SEARCH · Engineering Papers

Results for “rock failure”

Search indexed NASA NTRS and DOE OSTI research on propulsion, heat transfer, battery materials and energy systems. Follow report and document links to the original sources.

SourceResearch connectionFrom yearThrough year

Quote a phrase for an exact phrase match. Source license links do not imply unrestricted reuse.

162 records · Page 9

All sources NASA NTRS DOE OSTI

NASA NTRS2006

Platform for Testing Robotic Vehicles on Simulated Terrain

The variable terrain tilt platform (VTTP) is a means of providing simulated terrain for mobility testing of engineering models of the Mars Exploration Rovers. The VTTP could also be used for testing the ability of other robotic land vehicles (and small vehicles in general) to move across terrain under diverse conditions of slope and surface texture, and in the presence of obstacles of various sizes and shapes. The VTTP consists mostly of a 16-ft-(4.88-m)-square tilt table. The tilt can be adjusted to any angle between 0 (horizontal) and 25 . The test surface of the table can be left bare; can be covered with hard, high-friction material; or can be covered with sand, gravel, and/or other ground-simulating material or combination of materials to a thickness of as much as 6 in. (approx. 15 cm). Models of rocks, trenches, and other obstacles can be placed on the simulated terrain. For example, for one of the Mars- Rover tests, a high-friction mat was attached to the platform, then a 6-in.- ( 15 cm) deep layer of dry, loose beach sand was deposited on the mat. The choice of these two driving surface materials was meant to bound the range of variability of terrain that the rover was expected to encounter on the Martian surface. At each of the different angles at which tests were performed, for some of the tests, rocklike concrete obstacles ranging in height from 10 to 25 cm were placed in the path of the rover (see figure). The development of the VTTP was accompanied by development of a methodology of testing to characterize the performance and modes of failure of a vehicle under test. In addition to variations in slope, ground material, and obstacles, testing typically includes driving up-slope, down-slope, cross-slope, and at intermediate angles relative to slope. Testing includes recording of drive-motor currents, wheel speeds, articulation of suspension mechanisms, and the actual path of the vehicle over the simulated terrain. The collected data can be used to compute curves that summarize torque, speed, power-demand, and slip characteristics of wheels during the traverse.

Lindemann, Randel↗

DOE OSTI2020

An Adaptive Framework for Extreme Deformation and Failure in Solids

Recent developments at Sandia in meshfree methods have delivered improved robustness in solid mechanics problems that prove difficult for traditional Lagrangian, mesh-based finite elements. Nevertheless, there remains a limitation in accurately predicting very large material deformations. It seems robust meshfree discretizations and integration schemes are necessary, but not sufficient, to close this capability gap. This state of affairs directly impacts current and future LEPs, whose simulation needs are not well met for extremely large deformation problems. We propose to use a new numerical framework, the Optimal Transportation Meshfree (OTM) method enhanced by meshfree adaptivity, as we believe that a combination of both will provide a novel way to close this capability gap.

36 MATERIALS SCIENCE↗

DOE OSTI2024

Mechanisms of Waterflood Inefficiency: Analysis of Geological, Petrophysical and Reservoir History, a Field Case Study of FWU (East Section)

The petroleum reservoir represents a complex heterogeneous system that requires thorough characterization prior to the implementation of any incremental recovery technique. One of the most commonly utilized and successful secondary recovery techniques is waterflooding. However, a lack of sufficient investigation into the inherent behavior and characteristics of the reservoir formation in situ can result in failure or suboptimal performance of waterflood operations. Therefore, a comprehensive understanding of the geological history, static and dynamic reservoir characteristics, and petrophysical data is essential for analyzing the mechanisms and causes of waterflood inefficiency and failure. In this study, waterflood inefficiency was observed in the Morrow B reservoir located in the Farnsworth Unit, situated in the northwestern shelf of the Anadarko Basin, Texas. To assess the potential mechanisms behind the inefficiency of waterflooding in the east half, geological, petrophysical, and reservoir engineering data, along with historical information, were integrated, reviewed, and analyzed. The integration and analysis of these datasets revealed that several factors contributed to the waterflood inefficiency. Firstly, the presence of abundant dispersed authigenic clays within the reservoir, worsened by low reservoir quality and high heterogeneity, led to unfavorable conditions for waterflood operations. The use of freshwater for flooding exacerbated the adverse effects of sensitive and migratory clays, further hampering the effectiveness of the waterflood. In addition to these factors, several reservoir engineering issues played a significant role in the inefficiency of waterflooding. These issues included inadequate perforation strategies due to the absence of detailed hydraulic flow units (HFUs) and rock typing, random placement of injectors, and uncontrolled injected fresh water. These external controlling parameters further contributed to the overall inefficiencies observed during waterflood operations in the east half of the reservoir. A detailed understanding of the mechanistic factors of inefficient waterflood operation will provide adequate insights into the development of the improved recovery technique for the field.

Morgan, Anthony (ORCID:0000000211519153)↗

NASA NTRS1980

Characterization of the physico-chemical properties of polymeric materials for aerospace flight

Factors contributing to the final failure of Ni-Cd batteries are listed. A differential thermal analyzer was used to study several positive and negative battery electrodes. The negative plates show a very large peak (endotherm) between 245 C and 250C. The second endotherm occurs at 300C indicating the decomposition of Cd(OH)2. In positive plates, a first weak endotherm occurs at 100C, which indicates loss of H2O from Ni(OH)2(H2O)n molecules. A second large endotherm occurs in the range of 290C to 300C, indicating the decomposition of Ni(OH2) to NiO and H2O. Atomic absorption spectroscopy was used to determine nickel, cobalt, cadmium, and potassium content in battery electrolytes and electrodes. Results are presented in tables.

