Engineering Geology 297 (2022) 106488

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Engineering Geology
journal homepage: www.elsevier.com/locate/enggeo

Characteristics and causes of crest cracking on a high core-wall rockfill

dam: A case study
Han Zhang a, b, Yulan Jing a, b, Jiankang Chen a, b, *, Zhiliang Gao c, Ying Xu a, b
a
State Key Laboratory of Hydraulics and Mountain River Engineering, Sichuan University, No. 24 South Section 1, Yihuan Road, Chengdu 610065, China
b
College of Water Resources & Hydropower, Sichuan University, No. 24 South Section 1, Yihuan Road, Chengdu 610065, China
c
China Energy Dadu River Hydropower Development Co., Ltd., No. 7 Tianyun Road, High-tech Zone, Chengdu 610041, China

A R T I C L E I N F O A B S T R A C T

Keywords: Avoiding and controlling dam crest cracking is one of the most difficult problems facing high core rockfill dams
Rockfill dam of more than 100 m. However, few studies have been conducted on the characteristics and causes of dam crest
Structural Health Monitoring cracking based on long-term measurement data. In this study, a real case of a dam suffering cracking at the crest
Soil cracking
was studied. The dam has a maximum height of 186 m and has been in service for 10 years. The spatiotemporal
Rockfill long-term deformation
Wetting properties
characteristics of the dam crest cracking were determined based on monitoring data obtained using crack
Rheological properties monitoring instruments, radar detection, seismic refraction tomography, and pit exploration. The causes of dam
cracking were analyzed based on the deformation inclination and strain index. The factors controlling the
cracking (such as the dam structure, geological structure, and materials’ properties) were investigated. The re­
sults show the following. 1) The cracks mainly occurred at the interface between the core wall and the down­
stream dam shell. 2) The cracks mainly developed during the impoundment and operation periods with high
water levels, and there was no convergence trend within the 10 years of operation. 3) Uneven settlement and
uneven horizontal displacement were the main reasons for the crack formation. 4) The factors influencing the
cracking include dam zoning, the geological structure, wetting, and the rheological properties of the rockfill
materials, and the reservoir level. The results of this study provide an important engineering reference for the
prevention and control of dam crest cracking in high rockfill dams.

1. Introduction 100 m (Ma and Chi, 2016).

High core rockfill dams have the advantages of obtaining materials
locally, convenient construction, good adaptability of the foundation,
and good seismic performance. Therefore, it has become a very
competitive type of dam in the construction of high dams. According to
the statistics of the International Dams Association (ICOLD) in 2017, 892
dams were exceeding 100 m in the world, including 418 earth-rockfill
dams (about 47% of the total); and 77 dams exceeded 200 m,
including 24 earth-rockfill dams (about 34% of the total). However, the
crests of many high-core rockfill dams have cracked after their first
impoundment. With the continuous development of cracks, a percola­
tion channel may form (Zhang et al., 2016; Mu et al., 2014). This leads to
the failure of the anti-seepage system and causes damage to the dam,
which poses great challenges in the safe operation of the dam. Therefore,
determining a method of avoiding and controlling crest cracking is key
to the operation and maintenance of high core rockfill dams exceeding
There have been a large number of dam crest cracking accidents
caused by a lack of clear cracking control measures in the early con­
struction of earth-rockfill dams. For instance, for the Ei Infiernillo Dam
in Mexico (maximum height of 148 m), the slope ratio of the upstream to
downstream is 1.75, so it is a straight core rockfill dam. Shortly after the
first impoundment to the normal water level in 1964, several fine
transverse lines were found in the abutment on the right bank of the
dam’s crest (Danner et al., 2017). The Cougar Dam (maximum height of
156 m) in the United States is an inclined clay core rockfill dam. On the
2nd–3rd day after the initial impoundment reached the normal water
level, several longitudinal cracks appeared throughout the full length of
the dam crest. The cracks mainly occurred at the interface between the
core wall and the filter material. After these occurrences, more and more
research has been conducted on dam crest cracking. Many engineering
measures have also been proposed and are summarized below.

* Corresponding author at: College of Hydraulic and Hydroelectric Engineering, Sichuan University, No. 24 South Section 1, Yihuan Road, Chengdu 610065, China.
E-mail address: scu-jiankang@scu.edu.cn (J. Chen).

