Dam and Reservoir Engineering

TARIQ. 2008.
DAM AND RESERVOIR ENGINEERING 1-1

Ch-1: Introduction
Chapter - 1
INTRODUCTION
1.1 GENERAL
Dam: Damis a barrier built across a river to hold back river water for safe retention and
storage of water or control the water flow. Dams allow to divert the river flow into a pipeline,
a canal or channel (Fig 1.1). Dams results in substantially raising water levels in the river
over a large area, thus create a storage space. Dams may be of temporary or permanent
nature. Dams may be built by constructing an embankment across the river at some suitable
location. Natural processes as landslide and rock falling into the river may obstruct the river
flows for some time and create a dam like condition. The earthquake of 2005 resulted in a
debris embankment of more than 200 m width and 70 m height across Karli/Tang Nullah near
Hattian Balla in AJ K (Fig. 1.2); and after ascertaining the stability of the debris fill the water
impoundment is being converted into a tourist point. However dams are built by humans to
obtain some economic benefits. The water body created behind a constructed embankment or
dam is called a man made lake or reservoir. Wildlife (Beaver) may also create ponds or small
dams for their habitat purposes.

Figure 1.1a: Water reservoir created by Tarbela Dam.
TARIQ. 2008. DAM AND RESERVOIR ENGINEERING 1-2
Ch-1: Introduction

Figure 1.1b: Tarbela Dam aerial view (Source: Earth-Google).

Length of Lake = 2000 Mtr
Average Wi dth = 350 Mtr
Average Depth = 50 Mtr
X-SECTION
KARLI NULLAH LAKE
2.2 KM
202 189 171 149 137 122 110 95 77 57
44
100 M
100 M
100 M
100 M
100 M
100 M
100 M
100 M
100 M
100 M
100 M
BED OF NULLAH
150 M
60 m
4
INLET
DISCHARGE
30
Figure 1.2: Natural dam across Kalri Nullah AJ K formed by land slide due to earthquake.
Reservoir: Reservoir is defined the as a man-made lake or fresh water body created or
enlarged by the building of embankment, dams, barriers, or excavation and on which man
exerts major control over the storage and use of the water (Golze 1977, P-619). The
embankment may be constructed on one or more or all four sides of the reservoir.
Need:
(1) River supply usually does not match with the demand at all times/months. Dams
storage reservoir is created to match releases with the water demand.
(2) Dam created to substantially raise water level and thus working head for
hydropower production or to direct water into off taking canals (e.g. irrigation
canal, feeder to on off-channel dam).
Ch-1: Introduction
Purposes
Dams and reservoirs are built to raise water level for storage and safe retention of
large quantity of water. Water is subsequently released to achieve various purposes. Dams
may be constructed to meet one or more purposes as (USBR 2001, P:1-3):
1. Irrigation
2. Hydropower development
3. Domestic, municipal, industrial water supply (Hub dam, Simly dam)
4. Stock watering
5. Flood control
6. Recreation (picnic, camping, fishing, swimming, kayaking, white water
rafting)
7. Fish and wildlife protection and development, and improvement of river
ecology
8. River water quality / pollution control and management
9. Stream flow regulation for various purposes
10. Navigation
Multipurpose dams:
Most dams are multi-purpose, serving more than one purpose. Mostly these additional
purposes are achieved as byproduct outcome, e.g., hydropower, recreation, etc. For
multipurpose dams, the storage is allocated and prioritized for different purposes and cost
allocation (Fig. 1.4).
1.2 DAM AND RESERVOIR DEVELOPMENT STRATEGY
Reservoir design can be considered in a broader sense. It is really selected with such
improvements or remedial work as may be considered necessary to assure safe and
satisfactory performance of its intended purpose. Development of a reservoir must assure
structural integrity and adequacy of the reservoirs. The reservoir site is evaluated in terms of
geology, rim stability against slides, water tightness and water holding capability, seismicity,
bank storage, evaporation, sedimentation, land use and mineral resources, right-of-way and
property ownership, relocation of the populace, utilities, and transportation facilities,
historical-cultural and religious monuments etc.
The water stored behind the dam exerts a lrge water pressure on the dam. A dam must be able
to withstand such high pressures. In addition dam must be safe against failure due to
overtopping, foundation thrust failures, destruction of dam body due to internal erosion and
material failure, foundation uplift, and retain storage contents practically no loss of water
due to seepage.

Ch-1: Introduction

Figure 1.3 : Upper Reservoir of Taum Sauk 450 MW pumped power plant (Reynolds
County, Missouri, on the East Fork of the Black River) made of ridge top 6562 ft long
84 ft high CFRD dike with 10 ft parapet wall. The reservoir dike constructed in
1960s failed on Dec 14, 2005 due to internal leakage and slope failure. Plant
remained out of use as of J an 2007. [http://www.ferc.gov/industries/
hydropower/safety/projects/taum-sauk/consult-rpt/sec-2-summ.pdf].
Ch-1: Introduction

Natural or man-made water bodies, albeit large ones, has high aesthetical appeal and
thus attract huge number of visitors for recreation. The reservoir design must include
provisions of recreation facilities as parking area, picnic area, camping area, hiking and
biking trails, nature walk trails, horse trails, rock climbing, enjoying surrounding scenery,
water sports, motel, public services, restrooms, emergency services, indoor shelter areas,
project guided tours, etc. These should be evaluated in terms of need vs luxury and security
concerns for the structure and public.
Reservoir area requires clearing of brush/shrubs/trees from below maximum reservoir
levels for safe use of reservoir surface. Such clearing may be done by cutting/pulling or by
protected fires. In flat side reservoirs large surface area is exposed or reservoir lowering.
Suitable alternatives may be evaluated to make economic use of this area for short time
activities, as farming, sand mining etc.
1.3 CLASSIFICATION OF DAMS
1.3.1 Classification of Dams According To Location
On-Channel: Dam is constructed across the main water feeding river. Examples Tarbela,
Mangla, Simly, Hub dam. To increase the water availability water from other rivers
may be diverted to the dam through feeder channels e.g. Kurram Tangi dam.
Off-Channel: Dam is constructed on a channel having much smaller flow. Major storage
water is transferred from a different nearby river. This is done due to non-availability
of suitable/economic dam site on the major flow river. Example Akhori dam,
Replacement dams for Mangla and Tarbela.
Irrigation storage
Flood storage
Flood surcharge
Free board
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Normal conservation level
Max spillway
crest level
Dam crest
Figure 1.4: Multipurpose dam.
Dead storage
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Dead storage level
River profile
Ch-1: Introduction
1.3.2 Classification of Dams According to Release Pattern
Storage dam: Water is stored and later released through an outlet for consumptive or non-
consumptive purposes as per requirements.
Recharging dam. There is no outlet provided to release water and all incoming water is
retained. The water infiltrates through the foundation and/or dam body. The main
purpose of the dam is to induce recharge to ground water system in the area. Small
release in d/s channel to allow seepage in the channel bed.
Delay action dam / retarding dam. These dams are used to retard the peak flow of flash
floods. There may or may not be any control over the outflow. For no control over the
outflow the outflow rate varies as function of storage volume / water depth in the
dam. The flood peak is thus considerably attenuated. The outlet capacity is set that
maximum outflow discharge do not exceed the safe capacity of the downstream river
during highest flood. The reservoir empties fully after the flood. For control on
outflow by gates (detention dam) , the flow is released in such a pattern to retain the
water for long time but there is enough storage available to store next flood event.
These dams are usually meant to reduce flood damages as well as to induce maximum
recharge in the area. One type of such dam is a porous dam built of a porous
embankment, e.g. stone gabions.
Tailings dam These dams are constructed away from any river along a topographic slope by
constructing small dikes on three or all four sides to store slurry / waste of mineral
mining and processing facilities. The water evaporates or is evacuated and the solid
contents dry up filling up the storage capacity.
Diversion dam These are hydraulic structures with a main purpose to raise water level to
divert flow into the off taking channels / canals/ hydropower pressure tunnels and
penstock. These are preferably called as barrage or canal head works. The storage
created by these is minimal. E.g. Patrind Weir.
Coffer dam: These are small temporary dams built across the river on upstream and
downstream side of the main dam in order to keep the flow away and the working
area dry. The u/s coffer dam causes the flow through the diversion system and d/s
coffer dam prevents the flooding of the working from backwater effects. After
completion of the main dam the u/s coffer is usually abandoned and drowns in the
reservoir while d/s coffer dam is dismantled and removed.
1.3.3 Classification of dams according to Hydraulic Design
Non-Overflow dam: Flow is not allowed over the embankment crest for reasons of dam
safety. (earth, rock) dams.
Overflow dam The dam body is made of strong material as concrete and flow is allowed
over the dam crest Concrete dams
Ch-1: Introduction
1.32.4 Classification of dams according to Size
Dams may be classified as small, medium or large as under:
Small. USBR defined small dam as one having maximum height <15 m (50 ft).
Medium: Intermediate sizes 40-70 ft
Large: ICOLD defined large dam as: a dam that follows one or more of following
conditions. (Thomas 1976 P-0)
Dam height >15 m (50 ft) measured from lowest portion of the general foundation
area to the crest
A dam height 10-15 m but it compiles with at least one of the following condition:
a. crest of dam longer than 500 m
b. capacity of the resulting reservoir more than 1 million m
c. maximum flood discharge more than 2000 m
3

3
d. dam has specially difficult foundation problems
/s (70,000 cfs)
e. dam is of unusual design
Unique: Dams exceeding 100 m are considered as unique. Every aspect of its design and
construction must be treated as a problem specifically related to that particular
site.
1.3.5 Classification of Dams According to Filling and Emptying Mode
The storage of a dam may be filled and emptied in short time (one season) or long
time (several seasons). The dams are defined as:
Seasonal: Seasonal dams are filled and then emptied within the same water year (September
to August). Example Tarbela dam. Thus water level in the dam varies from maximum
(normal conservation level) to minimum (dead storage level) in most years. Such
dams have annual releases usually equal or little more than the minimum annual flow.
For very wet or very dry years the reservoir may not reach the extreme levels. The
seasonal dams spread the water stored in wet months over to dry months in the same
year.
Carry over: Filling and emptying of a carry-over dam reservoir continues over more than
one year (e.g. 4 to 5 years). Example. Hub Dam, Kurram Tangi Dam. Thus water
stored in wet years may be released during subsequent dry years The annual releases
are usually more than minimum annual flow but equal to long term average annual
flow. Applicable where wide variations in annual flows. Carry over dams spread
storage during wet years/months over to dry years and months.
Ch-1: Introduction
1.3.6 Classification according to location of service area
Local: The service area of the dam is limited to a single contiguous localized geographic area
located very near the dam. Far located areas and geographic regions do not benefit.
E.g. Kurram Tangi, Simly, Khanpur dams.
Regional: The service area of the dam extends to many widely apart geographic regions
located any distance from the dam. Thus all near and far located areas and geographic
regions get the benefit. The water supply to all areas is possible through a network of
river and canal systems. Exampleas are Tarbela, Diamir-Basha, Kalabagh, Mangla
dams.
1.3.7 Classification according to type of material
A dam can be made of earth, rock, concrete or wood. Dams are classified according to
the materials used as under: (Navak P: 11-18, 33)
A. Embankment Dams (Figs. 1.6, 1.7)
1. Earthfill Dam: These are constructed of selected soils (0.001 d 100 mm)
compacted uniformly and intensively in relatively thin layers (20 to 60 cm) and at
controlled optimum moisture content. Compacted natural soils form more than 50%
of the fill Material. Dams may be designed as: Homogeneous, Zoned or with
impermeable core (Figs. 1.5-1.7). Zoned part is made of relatively finer material that
reduces seepage flow, e.g. clay. The fill material is placed as rolled, hydraulic fill or
semi-hydraulic fill.

Figure 1.5: Earthfill dam. Left-homogeneous, right-zoned dam.
2. Rockfill dam: Over 50% of fill material be of class rock usually a graded rockfill
(0.1 d 1000 mm) is filled in bulk or compacted in thin layers by heavy plant.
Some impervious membranes/materials are placed in the interior or on u/s face of the
embankment to stop/reduce seepage through the dam embankment. Dams section may
be homogeneous, zoned, with impermeable core, or with asphalt or cement concrete
face. Zoned part is made of relatively finer material that reduces seepage flow, e.g.
clay. Core is made of clay, concrete, asphalt concrete etc.
3. Earthfill-rockfill or Earth-rock dams These dams are made of mix of large
proportions of earthfill and rockfill materials.
Ch-1: Introduction
B. Concrete Dams
Concrete dams are formed of cement-concrete placed in the dam body (Figs. 1.8, 1.9).
Concrete dam section designed such that the loading produces compression stress only and
no tension is induced any where. The reinforcement is minimum mainly as temperature
control. Concrete is placed in two ways: Reinforced concrete dam (RC dam) or Roller
compacted concrete (RCC) dams. The variations of concrete dam include:
1. Concrete gravity dam,
2. Concrete arch dam and arch-gravity dam
3. Multiple arch dam
4. Double curvature or dome/cupola dam
5. Buttress dam (head as diamond, roundhead, massive, decked etc)
6. Hollow gravity dam
7. Brick or rock masonry gravity dam
Rubble/random/stone masonry to fill dam section. Concrete / mass concrete as bulk material
in dam section with steeper side slope. RCC section to take loadings, thus decrease section.
1 Gravity dam: Stability due to its mass. Dam straight or slightly curved u/s in plan (no
arch action). The u/s face is vertical or nearly vertical, d/s sloping.
2. Buttress dam: It consists of continuous u/s face supported at regular intervals by d/s
buttress (massive buttress /diamond head, round head) with each section separate.
Ambursen / flat slab buttress / decked buttress.
3. Arch dam: Arch dam has considerable u/s plan curvature. U/s and d/s faces are
nearly straight / vertical. Water loads are transferred onto the abutments or valley
sides by arch action. Arch dam is structurally more efficient than concrete gravity
dams (requires only 10-20% concrete). However abutment strength and geologic
stability is critical to the structural integrity and safety of the dam. Multiple arch
dams.
4. Cupola/Dome/Double curvature dam:. U/s & d/s faces curved in plan and profile
section, curved in plan as well/ as arch (Part of a dome or shell structure).
5. Hollow gravity section made hollow to reduce uplift pressure at d/s side and smaller
total construction materials. (between gravity and buttress dams)
C. Timber/steel dam
The bulk of the dam is made of timber braces with timber board facings. Such dams were
mostly constructed by early gold miners in California USA for obtaining river water for
separating gold dust and getting water power; such dams are not practically used any
longer. The face of earthfill or rockfill dams may be also fitted with timber board for
seepage control.
Ch-1: Introduction
Figure 1.6: Earthfill embankment dams.

Figure 1.7: Rockfill embankment dams.
Ch-1: Introduction
Figure 1.8: Concrete dams.

Figure 1.9: Future Concrete dams.
Ch-1: Introduction
1.4 PLANNING AND DESIGN OF DAM
1.4.1 Stages
Any dam project is carried out at following stages
Initial screening based on river profile and topographic maps.
Reconnaissance plan-uses only any available data
Pre-feasibility plan-little exploration and additional field data
Feasibility plan-Extensive exploration and additional field data
Design stage: point tests/surveys to finalize design
At each succeeding stage, the plan is firmed up with more precise details, dimensions and
analysis; More data at each successive stage. The design stage ends up with drawings
appropriate for construction activities. Still further details/revision continues well during the
construction of the dam as new information is gathered or some already available information
is found to be incorrect and not valid.
1.4.2 Data Required
Large amount of data is required for planning/designing of dams (Golze P. 47-50, USBR
1949 P.5-10). These include as:
Location & vicinity map
Topographic maps/aerial photographs of dam site
Elevation surveys/triangulation +bench mark
Transportation map (road, rail, air)
Geological / rock formations data of dam site
Seismic/tectonic activity map
Climatic data (P, T, ET, wind, sunshine)
Stream flow data (daily average flows)
Sediment data
Demographic/land ownership/housing data for the reservoir area
River environment/ecology (u/s, at site, d/s) (fish, w/life, birds, flora, fauna,
vegetation)
Project water requirement
Power requirements & national grid / transmission lines
Flood data (instantaneous peak flow rates, time to peak, base time, flood duration,
flood volumes, flow hydrograph, etc) of all or major floods
Ch-1: Introduction
Water rights
River hydrographic data (bed levels, flood levels, cross section, bank/valley
levels)
Groundwater table data in the vicinity, u/s and d/s area
Public recreation need
Land evaluation
Public/Private buildings
Availability of construction materials
River stage-discharge data (u/s, tail water)
Geo-political economic data
1.4.3 The Planning/Design Team
Dam planning/design multi-task activity; various tasks are as:
1. Site selection, 2. topographic surveys, 3. water availability assessment, 4. sizing and
layout, 5. geologic surveys and construction materials investigations, 6. geologic evaluation
of foundation, rim, abutment and pond area, 7.dam section design, 8. dam seepage and
stability analysis, 9. Diversion arrangements details (diversion tunnel, coffer dam), 10. floods
and spillways, 11. hydropower works, 12. irrigation outlets and irrigation system design, 13.
Reservoir sedimentation, 14. Reservoir operation studies, 15. Material quantities and costing,
16. Environmental studies, 17. Land acquisition and replacement, etc.
Thus planning and design of dam is a multi-disciplinary task and require teamwork of
following disciplines:
1. Project Manager
2. Water resources engineer
3. Layout planner
4. Surveyors (topographic and elevation)
5. Hydrology +meteorology
6. Engineering geologist, Geophysist/Siesmologist
7. Geotechnical and Geophysical exploration specialist / Drillers
8. Geo-technical / foundation design engineers
9. Hydraulic engineer
10. Structural engineer (for structural design of outlets, spillway. Powerhouse, energy
dissipation)
11. Mechanical engineer (for design of controls, gates, valves, hoists, )
Ch-1: Introduction
12. Hydropower engineer
13. Electrical engineer
14. Infrastructure/road/municipal engineer / Civil engineer
15. Instrumentation and telecommunication engineer
16. Environmental engineer, Environmental scientists (fish, wild life, flora, fauna, etc)
17. Economists
18. Construction planner / manager
19. Quantity Surveyor / Costing engineer
20. Irrigation engineer
21. Irrigation agronomist
22. Soil expert
1.5 DAM SITE SELECTION
The purpose of a dam is to retain and store large quantities of water in a safe way.
Many considerations are analyzed. Dams can be built anywhere if you can spend enough
money. However preferred site have following characteristics which lead to lower project
costs. Thus alternate dam sites/axis location are evaluated for most cost effective choice.
1. Small river channel width with steep side gorge: short dam crest length, leads to
large storage for small dam length
2. A wide and gently sloping valley upstream of the dam site (for storage dams) and
narrow and steeply sloping valley for hydropower dams.
3. River channel and valley has very flat slopes u/s of dam site (leads to large
storage for small dam heights).
4. Deep reservoir possible require less area and lesser land costs, less surface
evaporation
5. Enough water flow/yield available to meet requirements/demand
6. High sediment load tributaries are excluded
7. Geology favorable for foundation (foundation can be designed at any site, but it
increases costs), competent hard rock is most suitable.
8. Abutments are water tight, and reservoir rim allow minimum percolation and
seepage losses.
9. Small river sediment rate (longer dam life) Depend on river morphology and
catchment characteristics. Gomal Zam has 10 times sediment load than Kurram
Tangi dam, thus large dead storage space is adopted.
Ch-1: Introduction
10. Land use of reservoir area is minimal lower economic values means lower
compensations.
11. Reservoir area not very sensitive to environment (wild life parks, endangered
species, historical places, monuments etc).
12. No seismic and tectonic activities or active faults in and near the site.
13. Socio-political stability (no unstable gestures) (Gomal-Zam, Mirani, Kurram
Tangi dams), Diamer-Basha vs Kalabagh dams.
14. Reservoir and dam area less populated
15. Site have adequate stream flow record
16. Site is easily accessible; approach road is present or can be developed easily.
17. Construction material available nearby easily
18. Site near load center (demand area) for water+power
19. No mineral resources in reservoir area (present or future)
20. Site allows a deep reservoir & small surface area (less land costs and small
evaporation losses).
21. Existing infrastructure, e.g. highway, least affected. E.g. KKH and Bhasha-
Diamere dam.
1.6 DAM COMPONENTS
Elements of a typical dam include (Figs. 1.10 and 1.11):
1.6.1 Main Dam
This is the main structure built across the river. The height of a dam depends upon
desired storage capacity and the site conditions. The crest length of he dam depend upon
topography at the dam site. The dam may be built of many different materials. The stored
water is released from the dam as per requirements.
1.6.2 Flanks/Abutment:
The rock mass on right & left banks of the river constitute abutments. Dam is joined
with and supported by the abutments. In addition outlet tunnels, diversion tunnel, spillway are
also placed in the flanks. The geology of the abutments has to be strong enough to enable
placing various structural components without any risk. In addition abutments need to be of
competent rock without any structural defects and lowest permeability
1.6.3 Saddle Dam:
The reservoir is usually formed by the main dam on one side and low/high hills on all
other sides of the reservoir. In most cases the elevation of the hills along the rim of the dam is
much higher than the reservoir maximum water level. In some other cases elevations of
surrounding hills along a part of the rim/periphery of the reservoir is not high enough over a
Ch-1: Introduction
small section to completely contain the stored water and a saddle (low level place) is formed.
Water can flow out through the saddle. A small embankment is then constructed at this
low/saddle point to seal off the reservoir rim and is called as saddle dam. Example: Sukian
dam and Jari dam for Mangla Dam project.
1.6.4 Diversion Channel/Tunnel
These channel or tunnel are constructed prior to dam construction such that river flow
is passed around and away from the dam site through the diversion tunnels and that than dam
site remain dry and accessible to construction at all time. The capacity of diversion structure
is set such that most probable floods likely to occur during the construction period can be
passed over without danger of overtopping of cofferdam and inundation of construction area.
Necessary arrangements are made at d/s end for energy dissipation. These tunnels may be
abandoned (plugged Simly dam) after project completion or converted to irrigation / power
/ desilting tunnels. Diversion tunnel may not be provided (Mirani dam) and u/s coffer dam.

Figure 1.10: Dam components (http://www.dnr.state.wi.us/ORG/WATER/WM/dsfm/dams/gallery.html)
Ch-1: Introduction