Rock, M.↗

DOE OSTI2020

Paleotopography controls weathering of Cambrian-age profiles beneath the Great Unconformity, St. Francois Mountains, SE Missouri, U.S.A.

ABSTRACT Precambrian (1.4 to 1.5 Ga) granite and rhyolite in the St. Francois Mountains at the northeast corner of the Ozark Plateau in Missouri has been altered down to a depth up to 8 meters below the Great Unconformity (the contact between Paleozoic sedimentary rock and underlying Precambrian). Petrographic, geochemical, and mineralogic data indicate that at least two events generated this alteration: 1) surficial weathering due to subaerial exposure of the granite before Cambrian burial—this material is preserved as a paleosol; and 2) alteration due to reaction with basinal fluids channeled along the unconformity from nearby sedimentary basins long after burial by Paleozoic strata. To assess the variation between surficial weathering and basinal fluid alteration, we measured and sampled for petrologic, geochemical, and mineralogic data in the rock at and just below the Great Unconformity at three paleoelevations. Whole-rock geochemical oxide and X-ray diffraction data indicate that K-metasomatism and highly crystalline illite occurred in each profile. The K increase reflects crystallization of authigenic feldspar and illite from basinal fluids that were channeled along the Great Unconformity during younger Paleozoic fluid-flow events. Each profile also exhibits an upward increase in altered feldspar crystals and highly crystalline kaolinite, and an upward decrease in Ca and Na. Such changes reflect soil formation due to reaction with meteoric water before Cambrian burial, indicating that the altered granite was a paleosol before Paleozoic basinal fluid-flow events. Notably, the paleosol at the highest paleoelevation displays the least amount of paleoweathering and the paleosol at the lowest displays the greatest amount of paleoweathering. These results demonstrate that not only can characteristics of the paleosol just below the Great Unconformity be recognized in the St. Francois Mountains, despite subsequent alteration, but also it is possible to detect variations in soil thickness that were controlled by slope steepness and, therefore, water availability and/or soil creep or failure. This spatial relationship is compatible with studies of modern soils which indicate that soil character varies with position on a slope.

Geology↗

NASA NTRSDate not supplied

The Containment Assurance Risk Framework of the Mars Sample Return Program

The Mars Sample Return campaign aims at bringing rock and atmospheric samples from Mars to Earth through a series of robotic missions. These missions would collect the samples being cached and deposited on Martian soil by the Perseverance rover, place them in a container, and launch them into Martian orbit for subsequent capture by an orbiter that would bring them back. Given there exists a non-zero probability that the samples contain biological material, precautions are being taken to design systems that would break the chain of contact between Mars and Earth. These include techniques such as sterilization of Martian particles, redundant containment vessels, and a robust reentry capsule capable of accurate landings without a parachute. Requirements exist that the probability of containment not assured of Martian-contaminated material into Earth’s biosphere be less than one in a million. To demonstrate compliance with this strict requirement, a statistical framework was developed to assess the likelihood of containment loss during each sample return phase and make a statement about the total combined mission probability of containment not assured. The work presented here describes this framework, which considers failure modes or fault conditions that can initiate failure sequences ultimately leading to containment not assured. Reliability estimates are generated from databases, design heritage, component specifications, or expert opinion in the form of probability density functions or point estimates and provided as inputs to the mathematical models that simulate the different failure sequences. The probabilistic outputs are then combined following the logic of several fault trees to compute the ultimate probability of containment not assured. Given the multidisciplinary nature of the problem and the different types of mathematical models used, the statistical tools needed for analysis are required to be computationally efficient. While standard Monte Carlo approaches are used for fast models, a multi-fidelity approach to rare event probabilities is proposed for expensive models. In this paradigm, inexpensive low-fidelity models are developed for computational acceleration purposes while the expensive high-fidelity model is kept in the loop to retain accuracy in the results. This work presents an example of end-to-end application of this framework highlighting the computational benefits of a multi-fidelity approach.

Giuseppe Cataldo↗

DOE OSTI2022

The effect of differential mineral shrinkage on crack formation and network geometry

Rock, concrete, and other engineered materials are often composed of several minerals that change volumetrically in response to variations in the moisture content of the local environment. Such differential shrinkage is caused by varying shrinkage rates between mineral compositions during dehydration. Using both 3D X-ray imaging of geo-architected samples and peridynamic (PD) numerical simulations, we show that the spatial distribution of the clay affects the crack network geometry with distributed clay particles yielding the most complex crack networks and percent damage (99.56%), along with a 60% reduction in material strength. We also demonstrate that crack formation, growth, coalescence, and distribution during dehydration, are controlled by the differential shrinkage rates between a highly shrinkable clay and a homogeneous mortar matrix. Sensitivity tests performed with the PD models show a clay shrinkage parameter of 0.4 yields considerable damage, and reductions in the parameter can result in a significant reduction in fracturing and an increase in material strength. Additionally, isolated clay inclusions induced localized fracturing predominantly due to debonding between the clay and matrix. These insights indicate differential shrinkage is a source of potential failure in natural and engineered barriers used to sequester anthropogenic waste.

