Evaluation of behaviors of earth and rockfill dams during construction and initial impounding using instrumentation data and numerical modeling

In this study,the behavior of Gavoshan dam was evaluated during construction and the first impounding.A two-dimensional（2D） numerical analysis was conducted based on a finite difference method on the largest cross-section of the dam using the results of instrument measurements and back analysis.These evaluations will be completed in the case that back analysis is carried out in order to control the degree of the accuracy and the level of confidence of the measured behavior since each of the measurements could be controlled by comparing it to the result obtained from the numerical model.Following that,by comparing the results of the numerical analysis with the measured values,it is indicated that there is a proper consistency between these two values.Moreover,it was observed that the dam performance was suitable regarding the induced pore water pressure,the pore water pressure ratio r;,settlement,induced stresses,arching degree,and hydraulic fracturing probability during the construction and initial impounding periods.The results demonstrated that the maximum settlement of the core was 238 cm at the end of construction.In the following 6 years after construction（initial impounding and exploitation period）,the accumulative settlement of the dam was 270 cm.It is clear that 88% of the total settlement of the dam took place during dam construction.The reason is that the clay core was smashed in the wet side,i.e.the optimum moisture content.Whereas the average curving ratio was 0.64 during dam construction; at the end of the initial impounding,the maximum amount of curving ratio in the upstream was 0.81,and the minimum（critical） amount in the downstream was 0.52.It was also concluded that this dam is safe in comparison with the behaviors of other similar dams in the world.

Technical Progress on Researches for the Safety of High Concrete-Faced Rockfill Dams

The concrete-faced rockfill dam(CFRD) is an important dam type in the selection of high dams to be constructed in Western China,owing to its direct utilization of local materials,good adaptability,and distinct economic advantages.Over the past decades,China has gained successful experience in the construction of 200 m CFRDs,providing the necessary technical accumulation for the development of 250–300 m ultra-high CFRDs.This paper summarizes these successful experiences and analyzes the problems of a number of major 200 m CFRDs around the world.In addition,it discusses the key technologies and latest research progress regarding safety in the construction of 250–300 m ultra-high CFRDs,and suggests focuses and general ideas for future research.

Distribution of acceleration and empirical formula for calculating maximum acceleration of rockfill dams

To find the distribution patterns of dynamic amplification coefficients for dams subjected to earthquake, 3D seismic responses of concrete-faced rockfill dams with different heights and different shapes of river valley were analyzed by using the equivalent-linear model. Statistical analysis was also made to the seismic coefficient, and an empirical formula for calculating the maximum acceleration was provided. The results indicate that under the condition of the same dam height and the same base acceleration excitations, with the increase of the river valley width, the position of the maximum acceleration on the axis of the top of the dam moves from the center to the riversides symmetrically. For the narrow valleys, the maximum acceleration occurs in the middle of the axis at the top of the dam; for wide valleys the maximum acceleration appears near the riversides. The result negates the application of 2D dynamical computation for wide valleys, and shows that for the seismic response of high concrete-faced rockfill dams, the seismic coefficient along the axis should be given, except for that along the dam height. Seismic stability analysis of rockfill dams using pseudo-static method can be modified according to the formula.

Parameters inversion of high central core rockfill dams based on a novel genetic algorithm

Parameters identification of rockfill materials is a crucial issue for high rockfill dams. Because of the scale effect, random sampling and sample disturbance, it is difficult to obtain the actual mechanical properties of rockfill from laboratory tests. Parameters inversion based on in situ monitoring data has been proven to be an efficient method for identifying the exact parameters of the rockfill. In this paper, we propose a modified genetic algorithm to solve the high-dimension multimodal and nonlinear optimal parameters inversion problem. A novel crossover operator based on the sum of differences in gene fragments(So DX) is proposed, inspired by the cloning of superior genes in genetic engineering. The crossover points are selected according to the difference in the gene fragments, defining the adaptive length. The crossover operator increases the speed and accuracy of algorithm convergence by reducing the inbreeding and enhancing the global search capability of the genetic algorithm. This algorithm is compared with two existing crossover operators. The modified genetic algorithm is then used in combination with radial basis function neural networks(RBFNN) to perform the parameters back analysis of a high central earth core rockfill dam. The settlements simulated using the identified parameters show good agreement with the monitoring data, illustrating that the back analysis is reasonable and accurate. The proposed genetic algorithm has considerable superiority for nonlinear multimodal parameter identification problems.

