Allan J.

Breitenbach 1

Rockfill Placement and Compaction Guidelines

REFERENCE: Breitenbach, A. J., "Rockfill Placement and Com- merits during initial reservoir filling. The post-construction set-
paction Guidelines," Geotechnical Testing Journal, GTJODJ, Vol. tlements appeared to be directly caused by hydraulic loading on
16, No. 1, March 1993, pp. 76-84. the upstream facing. This in turn caused some differential move-
ment of the relatively rigid facing materials and leakage along
ABSTRACT: The purpose of this article is to establish general guide-
lines for rockfill placement and compaction procedures. The guide- separated facing panel joints. Additional settlements may have
lines are based on experience gained from the design and construction occurred from subsequent wetting of the dry rockfill due to facing
of several large rockfill tailing dams in the western United States. leakage or abutment foundation seepage, with the wetting action
Valuable rockfill information was obtained from construction test fills adding weight to the dry and fully drained rock mass. Repair of
using test procedures similar to those developed by the Corps of
Engineers in the 1960s and modified for modern-day compaction facing leaks during reservoir operations was expensive and in-
equipment. The rockfill guidelines establish basic procedures that can volved underwater repairs or reservoir drainage.
be readily adapted to site-specific conditions. Rockfill dam heights began to exceed 300 ft (100 m) in the
1940s and 1950s so that high-pressure jet wetting or irrigation
KEYWORDS: rockfills, dams, compaction, test fill, lift thickness, flooding techniques were developed on the rock dump surfaces
roller type, roller passes, placement to consolidate and reduce large post-construction settlements.
Thorough wetting during construction reduced typical post-con-
Modern-day rockfill dam construction must rely heavily on struction settlements from 5 to 7% without wetting to about 1%
past experiences for guidance pertaining to the placement and with wetting, thus reducing leakage and repair costs. No rockfill
compaction of large rock fragments in a compacted fill structure. dam failures occurred for "dry" or "wetted" rockfill dumps;
Special rock equipment and procedures are required for rock however, there was growing concern for the stability of large
borrow development, hauling, placing, and compacting to pro- rockfill dams in more populated areas with the limited amount
duce a stable and acceptable engineered fill structure. The con- of engineering knowledge about rockfill strengths and lack of
ventional earthfill test methods for controlling lift thickness, gra- established rockfill placement and test control procedures.
dation, moisture content, and compaction are not applicable to RockfiU construction began to change in the 1950s from the
rockfills and must be modified to a site-specific compactive effort wetted rock dump concept to compacted rockfills. Compacted
specification using test fills and large vibratory roller compactors. rockfills involved placing rock materials in smaller controlled lift
A brief history of rockfill dams is discussed below. thicknesses for compaction by heavy pneumatic or steel drum
Rockfill dam construction originated in California about 140 rollers. The vibratory roller compactors are a relatively new con-
years ago during the gold rush era. Water storage dams were cept in compacted rockfill construction, having been developed
constructed in remote areas to provide water for sluicing and within the last 30 years. Engineering test fill studies by the Corps
washing of placer gold deposits. The early rockfill dams were of Engineers and Bureau of Reclamation in the 1960s confirmed
small and generally consisted of a single lift of loosely dumped better compaction by vibratory rollers compared to nonvibrating
rockfill with an upstream timber facing to retard seepage. The heavy pneumatic or steel drum rollers.
downstream slope was typically at the natural angle of repose From the 1960s to the present day, the accepted practice for
approaching 1.2 horizontal to 1.0 vertical. The upstream slope modern-day rockfill dam construction is moisture conditioning
was sometimes hand shaped to as steep as 0.75 horizontal to 1.0 and compaction in controlled lifts with vibratory roller compac-
vertical for the timber facing. tors. Rockfill moisture conditioning is generally site-specific with
Rockfill dams increased in size over the next 100 years using wetting in the borrow and/or on the fill. Compared to the earlier
the "dry rock dump" technique with thick single or multiple lifts rock dump techniques, compacted rockfiUs significantly reduced
and relatively impervious upstream facing (timber, steel, con- post-construction settlement, reduced material segregation due
crete, or asphaltic concrete). The unconsolidated rockfill dumps to high lifts, increased the fill density and strength, and allowed
experienced undetermined self-weight settlements during con- lateral and vertical placement or transitional zones for fine to
struction loading and large observable post-construction settle- coarse rock materials and internal drain filter systems.
This article will familiarize the reader with the definition of
~Project manager, Denver office of Welsh Engineering Science & rockfills, then discuss general rock borrow and test fill proce-
Technology, Inc. (WESTEC), 5600 So. Quebec St., Suite 319-B, En- dures, followed by suggested guidelines for rockfill placement
glewood, CO 80111. Telefax (303) 290-9113. and compaction.