58 GEOSCIENCES↗

NASA NTRS2023

Fluid Inclusions in Extraterrestrial Samples: Failures, Successes, Possibilities, and A Note of Caution

Over the past half century the search for life in the solar system and beyond has become a major research focus, with much effort devoted to finding evidence for liquid H2O and reduced carbon-bearing (organic) species in extraterrestrial samples. The most direct and convincing evidence for the presence of water and organic molecules is provided by fluid inclusions (FI)trapped in minerals that formed on the parent bodies. Beginning in the 1970s, reports of FI in extraterrestrial samples generated much enthusiasm within the planetary sciences community. However, many of the reported FI were determined to be artifacts of sample preparation, or incomplete characterization of features that appear to be FI, or were inconsistent with the inferred PT history of the meteorite sample. An early report of aqueous (and hydrocarbon-bearing) FI in stony meteorites and the subsequent follow-up study that showed that most or all of the “FI” contained water used during cutting and polishing of the samples led to a general unwillingness to believe later reports of FI in meteorites. One of the first confirmed occurrences of extraterrestrial aqueous (liquid) fluid inclusions in a meteorite was reported by Zolensky et al. (1999; Science), who described aqueous inclusions in halite in the Monahans and later the Zag meteorites. These meteorite falls were collected shortly after landing on earth and were prepared without using water or other fluids that could introduce artifacts. The oxygen and hydrogen isotopic composition of water in FI in these same samples was later measured, showing that the fluids represent various degrees of water-rock interaction on the parent body .In more recent years, careful studies of FI trapped in extraterrestrial samples combining synchrotron X-ray computed tomography to locate FI in samples followed by cryo-TOF-SIMS analysis of the FI have identified the presence of molecular fragments suggesting the presence of H2O and various organic molecules in the fluids. Challenges associated with studying FI in extraterrestrial samples include the limited abundance of potential host phases for FI, such as carbonates and phosphates, the often poor optical quality of the host phases, and the small size of the FI, with few as large as 5 microns and most less than 1-2 microns in maximum dimension

Robert Bodnar↗

DOE OSTI2024

Precise relative magnitude measurement improves fracture characterization during hydraulic fracturing

SUMMARY Microseismic monitoring is an important technique to obtain detailed knowledge of in-situ fracture size and orientation during stimulation to maximize fluid flow throughout the rock volume and optimize production. Furthermore, considering that the frequency of earthquake magnitudes empirically follows a power law (i.e. Gutenberg–Richter), the accuracy of microseismic event magnitude distributions is potentially crucial for seismic risk management. In this study, we analyse microseismicity observed during four hydraulic fracture treatments of the legacy Cotton Valley experiment in 1997 at the Carthage gas field of East Texas, where fractures were activated at the base of the sand-shale Upper Cotton Valley formation. We perform waveform cross-correlation to detect similar event clusters, measure relative amplitude from aligned waveform pairs with a principal component analysis, then measure precise relative magnitudes. The new magnitudes significantly reduce the deviations between magnitude differences and relative amplitudes of event pairs. This subsequently reduces the magnitude differences between clusters located at different depths. Reduction in magnitude differences between clusters suggests that some attenuation-related biases could be effectively mitigated with relative magnitude measurements. The maximum likelihood method is applied to understand the magnitude frequency distributions and quantify the seismogenic index of the clusters. Statistical analyses with new magnitudes suggest that fractures that are more favourably oriented for shear failure have lower b-value and higher seismogenic index, suggesting higher potential for relatively larger earthquakes, rather than fractures subparallel to maximum horizontal principal stress orientation.

58 GEOSCIENCES↗

NASA NTRS2013

A Mars Sample Return Sample Handling System

We present a sample handling system, a subsystem of the proposed Dragon landed Mars Sample Return (MSR) mission [1], that can return to Earth orbit a significant mass of frozen Mars samples potentially consisting of: rock cores, subsurface drilled rock and ice cuttings, pebble sized rocks, and soil scoops. The sample collection, storage, retrieval and packaging assumptions and concepts in this study are applicable for the NASA's MPPG MSR mission architecture options [2]. Our study assumes a predecessor rover mission collects samples for return to Earth to address questions on: past life, climate change, water history, age dating, understanding Mars interior evolution [3], and, human safety and in-situ resource utilization. Hence the rover will have "integrated priorities for rock sampling" [3] that cover collection of subaqueous or hydrothermal sediments, low-temperature fluidaltered rocks, unaltered igneous rocks, regolith and atmosphere samples. Samples could include: drilled rock cores, alluvial and fluvial deposits, subsurface ice and soils, clays, sulfates, salts including perchlorates, aeolian deposits, and concretions. Thus samples will have a broad range of bulk densities, and require for Earth based analysis where practical: in-situ characterization, management of degradation such as perchlorate deliquescence and volatile release, and contamination management. We propose to adopt a sample container with a set of cups each with a sample from a specific location. We considered two sample cups sizes: (1) a small cup sized for samples matching those submitted to in-situ characterization instruments, and, (2) a larger cup for 100 mm rock cores [4] and pebble sized rocks, thus providing diverse samples and optimizing the MSR sample mass payload fraction for a given payload volume. We minimize sample degradation by keeping them frozen in the MSR payload sample canister using Peltier chip cooling. The cups are sealed by interference fitted heat activated memory alloy caps [5] if the heating does not affect the sample, or by crimping caps similar to bottle capping. We prefer cap sealing surfaces be external to the cup rim to prevent sample dust inside the cups interfering with sealing, or, contamination of the sample by Teflon seal elements (if adopted). Finally the sample collection rover, or a Fetch rover, selects cups with best choice samples and loads them into a sample tray, before delivering it to the Earth Return Vehicle (ERV) in the MSR Dragon capsule as described in [1] (Fig 1). This ensures best use of the MSR payload mass allowance. A 3 meter long jointed robot arm is extended from the Dragon capsule's crew hatch, retrieves the sample tray and inserts it into the sample canister payload located on the ERV stage. The robot arm has capacity to obtain grab samples in the event of a rover failure. The sample canister has a robot arm capture casting to enable capture by crewed or robot spacecraft when it returns to Earth orbit

