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A case study on the post-construction deformation of concrete face rockfill

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Article  in  Canadian Geotechnical Journal · June 2008

DOI: 10.1139/T08-020

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 845

A case study on the post-construction

deformation of concrete face rockfill dams
Myoung-Soo Won and You-Seong Kim

Abstract: Concrete face rockfill dams (CFRDs) are considered to be fundamentally safe, especially against leakage, and
to be a low-cost alternative at many sites. Their design is based on empirical experiences rather than theory. The present
paper describes post-construction deformation and leakage using 27 CFRD case studies. The analysis shows that deforma-
tion normal to the face slab is larger than the post-construction crest settlement when the dam height exceeds 100 m and
that the long-term leakage rate increases rapidly when the dam height exceeds 125 m.
Key words: CFRD, dam, rockfill, crest settlement, concrete face slab, leakage.
Résumé : On considère que les barrages en enrochements avec face amont en béton (« CFRD ») possède une sécurité fon-
damentale, particulièrement contre les fuites et ont été une alternative à bon marché pour plusieurs sites, de plus leur
conception est basée sur des expériences empiriques plutôt que sur la théorie. Le présent article décrit la déformation après
construction, et les fuites au moyen de 27 études de cas de CFRD. L’analyse montre que la déformation normale à la face
de la dalle est plus grande que le tassement de la crête après construction lorsque la hauteur du barrage dépasse 100 m, et
le taux de fuites à long terme augmente rapidement lorsque la hauteur du barrage excède 125 m.
Mots-clés : CFRD, barrage, enrochement, tassement de la crête, dalle de la face en béton, fuites.
[Traduit par la Rédaction]

Introduction Cooke 1987). Fitzpatrick et al. (1985) developed two mod-

A rockfill dam rendered waterproof by concrete slabs on
the upstream slope surface instead of by a central earth
core is called a concrete face rockfill dam (CFRD). Con-
crete face rockfill dams have become increasingly popular
in many parts of the world during recent decades (Sherard
and Cooke 1987, Khalid et al. 1990, Uddin and Gazetas
1995, Xing et al. 2006) due to their advantages (such as
cost-effectiveness and great suitability at many sites) over
central earth core dams. However, the design of the CFRD
is still largely empirical and is based on past experiences
rather than theory. Cooke (1984) has described how CFRD
design has evolved through a process that is more evolu-
tionary than revolutionary, wherein engineering progress
came about principally as a consequence of cautious trial
and error. Current design trends and the construction and
performance records of many recent dams can be found in
the proceedings of a 1985 American Society of Civil Engi-
neers (ASCE) symposium (Cooke and Sherard 1985) and in
an accompanying issue of the ASCE Journal of Geotechni-
cal Engineering (Cooke and Sherard 1987, Sherard and
Received 21 February 2007. Accepted 10 January 2008.
Published on the NRC Research Press Web site at cgj.nrc.ca on
18 June 2008.
M.-S. Won.1 Department of Civil Engineering, Kunsan National
University, San 68, Miryong-dong, Kunsan, Jeollabuk-do, 573-
701, Republic of Korea.
Y.-S. Kim. Department of Civil Engineering, Chonbuk National
University, 664-14 Deokjin-dong 1Ga, Deokjin-ku, Jeonju,
Jeollabuk-do, 561-756, Republic of Korea.
1Corresponding author (e-mail: wondain@kunsan.ac.kr).
uli based on the observed deformation behavior of rockfill
during construction and on first filling, for the assessment
of the deformation behavior of rockfill. Hunter and Fell
(2003), using a database of case studies that included
35 CFRDs, gathered good quality monitoring records and
construction material data to estimate the modulus of com-
pacted rockfill in dams — based on the particle size, the
unconfined compressive strength of the rock, the compac-
tion effect, the valley shape effect, and the applied vertical
stress — to predict the internal vertical displacement in
close proximity to the embankment centerline during con-
struction and the face slab deformation on first filling.
Clements (1984), Sherard and Cooke (1987), Hunter and
Fell (2003), and Hunter (2003) have suggested empirical
predictive methods for the post-construction deformation
based on the historical deformation curves for similar em-
bankment types. Hunter (2003) presented a guideline to
predict embankment deformation behavior during construc-
tion, first filling, and post-construction using a database of
36 CFRDs. There are a few studies that use the case data
from many CFRDs to compare the long-term post-
construction crest settlement with the crest settlement on
first filling of the reservoir; the long-term deformation with
first filling deformation normal to the face slab; the crest
settlement with the deformation normal to the face slab;
and the relationship of leakage and dam height (Sherard
and Cooke 1987, Hunter 2003). To understand the general
post-construction deformation behavior of CFRDs, the
present study analyzes and describes the crest settlement
and deformation normal to the face slab, the strain in the
face slab, and the leakage on first filling and during long-
term post-construction using the database produced by
Hunter (2003) and other references.