Predicting crest settlement in concrete face rockfill dams using adaptive neuro-fuzzy inference system and gene expression programming intelligent methods

This paper deals with the estimation of crest settlement in a concrete face rockfill dam （CFRD）, utilizing intelligent methods. Following completion of dam construction, considerable movements of the crest and the body of the dam can develop during the first impoundment of the reservoir. Although there is vast experience worldwide in CFRD design and construction, few accurate experimental relationships are available to predict the settlement in CFRD. The goal is to advance the development of intelligent methods to estimate the subsidence of dams at the design stage. Due to dam zonifieation and uncertainties in material properties, these methods appear to be the appropriate choice. In this study, the crest settlement behavior of CFRDs is analyzed based on compiled data of 24 CFRDs constructed during recent years around the world, along with the utilization of gene ex- pression programming （GEP） and adaptive neuro-fuzzy inference system （ANFIS） methods. In addition, dam height （H）, shape factor （St）, and time （t, time after first operation） are also assessed, being considered major factors in predicting the settlement behavior. From the relationships proposed, the values ofR2 for both equations of GEP （with and without constant） were 0.9603 and 0.9734, and for the three approaches of ANFIS （grid partitioning （GP）, subtractive clustering method （SCM）, and fuzzy c-means clustering （FCM）） were 0.9693, 0.8657, and 0.8848, respectively. The obtained results indicate that the overall behavior evaluated by this approach is consistent with the measured data of other CFRDs.

A simplified physically-based breach model for a high concrete-faced rockfill dam:A case study

A simplified physically-based model was developed to simulate the breaching process of the Gouhou concrete-faced rockfill dam （CFRD）, which is the only breach case of a high CFRD in the world. Considering the dam height, a hydraulic method was chosen to simulate the initial scour position on the downstream slope, with the steepening of the downstream slope taken into account; a headcut erosion formula was adopted to simulate the backward erosion as well. The moment equilibrium method was utilized to calculate the ultimate length of a concrete slab under its self-weight and water loads. The calculated results of the Gouhou CFRD breach case show that the proposed model provides reasonable peak breach flow, final breach width, and failure time, with relative errors less than 15% as compared with the measured data. Sensitivity studies show that the outputs of the proposed model are more or less sensitive to different parameters. Three typical parametric models were compared with the proposed model, and the comparison demonstrates that the proposed physically-based breach model performs better and provides more detailed results than the parametric models.

Real-Time Spreading Thickness Monitoring of High-core Rockfill Dam Based on K-nearest Neighbor Algorithm

During the storehouse surface rolling construction of a core rockfilldam, the spreading thickness of dam face is an important factor that affects the construction quality of the dam storehouse' rolling surface and the overallquality of the entire dam. Currently, the method used to monitor and controlspreading thickness during the dam construction process is artificialsampling check after spreading, which makes it difficult to monitor the entire dam storehouse surface. In this paper, we present an in-depth study based on real-time monitoring and controltheory of storehouse surface rolling construction and obtain the rolling compaction thickness by analyzing the construction track of the rolling machine. Comparatively, the traditionalmethod can only analyze the rolling thickness of the dam storehouse surface after it has been compacted and cannot determine the thickness of the dam storehouse surface in realtime. To solve these problems, our system monitors the construction progress of the leveling machine and employs a real-time spreading thickness monitoring modelbased on the K-nearest neighbor algorithm. Taking the LHK core rockfilldam in Southwest China as an example, we performed real-time monitoring for the spreading thickness and conducted real-time interactive queries regarding the spreading thickness. This approach provides a new method for controlling the spreading thickness of the core rockfilldam storehouse surface.