Figure 1.11: Dam layout showing main dam, saddle dam, u/s and d/s coffer dam, spillway
and stilling basin, diversion tunnel(s), power tunnel, power house and irrigation canal.
550
550
550
500
450
500
450
400 500
400
PH
450
N
S ill
Ch-1: Introduction
1.6.5 Cofferdam
These are small temporary dams built u/s and d/s of the dam site to make the
construction area dry and workable. The u/s cofferdam causes water to flow through the
diversion tunnel and the d/s cofferdam prevents backwater level to inundate the construction
area. Coffer dam may be dovetailed in u/s part of dam (Mangla) or abandoned. Material used
earth, rock, concrete etc. Arrangemnet are required for control of seepage across the coffer
dam.
1.6.6 Spillway
This is a water release/conveyance structure to pass the large flood volumes safely
across the dam without danger of overtopping of the dam crest. There would be one or more
spillways usually at different levels (Service, additional, emergency). The lower spillway is
used to release often occurring flood and regular inflows and is called as service spillway. It
has usually more elaborate arrangements and may be free flowing or gated. The auxiliary or
emergency spillway is set at or above normal conservation level and has fewer arrangements
and is usually free flowing. This is used only during flood events of extra-ordinary nature.
Fuse plug, rubber dam etc may be used to delay water release and possible additional storage
at the reservoir.
The spillway may be a integral part of the main dam (mostly for concrete dams) or be a
separate structure in the dam abutments.
1.6.7 Outlet Works
(a) Intake Structure / Tower: This is a structure to admit and control flow of water into the
irrigation/power outlets. It would be a tower or inlet flush with reservoir side walls. Gates
may be provided at u/s, intermediate or d/s end of the outlet tunnel. Necessary provision is
made to keep the intake operation for long after sedimentation by having multiple water entry
levels particularly for domestic supply purposes. Multi level inlet openings may be used.
(b) Irrigation/Power Outlet Tunnel: This is a large water conveyance structure to release
water to irrigation network and/or powerhouse turbines. The outlet is in the form of a tunnel
dug or formed through the abutment / flank for earth / rockfill dams or through the dam body
for a concrete dam. At the u/s end an intake is provided along with gates, trash rack. The
tunnel design must eliminate risk of cavitation and/or aeration. Gates may be placed at u/s,
d/s or intermediate location. The power tunnel is transitioned into surge chamber,
penstock/scroll case etc. Energy dissipation structure may be provided at d/s end, if needed.
Irrigation outlet may release into a canal or into the river if demand site is at distance from
the dam. The intake level of the tunnel is kept below or at the dead storage level. Air vent is
provided to minimize cavitation. Water cushon for vortex control are also provided.
(c) Low Level Outlet: A low outlet tunnel may be provided to flush sediments, draw water
from below dead storage level under very drought condition, emptying of reservoir in
emergencies, draw water during repair of outlet tunnel/gates, etc. The intake level is kept
much lower than the intake level main irrigation tunnel. May discharge into stilling basin for
Ch-1: Introduction
spillways/outlet works or as a separate energy dissipation structure provided. [Similar to
under sluices in a barrage.]
(d) Gates/Valves/
(e) Trash Rack, air duct for cavitation control
1.6.8 Drainage System
Dams are designed to store water with least seepage through the dam embankment
and the foundation but seepage do occur. The drainage/seepage water also causes tremendous
uplift pressure particularly at d/s half of the dam base. Features are included in the dam
design to minimize seepage through the foundation and through the dam embankment and
uplift pressure. Cutoff wall, sheet piles, slurry trench, etc.
Grout Certain: An impermeable zone is created under the dam.
Grout Blanket: Impermeable area is created u/s of dam.
Pressure relief / Drainage Wells: Wells are installed at d/s area to pick and
remove seepage water to reduce uplift pressure in the
foundation area.
Drainage gallery A horizontal/inclined gallery is formed in the body of the dam
(specially in concrete dams) where water from drainage wells
discharge into and is ultimately flow out of the dam body. It
also intercepts leaks through dam body.
Horizontal Blanket Drain: To intercept seepage lines at base of dam on d/s side.
Chimney Drain: Vertical or inclined drainage filter layer (usually d/s of the
impermeable clay core) to intercept seepage flow.
Toe Drain: A drain is provided at toe of dam (homogeneous coarse fill) to
intercept seepage flow inside the dam body.
D/S Trench: Trench provided at d/s of dam to intercept seepage flow lines.
Impermeable blanket to lengthen the seepage path and lower hydraulic
gradient and seepage rate.
1.6.8 Preliminary Works
Civil works, infrastructures, buildings required to be provided before start of
construction of main dam work. These include offices, staff housing, community buildings,
water supply, approach road, client/consultant/contractor camp, labor camp, security
arrangements, rest house, rail sidings, air strip, hele-pad, etc.
1.6.9 Hydropower Development
(a) Powerhouse: Building to house turbine, generators, mechanical workshop, valves, draft
tube, office, control room, visitor area, up transformer, etc for hydropower generation.
(b) Penstock: This is a large diameter pressure pipe used to deliver water to turbines.
Ch-1: Introduction
(c) Surge chamber. To contain water hammer surge on plant load rejection / sudden shut-
down.
(d) Switchyard: This is an area to install electrical equipment to change low to high tension
power supply for further transmission.
1.6.10 Slope protection/Riprap
Stone is placed on u/s & d/s dam slopes for protection against damage due to wave
action, rain water, burrowing animals. Parapet wall may be used to protect dam top against
sudden waves generated by strong winds, tsunami, etc.
1.6.11 Dam Instrumentation
Various gages/instruments are installed in the dam body, foundations, spillway to
monitor settlement, movement, stresses, pore water/uplift pressure, earthquake.
1.6.12 Stilling Basin
To dissipate excess energy of diversion tunnel, low level outlet, irrigation tunnel,
spillway, etc.
1.6.13 Gallery/Shafts
These are provided in the dam body for access to interior of concrete dam body.
These are horizontal, vertical (with round stair ways), sloping.
1.6.14: Operational buildings
These are buildings required for operation of the dam and works. These include
Office buildings, Rest House, Security buildings, Staff residences and other community
buildings, gate control room.
1.6.15: Temporary works:
These are installations required for temporary use and are removed after project
completion. These include contractors camp, material processing, handling and stock area,
machine room, casting yard, steel fabrication, labor camp, etc.
1.7 MERITS AND DEMERITS OF DAMS
1.7.1 Embankment Dam
a Merits (Novak P-14)
1. Suitable to type of sites in wide valleys and relatively steep sided gorges alike.
2. Adoptable to a broad range of foundation conditions-from competent rock to soft
and compressible or relatively pervious soil foundation.
3. Use of natural materials at smaller cost thus no need to import or transport large
quantities of processed materials or cement to the side.
4. Subject to the design criteria, embankment dams are extremely flexible to
accommodate different fill materials (rock, earth) if suitably zoned internally.
Ch-1: Introduction
5. Construction process highly mechanized and continuous (less human handling as
form work, curing time)
6. If properly designed, dam can safely accommodate appreciable degree of
settlement-deformation without risk of serious cracking and possible failure.
Embankment dams withstand earthquake better. However the foundation of these
dams, if deep and of unconsolidated origin, is more liable to settlement and failure
by earthquake (liquification).
b Demerits
Inherent greater susceptibility to damage or destruction due to over topping
(require adequate flood relief and separate spillway).
Vulnerable to concealed leakage and internal piping/erosion in dam or foundation.
c. limitations
Spillway outlet are separate from main dam.
1.7.2 Concrete/Masonry Dams
a Concrete Dam Merits (Novak P-17)
1. Concrete dams, except arch and cupola, are suitable to site topography of wide or
narrow valley alike, provided that a competent rock foundation is present at
moderate depths (<5 m) (arch best for narrow section)
2. Concrete dams are not sensitive to overtopping under extreme flood conditions.
3. All concrete dams can accommodate a crest spillway, if necessary, over the entire
length, provided that steps are taken to control d/s erosion and possible
undermining of the dam. Thus cost of separate spillway is avoided.
4. Outlet pipe works, valves and ancillary works are readily and safely housed in
chambers or galleries within the dam.
5. Has high inherent ability to withstand seismic disturbances.
6. Cupola dam is extremely strong and efficient structure for a narrow valley with
competent abutments.
b Demerits
1. Concrete dams require sound and stable rock foundations.
2. These require processed natural materials of suitable quality and quantity for
aggregate and importation to site and storage of bulk cement and other materials.
3. Traditional mass concrete construction is slow, labor intensive and discontinuous,
and require adequate skill for formwork, concreting etc.
4. Cost per unit of concrete dam much higher than embankment fill. Smaller
quantities seldom counter balance for dams of given height.
Ch-1: Introduction
1.8 DAM FOCUS POINTS (Novak P 10-11)
Dams have following focus points and thus differ from other major civil engineering
structures.
1. Every dam, large or small, is quite unique; foundation geology, material
characteristics, catchment yield and flood hydrology are each site specific.
2. Dams are required to function at or close to their design loadings for extended
periods.
3. Dams do not have a structural life span, components must be designed for long
life). Dams may have notional life for accounting/economic purposes, or a
functional life span dictated by the reservoir sedimentation.
4. Majority of dams are of earth fill made from a range of natural soils, and are least
consistent of construction materials.
5. Dam engineering draws together a range of disciplines to a quite unique degree
(hydrology, hydraulics, geology, geotech, structure etc).
6. FIRST PLAN: All type of dams may be constructed at the site, thus plan
alternative design until discarded due to technical, financial or environmental
reasons
7. Dam engineering is critically dependent upon the application of informed
engineering judgment.
1.9: ELEVATION-AREA-VOLUME RELATIONSHIP
Theelevation-volume-area relationship for a reservoir/dam describes the variations of
volume and surface area with elevation/height. This relationship is determined from elevation
contour map of the reservoir area. The elevation is determined by topographic survey at grid
or random locations (grid spacing varies with level of investigation from 200 m for pre-
feasibility study to 50 m or less for feasibility study). Wide contours indicate a gently sloping
flat valley area and closed spaced contours indicate steeply sloping cliff sides. Contours are
drawn at an interval of 5 to 10 ft (Fig. 1.12). Surface area is measured for each contour. The
incremental volume between two consecutive contours is determined as V =(A
1
+A
2
Vol. =
)/2 x
h {h is contour interval}. Total volume at any elevation is obtained by adding successive
incremental area as V = V. Table 1.1 below show calculations for elevation-volume-area
relationship. The reservoir surface area and volume is related as (H =Elevation datum):
H
0
dH Area and Area =dV/dH, (1.1)
The data points are plotted with volume or area on x-axis and elevation on y-axis (volume on
primary x-axis, and area on secondary x-axis) (Fig. 1.13).
Equations may be developed (usually a power function) to find elevation for a given storage
or area as
El =A (Vol)
B
+datum and El =C (Area)
D
+datum
Ch-1: Introduction
Table 1.1 : Elevation-Area-Volume Relationship for a Dam.
Map Scale:
1 inch =5000 ft
1 sq in =5000
2
=25,000,000 sq ft
1 sq in =5000
2
/ 43,560 =573.92 Acres
Selected datum (ft amsl) = 1800
Elevation Height above
datum
Map area Plan Area Incremental
volume
Total storage
capacity
(ft amsl) (ft) (sq. in) (Acres) (AF) Acre Feet ThAF
1820 20 0.00 0 0 0 0
1850 50 0.49 281 4,993 5,043 5
1900 100 1.88 1,079 34,005 39,048 39
1950 150 4.11 2,359 85,945 124,993 125
2000 200 7.17 4,115 161,846 286,838 287
2050 250 11.03 6,330 261,134 547,972 548
2100 300 15.69 9,005 383,379 931,352 931
2150 350 21.14 12,133 528,438 1,459,789 1,460

Example. For Kurram Tangi dam the elevation-storage-area relation are described as:
(volume in AF, elevation is ft amsl, and area is in acres and 1805 is datum) (Figs. 1.14 to
1.17).
El =2.6905 x (Vol)
0.3432
El =2.5821 x (Area)
+1805
0.5226
For some cases more than one equation may be needed to describe the data for different
ranges. Inverse equations may be derived to find volume or area corresponding to any
elevation, e.g. for Kurram Tangi dam elevation-area-volume dam is described as (Volume in
AF, Elevation in ft amsl, Area in acres and Datum =1805 ft amsl..
+1805
Vol.=0.05595 (Elevation - Datum)
2.913
Area =0.163 (Elevation ft - Datum)

Equation form of the elevation-area-volume relationship may be useful for various purposes,
e.g. reservoir simulations, flood routing for spillway design and diversion tunnel design.
1.9132

1.10 DAM HEIGHT
The height of any dam above the lowest level in the river channel is determined from
(i) the gross storage (live storage +dead storage) capacity of the dam, (ii) the space required
to pass maximum design flood over the spillway (called flood surcharge), (iii) the wave
height generated from extreme winds, (iv) the wave runup over the upstream sloping face due
to wind gusts and (v) the free board. The reservoir level corresponding to normal reservoir
storage is called as normal conservation level NCL and is determined from the elevation-
volume relationship of the dam. Referring to Figs 1.13, the normal conservation level is
determined as 2076.2 for gross storage capacity of 0.716 MAF. The wave height and wave
runup is determined from reservoir area, depth and prevailing wind speeds in the vicinity of
Ch-1: Introduction
the dam. Free board of 5 to 10 ft are customary depending upon the reservoir importance and
other factors.
For Gross storage =0.716 MAF (Live storage =0.55 as determined from mass curve /
reservoir operation studies, and dead storage =0.166 MAF as determined from sedimentation
analysis), the required dam height is worked as:
Minimum River bed level at dam site =1805.0 ft amsl
Normal conservation level for 0.716 MAF =2.6905x(716000)
0.3432
Maximum reservoir depth =2076.2-1805.0 =271.2 ft
+1805 =2076.2 ft amsl
Flood surcharge (from PMF routing) =6.5 ft
Wave height e.g. =3.5 ft
Wave runup e.g. =4.7 ft
Free board e.g. =10 ft
Total dam height =271.5 +6.5 +3.5 +4.7 +10.0 =295.9 ft
Dam crest level =1805.0 +295.9 =2100.90 ft (say 2101 ft amsl)
190

2100 ft
2050 ft
2000 ft
1950 ft

Kurram Tangi
Dam
2150 ft
Figure 1.12: Topographic surface contours of Kurram Tangi Dam.
Ch-1: Introduction

KURRAM TANGI DAM: Area-Elevation-Capacity-Curves
0
5
39
125
287
548
931
1,460
0.05
0.28
1.08
2.36
4.12
6.33
9.00
12.13
1800
1825
1850
1875
1900
1925
1950
1975
2000
2025
2050
2075
2100
2125
2150
2175
0 200 400 600 800 1,000 1,200 1,400 1,600
Capacity (Th.Acre-ft)
E
l
e
v
a
t
i
o
n

(
f
t
)
1800
1825
1850
1875
1900
1925
1950
1975
2000
2025
2050
2075
2100
2125
2150
2175
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
Area (Thousand Acres)
E
l
e
v
a
t
i
o
n

(
f
t
)
Reservoir Capacity
Reservoir Surface Area

Figure 1.13: Kurram Tangi Dam: Elevation-Volume-Surface Area Curves.

KTD: Elevation vs Reservoir Surface Area Curve
52
281
1,079
2,359
4,115
6,330
9,005
12,133
y =2.582141x
0.522649
R
2
=0.999916
0
25
50
75
100
125
150
175
200
225
250
275
300
325
350
375
0 1,000 2,000 3,000 4,000 5,000 6,000 7,000 8,000 9,000 10,000 11,000 12,000 13,000 14,000
Surface Area (Acres)
E
l
e
v
a
t
i
o
n

F
t

+

1
8
0
0
Figure 1.14: Elevation-Surface Area curve fit to data.
Ch-1: Introduction
KTD: Elevat ion vs Reser voir Capacit y Cur ve
20
50
100
150
200
250
300
350
0
20
40
60
80
100
120
140
160
180
200
220
240
260
280
300
320
340
360
380
0 200 400 600 800 1,000 1,200 1,400 1,600
Volume (ThAF)
E
l
e
v
a
t
i
o
n

F
t

+
1
8
0
0
Figure 1.15: Kurram Tangi Dam: Elevation-volume curve fit to data.

Figure 1.16: Kurram Tangi Dam. Surface area vs. elevation curve.
KTD Elevation vs Area Curve
52
281
1,079
2,359
4,115
6,330
9,005
12,133
y =0.162962x
1.913170
R
2
=0.999916
-
1,000
2,000
3,000
4,000
5,000
6,000
7,000
8,000
9,000
10,000
11,000
12,000
13,000
0 20 40 60 80 100 120 140 160 180 200 220 240 260 280 300 320 340 360 380
Elevation (1800 +ft)
S
u
r
f
a
c
e

A
r
e
a

(
A
c
r
e
s
)
Ch-1: Introduction
KTD Elevation vs Capacity Curve
0 5
39
125
287
548
931
1,460
0
200
400
600
800
1,000
1,200
1,400
1,600
0 20 40 60 80 100 120 140 160 180 200 220 240 260 280 300 320 340 360 380
Elevation (1800+ft)
V
o
l
u
m
e

(
T
h
A
F
)
Figure 1.17: Kurram Tangi Dam: Volume vs. elevation curve.

1.11 DAM LAYOUT
Dam embankment
Once the site of a dam is selected, the layout of dam embankment is carried out. The
outline of dam is done on a contour map of potential dam location. Following steps are taken
(Fig. 1.18).
Data: Let dam crest level =2100 ft, u/s face slope =1:3.5, d/s face slope =1:3.0; contour
interval =50 ft, river bed level =1805 ft
Earthfill-Rockfill dam:
Crest:
1. Locate the centerline of dam crest by connecting two points on 2100 ft contour line
along right and left abutments such that the dam has smallest crest length. The
geologic makeup of the foundations and abutments is also considered. Measure the
crest length.
2. Mark the crest width (e.g. 30 ft) parallel to the selected centerline.
3. Mark chainage along the dam crest with 0+00 at one of abutments, e.g. right
abutment. Determine the dam crest length.
Ch-1: Introduction
U/s face:
4. Determine the horizontal distance corresponding to 50 ft vertical height for u/s face (
=50 x 3.5 =175 ft). [3.5 :1 is slope of u/s face]
5. Mark a line A-A on u/s face parallel to crest edge spaced 175 ft apart between 2
nd
6. Mark lines B-B, C-C, D-D, E-E 175 ft apart between other contour lines of 2000,
1950, 1900, 1850 ft, respectively.

contour line of 2050 ft.
7. Mark location of point F of lowest elevation in the river channel.
8. Connect points A-B-C-D-E-F-E-D-C-B-A with a smooth line and connect the
outline with crest edge on u/s face. This defines the dam outline along u/s sloping
face.
D/s face:
9. Determine the horizontal distance corresponding to 50 ft vertical height for d/s face (=
50 x 3.0 =150 ft). [3:1 is slope of d/s face]
10. Mark a line G-G on d/s face parallel to crest edge spaced 150 ft apart between 2
nd
11. Mark lines H-H, I-I, J-J, K-K 150 ft apart between other contour lines of 2000,
1950, 1900, 1850 ft, respectively.

contour line of 2050 ft.
12. Locate point L of lowest elevation in river channel on d/s side.
13. Connect points G-H-I-J-K-L-K-J -I-H-G with smooth line and connect this with
crest edge on d/s side. This defines the dam outline along d/s sloping face.
Crest length, Longitudinal Section and Cross section
14. Draw longitudinal section (L-section) along centerline of dam crest. This will provide
valley profile between the river left and right abutments (Fig. 1.19).
15. Draw dam cross section at maximum depth (section F-L at Ch 7+45 in Fig. 1.19), and
also at other chainage, e.g. at every 200 ft apart (Fig. 1.19).
The layout of concrete gravity dam is similar to earthfill dams with the exception that
u/s and d/s face slopes are very small (u/s ~1H:10V, d/s ~0.7H:1V)
Concrete gravity dam:
Dam appurtenants
The layout of dam appurtenants (spillway, outlet, diversion tunnel, power house, etc)
are determined such that space requirements of all dam components is adequately met. Many
trial may be needed to finalize the layout of dam embankment and dam appurtenants.
Figs 1.20 to 1.23 describe the alternate layouts for Kurram Tangi dam for dam
embankment and dam appurtenants. Figs 1.24 to 1.29 show layout of major dams in Pakistan.
Ch-1: Introduction

Figure 1.18: Topographic surface contours at a dam and layout of dam outline.
2
0
5
0

2
0
0
0

1
9
5
0
1
9
0
0

1
8
5
0

2
1
0
0

2
1
0
0

2
0
5
0

2
0
0
0

1
9
5
0

1
9
0
0

1
8
5
0

Dam Crest;
El =2100 ft

R
I
V
E
R

DOWNSTREAM
SLOPING FACE
UPSTREAM
SLOPING FACE
AA
AB
AC
AD
AE
AA
AB
AC
AD
AE
AG
AH
AI
AG
AH
AI
AJ
AJ
AK AK
AL
AF
SLOPE: u/s =3.5H:1V; d/s =3.0H:1V; SCALE =1:5000.

2+00 4+00 6+00
8+00 10+00 12+00 14+00
Crest
length =
1650 ft
175 ft
175 ft
175 ft
175 ft
175 ft
30 ft
150 ft
150 ft
150 ft
150 ft
150 ft
Ch-1: Introduction
Dam Crest; El =2100 Ft, Length =1650 ft
Chainage (ft)
2
+
0
0

4
+
0
0

6
+
0
0

8
+
0
0

1
0
+
0
0

1
2
+
0
0

1
4
+
0
0

0
+
0
0

1
6
+
0
0

1800
1900
2000
2100
E
l
e
v
a
t
i
o
n

(
f
t
)

(a) Longitudinal section
Dam crest: El =2100 ft, width =30 ft
Normal conservation level =2081.6 ft
U/s slope =
1V:3.5H
D/s slope =
1V:3.0H
River level =1805 ft
885 ft
1032 ft
(b): Dam maximum cross section at F-L Ch 7+45 ft.
295 ft
1947 ft
Dam crest: El =2100 ft
675 ft
787 ft
(c): Dam X-section at Ch 4+00 ft.
225 ft
1492 ft
Valley El =1875-1950 ft
225 ft
El =1875 ft El =1875 ft
765 ft
578 ft
(d): Dam X-section at Ch 12+00 ft.
255 ft
1373 ft
El =1845
El =1935 ft
165 ft
420 ft
368 ft
(e): Dam X-section at Ch 14+00 ft.
140 ft
818 ft
El =1960 ft
El =1995 ft
105 ft
Figure 1.19: Longitudinal and cross section of dam of Fig. 1.18. Scale:

Ch-1: Introduction

Figure 1.20: Contour map of dam area of Kurram Tangi Dam.
Ch-1: Introduction

Figure 1.21: Dam embankment layout of Kurram Tangi Dam.
Ch-1: Introduction

Figure 1.22: Layout plan of concrete face rockfill dam (CFRD) embankment and
appurtenances for Kurram Tangi Dam.
Ch-1: Introduction

Figure 1.23: Layout plan of concrete gravity dam embankment and appurtenances for
Kurram Tangi Dam.
Ch-1: Introduction

1.12 DAM ENVIRONMENTAL IMPACTS
Construction of dams significantly alters the river flow regime. The flow in flood
season is considerably reduced while the flow in other months is increased. The changed flow
pattern affects the ecology and echo system of the river d/s reaches. The dam construction
affects the migration of cold-water fish for their annual spawning voyage to u/s cold-water
regions. However the dam reservoir provide an excellent place for supervised fish
development. The river may have cropped area which is seasonally flooded by the river flood
flows (sailaba area). Construction of dam may lower the flood flows thus the sailaba area
need to be irrigated by alternative means. Affected area adjacent to the dam may be provided
supplemental canal or tubewell irrigation facilities. Waterlogging and high watertable may
appear in some places above or below the dam site.
The sediment carried by the flood water get trapped in the dam and thus a small amount
of sediments enters the d/s reach of the rivers. The imbalance in the sediment flow combined
with educed flood flows causes a aggradations of the river bed. This slowly lead to raising of
the flood levels in the affected river reach requiring a constant raising of flood dikes and
spurs. The sediment reduction due to dams lead to erosion/degradation of the river delta at the
entrance to the ocean. Thus erosion of coastal areas is negatively affected by the construction
of dams.
It is required that environmental impacts of dam may be evaluated independently and
necessary mitigation measures may be taken to mitigate and minimize the adverse
environmental impacts.
1.13 RESETTLEMENT
The construction of dam requires large land area to be occupied by dam embankment,
spillway channel, outlet canals, hydropower plant, offices, approach roads, housing facilities,
etc. In addition the reservoir occupies very large surface area in many square kilometers. The
area to be occupied by a dam and reservoir has to be possessed before the construction of the
dam. The affected area may be under mix of private and public ownership. The area may be
partly or wholly used for various productive purposes as cropping, grazing, rock quarrying,
public entertainment, parks, residential, commercial or industrial purposes, etc. Most of dam
sites are usually remote to present urban and industrial centers; thus a significant part of the
affected area may be barren and unproductive.
Construction of dam will deprive the current occupants of the area from productive
benefits. Nevertheless some inhabitants occupying the river banks and nearby villages will be
needed to be moved out of the area and resettled. The affected persons will not only loose
their residential houses but most often their means of livelihood (agriculture, small to
medium business etc.) In addition the dam and reservoir may inundate some places of social-
religion nature. Some transportation corridors (rail lines, highway, and other roads) may get
submerged. Thus dam project must include a plan to resettle the affected persons to new
Ch-1: Introduction
places, restoring their economic livelihood, etc which is socio-politically acceptable to the
affected population groups. The affected persons may be provided compensation in the form
of cash, kind (equivalent housing and business units in some nearby areas). It is also
important to ensure the social and cultural harmony and adjustment of the people moving to
new locations.
The transportation corridors have to be moved to new locations above and away from
the dam and reservoirs. The religious and social/cultural monuments and places must be
planned to be protected by flood dikes, by moving to higher and safer levels, etc. Else the
affected persons will react very strongly to the dam project, jeopardizing the whole project.
Monuments of lesser importance may not be protected due to the large numbers. Various
socio-cultural-political groups must be approached, contacted and satisfied to come with
suitable resettlement plans, which is acceptable to both the affected persons and the dam
owners.

Fig. Dam failure.

Ch-1: Introduction

Figure 1.24: Layout and cross section of Mangla Dam.
Ch-1: Introduction
Figure 1.25: Layout plan and cross section of Tarbella Dam.

Ch-1: Introduction
Figure 1.26: Layout plan and cross section of Hub Dam.

Ch-1: Introduction
Figure 1.27: Layout plan and cross section of Khanpur Dam.
Ch-1: Introduction
Figure 1.28: Layout plan and cross section of Simly Dam.

Ch-1: Introduction
Figure 1.29: Layout plan and cross section of Bolan Dam.

References:
To be completed.
Chapter-2 Dam Hydrology and Sedimentation
Chapter - 2
DAM HYDROLOGY AND SEDIMENTATION
2.1 PURPOSES
Hydrologic analysis is very important study for any dam and reservoir project.
Hydrological study is required to establish:
i. Water availability/yield (average, dependable, probable etc); flow duration curve
(FDC) for run-of-the-river hydropower projects
ii. Water demand (in coordination with irrigation team)
iii. To determine storage volume required to meet the demand (live, dead, gross)
iv. Flood analysis for purposes of river diversion
v. Capacity of diversion tunnels and height of coffer dam (with hydraulic team)
vi. PMP/PMF/ Project design flood
vii. Flood surcharge for spillway design flood vis--vis spillway capacity (with
hydraulic team)
viii. Wave height/wave run up (+ hydraulic team)
ix. Reservoir Sedimentation
x. Reservoir operation study /reservoir simulations
xi. Reservoir rule curves
2.2 TERMINOLOGY (Punmia p-219)
Water yield. This is the amount of water that can be supplied from the reservoir in a specific
interval of time (usually one year).
Safe/firm yield. The maximum of water that can be guaranteed during a critical dry period.
Secondary yield. Quantity available in excess of safe yield during periods of wet years / high
floods.
Average yield. Arithmetic average of firm + secondary yield over a long period of time.
Dependable yield. Yield that can be guaranteed with certain probability p (e.g. irrigation-
75%, hydropower -90%, water supply 100%). Thus the design demand flows
will be met and fully satisfied for p% of the years.

Figure 2.1: Hydrological cycle and reservoirs.
(Source: http://www.dnr.state.wi.us/ORG/WATER/WM/dsfm/dams/gallery.html)
2.3 ASSESSMENT OF WATER YIELD/AVAILABILITY
Water flows in the rivers are generated from hydrologic cycle (Fig. 2.1) and the
rainfall/ snowfall in the river catchment area. Assessment of water yield/availability for a
dam is carried on the basis of long term flow record at the site of the dam; longer the record,
better the results (Mutreja p:794). If actual record of the flow is not available for a
sufficiently long time, then flow record may be synthesized. Probabilistic analysis is carried
out to determine the dependable yield. For storage dams the flow volumes over short time
periods (10-day, month) are important whereas for a run-of-the river hydropower project
instantaneous discharges are important.
2.3.1 Flow Data
Assessment of water yield/water availability is based on accurate stream flow data at
the dam site of a long period. Records of historic flow data are rarely available of sufficient
time period. In some cases as for small dams flow record may not be available at all. For
other cases the flow record may be available for the dam for short durations. In yet other
cases flow record may be available for long duration but for a location that is u/s or d/s of the
dam site. If data of adequate length/quality is not available at the dam site, then the flow data
at dam site may be extended/ synthesized by known hydrologic/ statistical procedures. The
accuracy of the measured flow data is also important. Whenever possible the accuracy of the
measured flow data must be checked for symmetric/non symmetric errors, measurement
errors and stationarity/homogeneity/trend in the data. The dam may be used to store the flows
of the river over which dam is constructed or else flows of other rivers may be diverted to the
dam site for supplementing the storage. For an off-channel storage dam all river flows may
not be diverted to the dam due to limited diversion feeder channel capacity.
The length of flow record is preferably 100+ years. For most dam sites minimum flow
data of 20 to 30 years is needed to undertake meaningful hydrological analysis. Following
methods may be used to determine the river flows in order of preference
1- Historic stream flow is data available at the dam site for sufficient long period:
Data of measured flows (hourly, average daily record as cfs or m
3
2- Flow data at dam site (Q
/s) are available for
long time. Use the data directly to determine river yield.
d
) is available for short period but flow data of same
river at a u/s or d/s distant location (Q
L
Develop correlation between flow at the two sites Q
) is available for long period.
d
= F(Q
L
3- Historic flow record is available on the same river for long time period but for a
location at some distance u/s or d/s from the dam site (Q
).and then extend flow
record for dam site using the flow record of the u/s or d/s site and the derived
correlation.
S
A suitable catchment yield/runoff model or snow melt relationship is derived from Qs
and P record. The flow from the area intervening the measurement and dam site is
synthesized from the derived yield/runoff model for the intervening area, Q
). There is no
measurement record for the dam site. Historic rainfall (P) record is also
available for the catchment area.
I
=
F(A
I
,P
I
) The flow at dam site is determined from the flow record of the distant site
and the synthesized flow of the intervening area as: Q
d
= Q
S
Q
I
. The relationship
should preferably be verified from available record, if any. This procedure was used
for Kurram Tangi Dam.
4 Short flow data at dam site and long rainfall data for the catchment area.
Develop P-Q relationship of the catchment area using the data for the period of flow
record. Extend the flow record for other period using the derived P-Q relationship and
the historic P data for the remaining period. This is done for monthly or annual basis.
In some cases rainfall record for dam catchment area is available for short time only
but long time rainfall record is available at a nearby site. Then correlate the rainfall
for the two sites on the basis of short time concurrent data and then use the rainfall
data of the nearby site to synthesis rainfall record for the dam site on the basis of
correlation. This method was used for generating long term flow synthesis for Mirani
Dam (NESPAK 1992).
5- Short flow record at dam site but a long flow record at a nearby river (Q
N
Develop a correlation between flow at the two sites for the period of overlapping
record as Q
)
having similar hydrologic conditions (rainfall, catchment hydrologic
characteristics, etc).
d
= F(Q
N
6. No flow data for the dam site river but satisfactory flow record for a nearby
basin (Q
). Then extend flow record for the dam site using the flow record
of the second river site and the derived correlation.
B
Develop P-Q relationship for the site having rainfall and flow record as Q
) of similar or different hydrologic characteristics in the region.
Precipitation data is available for the two sites/basins.
B
=
F(A
B
,P
B
). Due to similarity of hydrologic conditions in the two areas, the runoff
generation is expected to be similar. Thus use the derived P-Q relation using the
rainfall record for the dam site as Q
d
= F(A
d
,P
d
7 No flow record at dam site or nearby location. Rainfall data available at dam site
or a nearby location:
). In case the hydrologic conditions are
not same, then the underlying factors F in P-Q relationship may be modified in
consideration of hydrology characteristics of the two basins and the rainfall to account
for differing hydrologic conditions at the dam site. Small Dam
Determine flow at dam site using local or regional P-Q models as Q= F(P) to convert
monthly rainfall data to flow data. e.g. for small dam Jammergal Dam average
monthly flows Q (mm) were determined by Small Dams Organization (SDO, 1992)
using average monthly rainfall P (mm) for a nearby station (Jhelum city 20 miles from
dam site) as Q = 0.045 (P 20)
0.35
. A subsequent study based on the measured flow
and rainfall data at the dam site for the period 1991-1999 (Tariq 2000 and Tariq 2004)
showed that the regional model could produce better results if site-specific rainfall
data is used and using the same model or a modified models as Q = 0.046 (P - 10)
0.35
.
The rainfall- monthly runoff (Q, mm) at Gandiali dam was found from monthly
rainfall (P, mm) as Q = 0.00815 P + 0.001938 P
2
2.3.2 Stochastic Data Generation from Short Data:
on the basis of 1961-79 data, and the
long term monthly flow data was synthesized by the equation (Nespak 1988).
Stochastic principle may be used to generate long time data on the basis of short-term
data statistics (mean, variance, skewness, kurtosis). Various models used to extend data
include Auto-correlation (AR) models, Moving Average (MA) models, ARMA model,
ARIMA models, Seasonal/non-seasonal flow models (e.g. Thomas-Fierring). The generated
data have the same statistical properties as the original short term data. Seasonal models will
provide monthly flows, and Non-seasonal models will provide annual flows.
2.3.3 Flows Diverted From Other River
For a dam built on the active river (on channel), all river flows (small or large flows,
base flow, flood flow) will enter into the dam and hence is fully available for storage and
usage. Thus 10-d, monthly, yearly average flows volumes are meaningful.
When canals/feeder channels carry water from a river to an off-channel storage dam,
or from another river to the nearby dam, the amount of diverted water depends on the
feeder/canal capacity as well as on the instantaneous river flows. Then Q
diversion
equals
minimum of Q
river
, and Q
canal capacity
For Kaitu river the total flow in 1985 at Spinwam is 208 ThAF out of which 65 ThAF
is reserved for local and d/s uses and 143 ThAF is available for diversion. But only 122 ThAF
could be diverted to KT dam for a diversion channel of 1500 cfs capacity (1500 cfs = 1086
ThAF/annum) due to capacity limit of the diversion channel and/or river flow.
(Fig. 2.2). The diversion flow data is required on
continuous basis or with very short measurement interval e.g. 1 hour, particularly if discharge
variations in the feeder river are very rapid. Using average daily flow data will result in an
over estimate. Diverted flow statistics are subsequently determined.
Kaitu River Flows 1985
0
200
400
600
800
1000
1200
1400
1600
1800
2000
1
-
J
u
n
8
-
J
u
n
1
5
-
J
u
n
2
2
-
J
u
n
2
9
-
J
u
n
6
-
J
u
l
1
3
-
J
u
l
2
0
-
J
u
l
2
7
-
J
u
l
3
-
A
u
g
1
0
-
A
u
g
1
7
-
A
u
g
2
4
-
A
u
g
3
1
-
A
u
g
7
-
S
e
p
1
4
-
S
e
p
2
1
-
S
e
p
2
8
-
S
e
p
F
l
o
w