Can. Geotech. J. 45: 845–852 (2008) doi:10.1139/T08-020 # 2008 NRC Canada

846 Can. Geotech. J. Vol. 45, 2008

Table 1. Case studies information on concrete face rockfill dams (data from Hunter 2003).

Year Height, Length, Foundation (soil/

No. Name Location Completed H (m) L (m) rock) Rockfill source Particle shape
1 Aguamilpa Mexico 1993 185.5 475 Rock-gravels in Dredged alluvium Rounded
part of river
section
2 Alto Anchicaya Columbia 1974 140 260 Gravels in river Hornfels A
section
3 Bastyan Australia 1983 75 430 Rock Rhyolite (SW to FR) A
4 Cethana Australia 1971 110 213 Rock Quartzite, quarried A
5 Cheongsong(Lower) Korea 2004 62 300 Rock Granite A
6 Cheongsong(Upper) Korea 2004 90 400 Rock Green sandstone A
7 Crtotty Australia 1991 83 240 Rock Gravels Rounded
8 Foz Do Areia Brazil 1979 160 828 Rock Mix basalt, basaltic breccia A
9 Golillas Columbia 1978 125 107 Rock Gravels, unprocessed Rounded
10 Ita Brazil 1999 125 880 Rock Breccia and basalt A
11 Kangaroo Creek Australia 1969 60 178 Rock, some Schist A to subangular
gravels
12 Kotmale Sri Lanka 1984 90 560 Rock Charnockitic/gneissic A
13 Little Para Australia 1977 53 225 Rock Dolomitic siltstone A, elongated?
14 Mackintosh Australia 1981 75 465 Weathered rock Greywacke, some slate A, elongated
15 Mangrove Creek Australia 1981 80 380 Rock Siltstone, sandstone A to subangular?
16 Miryang Korea 2001 89 535 Rock Andesite —
17 Murchison Australia 1982 94 200 Rock Rhyolite (SW to FR) A
18 Namgang Korea 1999 34 1126 Rock, some Gneiss —
gravels
19 Reece Australia 1986 122 374 Gravels in river Dolerite A
section
20 Salvajina Columbia 1984 148 362 Rock and soil, Natural gravels (zone 3A), Rounded(3A)
gravels in river weak sandstone and silt- A?(3B)
section stone (3B)
21 Segredo Brazil 1972 145 720 Rock Basalt (<5% basaltic breccia) A
22 Shiroro Nigeria 1983 125 560 Rock Granite A
23 Tianshengqiao-1 China 1999 178 1168 Rock Limestone and mudstone A
24 Tullabardine Australia 1979 25 214 Rock Greywacke, some slate A, elongated
25 White Spur Australia 1989 43 146 Rock Quarried tuff – SW to FR A
26 Winneke Australia 1978 85 1050 Rock SW to FR siltstone, quarried A
27 Xingo Brazil 1993 140 850 Rock, gravels in Granite gneiss A
lower river bed
Note: A, angular; M, medium; VH, very high; TS, total settlement; SFF, settlement on first filling; TD, total deformation; DFF, deformation on first
240 MPa; high, 20–70 MPa; medium, 6–20 MPa. ?, not sure.

Concrete face rockfill dam (CFRD) zoning Fig. 1. Zone designations for concrete face rockfill dam (CFRD) of
sound rockfill (Cooke and Sherard 1987).
Figure 1 shows the typical zoning of a CFRD (Cooke and
Sherard 1987). As shown in Fig. 1, there are three main
CFRD zones: (i) the concrete face slab (zone 1), which is
impervious; (ii) zone 2 for the filter or transition zone di-
rectly under the concrete slab; and (iii) the main rockfill
(zone 3). Compacted impervious soil (zone 1) is necessary
for defence, to seal cracks or joint openings.
The areas closer to the upstream than the downstream on
each layer contain smaller average-sized rock and more
quarry fines rockfill. The maximum rock sizes at zone 3C
and zone 2 are approximately less than 1500 and 150 mm,
respectively.

