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ARTICLE
Watertightness, cracking resistance, and self-healing of asphalt
concrete used as a water barrier in dams
Yingbo Zhang, Kaare Höeg, Weibiao Wang, and Yue Zhu

Abstract: The coefficient of permeability of hydraulic asphalt concrete is in the range 10ÿ8–10ÿ10 cm/s. Laboratory test results show
that triaxial specimens in axial compression can undergo axial strains up to 18% without any significant increase in permeability until
approaching the compressive strength. For temperatures between 5 and 20 °C and strain rates between 2 × 10ÿ3%/s and 5 × 10ÿ3%/
s, conventional hydraulic asphalt concrete can tolerate 1%–3% tensile strains before cracking in direct tension tests and strains up to
3%–4% in bending. At 20 °C the tensile and bending strains at cracking are 2–4 times higher than those at 0 °C, and at ÿ20 °C they are
approximately 0.2% and 0.8%, respectively. Asphalt concrete possesses pronounced crack self-healing properties. In the experiments,
the crack leakage rate dropped 1–4 orders of magnitude within a few hours and the cracked specimens regained 55% of the intact
tensile strength after only 1 day of self-healing. In summary, the comprehensive series of laboratory tests documents that asphalt
concrete has characteristics that make the material extremely well suited for use in impervious barriers in dams, and the test results
reported herein can be of great use in barrier design.

Key words: dam, water barrier, asphalt concrete, watertightness, resistance to cracking, self-healing.
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Résumé : Le coefficient de perméabilité du béton bitumineux hydraulique utilisé comme barrière dans les barrages est entre 10ÿ8 a`
10ÿ10 cm/s. Des essais triaxiaux en laboratoire démontrent que les éprouvettes sous compression axiale peuvent subir des
déformations axiales de cisaillement jusqu'a` 18 % sans augmentation significative de la perméabilité. Pour des températures entre 5
et 20 °C et taux de déformation entre 2 × 10ÿ3 et 5 × 10ÿ3 %/s, le béton bitumineux hydraulique conventionnel peut tolérer des
déformations entre 1 et 3 % avant de fissurer en tension et des déformations de 3 a` 4 % en flexion. À 20 °C, les déformations en
tension et flexion au moment de la fissuration étaient de deux a` quatre fois plus élevées que celles a` 0 °C. À ÿ20 °C, les deformations
en tension et flexion au moment de la fissuration étaient de 0.2 et 0.8 % respectively. Le béton bitumineux possède des caractéristiques
auto-réparatrices des fissures, par exemple les fissures dues a` un séisme sévère peuvent s'auto-réparer rapidement. Dans les essays,
le taux de fuite dans les fissures ont diminué d'un a` quatre ordres de magnitude dans l'espace de quelques heures. Les spécimens
fissurés cependant ont eu un regain de 55 % de leur résistance en tension intacte dans l'espace d'un jour d'auto-réparation. En
conclusion, les essays de laboratoire démontrent que le béton bitumineux a des propriétés et caractéristiques qui le rendent très
avantageux comme barrière impermeable pour barrages. Les résultats présentés peuvent être d'une grande utilité pour le
dimensionnement de la barrière.

Mots-clés : barrage, noyau interne, front en amont, béton bitumineux, imperméabilité, résistance a` la fissuration, autoréparation.
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Introduction
The application of bitumen (asphalt cement) and asphalt con-
crete in impervious barriers in hydraulic structures may be traced
back thousands of years, and since the 1920s the systematic
development and improvement of hydraulic asphalt used for such
purposes has taken place . In the early years, asphalt concrete was
used primarily as an impervious facing for embankment dams and
on banks and bottoms of reservoirs (ICOLD 1999). Asphalt concrete
and asphalt mastic membranes have also been used to seal
concrete dams, as linings for canals, for stabilizing river banks, and
for sea defense works (eg, Schönian 1999; Sun et al. 2003).
However, exposed asphalt facings may be subject to aging by
oxidation, physical damage by ice, and impact by floating debris
(eg, Tschernütter 2008). Therefore, given the experience gained
from the use of asphalt concrete facings, since 1960 asphalt
concrete has also been used in impervious core walls in embankment
dams. More than 120 such asphalt concrete core embankment
dams have been built and many are currently under design and
construction (eg, ICOLD 1992; Höeg 1993;
Creegan and Monismith 1996; Schönian 1999; Höeg et al. 2007;
Saxegaard 2010; Wang and Höeg 2010).
The most important aspect for hydraulic applications is that the
barrier remains watertight even when subjected to severe static and
earthquake loading (Feizi-Khankandi et al. 2008; Wang 2008; Wang
and Höeg 2011). Laboratory tests and field experience show that
asphalt concrete with air-void content (porosity) < 3% is virtually
impervious with a permeability coefficient in the range 10ÿ8–10ÿ10
cm/s. The asphalt barrier has to follow and adjust to the movements
and deformations imposed by the embankment and foundation
without suffering from increased permeability or cracking. Cracks
may form locally due to large shear or tensile strains induced by
imposed displacements or temperature changes. The strain levels
at which cracks open depend on a number of factors, eg, asphalt
mix design, loading rate (strain rate), temperature level, and rate of
change of decreasing temperature.
In contrast, due to its viscosity, asphalt concrete may self-seal (self-
heal) rather quickly under compressive stresses.
The objectives of this investigation are to study the watertightness,
cracking resistance, and self-healing properties of hydraulic

Received 11 January 2012. Accepted 24 January 2013.