(
C
f
s
)
Total Flow available for
diversion
Actual diversion
Figure 2.2: Flow diversion from Kaitu River to KT dam.
2.3.4 Data Processing
Average flows for Storage Reservoir
Data is processed to determine river inflow volumes on 10-daily, monthly, and annual
basis. Determine average, standard deviations, skewness, minimum, and maximum flows on
10-daily, monthly and yearly basis, average annual flow, average monthly flow, etc (Table
2.1, Figs. 2.3 to 2.5).
Flow duration curve for hydropower projects
The flows for the run-of-the-river hydropower projects are shown in the form of flow
duration curve (FDC) which describes the exceedence probability for selected flow discharge.
The number of days (N
i
) when flow exceeded selected flow (Q
i
) is determined for each year
of record; this can be done by using spreadsheet function as: N
i
= COUNTIF(Range of data
cells,">Q
i
"). This is repeated for all discharge ranges with discharge increment of Q. The
percent exceedence is given as: P(QQ
i
) (%) = N
i
/N
i

100. A curve is drawn between Q (on
y-axis) and P(on x-axis). This procedure is explained in Tables 2.2 and 2.3 and the resulting
flow duration curve is shown in Fig. 2.6.

Table 2.1: Flows into Kurram Tangi Dam (Thousand acre feet).
Year Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Total
1971 29 22 17 31 25 35 93 89 25 18 21 36 441
1972 22 22 48 112 168 74 72 66 62 28 29 46 748
1973 39 40 84 125 83 41 274 127 59 49 27 32 979
1974 34 31 33 55 130 29 104 88 51 28 21 34 638
1975 32 30 50 83 102 80 50 166 96 29 26 38 781
1976 36 41 56 135 110 47 67 96 55 52 29 41 765
1977 37 30 24 93 56 30 98 55 35 37 28 36 559
1978 31 26 178 80 52 50 74 148 32 40 39 35 786
1979 34 50 85 136 111 55 85 205 57 53 41 42 955
1980 42 59 124 99 57 142 98 74 51 57 41 52 897
1981 73 43 145 145 131 56 134 91 56 52 41 48 1017
1982 73 43 134 139 135 57 127 89 56 52 41 47 993
1983 48 36 100 273 300 105 76 170 84 60 47 53 1350
1984 51 44 50 70 39 38 151 137 94 40 44 49 808
1985 49 35 34 91 26 26 54 92 34 35 25 40 541
1986 40 32 56 87 92 49 86 123 35 37 28 49 715
1987 40 30 153 74 132 68 84 52 46 41 27 34 781
1988 34 29 108 89 49 59 94 129 60 32 22 45 749
1989 42 24 63 91 70 43 97 96 36 34 23 34 654
1990 36 36 95 145 101 62 156 120 56 45 37 37 927
1991 44 45 107 206 259 115 120 111 74 50 40 47 1219
1992 50 54 83 216 246 140 117 142 85 59 47 55 1295
1993 54 40 153 152 122 91 149 81 76 53 39 46 1056
1994 48 51 73 103 88 36 122 63 68 67 41 52 813
1995 51 35 79 189 127 59 85 74 42 57 31 44 874
1996 45 40 71 70 110 147 83 129 39 69 29 33 865
1997 34 30 50 161 180 125 55 65 30 87 48 47 910
1998 52 86 215 265 160 60 97 94 111 64 40 48 1294
1999 64 82 60 33 30 17 71 100 58 39 36 33 621
2000 41 36 32 22 24 40 30 41 42 24 14 26 370
2001 27 17 30 38 17 56 81 61 40 15 13 18 414
Average 43 39 84 116 107 66 99 102 56 45 33 41 833
st dev 12 15 49 64 70 36 44 39 21 16 10 9 250
Kurram Tangi Dam: Average Annual Synthesised Inflow (Th.AF)
4
4
1
7
4
8
9
7
9
6
3
8
7
8
1
7
6
5
5
5
9
7
8
6
9
5
5
8
9
7
1
0
1
7
9
9
3
1
3
5
0
8
0
8
5
4
1
7
1
57
8
1
7
4
9
6
5
4
9
2
7
1
2
1
9
1
2
9
5
1
0
5
6
8
1
38
7
4
8
6
5
9
1
0
1
2
9
4
6
2
1
3
7
0
4
1
4
8
3
3
0
100
200
300
400
500
600
700
800
900
1000
1100
1200
1300
1400
1
9
7
1
1
9
7
3
1
9
7
5
1
9
7
7
1
9
7
9
1
9
8
1
1
9
8
3
1
9
8
5
1
9
8
7
1
9
8
9
1
9
9
1
1
9
9
3
1
9
9
5
1
9
9
7
1
9
9
9
2
0
0
1
A
n
n
u
a
l

i
n
f
l
o
w

(
T
h
.
A
F
)
Average
Flows

Figure 2.3: Annual inflows into Kurram Tangi Dam.
Kurram Tangi Dam: Average Monthly Synthesised Inflow (Th.AF)
43
39
84
116
107
66
99
102
56
45
33
41
0
10
20
30
40
50
60
70
80
90
100
110
120
J
a
n
F
e
b
M
a
r
A
p
r
M
a
y
J
u
n
J
u
l
A
u
g
S
e
p
O
c
t
N
o
v
D
e
c
A
v
e
r
a
g
e

M
o
n
t
h
l
y

i
n
f
l
o
w

(
T
h
.
A
F
)

Figure 2.4: Average monthly inflows to Kurram Tangi Dam (1971-2001).
Kurram Tangi Dam: 1971-2001 10-daily Synthesised Inflow (Th. AF)
0
20
40
60
80
100
120
140
J
a
n

0
1
-
1
0
,

7
1
J
a
n

0
1
-
1
0
,

7
3
J
a
n

0
1
-
1
0
,

7
5
J
a
n

0
1
-
1
0
,

7
7
J
a
n

0
1
-
1
0
,

7
9
J
a
n

0
1
-
1
0
,

8
1
J
a
n

0
1
-
1
0
,

8
3
J
a
n

0
1
-
1
0
,

8
5
J
a
n

0
1
-
1
0
,

8
7
J
a
n

0
1
-
1
0
,

8
9
J
a
n

0
1
-
1
0
,

9
1
J
a
n

0
1
-
1
0
,

9
3
J
a
n

0
1
-
1
0
,

9
5
J
a
n

0
1
-
1
0
,

9
7
J
a
n

0
1
-
1
0
,

9
9
J
a
n

0
1
-
1
0
,

0
1
Month,10-Day period and Year
1
0
-
d
a
y

K
T
D

i
n
f
l
o
w

(
T
h
.
A
F
)

Figure 2.5: Historic 10-day inflows to Kurram Tangi Dam site.

Golen Gol Hydro Power Project
Flow Duration Curve (1993-2006)
0
5
10
15
20
25
30
35
40
45
50
55
60
65
70
75
80
85
90
95
100
0 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
Exceedence Time (%)
D
i
s
c
h
a
r
g
e

(
m
3
/
s
e
c
)
Av 93-06
1993
1995
2004

Figure 2.6: Flow duration curve for Golen Gol Hydropower Project.

Table 2.2: Flow duration analysis: Golen Gol River 1995.
GOLEN GOL: Historic daily discharge (m
3 Flow duration
analysis
/s) for 1995
Day J an. Feb. Mar. Apr. May J un. J ul. Aug. Sep. Oct. Nov. Dec.
Q
m
3
No. /s
%
Exced
1 5.6 6.0 5.0 4.6 5.6 11.4 46.4 58.7 46.5 23.4 15.1 5.8 4.56 365 100
2 5.7 6.0 5.1 4.6 6.1 13.2 48.6 54.9 45.5 23.1 13.8 5.9 5 332 91
3 5.9 5.9 5.2 4.7 6.3 12.8 49.4 58.0 43.0 22.8 12.5 6.0 10 180 49
4 6.1 5.8 5.2 4.7 6.5 12.0 49.3 59.7 43.1 22.5 11.3 6.0 15 150 41
5 6.2 5.8 5.4 4.7 6.7 13.1 50.9 57.4 42.5 22.0 10.4 6.1 20 128 35
6 6.3 5.7 5.4 4.8 7.1 16.9 56.1 60.6 41.7 21.3 9.4 6.2 25 112 31
7 6.5 5.6 5.5 4.8 7.6 19.5 61.7 60.8 41.7 21.1 8.5 6.2 30 103 28
8 6.5 5.6 5.5 4.9 8.1 23.6 59.9 58.8 39.5 20.7 8.3 6.1 35 96 26
9 6.4 5.5 5.4 4.9 8.6 30.1 59.3 55.9 38.8 20.6 8.2 6.0 40 89 24
10 6.4 5.5 5.3 5.0 9.8 33.2 61.8 56.3 37.6 20.5 8.0 6.1 45 67 18
11 6.3 5.4 5.3 5.0 10.6 38.7 63.6 56.7 37.1 20.3 7.9 6.1 50 55 15
12 6.3 5.4 5.1 5.0 11.8 41.9 63.1 59.7 36.2 20.0 7.8 6.0 55 47 13
13 6.3 5.4 5.0 5.0 13.1 43.7 61.1 61.9 35.6 19.8 7.5 6.0 60 26 7
14 6.2 5.3 5.0 5.0 13.0 42.7 59.9 61.2 34.0 19.6 7.3 5.9 65 5 1
15 6.2 5.3 4.8 5.1 13.2 42.9 60.9 61.0 33.2 19.5 7.2 5.9 70 4 1
16 6.2 5.3 4.9 5.0 13.6 44.0 61.4 58.5 32.6 19.7 7.1 5.9 75 3 1
17 6.3 5.3 4.8 5.1 13.9 46.0 59.3 57.6 31.7 19.4 6.9 5.9 80 3 1
18 6.2 5.4 4.8 5.1 13.1 45.9 60.6 57.7 30.6 19.5 6.8 5.9 85 3 1
19 6.2 5.4 4.7 5.1 12.4 43.1 61.3 57.9 29.4 19.3 6.6 5.8 90 3 1
20 6.2 5.3 4.7 5.1 12.2 43.2 61.6 58.7 28.0 19.0 6.5 5.8 95 1 0
21 6.3 5.4 4.7 5.2 12.1 43.6 62.5 55.2 27.0 18.9 6.5 5.8 100 0 0
22 6.3 5.4 4.7 5.4 12.0 41.9 62.5 53.7 26.6 18.8 6.5 5.7
23 6.2 5.3 4.7 5.4 11.7 42.5 65.2 52.7 26.2 18.7 6.3 5.7

24 6.3 5.3 4.7 5.4 11.8 42.5 92.6 51.2 25.9 18.6 6.3 5.7
25 6.2 5.2 4.7 5.4 11.9 42.8 96.8 53.6 25.5 18.4 6.2 5.7

26 6.3 5.1 4.8 5.6 11.6 44.6 93.8 52.1 25.4 18.3 6.1 5.7
27 6.3 5.0 4.7 5.7 11.4 44.2 72.8 55.1 25.2 17.9 6.0 5.7

28 6.3 5.0 4.7 5.7 11.3 43.8 62.1 53.0 24.6 17.4 6.0 5.7
29 6.2 4.6 5.7 11.2 43.0 63.0 49.6 24.4 17.0 5.9 5.6
30 6.2 4.6 5.5 11.3 42.8 62.9 47.2 24.1 16.8 5.8 5.6

31 6.2 4.6 11.2 45.6 62.6 45.1 16.5 5.56.
Av-1 6.2
st
5.7 5.3 4.8 7.2 18.6 54.4 58.1 42.0 21.8 10.5 6.0
Av 2 6.2
nd
5.4 4.9 5.0 12.7 43.2 61.3 59.1 32.8 19.6 7.2 5.9
Av 3 6.2
rd
5.2 4.7 5.5 11.6 43.4 72.4 51.7 25.5 17.9 6.2 5.7
Av mnth 6.2 5.4 5.0 5.1 10.5 35.3 63.0 56.1 33.4 19.7 8.0 5.9

Table 2.3: Result of flow duration analysis: Golen Gol River 1993-2005.
Flow 1993 1994 1995 1996 1997 1998 1999
m
3
No /s % No % No % No % No % No % No %
0 364 100 365 100 365 100 365 100 365 100 365 100 365 100
5 331 91 365 100 332 91 364 100 365 100 334 92 365 100
10 223 61 159 44 180 49 188 52 187 51 224 61 250 68
15 156 43 122 33 150 41 129 35 132 36 149 41 139 38
20 130 36 112 31 128 35 109 30 116 32 93 25 117 32
25 96 26 83 23 112 31 86 24 85 23 68 19 105 29
30 86 24 79 22 103 28 76 21 61 17 23 6 92 25
35 64 18 72 20 96 26 63 17 54 15 9 2 69 19
40 45 12 68 19 89 24 46 13 27 7 1 0 7 2
45 32 9 48 13 67 18 25 7 14 4 0 0 0 0
50 15 4 43 12 55 15 3 1 7 2 0 0 0 0
55 2 1 30 8 47 13 0 0 2 1 0 0 0 0
60 0 0 15 4 26 7 0 0 2 1 0 0 0 0
65 0 0 5 1 5 1 0 0 2 1 0 0 0 0
70 0 0 4 1 4 1 0 0 2 1 0 0 0 0
75 0 0 2 1 3 1 0 0 2 1 0 0 0 0
80 0 0 1 0 3 1 0 0 2 1 0 0 0 0
85 0 0 1 0 3 1 0 0 1 0 0 0 0 0
90 0 0 1 0 3 1 0 0 0 0 0 0 0 0
95 0 0 1 0 1 0 0 0 0 0 0 0 0 0
100 0 0 0 0 0 0 0 0 0 0 0 0 0 0
Flow 2000 2001 2002 2003 2004 2005 Total
m
3
No /s % No % No % No % No % No % No %
0 366 100 365 100 365 100 364 100 365 100 365 100 4744 100
5 366 100 365 100 365 100 298 82 363 99 361 99 4574 96
10 161 44 190 52 167 46 155 43 161 44 228 62 2473 52
15 115 31 72 20 107 29 105 29 101 28 128 35 1605 34
20 69 19 7 2 53 15 80 22 56 15 98 27 1168 25
25 3 1 1 0 19 5 55 15 16 4 74 20 803 17
30 0 0 0 0 11 3 31 9 0 0 57 16 619 13
35 0 0 0 0 1 0 0 0 0 0 48 13 476 10
40 0 0 0 0 0 0 0 0 0 0 38 10 321 7
45 0 0 0 0 0 0 0 0 0 0 16 4 202 4
50 0 0 0 0 0 0 0 0 0 0 8 2 131 3
55 0 0 0 0 0 0 0 0 0 0 3 1 84 2
60 0 0 0 0 0 0 0 0 0 0 2 1 45 1
65 0 0 0 0 0 0 0 0 0 0 1 0 13 0
70 0 0 0 0 0 0 0 0 0 0 0 0 10 0
75 0 0 0 0 0 0 0 0 0 0 0 0 7 0
80 0 0 0 0 0 0 0 0 0 0 0 0 6 0
85 0 0 0 0 0 0 0 0 0 0 0 0 5 0
90 0 0 0 0 0 0 0 0 0 0 0 0 4 0
95 0 0 0 0 0 0 0 0 0 0 0 0 2 0
100 0 0 0 0 0 0 0 0 0 0 0 0 0 0

2.3.5 Dependable Yield
Most often the water requirements for agriculture and other purposes are very
enormous and all river flows could be used for economic gains. However it is needed that
scale of demand be selected such that the projected or design demand must be met adequately
in most years. Else the scale of infrastructure development will remain underutilized for large
proportion of time. The annual dependable yield is determined from the historic or
synthesized data on annual/ seasonal basis. Since actual flows of river can vary considerably
over the days and may not be utilized without a storage dam of suitable capacity. The
dependable yield sets the maximum usable potential of water from the river system. Thus the
project demand is tailored to match the dependable yield. Following procedure is followed to
determine the dependable yield.
Arrange annual flow volume data of N years in descending order
Assign serial number n (n = 1 to N)
Dependability (p%) of nthe discharge event = n/(N+1) * 100
For pre-selected dependability P%, find m
th
value where m = (N+1) * P/100. Read the
m
th
This procedure is valid for a seasonal storage only where volume stored in one season
is released in next irrigation season within one water cycle of one year.
flow value and is P% dependable yield of the river.
For a large size carry over dam dependable flow equals the average flow over a
couple of years since storage reservoir will considerably alter the outflow volumes.
Example 2.1:
The annual synthesized inflow of Kurram and Kaitu Rivers into the Kurram Tangi
dam is given in Table 2.4 (average annual inflow to the dam is 833 Th.AF). Determine the
dependable yield with and without dam.
Solution:
The dependability of different flows is determined in Table 2.4 and shown in Figure
2.7. From the Table and Figure it is seen that 50, 60, 70, 80 90 and 95% dependable yield of
the river without the dam is as 810, 775, 745, 630, 460, and 400 ThAF per annum,
respectively. Construction of the dam will increase the dependable yield at 90% level from
460 ThAF to as 795 ThAF per annum with dam of 600 ThAF live storage capacity and as 785
ThAF with dam of 550 ThAF live storage capacity (Table 2.6 and Figs. 2.18 for
dependability analysis with dam). The dependability of 795 ThAF without dam is about 52%
only.

Table 2.4: Dependable flow of Kurram and Kaitu Rivers into Kurram Tangi Dam.
A: Historic flow data (ThAF)
B: Data arranged in descending order
Year
Kurram R Kaitu River Total Year Flow (ThAF) Order
No (n)
Dependability
P (%)
1971 362 79 441

1983 1,350 1 3.13
1972 663 86 748

1992 1,295 2 6.25
1973 814 165 979

1998 1,294 3 9.38
1974 508 130 638

1991 1,219 4 12.50
1975 644 137 781

1993 1,056 5 15.63
1976 617 147 765

1981 1,017 6 18.75
1977 481 78 559

1982 993 7 21.88
1978 661 125 786

1973 979 8 25.00
1979 753 203 955

1979 955 9 28.13
1980 713 183 897

1990 927 10 31.25
1981 761 256 1,017

1997 910 11 34.38
1982 664 329 993

1980 897 12 37.50
1983 1,083 267 1,350

1995 874 13 40.63
1984 625 183 808

1996 865 14 43.75
1985 419 122 541

1994 813 15 46.88
1986 589 125 715

1984 808 16 50.00
1987 598 183 781

1978 786 17 53.13
1988 573 177 749

1987 781 18 56.25
1989 490 164 654

1975 781 19 59.38
1990 608 319 927

1976 765 20 62.50
1991 872 346 1,219

1988 749 21 65.63
1992 882 413 1,295

1972 748 22 68.75
1993 749 307 1,056

1986 715 23 71.88
1994 577 236 813

1989 654 24 75.00
1995 601 273 874

1974 638 25 78.13
1996 670 194 865

1999 621 26 81.25
1997 605 305 910

1977 559 27 84.38
1998 865 429 1,294

1985 541 28 87.50
1999 426 195 621

1971 441 29 90.63
2000 279 91 370

2001 414 30 93.75
2001 306 108 414

2000 370 31 96.88
Average 628 205 833

P(%) = n/32*100

Inflows to Kurram Tangi Dam from Kurram and Kaitu Rivers
0
5
10
15
20
25
30
35
40
45
50
55
60
65
70
75
80
85
90
95
100
300 400 500 600 700 800 900 1,000 1,100 1,200 1,300 1,400
Annual Deprndable Flow (ThAF)
D
e
p
e
n
d
a
b
i
l
i
t
y

/

e
x
c
e
e
d
a
n
c
e

(
%
)

Figure 2.7: Dependable flow/yield of Kurram River without dam at KT dam site.

2.4 RESERVOIR LIVE STORAGE CAPACITY
The inflows into the dam (Q) and releases (R) from the dam to meet the planned
demand (D) vary over time (Fig. 2.8); during some months Q < D and for other period Q > D.
Water goes into storage when Q > D and is later released from storage when Q < D. Ripple
Mass Curve of inflows vs demand determines the required live storage capacity for a dam to
meet the target demand adequately over extended service period.
2.4.1 Ripple Mass Curve Analysis
Ripple mass curve compares the cumulative inflows vs. the cumulative demand over a
period of time. A hypothetical reservoir of capacity S is considered to be full at some time
after which any deficit (deficit = demand D flows Q) is met out of the storage. The storage
S required to avert any deficit during the year must be equal to maximum deficit in the year.
The required storage S is determined for each year. The storage S for a reservoir is selected to
ensure averting of deficits in most or all years depending upon the purpose of the storage.
Following procedure is followed.
Arrange flow (Historic or synthesized data) and demand data for each time period
(10-day or month). The flow data may vary over the years but the demand remains
almost same for all years. The demand may vary over the months (as for irrigation
purposes) or remain constant (as for hydropower development).
Select apex point P where the reservoir is most likely to be filled up at this point (flow
condition changes from Q > D to Q < D) and start depleting subsequently. Apex point
may be determined by comparing inflows and demand over the years and select a
common time point such that at apex Q D and later Q < D and extra demand is met
out of storage creating a storage deficit (Fig. 2.8)
Apex point may also be determined by drawing a tangent line to accumulated inflow
line (dQ/dt) and selecting a point where (dQ/dt) is largest and start decreasing
subsequently (Fig 2.9).
Determine accumulated flow Q and demand D. Plot accumulated flow discharge
against time (Figure 2.9).
Superimpose accumulated demand D starting at point P (Fig. 2.10).
KT Dam: River inflows vs. Demand
0
10
20
30
40
50
60
J
a
n

0
1
-
1
0
,
7
1
M
a
r

0
1
-
1
0
M
a
y

0
1
-
1
0
J
u
l

0
1
-
1
0
S
e
p

0
1
-
1
0
N
o
v

0
1
-
1
0
J
a
n

1
-
1
0
,
7
2
M
a
r

0
1
-
1
0
M
a
y

0
1
-
1
0
J
u
l

0
1
-
1
0
S
e
p

0
1
-
1
0
N
o
v

0
1
-
1
0
J
a
n

1
-
1
0
,
7
3
I
n
f
l
o
w

(
T
h
A
F
)
Flows
Demand
P
P

Figure 2.8: Inflows vs Demand for apex point P.
KT Dam: Commulative Inflow
0
200
400
600
800
1000
1200
1400
J
a
n

0
1
-
1
0
,
7
1
F
e
b

0
1
-
1
0
M
a
r

0
1
-
1
0
A
p
r

0
1
-
1
0
M
a
y

0
1
-
1
0
J
u
n

0
1
-
1
0
J
u
l

0
1
-
1
0
A
u
g

0
1
-
1
0
S
e
p

0
1
-
1
0
O
c
t

0
1
-
1
0
N
o
v

0
1
-
1
0
D
e
c

0
1
-
1
0
J
a
n

1
-
1
0
,
7
2
F
e
b

0
1
-
1
0
M
a
r

0
1
-
1
0
A
p
r

0
1
-
1
0
M
a
y

0
1
-
1
0
J
u
n

0
1
-
1
0
J
u
l

0
1
-
1
0
A
u
g

0
1
-
1
0
S
e
p

0
1
-
1
0
O
c
t

0
1
-
1
0
N
o
v

0
1
-
1
0
D
e
c

0
1
-
1
0
J
a
n

1
-
1
0
,
7
3
I
n
f
l
o
w

(
T
h
A
F
)
P
P

Figure 2.9: Cumulative inflows for apex point P.