Post-construction crest settlement

Clements (1984) reviewed whether or not empirical equa-
tions could accurately assess the post-construction crest set-
tlement and deflections of 68 rockill dams. He found that
# 2008 NRC Canada
Won and Kim 847

Post-construction
Deformation normal to
Crest settlement face slab Leakage (L/s)
Intact rock strength Period surveyed TS TS SFF SFF SFF/ TD DFF DFF/TD
classification (year) (mm) (%) (mm) (%) TS (%) (mm) (mm) (%) Max. rate Long-term
VH 0.4–~5.7 307 0.185 222 0.133 72 320 — — FF 200 160

VH 0.11–10.3 153 0.109 15 0.011 10 160 130 81 FF 1800 —

VH 0.2–7.5 50 0.066 15 0.020 30 68 — — FF 10 5

VH 0–28.6 137 0.124 46 0.043 34 170 — — 70 7.5
High to VH 0~3.2 67 0.112 — — — — — — FF 43 1.5
VH 0~3.3 117 0.130 — — — — — — FF 43 10
VH 0–8.5 55 0.066 16 0.019 29 46 — — 45 32.5
High to VH 0–11 328 0.205 73 0.046 22 780 620 79 FF 240 70
VH 0.46–6.4 52 0.042 20 0.016 38 160 — — FF 1080 385
High(?) to VH 0–4 — — 461 0.369 — — — — FF 1732 200
M to high 0–26 116 0.193 26 0.043 22 — — — 11 2.5

High to VH 0–2.46 255 0.283 96 0.107 38 98 — — <10 —

M 0–22.6 152 0.288 22 0.042 14 — — — 19.2 —
M to high 0–20.6 333 0.444 99 0.132 30 228 173 76 FF 21 9
High 0.67–15 287 0.359 — — — — — — FF 5.6 2.5
— 3 — — — — — — — — 77 9
VH 0.08–17.6 104 0.111 9 0.010 9 77 28 36 FF 3.5 2
— 5 — — — — — — — — 51 4

VH 0.12–15 221 0.181 85 0.070 38 264 215 81 FF 12 1

VH (zone 3A) M? 0.33–0.75 90 0.061 — — — 55 — — 74 —

(zone 3B)

High to VH 0.4–2.5 229 0.158 200 0.138 87 340 — — FF 390 45

VH 0–1.8 166 0.133 — — — 90 — — FF 1800 100
M to VH 0.05–5 >926 >0.52 >926 >0.52 — — 1 380 — FF 200 70
High 0–12.8 19 0.076 2 0.010 11 — — — 2 0.75
VH 0.04–5.9 58 0.135 7 0.016 12 38 15 39 FF 7 2
High 0.17–16.2 270 0.244 105 0.124 39 160 145 91 FF 58 13
M to VH(?) 1.0–6.2 526 0.376 302 0.216 57 510 290 57 200 140

filling; FF, first filling. Classification of unconfined compressive strength of intact rock used in rockfills. Extremely high, > 240 MPa; very high, 70–