© 1993 by the American Society for Testing and Materials

76

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 BREITENBACH ON ROCKFILL GUIDELINES 77

Definition of Rockfills fragment quality or gradation required for defining rockfill struc-
tures.
Historical Rockfill Classification From the original rockfill dams in the 1850s to the present
day, it appears that rockfills have been loosely defined as pre-
When does an earthfill structure with various mixtures of clay dominantly rock materials larger than gravel sizes containing
to gravel-sized particles become a granular rockfill structure with
some sand and gravel and minimal fines (silt and clay sizes).
predominantly large gravel, cobble, and boulder-sized rock frag-
Rock dump fills with massive lift thicknesses generally had no
ments? The terms "earthfill" and "rockfill" are commonly used
limit on the maximum rock particle size other than what the
in the geotechnical engineering profession, but the transition
available construction equipment could move and place in the
between the two types of fill, to this author's knowledge, has
dump fill. With the development of vibratory steel drum com-
not been accurately defined to the present day.
pactors in the last 30 years, rockfill dams are now constructed
In 1952, The Bureau of Reclamation and the Corps of Engi-
in controlled lift thicknesses, typically less than 3 ft (0.9 m) in
neers, with Professor Arthur Casagrande as consultant, devel-
loose lift thickness and compacted by a determined number of
oped the Unified Soil Classification System (USCS). This clas-
passes with the vibratory compactors. Thus the upper limit of
sification system is used extensively world-wide to the present
rock particle size for compacted rockfills is controlled by the lift
day for soils, but excludes rock particles larger than 3-in. (76.2-
thickness and available construction equipment. A suggested def-
mm) mesh screen size.
inition by this author for the lower limit between earth/rockfill
In a 1960 symposium on rockfill dams sponsored by the Amer-
particles is discussed below.
ican Society of Civil Engineers, a rockfill dam was defined as
"one that relies on rock either dumped in the lifts or compacted
Suggested Lower Limit Rockfill Classification
in layers as a major structural element." Rockfills at that time
were either placed in a single thick lift without compaction or To a geotechnical engineer concerned with the design and
placed in typical 3 to 5 ft (0.9 to 1.5-m)-thick lifts and compacted construction of a stable and acceptable engineered fill structure,
by dozer tracks or large nonvibrating steel drum and pneumatic the transition from earthfill to rockfill is readily defined as the
rubber-tired rollers. The single rock dump lifts, typically of the point at which standard field and laboratory soils testing methods
order of 35 to 165 ft (11 to 50 m) in height, were generally flooded are no longer applicable. The American Standards for Testing
with water two to four times the rock volume to consolidate the Materials (ASTM) defines the upper limit for determining max-
fill to about 85 % of its total settlement. Limited information was imum density and optimum moisture content of soils at 30% of
available at that time on defining rock sizes for use in rockfill the sample retained on a 3/4-in. (19-mm) sieve. Fills with rock
construction or establishing engineered procedures for placement content above the 30% limit are generally controlled by large-
and compaction. Large-scale in-place bulk gradations were not scale rock test fills to establish placement and compactive effort
performed on the rock dump fills, and the gradation limit be- procedures, discussed later in this article.
tween earthfills and rockfills remained undefined. Rockfills for purposes of this article are defined as in-place
In 1963, Sherard et al. published Earth and Earth-Rock Dams, granular fills with a minimum of 30% by dry weight of clean rock
which classified dams primarily constructed of rockfill with thin particles retained on the 3/4-in. (19-mm) sieve screen size. The
clay cores as "earth-rock" dams. The term "rockfill dam" de- rockfill must also contain less than 15% fines passing the No.
scribed embankments constructed wholly of rockfill materials 200 (0.074-mm) sieve to maintain a granular rock-to-rock skel-
with an upstream impervious facing. eton structure conductive to drainage and vibratory compaction
In 1963 and 1964, the Corps of Engineers first experimented efficiency. Rock particles that break down to finer sizes during
with vibratory roller compactors on test fills at Cougar Dam, a excavation, placement, and compaction are considered to be
445-ft (136-m)-high earth and rockfill dam near Eugene, Oregon. earthfills amenable to standard soil-testing procedures.
Large bulk gradation tests were conducted along with other test- Gradations for rockfills are based on dry weight similar to
ing to evaluate the performance of the compactors. Prior to this earthfills. Clean rock particles retained on the 3/4-in. (19-mm)
time period, a limited amount of large-scale gradations had been sieve can be oven or air-dried rock retained after hand rubbing
performed on other rockfill dams. The large test fill gradations or washing to remove clay balls and sand, silt, and clay-sized
for the first time established a basis for defining rockfill according particles that adhere to the rock surface. In the borderline case
to measured rock fragment screen sizes rather than visual esti- of weathered rock materials susceptible to breakdown during
mations. The large-scale screen mesh gradations are significant screening, clean rock is defined as intact dry rock remaining on
from the standpoint that geotechnical engineers, from this au- the sieve screen after hand rubbing to remove finer soil particles
thor's experience, have a tendency to overestimate the visual that become attached during rock borrow and fill placement
size of rock fragments in a rockfill. An elongated rock fragment, operations. Note that maximum rock sizes for rockfills refer to
for example, can be more than 12 in. (0.3 m) in length and yet mesh screen size openings. For example, an 8-in. (0.2-m) max-
pass through a 6-in. (0.15-m)-square mesh screen opening, clas- imum rock size refers to all rock passing through an 8-in.
sifying the fragment as a minus 6-in. (0.15-m) rock particle. (0.2-m)-square screen opening.
In 1968, the USBR published the Earth Manual, which further
defined cobble and boulder rock particles as follows: "Rounded
Borrow Selection and Development
particles are called cobbles if they are between 3 and 12 inches
in size, and boulders, if they are greater than 12 inches in size. Borrow selection for rockfills is generally based on economics.
Angular particles above 3 inches in size are classified as rock In the mining industry large quantities of mine waste rock ma-
fragments." No further distinction was made about the rock terial (non-ore overburden) is generally available from open pit