Y. Zhang, W. Wang, and Y. Zhu. Xi'an University of Technology, 5 Jinhua South Road, 710048 Xi'an, China.
K. Hoeg. Norwegian Geotechnical Institute (NGI), PO Box 3930 Ullevaal Stadium, NO-0806, Oslo, Norway.
Corresponding author: Weibiao Wang (e-mail: wangweibiao59@hotmail.com).

Can. Geotech. J. 50: 275–287 (2013) dx.doi.org/10.1139/cgj-2011-0443 Published at www.nrcresearchpress.com/cgj on 19 March 2013.
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276 Can. Geotech. J Vol. 50, 2013

Table 1. Test program and number of asphalt concrete laboratory and field specimens tested.
Test method Size of specimen Specimen Number of asphalt
Type of test and conditions (mm × mm × mm) preparation specimens tested

Permeability Triaxial compression at 15 °C 100 mm diameter and Laboratory 7

200mm height
Resistance to cracking Direct tension at temperatures 40×40×220 Laboratory or from 81
between 25 and ÿ25 °C asphalt facing
Bending at temperatures between 35×40×250 Laboratory or from 81
25 and ÿ25 °C asphalt facing
30×35×250 From asphalt core 39
Bending creep at 2 °C 35×40×250 Laboratory 13
Relaxation Stress relaxation at temperatures 40×40×220 Laboratory 7
between 10 and ÿ30 °C
Low-temperature Crack-opening due to decreasing 40×40×220 Laboratory One typical specimen
resistance temperature
Self-healing Seepage with time and regained 70×70×100 Laboratory 11
strength at temperatures 40×40×120 From asphalt facing 8
between 7 and 25 °C

Table 2. Triaxial tests. Stress–strain results presented in Fig. 1.

Specimen Initial air-void Prescribed deviator Axial strain at Final air-void content
No. content (%) stress level (MPa) end of test (%) at mid-height (%)
A-1 0.53 2.72 (80% MDS) 13.1 0.16
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A-2 0.60 2.72 (80% MDS) 12.9 0.64

B-1 0.83 3.06 (90% MDS) 16.0 0.48
B-2 0.74 3.06 (90% MDS) 16.9 0.58
C-1 0.42 3.35 (MDS) 21.0 1.30
C-2 0.66 3.45 (MDS) 24.0 0.99

Note: MDS, average maximum deviator stress (= 3.40 MPa).

asphalt concrete using new experimental results from 13 Chinese other pairs of specimens (pairs A and B) were run up to 80% and 90%
dams with asphalt concrete cores and facings combined with the of peak strength, respectively. The triaxial specimens were then dis-
few test results available in the literature (Kawashima et al. 1997; mounted at the prescribed final stress–strain levels. From the middle
Terada et al. 1997; Saxegaard 2003; Nakamura et al. 2004). Thus, part of each specimen two cylindrical slices (discs) of 20 mm thick-
one would be able to judge how suitable asphalt concrete barriers are ness were cut out to determine the permeability after the specimens
are for use in dams and dikes under various loading and environmental had been subjected to the large-shear strains. The permeability tests
conditions. The test program and number of asphalt con-crete were carried out on the disc specimens under a water pressure of
specimens tested are shown in Table 1. 1.0 MPa with the direction of flow along the axis of the triaxial
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specifications from which the discs had been cut.

Investigation of permeability of specimens in
triaxial compression
A series of triaxial compression tests was run to study the changes
in permeability as the shear stresses and increased strains towards
specimen failure. The mix was designed for a typical asphalt core of
an embankment dam. Limestone was used for the coarse and fine
aggregates together with some natural sand and the filler material
(<0.075 mm) was limestone powder. The bitumen content (type
AH-90 (People's Republic of China National Energy Administration
2009), similar to B70/100 (CEN 2009) in the European standard) of the
asphalt concrete was 6.5% (of total weight). The triaxial specimens
with 100 mm diameter and 200 mm height were drilled out from
large specimens prepared using a compaction method simulating
field compaction, as described by Wang and Höeg (2009). The
initial air-void content was small and almost the same, between
0.4% and 0.8%, for the six specimens prepared for the test series
(see Table 2). A seventh triaxial specimen was not loaded in the
triaxial cell and was only used to determine the permeability
coefficient for the asphalt concrete prior to any loading.
The triaxial compression tests, with an impervious rubber membrane
mounted around each specimen, were run at an axial strain
rate of 1.7 × 10ÿ3%/s (0.2 mm/min), with a constant confining stress of
1.0 MPa at 15 °C. One pair of specimens (pair C) was first tested
determine the peak strength (maximum deviator stress) and the
average value was found to be 3.40 MPa (Fig. 1a). Then tests on the two
The permeability coefficient for discs cut from the unloaded
triaxial specimen was found to be approximately 5 × 10ÿ10 cm/s
and the permeability decreases further with time for the duration
of the permeability test. The corresponding permeability coefficients
were determined from discs from specimens A and B were found
to be only slightly larger, approximately 10ÿ9 cm/s, and the per-
meability decreases with time. This shows that asphalt concrete
can undergo very significant shear strains without a corresponding
significant increase in permeability. The probable explanation
for this very positive result with respect to watertightness is presented
in the following paragraph.
Hydraulic asphalt concrete used in dams consists of significantly
more fine aggregates, filler, and bitumen than asphalt concrete used
in road and airfield pavements. In the supersaturated
mix used for hydraulic asphalt, there is a relatively thick bitumen
film (coating) covering all the aggregate particles. Under imposed
stresses and strains, the aggregate particles may move and rotate
without causing interconnected fissures in the viscous bitumen
binder or increasing the permeability of the asphalt concrete. In
the test series described above, the triaxial specimens first de-creased
in volume (contracted) during the isotropic application of
the 1.0 MPa confining stress. As shown in Fig. 1b, the asphalt
specimens contracted further during axial compression before
they started to expand (dilate) at about 10% axial strain (negative
volumetric strain indicates volume expansion). Not until an axial