KT Dam: Commulative Inflow
0
200
400
600
800
1000
1200
J
u
l

0
1
-
1
0
A
u
g

0
1
-
1
0
S
e
p

0
1
-
1
0
O
c
t

0
1
-
1
0
N
o
v

0
1
-
1
0
D
e
c

0
1
-
1
0
J
a
n

1
-
1
0
,
7
2
F
e
b

0
1
-
1
0
M
a
r

0
1
-
1
0
A
p
r

0
1
-
1
0
M
a
y

0
1
-
1
0
J
u
n

0
1
-
1
0
J
u
l

0
1
-
1
0
A
u
g

0
1
-
1
0
S
e
p

0
1
-
1
0
O
c
t

0
1
-
1
0
N
o
v

0
1
-
1
0
D
e
c

0
1
-
1
0
I
n
f
l
o
w

(
T
h
A
F
)
P
P
D1
D2
D3
S1
S2
S3

Figure 2.10: Cumulative flow and cumulative demand curves and required storage.
For small demand the D curve will meet the Q curve before next apex point P. This
ensures that reservoir will become full at this time of the year. For large demand the
cumulative demand curve may meet the cumulative flow curve after more than 1 year
(Fig. 2.10).
Determine supply deficit for each year as the maximum difference between supply
Q and demand D curves. This gives required storage for each year corresponding
to the demand. Thus for Fig. 2.10 the required storage to ensure meeting of demand in
the year is S1, S2, and S3 for demands D1, D2, and D3, respectively.
For large demand, the reservoir may not become full at end of each water year
(example demand D3 in Fig. 2.10). This represents condition for a carry over dam.
In case demand varies during the year, use appropriate data to determine accumulative
demand and deficit for each flow period (Fig. 2.11).
Analysis is started from a time when reservoir is most likely to be full (e.g. by 1
st
Determine maximum deficit and the required storage S for each year of analysis.

Sept.) each year depending upon average flow pattern of the particular river.
The calculated storage requirements represent live storage for the particular purpose
e.g. irrigation.
Determine the required reservoir capacity that will ensure supplies for some selected
level by the probability procedure of Section 2.4.3 (also Table 2.6).
2.4.2 Ripple Mass Curve Analysis Using Spreadsheet
The reservoir storage space may be determined conveniently by using a spreadsheet (e.g.
Excel) as under (Table 2.5).
1. Arrange data in columns (time, Q, D) for all years. The flow and demand may be
available on 10-daily basis or on monthly basis.
2. Start the analysis at latest apex point P (e.g. 1
st
3. Determine storage deficit SD for subsequent periods as:
Sept.) when dam may be considered
full every year.
SD
t
= MAX [{(D
t
-Q
t
)+SD
t-1
4. Draw graph between time and storage deficit. (Fig. 2.11)
}, 0]
5. Seasonal dams become full and the storage deficit becomes zero on or before the next
apex time of 1
st
6. Determine largest value of the storage deficit SD for each water year of the analysis
period. This is the required live storage for that year (Fig. 2.12).
Sep. The carryover dams become full after more than one year and
the storage deficit remain non-zero for few years in a row (Fig. 2.11).
7. Determine the required reservoir capacity that will ensure supplies for some selected
probability level by the probability procedure.
8. The deficit for Kurram Tangi Dam is shown in Figs. 2.13 for different annual
demands 785, 700, 600, 500 ThAF (+ 20 ThAF as annual evaporation losses from
reservoir surface), and varies considerably. Thus required storage capacity depends on
the target annual demand.
Table 2.5 KTD: Mass curve of inflows Q, demand D, Storage deficit SD and Maximum
storage deficit in the water year SD
mx
#
(All values in ThAF)
Period Q D SD SD
mx

Annual CWR = 785, System losses = 20,
Total annual Demand = 805
1
Jan 01-10,71
9.8 10.39
2 J an 11-20 9.8 11.56
3 J an 21-31 9.7 14.49
4 Feb 01-10 7.8 15.07
5 Feb 11-20 7.8 19.27
6 Feb 21-28 6.7 24.81
7 Mar 01-10 7.8 17.23
8 Mar 11-20 4.5 23.94
9 Mar 21-31 5.2 28.65
10 Apr 01-10 5.6 31.74
11 Apr 11-20 7.1 28.85
12 Apr 21-30 18.4 18.35
13 May 01-10 6.9 24.22
14 May 11-20 8.6 26.74
15 May 21-31 9.5 28.87
16 J un 01-10 14.5 17.18
17 J un 11-20 14.2 19.36
18 J un 21-30 5.8 23.93
19 J ul 01-10 24.6 25.72
20 J ul 11-20 15.7 20.35
21 J ul 21-31 52.4 19.49
22 Aug 01-10 43.4 14.75
23 Aug 11-20 24.5 17.26
24 Aug 21-31 21.2 27.12 0
25 Sep 01-10 13.7 31.25 18
26 Sep 11-20 8.1 30.88 40
27 Sep 21-30 3.2 31.42 68
28 Oct 01-10 5.0 31.01 95
29 Oct 11-20 7.0 30.77 118
30 Oct 21-31 5.7 31.75 144
31 Nov 01-10 6.4 34.62 172
32 Nov 11-20 6.6 33.83 200
33 Nov 21-30 7.7 18.93 211
34 Dec 01-10 11.1 6.94 207
35 Dec 11-20 11.5 7.24 202
36 Dec 21-31 13.0 6.79 196
37
Jan 1-10,72
6.0 10.39 201 277
38 J an 11-20 6.7 11.56 205
39 J an 21-31 9.0 14.49 211
40 Feb 01-10 7.2 15.07 219
41 Feb 11-20 8.1 19.27 230
42 Feb 21-28 6.6 24.81 248
43 Mar 01-10 7.9 17.23 258
44 Mar 11-20 15.3 23.94 266
45 Mar 21-31 25.0 28.65 270
# Period Q D SD SD
mx

46 Apr 01-10 27.1 31.74 274
47 Apr 11-20 26.4 28.85 277
48 Apr 21-30 58.2 18.35 237
49 May 01-10 97.7 24.22 164
50 May 11-20 38.7 26.74 152
51 May 21-31 31.3 28.87 149
52 J un 01-10 18.5 17.18 148
53 J un 11-20 12.3 19.36 155
54 J un 21-30 43.6 23.93 135
55 J ul 01-10 32.6 25.72 128
56 J ul 11-20 11.9 20.35 137
57 J ul 21-31 27.4 19.49 129
58 Aug 01-10 23.3 14.75 120
59 Aug 11-20 24.0 17.26 114
60 Aug 21-31 18.5 27.12 122
61 Sep 01-10 4.6 31.25 149
62 Sep 11-20 41.8 30.88 138
63 Sep 21-30 15.3 30.88 154
64 Oct 01-10 8.9 30.47 175
65 Oct 11-20 8.4 30.23 197
66 Oct 21-31 10.6 31.15 218
67 Nov 01-10 7.5 34.00 244
68 Nov 11-20 6.8 33.21 270
69 Nov 21-30 14.8 18.65 274
70 Dec 01-10 17.1 6.81 264
71 Dec 11-20 14.0 7.11 257
72 Dec 21-31 15.0 6.67 249
73
Jan 1-10,73
13.9 10.20 245 274
74 J an 11-20 12.8 11.35 244
75 J an 21-31 12.2 14.21 245
76 Feb 01-10 11.4 14.79 249
77 Feb 11-20 9.9 18.90 258
78 Feb 21-28 18.4 24.40 264
79 Mar 01-10 33.1 16.91 248
80 Mar 11-20 19.8 23.50 251
81 Mar 21-31 31.2 28.12 248
82 Apr 01-10 47.8 31.16 232
83 Apr 11-20 48.6 28.33 211
84 Apr 21-30 28.8 18.02 201
85 May 01-10 26.4 23.79 198
86 May 11-20 31.7 26.29 193
87 May 21-31 25.0 28.38 196
88 J un 01-10 14.5 16.92 199
89 J un 11-20 9.4 19.08 208
90 J un 21-30 16.8 23.56 215
91 J ul 01-10 101.5 25.35 139
92 J ul 11-20 65.2 20.04 94
# Period Q D SD SD
mx

93 J ul 21-31 107.2 19.16 6
94 Aug 01-10 65.9 14.54 0
95 Aug 11-20 27.6 17.00 0
96 Aug 21-31 33.3 26.66 0
97 Sep 01-10 19.5 30.72 11
98 Sep 11-20 10.7 30.34 31
99 Sep 21-30 29.2 30.88 33
100 Oct 01-10 19.9 30.47 43
101 Oct 11-20 16.3 30.23 57
102 Oct 21-31 12.9 31.15 75
103 Nov 01-10 9.3 34.00 100
104 Nov 11-20 8.4 33.21 125
105 Nov 21-30 9.4 18.65 134
106 Dec 01-10 10.4 6.81 130
107 Dec 11-20 9.9 7.11 128
108 Dec 21-31 11.3 6.67 123
109
Jan 1-10,74
9.7 10.20 124 221
110 J an 11-20 9.8 11.35 125
111 J an 21-31 14.7 14.21 125
112 Feb 01-10 10.6 14.79 129
113 Feb 11-20 10.6 18.90 137
114 Feb 21-28 9.8 24.40 152
115 Mar 01-10 10.4 16.91 158
116 Mar 11-20 7.3 23.50 174
117 Mar 21-31 15.1 28.12 187
118 Apr 01-10 28.8 31.16 190
119 Apr 11-20 16.6 28.33 202
120 Apr 21-30 9.7 18.02 210
121 May 01-10 13.1 23.79 221
122 May 11-20 81.1 26.29 166
123 May 21-31 36.0 28.38 158
124 J un 01-10 9.1 16.92 166
125 J un 11-20 8.2 19.08 177
126 J un 21-30 11.2 23.56 189
127 J ul 01-10 18.3 25.35 196
128 J ul 11-20 33.5 20.04 183
129 J ul 21-31 52.2 19.16 150
130 Aug 01-10 52.1 14.54 112
131 Aug 11-20 16.6 17.00 112
132 Aug 21-31 19.8 26.66 119
133 Sep 01-10 17.3 30.72 133
134 Sep 11-20 7.2 30.34 156
135 Sep 21-30 26.3 30.88 160
136 Oct 01-10 11.2 30.47 180
137 Oct 11-20 8.2 30.23 202
138 Oct 21-31 8.4 31.15 225
139 Nov 01-10 6.4 34.00 252
140 Nov 11-20 6.6 33.21 279
141 Nov 21-30 7.7 18.65 290
142 Dec 01-10 11.1 6.81 285
# Period Q D SD SD
mx

143 Dec 11-20 10.7 7.11 282
144 Dec 21-31 12.6 6.67 276
145
Jan 1-10,75
11.6 10.20 274 335
146 J an 11-20 9.8 11.35 276
147 J an 21-31 10.2 14.21 280
148 Feb 01-10 10.9 14.79 284
149 Feb 11-20 12.1 18.90 291
150 Feb 21-28 6.9 24.40 308
151 Mar 01-10 11.9 16.91 313
152 Mar 11-20 11.3 23.50 325
153 Mar 21-31 26.6 28.12 327
154 Apr 01-10 28.6 31.16 330
155 Apr 11-20 22.5 28.33 335
156 Apr 21-30 32.3 18.02 321
157 May 01-10 37.6 23.79 307
158 May 11-20 43.4 26.29 290
159 May 21-31 20.7 28.38 298
160 J un 01-10 16.1 16.92 299
161 J un 11-20 35.3 19.08 282
162 J un 21-30 28.8 23.56 277
163 J ul 01-10 14.5 25.35 288
164 J ul 11-20 19.0 20.04 289
165 J ul 21-31 16.1 19.16 292
166 Aug 01-10 29.1 14.54 277
167 Aug 11-20 68.3 17.00 226
168 Aug 21-31 69.0 26.66 184
169 Sep 01-10 42.0 30.72 173
170 Sep 11-20 14.3 30.34 189
171 Sep 21-30 39.4 30.88 180
172 Oct 01-10 9.7 30.47 201
173 Oct 11-20 10.6 30.23 221
174 Oct 21-31 8.5 31.15 243
175 Nov 01-10 7.8 34.00 269
176 Nov 11-20 7.8 33.21 295
177 Nov 21-30 10.0 18.65 303
178 Dec 01-10 13.2 6.81 297
179 Dec 11-20 11.9 7.11 292
180 Dec 21-31 13.1 6.67 286
181
Jan 1-10,76
10.2 10.20 286 315
182 J an 11-20 10.3 11.35 287
183 J an 21-31 15.8 14.21 285
184 Feb 01-10 13.0 14.79 287
185 Feb 11-20 15.7 18.90 290
186 Feb 21-28 11.9 24.40 303
187 Mar 01-10 12.9 16.91 307
188 Mar 11-20 21.2 23.50 309
189 Mar 21-31 22.0 28.12 315
190 Apr 01-10 38.8 31.16 307
191 Apr 11-20 29.1 28.33 307
192 Apr 21-30 67.4 18.02 257
# Period Q D SD SD
mx

193 May 01-10 38.3 23.79 243
194 May 11-20 33.5 26.29 236
195 May 21-31 37.8 28.38 226
196 J un 01-10 21.5 16.92 222
197 J un 11-20 16.1 19.08 225
198 J un 21-30 9.5 23.56 239
199 J ul 01-10 6.7 25.35 257
200 J ul 11-20 24.6 20.04 253
201 J ul 21-31 35.3 19.16 237
202 Aug 01-10 8.2 14.54 243
203 Aug 11-20 63.1 17.00 197
204 Aug 21-31 24.8 26.66 199
205 Sep 01-10 21.6 30.72 208
206 Sep 11-20 25.6 30.34 213
207 Sep 21-30 8.1 30.88 235
208 Oct 01-10 26.6 30.47 239
209 Oct 11-20 12.2 30.23 257
210 Oct 21-31 13.4 31.15 275
211 Nov 01-10 9.6 34.00 299
212 Nov 11-20 8.5 33.21 324
213 Nov 21-30 10.8 18.65 332
214 Dec 01-10 12.1 6.81 327
215 Dec 11-20 15.2 7.11 319
216 Dec 21-31 13.3 6.67 312
217
Jan 1-10,77
11.8 10.20 310 434
218 J an 11-20 11.8 11.35 310
219 J an 21-31 13.3 14.21 311
220 Feb 01-10 11.2 14.79 314
221 Feb 11-20 11.5 18.90 322
222 Feb 21-28 7.4 24.40 339
223 Mar 01-10 9.0 16.91 347
224 Mar 11-20 6.7 23.50 363
225 Mar 21-31 8.2 28.12 383
226 Apr 01-10 41.3 31.16 373
227 Apr 11-20 33.6 28.33 368
228 Apr 21-30 18.1 18.02 368
229 May 01-10 16.9 23.79 375
230 May 11-20 17.6 26.29 383
231 May 21-31 21.0 28.38 391
232 J un 01-10 9.7 16.92 398
233 J un 11-20 8.1 19.08 409
234 J un 21-30 12.5 23.56 420
235 J ul 01-10 11.8 25.35 434
236 J ul 11-20 50.6 20.04 403
237 J ul 21-31 36.0 19.16 386
238 Aug 01-10 32.4 14.54 368
239 Aug 11-20 6.5 17.00 379
240 Aug 21-31 15.8 26.66 390
241 Sep 01-10 22.6 30.72 398
# Period Q D SD SD
mx

242 Sep 11-20 4.6 30.34 424
243 Sep 21-30 7.6 30.88 447
244 Oct 01-10 12.1 30.47 465
245 Oct 11-20 16.5 30.23 479
246 Oct 21-31 8.8 31.15 501
247 Nov 01-10 6.9 34.00 528
248 Nov 11-20 9.5 33.21 552
249 Nov 21-30 11.6 18.65 559
250 Dec 01-10 12.0 6.81 554
251 Dec 11-20 11.4 7.11 550
252 Dec 21-31 12.9 6.67 544
253
Jan 1-10,78
10.7 10.20 543 580
254 J an 11-20 10.2 11.35 544
255 J an 21-31 10.3 14.21 548
256 Feb 01-10 9.0 14.79 554
257 Feb 11-20 9.4 18.90 563
258 Feb 21-28 8.0 24.40 580
259 Mar 01-10 16.8 16.91 580
260 Mar 11-20 139.6 23.50 464
261 Mar 21-31 21.8 28.12 470
262 Apr 01-10 20.6 31.16 481
263 Apr 11-20 29.8 28.33 479
264 Apr 21-30 29.4 18.02 468
265 May 01-10 23.5 23.79 468
266 May 11-20 15.0 26.29 479
267 May 21-31 13.8 28.38 494
268 J un 01-10 9.0 16.92 502
269 J un 11-20 21.2 19.08 500
270 J un 21-30 20.2 23.56 503
271 J ul 01-10 32.3 25.35 496
272 J ul 11-20 20.3 20.04 496
273 J ul 21-31 21.1 19.16 494
274 Aug 01-10 31.1 14.54 477
275 Aug 11-20 69.2 17.00 425
276 Aug 21-31 47.6 26.66 404
277 Sep 01-10 5.9 30.72 429
278 Sep 11-20 8.1 30.34 451
279 Sep 21-30 17.9 30.88 464
280 Oct 01-10 21.5 30.47 473
281 Oct 11-20 9.6 30.23 494
282 Oct 21-31 9.1 31.15 516
283 Nov 01-10 16.7 34.00 533
284 Nov 11-20 11.0 33.21 555
285 Nov 21-30 11.2 18.65 563
286 Dec 01-10 11.7 6.81 558
287 Dec 11-20 11.0 7.11 554
288 Dec 21-31 12.4 6.67 548
289
Jan 1-10,79
10.7 10.20 548 565
KT Dam: Ripple Mass Curve Analysis, 1984-1992
137
208
372
427
439
502
613
467
105
0
100
200
300
400
500
600
700
800
S
e
p

0
1
-
1
0
J
a
n

1
-
1
0
,
8
4
M
a
y

0
1
-
1
0
S
e
p

0
1
-
1
0
J
a
n

1
-
1
0
,
8
5
M
a
y

0
1
-
1
0
S
e
p

0
1
-
1
0
J
a
n

1
-
1
0
,
8
6
M
a
y

0
1
-
1
0
S
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(
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0
1000
2000
3000
4000
5000
6000
7000
8000
C
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(
T
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Max defict in the water

Commulative
Inflows
Commulative
Demand

Figure 2.11: Deficits for Kurram Tangi dam (1984-1992).
KTD: Annual Storage Deficit
2
7
7
2
7
4
2
2
1
3
3
5
3
1
5
4
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1
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0
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Figure 2.12: KTD-Annual max deficit for annual demand of 785+20=805 ThAF.


KTD: Deficit Curve, Demand = 785 + 20 = 805 ThAF
2
7
7
2
7
4
2
2
1
3
3
5
3
1
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4
3
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100
200
300
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500
600
700
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Figure 2.13: KTD- Deficit for annual irrigation demand of 785, 700, 600 and 500 ThAF
(1971-2000).
2.4.3: Required Storage Capacity
Storage may be provided to meet the maximum deficit determined during the period
of analysis. This is true when 100% dependable supplies are required for the purposes, e.g.
domestic water supply. For other cases, as for irrigation, providing large enough storage to
satisfy all deficits may be too costly and that some shortage could not be averted at all and
thus may be accepted during few years. In that case storage is provided for selected
probability level in concordance with the scope of water delivery, e.g. 80 to 90% for
irrigation, 50 to 80% for hydropower, etc. Following procedure is followed to determine the
storage required to avert deficits for selected probability levels (Table 2.6).
Determine the yearly maximum deficit for N years from Ripple curve analysis for
known inflows and selected annual demand. The storage required to meet all deficit in
any year equals the maximum deficit of that year. Thus if in the beginning of any year
the storage is available equal to or more than the maximum deficit in that year, all the
deficit in the year will be met out of the storage.
Arrange yearly required storage (i.e. live storage) data of N years in ascending order.
Assign serial number n (n = 1 to N)
Determine the dependability (P %), i.e. percent time (in years) when shortages are
averted when live storage value equals the n
th
Draw a graph between live storage capacity (x-axis) versus % dependability (y-axis)
(Fig. 2.14).
. deficit: P = n/(N+1) * 100.
For pre-selected dependability P (%), read out the required storage from the graph or
find m where m = (N+1)*P/100 (round up to next integer value). Read the m
th
The computations for the ripple mass curve are given in Table 2.5 for Kurram Tangi Dam
for target demand of 805 ThAF (irrigation = 785, evaporation losses less direct rainfall = 20
ThAF). The yearly deficits for annual demand of 785, 700, 600 and 500 ThAF are shown in
Figure 2.13 and given in Table 2.6. The probability of averting shortages for various live
storage capacities is worked out in Table 2.6 and shown in Figure 2.14. It is seen that annual
demand has a significant effect on the required live storage capacity for same level of
flow
value and is P% dependable storage requirements for the dam.
shortage averting. Reservoir operation simulations may be carried out to further evaluate the
live storage requirements.
Table 2.6: Storage requirements at Kurram Tangi dam to avert seasonal shortage. Average
annual flow = 833 ThAF.
A: Yearly storage required (ThAF) to
avert seasonal shortage
B: Probability of averting shortage for
various live storage capacity: Data of
yearly storage required arranged in
ascending order
Year
Max storage required for annual
demand of: Annual demand:
Rank
No.
m
Prob
P % 785 700 600 500 785 700 600 500
1971 250 150 115 85 88 69 38 17 1 3.2
1972 277 222 166 113 93 69 39 19 2 6.5
1973 274 164 95 67 105 80 45 21 3 9.7
1974 221 170 100 41 107 81 46 27 4 12.9
1975 335 218 114 77 108 83 49 28 5 16.1
1976 315 137 84 62 132 83 53 28 6 19.4
1977 434 172 86 47 132 94 60 31 7 22.6
1978 580 275 131 83 137 101 64 31 8 25.8
1979 565 198 100 66 146 105 68 31 9 29.0
1980 405 94 60 31 166 106 68 32 10 32.3
1981 310 101 64 28 169 108 73 39 11 35.5
1982 132 105 68 31 208 116 74 41 12 38.7
1983 132 106 68 32 221 128 74 43 13 41.9
1984 137 83 39 19 250 137 81 47 14 45.2
1985 208 149 73 50 274 139 84 47 15 48.4
1986 372 258 127 83 277 149 86 50 16 51.6
1987 427 263 113 77 310 150 95 62 17 54.8
1988 439 194 102 65 315 164 99 65 18 58.1
1989 502 173 99 72 335 170 100 66 19 61.3
1990 613 225 118 84 372 172 100 67 20 64.5
1991 467 108 74 43 405 173 102 71 21 67.7
1992 105 81 49 27 427 194 104 72 22 71.0
1993 88 69 45 21 434 198 113 77 23 74.2
1994 107 83 53 28 439 218 114 77 24 77.4
1995 93 69 38 17 465 222 115 83 25 80.6
1996 146 116 81 47 467 225 118 83 26 83.9
1997 169 128 74 39 502 258 127 84 27 87.1
1998 108 80 46 31 565 263 131 85 28 90.3
1999 166 139 104 71 580 275 166 99 29 93.5
2000 465 359 212 99 613 359 212 113 30 96.8
Kurram Tangi Dam: Live storage vs. Shortage Probability
0
5
10
15
20
25
30
35
40
45
50
55
60
65
70
75
80
85
90
95
100
0 50 100 150 200 250 300 350 400 450 500 550 600 650 700
Required Live Storage (ThAF)
P
e
r
c
e
n
t

t
i
m
e

(
y
e
a
r
s
)

s
h
o
r
t
a
g
e

a
v
e
r
t
e
d
Annual demand = 785 ThAF

Figure 2.14: Shortages averted for different live storage capacity and annual demand.
2.4 RESERVOIR TOTAL CAPACITY
The reservoir total capacity is made up of live storage capacity required to regulate
the river flows for the intended purposes (store during high flows and release during low river
flows in relation to target/design demand). Rivers carry large amounts of silt. Under
unobstructed flow conditions the sediment is carried away with water. When a dam/reservoir
obstructs the natural flow regime, a very large part of the sediment (80 to 99%) gets
deposited in the reservoir. The sediment deposition will soon reduce the storage/regulating
capacity of the dam. To ensure that reservoir live/usable capacity remains available for long
time, additional capacity is provided to store the sediment load corresponding to a long time
period. The required reservoir capacity is determined as under:
Determine required live storage capacity from Ripple mass curve analysis described
in previous section.
Dead storage volume is selected in view of annual sediment inflow volumes such that
dead storage space is filled up in not less than 50 to100 years.
Example: The annual sediment inflow for Kurram Tangi Dam. is 6.2 MST (million
short tons). For sediment wet specific weight of 62.3 lb/cft the sediment volume equal
to = 6.2 x 10
6
Flood storage space (for a dam with part objective of flood control) is determined by
knowing flood volume which has to be temporarily stored in the dam and then
released, e.g. a 100 year frequency flood may be stored temporarily, with a total flood
volume of say 120 ThAF.
x 2000 /(62.3 x 43560) = 4570 Acre feet/year. Sediment volume inflow
in 50 years = 4570 * 50 = 228,500 AF. Sediment inflow in 100 years = 4570 * 100 =
457,000 AF. Considering 10 to 15% sediment outflow/flushing/setting in live storage
space, sediment volume in 50 years = 194,225 AF and in 100 years = 388,450 AF.
Thus dead storage space may be taken as say 300,000 AF (to hold sediments for 50
70 years).
Total gross storage = live storage + dead storage + flood storage.
The gross/dead/live storage may be adjusted on basis of dam height, geotechnical,
environmental issues and cost and economic return basis. e.g. KTD 1.2 MAF requires
a dam of height 345 ft + 15 = 360 ft and a 0.9 MAF dam is of height 285 ft+ 15 = 300
ft. Average irrigation shortages for 0.9 MAF dam is = 5% and for 1.2 MAF dam
shortage is 3%, showing a possible small incremental benefits due to larger dam.
Additional height of dam is provided in excess of gross storage for: i. Flood
surcharge, ii. Wave height for sustained winds, iii. Wave runup over the dam face for
very high winds, iv. Free board for unforeseen emergencies, etc.
2.5 FLOOD ANALYSIS
Dams are required to handle various flood events adequately without any threat to the
safety of the dam. These floods may occur during the construction stage (diversion floods) or
after completion of the construction (spillway floods). Thus it is very essential that magnitude
of various floods, that the dam may face, must be ascertained with accuracy. The floods are
characterized by the (1) return period/frequency of occurrence, (2) the peak flow rate, (3)
time to the peak flow, (4) duration of the flood, (5) the volume of the flood. All these
parameters affect the design of various components of the dam. Flood analysis describes the
peak flow discharge and complete hydrograph of the selected flood. Flood analysis can be
based on frequency analysis of historic flood data or by catchment modeling (using projected
rain and rainfall-runoff relationship).
2.5.1 FREQUENCY ANALYSIS OF HISTORIC DATA
Frequency analysis of historic flood data is performed to estimate the flood events of
large magnitude / return period. The floods are based on the historic data of the flood at the
dam site during last many years. During flood event the discharge must be observed and
recorded frequently preferably at half to one-hour interval. In case actual flood data is not
available, the floods may be synthesized from u/s, d/s locations, from adjacent rivers, from
historic rainfall data combined with catchment characteristics, or other accepted methods.
Frequency analysis is carried out to determine peak flood discharge corresponding to various
return periods of large values 100 to 1000 years by using Gumbel method, Extreme Value
Type-I (EV-I) method, Log-Pearson Type-III (LP-3) method, and other methods.
The probability of exceedence, p
x>X
of rainfall P (or discharge Q) is given as p
x>X
=
1/T and probability of non-exceedence (or safe probability) is given as: p
x<X
= 1 - P
x X
(x) =
1 - 1/T. For T = 5 years, p
x>X
= 1/5 = 0.20 and p
x<X
= 1 - 1/5 = 0.80. The probability of non-
exceedence in N consecutive years is as: (1 - 1/T)
N
. The risk / probability of failure (p
F
)
[exceedence of flow than design discharge is considered as failure, however the structure may
or may not sustain any damages] of system is given by the probability of exceedence of
rainfall larger than P for at least once in N years as: p
F
= 1 - (1 - 1/T)
N
. For T = 5, the p
F
for
various periods is as: N = 5 years, p
F
= 0.67; N = 10 years, p
F
= 0.89; N = 20 years, p
F
The reliability of estimated precipitation (P) corresponding to return period T (i.e. P
=
0.989.
T
)
is good to very good for T n, fair for n T 1.5 n and poor for T 2 n where n is the
number of years of record.
Following procedure is adopted to obtain depth-frequency and/or depth-duration-
frequency curves for the area of interest.
2.5.1.1 Gumbel method
Collect data of daily instantaneous peak flow for the dam site for sufficient long time periods
of 20 to 30 years (Table 2.7); longer the time period, better the results. The analysis
may be based on data in selected critical months (e.g. annual flood, winter flood,
summer flood etc).
Record the subjective values of peak flow (Q) e.g. annual maximum flood (annual series) or
all flow above some selected threshold values (partial duration series). For annual
series there will be same number of selected values as the number of years of record.
Arrange the flow data in descending order of magnitude (largest value first and smallest value
last). Assign an order number (m) to each value; order number 1 is assigned to largest
event (Table 2.8).
Determine frequency or return period for any flood storm by Weibull plotting position
method as:

m
1 + n
= T (8.1)
where
T = return period (in years)
n = total number of observations in the record
m = order number of any event; 1 m n.
The return period so computed indicate that the flood of peak flow Q
m
shall be
equaled or exceeded at least once in T number of years
Draw a graph between flood frequency T and flood peak flow Q on a Gumbel's probability
paper with return period or frequency (T) on transformed scale and peak flow rate Q
on normal scale. A straight line is usually drawn through the graph points.
.
[NOTE: The Gumbel's probability paper has x-axis transformed as double log
(natural log to base e, ln) scale as: v = - ln [ ln T/(T-1)]. The T data is transformed
into variate v and then graph is drawn between the reduced variate v and flood peak
flow] At T = 1.582, v = 0.0.
Draw a smooth curve, usually a straight line, through the points. This is the frequency curve
for the flood peak flow (Fig. 2.15).
Read out rainfall values corresponding to desired frequency levels / return periods.