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78 GEOTECHNICALTESTING JOURNAL

mine cuts for use in water storage and tailing impoundment action of loading, dumping, and spreading of the rockfill prior
embankment fills. The mine waste rock, already blasted or ripped to compaction. However, access to rock borrow areas for mois-
and loaded into rock haul trucks, can be economically hauled ture conditioning and the wear and tear on conventional water
and placed in embankment fills several miles from the open pit trucks in the borrow area may restrict water application to the
mine for less cost than local borrow development within the fill areas. Excessive wetting is generally not a problem in rockfills
upstream reservoir or impoundment areas. The additional stor- except prior to fill compaction. An overly wetted rockfill with
age volume gained from impoundment borrow cuts is offset by some earthfill intermixed will dampen the dynamic forces of
raising the embankment fill a few feet higher with mine waste vibratory compaction and reduce compaction efficiency. Thus,
rockfill. Other sources of borrow may include required dam ex- abundant wetting is strongly encouraged in the borrow cut and
cavations associated with foundation keyway, spillway, and tun- in the fill area following compaction.
nel structures.
In the case of rockfill tailing dams, a relatively thin core and
Test Fill Placement and Compaction
transitional drain system is placed near the upstream slope so
that about 85 to 90% of the dam is constructed with mine waste
General
rock. In the case of water storage dams, the exterior shells are
typically constructed of granular earthfill or rockfill. Modem Suggested test fill procedures for rockfills discussed herein are
concrete-faced or impervious geomembrane-faced water storage fashioned after procedures established by the Corps of Engi-
dams can be designed for more than 95% rockfill. neers. These test procedures have been simplified, where prac-
Rockfills for earth-rock water storage embankments generally tical, for a quicker response time with less man power to obtain
include rock slope protection on the upstream face, upstream acceptable rockfill test results. The established rockfill placement
and downstream rock shells, and oversized rock placed for ero- and compaction procedures from test fill performance are sub-
sion protection on the downstream face and in rock-lined spillway sequently verified by in-place density and gradation test results
outlet pools. The more competent and durable rock materials in the rockfill structure.
are placed on the outer slope with finer rock materials placed in Test fills are generally conducted in rockfills during construc-
the interior for filter transition near the core. Selection of more tion to suit available rock borrow and site conditions. The test
durable rocks is sometimes limited by the higher cost to excavate, fills are conducted to determine specific acceptable procedures
transport, place, and compact hard rock materials. Special rock for placement and compaction including moisture conditioning,
loading, hauling, and placement equipment may be required loose lift thickness, rock type and gradation, compaction equip-
because of the higher wear and tear on conventional earth- ment, and number of passes by the specified compactor. Some
moving equipment. The more durable rock sources are generally limitations are initially set during design concerning the specified
selected for riprap erosion protection and concrete aggregate rock types, maximum rock sizes, lift thickness, and compaction
materials. equipment requirements. The design specifications can be mod-
Where rockfill borrow becomes too coarse for placement and ified by the engineer to suit site-specific conditions based on the
compaction by available or specified equipment, borrow oper- quality and quantity of available rock borrow materials and the
ations are adjusted or new areas located for producing acceptable test fill performance during construction.
rockfill sizes. Blast hole patterns and type and amount of explo- Test fill operations begin with rock borrow development. Rock
sives generally can be adjusted, or "grizzly" screening of over- borrow materials, selected as representative of the rockfill after
sized rock developed, to produce desired gradation rock sizes. blasting, ripping, or screening, are removed from the borrow
The geologic rock structure, degree of weathering, and natural area, placed in the test fill, and compacted using the same equip-
fracture patterns of rock borrow sources often dictate the max- ment and procedures as planned for the rockfill construction.
imum rock size that can be produced from ripping or blasting. This includes borrow development, loading, hauling, dumping,
Rock borrow development generally will require ripping or spreading, and compacting. Moisture conditioning, where re-
blasting. Where ripping is possible in weathered or highly frac- quired, can be done in the borrow area or on the fill.
tured rock, a dozer with single or multiple ripper shanks loosens
the rock to typically 3 ft (0.9 m) deep for wetting by large rubber-
Test Fill Limits
tired water wagons with spray bars, if needed, followed by ex-
cavation using large rubber-tired scrapers. Where blasting is re- The test fill base is selected in a level, dry, and firm ground
quired in more competent rock or in required rock cut areas, a area within or outside of the planned rockfill limits. The base
dozer and large rock loader or backhoe excavator are generally area is typically compacted by ten passes of the vibratory com-
used to muck and load blasted rock into large rock trucks for pactor planned for use in the test fill to minimize the effect of
hauling to the fill area. Blasting depths are generally associated subsequent roller pass settlements in the test pad foundation.
with controlled bench cuts, and the borrow cuts advance into Because of the large quantities of rockfiU materials involved in
the blasted rock area by developing an active vertical cut face. test fills of single or multiple lifts, test fills are generally incor-
Wetting is generally accomplished in the fill area by conventional porated within the rock fill structure.
water trucks on a rock surface leveled by a dozer or roller, but The test fill limits are generally determined by the size of
also can be accomplished in the borrow by pressure spraying equipment used for rockfill construction. The minimum width
from a hose onto the blasted borrow surface or active cut face. of the test area is generally set at three times the width of the
A dozer may feed rock materials to the loading equipment in roller in addition to three times the height of the final test fill
stockpiles, which can also be wetted by pressure spray. surface above the base level, as shown in Eq 1 below.
The importance of moisture conditioning in rock borrow areas
versus fill areas is realized by the additional mixing and blending Test Fill Base Width = (W × 3) + (L × T × 3) (1)

