Considerations on materials for high embankment dams

Roger Albert Coyne et Bellier 9 alle des Barbanniers 92632 Gennevilliers - France Etienne Frossard

Introduction The design of high embankment dams requires a great deal of precaution; first of all, thorough knowledge of the physical and mechanical characteristics of the materials likely to be used must be acquired, and it must be established which specifications these materials have to comply with in order to achieve the best result. For large dams with internal cores, the need for a clear vision of material properties and placement conditions is widely recognized; and exhaustive studies are generally carried out to ensure the required stability and to keep deformations within the acceptable range. High concrete-faced rockfill dams (CFRD) have been increasingly popular in recent decades. The apparent simplicity of this type of dam is indeed an answer to the increasing pressures on costs and construction times. Within the framework of an almost standardized design of CFRD dams, less attention was sometimes paid to the study of the mechanical characteristics of the materials used. The empirical approach often advocated for this type of dam is certainly behind the following strange observation: the slopes of the CFRD dams built throughout the world do not generally depend on dam height, in spite of the fact that for a given rockfill size distribution, the internal friction decreases significantly as stress levels rise. Tests for characterizing the materials and calculations are wrongfully often considered to be unnecessary for CFRD. However, some recent failures of several concrete facings prove the need for caution. As for any high dam, detailed studies including elaborate calculations are necessary in order to improve the likelihood of obtaining the required safety margin; they should be based on a good knowledge of the geotechnical parameters of the materials to be used. This paper presents the principles of a new approach based on the theory of fracture mechanics which enables better assessment of the impact of element size on mechanical properties of rockfill such as deformability and shear strength. Associated with the parameters of dam height and slope, it enables the impact on dam stability to be assessed. Problems encountered with rockfill dams with internal clay cores in the past; advances in knowledge of the mechanical characteristics of materials used in rockfill dams. At a conference in Vienna, Arthur Casagrande presented a paper (1965) about earthfill and rockfill dams at a time when dams of this type were getting larger. Relating several cases where cracks appeared in the fill, he warned about the possible consequences of continuing to build such dams without compacting the rockfill and without studying the shear strength and deformability of the materials used. He strongly refuted the opinion of several engineers who considered such cracked dams to be safe. A large part of Casagrandes presentation was devoted to results of triaxial tests. At that time, renowned Mexican expert Raul J. Marsal had built the largest available triaxial apparatus, with a diameter of 113 mm, for which the lateral pressure could be taken to 2.5 MPa. This triaxial cell capable of testing crushed rock or gravel up to a size of 20 cm was used to study the materials to be placed in the Mica dam (242 m high, Canada, completed in 1973). Casagrande, Sherard, and other engineers helped define sound principles and design criteria for designing safe embankment dams; in particular, they insisted on the need for good filters downstream of the core. At the same time, as for Mica dam, efforts were being made to better define the characteristics of the materials used in embankment dams and to study the effect of various parameters on shear strength and deformability. Several major publications in the 1970s (Marachi and all (1969), Leps (1970), Charles and Watts (1980), Barton (1981)) compiled the results obtained on rockfills of various origins. For rockfill, it was already clear that the friction angle decreases with increasing mean stress and that many other parameters influence the characteristics of rockfill: relative density (as a result of the compaction energy), particle strength and shape, gradingin particular the maximum size of the aggregates, and moisture content.