Wilson, David↗

NASA NTRS2002

My Big Wall

It was June and I was in Yosemite National Park in California, 2,000-feet off the ground. I was climbing El Capitan, a majestic 3,000-foot high, mile-wide granite monolith--one of the most sought after and spectacular rock climbs in the world. After three days of climbing on its sheer face, and having completed the most difficult part of the route, my partner and I were heading down. A thunderstorm lasting all night and into the morning had soaked our tiny perch and all our worldly possessions. We began rappelling down the vertical wall by sliding to the ends of two 50meter ropes tied together and looped through a set of fixed rings bolted into the rock. At the end of the ropes was another rappel station consisting of a set of rings, placed by previous climbers for retreating parties, which we used to anchor ourselves to the rock face. We then pulled the ropes down from the rings above, threaded the ones in front of our noses and started down another rope length. Everything we brought up for our five-day climb to the summit we had to bring back down with us: ropes, climbing gear of every sort, sleeping bags, extra clothes, food, water, and other essentials. All this we either stuffed into a haul bag (an oversized reinforced duffel bag) or slung over our shoulders. The retreat was slow and methodical, akin to a train backing down a mountain, giving me ample time to think. My situation made me think about my work, mostly, about all the projects I have managed, or been involved in managing. As a NASA project manager, I have worked on a number of successful projects. I have also been involved in a number of projects I never saw the end of. I thought about all the projects I transferred off of for other opportunities, projects that were in full stride and ran out of funding, and ones put on the shelf because they would not meet a flight date. Oh yes, I have had many success, to be sure, or I would have burned out years ago. Lessons from both the successful and not-so-successful projects have taught me valuable lessons, but it has always been the failures where I've learned the most.

Espinosa, Paul S.↗

DOE OSTI2025

Failure Analysis–Informed Risk Assessment Framework for Geological Carbon Storage Using Numerical Simulation and Machine Learning

Geological carbon storage (GCS) is recognized as a critical technology for achieving large-scale reductions in anthropogenic carbon dioxide (CO 2 ) emissions. Ensuring long-term containment and safety requires robust risk assessment frameworks that account for geological uncertainty and identify potential failure scenarios. Among various indicators, the area of review (AoR) serves as a key metric for evaluating storage performance, regulatory compliance, and monitoring design, as it delineates the spatial extent impacted by pressure buildup and plume migration. However, conventional AoR-based risk assessments typically perturb parameters within narrow uncertainty bounds, potentially overlooking rare but high-impact events arising from extreme geological conditions. In this study, we present a failure analysis–informed risk assessment framework for large-scale GCS projects to improve site prescreening and monitoring design. A suite of 300 numerical simulations was generated using stochastic geological models that vary five key parameters: net-to-gross ratio, anisotropy azimuth, porosity multiplier, permeability multiplier, and vertical-to-horizontal permeability ratio. Among these, 200 realizations represent normal geological uncertainty, while 100 additional cases explore extreme yet plausible conditions for failure-case analysis. The AoR was simulated and computed from pressure and CO 2 saturation fields, where the baseline AoR boundary, representing the extent predicted under typical geological uncertainty, was defined as the union of 200 normal-range simulations, and failure was identified when extreme-range cases exceeded this baseline. Results show that incorporating broader parameter uncertainty produces significantly larger AoR extents, underscoring the potential underestimation of risk under conventional uncertainty ranges. Furthermore, spatial probability maps derived from failure-induced AoR exceedance identify regions requiring enhanced monitoring attention. Various machine learning (ML)–based classifiers were developed to predict failure occurrence from geological parameters, with the random forest model achieving the highest performance (F1-score of 0.986). Consistent findings from correlation coefficient, feature importance, and Sobol sensitivity analyses reveal that low net-to-gross ratios and permeability multipliers are the dominant risk drivers, reflecting reduced reservoir connectivity and limited pressure dissipation. Altogether, these results provide a novel framework for risk-informed site prescreening and monitoring design that explicitly considers rare but high-impact geological scenarios in GCS projects.

25 ENERGY STORAGE↗

DOE OSTI2020

Hydropower Geotechnical Foundations: Current Practice and Innovation Opportunities for Low-Head Applications