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 BREITENBACH ON ROCKFILL GUIDELINES 79

where Roller Type

W = roller drum width, Experience indicates the most efficient rockfill compactors are
L = number of lifts to be placed, and large vibratory steel drum rollers. The heavy pneumatic rubber-
T = planned lift thickness. tired rollers in early Corps of Engineers test fills achieved lower
compaction densities compared to vibratory smooth steel drum
A typical 10-ton vibratory roller with a drum width of 7 ft (2.1 rollers and generally cannot take the wear and tear of compacting
m) and say two test fill lifts of 1.5 ft (0.46 m) each should have on a rugged rockfill surface. Test fill information and visual
the following minimum test fill base width observations of rockfill test pits indicate the steel drum vibration
range is most efficient at 1200 to 1500 vpm at a roller speed of
Base Width = (7 ft × 3) + (2 lifts x 1.5 ft x 3) about 2 mph (3.2 krrdh). This roller speed is equivalent to a
casual walk by a person across level ground. The rockfill surface
= 30 ft (9.1 m)
is generally not uniform in rock fragment distribution so that the
natural resonance of the rockfill can be somewhat variable when
With approximate 1-ft (0.3-m) side overlaps in roller passes
measured with a vibration meter.
for 100% pass coverage, this width spacing allows the roller
The early vibratory rollers were operated by a gas-powered
compactor to stay about 1 ft (0.3 m) away from the edges of the
motor and were pulled by dozer tractors. The vibrations were
fill for support purposes. The test fill length is generally two
produced by a rotating eccentric shaft in a fixed direction for
times the width to allow the compaction operator to set and
maximum downward force at a slight angle from the vertical in
adjust his speed and vibration controls before crossing the planned
the forward direction of the roller. Ballast was added by filling
control area on a level test surface. Ramps are used at both ends
the drum with a mixture of sand and water or antifreeze during
of the test fill as needed to place, spread, and compact each lift
winter operations. Weights were sometimes added to the pulling
horizontally, similar to planned operations. In the example above,
frame for additional compaction weight. Changing direction and
the minimum length at the base would be about 60 ft (18 m),
compacting along abutments was generally slow, and tight cor-
depending on the time required to set compaction controls. Shorter
ners were difficult to compact.
test fill lengths are possible when the operator does the machine
Modern-day self-propelled vibratory compactors have im-
adjustments outside of the test fill limits before reaching the ramp
proved considerably over the early-day vibratory compactors.
to the test fill. The compactor length dictates how much level
The compactors are single- or double-drum and generally can
fill is required between the ramp and test area for level com-
reverse the rotating shaft for maximum vibratory compaction in
paction across the test section.
the forward or reverse direction without having to turn around
at the end of each pass. Sufficient steel weight is included in the
drums, eliminating the need to add ballast and measure or cal-
Lift Thickness culate the operating static weight of the drum.
Most equipment manufacturers list a total operating weight
The lift thickness for placement is generally determined by the
with ballast and maximum dynamic or centrifugal drum force for
gradation, maximum rock size, and frequency of maximum rock
the steel-drum compactors. The operating static weight for self-
size produced from the borrow area. The maximum loose lift
propelled single-drum rollers includes the total weight of the
allowable depends on the purpose of the engineered fill and test
machine on level ground and not the weight of the drum itself.
fill performance. Rockfill loose lift thicknesses typically are be-
The single-drum static drum weight is typically not more than
tween 1 to 3 ft thick and are generally set at a thickness greater
90% of the total operating weight. Double-drum self-propelled
than the maximum rock size (maximum rock size is typically set
compactors have each drum weight at 50% of the total static
at two thirds of the loose-lift thickness). For example, a rock
operating weight. The maximum dynamic or centrifugal drum
borrow material with typically 12-in. (0.3-m) maximum rock sizes
force is generally achieved at high throttle with the vibrations in
and occasional rock sizes greater than 12 in. (0.3 m) would be
resonance with the fill surface. Depending on the compactor, a
placed in 18-in. (0.46-m) maximum loose lifts for compaction.
lighter static weight drum with higher dynamic drum force can
The occasional rock sizes above the 12-in. (0.3-m) size are al-
sometimes be more effective at compaction compared to a heav-
lowed within the lift provided they do not protrude above the
ier static drum with lower dynamic force. As a general "rule of
leveled lift surface for compaction. Dozers spreading the lifts
thumb" for loose rockfill lifts under 2-ft (0.6 m) in thickness,
will sometimes track over the larger rocks to crush them down
the recommended static drum weight should be at least 8 tons
to acceptable rockfill sizes or rake the oversized rock to the
on level ground with a minimum dynamic drum force of 15 tons.
outside slope of the fill.
Heavy vibratory steel drum rollers of the order of 10 to 20 tons
Placement of a level rockfill lift close to the desired lift thick-
static drum weight and 20 tons minimum dynamic force have
ness is difficult to achieve by operators without some practice
been used to compact thicker lifts, but variable densities occur,
and adjustments in fill procedures. For rock truck operations, a
primarily because of a reduction in effective compaction with
load is dumped in a pile and dozers spread the pile forward to
depth and some rock segregation for loose lifts approaching 3 ft
the desired lift thickness. Careful control of lift thickness is im-
(1 m) in thickness.
portant for test fill evaluations. A set of toe stakes are generally
set on both sides of the test fill, and a person indicates to the
dozer operator to increase or decrease the lift as it is being spread.
Roller Passes
Spreading operations by the dozer are kept to the same amount
of work accomplished on a regular fill operation. Excessive dozer After the loose lift is placed, an initial survey of the lift surface
traffic from spreading and leveling may distort the test fill results. can be conducted by spray painting a cross pattern with a test