For instance, a paper of Barton (1981), shows that for materials compacted to the same density with geometrically similar grading, the smaller the elements are, the higher the friction angle of the material is. Still, no clear guidelines were given on taking account of the impact these various parameters have on the characteristics of rockfill. For the core material, the main concern was to limit settlement due to consolidation and to maintain low permeability. Low settlement was sought in order to prevent development of an arching effect along the lateral transition, which may be the cause of dangerous horizontal cracks. This was often achieved by mixing fine material with natural gravels and even cobbles. The parameters to be studied are the grading curvein particular the percentage of fines (<80 m), density, and water content, with impacts on deformability, permeability, the pore pressure coefficient, and shear strength. It is obviously time consuming and expensive to carry out a complete programme of lab tests aimed at studying the impact various parameters have on characteristics, as it requires special very large apparatus. This investment in terms of time and money was made for several high dams constructed or studied in the 1960s and 1970s, as Mica, El Infiernillo, Oroville, and others, in order to make sure that all the low-deformability and stability requirements were met. This need for thorough studies of the characteristics of materials placed in high rockfill dams with internal clay cores is still felt today. For instance a large programme of tests was carried out on the materials placed in Gotvand dam (180 m high, Iran, construction in progress) for both the core and the shoulders. The conglomerates constituting the shoulders, whose maximum size is around 200 mm, were subject to triaxial tests of normal size but also to large triaxial tests ( 80 cm). Nevertheless, generally speaking, there has been a clear slowdown in the efforts made to understand the shear strength of rockfill material in large dams since the 1980s: In ICOLD bulletin 92 published in 1993, it was observed that large apparatus was no longer used so often, because of the high cost of equipment and testing; as written, this raises the question of the representativeness of the rockfill tested. Almost no new results have been obtained in the study of the effects of several parameters on rockfill characteristics; as recalled by J.M. Duncan recently (2004), data are available that have not yet been thoroughly evaluated.

This evolution can be observed for concrete-faced rockfill dams in particular. It is not uncommon to see major CFRD dams designed and built without any tests being carried out to determine the shear strength of the rockfill. All the tests and design considerations are generally concentrated on the deformability of the material placed in the dam. The explanation for this change in thinking can be found in the design principles for this type of dam (see next section). Recent problems encountered in several high CFRD dams are leading to reconsideration of the need for more thorough tests. Some basic statements and design principles for CFRD The design principles and statements for concrete-faced rockfill dams were set out by Barry Cooke in several conferences, as for instance in 1993, at the International Symposium on high earth/rockfill dams. The approach advocated was purely empirical, with the permanent concern of reducing the cost of CFRD dams: the design and construction specifications were standardized, based on previous experience; lab tests and calculations were considered to be unnecessary, except possibly for weak rocks. Static analyses were also considered to be unnecessary: the slopes may be 1.3H, or 1.4H for high dams. This empirical approach in CFRD design was successfully applied in many countries and very rarely called into question. Nevertheless, recent events observed in several high CFRD dams which have resulted in very significant leakage compel us to stand back from this approach somewhat. As Casagrande and other engineers did forty years ago when cracks were observed in embankment dams, before continuing to design and build even higher dams, engineers have first to understand better the reasons for such unexpected events, and then define the precautions to be taken in design. Problems recently encountered with CFRD dams; present reactions Recently, several serious problems tarnished the start of operation of three high CFRD dams: Mohale (145 m, Lesotho), Barra Grande (185 m, Brazil), and Campos Novos (202 m, Brazil). They followed other difficulties encountered for other dams of this type: TSQ1 in China, various in Brazil. These problems consisted in the development of cracks in the concrete face slab, in part being located along a vertical joint in the central part, the others being almost horizontal and located in the lower part of the face. At the same time significant leakage

appeared through the dam bodies (table 1). Cracking such as this is the result of excessive compressive stress in the concrete slab due to high compressive strains in the underlying rockfill being transmitted to the slab by friction at the interface. Even after repair, leakages remain high, as shown in table 1. Such persistence is a real concern on the long term performance of these dams. Campos Novos Barra Grande Mohale Before repairs 1400 l/s 1200 l/s 600 l/s After repairs 1200 l/s 800 l/s 400 l/s Table 1 Leakage recorded at Campos Novos, Barra Grande and Mohale dams The problems that have occurred with high CFRD dams can be explained by the practice of empirical extrapolation which prevails in the design of this kind of dam. The CFRD design approach therefore has to change. For the time being, as outlined at Florianopolis Symposium in Brazil (2007), the measures that have been taken in new projects to cope with large compression in the concrete face of high dams are: obtain a more rigid rockfill, decrease the friction coefficient between the concrete face and the rockfill, and provide more efficient compression joints. But there also needs to be evolution in the form of a set of rational design criteria and methods based on analysis of the behaviour of the structure, as is done for other types of dams. Do high rockfill dams have adequate safety factors? Slopes of high ECRD dams are mainly determined on the basis of considerations of their stability, depending directly on shear strengths of materials placed in the dam; the deformability of the materials is also generally studied with great care, with a view to reducing the long-term differential settlement between shoulders and core. For CFRD dams, attention is mostly paid to the deformability of the rockfill, and very little is said about shear strength, as if with the usual recommended slopes there could be no possible doubt. Figure 1a gives the downstream slope of CFRD dams in relation to the height of the dam. The downstream slope depends mainly on the shear strength of the rockfill and is therefore of much more interest.
2,5