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Zhang et al. 277

Fig. 1. Triaxial compression test results of specimens subjected to (A) 80%, (B) 90%, and (C) 100% maximum deviator stress levels under a
confining stress of 1.0 MPa. (a) Deviator stress versus axial strain. (b) Volumetric strain versus axial strain.

Table 3. Tensile strains at first cracking for various asphalt mixes designed for use in upstream facing for Xilongchi
Dick.

Mix (% by total weight)

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Mix Fillers Fiber Test Strains Strains at first

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Bitumen type Temperature

No. content and content content type (°C) rate (10ÿ3%/s) cracking (%)
Xlc1 13 7.0 (AH-70) 0 Tension 2 3.5 1.5
Bending 2 2.1
Xlc2 13 7.5 (AH-70) 0 Tension 2 5 1.5
ÿ15 0.2
ÿ25 3.5 2 2 0.1
Bending 5 2.2
XLc3 10 7.2 (AH-70) 0 Tension 22 3.5 1.3
Bending 2 5 1.9
XLc4 10 7.7 (AH-70) 0 Tension 2 3.5 1.4
Bending 2 5 1.8
XLc5 13 7.5 (AH-70) 0.2 Tension 2 3.5 1.6
Bending 2 5 3.0
XLc6 13 7.5 (AH-90) 0.2 Tension 2 3.5 1.5
Bending 2 5 2.5
XLc7 13 0 Tension 1.3
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Bending 2 5 3.7
G1 13 7.0 (SBS-modified bitumen) 0 Tension 2 3.5 1.8
ÿ15 2 0.2
Bending 2 5 5.8
ÿ15 2 0.9
ÿ25 2 0.3
G2 13 7.5 (SBS-modified bitumen) 0 Tension 3.5 3.0
2 2 0.3
Bending 5.8
ÿ15 52 1.7
2 ÿ15 ÿ25 2 0.4
Note: Results give average values for three specimens for each mix and test condition.

strain of about 18% (equivalent to shear strain 26%) did the speci-
mens (pair C) show a net volume increase. Table 2 shows the
air-void contents for pairs A, B, and C after having reached the
80%, 90%, and 100% strength levels, respectively. The final void
content is smaller than the initial value for pairs A and B except
for specimen A-2 where it is about the same as the initial value.
However, for pair C there is a significant increase in the air-void
content compared to the initial value.
The test results show that the triaxial specimens were tested in axial
compression can tolerate very high stress levels and large axial
and shear strains before shear dilation and cracking cause any
significant increase in permeability. The shear strains in the test
specimens were much higher than those experienced in the field
in a typical core in an embankment dam (eg, Wang 2008; Wang
et al. 2010), and the bitumen content in the test specimens was no
higher than that used in modern asphalt core embankment dams.
The results are strictly valid for the asphalt concrete and test
conditions described above; however, due to the mix proportions
and bitumen content used in hydraulic asphalt concrete for dams,
it is believed that the conclusion may be generalized to be valid
also at other temperatures and confining stress levels.
Resistance to cracking in direct tension and
bending
Upstream dam facings (membranes) are subjected to bending
strains and also direct tension in local regions. A dam core is

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278 Can. Geotech. J Vol. 50, 2013

Table 4. Tensile strains at first cracking for various asphalt mixes designed for use in dam cores.

Temperature Bitumen Test Strains Strains at first

Projects (°C) content (%) Fine aggregate type rate (10ÿ3%/s) cracking (%)

Xiabandi (XBD) 3.5 7.0 Crushed Tension 2 1.3

Bending 2 2.9
6.7 Crushed and natural sand Tension 2 Bending 2 1.1
Tension 2 3.4
Dazhuhe (Dzh) 18 6.4 Crushed Bending 2 2
Tension 3 8
Kanerqi (Keq) 11 6.1 Crushed Bending 3 1.5
Crushed and 4
6.1 natural sand Tension 3 Bending 3 Tension 2 2
Bending 2 5
Zhaobishan (Zbs) 4 6.4 Crushed Crushed and 1.5
natural sand 5.4
6.4 Tension 2 Bending 2 Crushed and natural sand 1.4
Tension 3 4.7
Qiabuqihai (Qbqh) 9 6.2 Bending 3 Crushed and natural sand Tension 3 1.5
Bending 3 5
6.5 Tension 8 Bending 10 Tension 8 Bending 10 Note: 2
Results give 6
Longtoushi (Lts) 20 6.2 Natural sand average values 3
for three 4.5
6.5 Natural sand specimens for 3
each mix and 5
test condition.
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Table 5. Tensile strains at cracking for field specimens drilled out of dam cores and facings.
Bitumen Temp. Specimen Test Strain rate Strains at first
Projects content (%) (°C) group No. type (10ÿ3%/s) cracking (%)