https://doi.org/10.1016/j.enggeo.2021.106488
Received 6 June 2021; Received in revised form 3 December 2021; Accepted 5 December 2021
Available online 10 December 2021
0013-7952/© 2021 Elsevier B.V. All rights reserved.
H. Zhang et al.
1) Improving the structural layout and zoning design of the dam. The
Rogun Dam in the former Soviet Union has an inclined core wall in a
curved arch bending toward the upstream direction. This measure
considered the fact that the water load after impoundment can in­
crease the longitudinal compressive stress on the core wall, thus
reducing the possibility of transverse cracks (Rahmani and Panah,
2020). For the oblique core wall dam of the Meijia Dam in Canada,
the cross-section between the top of the core wall and the dam crest
was enlarged to prevent the occurrence of cracks in the dam’s body
(Zhao et al., 2020).
2) Setting-up high-plasticity clay bands in special locations. To prevent
cracks in the areas where the core wall connects to the bank slope, an
inverted trapezoidal pure yellow clay area with a width of 12 m and a
contact slope of 1:1 was arranged in the Fierze core wall rockfill dam
in Albania, with gravelly soil at the top on both sides of the dam
abutment. Yellow clay was also used to fill the areas within 5 m of the
top of the core wall (Feng et al., 2020).
3) Increasing the pre-settlement period of construction. The designed
dam height of the Shiziping Hydropower Station in China is 136 m,
and the elevation of the dam crest is 2544.00 m. When the con­
struction reached the elevation of 2542.00 m, pre-settlement was
conducted for two years, and the dam crest filling was completed
after the deformation of the dam became basically stable (Zhang
et al., 2016). The above engineering measures have played a certain
role in preventing dam crest cracking, but the problem of dam crest
cracking has not been substantially solved (Mouyeaux et al., 2019;
Zhou and Song, 2016).
Scholars have conducted a series of analyses on the crest cracking of
high core rockfill dams. Mu et al. (2014) introduced a cohesion model
based on elastic-plastic fracture mechanics into the finite element
method, and a nonlinear interface element was used to simulate the crest
cracking of a high core wall rockfill dam. They found that the large
rheological and wetting deformation of the rockfill in the upstream area
and the uneven settlement of the upstream and downstream dam shell
materials were the main reasons for the formation of longitudinal cracks
in the dam.
In addition, many scholars have studied the characteristics of rockfill
soil to reveal the mechanism of dam crest cracking. Tapias et al. (2015)
concluded that the crushing of particles under high stress is an important
reason for the deformation of rockfill. Xia et al. (2015) determined the
influence of the size effect on the long-term deformation of the Sanbanxi
concrete face rockfill dam and concluded that the settlement simulated
using a model that considers size effect is about 12% larger than that
simulated using indoor test parameters. Zhang et al. (2015) found that
the creep time of rockfill increases with increasing deterioration due to
dry and wet conditions and changes in temperature, and the ultimate
degradation strain was estimated to be 16.4%. A large number of studies
have shown that the deformation characteristics of practical rockfill
engineering are more complex. In particular, the long-term deformation
characteristics, which also lead to the causes of high earth-rockfill dam
crest cracking, and the influencing factors remain unclear (Qu et al.,
2015; Zhou et al., 2019; Zhou et al., 2016).
In summary, avoiding and controlling dam crest cracking is un­
doubtedly a difficult technical problem and a breakthrough in the con­
struction of a high core rock-fill dam is needed. However, most of the
existing research results are theoretical or simulation results for the
cracking of a single specimen. To understand the cracking characteris­
tics and causes of rock-fill dam crest cracking and to provide an engi­
neering basis for related research on dam crest cracking and the
formulation of cracking control measures, in this study, a 186 m core
rock-fill dam with an operation time of more than 10 years was taken as
an example. By analyzing the original data, the temporal and spatial
evolution characteristics of the dam crest cracking and the variation
characteristics of the dam crest deformation inclination were compre­
hensively investigated. The causes of the dam crest cracking were
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Engineering Geology 297 (2022) 106488
analyzed, and the effects of the dam structure, geological structure, and
the materials’ properties on the cracking were determined.
2. Background
2.1. Dam specifications
The PG dam is a gravel-soil-core rockfill dam. A typical section is
shown in Fig. 1. The dam section is mainly divided into gravel soil core
wall A, filter layer B, transition layer C, and rockfill areas D1–D3. The
seismic fortification intensity of the dam is 8 degrees. The maximum
dam height is 186 m, the dam crest width is 14.00 m, and the dam crest
length is 540.5 m. The top elevation of the core is 854.00 m, the top
width is 4.00 m, and the bottom width is 96.00 m. There are two filter
layers in the core wall and the downstream side. The thickness of the
upstream section is 4.0 m and that of the downstream section is 6.0 m. A
transition layer is present between the filter layer and the rockfill of the
dam shell. The dam foundation contains two concrete anti-seepage walls
E1 and E2 for fully enclosed seepage prevention. The wall thickness is
1.20 m, and the center spacing is 14 m.
To reduce the uneven settlement and prevent the dam from cracking,
highly plastic clay with a thickness of 3 m was applied to the surfaces
between the core wall and the bedrock on both sides. The highly plastic
clay was also applied to the top of the impervious walls, around the
corridor, and at the bottom of the core wall. Grouting and observation
corridor F (3.5 m × 4 m) is located at the top of the main impervious
wall. To increase the anti-liquefaction ability of the sand layer in the
downstream foundation, a weighted body G was added to the down­
stream foot of the dam. The main indexes of the dam materials are
presented in Table 1, and the compaction curves of the core materials
are shown in Fig. 2.
2.2. Geological characteristics of the dam foundation
The lithology of the dam’s foundation on the right bank is mainly
shallow metamorphosed basalt, while the left bank is granite with a
small number of diabase veins, and basalt is locally distributed. The
dam’s foundation on both sides is dominated by a weakly weathered and
weak unloaded rock mass, and the integrity of the rock mass is poor.
Overall, it exhibits a fragmented, mosaic structure with some sub-block
structures. The grade of the rock mass’ quality is III-IV. There is a deep
riverbed cover layer in the dam’s foundation, with a thickness of 40–60
m and a maximum thickness of 77.9 m. The typical foundation structure
is shown in Fig. 1, and the main parameters of the coating material are
shown in Table 1. From bottom to top, they are as follows.
① Floating pebble layer (Q32). The thickness is generally 40–50 m,
with various particle sizes. The particle size of the bleached stone
is >500 mm, with the largest dimensions being >3000 mm. The
particle size of the pebbles is generally 20–50 mm. It is filled with
sand and gravel, and the average sand content is 6.19%. This
layer is dense, but there is an overhead structure in part of it, and
a small sand lens is sandwiched near the shore.
② Gravel layer (Q41–1). The residual thickness is 22–32 m, and it is
composed of mixed pebbles with a small amount of bleached
stone. This layer has a good roundness and uniform particle size,
which is generally 20–60 mm. The spaces between the grains are
filled with sand and gravel, the structure is dense, and part of it
has an overhead structure.
③ Lens containing a floating pebble layer and sand layer (Q41–2).
The maximum stacking thickness is 42.5–54 m, with various
particle sizes and poor sorting. The boulders are usually 300–700
mm in diameter and contain more than 1000–4000 mm solitary
stones. The pebbles are generally 30–60 mm, are filled with sand
and gravel, and are partially covered by an overhead structure.
H. Zhang et al. Engineering Geology 297 (2022) 106488

Fig. 1. A typical profile of the PG Dam.