2,50

2
Mean value

Downstream slope

Downstream slope

2,00

1,5

1,50
General H>150m - Inclin. core Min.slope

1 0 50 100 150 200 250

1,00 0 50 100 150 200 250 300

Dam height (m)

Dam height (m)

Downstream slope in relation with the dam height Figure 1a CFRD dams Figure 1b ECRD dams The following observations can be made on figure 1a: dams have generally been scrupulously built with the slopes recommended in the present State of the Art for CFRD, and this for a large variety of rock types: 1.3 H/1V or 1.4 H/1V. the line correlating downstream slope to height is horizontal, and corresponds to a mean value of 1.45 H/1V.

The fact, illustrated by this figure, that dam slopes do not depend to any great extent on either rock characteristics or dam height is very consistent with the generally accepted prescriptions for CFRD, but is not logical. Figure 1b shows that high ECRD dams, including dams with inclined cores (having very little influence on downstream slope stability), have a gentler slope: not less than 1.8H for 1V, with a tendency for slope to increase with dam height. For lower dam heights, slopes are similar to CFRD slopes. Yet it has been known for decades that because the increase in shear strength of rockfill is not a linear function of stress increase, the slopes of rockfill dams should become gentler as dam height increases (Charles and Soares, 1984) in order to maintain the same safety margin. This suggests that attention should increasingly be

paid to the conditions of stability of these structures, evaluated on the basis of thorough analysis of the characteristics of the materials placed in the dam. The next sections summarize the principles of a new approach, already presented in recent papers (Frossard 2006 and 2007), which highlights how the stability safety factor of such dams is sensitive to dam height and rockfill particle size and provides a better approach to determining rockfill deformability. Towards a more rational approach to rockfill characteristics for assessment of stability and deformability of high dams Recent work on materials behaviour and effects on stability and deformability of rockfill dams has brought to light an essential result: the effect of grain breakage within the rockfill under increasing loads, during construction, during reservoir filling and during dam operation. Basics of grain breakage The basics of grain breakage when internal forces evolve in granular media may be summarized as follows: when contact forces increase, the failure threshold is exceeded in some grains, which fail; these failuresessentially indirect tensile failuresresult from sudden propagation of pre-existing micro-cracks inside grain material, and are governed by the laws of fracture mechanics;

Figure 2 Grain breakage

For a wide range of mineral materials, the central trend is that average failure stress in rock particles is, on average, inversely proportional to the square root of the stone diameter (see the classical results published by R. Marsal). For a given breakage factor, the average macroscopic stress that can be sustained by a granular medium will, on average, be inversely proportional to the square root of a characteristic grain diameter. Evidence of scale effects on rockfill shear strength, from experimental data Experimental compilation published by Barton in 1981 presented various sets of large triaxial test results, performed on groups of rockfill samples of the same parent rock, of the same density, whose grading curves were geometrically similar. These results demonstrated that the shear strength decreased with coarser grain sizes or, looking at it another way, that keeping the same shear strength requires to lower confining pressure for larger grain sizes. Fracture mechanics suggests that, for a material from the same quarry, the shear strength of a rockfill of characteristic diameter D1 may be transposed to another rockfill of characteristic diameter D2 with a geometrically similar grading by an affinity of D1 . As demonstrated a recent paper (Frossard 2006), Barton results are well explained by using this affinity. It can be concluded that starting with measured data on small gravel with the same porosity and geometrically similar grading, it is possible to determine the shear strength of a rockfill made of much larger elements. Scale Effect Rule on shear strength envelope In the above sections, failure stress in stones is assumed to be distributed according to a power law applied to the characteristic diameter whose exponent is -1/2. However this value has to be considered as an average and tests carried out by Marsal showed that there is some scatter. If we use coefficient m of the Weibull statistical theory for the probability of survival within a population of fragile objects exposed to stress conditions nearing failure, the general form of the exponent is -3/m (m=6 corresponding to the average value). The shear strength envelope measured on a granular medium G0 of characteristic diameter D0 can be b approached by an equation of the form: G 0 ( n ) = AG 0 . n with b<1. The above scale rule has been shown (Frossard 2006,2007) to allow finding the equation of the same type for another granular medium G1 of characteristic diameter D1, provided the parent rock and density are the same:

D2

 D1 G1 ( n ) = AG 0 . D 0

3 (1 b ) m

. nb

(1)

Such integration of the scale effect inside the shear strength envelope makes it possible to determine the effect of rockfill grain size on stability and, therefore, its effect on the design of embankment dams. Incidence of scale effects on rockfill slope stability The effect of rockfill size included in equation (1) can be associated with the effect of the parameters dam height and slopes by using the work of Charles & Soares published in 1984; in this publication, the stability of rockfill slopes is analyzed using the Bishop method of slices with the power-law shear strength relation. As a result of Charles and Soares studies, the value of the safety factor is determined by the expression: F
s

. A ( .H )1b

, where H is the height of the dam,

and is an adimensional stability function which remains the same for geometrically similar slopes of different heights built with the same uniform rockfill. Figure 3 of ref.8 shows that the relationship between and cot is linear: =c+d.cot , cot being the slope; the values of the coefficients are c=0.69 and d=1.28. Therefore, for a same parent rock, the safety factor of a combination (D,H, ) can be deduced from another combination (D0,H0, cot 0) through the following relation:

H Fs (H , D, ) = Fs (H 0, D0 , 0 ) H0
(see figure 3)

( b 1)

D . D 0

3( b 1) m

c + d . cot . c + d . cot 0

.(2)

Granulometry
% finer

Shear Strength

G(D0) G(D) D0 D

b = A. n

Size (H) and slope() of works

H0 G(D0)
0

H
G(D)

Figure 3 - Impacts of scale effects on safety factors.: rockfill granulometric size, dam height and slopes Application examples: Assuming a b coefficient equal to 0.77 and m=6: from a reference dam 100 m high, the safety factor of a 200-m-high dam with the same slope and the same rockfill granulometry will be 15% less. If the slope of the reference dam is 1.4H/1V (cot =1,4), the safety factor can be maintained if the slope of the 200-m-high dam is increased to 1.77H/1V. if the characteristic diameter of rockfill for the reference dam is 40 cm, and if the characteristic diameter for the 200-m-high dam is increased to 100 cm, then the safety factor decreases by an additional 10%. if, now, for economic reasons, the slope 1.4H/1V for the 100-m-high reference dam is increased to a slope of 1.3H/1V, then the safety factor decreases by an additional 5%.

It must therefore be stressed that the safety margin in extrapolated projects can be heavily reduced, compared to the reference prototypes.

Used in reverse, relation 2 concerning the safety factor (above) may be used to determine what grading restrictions and what slopes may be used in the projected works to maintain the safety factor at the same level as in the reference prototype. The trend outlined above confirms and explicitly develops numerical testing performed previously by some investigators such as P. Texeira da Cruz (1999). Scale effects in rockfill dam deformation The previous section highlighted the fact that the safety margin is certainly lower in high rockfill dams if the slope adopted for lower dams has been kept or even reduced. The principle of a safety factor (1.5, for instance, for the usual loads) is to keep deformation within a reasonable range. For the same rockfill, the lower the safety factor is, the greater the deformation will be. In cases recently reported in Brazil and Lesotho, this observation could partly explain the failures reported in the upstream concrete face. But another effect due to settlement micromechanisms is horizontal contraction strains resulting from wedging of the dam body between the abutments in the case of a narrow valley, as a dam settles under impounding loads. Horizontal compression strains are then induced in the facing which may reach failure. This matter has been developed in recent papers (in particular Frossard 2006). Deformability of dam-body rockfill is a key parameter deserving careful study. The laws governing grain breakages are applicable as they explain an essential part of the compressibility of rockfill under increasing loads. Therefore, for different sets of units with geometrically similar grading taken from the same parent rock and compacted to the same voids ratio, the modulus of rigidity should be inversely proportional to the square root of D80. Figure 4a) shows the statistical correlation pointed out by Hunter & Fell (2003) between the rockfill rigidity modulus and the coarse fraction characteristic D80.