Dongtang (core) (Dt) 6.1 15 Bending 3 6

12 Bending 3 8.5
Bending 3 5
34 Bending 3 5
Kanerqi (core) (Keq) 6.1 11 Bending 3 6
12 Bending 3 4.5
Bending 3 5
34 Bending 3 6
5 Bending 3 5.5
6 Bending 3 6
Yatang (core) (Yt) 6.8 5 1 Bending 2 6
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Maopingxi (core) (Mpx) 5 1 Bending 3

25 Bending 3 6
Tianhuangping (facing) (Thp) 6.8 5 11 Tension 3 1.2
20 Tension 3 4.5
5 11 Bending 5 3.7
25 Bending 5 9
Xiakou (facing) (Xk) 7.4 6 11 Tension 3 1
Bending 5 3.5
Note: Results give average values for three specimens.

predominantly in compression, but severe earthquake shaking
may cause some bending and local tension towards the top of the
dam. All the test results presented below are given in terms of how
much direct tension and bending strains the asphalt concrete
specimen could be tolerated before a crack opened.
Large laboratory specimens were prepared using the compaction
method described by Wang and Höeg (2009) to best simulate
field compaction. For the direct tension tests, the specimens were
cut to a size of 40 mm × 40 mm × 220 mm. For the beam bending
tests, the specimen size was 35 mm × 40 mm × 250 mm. The
effective specimen direct tension length and beam span length
were 200 mm.
Test results on various asphalt concrete mixes are shown in
Table 3. These mixes were prepared for use in the upstream facing of
the Xilongchi Dike, China, and the specimens are denoted by Xlc.
Limestone was used for the coarse and fine aggregates and the filler
material was limestone powder. The maximum aggregate particles
size was 16 mm and the aggregate grain-size curve was the same for
all specimens listed in Table 3. The air-void content of the various
specimens were between 1.5%–2.0%. The effects of different mix fillers
contents, bitumen contents, modified bitumen types, added fiber,
and temperatures were investigated by performing direct tension
and beam bending tests. Conventional AH-90 bitumen was modified
by adding 0.4% by weight of styrene–butadiene–styrene (SBS) in an
attempt to increase the strain at cracking (mix Nos. G1 and G2 in
Table 3). Asphalt mixes Xlc5 and Xlc6 were prepared with 0.2% by
weight of polyester fiber (6 mm long).
Replacing AH-70 with the softer AH-90 increased the bending
strain at cracking (3.7% for mix No. XLc7 versus 2.2% for mix No.
Xlc2 in Table 3) while it did not show any increase in the direct
tensile strain at cracking. Using the AH-90 bitumen modified with
0.4% by weight of SBS, it was found that the strains at cracking
increased significantly. They were doubled for the bitumen content of
7.5% at 2 °C (direct tensile strain 3% for mix No. G2 versus

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Zhang et al. 279

Fig. 2. Direct tensile strain at cracking versus temperature for nine different asphalt mixes. L, specimen prepared in the laboratory; F, field
specimen taken by drilling in water barrier.
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Fig. 3. Bending strain at cracking versus temperature for 13 different asphalt mixes.
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1.5% for mix No. Xlc2, and bending strains 5.8% versus 2.2% in
Table 3). However, increasing the bitumen content from 7.0% to
7.5% for filler content 13% or from 7.2% to 7.7% for filler content
10% did not significantly increase the direct tensile strain and
bending strain at cracking, and the added 0.2% fiber did does not
lead to any significant increase in the magnitude of strains at cracking.
Direct tension and bending tests were also carried out on
laboratory-prepared specimens as well as on field specimens drilled
out from the asphalt concrete barriers for several other Chinese
dams. The test results from the laboratory specimens of mixes
designed for asphalt cores are shown in Table 4. The mean annual
air temperatures at these dam sites were chosen as the test
temperatures. Table 5 shows results from field specimens drilled
out from dam cores and facings. Field samples, 100 mm in diam-
ether and about 260 mm long, were drilled out from the asphalt
cores and cut into 30 mm × 35 mm × 250 mm specimens for beam
bending tests. Rectangular field samples were cut out from the
asphalt facings into 40 mm × 40 mm × 220 mm specimens for direct
tension tests and into 35 mm × 40 mm × 250 mm for beam bending
tests.
The results are shown in Tables 3–5 and in Figs. 2 and 3 clearly
show the effect of temperature on the strains required for cracking.
Figures 2 and 3 show that the direct tensile strain and bending
strain at cracking at 20 °C were much higher than those at 0 °C
(direct tensile strain approximately 3.5% versus 1%; bending strain
approximately 7% versus 3%). At ÿ20 °C the direct tensile strain

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280 Can. Geotech. J Vol. 50, 2013

