dam axis).
Vertical movements within the dam body are also monitored using hydrostatic settlement cells.
Three rows of cells are installed through the embankment at EL 319 masl in instrumented sections
2, 3 and 4. An additional row of cells is provided at EL 259 masl in instrumented section 3.
Transverse movement of the rockfill is measured by fixed embankment extensometers (soil
strainmeters), which are installed horizontally next to the rows of hydrostatic settlement cells at EL
259 masl and 319 masl.
Surface displacement points will be installed on the face slab at intervals of 50 m at EL 346
masl (1 m above MOL) and EL 260 masl. Displacement points will also be installed along the top
of the parapet wall and on the downstream berms at EL 319 masl and EL 259 masl.

Figure 9. Nam Ngum 2 Instrumented Section 3

Three strong motion accelerographs will be provided to record earthquake acceleration and
structural response from seismic activity. Accelerographs will be installed at the crest and on the
downstream berm at EL 319 masl, across instrumented section 3. The third unit will be installed on
the foundation bedrock at the downstream toe of the dam (at instrumented section 4).
Three total pressure cells are provided to measure the combined pressure of vertical stresses
due to embankment load and pore water pressure. The vibrating wire cells are installed on the dam

The 1st International Symposium on Rockfill Dams

foundation at EL 200 masl (along instrumented section 3), along the dam axis, and 100 m upstream
and downstream of the axis.
A fiber optic temperature monitoring system is installed along the downstream side of the
plinth to allow water leakage detection. The system consists of two 900 m long temperature sensing
cables each with four optical fibres. By scanning the entire length of the fibre at short intervals (1
m), the temperature profile along the fibre can be determined to identify leaks.
Water pressure cells (vibrating wire piezometers) are provided to monitor the water pressures
in the foundation rock, and to provide an indication of the effectiveness of the grout curtain. These
instruments are installed in boreholes drilled from the foundation surface. Rows of piezometers are
installed along instrumented sections 1, 2, 3 and 4. A pair of instruments will be installed both
upstream and downstream of the grout curtain. A single piezometer will be installed immediately
downstream of the perimeter joint in the zone 2A material, and the others will be located at regular
intervals under the dam body.
Open standpipe piezometers are provided along the abutments to measure ground water
pressures.
A seepage measuring weir (chamber with a V-notch weir) constructed at the downstream toe of
the dam measures the amount of seepage through the dam and abutments.
References
[1] Materon, B., Responding to the demands of EPC Contracts, Water Power and Dam
Construction, August 2002.
[2] Pinto, N.L.S., A challenge to very high CFRD dams: Very high concrete face compressive
stresses, 5th International Conference on Dam Engineering, Lisbon, February 2007.
[3] Kjaernsli, B., Compressibility of rockfill and deformation of rockfill dams, NGI Publication
196, 1965.
[4] Kjaernsli, B., Valstad, T., Heg, K., Rockfill Dams Design and Construction, Hydropower
Development, Vol. No. 10, Division of Hydraulic Engineering, Norwegian Institute of
Technology, Trondheim, 1992.
[5] Cooke, J.B., The concrete-faced rockfill dam, Water Power and Dam Construction, Vol. 43,
No.1, Jan. 1991.
[6] Lawton, F.L., Lester, M.D., Settlement of Rockfill Dams, Proceedings, ICOLD, Vol. III,
Q.32-R.2, Edinburgh, 1964.
[7] McDowell, G.R., W.L. Lim, A.C., Collop, R. Armitage and N.H. Than, Comparison of
ballast index tests for railway trackbeds, Geotechnical Engineering Proc. Inst. Civil Eng.
July, 2004.
[8] Marachi, N.D., C.K. Chan, H.B. Seed and J.M. Duncan, Strength and deformation
characteristics of rockfill materials, Report No. 69-5, Dept. Civ. Eng., Univ. California,
Berkeley.