Hydropower is a renewable energy resource that produces electricity from flowing water under pressure. Engineered hydropower structures, such as dams, are used to create a hydraulic head, enabling a turbinegenerator unit to convert pressurized flow into electricity. While hydropower has been a source of renewable energy since antiquity, new development in the United States has slowed in recent decades. Based on recent resource assessments, the largest opportunity to expand hydropower in the United States is from new stream-reach development (i.e., new hydropower development along stream-reaches that do not currently have hydroelectric facilities or other forms of infrastructure, such as dams). Roughly 75% of identified new stream-reach development potential is from low-head sites (less than 30 ft of head), which typically suffer from smaller power densities and higher normalized costs, given economies of scale. Hydropower developers and other stakeholders are thus interested in strategies to reduce initial capital costs while practicing sustainable development to maximize environmental compatibility with minimal disruption to natural aquatic life, sediment, and water flows. Historically, civil works have represented a significant cost driver for new hydropower development, with the foundation system representing a major cost component and source of uncertainty. The foundation system is the collection of engineered structural features (e.g. cutoff trenches, walls, grouting, anchors) constructed at or below the preconstruction ground surface that interfaces between the overlying structures (superstructures) and the bed material below (subsurface). Development of a hydropower foundation system must consider the various characteristics of the surrounding stream environment and subsurface while adhering to the engineering requirements of the superstructure that it supports. The care of water, excavation, and other construction activities are important features of foundation design and construction. The design and construction cost of the foundation system is largely dependent on the site geology and riverbed composition and is influenced by the level of geotechnical assessment required and conducted. Thus, a hydropower facility’s geotechnical foundation is often highly site-specific, with proper site selection and assessment being important to project success. The foundation system is designed to provide structural stability (of the foundation and dam), limit seepage, ensure public safety, and maintain functionality for the project life, during both construction and facility operations. Inadequate foundation or dam design can result in dam failure and the uncontrolled release of significant volumes of water, which could cause a high number of casualties and extensive property damage downstream of the failure. According to the Association of State Dam Safety Officials, approximately 30% of all historical dam failures in the United States are attributed to foundation or abutment defects, and another 20% are attributed to piping or seepage through the embankment, foundation, or abutment. To ameliorate these safety considerations, foundations often require massive amounts of construction material (e.g., grout, concrete, engineered dam fill) and long construction times. Foundation design also requires significant analysis prior to construction because the initial in-stream and abutment subsurface conditions are site-specific, and sufficient data for them often are lacking. Current practice requires on-site assessment, using expensive drilling and invasive and non-invasive investigation methods, to determine the expected cost of foundation material and treatment. Additionally, foundation construction often requires site dewatering (and other care of water activities), which involves constructing temporary diversion structures upstream and often downstream, called cofferdams, and water diversion systems that route water around the construction site. Cofferdams and water diversion systems can drastically increase construction costs and contribute to environmental disruption, including modification of flow patterns and benthic habitats. Given the technical, economic, and environmental challenges associated with hydropower foundations, opportunities exist to improve the current state of practice and to develop new and innovative solutions to Hydropower is a renewable energy resource that produces electricity from flowing water under pressure. Engineered hydropower structures, such as dams, are used to create a hydraulic head, enabling a turbinegenerator unit to convert pressurized flow into electricity. While hydropower has been a source of renewable energy since antiquity, new development in the United States has slowed in recent decades. Based on recent resource assessments, the largest opportunity to expand hydropower in the United States is from new stream-reach development (i.e., new hydropower development along stream-reaches that do not currently have hydroelectric facilities or other forms of infrastructure, such as dams). Roughly 75% of identified new stream-reach development potential is from low-head sites (less than 30 ft of head), which typically suffer from smaller power densities and higher normalized costs, given economies of scale. Hydropower developers and other stakeholders are thus interested in strategies to reduce initial capital costs while practicing sustainable development to maximize environmental compatibility with minimal disruption to natural aquatic life, sediment, and water flows. Historically, civil works have represented a significant cost driver for new hydropower development, with the foundation system representing a major cost component and source of uncertainty. The foundation system is the collection of engineered structural features (e.g. cutoff trenches, walls, grouting, anchors) constructed at or below the preconstruction ground surface that interfaces between the overlying structures (superstructures) and the bed material below (subsurface). Development of a hydropower foundation system must consider the various characteristics of the surrounding stream environment and subsurface while adhering to the engineering requirements of the superstructure that it supports. The care of water, excavation, and other construction activities are important features of foundation design and construction. The design and construction cost of the foundation system is largely dependent on the site geology and riverbed composition and is influenced by the level of geotechnical assessment required and conducted. Thus, a hydropower facility’s geotechnical foundation is often highly site-specific, with proper site selection and assessment being important to project success. The foundation system is designed to provide structural stability (of the foundation and dam), limit seepage, ensure public safety, and maintain functionality for the project life, during both construction and facility operations. Inadequate foundation or dam design can result in dam failure and the uncontrolled release of significant volumes of water, which could cause a high number of casualties and extensive property damage downstream of the failure. According to the Association of State Dam Safety Officials, approximately 30% of all historical dam failures in the United States are attributed to foundation or abutment defects, and another 20% are attributed to piping or seepage through the embankment, foundation, or abutment. To ameliorate these safety considerations, foundations often require massive amounts of construction material (e.g., grout, concrete, engineered dam fill) and long construction times. Foundation design also requires significant analysis prior to construction because the initial in-stream and abutment subsurface conditions are site-specific, and sufficient data for them often are lacking. Current practice requires on-site assessment, using expensive drilling and invasive and non-invasive investigation methods, to determine the expected cost of foundation material and treatment. Additionally, foundation construction often requires site dewatering (and other care of water activities), which involves constructing temporary diversion structures upstream and often downstream, called cofferdams, and water diversion systems that route water around the construction site. Cofferdams and water diversion systems can drastically increase construction costs and contribute to environmental disruption, including modification of flow patterns and benthic habitats. Given the technical, economic, and environmental challenges associated with hydropower foundations, opportunities exist to improve the current state of practice and to develop new and innovative solutions to challenges frequently encountered with traditional approaches. With this understanding, it is critically important to understand and document the current state of practice for hydropower geotechnical foundations, identify key challenges, and define opportunities for innovative solutions. To this end, this report documents the current state of practice across the three main phases of geotechnical foundation development: (1) geotechnical site assessment, (2) design, and (3) construction for hydropower systems. It also describes the major challenges with conventional approaches and identifies opportunities for innovation to reduce hydropower foundations costs, timelines, and risks. Key takeaways from this report include the following: Approximately 80% of available low-head sites are expected to have foundations on soil beds rather than rock beds, suggesting that rockfill and earthfill dams may be the most cost-effective conventional dam type for new projects.; Geotechnical and geologic investigation activities are time-consuming and expensive but are essential to define the parameters and criteria needed for foundation design.; Certain riverbed soil and bedrock types present significant technical challenges or require expensive foundation construction, which can prove financially prohibitive for low-head project development.; Modular hydropower design and prefabricated modular foundations represent a promising but unproven paradigm for new hydropower development. Design and construction approaches using optimized and highly repeatable, reliable components would benefit project cost, time, and risk but require additional research and development.; Temporary construction features for foundations, including cofferdams, water diversion, and water control systems, can prove costly and have inherent construction risk.; For economically viable development, hydropower geotechnical foundations should be limited to 4 to 15% of the project’s total initial capital costs. Many proposed projects have experienced cost overruns attributable to foundation difficulties or surprises during construction. These overruns may have been due to inadequate investigations, lack of adequate engineering effort to tailor the structures to site geology and topography, and/or contractual terms, among other considerations.; Challenges for hydropower foundations and opportunities for innovative technology solutions are identified in the following areas (consistent with the three main phases of foundation development): Geotechnical site assessment, Foundation design and materials, Construction methods and technology. Ultimately, this report aims to provide information about geotechnical foundations for low-head hydropower and to motivate transformative technologies to support hydropower growth.