elevated, and there is a lenticular sand layer on the surface, which

Table 1
is intermittently distributed along the shore.
Design parameters of dam and foundation materials.
Materials Φ (◦ ) C (10 ρ (t/ ρsat (t/ ES 2.3. Construction and operation of the dam
kPa) m3) m3) (MPa)

Gravel core wall A 36.1 9.7 2.36 2.43 46.9 The full section of the dam was filled to 854 m (the designed dam
Filter material B 36 0 2.03 2.17 115.5
crest elevation) in September 2009. Considering the settlement during
Transition material C 40 0 2.15 2.25 160.3
Upstream rockfill D1 44 0 2.1 2.24 132.4 the operation of the earth-rockfill dam, the riverbed section (0 + 170–0
Downstream secondary + 367.5 m) was filled to 856 m with gravel soil filling material, and
36.8 0 2.11 2.24 3314.3
rockfill D2 other parts were filled with transition material. The crest of the riverbed
Downstream main rockfill section was covered with 50 cm of transition material and 10 cm of
44 0 2.1 2.24 187.5
D3
gravel ballast on the surface as a temporary dam crest. In 2014, the
Downstream kentledge G 38 0 2.05 2.2 /
Overburden layer ① 26 0 1.65 1.99 60–65 temporary dam crest was dismantled, and the permanent dam surface of
Overburden layer ② 34 0 2.03 2.15 50–60 asphalt concrete was built.
Overburden layer ③ 36 0 2.17 2.24 15–20 The water level curve of the dam reservoir is shown in Fig. 3. The
Overburden layer ④ 37 0 2.28 2.35 60–70
power station project began water storage on November 1, 2009, and
Notes: Φ = Internal friction angle, C = Cohesion, ρ = Natural density, ρsat = the water elevation reached 790 m on December 13, 2009. The second
Saturation density, ES = Deformation modulus. stage of water storage began on May 8, 2010, and the water elevation
reached 850 m on October 13, 2010. The maximum daily rate of water
④ Floating pebble layer (Q42). The thickness is 10–25 m, with level increase in the reservoir was 3.65 m/d, and the maximum daily
various particle sizes and poor separability. The diameter of the fluctuation speed was 1.92 m/d.
pebbles is generally 20–60 mm, and the diameter of the boulders
is >300–800 mm. The sand is filled with gravel, is partially

Fig. 2. The compaction curves of the core materials.

3
H. Zhang et al. Engineering Geology 297 (2022) 106488

Fig. 3. Process line of reservoir water level.

3. Methodology zoning, geological structure, and material characteristics on the dam

The methodology of this study was as follows. 1) The spatial distri­
bution characteristics of the dam cracking were obtained by analyzing
field measurements of buried crack meters, non-destructive detection
using seismic refraction tomography, ground-penetrating radar, and pit
detection. 2) The cause of the dam cracking was determined based on
the relationship between the improved deformation inclination index
and the spatial distribution characteristics. 3) The factors influencing
the dam cracking were investigated by analyzing the effects of the dam
crest cracking. The main research methods are described below.
1) Buried crack meter measurements
According to the crack situation, 19 measuring points (TH-CM-50/
100 crack meters, measurement accuracy: ±0.02 mm) were buried to
monitor the change in the crack width. Eleven measuring points
(1#–11#) were buried in the cracking area on the downstream side of
the dam. Eight measuring points were buried in the axial direction of the

Fig. 4. The layout of the crack measurement points on the dam crest.