Dynamic response of concrete face rockfill dam affected by polarity reversal of near-fault earthquake

In China,an increasing number of high concrete face rockfill dams(CFRDs)are located in high intensity earthquake zones,some of which are close to the seismic fault line.Recordings suggest that near-fault ground motions are characterized by large one-sided velocity pulses.The conventional dynamic analysis of dams,however,neglects the features of strong ground movements.In this study,under different ground motion levels some numerical dynamic studies considering the one-sided broadband pulses of near-fault earthquakes are presented for CFRDs based on a generalized plasticity model for rockfill materials.The results indicate that the displacements of dam crest corresponding to positive and reverse input of near-fault ground motion make a significant difference,while the displacements of the dam crest under artificial seismic waves are similar.Furthermore,using the horizontal and vertical components as simultaneous excitations near the faults,the displacements of the dam crest before and after reversing the motion produce a larger difference than that using a single component.More importantly,the difference of horizontal displacements of the dam crest caused by polarity reversal of near-fault ground motions increases with the increase of earthquake intensity.Due to the randomness and uncertainties of earthquakes,using a stochastic near-field motion input as excitation without considering the polarity(i.e.,positive vs reversed waveform),does not necessarily obtain a conservative result.

GPS Real Time Supervisory System and Application in the Construction of Face Rockfill Dam

According to the quality control needs of filling construction of the face rockfill dam, by means of the global satellite positioning technology, the wireless data communication technology, the computer technology and the data processing and analysis technology, and integrating with the roller compaction machine, the GPS real time supervisory system is developed in this paper. It can be used to real timely supervise the construction quality of the roller compaction for filling engineering. The composition and applied characteristics of GPS system, and the key technique problem and solution of the design are discussed. The height accuracy of GPS system is analyzed and the preliminary application is introduced.

Fuzzy Earthwork Dynamic Allocation and Optimization for Construction of High Concrete Face Rockfill Dam

Due to the complexity of earthwork allocation system for the construction of high concrete face rockfill dam,traditional allocation and planning are not able to function properly in the construction process with strong randomness.In this paper,the working mechanism of earthwork dynamic allocation system is analyzed comprehensively and a solution to fuzzy earthwork dynamic allocation is proposed on the basis of uncertain factors in the earthwork allocation of a hydropower project.Under the premise of actual situation and the experience of the construction site,an all-coefficient-fuzzy linear programming mathematical model with fuzzy parameters and constraints for earthwork allocation is established according to the structure unit weighted ranking criteria.In this way,the deficiency of certain allocation model can be overcome.The application results indicate that the proposed method is more rational compared with traditional earthwork allocation.

Packing,compressibility,and crushability of rockfill materials with polydisperse particle size distributions and implications for dam engineering

In rockfill dam engineering,particle breakage of rockfill materials is one of the major factors resulting in dam settlement.In this study,one-dimensional compression tests on a series of coarse granular materials with artificially-graded particle size distributions(PSDs)were carried out.The tests focused on understanding the role of initial PSDs in the dense packing density,compressibility and crushability of coarse granular materials.The effects of fractal dimension(D)and size polydispersity(θ)of PSDs were quantitatively analyzed.Two different loading stages were identified from the logarithms of the stress-strain relationships,with the turning point marked as the yield stress.A similar effect of initial PSDs was observed on the packing density and low-pressure modulus of coarse granular materials.The packing density and low-pressure modulus increased monotonically withθ,and their peak values were attained at a D value of approximately 2.2.However,there was no unique correspondence between the dense packing density and low-pressure modulus.The particle breakage was influenced differently by the initial PSDs,and it decreased with the values of D andθ.The emergence of the unique ultimate state was also identified from both the compression curves and PSDs of the samples after the tests.The potential implications of the test results in the design of both low and high rockfill dams were also demonstrated.

Stress-strain analysis of Aikou rockfill dam with asphalt-concrete core

Aikou rockfill dam with asphalt-concrete core is situated in a karst area in Chongqing City, China. In order to study the operative conditions of the rockfill dam, especially those of the asphalt-concrete core, the Duncan model is adopted to compute the stress and strain of both the rockfill dam and the asphalt-concrete core after karst grouting and other treatments. The results indicate that the complicated stress and deformation of both the dam body and the core are within reasonable ranges. It is shown that structure design and foundation treatment of the dam are feasible and can be used as a reference for other similar projects.