they may be prone to large errors because of the existing
empirical equations based on simple empirical relationships
of the displacement with height or time. He proposed an al-
ternative approach, using only the deformation curves of ex-
isting dams with similar characteristics to the dam under
construction instead of empirical equations. Sherard and
Cooke (1987) compared the post-construction crest settle-
ment from CFRDs composed of dumped and compacted
rockfill and observed that the crest settlement of dumped
rockfill is 5–8 times greater than for compacted rockfill in
3–30 years. Sherard and Cooke (1987) expected that the
crest settlement for a modern compacted CFRD with a
height of 100 m will generally be about 10–15 cm in 5 years,
and 15–25 cm in 100 years. This coincides with the range of
crest settlement of compacted CFRDs (0%–0.25% of dam
height) proposed by Clements (1984). Hunter (2003) re-
ported that the post-construction crest settlement is signifi-
cantly affected by the method of placement (dumped versus
compacted), the intact strength of the rockfill, the embank-
ment height, etc. According to Hunter (2003), significantly
greater crest settlements are evident for the dumped rockfills
compared with compacted rockfills; for embankments con-
structed of medium to high intact strength rockfill, the total
magnitude of settlement at 10 years is, on average, approxi-
mately twice that of very high strength rockfills. The long-
term rate of crest settlement (on a log scale) for medium to
high strength rockfills is proportional to the increasing em-
bankment height, but the effect of the embankment height
is probably not as significant for the compacted very high
strength rockfill cases.
Table 1 is mainly taken from the database for compacted
CFRDs in Hunter (2003). Figures 2 and 3, respectively,
show the total post-construction crest settlement after at
least 10 years and on first filling, and the ratio of the crest
settlement on first filling to the long-term settlement. The
serial numbers in Figs. 2 and 3 indicate the number of the
dam shown in Table 1. Medium (M), High, and very high
(VH) indicate the intact rock strength used in the rockfill.
# 2008 NRC Canada
848
Fig. 2. Post-construction crest settlements on first filling and after
at least 10 years.
The ranges of the strength and definition of M, High, and
VH are given in Table 1. The ratio of total long-term crest
settlement to embankment height is usually lower than 0.3%
of the dam height in Fig. 2. However, the magnitude of
long-term post-crest settlement for embankments constructed
of very high strength rockfill in Fig. 2 appeared to be
0.1%~0.2% of dam height, and embankments constructed of
medium to high intact rockfill were 0.1%~0.45% of dam
height. According to Clements (1984) and Sherard and
Cooke (1987), the range of post-construction crest settle-
ment of compacted CFRDs is 0%~0.25% of dam height.
Therefore, the range of post-construction crest settlement
suggested by Sherard and Cooke (1987) and Clements
(1984) shows a good agreement in the case analyses using
rockfill with very high intact strength, but it has a trend that
underestimated crest settlement in the cases using rockfill
with medium to high intact strength. Figure 3 shows that ap-
proximately 10%–40% of the total long-term crest settle-
ment occurred during the first filling. Figure 4 presents a
typical example of the effect of the first filling (Hunter and
Fell 2003). Figures 2–4 show the water load on first filling,
which has a significant effect on the crest settlement.
Deformation normal to face slab
Figures 5 and 6 show the deformation normal to the face
slab on CFRDs at least 10 years after construction and on
first filling (data from Table 1). Like the post-construction
crest settlement, the total magnitude of the deformation nor-
mal to the face slab is a little greater at embankments con-
structed of medium to high intact strength rockfill than that
of very high strength rockfill, and is probably not in propor-
tion to the dam heights. Approximately 80% of the total
long-term deformation normal to the face slab occurred dur-
ing the first filling as shown in Fig. 6. This means that most
deformation occurs during the first filling, and it is signifi-
cantly affected by the water load rather than the crest settle-
ment. It may cause cracks in the concrete face slab, as most
deformation normal to the face slab occurs during the first
filling.
Figure 7 shows the embankment deformations after reser-
Can. Geotech. J. Vol. 45, 2008
Fig. 3. Crest settlement on first filling to total crest settlement ra-
tio. FF, first filling; M, medium; VH, very high.
voir filling (Pinto et al. 1985). The crest settlement (max)
and slab deflection (max) in Fig. 7 are the crest settlement
and slab deformation normal to the face slab at the point of
maximum deformation. The response of the rockfill to the
water load is rather fast, and the evolution of the deforma-
tions with time is somewhat obscured by the history of the
impounding, as shown in Fig. 7 (Pinto et al. 1985).
Figure 8 shows the dam heights versus the total long-term
post-construction crest settlements and the total long-term
deformations normal to the face slab. The post-crest settle-
ment and the deformation normal to the face slab are gener-
ally similar to each other, and they are smaller than 0.5% of
the dam height. One of the interesting phenomena is that the
crest settlement is larger than the deformation normal to the
face slab when the dam height is less than 100 m, and the
deformation normal to the face slab is larger than the crest
settlement when the dam height is greater than 100 m. This
phenomenon may be caused by the side slope (about
1.4H:1V), that is, the length of the concrete face slab is in-
creasing with the dam height in the proportion of 1.72 to 1.
Strain in the face slab
Figures 9 and 10, respectively, show the dam face strain
contours at the end of construction and the changes due to
the water load at Salvajina Dam. Normal tension zones de-