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80 GEOTECHNICALTESTING JOURNAL

point number at each control point to be surveyed. Occasional A minimum of five control points for each lift can be analyzed
rock protrusions in the selected control point areas are removed for acceptable test control. The control points are laid out in a
and filled in with smaller rock or the fill surface is proof-rolled pattern for the central portion of the roller drum to pass over
by a single pass of the smooth drum roller without vibration to the control points with about 1-ft (0.3 m) of side overlap for each
seat the rock for initial survey readings. The technique selected pass. For a drum width of 7-ft (2.1 m), as an example, the control
is dependent on the degree of surface roughness prior to com- points would be spaced as shown on Fig. 1. A n example format
paction. The cross pattern is generally spray painted again fol- and test results for recording and plotting each elevation reading
lowing the first roller pass due to the initial movement and seating at increments of two passes by the compaction equipment are
of rock materials. shown in Figs. 2 and 3.
The control points are surveyed for elevation (settlement) A total of eight passes in two-pass increments are made for
readings versus roller passes using a conventional survey gun, each test fill lift to evaluate settlement versus roller passes and
rod, and minimum 12-in. (0.3-m)-square plate having a cross determine the required number of passes acceptable for rockfill
pattern and center mark. The cross pattern on the plate is lined placement. In general, the required number of passes is set at
up to match the control point cross pattern on the fill surface 80% of the total settlement in eight passes or a maximum of six
for consistent survey readings. passes. Excessive passes on rockfills with large or heavy roller

END RAMP FILL 5H:IV

~YP"
' H
PASS O'VERLAP

CP-1 ~ CP-2

~ C O N T R O L POINTS FOR
SURVEY MEASUREMENTS~

EDGE OF ~ - -
TEST F I L L ~

Y P COMPACTION
CP-4 ~ ( )M EDGE OF FiLL
4,-
TEST FILL I
sLOPE-
I WIDTH
7'WIDTH
ROLLER
EDGE OF
TEST L
- . ---
15H:IV :-NO RAMP FILL,,

21' MIN, FOR FINAL LIFT

BASE WIDTH AT 21' ÷ SIDE SLOPES

TEST FILL LAYOUT - 7' R O L L E R DRUM WIDTH

FIG. 1--Test fill layout--7-ft roller drum width.

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 BREITENBACH ON ROCKFILLGUIDELINES 81

equipment tend to pulverize and crush the surficial 6 to 12 in. the test area to correlate subsequent test results with lift thickness
(0.15 to 0.3 m) of rockfill without significantly improving the and applied compactive effort.
density of the lower portion of the lift. The test fill survey control The bulk tests should be of sufficient size to obtain reasonable
work to determine acceptable roller passes can be conducted test results without becoming so large that testing becomes pro-
over a period of 1 h or less for each lift (survey readings on each hibitive. The rockfill density and gradation tests ideally should
lift after each two-pass increment). be done within one day for engineering evaluation as rockfill
placement continues. New test fills are generally conducted for
each significant change in rock borrow materials or change in
Density and Gradation
placement and compaction procedures.
Following the test fill placement and survey settlement tests, The early rockfill bulk density tests conducted by the Corps
an in-place bulk density and gradation is recommended to verify of Engineers on Cougar Dam in 1963 involved the use of 4 to
rockfill procedures and design assumptions. Large-scale density 6-ft (1.2 to 1.8-m)-diameter heavy metal rings for water replace-
tests are generally conducted where at least 5-ft (1.5 m) of rockfill ment density measurements. Equipment and manpower was re-
has been placed. For example, if a 2-ft (0.61-m) maximum loose quired to place the ring, excavate, screen, measure, and weigh
lift thickness has been selected for rockfill construction, then the fill materials. The large density and gradation tests typically
approximately three lifts are placed and compacted. The opti- involved hand excavating a minimum 0.75 yd 3 (0.57 m 3) of rock-
mum compactive effort for each lift is determined from the set- fill material weighing about 2500 lb or more.
tlement versus roller pass curve discussed above. Rockfill place- Smaller diameter rings have been successfully used to give
ment and compaction operations must be carefully observed in reasonable and consistent density and gradation test results pro-

ROCKFILL SETTLEMENT/ROLLER PASS DATA SHEET

TEST FILL NO PROJECT NAME

LIFT N O PROJECT NO

LIFT THICKNESS DATE

ROLLER TYPE BY

ROLLER DRUM WIDTH {FT)

ROLLER DRUM STATIC/DYNAMIC FORCE ( T O N S ) _ _

ROLLER SPEED [MPH)

ROLLER VlBRATLON (VPM)

PLACEMENT EQUIPMENT AND PROCEDURES

CONTROL POINT NO. & SETTLEMENT READING/DIFFERENCE (FT) AVERAGE

ROLLER
PASSES SETTLEMENT
(FEET)
1 2 3 4 5

80% OF AVERAGE SETTLEMENT IN 8 PASSES :

FIG. 2--Rockfill settlement~roller pass data sheet.