Reservoir water effects on earthquake performance evaluation of Torul Concrete-Faced Rockfill Dam

This study presents earthquake performance analysis of the Torul Concrete-Faced Rockfill （CFR） Dam with two-dimensional dam-soil and dam-soil-reservoir finite element models. The Lagrangian approach was used with fluid elements to model impounded water. The interface elements were used to simulate the slippage between the concrete face slab and the rockfill. The horizontal component of the 1992 Erzincan earthquake, with a peak ground acceleration of 0.515g, was considered in time-history analysis. The Drucker-Prager model was preferred in nonlinear analysis of the concrete slab, rockfill and foundation soil. The maximum principal stresses and the maximum displacements in two opposite directions were compared by the height of the concrete slab according to linear time-history analysis to reveal the effect of reservoir water. The changes of critical displacements and principal stresses with time are also shown in this paper. According to linear and nonlinear time-history analysis, the effect of the reservoir water on the earthquake performance of the Torul CFR Dam was investigated and the possible damage situation was examined. The results show that the hydrodynamic pressure of reservoir water leads to an increase in the maximum displacements and principal stresses of the dam and reduces the earthquake performance of the dam. Although the linear time-history analysis demonstrates that the earthquake causes a momentous damage to the concrete slab of the Torul CFR Dam, the nonlinear time-history analysis shows that no evident damage occurs in either reservoir case.

The Cemented Material Dam： A New, Environmentally Friendly Type of Dam

The first author proposed the concept of the cemented material dam （CMD） in 2009. This concept was aimed at building an environmentally friendly dam in a safer and more economical way for both the dam and the area downstream. The concept covers the cemented sand, gravel, and rock dam （CSGRD）, the rockfill concrete （RFC） dam （or the cemented rockfill dam, CRD）, and the cemented soil dam （CSD）. This paper summarizes the concept and principles of the CMD based on studies and practices in projects around the world. It also introduces new developments in the CSGRD, CRD, and CSD.

Effect of freeze-thaw cycles on mechanical behavior of clay-gravel mixtures

The use of clay-gravel mixtures(i.e.,adding excavated or natural gravel particles into clay soil matrix)as the main filling materials is increasing in the anti-seepage system of high Earth Core Rockfill Dams(ECRDs).With the continuous construction of high ECRDs in the Chinese plateaus and cold regions,it is of great urgency and importance to understand the physical and mechanical characteristics of compacted clay-gravel mixtures under freeze-thaw action.To this end,laboratory freezing-thawing tests,computed tomography(CT),and triaxial compression tests were conducted to evaluate the effects of freezethaw cycles on moisture loss,pore structure characteristics,stress-strain behavior,failure strength,elastic modulus,cohesion,and internal friction angle of compacted clay-gravel mixtures.The results demonstrate that,1)the freeze-thaw cycle significantly changed the mechanical characteristics of the clay-gravel mixture samples,but the shape of the stress-strain curve is less sensitive to it.2)The failure strength of samples exhibits a significant decrease after the first freeze-thaw cycle,but shows a certain increase as the number of freeze-thaw cycles increases from 1 to 2.3)The elastic modulus of samples first decreases and then increases with increasing freeze-thaw cycle,and the most severe deterioration was observed after the first freeze-thaw cycle.4)Regardless of the number of freeze-thaw cycles,there is a linear relationship between failure strength and elastic modulus for a sample that has suffered freeze-thaw weathering.5)The cohesion of samples decreases firstly and then slightly increases with increasing freeze-thaw cycles,while the internal friction angle is hardly affected.

Hydro-mechanical coupling mechanism on joint of clay core-wall and concrete cut-off wall

The joint of clay core-wall and concrete cut-off wall is one of the weakest parts in high earth and rockftll dams.A kind of highly plastic clay is always fixed on the joint to fit the large shear deformation between clay core-wall and concrete cut-offwall,so the hydro-mechanical coupling mechanisms on the joint under high stress,high hydraulic gradient,and large shear deformation are of great importance for the evaluation of dam safety.The hydro-mechanical coupling characteristics of the joint of the highly plastic clay and the concrete cut-off wall in a high earth and rockfill dam in China were studied by using a newly designed soil-structure contact erosion apparatus.The experimental results indicate that：1） Shear failure on the joint is due to the hydro-mechanical coupling effect of stress and seepage failure.The seepage failure will induce the final shear failure when the ratio of deviatoric stress to confining pressure is within 1.0-1.2; 2） A negative exponential permeability empirical model for the joint denoted by a newly defined principal stress function,which considers the coupling effect of confining pressure and axial pressure on the permeability,is established based on hydro-mechanical coupling experiments.3） The variation of the settlement before and after seepage failure is very different.The settlement before seepage failure changes very slowly,while it increases significantly after the seepage failure.4） The stress-strain relationship is of a strain softening type.5） Flow along the joint still follows Darcian flow rule.The results will provide an important theoretical basis for the further evaluation on the safety of the high earth and rockfill dam.