Fig. 4. Comparisons of direct tensile strain and bending strain at cracking versus temperature.
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was 0.2%, while the bending strain was about 0.8%. The comparisons Table 6. Test parameters and bending creep test results.
of direct tensile strains and bending strains at cracking versus Specimen Max. bending Bending strains
temperature are shown in Fig. 4. The figure shows that the No. stress (MPa) at cracking (%)
bending strains at cracking are much greater than the direct ten-sile
strains at the same temperature. XLC2 mix (conventional bitumen)
1 0.54 7.0
2 0.80 7.5
Effect of strain rate on test results
3 1.07 9.5
The magnitudes of direct tensile and bending strains at 4 1.34 9.9
cracking is affected by the amount of viscous creep that has 5 1.61 7.4
time to develop during the loading and therefore the rate of Average
— 8.2
loading used in the test. This was investigated by carrying out G2 mix (SBS-modified bitumen)
bending creep tests on conventional asphalt concrete (mix No. 1 0.86 >8.7
Xlc2, Table 3) and on modified asphalt concrete (mix No. G2, 2 0.86 >11.8
Table 3). The testing temperature was 2 °C. The creep tests were 3 1.07 15.4
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performed by keeping a constant load on the mid-point of the 1.07 14.6

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beam span and record the beam deflections with time until
a crack opened. The difference between these testing methods
and the bending test method used to obtain the results in
Table 3 should be noted. For the tests in Table 3, the strains
were imposed at a specified rate.
The bending stresses and strains at cracking for the creep bend-ing
tests are shown in Table 6 and in Figs. 5 and 6. In Table 6 the
load applied on specimen No. 1 of mix No. XLc2 produced a maxi-
mum bending stress of 0.54 MPa while the load applied on speci-men
No. 5 caused a maximum bending stress of 1.61 MPa. Table 6
shows that the bending creep strains at cracking were roughly the
same for all the specimen Nos. 1 to 5 of mix No. XLc2, although
Higher bending stress gives a somewhat higher creep rate. For the
conventional asphalt concrete mix, No. XLc2, the bending creep
strain at cracking was on average 8.2%, which is 3.7 times that of
the bending strain of 2.2% recorded at 2 °C in Table 3. For the
SBS-modified asphalt, mix No. G2, the average bending creep
the strain was 13%, which is 2.2 times higher than the bending strain
of 5.8% recorded at 2 °C in Table 3.
Table 3 shows test results for different imposed strain rates, but
only varying between 2 × 10ÿ3%/s and 5 × 10ÿ3%/s. Kawashima et al.
(1997), Terada et al. (1997), and Nakamura et al. (2004) previously
documented the significant effect of strain rate on the magnitude
of the tensile strain at cracking. In Fig. 7 the bending strains at
cracking at strain rates of 5 × 10ÿ3%/s and 2 × 10ÿ3%/s at low temp-
peratures recorded in the new series of tests are compared with
5 1.34 >17.6
6 1.34 >8.8
7 1.61 12.1
8 1.61 11.6
— >13
Average
the results by Kawashima et al. (1997). Figure 7 shows that the
strains at cracking, 1.8%–3% at 2 °C for various asphalt mixes using
AH-70 and 2.5%–3.7% using AH-90, are somewhat greater than
those reported by Kawashima et al. (1.8%–2.1% at 0 °C at the same
strain rate of 5 × 10ÿ3%/s). The strains at cracking, 5.7% at 2 °C for
the SBS-modified asphalt mixes, are much greater. At a strain rate
of 2 × 10ÿ3%/s at ÿ15 °C, the strains at cracking for the SBS-modified
asphalt mixes with bitumen content 7.0% and 7.5% were 0.9% and
1.8%, respectively, which is much greater than the estimate
value of 0.3% from the results reported by Kawashima et al. (1997).
In conclusion, at a given temperature, the cracking strains in
direct tension and bending decrease approximately five times
when the strain rate is increased by two orders of magnitude,
from 10ÿ2%/s to 1%/s. The cracking strain in bending at 5 °C may
typically be 4% at a strain rate of 10ÿ2%/s and 1% at a strain of 1%/s.
At ÿ5 °C the corresponding cracking strains are 1% and 0.2%.
Nakamura et al. (2004) presented results of direct tensile tests
on conventional asphalt concrete with B70 bitumen and on the
special Superflex-phalt asphalt versus strain rate at 0 °C (Fig. 8).

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Zhang et al. 281

Fig. 5. Bending creep curves for mix No. Xlc2 asphalt specimens with conventional bitumen using different values of bending stress level.

Fig. 6. Bending creep curves for mix No. G2 asphalt specimens with SBS-modified bitumen using different values of bending stress level.
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(a) Bending stress levels of 0.86 and 1.07 MPa. (b) Bending stress levels of 1.34 and 1.61 MPa.
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Both mixes give nearly linear relationships in the logarithmic
diagram. At a strain rate of 3.5 × 10ÿ3%/s the results for the conventional
asphalt in Table 3 show that the tensile strains at cracking at 2 °C seem
consistent with the results of Nakumara et al.
(2004) at 0 °C for the B70 bitumen, while the strains at cracking for
the SBS-modified bitumen is higher. The strains at cracking for
the special Superflex-phalt are dramatic (orders of magnitude)
higher than those for conventional B70 bitumen and SBS-modified B70
bitumen. The Superflex-phalt was especially developed to tolerate large
tensile strains in asphalt concrete facings,
for instance during earthquake loading. For earthquake loading,
the strain rate in the facing may typically be of the order of 10ÿ1%/s.
asphalt concrete. Laboratory relaxation tests provide material parameters
for the low temperature stress computations that are required in such
design analyzes (Wang 2008).
Special stress relaxation tests were therefore carried out at tem-
peratures of 10, 5, 0, ÿ5, ÿ10, ÿ20, and ÿ30 °C. After the specimen
had been kept at a specified temperature for at least 1 h, it was
swiftly pulled to a specified length (specified tensile strain) in less
than 3 s and then the strain was kept constant in the direct tension
apparatus. The tensile stress required to maintain the specific
strain level gradually reduces with time and the relaxation mod-ulus is
expressed as