13 HYDRO ENERGY↗

DOE OSTI2024

DECOVALEX-2023: Task A Final Report

Task A, also known as HGFrac, examines the fracturing processes that may occur in the Callovo-Oxfordian claystone (COx) in the context of the high-level (HLW) and intermediate-level long-lived (ILW-LL) radioactive waste repository in France. Understanding these processes and improving numerical models to reproduce them will aid in the design, optimization, and safety of the repository. Heat and gas fracturing are studied in two independent subtasks following a stepwise approach: laboratory tests/benchmark exercises, in-situ experiment, and finally, an application case. The in-situ heater experiment aimed to thermally induce a hydraulic fracture; temperature and pore pressure were monitored to detect any evidence of fracturing. The in-situ gas injection experiment aimed to study the effect of the stress orientation and gas injection kinetics on the gas fracturing process. The occurrence of fracturing was monitored by gas pressure measured in the injection interval. In both experiments, the excavation-induced fracture network around the heater/injection boreholes played an important role in the reduction of the compressive stress state, leading to both a tensile and shear failure response of the COx. During the first two years of the project, the research teams working on each task developed and/or proposed numerical approaches for reproducing the occurrence of fracturing in the in-situ experiments. The failure criteria were defined by reproducing the measurements from laboratory extension tests for the heat fracturing subtask. In the gas fracturing subtask, their approaches were used for simulating several benchmark exercises, and an inter-comparison between models was carried out. In both tasks, the developed approaches were compared with a simplified approach considering poro-elasticity for the mechanical behaviour of the COx. Most of the developed approaches are based on a continuous medium that takes into account variations in hydraulic properties due to mechanical degradation, such as plastic deformation or damage. Other approaches implicitly modelled weak planes or embedded discontinuities to reproduce fracture propagation. The potential for fracture initiation was also studied through of a discrete approach. In the second half of the project, the research teams mainly focused on interpretative modelling of two in-situ experiments and a blind prediction exercise to test their respective approaches. The models developed by the research teams were also applied at the repository scale to evaluate fracture initiation in a case study under vi unfavourable conditions, particularly in terms of spacing between High-Level Waste cells. The results showed that the poro-elasticity approach could be an efficient tool for understanding the main processes occurring in the COx. One example is the explicit representation of the excavation-induced fracture network around the boreholes, which yielded acceptable results compared to the measurement data. However, advanced approaches were needed to evaluate the potential increase of the excavation-induced fracture network extend and better understand fracture initiation. The stress analyses carried out by the teams revealed that hydraulic boundary conditions had a strong impact on fracture initiation in the heater experiment. Furthermore, in most cases, the results required higher pore pressure increments to reach fracturing than those measured in the experiment. This implies that the measurements may have been biased by the packer’s capacity to fully isolate the piezometric chambers, leading to lower pressures. On the contrary, there was no agreement on the fracturing mode, as some reported either shear or tensile fracturing, while others reported a combination of the two modes. In the case of gas fracturing, the research teams were limited to the comparison of a single point, which complicated their task. Nonetheless, the numerical results were able to reproduce the measurements and capture processes such as longitudinal gas flow through the excavation-induced fracture network, as suggested by some evidence in the observation piezometric chambers. The numerical models also agreed with the measurements in the sense of higher probability of developing along the injection borehole than radially towards the sound rock. The approaches developed by the research teams showed that they are capable of analysing and reproducing fracture initiation in the COx. However, areas of future work should focus on the fracture propagation and fracture aperture, which were out of the scope of this task. To this end, additional data must be gathered for the parameter characterisation and validation of the numerical models. Nonetheless, various approaches showed promising results as they were able to reproduce fracture development under certain conditions.