4
H. Zhang et al.
dam, and they were numbered according to the station number. The
specific burial situation is shown in Fig. 4.
2) The nondestructive seismic refraction tomography and ground-
penetrating radar detection methods were used.
Seismic refractive tomography is a geophysical exploration method.
Based on the difference in the wave impedance in underground media,
the travel time, amplitude, waveform, phase, and frequency of the
seismic waves are extracted from the observed seismic data. A mathe­
matical processing method was used to invert the underground me­
dium’s structure and velocity distribution. Ground-penetrating radar
(GPR) (Anchuela et al., 2018) uses the reflection of high-frequency
electromagnetic pulse waves to detect the target. When the electro­
magnetic wave propagates in the medium, its path, electromagnetic
field intensity, and waveform change with the electrical properties and
geometric shape of the medium. The composition of the materials and
the construction technique of the gravel core wall, filter layer, transition
zone, rockfill area, and rock slope protection cause large differences in
the wave impedance, electricity, and compactness of each layer. Based
on these differences in the physical properties, the above two methods
were used for detection.
A total of 22 sections were arranged for seismic refraction tomog­
raphy, of which 21 sections were perpendicular to the dam. The length
of each section was 47 m, and each section was in exactly the same
position relative to the dam’s axis. Moreover, a section was arranged
along the dam’s axis, with a length of 423 m. A total of 24 sections were
arranged for the GPR analysis, of which 21 sections were perpendicular
to the dam. The positions of these sections coincided with those of the
seismic refractive tomography method, and the length of each section
was 15 m. Three sections (Z1, Z2, and Z3) were arranged parallel to the
dam’s axis at dam positions 0–004, 0 + 000, and 0 + 004, respectively.
The sections were located at 0 + 026–526 m, and the length of each
section was 500 m. The layout is shown in Fig. 5. The exploration pits
were located at 0 + 229 m, 0 + 286 m, 0 + 335 m, and 0 + 73 m.
The field data acquisition during the seismic refractive tomography
tests was conducted using an American S-Land all-digital high-density
seismic exploration data acquisition system. The DWTomo9.3 software
developed by the Jiaojia Technology Company, Canada, was used for
data processing. The radar instrument was a SIR-3000 GPR instrument
made in the United States. A 400 m radar antenna was used for the
shallow case, and a 100 m radar antenna was used for the deep case.
According to the electromagnetic wave velocity V of the underground
Fig. 5. Schematic diagram of the arrangement of the geophysical profiles for dam crack analysis.
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Engineering Geology 297 (2022) 106488
medium and the reflected wave travel time T, the depth h of the target
layer can be calculated using Eq. (1).
1 √̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅
h= V 2 T 2 − x2 (1)
2
where h is the depth of the destination layer, x is the distance between
the transmitting antenna and the receiving antenna, and V is the elec­
tromagnetic wave’s velocity in the medium.
3) Analysis of the deformation inclination index
Dam crest cracking is closely related to the uneven deformation of
the dam. To monitor the dam crest deformation, 10, 10, and 9 external
deformation observation piers were buried in the three longitudinal
sections, i.e., the upstream side of the dam 0–007 m, the dam axis, and
the downstream side of the dam 0 + 007 m, respectively. The arrange­
ment of the points for measuring the dam crest deformation is shown in
Fig. 6.
The deformation inclination is widely used in engineering as an
important index for judging uneven settlement and cracks (Wang et al.,
2020). The calculation diagram is shown in Fig. 7. The equation is
HA − HB
γ= = tanδ ≈ δ (2)
Δy
where γ is the inclination (dimensionless), δ is the angle between the line
of the settlement point and the horizontal plane, Δy is the horizontal
distance between A and B (mm), and SA and SB are the measured cu­
mulative settlement on a certain calculation date Tj (mm).
As is shown in the schematic diagram of the calculation of the
deformation inclination, the deformation inclination reflects the uneven
settlement per unit length of the dam along a certain direction. Uneven
settlement causes shear deformation between the soils, and there is no
need to distinguish between positive and negative signs. The greater the
absolute value of the deformation inclination is, the greater the uneven
settlement is. The greater the shear stress between the soils is, when the
shear stress reaches a certain extent, soil shear cracking will occur.
Therefore, the inclination index |γ| > γc can be used to judge whether
there is a risk of dam cracking. γ c = 1% has been widely used as the
evaluation standard in engineering (Wang et al., 2020).
However, soil cracking not only involves shear failure but also in­
volves tension failure and tension-shear failure modes (Wang et al.,
2014; Chen et al., 2020). The deformation inclination formula ignores
the tension and shear failure caused by uneven horizontal deformation.
H. Zhang et al.
Fig. 6. The layout of the points for measuring the dam crest deformation.
Fig. 7. Schematic diagram of the calculation of the deformation inclination.
When there is a relatively distant deformation in the horizontal direction
between the soils (Fig. 8(a)), tensile stress is formed between the soils,
and tensile failure is caused when the distance is too large. When there is
extrusion deformation in the horizontal direction in the soil (Fig. 8(b)),
Fig. 8. Schematic diagram showing uneven horizontal deformation.
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Engineering Geology 297 (2022) 106488
shear stress occurs between the soils, which may lead to shear failure.
The non-uniform deformation shown in Fig. 8 can be measured using
Eq. (3), and it is similar to that for stress.
SA -SB
ε= (3)
kΔyAB
where ε is similar to strain (dimensionless), which means the horizontal
strain characteristic of the soil. ΔyAB is the horizontal distance between
the two measuring points (mm). SA and SB are the horizontal displace­
ments measured at each measuring point on a certain calculation date Tj
(mm). k is the direction of measurement, which is defined by the positive
sign of the measured value. k=1 when SA is before SB, and k= − 1 when
SA is after SB.
ε > 0 indicates that the tensile stress caused by the two measuring
points is far away from each other. The risk of soil tensile cracking is
evaluated according to ε > εa and εa is the critical value for tensile
failure. ε < 0 indicates that extrusion deformation has occurred between
two measuring points, which results in shear stress. We can evaluate
whether the soil is at risk of undergoing shear failure according to |ε| >
γ c.
4. Spatiotemporal distribution characteristics
4.1. Spatial distribution characteristics
The spatial distribution of the cracks detected manually and using
drones at a typical time is shown in Fig. 9. The longitudinal cracks are
mainly distributed in the axial direction of the dam and in the area 6 m
from the downstream side of the dam axis, which developed from the
middle of the riverbed toward both sides during the high water level
impoundment and water level drop periods. The transverse cracks are