Tensile stress relaxation tests at low temperatures [1] E(t) (t)/0

Asphalt facings at the upstream slope of embankment dams may
be subjected to very low temperatures in cold regions during winter
where E(t) is relaxation modulus, (t) is relaxation stress level, and
seasons. The low temperature causes tensile stresses in the asphalt
facing if contractions in the facing are constrained. However, the 0 is strain kept constant

tensile stress caused by low temperatures may be relieved with time

(dissipated) due to the pronounced viscous relaxation properties of [2] E(t)|t¡0 (t)/0| t¡0 E0 0/0

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282 Can. Geotech. J Vol. 50, 2013

Fig. 7. Bending strains at cracking for various strain rates for various asphalt mixes at low temperatures (see Table 3) compared with tests
results from Kawashima et al. (1997).
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Fig. 8. Direct tensile strains at cracking for various strain rates and various asphalt mixes compared with tests results from Nakamura et al. (2004),
who used special Superflex-phalt mix.
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where E0 and 0 are defined as initial modulus and initial stress,
respectively.
The relaxation modulus plotted versus the logarithm of time is
shown in Fig. 9 for the Xilongchi Dike asphalt mix (mix No. G2, see
Table 3) and the values of the relaxation modulus for different time
periods are summarized in Fig. 10. The modulus ratio is referred to
in Fig. 10 is with reference to the recorded modulus after 10 s of
relaxation.
Figures 9 and 10 show that the relaxation modulus is strongly
affected by the temperature. The decrease of the modulus ratio with
temperature and time (Fig. 10) shows that the curves are almost flat
between 10 and ÿ5 °C, the ratio is linearly increasing between ÿ5 and
ÿ20 °C, and the curves flatten out between ÿ20 and ÿ30 °C.
Crack-opening due to contraction at very low
temperatures
Cracks may open up due to contraction if the decrease in
temperature is so rapid that sufficient stress relaxation does not have
time to take place. A special low-temperature crack-opening test is
used to evaluate the cracking resistance. During the test, the length
of an asphalt specimen is kept constant while the temperature is
decreased until cracking occurs. The starting temperature in the test
is usually 10 °C and the rate of temperature decrease is 30 °C/h. A
typical response curve for the tensile stress developed in a constrained
specimen is shown in Fig. 11. When the temperature was reduced
from 10 to ÿ7 °C, there was no tensile stress built up in the specimen.
This implies that the potential tensile stress caused by the temperature
decrease was dissipated (compensated) by the high relaxation rate.
When the temperature was reduced from ÿ7 to ÿ21 °C, the tensile
stress in the specimen started to build up and the stress rate increased
with temperature below ÿ7 °C. When the temperature was reduced
below ÿ21 °C, the ten-sile stress increased linearly with the
temperature reduction until a crack opened. The transition point on
the curve, in this case at ÿ21 °C, is defined as the stress relaxation
limit for this asphalt concrete mix. The stress and temperature at crack-
opening (4.2 MPa

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Zhang et al. 283

Fig. 9. Relaxation modulus versus time for Xilongchi Dike asphalt mix at different temperatures. (a) Temperatures of 0, 5, and 10 °C.
(b) Temperatures of ÿ5, ÿ10, ÿ20, and ÿ30 °C.

Fig. 10. Relaxation modulus ratio versus temperature after different time periods.
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and ÿ42.7 °C in Fig. 11) and the stress relaxation limit is important
parameters used to evaluate the behavior of asphalt concrete facings
at low temperatures.
The Xilongchi Dike facing was required to tolerate the low air
temperature of ÿ38 °C without cracking for the daily pumped-storage
upper reservoir. The impervious facing with the mix No.
G2 (SBS-modified bitumen, Table 3) was completed in 2006 and
has performed well without any cracking. An improved SBS-modified
bitumen was used for the facing of the Huhehaote Dike,
which is required to tolerate an air temperature of ÿ45 °C without
cracking. The construction of this daily pumped-storage reservoir
started in August 2012.
Self-healing properties of asphalt concrete
If cracks do occur, asphalt concrete has self-healing (self-sealing)
properties due to its viscous behavior. In this section,
Crack self-healing is studied for several different asphalt concrete
mixes at various temperatures and stress levels.
The self-healing test is designed to simulate the situation in an
asphalt core and facing. For the asphalt core simulation, a pris-matic
specimen of square cross section 70 mm × 70 mm and
Length 100 mm is used. A crack is created at mid-height by a
splitting method using a 10 mm diameter steel bar as a strip load
at a temperature of ÿ5 °C. Then the cracked specimen is mounted
in the test apparatus as shown in Fig. 12 and a force is applied
vertically. A lateral water pressure is exerted on one side of the
specimen and the volume of leakage water passing through the
crack is measured at the opposite side. The water pressure difference
between the upstream and downstream sides of the speci- men was
1.0 MPa in all tests reported here. Typical leakage versus
time relationships are shown in Fig. 13 for different vertical stress
levels.
For an asphalt core under compressive vertical stress, Fig. 13
shows that self-sealing crack develops rather quickly with time.
Within only 5 h, the rate of leakage dropped 1–4 orders of magnitude
depending on the imposed compressive stress level. The leak-age
rate continued to decrease 1–2 orders of magnitude over the
following 20–40 h, but at a slower rate.
Similar self-healing tests have also been performed on the as-
phalt core mix for the Yele Dam, China (125 m high; Wang et al.
2010). The bitumen content was 7.0%. One specimen was tested
under 1.0 MPa compressive stress at 15 °C and the other, under