12 MANAGEMENT OF RADIOACTIVE AND NON-RADIOACTIVE W↗

DOE OSTI2023

Energy Budget of Brittle Fracturing in Granite Under Stress Relaxation and Creep

Creep and relaxation are the two major time-dependent fracturing processes in rocks. While a considerable amount of research has been done in understanding these two mechanisms, critical gaps remain regarding how different energy components evolve during time-dependent fracturing processes in rocks. In this study, a series of relaxation and creep experiments were conducted on prismatic Barre granite specimens in the laboratory to estimate the energy budget of brittle fracturing in granite. For the input energy, the work done by the machine (W) is calculated and for the output energy the radiated seismic energy (E R ), released in the form of acoustic emissions (AEs), is calculated as the only measurable output energy component in the conducted experiments. The low-frequency plateau (Ω 0 ) and corner frequency (f 0 ) for each AE waveform was estimated by fitting the observed AE spectra with the theoretical spectra using the Omega model. These parameters were used to estimate the seismic moments (M 0 ) based on the radiation pattern for the double couple (shear) and non-double-couple (non-shear) events. The range of f 0 and M 0 varied from 150 to 750 kHz and 10 –4 to 10 –1 N m, respectively. Moment magnitude (M w ) varied in a wider range from –9 to –6 in creep and –8.5 to –7 in relaxation. Stress drops (Δ σ ) and source radius (r) were estimated for the AEs using Brune’s model. Here, the results report on three primary observations: (1) the effects of different source mechanisms on the estimated source parameters showed that M 0 and Δ σ were higher for DC events as compared to NDC in both relaxation and creep. (2) The radiation efficiency in the case of creep is 70% higher as compared to relaxation and, (3) the stress drop estimated in relaxation and creep demonstrated a breakdown in scaling with the seismic moment.

58 GEOSCIENCES↗

DOE OSTI2021

Linear and Nonlinear Solvers for Simulating Multiphase Flow within Large-Scale Engineered Subsurface Systems

Simulation of multiphase flow in the subsurface is well-known to be computationally challenging. While there have been many studies that have explored approaches to overcoming these challenges, they often utilize relatively simple case studies. In this paper, we focus on the unique numerical challenges posed by modeling large-scale engineered subsurface systems, characterized by discrete features embedded in a heterogeneous natural subsurface setting. The man-made features such as shafts, tunnels, and barriers often cause multiple challenges in modeling the domain for multiphase porous media flow. This flow scenario can have a wide range of applications such as nuclear waste repositories, enhanced recovery of a petroleum reservoir, geothermal engineering, and carbon sequestration. An example of these severe numerical challenges is the case of performance assessment (PA) for Waste Isolation Pilot Plant (WIPP), the only operating deep geological repository in the US, which simulates extreme material properties of bedded salt rock formation and extreme contrast due to open excavation next to the formation. The models have extremes not only of permeability and porosity but also of the constitutive models needed for multiphase flow; additionally, they have process models like salt creep closure reducing porosity over time, fracturing in clay and anhydrite interbeds of the bedded salt, gas generation from the waste materials, and unintentional human borehole intrusions in some scenarios. Numerical simulations require the solution of coupled systems of nonlinear PDEs; in our work, we use the open-source simulator PFLOTRAN which is based on Finite Volume discretization. The solution of the nonlinear equations requires use of the Newton-Raphson iteration at each time step, which entails the solution of the linearized Jacobian system at each iteration. The effects of all the processes (i.e., large number of unknowns, highly nonlinear constitutive relations, large contrasts in material properties in short distances) lead to an ill-conditioned Jacobian matrix that severely challenges traditional linear solver, i.e., stabilized biconjugate gradient with block Jacobi incomplete LU preconditioner (BCGS-ILU) leading to non-convergence for traditional Newton-Raphson nonlinear solver causing unacceptably long computation time for each model. This paper presents linear solvers such as constrained pressure residual (CPR) two-stage preconditioner with alternate-block-factorization (ABF) and quasi- implicit pressure and explicit saturation (QIMPES) decouplers and flexible generalized residual solver (FGMRES). The new general-purpose nonlinear solver, Newton trust-region dogleg Cauchy (NTRDC), is also introduced to resolve extreme nonlinearities in the models. We demonstrate the effectiveness of each method relative to the default BCGS-Newton solver. The two best cases had nearly 50 times speed-up and achieved completion of a simulation in 14 hours that never completed due to non-convergence with the default solver. We also investigate the strong scalability of each method and discuss some of the deficiencies found for Block Jacobi preconditioner using parallel domain decomposition, and node packing effects of modern processor architecture.

Preconditioner, Nonlinear, Porous media, Multiphas↗

DOE OSTI2025

Competition between roughness and strength for scale-dependent surfaces

Rocks famously have scale-dependent strength, yet the actual dependence is notoriously hard to measure or incorporate into any theoretical framework. Natural rough surfaces present an opportunity to solve the problem. Surfaces sliding in shear evolve as protrusions collide. These asperities can deform or break, thus creating a new surface shape. In particular, natural surfaces have roughness at all scales as well as scale-dependent strength. Based on a scaling analysis, we have previously suggested that the scale-dependent aspect ratio of steady-state surfaces should be proportional to the scale-dependent shear strain at yield. If true, scale-dependent strength could easily be inferred from natural surfaces. Thus, moving beyond the scaling argument to a rigorous treatment of scale-dependent strength for multiscale rough surfaces in shear is important. However, analytic frameworks for analyzing multiscale problems are challenging, as conventional continuum mechanics typically involves a single value for a material property across scales. Here, in this work, we build on the formalism of Persson (2001) that presents a method to compute contact area for rough surfaces with a prescribed topographic spectrum using a stochastic differential equation. The Persson formalism allows for plastic yield under normal loading of otherwise elastic materials and leaves open the possibility of scale-dependent yield stress. In this study, we pursue this route to develop a theory and numerical results for the yielding of a rough, elastoplastic surface with scale-dependent yield stress. Here, we examine surfaces for which the power spectrum of the topography 𝐶 and yield stress 𝑌 follow power laws as a function of scale 𝜆, such that 𝐶∼𝜆 −𝑚 and 𝑌∼𝜆 −𝑛 , respectively. In this formal treatment of the problem, we focus on surfaces in contact and the resulting yield and do not impose shear. Numerical solutions show that the deviation from the elastic scaling solution is bounded as expected by the prior 1D heuristic scaling argument that anticipates the Hurst exponent as 1−𝑛. We also show that the plasticity is expected to erode the contacts if 𝑚 is lower than 𝑛−3, which corresponds to a Hurst exponent lower than 1−𝑛/2. This result is rigorously sound for 2D, i.e., realistic surfaces, and quantitatively different than the prior scaling argument. The theory now permits a correspondingly quantitative approach to interpreting natural surfaces.