mainly distributed in the middle of the upstream river bed and the bank
slope dam sections on both sides. During the first impounding period on
August 26, 2010, two discontinuous longitudinal cracks parallel to the
dam axis were found at 0 + 249.80–0 + 261.26 m and 0 + 354.90–0 +
375.70 m, i.e., 6.4 m and 5.9 m downstream of the dam crest axis.
During the high water level operation period in October 2011, discon­
tinuous cracks were found at 0 + 198–0 + 361 m at the junction of the
core wall of the dam axis and the downstream rockfill body. Construc­
tion of the permanent dam crest began on October 15, 2012, and cracks
appeared during the high water storage process at the end of the year. By
the end of 2019, there was a longitudinal crack in the dam axis and a
longitudinal crack in the area 6 m from the downstream side of the dam
axis. The transverse cracks mainly appeared in the ranges of 0 + 038–0
+ 128 m and 0 + 501–0 + 571 m on both sides of the dam abutment, as
well as on the dam side of the upper river valley. Some of the cracks run
through the upstream and downstream sides, and the widths of the
cracks are small, i.e., they are fine cracks.
H. Zhang et al.
Fig. 9. Spatial distribution of the cracks.
4.2. Changes in crack width
Figs. 10 and 11 show the process lines of the width of the dam crest at
the typical measuring points for the temporary dam crest and the per­
manent dam crest, respectively. The crack width in the left bank of the
temporary dam crest was smaller than that in the right bank, and the
crack in the downstream side was larger than that in the middle of the
riverbed. The maximum width of the crack on the downstream side of
the dam crest is 32 mm, which occurs at 0 + 319 m in the riverbed. The
maximum width of the axial crack is 6 mm, which occurs at 0 + 211 m in
the riverbed. The relationship between the axial crack width of the dam
and the water level is not obvious, but there is a lagging correlation
between the downstream crack and the water level. When the water
level rises to the high-water level, the crack width exhibits a develop­
ment trend.
The longitudinal crack width of the permanent dam crest is large in
the riverbed dam section, and it gradually decreases toward the left and
right banks. Under the action of the reservoir water cycle, the longitu­
dinal crack width downstream of the dam crest exhibits an increasing
trend, and the crack still has not converged after 10 years of operation.
The maximum width of the cracks downstream of the dam crest is 73
mm, and the maximum width of the cracks in the middle of the dam is
23 mm. The cracks rapidly develop during the high water impoundment
and water level drop stages in October, and then, there is a certain stable
period. Similar to the temporary dam crest-stage, the longitudinal crack
in the dam axis presents exhibits a poor variation law, but it can be seen
that there is a certain correlation with the change in the water level.
4.3. Crack depth analysis
(1) Results from the exploration pits
Fig. 10. The development of cracks in the temporary dam crest stage.
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Engineering Geology 297 (2022) 106488
Fig. 12(a) shows an exploration pit excavated 6 m downstream of the
temporary dam crest. Through the exploration pit, the depth of the crack
was measured to be about 1.5–2 m, and the width of the crack was
measured to be about 3–5 cm. The depth of the crack did not reach the
core wall, so it was a shallow crack. Fig. 12(b) shows the exploration pit
excavated at the axis of the permanent dam crest. The depth of the crack
was about 1.5 m, and the width of the crack was about 15 mm. It was
found that the compaction of the rockfill layer is not dense enough after
excavation, the maximum size of the block stone was about 50 × 70 cm,
and there were holes in the periphery of the block stone.
(2) Radar detection results
Fig. 13(a) shows the GPR image of station 0 + 110–135 m, which is
parallel to the dam axis. The green curve in the picture shows the per­
formance characteristics of the reflected electromagnetic wave on the
radar profile at the interface between the surface gravel cushion and the
lower downstream main rockfill area. The electromagnetic wave of the
interface radar was strongly reflected, the continuity of the in-phase axis
was good, and there was no obvious dislocation. The location of the
ellipse shows the performance characteristics of the electromagnetic
wave reflected off the gravel layer on the radar profile. The non-dense
area exhibits strong electromagnetic wave reflection spots, a discon­
tinuous in-phase axis, disordered waveforms, and large variations in
wave amplitude. Fig. 13(b) shows the GPR image perpendicular to the
dam axis. The electromagnetic wave under the concrete pavement and
in the core wall was very weakly reflected, and there was no obvious
abnormal reflection. Thus, the gravel material in the core wall was
compacted and no obvious abnormality was found.
The GPR test indicates that 1) in the direction of the dam axis, the
gravel cushion in sections 0 + 50–90 m and 0 + 390–489 m was not
H. Zhang et al.
Fig. 11. Process line of cracks downstream of the permanent dam crest and at the dam axis.
Fig. 12. Site photos of the cracks in the dam’s crest.
dense. 2) In the vertical direction of the dam axis, the gravel cushion in
sections 0 + 202 m, 0 + 256 m, 0 + 274 m, 0 + 347 m, and 0 + 386 m is
not dense. 3) The depth of the longitudinal joint in sections 0 + 236 m, 0
+ 285 m, and 0 + 315 m was larger, and the maximum crack depth was
150 cm. 4) The transverse joint depth in section 0 + 377 m and at the
dam end of the right bank was larger, and the maximum crack depth was
90 cm.
(3) Seismic refractive tomography results
Fig. 14 shows the record for a single gun. By comparing the two
pictures, the following similarities and differences were identified. 1)
Similarities: the waveforms of each section were similar; the amplitude,
phase, and frequency of the refracted wave were similar; and the first
arrival time of the farthest channel was consistent. 2) Differences: as is
shown in Fig. 14(a), compared with the adjacent waveforms, the
waveforms of channels 31 and 32 (located at 0 + 028.3 m and 0 + 029.3
m, red circle in Fig. 14(a)) had the opposite phase, the amplitude was
8
Engineering Geology 297 (2022) 106488
Fig. 13. Typical GPR imaging map.
weaker, and the first arrival time varied greatly. The amplitude and
energy of the waveform were obviously weakened, and the signal-to-
noise ratio decreased in the 42–47 channels (the rectangular circle in
Fig. 14(a)), which indicates that there were cracks in section 0 + 305 m.
Fig. 15 shows the single time-distance curve of percussion at 22.3 m
in section 0 + 378.00 m. In section 32–36 m, the slope of the single time-
distance curve was larger, and the change in this section was caused by
the existence of cracks. Based on the travel time differences of multiple
time-distance curves for correlation channels and comparative analysis
of 22 profiles, it was calculated that the general development depth of
this fracture was 0.5–1.5 m and the development width was 5–15 mm.
All of the cracks developed in the gravel cushion, and they were shallow
cracks.
Through comprehensive analysis of Fig. 16, we found that the image
shows a layered structure, the boundary of the wave velocity is obvious,
and the velocity distribution in each section is roughly the same. The
wave velocity of the dry masonry slope protection in front of the dam
H. Zhang et al. Engineering Geology 297 (2022) 106488