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284 Can. Geotech. J Vol. 50, 2013

Fig. 11. Typical crack-opening test results for Xilongchi Dike asphalt mix.
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Fig. 12. Self-sealing test equipment developed at Xi'an University of Technology for simulating asphalt concrete core behavior.
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0.5 MPa at 25 °C. The leakage rates for the two specimens decreased
to about the same value of 0.05 mL/min after 16 h of self-sealing.
Special investigations were conducted to determine the tensile strength
strength of the specimens after a crack had formed and the crack
had been virtually sealed. After the self-healing tests have been done
performed under a vertical stress of 1.0 MPa for 24 h at 7 °C, the
regained tensile strengths of the Yele Dam specimens were determined
by performing splitting tests. The strengths of intact (no
cracks) specimens were also tested by splitting, so a comparison of
tensile strength results could be made. The average regained
strength for the two groups of three specimens was 55%. These
findings agree with the earlier results presented by Saxegaard
(2003) who used soft bitumen of type B180. In his studies, the
imposed vertical stress was 0.26 MPa on cubical specimens with
75 mm sides and the testing temperature was 5 °C (dam in sub-arctic
climate) and 20 °C (subtropical climate), respectively. In
only 4 h, more than 50% of the initial tensile strength was re-gained at
5 °C and 75% at 20 °C. Thereafter, the strength regained
increased continuously with time, but at a slower rate.
The laboratory crack self-healing simulation for asphalt facings
is different from that of an asphalt core simulation. The water
pressure from the reservoir is applied on one side and along the
crack, and the stress in the plane of the facing is adjusted by a
screw as shown in Fig. 14. The specimen has a square cross section
40 mm × 40 mm and length 120 mm. Figure 15 shows the results of
four specimens cut out from the asphalt facing of the Tianhuang-

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Zhang et al. 285

Fig. 13. Leakage versus time under vertical stresses of 0.75, 1.2, and 1.5 MPa for Dongtang Dam asphalt core mix described in Table 5.
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Fig. 14. Self-sealing test equipment developed at Xi'an University of weathering effects at about 5 °C in sub arctic climates and 20 °C in
Technology for simulating asphalt concrete facing behavior. sub tropical climates. The core is in compression, except during
strong earthquake shaking when the top part of the core may
experience some transient tensile stresses. If the core is properly
supported laterally by the adjacent compacted gravel transition
zones and dam shoulders, the bending strains will be very small.
This statement is supported by field measurements on the three
highest existing asphalt core dams. The maximum horizontal dis-
placements of the core for the Finstertal Dam (149 m high) is only
about 0.15 m and for the Storglomvatn Dam and the Yele Dam
(both 125 m high) only about 0.20 m (Pircher and Schwab 1988;
Höeg et al al. 2007; Wang et al. 2010). Monitored shear strains due
to axial compression and bending strains in asphalt cores are, in
general, much smaller than the tolerable values reported in the
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previous sections of this paper (eg, Pircher and Schwab 1988;

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Wang 2008). In the temperature range between 5–20 °C,

ping Reservoir lining in China. The stress level increase from 0.4 to
0.7 MPa had no significant effect on the rate of crack self-sealing
at 12 °C. However, at 25 °C this stress level difference had a
significant effect on the results of another set of four specimens.
The unique self-healing ability of asphalt concrete may eliminate
the need for remedial measures due to possible fissures and cracks
caused by earthquakes, as the asphalt core is in sustained
compression. For asphalt facings, some minor fissures and cracks
caused by local tensile and bending stresses may self-heal due to
the effect of tensile stress relaxation with time. However, for larger
cracks in the facing, remedial works will be required — successful
sealing of several dams with asphalt or cement concrete facing has
been achieved by dumping silty sand material on the upstream side
of the cracked region. The silty sand mi-grates into the crack and
is stopped from migrating further by the filter, if properly designed,
beneath the facing.
Practical design and construction considerations
The asphalt core embankment dam and its merits relative to other
types of embankment dams are discussed by Wang and Höeg
(2010). During dam operation, the asphalt core inside an
embankment is in a very favorable environment without any
conventional asphalt concrete mixes can tolerate tensile strains of
1%–3% before any cracking occurs. The tensile and bending strains
at cracking for hydraulic asphalt concrete are at least an order of
magnitude larger than the corresponding strains for compacted
earth materials used in central or sloping dam cores and linings (eg,
Leonards and Narain 1963).
However, for an asphalt concrete facing rather than a core, much
larger tensile strains may develop due to bending, different
settlements, and the restraint between the facing and the peripheral
joint at the plinth. Slow impounding of the reservoir, especially
during the first impounding, should be specified to reduce the
possibility of cracking by allowing stress relaxation to occur. It is
common practice to place a reinforced mesh between the asphalt
leveling-and-binder layer and the impervious asphalt layer to
improve the resistance against cracking at critical locations of the
facing.
The joints (interfaces) between an asphalt facing and facing
concrete structures are critical locations as cracks have been
reported to occur in these regions (ICOLD 1999). Careful design of
the joints and the use of modified bitumen may be required. The
joints may be designed as “sliding joints” to relieve the potential
tensile strains. As an example, there is a 3–5 mm thickness of
sliding material (bitumen with rubber and special additives) be-
tween the asphalt facing and the surface of the concrete plinth for
the Xilongchi Dike. Structural model tests showed that the as-