Table 2.7: Kurram River at Thal: Annual Instantaneous Peak Flows
Source: SWHP / WAPDA
Year Date
Annual
Peak (cfs)
Daily Average
Flow (cfs) Year Date
Annual Peak
(cfs)
Daily Average
Flow (cfs)
1971 4-Jul-1971 37,500 5,530 1986 18-Jul-1986 18,900 4,910
1972 19-Jul-1972 30,400 3,700 1987 26-Jul-1987 62,900 6,560
1973 26-Jul-1973 30,400 8,330 1988 23-Jul-1988 39,800 11,900
1974 5-Jul-1974 37,400 1,440 1989 17-Jul-1989 15,180 4,503
1975 13-Aug-1975 16,900 4,780 1990 18-Sep-1990 29,830 3,307
1976 18-Aug-1976 13,300 4,390 1991 13-Jul-1991 73,200 29,450
1977 26-Jul-1977 4,550 1,420 1992 22-Jul-1992 37,680 8,027
1978 6-Jul-1978 63,900 21,700 1993 23-Jul-1993 66,300 8,508
1979 9,700 1994 26-Jun-1994 18,965 13,600
1980 27-Jun-1980 4,420 3,490 1995 24-Apr-1995 22,725 13,590
1981 29-Mar-1981 12,500 5,940 1996 22-May-1996 15,644 5,610
1982 1-Jul-1982 18,000 3,160 1997 28-Aug-1997 1,911 1,323
1983 19-Aug-1983 24,400 4,170 1998 24-Apr-1998 2,860 1,918
1984 2-Aug-1984 49,600 6,230 1999 31-Jul-1999 9,911 1,508
1985 20-Aug-1985 19,500 2,460 2000 27-Dec-2000 549 544

Table 2.8: Frequency analysis of Annual Instantaneous Peak Flows of Kurram River at Thal.
by Gumbel method
Ranking in descending
order
Frequency
Distribution
Ranking in descending
order
Frequency
Distribution
Year Flow
Cfs
Rank
m T years variate v
Year Flow
Cfs
Rank
m T years variate v
1991 89,890 1 34.00 3.51 1994 23,289 18 1.89 0.28
1993 81,416 2 17.00 2.80 1986 23,209 19 1.79 0.20
1978 78,469 3 11.33 2.38 1982 22,104 20 1.70 0.12
1987 77,241 4 8.50 2.08 1975 20,753 21 1.62 0.04
1984 60,909 5 6.80 1.84 1996 19,211 22 1.55 -0.04
1988 48,874 6 5.67 1.64 1989 18,641 23 1.48 -0.12
1970 47,401 7 4.86 1.47 1976 16,332 24 1.42 -0.20
1992 46,271 8 4.25 1.32 1981 15,350 25 1.36 -0.28
1971 46,050 9 3.78 1.18 1999 12,171 26 1.31 -0.37
1974 45,927 10 3.40 1.05 1979 11,912 27 1.26 -0.46
1969 42,120 11 3.09 0.94 1968 7,822 28 1.21 -0.55
1972 37,331 12 2.83 0.83 1977 5,587 29 1.17 -0.65
1973 37,331 13 2.62 0.73 1980 5,428 30 1.13 -0.76
1990 36,631 14 2.43 0.63 1998 3,512 31 1.10 -0.89
1983 29,963 15 2.27 0.54 1997 2,347 32 1.06 -1.04
1995 27,906 16 2.13 0.45 2000 674 33 1.03 -1.26
1985 23,946 17 2.00 0.37

KURRAM RIVER AT KT DAM SITE: Flood Frequency Analysis
0
10,000
20,000
30,000
40,000
50,000
60,000
70,000
80,000
90,000
100,000
110,000
120,000
130,000
-2.0 -1.5 -1.0 -0.5 0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0
Reduced variate: v = - Ln{Ln[T/(T-1)]}
A
n
n
u
a
l

P
e
a
k

F
l
o
w

(
C
f
s
)
2 5 10 20 30 40 50 Return Period (Years) ---> 75 100
Log Pearson Type III
Gumble distribution

Figure 2.15: Flood frequency analysis for Kurram Tangi Dam.

The rainfall depths for various frequency storms (i.e. P
2.5.1.2 Extreme Value-I (EV-I) method
T

) can also be determined from
the historic data using Extreme Value type-I (EV-I) distribution given as:
(
)
`
|
.
|
\
|
0.5772 -
1 - T
T
-
6
+ =
PT
ln ln
( )
where and is the mean and standard deviation of the population, respectively, and T is the
return period or frequency (in years). The above eqation holds only for large data (N ).
For small data the mean () and standard deviation () of the population is replaced by
sample average (x
av
) and sample standard deviation (s
N-1
6 ) and the parameters and
0.5772 are replaced by S
N
and Y
N
Table 2.9: Gumble frequency factors Y
from Table 2.9 given below. The Gumble method is used
for data with standard deviation of log transformed values to be less than 1.13.
N
and S
N
N
(Source: Subramanya P 246)
Y S
N
N
N
Y S
N
N
N
Y S
N

N

10 0.4952 0.9496 41 0.5442 1.1436 72 0.5552 1.1873
11 0.4996 0.9676 42 0.5448 1.1458 73 0.5555 1.1881
12 0.5035 0.9833 43 0.5453 1.1480 74 0.5557 1.1890
13 0.5070 0.9971 44 0.5458 1.1499 75 0.5559 1.1898
14 0.5100 1.0095 45 0.5463 1.1519 76 0.5561 1.1906
15 0.5128 1.0206 46 0.5468 1.1538 77 0.5563 1.1915
16 0.5157 1.0316 47 0.5473 1.1557 78 0.5565 1.1923
17 0.5181 1.0411 48 0.5477 1.1574 79 0.5567 1.1930
18 0.5202 1.0493 49 0.5481 1.1590 80 0.5569 1.1938
19 0.5220 1.0565 50 0.5485 1.1607 81 0.5570 1.1945
20 0.5236 1.0628 51 0.5489 1.1623 82 0.5572 1.1953
21 0.5252 1.0696 52 0.5493 1.1638 83 0.5574 1.1959
22 0.5268 1.0754 53 0.5497 1.1658 84 0.5576 1.1967
23 0.5283 1.0811 54 0.5501 1.1667 85 0.5578 1.1973
24 0.5296 1.0864 55 0.5504 1.1681 86 0.5580 1.1980
25 0.5309 1.0915 56 0.5508 1.1696 87 0.5581 1.1987
26 0.5320 1.0961 57 0.5511 1.1708 88 0.5583 1.1994
27 0.5332 1.1004 58 0.5515 1.1721 89 0.5585 1.2001
28 0.5343 1.1047 59 0.5518 1.1734 90 0.5586 1.2007
29 0.5353 1.1086 60 0.5521 1.1747 91 0.5587 1.2013
30 0.5362 1.1124 61 0.5524 1.1759 92 0.5589 1.2020
31 0.5371 1.1159 62 0.5527 1.1770 93 0.5591 1.2026
32 0.5380 1.1193 63 0.5530 1.1782 94 0.5592 1.2032
33 0.5388 1.1226 64 0.5533 1.1793 95 0.5593 1.2038
34 0.5396 1.1255 65 0.5535 1.1803 96 0.5595 1.2044
35 0.5402 1.1285 66 0.5538 1.1814 97 0.5596 1.2049
36 0.5410 1.1313 67 0.5540 1.1824 98 0.5598 1.2055
37 0.5418 1.1339 68 0.5543 1.1834 99 0.5599 1.2060
38 0.5424 1.1363 69 0.5545 1.1844 100 0.5600 1.2065
39 0.5430 1.1388 70 0.5548 1.1854
40 0.5436 1.1413 71 0.5550 1.1863 Infinity 0.5772 1.2825
The upper and lower confidence limits of the estimate (X
U
and X
L

) are given as:
s
F +
X
=
X e C T U
and
s
F
X
=
X e C T L
( )
where F
C
Confidence level (%) 50 68 80 90 95 99
is the confidence level factor as:
Factor F
C
and s
0.674 1.00 1.282 1.645 1.96 2.58
e

is the standard error of estimate given as:
| |
K
1.10 +
K
1.1396 + 1
n
s
=
s
2
T T
1/2
e
( )
where n is the sample size and s is the sample standard deviation. The frequency factor K
T

is
given as:
(
|
.
|
\
|

1 - T
T
+ 0.5772
6
- =
KT
ln ln
( )
Table 2.10: Frequency analysis by EV-I method.
T v Y S
n
Y
n
X
T
K
T
S
T
X
E
X
U

L

To apply LP-3 method the flood data is log transformed (Y = Log X) and mean (
2.5.1.3 Log-Pearson Type-III (LP-3)
Y ),
unbiased standard deviation (s
Y
) and coefficient of skewness (C
s
s K X X
T T
+ =
) of the log transformed data
is determined. The flood value (in log units) corresponding to a T year storm is determined
as:

The K
T
is the frequency factor depending on the coefficient of skewness (C
s
) of the data and
the target return period T (given in Table 2.11). USBR 1992 (p-216) has given a procedure to
adjust the station skewness coefficient (C
s
) with a generalized regional skew coefficient (C
m
)
given in US map, and a weighted skewness (C
w
) is determined for determining the frequency
factor as: C
w
= W C
s
+ (1-W) C
m
, where W is weighting factor as: W = V(C
m
) /
[V(C
s
)+V(C
m
)] where V(C
m
) is varience of C
m
{taken as 0.302}, V(C
s
) is varience of station
skewness determined as: V(Cs) = 10
A-B log(n/10)
, where A = -0.33+0.88|C
s
| (if |C
s
| 0.90) Or
A=-0.52+0.30|C
s
| (if |C
s
| > 0.90), and B = 0.94 0.26 |C
s
|, if |C
s
| 1.50 Or B = 0.55 if |C
s
| >
1.50. Then K
T
is obtained using factor C
w
Table 2.11: Frequency Factor K
.
T
=F(C
s
Coefficient of
Skewness, Cs
,T) for Log-Pearson Type-III Distribution
Recurrence Interval T in Years
2 10 25 50 100 200 1000
3.0 -0.396 1.180 2.278 3.152 4.051 4.970 7.250
2.5 -0.360 1.250 2.262 3.048 3.845 4.652 6.600
2.2 -0.330 1.284 2.240 2.970 3.705 4.444 6.200
2.0 -0.307 1.302 2.219 2.912 3.605 4.298 5.910
1.8 -0.282 1.318 2.193 2.848 3.499 4.147 5.660
1.6 -0.254 1.329 2.163 2.780 3.388 3.990 5.390
1.4 -0.225 1.337 2.128 2.706 3.271 3.828 5.110
1.2 -0.195 1.340 2.087 2.626 3.149 3.661 4.820
1.0 -0.164 1.340 2.043 2.542 3.022 3.489 4.540
0.9 -0.148 1.339 2.018 2.498 2.957 3.401 4.395
0.8 -0.132 1.336 1.998 2.453 2.891 3.312 4.250
0.7 -0.116 1.333 1.967 2.407 2.824 3.223 4.105
0.6 -0.099 1.328 1.939 2.359 2.755 3.132 3.960
0.5 -0.083 1.323 1.910 2.311 2.686 3.041 3.815
0.4 -0.066 1.317 1.880 2.261 2.615 2.949 3.670
0.3 -0.050 1.309 1.849 2.211 2.544 2.856 3.525
0.2 -0.033 1.301 1.818 2.159 2.472 2.763 3.380
0.1 -0.017 1.292 1.785 2.107 2.400 2.670 3.235
0.0 0.000 1.282 1.751 2.054 2.326 2.576 3.090
-0.1 0.017 1.270 1.716 2.000 2.252 2.482 2.950
-0.2 0.033 1.258 1.680 1.945 2.178 2.388 2.810
-0.3 0.050 1.245 1.643 1.890 2.104 2.294 2.675
-0.4 0.066 1.231 1.606 1.834 2.029 2.201 2.540
-0.5 0.083 1.216 1.567 1.777 1.955 2.108 2.400
-0.6 0.099 1.200 1.528 1.720 1.880 2.016 2.275
-0.7 0.116 1.183 1.488 1.663 1.806 1.926 2.150
-0.8 0.132 1.166 1.448 1.606 1.733 1.837 2.035
-0.9 0.148 1.147 1.407 1.549 1.660 1.749 1.910
-1.0 0.164 1.128 1.366 1.492 1.588 1.664 1.880
-1.4 0.225 1.041 1.198 1.270 1.318 1.351 1.465
-1.8 0.282 0.945 1.035 1.069 1.087 1.097 1.130
-2.2 0.330 0.844 0.888 0.900 0.905 0.907 0.910
-3.0 0.396 0.660 0.666 0.666 0.667 0.667 0.668
The K
T
( ) ( ) ( )
5 4 3 2 2 3 2
3 / 1 1 6 3 / 1 1 k zk k z k z z k z z K
T
+ + + + =
may also be determined as:

where k = C
s
2 2
2
001308 . 0 189269 . 0 432788 . 1 1
010328 . 0 802853 . 0 515517 . 2
w w w
w w
w z
+ + +
+ +
=
/6, and z is standard normal variable, given as:

and ( ) | |
2 / 1
2
1 ln p w = for 0 < p 0.5 [p = 1/T]. For p > 0.5, use 1-p instead of p and z is given
a negative sign.
2.5.2 FLOOD ANALYSIS BASED ON CATCHMENT MODELING
2.5.2.1 General procedure
The steps are:
1. Determine the expected rain P
T
2. Use a catchment loss model to determine runoff depth Q
for desired return period T by performing frequency
analysis of historic rainfall data. Use the rainfall data of critical months (annual,
summer, winter, month). Some areas of Pakistan have winter snowfalls and summer
rainfall. Winter snowfall will not produce any large runoff, thus rainfall in summer
months produce runoff and used for frequency analysis. Adjust the rainfall for aerial
reduction factor.
T
3. Use a historic or synthesized unit hydrograph to convert runoff depth to discharge
hydrograph Q
from the catchment area
considering the watershed hydrologic characteristics.
t
= U
t
*Q
T
4. Comput er model HEC-HMS may be used to do the above steps.
and determine the peak flow rate.
The time to peak may be determined from analysis of maximum historic floods. The
shape of the flood and flood volume are also derived from historic record. A unit hydrograph
may be derived from the historic data and used further to synthesize floods of various
frequencies. Table 2.7 and Fig. 2.15 describe /show a flood frequency curve and Table 2.12
and Fig. 2.16 describe computation of design flood hydrograph.
2.5.2.2 Design Flood Hydrograph

Table 2.12: Derivation of T year flood from historic maximum flood.
Hours Max
historic
flood
cfs
30 year
frequency
flood
cfs
Hours Max
historic
flood
cfs
30 year
frequency
flood
cfs
Hours Max
historic
flood
cfs
30 year
frequency
flood
cfs
Historic maximum peak =79,885 cfs, 30-year flood peak = 86,500 cfs, Factor=1.083
0 3,823 4,116 9 50,470 54,333 18 17,192 18,508
1 3,857 4,152 10 66,860 71,978 19 14,368 15,467
2 4,030 4,339 11 79,885 86,000 20 11,666 12,559
3 4,587 4,938 12 63,877 68,766 21 9,382 10,100
4 5,641 6,073 13 42,462 45,713 22 7,378 7,943
5 7,140 7,687 14 31,805 34,240 23 6,111 6,579
6 13,059 14,059 15 27,062 29,133 24 4,210 4,532
7 22,811 24,557 16 23,332 25,118 25 4,155 4,473
8 34,551 37,195 17 19,894 21,416 26 4,030 4,339

Hydrograph of 30 year frequency Flood at Kurram Tangi Dam
0
5,000
10,000
15,000
20,000
25,000
30,000
35,000
40,000
45,000
50,000
55,000
60,000
65,000
70,000
75,000
80,000
85,000
90,000
0 2 4 6 8 10 12 14 16 18 20 22 24 26 28
Time (Hours)
D
i
s
c
h
a
r
g
e

(
c
f
s
)

Figure 2.16: A 30-year frequency flood for Kurram Tangi Dam.

2.6 DIVERSION FLOODS
The construction of the dam embankment takes many years to complete. There has to
be arrangement that allows flows including flood flows to be diverted away from the
construction area during the whole construction period. Diversion tunnels/channels are
provided to pass the diversion flows. The selection of the capacity and size of the diversion
tunnel/channel has to be made in view of the design diversion flood that the system has to
pass. The magnitude/frequency of diversion flood taken as (10 x T
c
)
,
where T
c
Q
- is the number
of years of construction period.
T
Both peak flow rate and flood volume (i.e. flood hydrograph Q
selected from frequency analysis of historic annual maximum flood flow.
t
Determine time gap between successive flood events.
distribution) are
important for routing
Frequency analysis by log-Pearson III or Gumble extreme value method. Small
extrapolation Ok
Determine confidence limits on Q
T
If historic flood data is not available, synthesize Q
and select appropriate value.
T
from historic P
T
If measurements not at dam site, transpose flood to dam site from u/s or d/s location
by area method. Q
values using
appropriate catchment runoff models (e.g. HEC-HMS).
2
= Q
1
* (A
2
/A
1
)
If no record of flow is available, regional flow values may be used.
0.5

2.7 PROBABLE MAXIMUM FLOOD, PMF
For large dams the spillway is usually designed to cater for probable maximum flood
(PMF). The PMF is derived from the knowledge of probable maximum precipitation (PMP)
over the catchment area, the catchment hydrologic characteristics to convert rainfall into
runoff and transformation of excess rainfall into storm runoff by using unit hydrograph. The
unit hydrograph derived from the project historic flood record may be used to determine
PMF. PMF for KT dam is shown in Fig. 2.17.
PMF results from occurrence of PMP on the catchment area.
PMP determined by meteorologists from historic data of extreme rainfall events,
humidity, dew point, precipitable water in the air column, after due maximization to
account possible worst conditions.
PMP averaged over catchment area.
PMP as rainfall over short/long time periods.
PMP converted to PMF by using appropriate catchment runoff models considering
worst hydrologic conditions over the catchment area. Models as HEC-HMS may be
used.
PMP peak flow rate, flow volumes and time distribution of flow important for
routing.
PMP is routed through the spillway with designed/selected elevation-outflow
relationship.
Maximum rise of water surface above the normal conservation level provide the flood
surcharge for fixing the free board of the dam.
Kurram Tangi Dam : Probable Maximum Flood Inflow Hydrograph
SCS CN = 92, Lag time = 9 hrs, PMP-68
0
10,000
20,000
30,000
40,000
50,000
60,000
70,000
80,000
90,000
100,000
110,000
120,000
130,000
140,000
150,000
160,000
170,000
180,000
190,000
200,000
0 6 12 18 24 30 36 42 48 54 60 66 72 78 84 90 96 102
Time (hours)
D
i
s
c
h
a
r
g
e

(
c
f
s
)

Figure 2.17: PMF for KT dam.
Selection of Spillway Design Flood
Selection of design flood for spillways is a very crucial matter, and many countries have
devised standards for this purpose; however no such standards exist for Pakistan. ICOLD
(1992) noted that the spillway design discharge has direct bearing on structure safety on one
side and project costs on the other side. Ideally this should be based on engineering and
economic considerations relevant to the site and its environment. In most cases two distinct
discharges are set: (1) the design flood: the flood that must be discharged through the
structure under normal conditions with a safety of margin provided by the free board; this is
usually taken as flood of selected recurrence probability / return period; and (2) the safety
check flood, which is the discharge which can be passed by the crest structure, the
waterway and energy dissipater on the verge of failure but to exhibit marginally safe
performance.
ICOLD (1992) narrated the factors to be considered for selection of spillway design flood and
include analysis of (i) downstream economic hazard loss of economic values, (ii)
downstream life hazard loss of human life, (iii) type of dam its susceptibility to breach
and (major) damage in case of structure overtopping, (iv) spillway type susceptibility to
malfunction, (v) structure height, (vi) storage volume at maximum water depth, (vii)
consequences of dam failure -- in terms of being very vital for area population or mere some
economic costs for replacement of works.
Different standard practices in dam engineering for selection of spillway design flood in all
over the world.
1. Indian Standard for design of spillway capacity recommends 100 year or standard
project flood for design of intermediate structures (Engineering Hydrology by K
Subramanya P 257).
2. ASCE recommend standard project flood for structure less than 30 m height and
capacity of head pond less than 62 MCM (Introduction to hydrology by Warren and
Wiseman P 587).
3. US Army Corp of Engineering recommend 100 year or upto 50% PMF for
intermediate structure where loss of property and damage to structure is minor
(capacity less than 60 MCM and height less than 30 m (ICOLD Bulletin 82 P 177)
4. In China for structure of this category return period of 200 yr is recommended (Ref:
Selection of design floods in South Asia by J ian Liu; [liujn@asaka.newjec.co.jp]).
5. Australian National Committee on Large Dam (ACOLD) recommends 100-1000
years flood for design of structure where loss of structure and downstream loss of life
and property is very high (ICOLD Bulletin 82 P 176).
6. In United Kingdom recommendations for selection of design flood for overflow
section are 0.3 PMF to 1000 year (General) and 0.2 PMF to 150 year (if overtopping
is tolerable). (ICOLD Bulletin 82 P 197).
7. Ohio Dept of Natural Resource recommends 40-100 % PMF for design of spillway
where height of dam is more than 60 ft and capacity greater than 5000 acre-ft
[water@dnr.state.oh.us].
8. When the spillway design flood is selected as of 100-1000 year frequency, then two
flood estimates should be developed. 1) Design flood for which the structure is
designed and suitable free board is provided above this capacity. 2) Safety check
flood. a higher flood, e.g. PMF for which the safety of the structure must be
established with less than acceptable safety criteria and/or free board.
The pertinent detail of risk factors for the e.g. Patrind HPP project is as under:
1) D/s Economic hazard: Low minimal (underdeveloped to occasional structures or
agriculture). The houses and small agriculture is located well above the maximum
historic flood levels. The d/s bridges across the Kunhar river are well above the flood
levels (these have either stood against the 1992 flood levels or have been
constructed a new after 1992 flood). There is almost negligible chance of loss of
property downstream of the weir.
2) D/s Loss of life: Low Most dwelling are located well above maximum flood levels
and due to large peak time, people are likely to move quickly above the probable
flood levels.
3) Type of dam: Concrete dams are predominantly considered safe against structural
damages, have factor of safety of more than 2 against overturning, sliding failure and
material stresses. Some damage may be incurred to bridge deck in case flood
reaches the weir structure top.
4) Spillway type: Spillway will be mostly in operational condition before the onset of any
exceptionally high flood to pass the usual rainy season flood flows. The seven bays
are 12 m wide each and its blockage susceptibility due to debris flow is considered
as very low.
5) Structure height Storage volume: The structure height is only 26 m with a storage
capacity of only 6.42 MCM and is thus classified as small to intermediate structure.
Due to very small storage volume the enhancement of any flood flows will be limited
to 2 to 4% only.
6) Dam failure consequences: The weir structure is planned to divert water for
hydropower production only. Thus in case of any dam breach there will be economic
loss in terms of loss of hydropower production only and such the weir structure can
be refurbished after necessary repairs/improvements. Local or other population will
not be directly affected.
7) Summary: The weir structure is defined as small to intermediate on capacity basis
with low risk on economic and loss of life basis.