not compacted.

5. Analysis of the deformation inclination index

Fig. 17 shows a cloud map of the settlement deformation inclination

along the river and the time corresponding to the change in the spatial
distribution of the cracks shown in Fig. 9. As can be seen from Figs. 17,
1) the deformation inclination along the river was relatively large. The
maximum deformation inclination along the river was 1.78% when the
cracks were first found in August 2010. The entire area of the middle and
lower part of the dam exceeded 1% until 2019, with a maximum value of
3.9%. 2) Spatially, there was a strong correlation between the inclina­
tion distribution of the dam crest settlement along the river and the
cracking of the longitudinal joints. In the first cracking area (0 +
249.80–0 + 261.26 m, downstream of the dam), the deformation in­
clinations were 1.07–1.78%, with an average of 1.3%, which was larger
than the conventional standard of 1%. The development trend of the
cracks was consistent with the deformation inclination, and the distri­
bution indicates that it gradually decreased from the dam section of the
riverbed toward both sides, and it increased gradually from upstream to
downstream. Therefore, it can be concluded that the large uneven set­
tlement along the river caused excessive shear stress between the soils
along the river, which led to the formation of longitudinal joints. In
addition, the settlement inclination can be used as an important refer­
ence index of cracking.
Fig. 18 presents a cloud map of the axial settlement deformation
inclination at two typical moments. The inclinations of the axial set­
tlement were small, between 0.1 and 0.5. They only changed slightly
with time and decreased gradually from both sides toward the riverbed.
The uneven axial settlement led to axial shearing between the soils,
which may have produced transverse joints; however, according to the
conventional standard of 1%, the uneven axial settlement does not
produce transverse joints.
Fig. 19 is a characteristic cloud map of the horizontal strain along the
river at three typical moments. The main results are as follows. 1) The
horizontal strain along the river was mainly positive, exhibiting tensile
strain, and the measured value was large. In September 2013, in
Fig. 14. Wave pattern of the seismic refraction tomography.
riverbed areas, 0 + 128–0 + 178 m and 0 + 360–0 + 431 m inclinations
of greater than 1% occurred, and the maximum of 2.16% occurred in
and in the upstream transition zone was higher, ranging from 460 m/s to
2015. 2) The spatial distribution indicates that the horizontal strain in
720 m/s, which means that this area was relatively dense. The wave
the contact area between the riverbed and the two banks was larger, and
velocity range in the gravel cushion at the dam crest was 330–380 m/s,
it gradually decreased to the middle of the riverbed and on both sides.
and the wave velocity range in the gravel core wall was 370–510 m/s.
The uneven horizontal deformation of the dam crest along the river may
Moreover, the dry masonry slope protection behind the dam and in the
produce tensile and compressive stress between the soils along the river.
upstream transition zone is composed of stone with a larger particle size,
In addition, this tensile stress would lead to tensile cracks between the
which was relatively loose. The wave velocity in this area was lower
soils, which would result in longitudinal cracks in the soil. However, the
than that in the core wall, ranging from 250 m/s to 370 m/s.
area with larger tensile stress was mainly concentrated in the junction
Based on the results of the seismic refraction tomography and GPR
area between the riverbed and the riverbank, which was the area of
and the relevant design and construction data for the dam, we inferred
longitudinal joint development. Combined with the analysis of the
that 1) the range of the crack width was 5–15 mm and the range of the
deformation inclination of the axial settlement, the longitudinal joints in
depth was 0.5–1.5 m. The gravel core wall was not affected by the
the PG dam should be shear cracks, which were mainly caused by un­
shallow surface cracks. 2) The local gravel cushion in the dam crest was
even settlement along the river. Moreover, they developed further under

Fig. 15. Single time-distance curve of percussion at 22.3 m in section 0 + 378 m.

9
H. Zhang et al. Engineering Geology 297 (2022) 106488

Fig. 16. Isoline map of the wave velocity in the fracture development area inversed from the seismic refractive tomography.

Fig. 17. Cloud map of settlement deformation inclination along the river.

the combined effect of uneven settlement and horizontal deformation
along the river in the later stage.
Based on the two typical axial horizontal strain characteristic cloud
maps shown in Fig. 20, the axial horizontal strain was relatively small,
and the measured value changed from 0.6% to 0.25%. Compressive
stress mainly occurred, the tensile stress was small, and the increment
varied slightly with time. There was a trend of pressure in the middle of
the riverbed and extension on both sides. The uneven axial horizontal
deformation may have caused tension-shear stress between the axial
soils, which resulted in the development of transverse cracks. However,
in view of the fact that the measured value of the strain along the dam
axis was small, there was a minor possibility of a single factor. Thus far,
there were a large number of fine transverse cracks on both sides of the
dam. Based on the analysis of the axial settlement inclination in the
front, it is suspected that the longitudinal joints also formed due to
tension-shear failure. It is the result of the combined effect of the shear
force caused by the uneven axial settlement and the extensional force
caused by the horizontal deformation of the dam section from the bank
slope to the riverbed.
6. Analysis of the factors influencing crest cracking
The uncoordinated deformation of the core rockfill dam was the
main cause of dam cracking. Therefore, based on the analysis results of
the spatial characteristics and inclination index of the cracks and the
relationships between the monitoring data, water level, and geology, the

10
H. Zhang et al. Engineering Geology 297 (2022) 106488

Fig. 18. Cloud map of settlement deformation inclination along the dam axis.

Fig. 19. Cloud map of horizontal strain along the river at the dam crest.

Fig. 20. Cloud map of horizontal strain along the dam axis at dam crest.

factors influencing the uneven deformation of the dam were investi­
gated further. The deformation in the dam’s crest shown in Fig. 21 is
adopted to analyze the factors influencing crest cracking.
6.1. Dam zoning
The inclination index of the settlement along the river increased
gradually from upstream to downstream. As can be seen from Fig. 21(b),
the settlement of the dam’s crest gradually decreased from upstream to

11
H. Zhang et al. Engineering Geology 297 (2022) 106488

Fig. 21. Map showing the distribution of the deformation of the dam’s crest.
Notes: The black figures in form of ‘x, y’ in Fig. 21(a) represent the measured values of each observation pier, x is the horizontal deformation along the river and y is
the axial horizontal deformation.