Figure 4 Rockfill rigid. modulus- Correlations with (a) granulometry and (b) layer thickness The corresponding dotted trend lines superimposed on the diagram show that grain-breakage scale effect appears a sound explanation for most of the correlation detected by Hunter & Fells; for rockfill with large units (right side of the diagram), the decay of the rigidity modulus with block size appears to be more pronounced in the data than as predicted by grain-breakage scale effects; for the authors, this may be due to the reduced efficiency of the usual compaction methods when dealing with larger rockfill units. Figure 4-b) shows a practical correspondence diagram for the observed rockfill rigidity modulus in various rockfill dams and layer thickness used in their construction, published by P. Johannesson in 2007. Noting that layer thickness is generally set approximately equal to the maximum block size, the scale effect due to grain breakage may also play a role in this diagram, considering the layer thickness instead of the rockfill DMax; corresponding trend lines on the diagram display similar pattern as in fig.4a. Need for tests; proposed procedure for rational assessment of rockfill shear strength envelope These days a rockfill material is practically never adequately tested for shear strength because of the size of the apparatus required and the corresponding costs and times for testing, even for medium sized rockfill units. Tests are often carried out on triaxial samples of dia.30 cm, with corresponding maximum element size around 5 cm; sample granulometry is defined either by geometrical similarity or by just scalping the rockfill at the

maximum possible size. The transposition of such lab results to the rockfill placed in the dam deserves clarification.

Figure 5 - Procedure for rockfill shear strength assessment In this discussion, the above results on scale effects introduce a new method for assessing the shear strength envelope of a given rockfill material in a three-step procedure involving a set of reasonable laboratory tests: a) b) perform a large set of normalized rock mechanics crushing tests (Protodiakonov or Franklin tests) as a function of grain diameter to fit a Weibull distribution on the crushing strength; perform a set of shear tests (triaxial or other) on gravel sized material from the same parent rock (materials of different sizes with geometrically similar grading and the same voids content) in order to define the shear strength envelope for gravel sized material; use the Scale Effect Rule, with the measured Weibull statistical parameter m, to assess the rockfill shear strength envelope from the measured gravel envelope.

c)

Prudently limiting the scaling factor (D1/D2) to 15, this procedure, summarized in figure 6, would enable the shear strength envelope of rockfill up to DMax= 600mm, which is representative of most practical situations, to be assessed from triaxial tests on gravel sized material up to DMax= 40mm, which can be used in apparatus for testing 250-mm-diameter specimens. Conclusions As stated above, when high rockfill dams with central clay cores were designed forty years ago, thorough studies were carried out into the characteristics of the materials to be placed in order to assess the stability safety margin and to assess deformations of the shoulders and the core. For most high rockfill dam projects this is still necessary. For CFRD dams, however, the situation is different because of a state of the art which states that no statics calculations are necessary and that even for high dams a standard 1.4H/1V slope can be applied for any type of good-quality rock. The authors of this paper do not consider that CFRD dams are any exception to the general rule for high dams: CFRD dams cannot be designed empirically; every project is unique, particularly large dams, needs lab tests, field tests then calculations reproducing as closely as possible the project conditions. As for other types of embankment dams, CFRD slopes have to be selected and justified on the basis of the usual stability calculations. The non-linearity of shear strength as a function of mean stress means that shallow surface areas are not necessarily the most critical. The considerations presented above stress the requirement for significant testing programmes to assess the key characteristics of materials used in the bodies of large rockfill dams. This paper proposes a procedure for tests based on the use of the scale effect resulting from grain breakage, which enables tests to be carried out on samples of reasonable size and to deduce from those results the characteristics of the rockfill grading that will be placed in the dam.