2.8 LEVEL POOL RESERVOIR ROUTING
Reservoir routing is required to determine the water surface elevations for known
inflow hydrograph and designed elevation-outflow relationship of structures as diversion
tunnel or spillway. The inflow for diversion tunnel is the design flood flow against which
protection is planned during the construction. The inflow for the spillway is the design
project flood (usually PMF or a 10,000 year frequency flood) for the spillway. For large
storage reservoirs the incoming flood water is temporarily stored in the flood surcharge space
of the dam. This results in attenuation of the outflowing flood peak to a smaller value. Thus
the spillway design discharge is taken as equal to maximum outflow rates.
Alternate procedures can be used to perform flood routing through the reservoir.
These include level pool reservoir routing, hydrologic routing e.g. HEC-HMS, hydraulic
routing e.g. HEC-RAS. The basic data needed for reservoir routing id incommimng flood
hydrograph, reservoir elevation-storage-outflow relation, reservoir cross section data, the
spillway geometric data and coefficients describing head losses, and head-discharge relation.
Level pool reservoir routing is discussed below.
The flow entering into a large reservoir quickly mingles with the storage water. The
water surface profile attains some grade at entry into the reservoir but then quickly levels off
to a uniform elevation (actually with a very small gradient but approaching to uniform level).
This happens due to a very large flow cross section of the reservoirs. Thus the outflow is
function of water surface elevation of the reservoir. The reservoir elevation in turn depends
on the storage volume. Note that the water surface elevation and storage volume are related
by the elevation-volume-area relationship of the reservoir. Thus outflow = F (reservoir
elevation) e.g. O = K
1
+ K
2
x (El datum)
K3
Initial condition: outflow = inflow (for diversion structure and for spillway
discharging freely before the design flood; Else spillway outflow = zero.)
. Following steps are taken for reservoir routing.
Inflow will add to storage and raise water level. Increased water level result in greater
outflows
Incremental storage over a time interval equals the difference of inflow and outflow
volume and will add to storage
Analysis at t interval with t 0
Let V
0
, El
0
, d
0
, I
0
, O
0
Let O = F(d). e.g. O = 13.56 d
represent the initial condition for the storage volume (V),
water surface elevation (El), depth (d) over the invert of diversion tunnel (or depth
over the normal conservation level for spillway routing), inflows (I), outflows (O) at
starting time, i.e. t = 0.
2.5
(O in cfs, d = depth ft over invert). Also find d =
F(O), e.g. d = 0.07375 O
0.4
Let elevation-volume relation is V = F(El) e.g. V = 0.11284*(El1800)
.
2.790
and El =
1800 + 2.18878 * V
0.3583
Set O
(El ft amsl, V - AF)
0
= I
0
Determine d
.
0
corresponding to O
0
Find initial elevation El
from the relevant hydraulic equation d = F(O).
0
= tunnel invert level EL
T
+ d
0
Determine initial reservoir storage volume corresponding to El

0
For t = 1, set O
.
1
= O
0
For all next time steps determine the flow depth over the invert d
.
t+1
= El
t
- EL
Determine O
T

t+1
= F (d
t+1
Determine the inflow and outflow volumes during the time interval t to t+1 as: V
)
IN
=
(I
t
+ I
t+1
)/2 * t and V
OUT
= (O
t
+ O
t+1
Determine change in storage volume during the time interval as: V = V
)/2 * t
IN
- V
Determine new storage volume as V
OUT

t+1
= V
t
Find new reservoir surface elevation as:El
+ V
t+1
= F(V
Table 2.13 may be used for systematic calculations:
t+1)

Table 2.13: Reservoir level pool flood routing.
Time t
(hr)
Inflow
I (cfs)
Depth
d (ft)
Outflow
O (cfs)
V
(AF)
IN
V
(AF)
OUT
V
(AF)
Volume
V (AF)
WS Elevation
(ft)
0 2500 8.06 2500 1955.81 1833.06
1 2850 8.06 2500 221.07 206.61 14.97 1970.78 1833.16
2 3550 8.16 2579 264.46 209.88 54.58 2025.36 1833.49
3 4675 8.49 2848 339.88 224.26 115.62 2140.98 1834.16
4
5

Example: (see Table 2.13 above)
Given: t = 1 hr and I
0
= 2500c I
1
= 2850 I
2
= 3550, I
3
Let invert level of tunnel = El
= 4675, cfs etc.
T
Outflow O = 13.56 * d
= 1825 ft.
2.5
Also d = 0.07375 O
0.4
V = 0.11284 * (El 1800)
(O in cfs, d in ft above tunnel invert
level).
2.790
and El = 1800 + 2.18878 * V
0.3583
At t = 0
(El - ft, V - AF)
O
0
= I
0
d = (O/13.56)
= 2500 cfs.
1/2.5
, and d
0
= (2500/1356)
1/2.5

El
= 8.06 ft
0
V
= 1825 + 8.06 = 1833.06 ft.
IN
= 0.0, V
OUT
V
= 0.0, V = 0.0
0
= 0.11284 * (1833.06 1800)
2.79
At t = 1
= 1955.81 AF.
I
1
d
= 2850 cfs
1
= d
0
O
= 8.06 ft
1
= O
0
V
= 2500 cfs
IN
V
= (2500+2850)/2*3600/43560 = 221.07 AF
OUT
V = 221.07 206.61 = 14.97 AF
= (2500+2500)/2*3600/43560 = 206.61 AF
V
1
El
= 1955.81 + 14.97 = 1970.78 AF
1
= 2.1887 * 1970.78
0.3583
At t = 2
+ 1800 = 1833.16 ft
I
2
d
= 3550 cfs
2
O
= 1833.16 1825 = 8.16 ft
2
= 13.56 * d
2
2.5
= 13.56 * 8.16
2.5
V
= 2579 cfs
IN
V
= (2850+3550)/2*3600/43560 = 264.46 AF
OUT
V = 264.46 209.88 = 54.58 AF
= (2500+2579)/2*3600/43560 = 209.88 AF
V
2
El
= 1970.78 + 54.58 = 2025.36 AF
2
= 2.1887 * 2025.36
0.3583
At t = 3
+ 1800 = 1833.49 ft
I
3
d
= 4675 cfs
3
= 1833.49 1825 = 8.49 ft
O
3
= 13.56 * 8.49
2.5
V
= 2848 cfs
IN
V
= (3550+4675)/2*3600/43560 = 339.88 AF
OUT
V = 339.88 224.26 = 115.62 AF
= (2579+2848)/2*3600/43560 = 224.26 AF
V
3
El
= 2025.36 + 115.62 = 2140.98 AF
3
= 2.1887 * 2140.98
0.3583
Example:
+ 1800 = 1834.16 ft
The 30-year flood data of Table 2.12 is routed through 2 Nos. diversion tunnels (one
of 14 ft dia and other of 20 ft dia) with invert at 1825 ft. The elevation-volume and depth-
outflow relationship is given as: El = 2.18878*Vol
0.358
, Vol = 0.11284*(El-1800)
2.79
, O =
18.2351 d
2
+ 374.738 d 1000.58 for d < 17 ft and O = - 5.356 d
2
The Table 2.14 and Fig. 2.18 reveal that the water surface and the outflow rise quickly
due to sudden influx of large amount of flood water. The outflow reaches at its maximum
after 8 hours and stays so for next 10 hrs. The water surface level drops steadily and reaches
the pre-flood conditions after 15 hours. The second flood is not likely to occur within this
time period. Therefore the diversion capacity provided is adequate. The results for PMF
routing of Kurram Tangi dam are shown in Fig. 2.19.
+ 649.652 d 3744.7 for d
>= 17 ft. The routing computations are given in Table 2.14 and results are shown in Fig. 2.18.
The maximum inflow is 86,000 cfs, maximum outflow is 34,650 cfs, and maximum water
level is 1880.23 ft amsl. This defines the height of coffer dam plus usual other allowances.
Reservoir routing can also be performed conveniently by using HEC-HMS model.
The model requires description of inflow hydrograph, the elevation-storage relationship data,
the elevation-outflow relationship data, the description of clock time for start and end of
simulation. The model output (graph and tabular) provides reservoir elevations, inflows,
outflows, storage at different times (Figs. 2.20 and 2.21).

Table 2.14:Routing of diversion flood through the diversion tunnels
Flow in cfs, voume in acre feet, elevation in ft.
Time hr Inflow In Vol WS El Depth Outflow Out Vol Storage V
0 4116 0 1834.38 9.38 4116 0 2184
1 4152 342 1834.40 9.40 4129 341 2185
2 4339 351 1834.40 9.40 4133 341 2194
3 4938 383 1834.45 9.45 4171 343 2234
4 6073 455 1834.68 9.68 4334 351 2338
5 7687 569 1835.25 10.25 4753 375 2531
6 14059 899 1836.26 11.26 5532 425 3005
7 24557 1596 1838.56 13.56 7434 536 4064
8 37195 2552 1842.97 17.97 11405 778 5838
9 54333 3782 1848.92 23.92 16469 1152 8468
10 71978 5219 1855.89 30.89 21749 1579 12108
11 86000 6528 1863.53 38.53 26724 2003 16633
12 68766 6395 1871.19 46.19 30859 2379 20649
13 45713 4731 1876.92 51.92 33400 2655 22724
14 34240 3304 1879.61 54.61 34426 2803 23225
15 29133 2619 1880.23 55.23 34650 2854 22990
16 25118 2242 1879.94 54.94 34546 2859 22372
17 21416 1923 1879.16 54.16 34264 2843 21452
18 18508 1650 1877.98 52.98 33817 2813 20288
19 15467 1404 1876.44 51.44 33204 2769 18923
20 12559 1158 1874.55 49.55 32409 2711 17369
21 10100 936 1872.30 47.30 31390 2636 15669
22 7943 746 1869.68 44.68 30113 2541 13874
23 6579 600 1866.71 41.71 28542 2424 12050
24 4532 459 1863.42 38.42 26659 2281 10228
25 4473 372 1859.81 34.81 24403 2110 8490
26 4339 364 1855.95 30.95 21786 1909 6946
27 4339 359 1852.06 27.06 18936 1683 5621
28 4339 359 1848.26 23.26 15936 1441 4539
29 4339 359 1844.70 19.70 12934 1193 3705
30 4339 359 1841.57 16.57 10211 956 3107
31 4339 359 1839.03 14.03 7843 746 2719
32 4339 359 1837.21 12.21 6291 584 2494
33 4339 359 1836.07 11.07 5383 482 2370
34 4339 359 1835.42 10.42 4883 424 2305
35 4339 359 1835.07 10.07 4618 393 2271
36 4339 359 1834.88 9.88 4480 376 2253
37 4339 359 1834.78 9.78 4410 367 2244
38 4339 359 1834.73 9.73 4375 363 2240
39 4339 359 1834.71 9.71 4357 361 2238
40 4339 359 1834.70 9.70 4348 360 2237
El = 2.18878*Vol
0.358
Vol = 0.11284*(El-1800)
2.79

O = 18.2351 d
2
+ 374.738 d 1000.58 for d < 17 ft and O = - 5.356 d
2
+ 649.652 d 3744.7 for d >= 17
KTD Flood diversion
0
10000
20000
30000
40000
50000
60000
70000
80000
90000
100000
0 5 10 15 20 25 30 35 40
Time (hrs)
I
n
,

o
u
t

F
l
o
w

(
c
f
s
)
1800
1810
1820
1830
1840
1850
1860
1870
1880
1890
1900
R
e
s
e
r
v
o
i
r

w
a
t
e
r

s
u
r
f
a
c
e

e
l
e
v
a
t
i
o
n

F
t
Inflows
Outflow
WS Elev

Figure 2.18: Diversion flood routing.
KTD PMF Routing for Spillway Design
0
20000
40000
60000
80000
100000
120000
140000
160000
180000
200000
0 5 10 15 20 25 30 35 40 45 50
Time (hrs)
F
l
o
w

(
c
f
s
)
2100
2101
2102
2103
2104
2105
2106
2107
2108
2109
2110
R
e
s
e
r
v
o
i
r

w
a
t
e
r

e
l
e
v
a
t
i
o
n

(
f
t
)
Inflows
Outflow
Res Water Elev

Figure 2.19: Routing of PMF for spillway design.

Figure: 2.20: Summary of diversion flood routing by HEC-HMS.

Figure 2.21: Detail routing output of HEC-HMS model.
Water Surface Elevations (ft)
Storage
Inflow hydrograph
Outflow hydrograph
2.9 RESERVOIR OPERATION
Reservoirs are created to store water during periods of large inflows and release the stored
water subsequently. Reservoir regulation requires that reservoir water levels at different time
of the year may be known. For hydropower generation, the determination of net head is
dependent on the reservoir water levels. Reservoir operation study is carried out to determine
temporal changes in storage volume, reservoir water levels, actual supplies vis--vis target
releases, shortages, spills, evaporation losses, over life (or part life) of dam for given inflows.
In addition energy generation, and alternate modes of reservoir filling or emptying are
studied. Reservoir operation is also done to establish required live storage capacity for
various inflow and demand patterns. Reservoirs considerably improve the dependable flow of
the river.
Reservoir operation is based on long period (30-50 years) historic data of inflows
into the dam, evaporation, and rainfall. Data may be on the basis of 10-daily or
monthly periods.
Data may be actual historic or synthesized. Assumed data may be used for
scenario testing only.
Reservoir operation is carried to meet target water demand and for selected
gross/dead storage values and site specific elevation volume area function
Reservoir operation is essentially an accounting procedure on volume basis.
Different variables used in reservoir operation calculations be expressed as:
I = Inflows,
D = demand,
R = actual releases,
S = shortage if any; S = D - R,
El = reservoir water surface elevation,
LS = reservoir live storage
DS = reservoir dead storage
GV = reservoir gross storage volume = LS + DS,
V = reservoir current volume
RV = Maximum volume of water releasable in the current simulation interval,
A = reservoir surface area,
E = pan evaporation (mm/period),
Ev = evaporation volume from the lake surface,
P = rainfall (mm/period),
Pv = direct precipitation/rain volume over the lake surface.
Reservoir current gross storage volume V is further described as:
V
1
V
= volume at beginning of simulation interval,
2
V
= volume at end of simulation interval after accounting releases only,
a
V
= average volume during the simulation interval = (V1+V2)/2,
3
V = volume at end of simulation interval after accounting all releases, evaporation,
rainfall, and spillages.
= volume after accounting releases, evaporation, and direct rainfall but excluding
spillage and
Simulations are carried over small time periods, e.g. 10-day or one month, and are started
with assumed starting live storage volume V
0
1. Given data is Inflow I, rainfall data P, pan evaporation data E.

2. Determine period starting volume: for first time period V
1
= V
0
and for other periods
V
1
= V
t-1
(i.e. volume V

3. Net water available for release: RV = V
at end of last period)
1
4. Release demand = D
DS + I
5. Irrigation release R: R = D

6. Shortage: S = R D
If D RV Else R = RV
7. % Shortage = S/D * 100
8. V
2
= V
1
9. Average volume: V
+I - R
a
= (V
1
+V
2
10. Average reservoir El = Function of (V
)/2
a
11. Average surface area: A = Function of (average E1and El -V-A relationship)
and El -V- A relationship)
12. Lake evaporation: Ev = E * lake factor ( 0.7) * average lake surface area A *
simulation time period * units conversion factor.
13. Rain volume falling over the reservoir surface are: Pv = P * lake surface area (use
appropriate conversion units)
14. V
3
= V
2
15. Check for any spillage: If V
- Ev + Pv
3
> gross storage GV, spill = V
3
16. Reservoir volume at end of simulation interval: V = V
GV, Else spill = 0
3
spill
17. Reservoir water surface elevation: El = Function of (V, and El-V-A relationship)
Example:
The reservoir operation for Kurram Tangi dam is given in Table 2.15 for the period
1971-73. The summary of results for 31 years period 1971-2001 (live storage capacity = 600
ThAF) are given in Table 2.16. The results are shown for reservoir water level, reservoir
volume, and deficits/shortage from target demand are shown in Figs. 2.22 to 2.24.The
dependability of water delivery for various reservoir live storage capacities of 50, 100, 200,
300, 400, 500, 600, 700 and 800 ThAF are shown in Fig. 2.25 and summarized in Table 2.17.
It is seen that larger size reservoirs considerably improves the dependability of water
delivery. However the incremental benefits of larger reservoirs decreases. This explains that
the selection of the reservoir live storage capacity should be evaluated from both availability
and economic point of view.
Reservoir operation simulations also provide the reservoir water levels, and therefore
the net head, for the potential hydropower plant at the toe of the dam. Thus the reservoir
water levels and the flow releases may be used to develop head duration, flow duration and
power production duration curves and the total power production under future dam operation
conditions.
Table 2.15: Reservoir operation. Volume in ThAF. (Starting V = 700)
Time I P V RV
1
D R S V V
2
A
a
PE Pv V Spill
3
V El
J an 1-
10,71 9.8 0.00 700.0 409.8 9.79 9.79 0.0 700.0 700.0 7471 0.34 0.00 699.7 0.0 699.7 2072.3
J an 11-20 9.8 0.00 699.7 409.5 10.94 10.94 0.0 698.6 699.1 7464 0.37 0.00 698.2 0.0 698.2 2072.1
J an 21-31 9.7 4.57 698.2 407.9 14.11 14.11 0.0 693.8 696.0 7441 0.40 0.09 693.5 0.0 693.5 2071.5
Feb 01-10 7.8 6.03 693.5 401.3 14.31 14.31 0.0 687.0 690.3 7399 0.43 0.12 686.7 0.0 686.7 2070.5
Feb 11-20 7.8 0.00 686.7 394.5 18.50 18.50 0.0 676.0 681.3 7333 0.51 0.00 675.5 0.0 675.5 2068.9
Feb 21-28 6.7 16.76 675.5 382.1 23.67 23.67 0.0 658.5 667.0 7227 0.57 0.34 658.2 0.0 658.2 2066.5
Mar 01-10 7.8 2.22 658.2 366.0 16.47 16.47 0.0 649.6 653.9 7130 0.75 0.04 648.9 0.0 648.9 2065.1
Mar 11-20 4.5 0.20 648.9 353.4 22.99 22.99 0.0 630.4 639.6 7023 0.87 0.00 629.5 0.0 629.5 2062.3
Mar 21-31 5.2 1.71 629.5 334.7 27.46 27.46 0.0 607.2 618.4 6862 0.98 0.03 606.3 0.0 606.3 2058.8
Apr 01-10 5.6 0.00 606.3 311.8 30.29 30.29 0.0 581.5 593.9 6674 0.89 0.00 580.7 0.0 580.7 2054.9
Apr 11-20 7.1 17.21 580.7 287.8 27.38 27.38 0.0 560.4 570.5 6493 1.02 0.31 559.7 0.0 559.7 2051.6
Apr 21-30 18.4 28.96 559.7 278.1 17.38 17.38 0.0 560.7 560.2 6413 1.16 0.52 560.1 0.0 560.1 2051.7
May 01-10 6.9 0.00 560.1 267.0 22.76 22.76 0.0 544.3 552.2 6349 1.13 0.00 543.1 0.0 543.1 2048.9
May 11-20 8.6 14.16 543.1 251.8 24.65 24.65 0.0 527.1 535.1 6214 1.30 0.25 526.1 0.0 526.1 2046.1
May 21-31 9.5 25.02 526.1 235.6 26.47 26.47 0.0 509.1 517.6 6074 1.46 0.42 508.1 0.0 508.1 2043.1
J un 01-10 14.5 0.00 508.1 222.6 15.37 15.37 0.0 507.2 507.6 5994 1.38 0.00 505.8 0.0 505.8 2042.7
J un 11-20 14.2 8.76 505.8 220.0 17.41 17.41 0.0 502.6 504.2 5966 1.42 0.15 501.4 0.0 501.4 2042.0
J un 21-30 5.8 14.67 501.4 207.2 22.47 22.47 0.0 484.7 493.0 5875 1.35 0.24 483.6 0.0 483.6 2038.9
J ul 01-10 24.6 23.56 483.6 208.2 23.93 23.93 0.0 484.3 483.9 5800 1.26 0.38 483.4 0.0 483.4 2038.8
J ul 11-20 15.7 46.74 483.4 199.1 18.31 18.31 0.0 480.8 482.1 5785 1.20 0.75 480.4 0.0 480.4 2038.3
J ul 21-31 52.4 70.36 480.4 232.8 17.98 17.98 0.0 514.8 497.6 5912 1.16 1.16 514.8 0.0 514.8 2044.2
Aug 01-10 43.4 36.64 514.8 258.2 13.05 13.05 0.0 545.1 529.9 6173 1.18 0.63 544.6 0.0 544.6 2049.2
Aug 11-20 24.5 0.00 544.6 269.1 15.60 15.60 0.0 553.5 549.0 6325 1.09 0.00 552.4 0.0 552.4 2050.4
Aug 21-31 21.2 0.00 552.4 273.6 25.41 25.41 0.0 548.2 550.3 6335 0.99 0.00 547.2 0.0 547.2 2049.6
Sep 01-10 13.7 0.00 547.2 260.9 29.08 29.08 0.0 531.9 539.5 6249 1.07 0.00 530.8 0.0 530.8 2046.9
Sep 11-20 8.1 0.00 530.8 238.9 29.60 29.60 0.0 509.3 520.1 6094 0.93 0.00 508.4 0.0 508.4 2043.1
Sep 21-30 3.2 0.00 508.4 211.6 29.48 29.48 0.0 482.1 495.3 5893 0.79 0.00 481.3 0.0 481.3 2038.5
Oct 01-10 5.0 0.00 481.3 186.3 29.15 29.15 0.0 457.2 469.2 5679 0.84 0.00 456.3 0.0 456.3 2034.0
Oct 11-20 7.0 0.00 456.3 163.3 29.02 29.02 0.0 434.3 445.3 5479 0.73 0.00 433.6 0.0 433.6 2029.8
Oct 21-31 5.7 0.00 433.6 139.3 30.04 30.04 0.0 409.3 421.4 5276 0.64 0.00 408.6 0.0 408.6 2025.0
Nov 01-10 6.4 0.00 408.6 115.1 32.91 32.91 0.0 382.1 395.4 5050 0.42 0.00 381.7 0.0 381.7 2019.6
Nov 11-20 6.6 0.00 381.7 88.3 32.23 32.23 0.0 356.1 368.9 4816 0.33 0.00 355.8 0.0 355.8 2014.2
Nov 21-30 7.7 0.00 355.8 63.5 18.31 18.31 0.0 345.2 350.5 4649 0.26 0.00 344.9 0.0 344.9 2011.9
Dec 01-10 11.1 0.00 344.9 56.0 6.87 6.87 0.0 349.2 347.0 4618 0.29 0.00 348.9 0.0 348.9 2012.7
Dec 11-20 11.5 0.00 348.9 60.4 6.93 6.93 0.0 353.4 351.2 4655 0.27 0.00 353.2 0.0 353.2 2013.7
Dec 21-31 13.0 2.16 353.2 66.2 6.55 6.55 0.0 359.6 356.4 4703 0.25 0.03 359.4 0.0 359.4 2015.0
J an 1-
10,72 6.0 0.00 359.4 65.4 9.79 9.79 0.0 355.7 357.5 4713 0.23 0.00 355.4 0.0 355.4 2014.1
J an 11-20 6.7 3.11 355.4 62.1 10.94 10.94 0.0 351.2 353.3 4675 0.25 0.04 351.0 0.0 351.0 2013.2
J an 21-31 9.0 32.89 351.0 60.0 14.11 14.11 0.0 345.9 348.4 4631 0.27 0.42 346.0 0.0 346.0 2012.1
Feb 01-10 7.2 0.00 346.0 53.2 14.31 14.31 0.0 338.9 342.5 4576 0.22 0.00 338.7 0.0 338.7 2010.5
Feb 11-20 8.1 15.37 338.7 46.9 18.50 18.50 0.0 328.4 333.5 4494 0.25 0.19 328.3 0.0 328.3 2008.2
Feb 21-28 6.6 0.00 328.3 34.9 23.67 23.67 0.0 311.2 319.7 4366 0.28 0.00 310.9 0.0 310.9 2004.2
Mar 01-10 7.9 9.33 310.9 18.8 16.47 16.47 0.0 302.4 306.6 4242 0.24 0.11 302.2 0.0 302.2 2002.2
Mar 11-20 15.3 18.03 302.2 17.5 22.99 17.55 5.4 300.0 301.1 4190 0.28 0.21 299.9 0.0 299.9 2001.6
Mar 21-31 25.0 16.45 299.9 25.0 27.46 24.95 2.5 300.0 300.0 4179 0.32 0.19 299.9 0.0 299.9 2001.6
Apr 01-10 27.1 12.76 299.9 26.9 30.29 26.95 3.3 300.0 299.9 4178 0.44 0.15 299.7 0.0 299.7 2001.6
Apr 11-20 26.4 8.83 299.7 26.1 27.38 26.08 1.3 300.0 299.9 4178 0.52 0.10 299.6 0.0 299.6 2001.6
Apr 21-30 58.2 26.92 299.6 57.8 17.38 17.38 0.0 340.4 320.0 4368 0.62 0.33 340.1 0.0 340.1 2010.8
May 01-10 97.7 23.37 340.1 137.8 22.76 22.76 0.0 415.0 377.6 4893 0.89 0.32 414.5 0.0 414.5 2026.1
May 11-20 38.7 1.93 414.5 153.2 24.65 24.65 0.0 428.5 421.5 5276 1.13 0.03 427.4 0.0 427.4 2028.6
May 21-31 31.3 0.00 427.4 158.7 26.47 26.47 0.0 432.2 429.8 5347 1.31 0.00 430.9 0.0 430.9 2029.3
Time I P V RV
1
D R S V V
2
A
a
PE Pv V Spill
3
V El
J un 01-10 18.5 3.56 430.9 149.4 15.37 15.37 0.0 434.1 432.5 5370 1.22 0.05 432.9 0.0 432.9 2029.7
J un 11-20 12.3 0.00 432.9 145.2 17.41 17.41 0.0 427.8 430.3 5352 1.26 0.00 426.5 0.0 426.5 2028.5
J un 21-30 43.6 39.94 426.5 170.1 22.47 22.47 0.0 447.6 437.1 5409 1.23 0.60 447.0 0.0 447.0 2032.3
J ul 01-10 32.6 29.46 447.0 179.6 23.93 23.93 0.0 455.7 451.4 5530 1.36 0.45 454.8 0.0 454.8 2033.7
J ul 11-20 11.9 0.00 454.8 166.7 18.31 18.31 0.0 448.4 451.6 5532 1.30 0.00 447.1 0.0 447.1 2032.3
J ul 21-31 27.4 28.89 447.1 174.4 17.98 17.98 0.0 456.5 451.8 5533 1.23 0.45 455.7 0.0 455.7 2033.9
Aug 01-10 23.3 5.69 455.7 178.9 13.05 13.05 0.0 465.9 460.8 5609 1.25 0.09 464.7 0.0 464.7 2035.5
Aug 11-20 24.0 7.30 464.7 188.7 15.60 15.60 0.0 473.1 468.9 5676 1.15 0.12 472.1 0.0 472.1 2036.8
Aug 21-31 18.5 19.69 472.1 190.6 25.41 25.41 0.0 465.2 468.6 5674 1.03 0.31 464.4 0.0 464.4 2035.5
Sep 01-10 4.6 0.00 464.4 169.0 29.08 29.08 0.0 440.0 452.2 5537 1.03 0.00 438.9 0.0 438.9 2030.8
Sep 11-20 41.8 47.69 438.9 180.7 29.60 29.60 0.0 451.1 445.0 5476 0.91 0.73 451.0 0.0 451.0 2033.0
Sep 21-30 15.3 0.00 451.0 166.2 29.48 29.48 0.0 436.7 443.9 5466 0.80 0.00 435.9 0.0 435.9 2030.2
Oct 01-10 8.9 0.00 435.9 144.8 29.15 29.15 0.0 415.7 425.8 5313 0.73 0.00 415.0 0.0 415.0 2026.2
Oct 11-20 8.4 0.00 415.0 123.4 29.02 29.02 0.0 394.4 404.7 5131 0.64 0.00 393.7 0.0 393.7 2022.1
Oct 21-31 10.6 1.91 393.7 104.4 30.04 30.04 0.0 374.3 384.0 4950 0.56 0.03 373.8 0.0 373.8 2018.0
Nov 01-10 7.5 0.00 373.8 81.3 32.91 32.91 0.0 348.4 361.1 4746 0.46 0.00 348.0 0.0 348.0 2012.5
Nov 11-20 6.8 0.00 348.0 54.8 32.23 32.23 0.0 322.6 335.3 4510 0.36 0.00 322.2 0.0 322.2 2006.8
Nov 21-30 14.8 22.48 322.2 37.0 18.31 18.31 0.0 318.7 320.5 4372 0.28 0.27 318.7 0.0 318.7 2006.0
Dec 01-10 17.1 33.21 318.7 35.8 6.87 6.87 0.0 329.0 323.8 4404 0.22 0.41 329.2 0.0 329.2 2008.4
Dec 11-20 14.0 13.27 329.2 43.2 6.93 6.93 0.0 336.2 332.7 4486 0.21 0.17 336.2 0.0 336.2 2010.0
Dec 21-31 15.0 15.94 336.2 51.2 6.55 6.55 0.0 344.7 340.4 4557 0.20 0.20 344.7 0.0 344.7 2011.8
J an 1-
10,73 13.9 0.00 344.7 58.6 9.79 9.79 0.0 348.8 346.7 4615 0.22 0.00 348.5 0.0 348.5 2012.7
J an 11-20 12.8 9.97 348.5 61.4 10.94 10.94 0.0 350.4 349.5 4640 0.24 0.13 350.3 0.0 350.3 2013.0
J an 21-31 12.2 0.00 350.3 62.5 14.11 14.11 0.0 348.4 349.4 4639 0.26 0.00 348.2 0.0 348.2 2012.6
Feb 01-10 11.4 17.21 348.2 59.5 14.31 14.31 0.0 345.2 346.7 4615 0.26 0.22 345.2 0.0 345.2 2011.9
Feb 11-20 9.9 0.00 345.2 55.1 18.50 18.50 0.0 336.6 340.9 4562 0.30 0.00 336.3 0.0 336.3 2010.0
Feb 21-28 18.4 45.97 336.3 54.7 23.67 23.67 0.0 331.0 333.7 4495 0.34 0.58 331.3 0.0 331.3 2008.9
Mar 01-10 33.1 55.37 331.3 64.4 16.47 16.47 0.0 347.9 339.6 4550 0.51 0.70 348.1 0.0 348.1 2012.6
Mar 11-20 19.8 0.00 348.1 67.8 22.99 22.99 0.0 344.8 346.5 4613 0.61 0.00 344.2 0.0 344.2 2011.7
Mar 21-31 31.2 12.45 344.2 75.5 27.46 27.46 0.0 348.0 346.1 4610 0.70 0.16 347.5 0.0 347.5 2012.4
Apr 01-10 47.8 8.26 347.5 95.3 30.29 30.29 0.0 365.0 356.2 4701 0.56 0.11 364.5 0.0 364.5 2016.1
Apr 11-20 48.6 7.11 364.5 113.1 27.38 27.38 0.0 385.7 375.1 4871 0.68 0.10 385.2 0.0 385.2 2020.3
Apr 21-30 28.8 0.00 385.2 113.9 17.38 17.38 0.0 396.6 390.9 5010 0.80 0.00 395.8 0.0 395.8 2022.5
May 01-10 26.4 0.00 395.8 122.1 22.76 22.76 0.0 399.4 397.6 5069 0.92 0.00 398.5 0.0 398.5 2023.0
May 11-20 31.7 31.12 398.5 130.2 24.65 24.65 0.0 405.5 402.0 5108 1.09 0.44 404.9 0.0 404.9 2024.3
May 21-31 25.0 0.00 404.9 129.8 26.47 26.47 0.0 403.4 404.1 5126 1.26 0.00 402.1 0.0 402.1 2023.7
J un 01-10 14.5 0.00 402.1 116.6 15.37 15.37 0.0 401.2 401.7 5105 1.34 0.00 399.9 0.0 399.9 2023.3
J un 11-20 9.4 0.00 399.9 109.3 17.41 17.41 0.0 391.9 395.9 5054 1.37 0.00 390.5 0.0 390.5 2021.4
J un 21-30 16.8 20.96 390.5 107.3 22.47 22.47 0.0 384.8 387.7 4982 1.31 0.29 383.8 0.0 383.8 2020.1
J ul 01-10 101. 28.51 383.8 185.3 23.93 23.93 0.0 461.4 422.6 5286 0.98 0.42 460.8 0.0 460.8 2034.8
J ul 11-20 65.2 35.69 460.8 226.1 18.31 18.31 0.0 507.8 484.3 5803 1.02 0.58 507.3 0.0 507.3 2043.0
J ul 21-31 107. 139.0 507.3 314.5 17.98 17.98 0.0 596.5 551.9 6347 1.06 2.46 597.9 0.0 597.9 2057.6
Aug 01-10 65.9 21.97 597.9 363.8 13.05 13.05 0.0 650.8 624.3 6907 1.28 0.42 649.9 0.0 649.9 2065.3
Aug 11-20 27.6 30.35 649.9 377.5 15.60 15.60 0.0 661.9 655.9 7145 1.20 0.60 661.3 0.0 661.3 2066.9
Aug 21-31 33.3 50.29 661.3 394.6 25.41 25.41 0.0 669.2 665.3 7214 1.09 1.01 669.1 0.0 669.1 2068.0
Sep 01-10 19.5 0.00 669.1 388.6 29.08 29.08 0.0 659.6 664.3 7207 1.16 0.00 658.4 0.0 658.4 2066.5
Sep 11-20 10.7 0.00 658.4 369.1 29.60 29.60 0.0 639.5 648.9 7093 1.02 0.00 638.4 0.0 638.4 2063.6
Sep 21-30 29.2 14.54 638.4 367.6 29.48 29.48 0.0 638.1 638.3 7013 0.88 0.28 637.5 0.0 637.5 2063.5