A Comparative Study between Pseudo-static and Dynamic Analyses of Keddara Dam

The numerical analysis of static and dynamic performance of embankment dams using the finite difference approach is a complex procedure that takes into account material behavior,soil-dam foundation interaction,hydraulic conditions,and saturation effects.In this study,a numerical analysis using the finite difference method(FLAC 3D)is used to conduct a static and dynamic analysis of the Keddara earthen dam in the Boumerdes region of Algeria,with the goal of defining its behaviour in terms of settlement,deformation,and pore pressure variation during construction and operation.There are two steps to consider:dam construction and water filling.For the static analysis,two mathematical models are considered:the elastic model and the Mohr-Coulomb model.An actual earthquake record is used to conduct a coupled dynamic analysis,and the interaction between the fluid and solid phases is taken into account.Maximum displacement,acceleration,and pore pressure remain inconsequential for dam instability;horizontal and vertical displacements increase with distance from the dam body’s base to the top.

Hypoplastic constitutive modeling of wetting deformation of weathered rockfill materials

The wetting deformation of weathered rockfill materials has been attracting growing attention from both engineers and scientists.The importance of realistic predictions of wetting deformations for high earth and rockfill dams is a strong motivation to establish a suitable constitutive model.Recently,the hypoplastic constitutive model by Gudehus and Bauer was extended by introducing solid hardness depending on the state of weathering.The extended model takes into account the influence of the current density,the effective stress state,the rate of deformation,and the time dependent process of degradation of the solid hardness.In the present paper,the performance of this model is evaluated by comparing numerical simulations with experiments obtained from a water sensitive rockfill material.In particular,triaxial compression paths and creep deformation under deviatoric stress states are considered.Finally,the constitutive model proposed is used to study the influence of a degradation of the solid hardness on the long term behavior of a hypothetical fill dam.

Real-time compaction quality monitoring of high core rockfill dam

The conventional quality control method of core rocldill dam construction exhibit difficulty controlling compaction parameters accurately or ensuring construction quality. This is because it is easily influenced by human behavior or lack of adequate management. We therefore establish the timely monitoring indexes and control criteria of compaction processes by considering the characteristics and quality requirements of high core rockffll dam construction. Based on the established indexes and criteria, integrating GPS, GPRS and PDA technologies, a real-time compaction quality monitoring method is proposed. The relevant key techniques are proposed as well, including automatic collection of information and a graphic algorithm for rolling-process visualization. By the proposed method and techniques, a real-time monitoring system is provided to realize the precise automatic online entire-process monitoring of compaction parameters, including compaction pass, rolling trajectory, nmning speed of roller, vibration status and rolled pavement thickness. The application of the Nuozhadu project shows that the proposed system can control compaction parameters effectively and ensure better construction quality. Therefore, it might become a new way towards construction quality control of high core rockfill dam.

Dynamic time-cost-quality tradeoff of rockfill dam construction based on real-time monitoring

Time, cost, and quality are three key control factors in rockfill dam construction, and the tradeoff among them is important. Research has focused on the construction time-cost-quality tradeoff for the planning or design phase, built on static empirical data. However, due to its intrinsic uncertainties, rockfill dam construction is a dynamic process which requires the tradeoffto adjust dynamically to changes in construction conditions. In this study, a dynamic time-cost-quality tradeoff （DTCQT） method is proposed to balance time, cost, and quality at any stage of the construction process. A time-cost-quality tradeoff model is established that considers time cost and quality cost. Time, cost, and quality are dynamically estimated based on real-time monitoring. The analytic hierarchy process （AHP） method is applied to quantify the decision preferences among time, cost, and quality as objective weights. In addition, an improved non-dominated sorting genetic algorithm （NSGA-II） coupled with the technique for order preference by similarity to ideal solution （TOPSIS） method is used to search for the optimal compromise solution. A case study project is analyzed to demonstrate the applicability of the method, and the efficiency of the proposed optimization method is compared with that of the linear weighted sum （LWS） and NSGA-II.