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82 GEOTECHNICAL TESTING JOURNAL

vialed the diameter of the ring is about four times the maximum Prior to the bulk density test, the ring must be leveled to within
rock size excavated from the hole and the rockfill is reasonably the thickness of the ring and firmly secured to prevent movement
well-graded (rockfill densities were found to vary by 5% or more during excavation. The ring is generally constructed from a hole
for ring diameters at three times the maximum rock size). For cut out of a minimum a/4-in. (19-mm)-thick plywood sheet. Sand
8-in. (0.2-m) or smaller in-place rockfill sizes, a 3-ft (0.91-re)- material is placed on the rockfill surface directly beneath the
diameter ring can be used to excavate 2.5 to 3-ft (0.76 to 0.91 ring area to level, seat, and firmly support the ring. Nail spikes
m) deep and remove about 1100 to 1500 lb of material for bulk are driven through four corners of the plywood sheet to secure
density and gradation analyses. Note that this includes rock frag- the ring to the fill material. A water replacement test is then
ments placed at greater than the 8-in. (0.2-m) screen size pro- conducted with 6-rail flexible synthetic liner to determine the
vided the rock is crushed in-place to an 8-in. (0.2-m) or smaller volume of the ring above the uneven rockfill surface (rockfill
size during dozer seating and roller compaction. The ring can be surfaces are generally like a cobblestone surface following com-
constructed from stiff plywood sheets provided the sheet is firmly paction). Then the liner and water are removed beyond the test
supported and anchored to the rockfill. The equipment, man- area and careful hand excavation and weighing of rockfill com-
power, and time to conduct the test are significantly reduced for mences. One man generally excavates while a second man weighs
rapid evaluation of compaction procedures as discussed below. and records and a third man screens the plus ¾-in. (19-ram) rock

CONTROL POINT NO. & SETTLEMENT READING/DIFFERENCE ( F T } AVERAGE

ROLLER
PASSES SETTLEMENT
(FEET)
1 2 3 4 5
100.50 10040 10050 100.60 100.50
0 0000
0.00 0.00 0.00 0.00 0.00
100,73 100.58 100.66 100.71 100.62
2 0.160
0.23 0.18 0.16 0.11 0.12
100.80 100.63 100.70 100.75 100.67
4 0.210
0.30 0.23 0.20 0.15 017
100.83 10066 100.73 100.78 100.69
6 0.238
0.33 0.26 0.23 0.18 0.19
100.84 100,67 100.74 100.78 100.70
8 0.246
0.34 0.27 0.24 0.18 0.20

80% OF AVERAGE SETTLEMENT IN 8 PASSES = 0.197

0.5("

04(
POINT

1 O

2 []
0.3(
3 A

4 •
LU
LU 5 •
d
0.2(

0.1(

0.~
4 6 10

NUMBER OF ROLLER PASSES

FIG. 3--Example plot of data.

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 BREITENBACH ON ROCKFILL GUIDELINES 83

on each selected screen size for the bulk gradation. Rock pieces where
larger than gravel sizes are generally screened through fabricated
W = total moist weight of rockfill material,
square rebar or wire screen openings at 2-in. (50.8-mm) intervals
M I = moisture content of minus ~4-in. (19-mm) fill material
starting with 4-in., 6-in., 8-in., and so forth. The hole is examined
expressed in percent by weight,
during excavation to observe the general tightness of the till, in-
A I = amount of minus 3/4-in. (19-mm) moist fill material ex-
place compacted lift thickness, seating and crushing of rock from
pressed in percent of total moist weight,
top to bottom of each lift, rock to rock and rock in soil matrix,
M 2 = moisture content on plus 3/4-in. (19-mm) fill material
moisture uniformity and other indicators of the effectiveness of
expressed in percent by weight, and
compaction on the rock type, rock sizes, and lift thicknesses
A 2 = amount of plus 3/4-in. (19-mm) moist fill material ex-
placed. After final excavation and examination of the hole, the
pressed in percent by weight.
6-mil flexible liner is again placed in the hole to above the ring
level for water replacement volume determination. The liner is
For example, 1500 lb of excavated fill material from the bulk
kept in a slackened condition as water is added to prevent bridg-
density test with 40% minus 3/4-in. (19-ram) material at 15%
ing across pockets on the excavated fill surface. The 6-mil liner
moisture content and 60% plus 3/4-in. (19-mm) material at 5%
thickness allows enough flexibility and strength to seat against
moisture content has a bulk dry weight of 1500 lb divided by
the rockfill under 3-ft (0.91 m) of water head without puncturing.
[1 + (0.15 x 0.40 + 0.50 x 0.60)] = 1376 lb dry weight for
By carefully weighing the fill material removed and water added
computing the in-place dry density of the fill.
to the hole and calculating the total volume of hole less the ring
volume, the in-place moist weight rockfill density is determined.
A three-man crew can complete the in-place moist unit weight Test Fill Summary
bulk density determination and gradation test on plus 3/4-in. (19-
mm) material within 8 h. The minus 3/4-in. (19-ram) material is These rockfill test procedures have been successfully used on
generally screened on a tarp or liner and can be split and quart- several large rocktill tailing dam projects in California, Wash-
ered by ASTM procedures to about 30 to 40 lb of material for ington, Nevada, and South Dakota to establish a basis for de-
removal to the laboratory to complete the gradation. A portion termining the compactive effort procedures and verify assumed
of the minus 3/4-in. (19-mm) material is placed in moisture proof design densities for slope stability analyses. The rocktill em-
containers for determining moisture content. A representative bankment heights varied from 80 to 400 ft (24 to 122 m), aver-
split sample of about 2000 g is sufficient for moisture content. aging 250 ft (76 m) in height. The rockfill settlement, density,
The moisture content of the plus 3/4-in. (19-mm) rock material and gradation test results allow correlation of similar material
is generally negligible so that a moist and dry in-place rockfill types, roller compaction equipment, placement and compaction
density can be computed knowing the moisture content on minus procedures for comparison purposes. Based on rocktill construc-
3/4-in. (19-mm) material. This can be computed as shown in Eq tion experience and test till results, a general set of guidelines
2 below. can be established for rocktill placement and compaction as dis-
cussed below.
W
Bulk Density Dry Weight = 1 + (M/100 x A/100) (2) Guidelines for Rockfill Placement and Compaction