Table 2.16: Summary of reservoir operation study for Kurram Tangi Dam..
Dam capacity Th.AF = 900 Demand vs. supply summary results
Dead storage (Th AF) = 300
Target cropping intensity (%) and
demand (ThAF)=
135% and
757
Conservation level ft = 2097.8 No. of years when any shortage occur = 5
Dead storage level ft = 2001.6
Average % shortage during shortage
years = 13.8
Starting storage ThAF = 700 Average % shortage during ALL years = 2.2

Year Dam
inflow
ThAF
Irrigation
demand and
supplies
Shortag
e during
the year
(yes =1,
No =0)
Irrigation
Shortage
(ThAF) and
% shortage
on annual
basis
No. of 10-day
short irrigation
supply periods
and %
shortage
during the
shortage
periods
Avrage
surface
area
(Acres)
Annual
Lake
Evaporati
on
(ThAF)
Direct
rain
over
reservoi
r area
(ThAF)
Average
Reservoir volume
(ThAF) and
elevation (ft
amsl) during the
year
Annual
spillage
from the
Dam
(ThAF)
Demand Supply ThAF %
short
Nos. % Vol El
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
1971
441 757 757 0 0 0 0 0 6,136 30 5 524 2,045 0
1972
748 757 744 1 13 2 4 12 4,915 25 6 381 2,019 0
1973
979 757 757 0 0 0 0 0 5,698 27 9 479 2,036 0
1974
638 757 757 0 0 0 0 0 5,897 30 7 494 2,040 0
1975
781 757 757 0 0 0 0 0 5,220 25 7 416 2,026 0
1976
765 757 757 0 0 0 0 0 5,427 23 7 439 2,031 0
1977
559 757 636 1 121 16 8 52 4,555 18 6 339 2,010 0
1978
786 757 738 1 19 3 2 43 4,927 19 8 383 2,019 0
1979
955 757 757 0 0 0 0 0 5,659 22 9 472 2,036 0
1980
897 757 757 0 0 0 0 0 7,044 29 10 645 2,064 0
1981
1,017 757 757 0 0 0 0 0 8,259 23 14 812 2,087 110
1982
993 757 757 0 0 0 0 0 8,592 32 9 855 2,092 215
1983
1,350 757 757 0 0 0 0 0 8,654 28 16 861 2,093 530
1984
808 757 757 0 0 0 0 0 8,470 28 4 840 2,090 47
1985
541 757 757 0 0 0 0 0 7,697 29 6 729 2,076 0
1986
715 757 757 0 0 0 0 0 6,563 27 7 579 2,054 0
1987
781 757 757 0 0 0 0 0 6,637 28 4 590 2,056 0
1988
749 757 757 0 0 0 0 0 6,235 24 5 537 2,048 0
1989
654 757 757 0 0 0 0 0 5,685 20 5 469 2,036 0
1990
927 757 757 0 0 0 0 0 5,904 25 7 501 2,041 0
1991
1,219 757 757 0 0 0 0 0 7,890 31 10 764 2,080 151
1992
1,295 757 757 0 0 0 0 0 8,717 30 11 870 2,094 495
1993
1,056 757 757 0 0 0 0 0 8,724 33 13 873 2,095 309
1994
813 757 757 0 0 0 0 0 8,572 31 3 855 2,092 9
1995
874 757 757 0 0 0 0 0 8,582 30 6 854 2,092 146
1996
865 757 757 0 0 0 0 0 8,340 29 5 821 2,088 88
1997
910 757 757 0 0 0 0 0 8,408 28 6 831 2,089 92
1998
1,294 757 757 0 0 0 0 0 8,771 26 10 878 2,095 494
1999
621 757 757 0 0 0 0 0 8,159 23 10 794 2,085 15
2000
370 757 738 1 19 3 2 45 5,967 19 3 504 2,040 0
2001
414 757 405 1 352 46 24 61 4,239 16 2 306 2,003 0

Average 833 757 740 0.161 17 2.2 40 62.3 6,921 26 7 635 2,060 87

Reservoir Elevation
2000
2010
2020
2030
2040
2050
2060
2070
2080
2090
2100
2110
J
a
n

1
-
1
0
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7
1
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7
2
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E
l
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v
a
t
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(
F
t
)

a
m
s
l

Figure 2.22: KT dam reservoir water levels.
Reservoir Volume
250
300
350
400
450
500
550
600
650
700
750
800
850
900
950
J
a
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e
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e
r
v
o
i
r

V
o
l
u
m
e

(
T
h
A
F
)

Figure 2.23: KT dam: reservoir volume.
C: 10-day irrigation shortage %
0
10
20
30
40
50
60
70
80
90
100
J
a
n

1
-
1
0
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7
1
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4
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a
n

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-
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0
,
7
5
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a
n

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7
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,
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9
9
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1
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,
0
0
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-
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-
d
a
y

I
r
r
i
g
a
t
i
o
n

s
h
o
r
t
a
g
e

%

Figure 2.24: KT dam: Shortage to target demand.
Table 2.17: Water availability with various size dams.
Y
e
a
r

Water availability with live storage
(ThAF) of
Water availability arranged in descending order for live
storage (ThAF) of
50 100 200 300 400 500 600 700 800 Sr.
No
Dependab
ility p (%)
50 100 200 300 400 500 600 700 800
71 437 509 608 705 757 757 757 757 757 1 3.13 733 757 757 757 757 757 757 757 757
72 597 647 699 699 744 744 744 744 744 2 6.25 729 757 757 757 757 757 757 757 757
73 679 729 757 757 757 757 757 757 757 3 9.38 725 757 757 757 757 757 757 757 757
74 553 602 688 757 757 757 757 757 757 4 12.50 720 757 757 757 757 757 757 757 757
75 638 688 716 742 757 757 757 757 757 5 15.63 709 757 757 757 757 757 757 757 757
76 671 720 757 757 757 757 757 757 757 6 18.75 707 757 757 757 757 757 757 757 757
77 532 552 588 588 636 636 636 636 636 7 21.88 697 746 757 757 757 757 757 757 757
78 636 686 738 738 738 738 738 738 738 8 25.00 688 738 757 757 757 757 757 757 757
79 697 746 757 757 757 757 757 757 757 9 28.13 683 735 757 757 757 757 757 757 757
80 688 738 757 757 757 757 757 757 757 10 31.25 683 733 757 757 757 757 757 757 757
81 683 733 757 757 757 757 757 757 757 11 34.38 682 733 757 757 757 757 757 757 757
82 683 733 757 757 757 757 757 757 757 12 37.50 679 731 757 757 757 757 757 757 757
83 729 757 757 757 757 757 757 757 757 13 40.63 678 729 757 757 757 757 757 757 757
84 667 735 757 757 757 757 757 757 757 14 43.75 674 724 757 757 757 757 757 757 757
85 538 541 640 737 757 757 757 757 757 15 46.88 671 724 757 757 757 757 757 757 757
86 613 662 691 691 757 757 757 757 757 16 50.00 670 720 757 757 757 757 757 757 757
87 647 697 757 757 757 757 757 757 757 17 53.13 667 720 757 757 757 757 757 757 757
88 642 692 745 745 754 757 757 757 757 18 56.25 647 697 746 757 757 757 757 757 757
89 620 654 654 654 654 740 757 757 757 19 59.38 642 692 745 757 757 757 757 757 757
90 670 720 746 746 746 746 757 757 757 20 62.50 638 688 738 746 757 757 757 757 757
91 709 757 757 757 757 757 757 757 757 21 65.63 636 686 738 745 757 757 757 757 757
92 725 757 757 757 757 757 757 757 757 22 68.75 620 662 716 742 757 757 757 757 757
93 707 757 757 757 757 757 757 757 757 23 71.88 613 654 699 738 757 757 757 757 757
94 720 757 757 757 757 757 757 757 757 24 75.00 597 647 691 737 754 757 757 757 757
95 674 724 757 757 757 757 757 757 757 25 78.13 571 639 688 705 746 746 757 757 757
96 682 731 757 757 757 757 757 757 757 26 81.25 553 602 654 699 744 744 757 757 757
97 678 724 757 757 757 757 757 757 757 27 84.38 538 552 640 691 738 740 744 757 757
98 733 757 757 757 757 757 757 757 757 28 87.50 532 541 608 654 654 738 738 744 744
99 571 639 738 757 757 757 757 757 757 29 90.63 437 509 588 588 636 641 738 738 738
00 367 367 367 446 544 641 738 757 757 30 93.75 399 405 405 446 544 636 636 636 636
01 399 405 405 405 405 405 405 482 579 31 96.88 367 367 367 405 405 405 405 482 579
Average annual irrigation releases
No. of years with any deficit supply
632
31
675
25
706
12
719
10
730
8
736
7
740
5
743
4
746
4

Dependability of Kurram Tangi Dam for various Live Storage
Capacity (ThAF)
0
5
10
15
20
25
30
35
40
45
50
55
60
65
70
75
80
85
90
95
100
300 400 500 600 700 800 900 1,000 1,100 1,200 1,300 1,400
Annual Available flow (ThAF)
D
e
p
e
n
d
a
b
i
l
i
t
y

/

e
x
c
e
e
d
a
n
c
e

(
%
)
No dam
Dam=50
Dam=100
Dam=200
Dam=300
Dam=400
Dam=500
Dam=600
Dam=700
Dam=800
Figure 2.25: Improvement of water availability for different live storage capacities of the dam as
determined by reservoir operation.
2.10 RESERVOIR MAXIMUM MINIMUM RULE CURVE
Reservoir inflow varies over the years. The releases are required to be tailored to the
inflows and the storage available in the reservoir. Unplanned releases could lead to situation
where full demand is met during part of a crop season and very large shortage result in
remaining crop season. Crop are very sensitive to water shortages during later part of the
growing season. Thus it is required that any anticipated shortage should be spread equally for
the whole growing season. This requires that rules be framed to regulate releases (maximum
and minimum) during different periods/months.
These rules are defined for seasonal dams in terms of maximum and minimum
reservoir level during different months. These rules are developed/optimized from reservoir
operation studies. The minimum rules are to ensure temporal equity of water releases and
maximum rules are set to ensure reservoir filling and flood handling particularly during later
part of reservoir filling.
For a carryover dam these rules are defined differently. The reservoir releases for a
crop season are adjusted in view of the reservoir levels before the start of the season. The
releases are curtailed by a factor corresponding to various reservoir levels, e.g. for KT dam
the releases are reduced by 10, 15 and 20% for reservoir elevation of 2035, 2025 and 2015 ft
amsl. Thus shortages are reduced from maximum of 80% in 10-day period (Fig. 2.24) to only
10 to 20% (Fig. 2.26).
0
10
20
30
40
50
60
70
80
90
100
J
a
n

0
1
-
1
0
,
7
1
J
a
n

1
-
1
0
,
7
2
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a
n

1
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,
7
3
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,
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1
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1
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a
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a
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1
-
1
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,
0
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1
0
-
d
a
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I
r
r
i
g
a
t
i
o
n

s
h
o
r
t
a
g
e

%

Figure 2.26. Effect of reservoir release control on seasonal shortages.
2.11 WAVE HEIGHT (USBR P-271)
Free board to prevent overtopping of embankment by abnormal and severe waves actions of
rare occurrences created due to unusual sustained winds of high velocity.
Wave considered coincident with design inflow flood.
Wave height depends on: 1. Wind velocity, 2. Duration of the wind, 3. The fetch, 4.
Depth of the water, 5. Width of the reservoir
Wave height at approaching dam may be altered due to increasing water depth or
decrease of reservoir width.
Wave run-up affected by slope angle, surface texture, angle of wave train.
Wind energy lost in raising the water up the sloping face of the dam.
Rough riprap reduce wave run-up to 1.5 of wave height, concrete dam increases wave
run up
Require judgment in selection of wave height. Wave height as under (ft)
50 mph 75 mph 100 mph
Fetch (miles) Wave height (ft) for wind Velocity (miles/hr) of
1 2.7 3.0 -
2.5 3.2 3.6 3.9
5 3.7 4.3 4.8
10 4.5 5.4 6.1
Wind of 100 miles/hr velocity can occur at all places, unless geographically protected,
winds of 75 or 50 miles/hr is very common for most places.
Increase free board by 1.5 for wind run-up riprap slope
Provide normal free board for 100 mile/hr wind; Provide minimum free board for
wind of 50 mile/hr. Recommended free board (for V = 100 mile/hr)
Fetch (miles) Normal FB Minimum FB
< 1 4 3
1 5 4
2.5 6 5
5 8 6
10 10 7
Increase above free board by 50% if smooth surface is provided, e.g. by concrete
Parapet will above dam crest may be provided to contain wind induced waves, e.g.
KT dam is provided a 3 ft high parapet wall above dam crest.
Golze (p-137). Steady winds over a water body generate waves. Wave tide is given as:
S = V
2
Wave run up is the vertical height a deep water wave will run up the dam face. From Fig
2.27, H
F / 1400 D, where S = wave setup (ft) above reference level, V = wind velocity
(mile/hr), F = fetch or water distance (mile) [taken usually twice of actual], and D = mean
reservoir depth.
s
= 0.0026 F
0.47
, and time period = 0.45 F
0.28
Minimum 5 ft free bpard is taken for major embankments, and less for others.
/ V.
2.12 RESERVOIR SEDIMENTATION
(Ref: USBR DESIGN OF SMALL DAMS, Appendix-H, Pages 767-796; GOLZE;
HANDBOOK OF DAM ENGINEERING Pages 142-146)
Rivers carries a lot of sediments especially in the monsoon season. The amount of
sediments depend on many factors, some are as under.
Climate, particular annual rainfall and resulting runoff.
Vegetal cover, which is dependent on rainfall
Surface geology and soil cover
Land and river slopes
Land use
2.13 EFFECTS OF RESERVOIRS ON SEDIMENT ACCUMULATIONS:
Whenever a dam is built across a river, retention of water borne sediments can be
expected. Accumulation of the sediments in the dam over time can occupy storage space that
was provided to carryout the basic functions of the dam and reservoir. To extend useful life
of the dam, the planned storage of the dam is increased by an amount necessary for the
storage of the sediments entering the dam during its planned life.
Factors that determine the rate and total volume of sediment accumulation in a
reservoir are:
Average sediment load carried by a river (expressed as dry weight, tons)
Periods of abnormally high or low runoff which may result in wide variations
from the average sediment load.
Ratio between reservoir capacity and the annual volume of inflow, a measure
of trap efficiency.
Grain size of sediments, sediment size gradation, sediment unit weight
Method of reservoir operation.
2.13 ESTIMATING SEDIMENT ACCUMULATION IN RESERVOIRS:
Two methods are used: (1). Sampling of suspended sediments; establishment of
sediment-discharge relation, computation of total annual sediment load in the river, and
estimation of trap efficiency. (2). Results of surveys of sediment accumulations in existing
reservoirs, expressed in tons or acre feet per sq. mile per year. The average annual sediment
load may be set accordingly.
2.14.1 Sediment Estimation Based On Sediment Sampling.
The suspended and bed load sediments are measured by sampling for the known flow.
Measurements are made often throughout the year. A general sediment rating curve is
developed for each period or year showing sediment load versus river flow. The sediment
rating curve is used to compute the total sediment load for an average year from known flow
record or by use of flow duration curve. The sediment measurements and estimation is done
for long time period. The bed load may be estimated by using various formulas (e.g.
Schoklitsch formula, Meyer-Peter Muller formula) in combination with flow duration curve.
Else the bed load may be taken as 10 to 20% of the suspended load. The size gradation of the
suspended and bed load is based on measured samples showing percentage of clay, silt and
sand grains.
The average sediment load of the Kurram River at Thal is estimated by SWHP of
WAPDA as 3.77 Million Short Tons per year (MST/yr) (Table 2.18, Figs. 2.27, 2.28). About
86% of the sediments were observed for monsoon period of 4 months (April-September). The
annual sediment yield may be expressed as 1.48 Ac.ft. per sq. mile of drainage area. The
sediment concentration is 0.383% (by weight) or 3,830 ppm. The maximum observed
concentration was 142,000 ppm and minimum observed concentration was 2 ppm. The
computed maximum concentration was 47,800 ppm. At average discharge, the suspended
sediment consists of about 6% sand, 70% silt and 24% clay (actually varies during and over
the years). SWHP estimated the unit weight of fresh deposits of this sediment as about 58.3
lbs per cft.
If sediments measurements are not available at the dam site, then sediment is
estimated from sediment measurements at any u/s or d/s location on the basis of sediment
load per unit area or per unit flow volume (assuming that sediment generation potential being
same for the two sites). The sediment load may be estimated at required site in proportion to
average annual flow at the two sites. Thus S
2
= S
1
x Q
2
/Q
1
. The sediment load of Kurram
River was measured at Thal, which is located 10 miles u/s of the dam site. Also there were no
measurements of sediment for the Kaitu River. The sediment load of the Kurram River flows
between Thal and Kurram Tangi Dam site and of the diversions of Kaitu River through
Kaitu-Kurram Feeder was estimated on the basis of annual flow volumes. The sediment load
of Kaitu River was considered same as for Kurram River. The bed load is considered as 10%
of the suspended load. Thus total sediment inflow in Kurram Tangi Dam is determined on
area basis as under.
Kurram River suspended sediments at Thal = 3.77 MST/yr
Kurram River suspended sediments at KT dam site = 3.77 * (628/574) = 4.12 MST/yr
Kurram River bed load @ 15% = 0.62 MST/yr
Total sediment load of Kurram River at dam site = 4.74 MST/yr
Kaitu-Kurram Feeder suspended load = 3.77 * (180/574) = 1.19 MST/yr
Kaitu-Kurram Feeder bed load = 0 (a silt ejector is to be installed at feeder head)
Total sediment load entering Kurram Tangi Dam = 5.93 MST/yr
(Suspended = 4.12 + 1.19 = 5.31, bed load = 0.62 MST/year)
Gomal zam dam has much higher sediment load (~ 12 MST/year) in spite of smaller
catchment area due to nature of geologic formation and land cover.
Table 2.18: Historic sediment load of Kurram River at Thal.
Year Yearly
sediment
load
(m.s.t).
Monsoon
load Apr-
Sept
(m.s.t.)
Monsoon
load as %
of Whole
Year
Year Yearly
sediment
load
(m.s.t).
Monsoon
load Apr-
Sept
(m.s.t.)
Monsoon
load as %
of Whole
Year
1968 2.55 2.47 97 1984 4.74 4.62 96
1969 1.43 1.27 89 1985 0.99 0.89 90
1970 1.4 1.38 98 1986 4.72 4.08 76
1970 3.99 3.96 99 1987 3.5 4.66 76
1972 7.05 6.17 87 1988 4.87 3.93 81
1973 10.4 9.38 90 1989 1.39 1.14 82
1974 4.49 1.31 53 1990 5.52 5.3 96
1975 4.65 4.62 99 1991 10.7 0.6 99
1976 5.13 4.22 82 1992 4.87 4.7 97
1977 1.01 0.75 74 1993 6.45 6.35 98
1978 4.05 4.03 99 1994 5.04 4.93 98
1979 1.01 0.94 93 1995 4.56 4.15 84
1980 3.17 4.48 78 1996 4.27 1.68 74
1981 1.74 1.02 57 1997 0.82 0.7 86
1982 1.56 1.38 88 1998 4.49 4.26 91
1983 10 9.94 99 Average 3.77 3.24 86

Kurram River at Thal: Historic Sediment and Flow Data
0
100
200
300
400
500
600
700
800
900
1000
1100
1200
1
9
7
1
1
9
7
3
1
9
7
5
1
9
7
7
1
9
7
9
1
9
8
1
1
9
8
3
1
9
8
5
1
9
8
7
1
9
8
9
1
9
9
1
1
9
9
3
1
9
9
5
1
9
9
7
A
n
n
u
a
l

F
l
o
w

(
T
h
A
F
)
0
1
2
3
4
5
6
7
8
9
10
11
12
S
e
d
i
m
e
n
t

L
o
a
d

M
S
T
/
y
r
Sediment Load
Annual Flow
Monsoon Flow

Figure 2.27: Historic sediment data of Kurram River at Thal.

Kurram River at Thal: Sediment -Flow Relation
0
1
2
3
4
5
6
7
8
9
10
11
0 200 400 600 800 1000 1200
Annual Flow (ThAF)
S
e
d
i
m
e
n
t

L
o
a
d

(
M
S
T
)

Figure 2.28: Kurram River at Thal: Flow vs. sediment load.