12
H. Zhang et al.
downstream. The reason for this is related to the dam zoning and the
wetting characteristics of the materials in each zone. As a typical straight
core wall dam (the dam zoning of the PG dam is shown in Fig. 1), the
dam’s body is mainly divided into four zonings. The material of the core
wall zone (zone A) is widely graded gravel soil, with a compression
modulus of 46.9 MPa. The main rockfill (zones D1 and D2) is micro­
scopic, weakly weathered, and freshly mined stone; and the compression
moduli of the upstream and downstream areas are 132.4 MPa and 187.5
MPa, respectively. The downstream secondary rockfill (zone D3) is
granite excavation slag, with a compression modulus of 116.6 MPa. The
modulus of the core wall is low, so the settlement and deformation of the
core wall are generally larger than those of the upstream and down­
stream rockfill areas during the construction period. During the opera­
tion period, the core wall serves the function of intercepting the water,
and the flooding in the downstream area is significantly smaller than
that in the upstream area and the core wall. As a result, the settlement of
the rockfill area on the upstream side of the dam is the largest, the
settlement of the core wall is the second largest, and the settlement in
the downstream rockfill area is the smallest.
In the contact area between the riverbed and the two banks, the
horizontal strain along the river was larger, and it gradually decreased
toward the middle and both sides of the riverbed. In addition, the hor­
izontal tensile strain along the dam’s axis and downstream of the dam’s
crest was larger. As can be seen from Fig. 21(a), the deformation along
the river on the downstream side of the dam was larger than that on the
upstream side, and there was a large difference in the uneven defor­
mation. Taking a typical moment of high water level as an example, the
maximum horizontal deformation difference along the river was 205.33
mm, which occurred in section 0 + 310 m in the riverbed (points TP5
and TP14). The reasons for this were analyzed. It was concluded that
under the thrust of the water in the upstream reservoir, the dam should
have shifted downstream as a whole. However, owing to the zoning and
shape of the dam, the settlement caused the upstream rockfill to deform
toward the upstream direction and the downstream rockfill to deform
toward the downstream direction, resulting in a difference in the hori­
zontal displacement.
6.2. Geological structure
The axial settlement deformation inclination of the dam tended to
decrease gradually from both sides toward the riverbed. The reason for
this may be related to the shape of the river valley. The slope ratios of the
left bank and the right bank of the PG dam are 1:0.714 and 1:1.105
respectively, and the bank slope is steep. The settlement deformations
on the left and right sides of the dam’s crest are greatly restricted by the
mountain, and thus, the settlement deformations of the bank slope dam
sections are small. As can be seen from Fig. 21(b), as the restraint effect
decreases on both sides and the soil column increases, the settlement
deformation of the dam’s crest gradually increases from both sides to­
ward the riverbed. Taking the settlement deformation of the dam crest
on December 2, 2019, as an example, the settlement deformations at
points TP1 and TP9 on both sides were 353.35 mm and 228.8 mm,
respectively, and the settlement deformations at the other points were
>400 mm. The uneven settlement near the demarcations between the
riverbed and the bank slopes was particularly obvious. On December 2,
2019, the settlement deformations in sections 0 + 178 m and 0 + 240 m
on the left bank were 181.09 mm. The settlement deformations in sec­
tions 0 + 431 m and 0 + 360 m on the right bank were 134.26 mm. The
uneven settlement was large. In addition, owing to the restraint of the
bank slope on both sides and the large settlement of the riverbed dam
sections, the soil of the bank slope dam section shifted toward the
riverbed. As a result, the bank slope dam sections were stretching areas
and the riverbed dam sections were compression areas, which resulted
in further non-uniform deformation along the dam axis.
The PG dam is built directly on the deep overburden, so it is a soft
infrastructure dam. The thickness of the overburden layer varies greatly
13
Engineering Geology 297 (2022) 106488
both vertically and horizontally. The thickness of the inshore cover
ranges from 20 to 40 m, and its particle size is very different, lacking
intermediate particles 5–0.5 mm in size. There are also several changes
in the physical and mechanical properties in all directions. The allow­
able bearing capacity of the coarse-grained layer is greater than 0.6
MPa, and the deformation modulus is greater than 50 MPa. In addition,
when the foundation surface was excavated to below 20 m, a sand lens,
with a thickness of fewer than 10 m and a distribution area of fewer than
12,000 m2, was found. The range of the allowable bearing capacity of
the sand lens is 0.15–0.25 MPa and that of the deformation modulus is
15–25 MPa. Because of the possible seismic liquefaction and deforma­
tion of the downstream sand lens, a weighted area with an elevation of
682–730 m was set in the downstream part of the dam. For the sand lens
under the core wall on the left bank, treatment measures were taken to
remove all of the medium-coarse sand and gravel-containing medium-
coarse sand in that area. The possibility of foundation liquefaction is
relatively small, but it still affected the uneven deformation of the dam.
Taking the largest typical cross-section (0 + 240 m) as an example
(Fig. 22), it was found that although the material modulus of each dam
zone is similar, the settlement deformation from the core wall to the
downstream rockfill dam shell at the same elevation is not uniform. The
range of the settlement difference between adjacent measuring points at
the lowest elevation is 388.00–1258.03 mm, and the settlement defor­
mation difference is relatively large.
6.3. Properties of the materials
As is shown in Fig. 23, the main influences of the material properties
on the dam crest cracking are as follows.
(1) The obvious wetting during the first impoundment was the
reason for the sharp increase in the uneven settlement. During the
first impoundment (May 2010 to October 2010), the water level
rose from 790 m to 850 m; the settlement deformation of the
three measuring points (LD4–LD6) on the dam crest increased by
465.60 mm, 436.37 mm, and 420.96 mm, respectively; and the
largest increase in the settlement difference between each
measuring point was 44.64 mm. However, during later water
storage cycles, the amplitude of the change in the water level was
the same as that of the first water storage, the deformation
increment was 18.90–102.87 mm, and the settlement increment
difference of each measuring point was 3.20–10.55 mm. Thus,
the deformation increment during the first impoundment period
was much larger than that during the later period. Related studies
have also shown that the first impoundment causes the soil to
become saturated, the particles are softened by the water, and the
edges of the particles are broken and rearranged (Kim et al.,
2014; Mahinroosta et al., 2015; Luo et al., 2019). In addition, the
internal friction angle of the rockfill material was reduced by
about 20%, and the modulus was reduced by about 50%. Owing
to the different material properties of the dam zones and the
impact degree of the humidification, the uneven deformation of
the first impoundment increased sharply.