where 1. Lift Thickness. Maximum loose lift thickness is governed

W = total moist weight of rocktill material, by maximum rock size and type of compaction equipment. Op-
M = moisture content on minus 3/4-in. (19-mm) till material timum rocktill loose lift thicknesses are generally about 18 to 30-
expressed in percent by weight, and in. (0.5 to 0.8 m) with maximum rock sizes limited to two thirds
A = amount of minus 3/4-in. (19-mm) moist fill material ex- of the lift thickness. Larger rock sizes can be incorporated into
pressed in percent of total moist weight. the till provided the rock does not protrude above the till surface
to hinder compaction.
For example, 1500 lb of excavated fill material from the bulk Lifts approaching or exceeding 3 ft (1 m) are generally beyond
density test at 40% minus 3/4-in. (19-mm) material and 15% mois- the effective compaction limit of conventional 10- to 20-ton vi-
ture content has a bulk dry weight of 1500 lb divided by (1 + bratory steel drum rollers commonly used on modern-day rock-
(0.15 x 0.40)) = 1395 lb dry weight. This dry weight divided tills. Bulk density and gradation tests and settlement versus roller
by the volume of the hole results in the in-place dry density of pass curves are recommended in test tills for large rocktill dams
the till. or other critical rocktill structures to determine the maximum
For plus 3/4-in. (19-mm) rock pieces containing some moisture lift thickness acceptable for the compaction roller used on site.
as in the case of weathered rock, claystone/shales, and wetted 2. Roller Type. Experience indicates the most efficient rocktill
porous or high absorption rock pieces, air or oven drying of a compactors are vibratory smooth steel drum rollers with vibra-
representative 50-1b minimum sample of plus 3/4-in. (19-mm) rock tions in the range of 1200 to 1500 vpm, roller speed of about 2
pieces is recommended for determining the overall moisture con- mph (3.2 kin/h), a minimum static drum weight of 8 tons on level
tent and dry density. This can be computed as shown in Eq 3 ground, and a minimum operating dynamic force of 15 tons. Self-
below. propelled rollers are the most maneuverable, especially at abut-
ment contacts, for better coverage and compaction compared to
Bulk Density Dry Weight rollers pulled by tractors. Vibratory rollers are effective in the
forward direction, which produces the maximum downward force
W from eccentric rotating shafts in the drum. Modern self-propelled
1 + (M1/100 × A1/100) + (M2/100 × A2/100) (3) double-drum and single-drum rollers generally can reverse the
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84 GEOTECHNICALTESTINGJOURNAL