veloped in the downslope and horizontal direction on the
upper part of the face slab and close to the abutment at the
end of construction (Hacelas et al. 1987). The maximum
compressive strain is in the downslope direction, and is
equal to 400 mm, which mobilizes only 42% of the concrete
compressive strength (Hacelas et al. 1987). The change in
the dam face strains due to the water load is shown in
Fig. 10. The strain in the face slab is significantly affected
by the water load, and tension zones caused by the water
load are developed near the toe, the crest, and the abut-
ments.
Table 2 shows the measured maximum slab strains due to
the water load (Fitzpatrick et al. 1985). The strains in Ta-
ble 2 show a similar pattern to one another. The maximum
compressive strains (100–380 mm) are near the center of the
# 2008 NRC Canada
Won and Kim
Fig. 4. Post-construction crest settlement of Bastyan Dam (Hunter and Fell 2003).
Fig. 5. Deformations normal to face slab on first filling and after at
least 10 years.
face slab and the maximum tensile strains (25–140 mm) ap-
pear near the toe. Tensile strains in the face slab on reser-
voir filling are indicated near the toe and near the
abutments. According to Fitzpatrick (1986), the failure range
for concrete is between 1000 mm for rapid loading and
3000 mm for gradual loading, and the maximum compres-
sive strain in Cethana after 10 years is 400 mm. Therefore,
it is known that strains that occur in the face slab are safe.
Leakage
Sherard and Cooke (1987) showed that leakage emerging
downstream of a CFRD has a fundamentally different signif-
icance from leaks through dams with earth cores because
there is no possibility of earth core erosion and no potential
threat to the dam safety. Not only Sherard and Cooke
(1987), but also many others (Amaya and Marulanda 1985,
Arrau et al. 1985, Leps et al. 1985, Millet et al. 1985,
Hunter 2003, Freitas 2005, Freitas and Cruz 2007, Keming
et al. 2007), have reported that leakage at a CFRD mainly
emerges through perimeter joints, cracks in the concrete
face slab, and joints on abutments, but that this leakage has
posed no threat to the safety and stability of the dam. How-
ever, significant leakage has an economic impact in terms of
849
Fig. 6. Ratio of deformation normal to face slab on first filling to
long-term deformation.
lost water, and may have an impact on the function of the
reservoir or dam. As shown in Table 1, the maximum leak-
age at a CFRD generally occurs on the first filling because
of large deformations at the joints or cracks in the face slab
due to the water load. According to Sherard and Cooke
(1987), for most reservoirs on rivers of any significant size,
a leakage of a few tens of litres per second has negligible
economic value. Figure 11 shows the relationship of long-
term leakage versus dam heights. As shown in Table 1, the
time period of the long-term leakage rate is generally given
in years after the end of first filling.
The long-term leakage rate in cases of dam heights less
than 122 m is reasonable at less than 10 L/s, except for the
Crotty and Winneke Dams, but the in the cases of dam
heights higher than 125 m the leakage rate rapidly increases
between 45 and 200 L/s. Typical CFRDs, which are higher
than 125 m, such as Alto Anchicaya at 140 m (Materon
1985); Foz Do Areia at 160 m (Pinto et al. 1985); Golillas
at 125 m (Amaya and Marulanda 1985); New Exchequerat
145 m (Leps et al. 1985); and Shiroroat 125 m (Bodtman
and Wyatt 1985) have all experienced some leakage prob-
lems, and in general have needed to repair face slab joints
during the first filling. In Barra Grande (185 m) and Campos
# 2008 NRC Canada
850
Fig. 7. Foz Do Areia Dam deformation after reservoir filling (Pinto et al. 1985).
Fig. 8. Total post-construction crest settlement and total deforma-
tion normal to face slab.
Novos (202 m), both recently built in Brazil in 2005, maxi-
mum leakages were recorded 1284 and 1300 L/s, respec-
tively, during first reservoir impounding as a result of the
cracks and slab rupture phenomenon (Freitas and Cruz
2007). After repair work such as drilling and grouting, and
dumping silt sandy material over joint areas, the leakage
range in both Barra Grande and Campos Novos was 600 to
1000 L/s depending on reservoir water level (Freitas and
Cruz 2007). From these experiences, it can be concluded
that CFRDs higher than 125 m may have some problem
with leakage during, as well as after, the first filling. Per-
haps, this phenomenon is caused by face slab deformations
resulting from the water load.
Conclusions
The present paper has carried out case studies on aspects
of compacted CFRDs, such as post-construction deforma-
tions and leakage, and has reached the following conclu-
sions.
(1) Post-construction crest settlement and deformation nor-
Can. Geotech. J. Vol. 45, 2008
Fig. 9. Salvajina Dam: concrete face strains at the end of construc-
tion (Hacelas et al. 1987).
mal to the face slab are significantly affected by the first
filling of the water load. Most deformation normal to
face slab occurred during the first filling.
(2) The range of post-construction crest settlement suggested
by Sherard and Cooke (1987) and Clements (1984) had
good agreement in the cases using rockfill with very
high intact strength, but it had a trend that underesti-
mated crest settlement in the cases using rockfill with
medium to high intact strength.
(3) The magnitude of the long-term post-construction crest
settlement is similar to the deformation normal to the
face slab. There is a trend showing that the crest settle-
ment is larger than the deformation normal to the face
slab when the dam height is less than 100 m, whereas it
is smaller when the dam heights exceed 100 m.
(4) The maximum compressive strains and the maximum
tensile strains in the slab caused by the water load on
# 2008 NRC Canada
Won and Kim 851

Fig. 10. Salvajina Dam: concrete face strains due to water load it rapidly increases to 45–200 L/s when the dam height
(Hacelas et al. 1987). exceeds 125 m.

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