(2) The long-term rheological properties of the rockfill are also fac­
tors affecting the uneven settlement. In the high water level
operation phase (October to December of each year), during
which the water level basically remains unchanged, the water
level fluctuates slightly between 847 m and 850 m, and the
external load changes can be ignored. However, the dam crest
still experiences settlement deformation, and the change in the
settlement difference between the two measuring points is about
0.01–3.63 mm. Although the settlement and deformation differ­
ences tend to be stable year to year, the PG dam has been in
operation for 10 years, and a settlement of 11–20 mm also
occurred in the high water level operation stage in 2020, which
indicates that there is a continuous rheological effect. The
H. Zhang et al.
Fig. 22. Map showing the distribution of the internal settlement deformation of the dam.
Fig. 23. Process line of measuring points LD4–LD6 at the crest of the PG dam.
rheological characteristics of the different zones are different,
which leads to further uneven settlement. The dam is a bulk
material structure, and the largest uneven settlement generally
appears on the inside in the form of a strong shear area, and no
tension cracks will form. However, as the uneven settlement
deformation of the dam’s body increased in the later stage, a
high-deformation inclination area developed in the dam’s crest,
and finally, cracks appeared in the dam’s crest.
(3) The complexity of the long-term deformation mechanism of
rockfill has led to an insufficient understanding of the risk of
high-core rockfill dams cracking. In the water storage cycle stage,
the deformation rate in the rising water level stage (May to
October of each year) is 0.08–0.11 mm/d; the deformation rate in
the high water level stage (October to December of each year) is
0.17–0.21 mm/d; and the deformation rate in the falling water
level stage (December to April of the following year) is 0.25–0.30
mm/d. Thus, there is a clear correlation between the settlement
deformation rate and the water level. Traditionally, the latter
stage of the dam is mainly affected by the rheology, and the
rheology will gradually decrease until it converges. It is
conventionally considered that there is little relationship
14
Engineering Geology 297 (2022) 106488
between the settlement and water level load because the seepage
force and buoyancy force generated by the water storage offset
each other according to numerical analysis results. The settle­
ment will not increase when the water level drops. Therefore, the
relevant calculation results for the PG dam show that the settle­
ment deformation will become stable in 1–2 years (Oldecop and
Alonso, 2008; Sigtryggsdottir et al., 2018; Mouyeaux et al.,
2019). However, after 10 years, during the high water level
period, the cracks on the dam’s crest are backfilled with asphalt
concrete and reopen every year. Furthermore, the uneven set­
tlement difference at the typical measuring points increases by
44–92 mm in the operation stage. We believe that the charac­
teristics of the rockfill materials may be more complicated during
the process of water storage. For example, repeated loading cy­
cles may cause deformation due to cyclic changes in stress, and
the rockfill may deteriorate under the influence of temperature
changes and wet and dry cycles. At present, several experiments
have also demonstrated related phenomena in rockfill, so
ignoring this part of the impact will lead to a conservative
cracking risk assessment.
H. Zhang et al.
7. Conclusions
The problem of dam crest cracking is a difficulty encountered in the
design and construction of many high core walls. The results of this
study provide an important engineering reference for the prevention and
control of cracking of high core wall dam crests based on a compre­
hensive and systematic analysis of the crack characteristics and influ­
encing factors of a case study. The conclusions are as follows.
1) The longitudinal cracks in the PG dam appeared at the junction be­
tween the core wall and the downstream rockfill body and 6 m from
the downstream side of the dam axis. The width of the cracks grad­
ually decreased from the riverbed dam section toward the left and
right banks. During the high water level and falling water level pe­
riods, the cracks tended to develop from the middle toward both
sides. Generally, the depths of the cracks ranged from 0.5 m to 1.5 m,
and the widths ranged from 5 mm to 15 mm. The transverse cracks
mainly appeared in the bank slope dam section, and they were fine,
non-penetrating cracks.
2) Non-uniform deformation along the river and the dam axis were the
main reasons for the cracking of the PG dam’s crest. The deformation
inclination of the first cracking area was 1.07–1.78%. By 2019, the
lower-middle area of the dam had exceeded 1%, with a maximum
value of 3.9%. The horizontal strain along the river at the dam’s crest
reached a maximum value of 2.16% in 2015. The axial settlement
deformation inclination range was 0.1 to 0.5, and the strain ranges
from 0.6% to 0.25%. Based on analysis of the relationship between
the deformation inclination index and cracking, it was concluded
that the longitudinal cracks are shear cracks, which were caused by
the differential settlement along the river and the large horizontal
displacement difference between the upstream and downstream
sides of the dam crest, whereas the transverse cracks are tension-
shear cracks, which were mainly caused by the differential settle­
ment in the axial direction and the horizontal deformation from the
two sides toward the riverbed.
3) Dam zoning, the valley topography on both sides of the river, the
geological structural characteristics of the foundation, and the dam
materials’ properties are the main factors causing the uneven
deformation of the dam. Owing to the different compression moduli
of the various zones and the wetting influence of the water storage,
along-river uncoordinated settlement, and horizontal deformation
have occurred. The shape of the undercut bank slope and the
different dam heights in the bank slope dam sections have resulted in
uneven settlement along the dam axis and horizontal tension and
compression deformation on both sides of the dam. The uneven
change in the geological characteristics of the dam’s foundation
along the river has also had a certain impact on the uneven settle­
ment along the river. The wetting effect of the rockfill caused by the
first impounding led to a sharp increase in the settlement of the dam
crest in a short term. The rheological properties of the rockfill are one
of the factors causing the long-term uneven deformation.
4) The cracks in the PG dam have not converged in the past 10 years. In
the later stage of the water storage cycle, the deformation continues
to increase and the treated cracks reopen during the high water level
stage. At present, this phenomenon is difficult to explain and simu­
late. Therefore, it is necessary to study the long-term deformation
mechanism of rockfill materials.
Declaration of Competing Interest
The authors declare that they have no known competing financial
interests or personal relationships that could have appeared to influence
the work reported in this paper.
15
Engineering Geology 297 (2022) 106488
Acknowledgments
The authors gratefully acknowledge the financial supports of the
2016 School Youth Startup Fund under Grant numbers 20826041A4223
for research on the mechanism and prevention measures of hydraulic
splitting for the core of the earth-rockfill dams.
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