rotating shaft for maximum compaction in the forward and re- diately prior to compaction by vibratory rollers significantly
verse direction without having to turn around at the end of dampens the dynamic force of the compactor for inefficiency in
each pass. compaction. The exception to this rule is a clean rockfill which
3. Roller Passes. Optimum roller passes are determined from can be flooded with water and rapidly drained before compaction
surveyed settlement versus roller pass curves developed in test begins. An option for overly dry rockfills containing some finer
fills. The general limit is between four to six passes. More than fraction rock and soils (assuming poor water truck access in the
six passes tends to crush and pulverize the rockfill surface without borrow) is to thoroughly drench the loose lift, scarify with dozer
adding significant compaction to the lower part of the lift. Each rippers, and level with a dozer blade for compaction. An ideal
roller pass should overlap the edge of preceding passes by about rockfill moisture content contains minus ¾-in. (19-ram) materials
1 ft (0.3 m) for 100% roller pass coverage on the surface. As a that appear near optimum moisture, not overly wet or overly
general rule of thumb, the acceptable number of roller passes dry, for enhanced vibratory compaction. Wetting before place-
should be set at 80% of the total surveyed settlement in eight ment of each new lift is encouraged to provide bonding between
passes on a test section. The average settlement of at least five successive lifts without the need to scarify the compacted rockfill
survey control points should be used to determine the acceptable surface. There is no need to scarify compacted rockfill surfaces
number of passes. provided the surface consists of clean rock or is moist.
4. Gradation. Rockfills for compacted dam structures are gen- 6. Overbuild. Modern-day compacted rockfills that are rela-
erally placed in transitional zones with the most coarse and com- tively well graded show minimal post-construction settlements
petent rock placed in the outer shell and finer more weathered of the order of 0.2 ft per 100 feet of height (0.2 m per 100 m)
rock placed in the interior or adjacent to earthfill filter drain and at the dam crest from this author's experience and literature
core materials. Well-graded rockfills with small voids tend to review. For compacted large earth-rockfill dam structures with
increase the in-place density and provide a stable mass for min- a relatively thin central core or upstream earthfill core/imper-
imizing post-construction settlement. Poorly graded rock with vious liner facing, about 0.5 ft (0.15 m) crest overbuild per 100
large voids is sometimes desirable on the upstream shell for feet (30 m) of dam height appears conservative. For large com-
drainage during reservoir rapid drawdown conditions and in spill- pacted earth-rockfill dams with relatively thick compacted cen-
way areas for erosion protection and energy dissipation. Riprap tral earthfill cores, about 1 ft (0.3 m) minimum crest overbuild
on reservoir slopes is generally the most durable and clean rock per 100 feet (30 m) of dam height is reasonable to counteract
available. The larger-sized riprap rock pieces are typically seated the long-term consolidation of core materials (post-construction
into a bedding of smaller-sized clean rock. Angular rock are dissipation of excess pore water pressures in fine-grained core
preferred over rounded rock for interlocking and support of the materials).
riprap structure against wave action.
Oversized rocks are generally placed on the downstream slope Acknowledgments
or in downstream outlet/spillway plunge pools for erosion and
energy dissipation purposes. Occasional extremely large over- The valuable rockfill construction and test fill experience gained
sized rock can be incorporated into rockfills provided no over- by this author was obtained during employment as an in-
hangs occur and the surrounding rockfill is compacted against dependent geotechnical engineer with the following engineer-
the large rock pieces similar to compaction techniques against ing firms: Welsh Engineering Science & Technology, Inc.
the rock abutments. Phased downstream raises to existing rockfill (WESTEC), Steffen Robertson and Kirsten, Inc. (SRK), D. P.
dams can incorporate the new rockfill into the oversized rock on Engineering, Inc. (DPE), and Woodward Clyde Consultants
the downstream slope of the existing dam provided the large (WCC). This author is grateful to Mike Henderson (WESTEC)
rocks are not clustered. for helpful discussions and encouragement to prepare this article.
5. Moisture Conditioning. In the past, rockfills were dumped
in thick loose lifts of typically 35 to 165 ft (11 to 50 m) and Bibliography
flooded with water to consolidate the rockfill to about 85% of
its total settlement. Modern rockfitls are placed in thin controlled American Society for Testing and Materials, 1978, Standard Test Meth-
ods for Moisture-Density Relations of Soils and Soil-Aggregate Mix-
lifts and compacted with vibratory compactors so that moisture- tures, Using 5.5-1b (2.49-kg) Rammer and 12-in. (304.8 mm) Drop
conditioning requirements are not as critical to minimize post- [D698-78 (1990)]; Test Methods for Moisture-Density Relations of
construction settlement (see Overbuild below). Wetting is gen- Soils and Soil-Aggregate Mixture Using 10-1b (4.54-kg) Rammer and
erally accomplished on the fill area unless water trucks have 18-in. (457-mm) Drop [1557-78 (1990)].
Glozr, Alfred R., et al., 1977, "Design of Rockfill Dams," Chap. 7 of
access to the rock borrow area. As with earthfill materials, mois- Handbook of Dam Engineering.
ture conditioning is desirable in the rock borrow areas for better Pope, R. J., 1966, "Evaluation of Cougar Dam Embankment Perform-
mixing of moisture and materials during excavation, loading, ance," Proceedings, ASCE Soil Mechanics and Foundations Division
dumping, and spreading for compaction. However, development Conference, Berkeley, CA, ASCE, New York.
of rock borrow areas involves blasting or ripping operations that Sherard, J. L., Woodward, R. J., Gizienski, S. F., and Clevenger, W. A.,
1963, Earth and Earth-Rock Dams, Wiley, London.
sometimes make the borrow surface too rugged for conventional Soil Mechanics and Foundations Division Conference, 1966, "Stability
water trucks with spray bars. and Performance of Slopes and Embankments," Proceedings of the
Ideally the rock borrow should be sufficiently wetted so that ASCE, Berkeley, CA, ASCE, New York.
no dust occurs when the haul truck or scraper dumps a load on United States Department of the Interior, Bureau of Reclamation, 1968,
the fill surface for spreading and compacting. Wetting of the Earth Manual, Water Resources Technical Publication, Denver, CO.
United States Department of the Interior, Bureau of Reclamation, 1974,
rockfill in the fill area should be accomplished prior to spreading "Rockfill Dams," Chap. VII of Design of Small Dams, Water Re-
the new lift or following compaction of the lift. Wetting imme- sources Technical Publication, Denver, CO.

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