elasticity↗

NASA NTRS1999

Simulating the Formation of Lunar Floor-Fracture Craters Using Elastoviscoplastic Relaxation

Lunar floor-fracture craters formed during the height of mare basalt emplacement. Due to a general temporal and spatial relation with the maria, these craters, numbering some 200, may be diagnostic of the thermal structure of the crust during this time. As the name suggests, these craters exhibit brittle failure, generally limited to the central floor region. That, and a shallower depth than fresh lunar craters, has led to two main theories as to their formation: laccolith emplacement under the crater and viscous relaxation. The implications of each model for the state of the Moon's crust during this time are quite different, so the viability of each model must be checked. Laccolith emplacement has been treated elsewhere. However, previous attempts to study the relaxation of the craters have assumed only a uniform, Newtonian viscous response of the near surface to the topographic driving forces, and simply postulated that the fractures resulted from tensile stresses associated with floor uplift. Here, we use a more sophisticated rheological model that includes not only non-Newtonian viscous behavior (i.e., the viscosity is stress-dependent), but also incorporates elastic behavior and a plastic component to the rheology to directly simulate the formation of the floor fractures. The results of our simulations show that while elastoviscoplastic relaxation is potentially viable for larger floor-fracture craters, it is not viable for craters with diameters < or = 60 km, the size of the majority of floor-fracture craters. We employ the finite element method, a numerical technique well suited for boundary-value problems, via the commercially available MARC software package. To test the viability of topographic relaxation, our goal is to prepare the simulations as to maximize the amount of relaxation. We take advantage of the natural axisymmetry of craters, simulating one radial plane. Initial shapes are based on data for fresh craters from Pike. To simplify implementation, a fourth order polynomial is used for the basin, while a third order inverse function is used for the rim. This form closely approximates the long-wavelength behavior of complex craters, while ignoring higher-frequency topography, save the rim. This approximation is appropriate because crater relaxation is strongly controlled by long-wavelength topography. Loading is accomplished assuming a uniform gravity field (1.62 m/s-square) and a uniform density of 2900 kg/cubic m. The initial stress state is set to be hydrostatic, with an additional pressure term to account for any overlying topography. This additional pressure term is tapered exponentially with depth. While the simulations quickly settle on a preferred stress state, and while the final solution is fairly insensitive to the choice of the e-folding depth of the taper, selecting an e-folding depth close to the diameter of the crater sets the initial stress state near the preferred state. We assume a diuranally averaged surface temperature of -20 C, and allow temperature to increase with depth at a rate of 50 K//km. Assuming a thermal conductivity of 2 W/in/K, this gradient translates to a heat flow of 100mW/square m, an extremely high value for the Moon. Temperature, of course, will not increase without bound. To maximize relaxation, we allow our temperature profile to increase linearly until it reaches the solidus (assumed to be 1200C) at a depth of 24.4 km, at which point it is kept constant. The presence of melt will drop the bulk viscosity; however, we have no rheological control for partial melts. Therefore, we make no attempt to simulate this situation. Elastoviscoplastic rheological model. In general, geologic materials can behave in three main ways: elastically, viscously (via solid-state creep), and brittly (plasticity is a continuum approach to simulate this phenomenon). We combine these three deformation mechanisms in an extended Maxwell solid, where the total strain can be broken down into a simple summation of the elastic, creep, and plastic strains. In relaxation phenomena in general, the system takes advantage of any means possible to eliminate deviatoric stresses by relaxing away the topography. Previous analyses have only modeled the viscous response. Comparatively, the elastic response in our model can augment the relaxation, to a point. This effect decreases as the elastic response becomes stiffer; indeed, in the limit of infinite elastic Young's modulus (and with no plasticity), the solution converges on the purely viscous solution. Igneous rocks common to the lunar near-surface have Young's modulii in the range of 10-100 GPa. To maximize relaxation, we use a Young's modulus of 10 GPa. (There is negligible sensitivity to the other elastic modulus, the Poisson's ratio; we use 0.25.) For the viscous response, we use a flow law for steady-state creep in thoroughly dried Columbia diabase, because the high plagioclase (about 70 vol%) and orthopyroxene (about 17 vol%) content is similar to the composition of the lunar highland crust as described by remote sensing and sample studies: noritic anorthosite. This flow law is highly non-Newtonian, i.e., the viscosity is highly stress dependent. That, and the variability with temperature, stands in strong contrast to previous examinations of lunar floor-fracture crater relaxation. To model discrete, brittle faulting, we assume "Byerlee's rule," a standard geodynamical technique. We implement this "rule" with an-angle of internal friction of about 40 deg, and a higher-than-normal cohesion of about 3.2 MPa (to approximate the breaking of unfractured rock). The actual behavior of geologic materials is more complex than in our rheological model, so the uncertainties in the plasticity do not represent the state-of-the-art error. Additional information is contained in the original.

Dombard, A. J.↗