On such high structures, thorough calculations taking account of pertinent rheological laws and all particular features and mechanisms of the dam have to be carried out. For CFRD dams, many aspects have to be introduced into the model: construction sequences (rockfill and concrete face), three-dimensional behaviour of the rockfill, the concrete face and, if used, curb elements (requiring a 3D model), division of the face into slabs, with interface elements simulating the behaviour of the joints, interaction between the concrete face and the rockfill (introduction of joint elements). Everything considered, it is the authors opinion that high CFRD dam calculations are complex, possibly more complex than the calculation of arch dams located in narrow valleys. REFERENCES 1. 2. 3. 4. 5. 6. 8. 10. 11. 12. 13. 14. 15. 16. 17. Casagrande A.(1965) - High earth and rockfill dams Mitteilungen des Intitutes fr Grundbau und Bodenmechanik Technische Hochschule Wien N.D.Marachi and all (1969) Strength and deformation of Rockfill Report N TE-69-5 Dept. of Civil Engineering/Geotechnical Engineering- Univ. of California - Berkeley. (140p) Leps, T.M.(1970) Review of the Shearing Strength of Rockfill, J.of Soil Mech.& Found. Div. ASCE, Vol.96 n SM4 July 1970, p. 1159-1170 Marsal R. (1973) Mechanical properties fo rockfill - Embankment dam engineering, Casagrande Volume Wiley & Sons New York p. 109-200 Charles and Watts (1980) - The influence of confining pressure on the shear strength of compacted rockfill Gotechnique, Vol.30, N4, p.353-367 Barton N., Kjaernsli B. (1981) Shear strength of Rockfill J. of Geotechn. Engin., Div. ASCE, Vol. 107, N GT 7, July 1981, p.873-891 Charles and Soares (1984) Stability of compacted rockfill slopes Gotechnique 34, N1 (lun des premiers papiers montrant Cooke J.B. (1993) Rockfill and rockfill dam International symposium on high earth-rockfill dams Beijing, China October 26-29 Teixeira da Cruz, P. (1999) Sobre a estabilidade de barragens de enrocamento II Simposio sobre Barragens de Enrocamento com Face de Concreto - Florianopolis, 0ct 99- pp 91-98 Hunter G., Fell R. (2003) Rockfill modulus and settlement of concrete rockfill dams - J. of Geotechnical Engineering ASCE Vol. 129, N 10-Oct 2003J.M. Duncan (2004) Friction angles for Sand, Gravel and Rockfill Lecture at the Kenneth Lee Memorial Seminar Long Beach, California- 28 / 04 / 04- (13p) Symposium on CFRD dams Honoring Barry Cooke (2007) Florianopolis October 2007 Frossard E. (2006) A new energy approach in granular media mechanics- Applications to rockfill dams C.R. XXII ICOLD- Barcelona- Q.84, Vol V- Juin 2006 Frossard E. (2007) Safety of large rockfill dams: scale effects in rockfill shear strength, and in safety factors ICOLD Internatl. Symposium on Dams Safety Management St Petersburg June 2007 Johanesson P.(2007) Design improvements of high CFRDs constructed of low modulus rock - III Symposium on CFRD dams Honoring Barry Cooke Florianopolis October 2007

The Authors Roger Albert is a graduate civil engineer (M.Sc.) of the Ecole Centrale des Arts et Manufactures in Paris. He is a Senior Expert with Coyne et Bellier, France. His 38-year career has been almost entirely devoted to the design and construction of hydropower projects and large multipurpose concrete and embankment dams. As Project Manager or as Expert, he has or is still taken part in many projects for hydroelectric power plants covering a wide range of installed capacities, various types of earth and rockfill dams, several concrete dams of various types. Besides project management, his main fields of expertise are civil works design and soil mechanics. He is the author of more than 15 scientific papers on dam design and soil mechanics. Etienne Frossard is a graduate civil engineer (M.Sc.) of the Ecole Centrale des Arts et Manufacture in Paris, and a Doctorate (PhD) from the Ecole Nationale Superieures des Mines de Paris. His 32 years professional career, developed in various French consulting engineering companies, chiefly in the design and construction of numerous large hydraulic projects worldwide, involving hydropower plants of a wide range of capacities, rockfill dams, concrete dams, and large waterworks infrastructures. He works presently at Coyne et Bellier as an expert in dams and hydro projects, and as project director for large projects. He is author of some 32 technical and scientific publications about various aspects of dam engineering. He has been involved in various national research programmes in France, about RCC dams and technology, rockfill dams behaviour and materials, and soil mechanics.