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286 Can. Geotech. J Vol. 50, 2013

Fig. 15. Leakage versus time under stresses of 0.4 and 0.7 MPa at 12 °C for Tianhuangping Dike asphalt facing (bitumen content 6.8%).
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Phalt facing can move up to 30 mm at the joint without leakage behavior, the magnitude of tensile strain that can be tolerated
developing. Conventional asphalt concrete can tolerate only small before cracking occurs depends on temperature and imposed
tensile and bending strains without cracking at extremely low strain rate. In the experiments, for temperatures between 5 and
temperatures, eg, lower than ÿ35 °C. As described in earlier 20 °C and at strain rates between 2 × 10ÿ3%/s and 5 × 10ÿ3%/
sections, the low temperature resistance can be evaluated by ten- s, hydraulic asphalt concrete with conventional bitumen (not
sion stress relaxation and (or) crack-opening tests. If necessary, modified by additives) tolerated 1% –3% direct tensile strains
modification of the bitumen, such as by using SBS additives and before cracking and bending strains up to 3%–4%. These are
reinforcing fibers, may be required. levels of strain orders of magnitude higher than corresponding
In other laboratory tests, it has been demonstrated that asphalt strains for compacted earth materials used as impervious bar-
concrete is very resistant to degradation caused by cyclic earthquake- riers in dams.
type loading (Wang and Höeg 2011).
• At 20 °C the direct tensile strain and bending strain at cracking
In the tests reported herein, conventional AH-70 and AH-90 bitu-
were found to be 2–4 times higher than those at 0 °C, and at ÿ20
mens were used. There are now several types of many softer
bitumens readily available, such as B180, and several types of °C the tensile strain and bending strain at cracking were
approximately 0.2% and 0.8 %, respectively.
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reinforcing fiber, such as polyester, wood, and mineral. These

products may be used to further increase the tension resistance
and the strains at cracking and should be included in future research.
Summary and conclusions
Hydraulic asphalt concrete used as a water barrier in dams and
dikes has very low permeability (10ÿ8 to 10ÿ10 cm/s) if the asphalt
mix is properly designed and the barrier is properly compacted.
One objective of this laboratory investigation was to study to what
extent the permeability would increase when the asphalt was
subjected to large shear strains in triaxial tests. Furthermore, the
resistance to cracking was investigated by determining the strain
that could be tolerated in direct tension and bending before cracks
opened. The self-sealing and self-healing of cracks were also
studied. The effects of several parameters have been investigated,
eg, asphalt concrete mix design, bitumen type, bitumen modifiers
(additives), temperature level, strain rate during load-ing, and rate
of change of decreasing temperature during cold weather. The
latter parameter is important when the water bar-rier is an exposed
upstream asphalt concrete facing as opposed to an interior core.
• The permeability tests on triaxial specimens in axial compression
show that hydraulic asphalt concrete keeps its low perme-ability
(<10ÿ8 cm/s) until closely approaching the compressive strength
and high shear strains.
• As asphalt concrete exhibits pronounced viscoelastic–plastic
• The experiments showed that when conventional bitumen was
modified with only 0.4% by weight of SBS, the bending strains at
cracking were more than doubled.
• The stress relaxation behavior allows a relief (dissipation) of
tensile stresses with time in an asphalt concrete water barrier
and may prevent tension cracks from occurring. An example is
presented where crack-opening first occurred when the
temperature dropped to ÿ42.7 °C. At that stage, the tensile stress
(strength) was 4.2 MPa. Slow first impounding of the reservoir
allows stress relaxation and reduces the potential for cracking of
the dam's water barrier. • If
cracks should open, asphalt concrete possesses excellent crack
self-sealing and self-healing properties under compressive
stress conditions. In the experiments, the leakage rate dropped
1–4 orders of magnitude within a few hours and continued to
drop with time. The strength of the cracked specimens regained
55% of the intact specimen tensile strength after only 1 day of
self-healing. If a crack should develop in a local tension region,
stress relaxation may cause the tensile strains to dissipate and
the crack to close.
• The unique hydromechanical properties of asphalt concrete may
eliminate the need for remedial measures due to possible
cracking and temporary leakage caused by earthquake shaking
because the asphalt core is in sustained compression and will
self-heal.

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Zhang et al. 287

The present and previous laboratory tests and field observations
document that hydraulic asphalt concrete is a very “forgiv-ing”
material and has properties and characteristics that make it very
suitable for use in impervious barriers in dams and dikes. The test
results reported in this paper may be used in the design of such
barriers.
Acknowledgments
The research work for the paper was partly supported by the
National Natural Science Foundation of China (No. 51179155) and
the authors appreciate the assistance of Zhentian Sun, Liyang Wu,
Manli Que, and Liangshu Yu of Xi'an University of Technology,
China, during the experimental work.
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