PATRIND HYDROPOWER PROJECT
SUSPENDED SEDIMENT RATING
1
10
100
1000
10000
100000
1000000
10000000
1 10 100 1000
Flow Discharge (Cumecs)
S
e
d
i
m
e
n
t

l
o
a
d

(
T
o
n
s
)

Figure 2.29: Sediment load for Kunhar River at Ghari Habibullah.
PATRIND HYDROPOWER PROJECT
GRADATION CURVE FOR SUSPENDED SEDIMENT
AT GARHI HABIB ULLAH
0
5
10
15
20
25
30
35
40
45
50
55
60
65
70
75
80
85
90
95
100
0.001 0.01 0.1 1
Sediment Size (mm)
%

p
a
s
s
i
n
g

/

F
i
n
e
r
16-10-1984 10/10/1984
13-10-1984 17-9-84
4/9/1984 13-10-1984
18-9-1984 19-9-1984
19-1-1984 11/2/1984
2/11/1983

Figure 2.30: Sediment size gradation for Kunhar River at Ghari Habibullah.
The particle size of the all suspended sediments are considered same as found at Thal (6%
sand, 70% silt and 24% clay) while the bed load is considered as 10% silt and 90% sand. The
particle size of total sediment is weighted and estimated as under:
Suspended Bedload Weighted
Sand (> 62 ) 6% 90% 15% (=0.06*5.31+0.9*0.62)/5.93
Silt (4 to 62 ) 70% 10% 64%
Clay (< 4 ) 24% 0% 21%
2.14.2 Sediment Estimation Based On Survey Of Existing Reservoirs.
The sediment load may also be estimated from a record of sediment accumulation in
the existing reservoirs. The volume of sediment accumulated over a number of years is
measured by topographic and hydrographic surveys. The depth of reservoir bottom at any
point below the water surface is measured by sounding while traversing the reservoir on a
boat. For this purpose section pillars are placed along the reservoir rim to form a straight line
during hydrographic survey. In addition samples of deposits are taken to measure dry weight
and size gradation. Comparison of reservoir bottom level with earlier or first survey provides
the depth of sediments over the intervening period. However considerations must be given to
the following.
The observed record must be from a drainage area that is equivalent in size to the
project area or an adjustment of the unit yield must be made.
The hydrologic characteristics of the drainage areas being compared should be
similar, particularly the annual rainfall.
The physical characteristics of the two areas must essentially be the same including
topography, geology and soils, vegetal cover, and land use.
The trap efficiency, or the capacity-inflow ratio of the two reservoirs must be same.
The existing record of sediment accumulation must be at least 10 years long. If only a
short record is available for comparison, a regional hydrologic investigation must be
made to determine whether the sediment record was obtained in a period of high,
average or low runoff/flows.
2.15 SEDIMENT TRAPP IN THE DAM:
All the sediments entering into reservoir do not get deposited; some sediments are
carried away with the out flowing water. The trap efficiency defines the proportion of the
incoming sediments being deposited in the reservoir. The trap efficiency is defined as the
ratio of the quantity of the deposited sediments to the total sediments inflow. This primarily
depends upon the sediment particle fall velocity, the rate of flow through the reservoir, and
the retention time.
Reservoir trap efficiency is empirically estimated and based on measured sediments
deposits in a large number of reservoirs. The Brune curve (Fig. 2.31) is most often used to
determine trap efficiency and is considered as function of ratio of reservoir capacity to inflow
(V/Q). The reservoirs sediment trapping efficiency (T
E
The mean curve for normal ponded reservoirs approximated as:
) is given in terms of capacity inflow
ratio which is the ratio of the reservoir capacity (V) to the average annual inflow (Q), i.e.
V/Q.
T
E
= 97.5 (for V/Q > 1.0); and T
E
OR
= 97.5 + 10.5 Log V/Q (for 0.1 V/Q 1.0)
T
E
= 97.5 2.2914 (Log V/Q) 14.191 (Log V/Q)
2
Actually the trap efficiency could differ by 10% for lower V/Q to 2% for higher V/Q
values.
for 0.005 V/Q 1.0
Brune Sediment Trap Efficiency Curve
0
10
20
30
40
50
60
70
80
90
100
0.001 0.01 0.1 1
Capacity-Inflow Ratio (V/Q)
T
r
a
p

E
f
f
i
c
i
e
n
c
y

(
%
)

Figure 2.31: Average reservoir sediment trap efficiency curve (Brune curve).
The capacity V of the reservoir will decrease with time due to sediment deposition.
Therefore for same annual inflow Q the trap efficiency will decrease due to decrease of V/Q.
The sediment deposition in the reservoir is computed over small intervals, e.g. 5 year, during
which V may be considered constant.
For Kurram Tangi Dam, V/Q = 900,000/808,000 = 1.11, and T
E
= 97.5%. Thus
97.5% of the all incoming sediments will be trapped in the reservoir, causing a continuous
decline in the reservoir capacity over the years. As the reservoir capacity become smaller
with lower V/Q ratio, then trap efficiency will continuously decrease each year (Table 2.19).
The trapping efficiency varied from 97.5% for 1
st
2.16 UNIT WEIGHT OF THE DEPOSITED SEDIMENT
year to 86.3% after 100 years.
The sediment estimate of weight per time (e.g. million short tons per year) is
converted into volume by knowing the sediment unit weight (e.g. lb/cft). The various sizes of
particle are classified as clay (less than 0.004 mm), silt (0.004 to 0.0625 mm) and sand
(0.0625 to 2.0 mm). The unit weight of the fresh deposited sediments is dependent by the
proportion of the sediments of clay, silt and sand sizes. The sediments deposited in the
reservoir get compacted to a denser form over many years due to its self-weight. There are
several factors influencing the weight of the deposited and compacted sediment as (1) manner
in which reservoir is to be operated, (2) texture and size of particles, (3) compaction or
consolidation rate, (4) other factors (density currents, thalweg slope of stream, vegetation in
head water areas).
The reservoir operation is most influential factor. Sediments exposed for long periods
due to reservoir drawdown are considerably consolidated. Reservoir operation are classified
of following types:
Type I: Sediment remain always submerged or nearly submerged (small drawdown)
e.g. Bunji hydropower project dam
Type II: Normally moderate to considerable reservoir drawdown, e.g. Tarbela dam
Type III: Reservoir normally empty
Type IV: Riverbed sediments

Table 2.19: Sediment unit weight and deposition with time.
K = 2.916 Average.sediment/yr= 5.926 MST Av. Flow Q = 833 ThAF
T
(Years)
Sediment unit
weight lb/cft
V/Q
ratio
Trap
efficiency
%
Time Sediment Load (MST)
Cum.
Sediment
deposit
ThAF
Final
Storage
capacity V
W CW
T
Inflow
T
Traped Cum. Mass
0 67.34 67.34 916
10 70.26 69.31 1.10 97.50 59.3 57.8 57.8 38 878
20 71.13 70.07 1.05 97.50 59.3 57.8 115.6 76 840
30 71.65 70.53 1.01 97.50 59.3 57.8 173.3 113 803
40 72.01 70.87 0.96 97.33 59.3 57.7 231.0 150 766
50 72.29 71.13 0.92 97.12 59.3 57.6 288.6 186 730
60 72.53 71.35 0.88 96.90 59.3 57.4 346.0 223 693
70 72.72 71.53 0.83 96.66 59.3 57.3 403.3 259 657
80 72.89 71.69 0.79 96.42 59.3 57.1 460.4 295 621
90 73.04 71.84 0.75 96.16 59.3 57.0 517.4 331 585
100 73.17 71.96 0.70 95.89 59.3 56.8 574.2 366 550
110 73.29 72.08 0.66 95.60 59.3 56.7 630.9 402 514
120 73.40 72.19 0.62 95.30 59.3 56.5 687.3 437 479
130 73.50 72.29 0.57 94.98 59.3 56.3 743.6 472 444
140 73.60 72.38 0.53 94.63 59.3 56.1 799.7 507 409
150 73.69 72.46 0.49 94.25 59.3 55.9 855.6 542 374
160 73.77 72.54 0.45 93.85 59.3 55.6 911.2 577 339
170 73.84 72.62 0.41 93.40 59.3 55.4 966.5 611 305
180 73.92 72.69 0.37 92.92 59.3 55.1 1021.6 645 271
190 73.98 72.75 0.32 92.37 59.3 54.7 1076.3 679 237
200 74.05 72.82 0.28 91.76 59.3 54.4 1130.7 713 203
210 74.11 72.88 0.24 91.06 59.3 54.0 1184.7 746 170
220 74.17 72.94 0.20 90.24 59.3 53.5 1238.2 779 137
230 74.23 72.99 0.16 89.25 59.3 52.9 1291.0 812 104
240 74.28 73.04 0.12 88.01 59.3 52.2 1343.2 844 72
250 74.33 73.09 0.09 86.32 59.3 51.2 1394.3 876 40
The initial deposited weight of the sediment deposit (W
i
W
) is determined on the basis of
proportion (P) and unit weight (W) of different size particle (c = clay, m = silt (medium), s =
sand) as:
i
= W
c
P
c
+ W
m
P
m
+ W
s
P
where
s

Pc, Pm, Ps = proportion of clay, silt and sand particles in the sediments, respectively.
Wc, Wm, Ws = unit weight of clay, silt, sand respectively according to type of dam.
The unit weight of different particles is given as function of dam type on operation basis as
(lbs/cft):
Table 2.20: Unit weight (lb/cft) of sediments constituents.
Reservoir type clay W silt W
c
sand W
m

s

I 26 70 97
II 35 71 97
III 40 72 97
IV 60 73 97
Example: The Kurram Tangi Dam reservoir was classified for reservoir operation as of Type-
II category. The particle weight for category-II reservoir operation is taken as W = 35, 71 and
97 lb/cft for clay, silt and sand respectively. Thus initial sediment weight is determined as
under. (Proportion of clay, silt and sand as 35, 64 and 15%, respectively).
W
i
The sediment volume is determined from the total sediment load and the unit
sediment weight as sediment volume = sediment weight (lbs) unit sediment weight (lb/cft).
The average volume of fresh sediment deposits for KT Dam is estimated as:
= 35 0.21 + 71 0.64 + 97 0.15 = 67.34 lbs/cft
(5,930,000 ST 2000 lb/ST) (67.34 lb/cft 43,560 ft
3
The unit weight of the deposited sediment will increase each year due to compaction
of the sediment it remains in the reservoir according to the equation
/acre-feet) 4,040 Acre-Feet/ year.
W
T
= W
i
+ K Log
10
where W
T
T
= unit weight after T years of compaction, W
i
Table 2.21: K factor for sediment constituents.
= the initial unit weight, and K = a
constant depending on the type of the reservoir and size analysis of the sediment. The factor
K is as under.
Reservoir type Clay K Silt K
c
Sand K
m

s

I 16.0 5.7 0.0
II 8.4 1.8 0.0
III 0.0 0.0 0.0
The overall K factor is determined as: K = K
c
P
c
+ K
m
P
m
+ K
s
P
s
K = 8.4 0.21 + 1.8 0.64 + 0.0 0.15 = 2.916
. e.g. The factor K
for KT category-II dam (K = 8.4, 1.8, and 0.0 for clay, silt and sand, respectively) is
determined (for sediment with 21, 64 and 15% of clay, silt and sand respectively) as:
The sediment unit weight after, say 50 years, will be as: 67.34 + 2.916 Log 50 = 72.29 lb/cft.
Sediments are deposited in the reservoir in each of T years of operation and each
years deposits will have different compaction time and sediment unit weight. The average
sediment unit weight after T years (of cumulative all sediments deposited from 1
st
CW
through T
years) is determined as:
T
= W
i
For KT Dam the sediment unit weight W
+ 0.4343 K [T/(T-1) Ln T 1]
T
The sediments deposited over a period T and the reservoir final volume is then
determined as: S
after, say 50 years, will be as: 67.34 + 0.4343 *
2.916 [50/49 Ln 50 1} = 71.13 lb/cft. The cumulative sediment unit weight for different
years T is calculated for KT dam in Table 2.19.
T
= S
A
T T
E
/ CW
T
and V
T
= V
I
- S
where S
T

T
= sediment deposition at time T, S
A
= average annual sediment load (MST), V
T
=
reservoir volume at time T, V
I
2.17 SEDIMENT DISTRIBUTION WITHIN A RESERVOIR
= reservoir volume at time T-T. The sediment deposition and
reservoir volume for KT dam are given in Table 2.19.
A sediment particle is affected in settlement by horizontal force due to water
movement and vertical force due to gravity. A particle will remain in suspension as long as
turbulent forces equal or exceed the force of gravity. When the flow enters the reservoir the
increased cross sectional area results in decrease of velocity and turbulence until it become
ineffective in transporting the sediment and the particles get deposited. The sediment
deposition is not confined to lower storage increments (dead storage space), rather it get
deposited at all levels in the reservoir below the normal conservation level.
2.17.1 Reservoir shape factor
The distribution of sediment deposition at different levels depends upon the shape
classification of the reservoir on the basis of slope (m) of reservoir storage versus depth graph
(on a log-log paper). The slope m also be determined as under (Volume V in acre feet and
depth d in ft):
m = (Log V
2
Log V
1
) / (Log d
2
Log d
1
The reservoirs are classified according to shape as under.
)
Table 2.22: Reservoir classification according to shape.
Reservoir type Classification Slope m
I Lake 3.5 4.5
II Flood plain Foothill 2.5 3.5
III Hill 1.5 2.5
IV Gorge 1.0 1.5
KT Dam: Depth-volume Curve
y =2.18878x
0.35826
R
2
=0.99966
10
100
1000
1000 10000 100000 1000000
Volume (AF)
H
e
i
g
h
t

(
f
t
)

a
b
o
v
e

d
a
t
u
m

o
f

1
8
0
0

f
t

Figure 2.32: Shape factor m = dV/dh for reservoir classification.
For KT dam m was calculated as m = (Log 100,000 Log 1000) / (Log 136.35 Log 26.31)
= 2.80 (Fig. 2.32): and thus dam was termed as of Flood plain Foothill type II dam.
The sediment depth wise distribution in the reservoir may be determined by following
two methods. (1) By using Reservoir storage design curves, and (2). By using Reservoir area
design curves.
2.17.2 Sediment Depth Wise Distribution By Reservoir Storage Design Curves
The silt deposition at various depths is given for different category of dams in terms
of % sediment deposition versus % reservoir depth (see Figure H-7 of USBR Design of Small
Dams, page-781). The silt deposition at any depth is given as under (but not exceeding
original storage volume at the depth) as:
Sediment volume = Total sediment * % sediment at the given depth
The % sediment deposition at different depths for various shape category dams is given in
Table 2.23 and shown in Figure 2.33.

Table 2.23: Depth wise sediment deposition according to reservoir shape.:
Percent relative
depth (%d)
Percent sediment deposition below %d depth for dam shape
category
I II III IV
0 0 0 0 0
0.05 0.1 1.51 1.51 21.5
0.1 0.2 4.02 5.1 35.5
0.2 1.2 11.45 18.3 53.1
0.3 4.5 21.5 35.2 66.8
0.4 11.5 33.5 53.8 77.8
0.5 20.8 46.3 70.8 86.5
0.6 33.2 59.5 84.5 92.1
0.7 48.5 72.4 92.5 95.8
0.8 66.5 84.1 97.5 98.1
0.9 86.2 93.6 99.5 99.6
0.95 94.5 97.5 99.8 99.9
1 100 100 100 100
Depth wise relative sediment distribution
0
5
10
15
20
25
30
35
40
45
50
55
60
65
70
75
80
85
90
95
100
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Depth (fraction)
%

s
e
d
i
m
e
n
t

d
e
p
o
s
i
t
i
o
n
Type I dam
Typr II dam
Type III dam
Type IV dam

Figure 2.33: Depth wise relative sediment deposition for different shape category dams.
(USBR 2001. pp-H-7)

For KT dam the total sediment volume for 50 years is 186,000 acre feet. The normal
conservation level NCL and dead storage depth are as 295 and 196.6 ft at elevation of 2100.0
ft 2001.6 ft amsl respectively. Thus the dead storage depth is 66.7% of total depth. The
sediment deposition below dead storage depth (at 66.7% depth) is about 68.1% for shape
category II dam. Thus sediment deposited below dead storage level = 0.681 * 186,000 =
126,000 acre feet against 300,000 acre of original dead storage capacity. The balance of
186,000 126,000 = 60,000 acre feet of sediment (31.9% of total sediments) are deposited
above the dead storage level in the live storage space and thus infringe into the live storage
space and reduce usable storage of the dam. Thus distribution of sediment deposit can also be
worked for other or all depth/levels. Thus after 50 years the dead storage will reduce to
300,000 126,000 = 174,000 AF and live storage will reduce to 618,000 60,000 = 558,000
AF. The storage (live, dead and gross) space for KT dam available after various years of
reservoir operation is worked out in Table 2.24 and variations are shown in the Figure 2.34.
The reservoir live storage will decrease from present value of 616 ThAF to 556, 499, 374,
204 and 40 ThAF after 50, 100, 150, 200 and 250 years of reservoir operation if present rate
of sediment continues unaltered. The reservoir elevation-volume relationship will vary
considerably over the years. The change in the elevation-volume relationship over the years is
shown in Figure 2.35.


Table 2.24 Sediment deposition comput ations.
T (Years) Sediments deposited ThAF Storage Capacity Th.AF
Total Live Dead Total Live Dead
0 % Deposition in dead

68 916 616 300
10 38 12 26 878 604 274
20 76 24 51 840 592 249
30 113 36 77 803 580 223
40 150 48 102 766 568 198
50 186 60 127 730 556 173
60 223 71 151 693 545 149
70 259 83 176 657 533 124
80 295 95 200 621 521 100
90 331 106 225 585 510 75
100 366 117 249 550 499 51
110 402 129 273 514 487 27
120 437 140 297 479 476 3
130 472 172 300 444 444 0
140 507 207 300 409 409 0
150 542 242 300 374 374 0
160 577 277 300 339 339 0
170 611 311 300 305 305 0
180 645 345 300 271 271 0
190 679 379 300 237 237 0
200 713 413 300 203 203 0
210 746 446 300 170 170 0
220 779 479 300 137 137 0
230 812 512 300 104 104 0
240 844 544 300 72 72 0
250 876 576 300 40 40 0

Sediment Deposition in Kurram Tangi Dam
0
100
200
300
400
500
600
700
800
900
1000
0 25 50 75 100 125 150 175 200 225 250
Years after operation
A
v
a
i
l
a
b
l
e

S
t
o
r
a
g
e

c
a
p
a
c
i
t
y

(
T
h
A
F
)
Total storage ThAF
Live storage ThAF
Dead storage ThAF

Figure 2.34: Reservoir live and dead storage capacity after silt deposition.
KURRAM TANGI DAM: STORAGE CAPACITY VS. RESERVOIR SEDIMENTATION
1820
1840
1860
1880
1900
1920
1940
1960
1980
2000
2020
2040
2060
2080
2100
2120
0 50 100 150 200 250 300 350 400 450 500 550 600 650 700 750 800 850 900 950 100
0
Storage ThAF
E
l
e
v
a
t
i
o
n

F
t

a
m
s
l
Origional
T=25 years
T=50 years
T=75 years
T=100 years
T=125 years
T=150 years
T=175 years
T=200 years
Dead Storage Level = 2001.6 ft

Figure 2.35: Reservoir storage capacity curves after sedimentation.
2.18 DELTA DEPOSITION
The sediment laden river water when enters the reservoir experiences sudden
enlargement of flow area and corresponding decrease of flow velocity. This causes all of the
coarse sediments of suspended load and bed load to settle out of floatation/bed rolling. This
results in the formation of a delta at the mouth of the reservoir. Delta is defined by top set
slope, fore set slope, bottom set slope, and density currents. The pivot point is intersection of
top set and fore set slopes. The delta advances with time becoming closer to the dam body.
As reservoir draws down, the inflow causes advancement of the delta. The delta is weak
deposit of sediments without any binding force between the particles. Any seismic activity,
particularly at low reservoir levels, may result in immediate liquification of the delta which
will move towards the dam. The dam may fail on account of the thrust of the moving delta
deposits. Thus formation of delta is monitored strictly. The dam is operated in a way which
may not excessively expose the delta.

Pivot point
Topset slope
Foreset slope
Bottomset slope
Density currents
Normal pond level
Original river bed level
Origional thalweg slope
Figure 2.36: Delta formation at head of reservoir.
References
KTDC 2004. KURRAM TANGI DAM FEASIBILITY REPORT (Draft). Prepared by
Kurram Tangi Dam Consultants for Wapda, Lahore.
Morris, Gregory L. and Jiahua Fan. 1998. RESERVOIR SEDIMENTATION HANDBOOK
(Design and management of dams, reservoirs and watersheds for sustainable use).
McGraw Hill. New Yor. (Cewre library Accession # 6007).
NESPAK. 1988. Gandiali Dam Planning Report. National Engineering Services (NESPAK).
Lahore.
NESPAK. 1992. Mirani Dam Multipurpose Project: Project Planning Report. National
Engineering Services (NESPAK). Lahore. pp 2.3.
SDO. 1992. Project Completion Report of Jammergal Dam. Small Dams Organization,
Irrigation and Power Dept., Govt. of Punjab. Rawalpindi.
Tariq, Ata-ur-Rehman. 2004. Hydrologic Assessment of Small Dams in Potohar Area: Case
Study of Jammargal Dam. Paper presented at 69
th
Tariq, Muhammad. 2000. Hydrologic Assessment of Small Dams in Potohar Area: Case
Study of Jammargal Dam. M.Sc. Thesis. Centre of Excellence in Water Resources
Engineering, University of Engineering and Technology, Lahore.
annual session of Pakistan
Engineering Congress (April 6-8, 2004), Lahore. Paper No. 647. Proceedings pp:623-
645.
USBR. 1992. Flood Hydrology Manual. U.S. Department of the Interior, Bureau of
Reclamation, Denver.

Figure 2.37: Reservoir bed profile by lead line or sounding disk method (Source:
http://www.usace.army.mil/publications/eng-manuals/em1110-2-1003/c-8.pdf)

Freeboard Design
An important aspect of dam design is the nature of the freeboard - the specified vertical
distance between the reservoir water level and the top of the dam. This is primarily to provide
a margin of safety against flood events but is also essential to prevent splashing or occasional
overtopping of a dam embankment by extreme waves. Factors which should be considered in
determining the size of the freeboard include:
meteorological factors - wind characteristics, fetch;
hydrological/hydraulic factors - flood, reservoir and wave characteristics, spillway
and outlet flow rating curves;
downstream flood risks;
structural factors - type, slope, surface, settlement of embankment, spillway and
outlet characteristics etc;
geophysical hazards.
Source: http://www.worldbank.org/html/fpd/em/hydro/fd.stm

Tariq. 2008. DAM AND RESERVOIR ENGINEERING 3- 1
Ch. 3: Dam Geological and Geotechnical Studies

Chapter-3
GEOLOGICAL AND GEOTECHNICAL STUDIES
FOR DAM DESIGN
1
3.1 PURPOSES

Geology of the dam refers to the study and investigation of foundation materials, over
which the dam will be placed. Detailed geologic is directed to establish ground conditions in
terms of strength, durability, susceptibility to weathering, seepage flows, geologic structure,
stratigraphy, faulting, foliation/folding, jointing for the dam site itself and the sites for other
structures such as reservoir, spillways, diversion tunnel, outlet works, power house, etc.
General objectives of the geologic investigations are:
To determine whether the dam foundation has sufficient strength and durability to
support the type of dam proposed.
To establish whether foundation is watertight.
To set extent of need of any foundation improvement/treatment as curtain
grouting or blanket grouting.
To evaluate dam foundation against probable settlement and deformation.
To determine seepage pattern, seepage quantity, and pore water pressures in
foundations.
To establish containment integrity of reservoir basin (is storage area watertight?),
presence of cavernous rock openings (in limestone) leading to leaks of water from
the reservoirs to underground caverns and adjacent basins.
To check stability of reservoir rim/ week joints against landslide along reservoir
rim (leading to wave of water overtopping of dam crest when dam is full.
To find sources/locations, nature, suitability of construction materials in nearby
places which will be needed to build the dam.
Dams are usually founded over rocks. Most rocks have adequate strength but their
weakness is in the orientation and dip of discontinuities relative to loading from the dam, as
well as in fill material and depth of weathering in such discontinuities. (Fig. 3.1)

1
Sources:
Wahlstrom (1974); USBR (1967); USBR (2001); Novak et al. (1985)
http : // homepages . ihug . com . au/~richardw/ page 19.html, page25.html, page26.html
www.dur.ac.uk/~des0www4/cal/dams/geol/topo.htm

Figure 3.1: Foundation geology along the dam axis.
The geological services are required for the engineering of a large dam in the following
areas: (1) The safety of the dam on its foundations; (2) The water tightness of the reservoir
basin; (3) The availability of natural materials for its construction.
The engineering geologist is a key member of an engineering team, since he will
ensure the feasibility of the project, continuing through the design stage and terminating only
when construction has either proved that geological conditions revealed are in conformity
with the premises adopted in design, or he has made possible proper evaluation of any
conditions not foreseen in the earlier stages.

The safety, viability and cost of a dam are all dependent upon geology. Most rocks
have adequate strength but their weakness is in the orientation and dip of discontinuities
relative to the loading from the dam, as well as the infilling material in, and depth of,
weathering in such discontinuities. It is necessary to investigate both the regional geology and
the specific local geology to ensure a global picture is developed.
3.2 FOUNDATION MATERIALS CHARACTERISTICS
3.2.1 Terminology
Bedrock is a general term that includes any of the generally indurated or crystalline
materials that make up the Earth's crust. Individual stratigraphic units or units significant to
engineering geology within bedrock may include poorly or nonindurated materials such as
beds, lenses, or intercalations. These may be weak rock units or interbeds consisting of clay,
silt, and sand (such as the generally soft and friable St. Peter Sandstone, Sugary limestone for
Tarbela), or clay beds and bentonite partings in siliceous shales of the Morrison Formation.
Surficial Deposits are the relatively younger materials occurring at or near the Earth's
surface overlying bedrock. They occur as two major classes: (1) transported deposits
generally derived from bedrock materials by water, wind, ice, gravity, and man's intervention
and (2) residual deposits formed in place as a result of weathering processes. Surficial
deposits may be stratified or unstratified such as soil profiles, basin fill, alluvial or fluvial
deposits, landslides, or talus. The material may be partially indurated or cemented by
silicates, oxides, carbonates, or other chemicals (caliche or hardpan). This term is often used
interchangeably with the imprecisely defined word overburden. Overburden is a mining
term meaning, among other things, material overlying a useful material that has to be
removed. Surficial deposit is the preferred term.
Soil may be defined in engineering applications as generally unindurated
accumulations of solid particles produced by the physical and/or chemical disintegration of
bedrock and which may or may not contain organic matter. Surficial deposits, such as
colluvium, alluvium, or residual soil, normally are described
Rock as an engineering material is defined as lithified or indurated crystalline or
noncrystalline materials. Rock is encountered in masses and as large fragments which have
consequences to design and construction differing from those of soil.
Foundation materials are classified according to size, shape and looseness
Unconsolidated: These include loose materials in the form of single grains-clay, silt,
sand, gravel, cobbles, boulders, conglomerates, etc. Grain can be separated and
moved apart easily. None or small bending/cementing forces. These materials may be
cohesive as clays or non-cohesive as sands.
Consolidated: Basic grains are attached together in a strong manner, thus cannot be
separated easily. Such materials are generally termed as rocks.

3.2.2 Size:
Earth crust soil particles vary considerably in size. Particles are classified according to
size following soil classification system as: ASTM, Unified soil classification, USDA, UK
systems etc. Basic particle classes are: clay, silt, sand, gravel, cobbles and main classes may
further be subdivided into fine, medium or coarse particles. The clay, silt and sand when
combined in different proportions are classed into an array of granular soils (Table 3.1)
Terminology for Soils (Source: Engineering Geology Field Manual)
Definitions for soil classification and description are in accordance with USBR 3900
Standard Definitions of Terms and Symbols Relating to Soil Mechanics: The sizes are
summarized in Table 3.2.
Cobbles and bouldersparticles retained on a 3-inch (75-mm) U.S. Standard sieve. The
following terminology distinguishes between cobbles and boulders:
Cobblesparticles of rock that will pass a 12-in (300-mm) square opening and be
retained on a 3-in (75-mm) sieve. Dia 3-12 inches.
Bouldersparticles of rock that will not pass a 12-in (300-mm) square opening.

Table 3.1: Particle size classification. Size in mm
Class ASTM D422
Novak p.42
UK
BS1377
Wahlstrom
1974 p-43
USDA Unified EGFM
Clay colloids < 0.001
Clay < 0.005 < 0.002 < 0.002 < 0.002 < 0.075
Silt 0.005-0.075 0.002-0.06 0.002-0.06 0.002-

< 0.074
Fine 0.002-

0.002-

Medium 0.006-0.02 0.006-0.02
Coarse 0.02-0.06 0.02-0.06
Sand 0.075-4.75 0.06-2 0.06-2 0.05-1 0.074-5
Fine 0.075-0.425 0.06-0.2 0.06-0.2 0.05-0.25 0.074-

0.075-

Medium 0.425-2 0.2-0.6 0.2-0.6 0.25-0.5 0.42-2 0.425-2
Coarse 2-4.75 0.6-2 0.6-2 0.5-2 2-5 2-4.75
Gravel 4.75-76.2 2-60 2-60 2-76
Fine 2-6 2-6 5mm-

4.75-3/4
Medium 6-20 6-20
Coarse 20-60 20-60 -3 -3
Cobbles > 76.2 60-600 > 60 75-300
Boulders > 600 >300


Table 3.2: Comparative Particle sizes.
Descriptive term Size Familiar example within the size range
Boulder 300 mm or more Larger than a volleyball
Cobble 75 to 300 mm Orange -grapefruit- Volleyball
Coarse gravel 20 to 75 mm Grapes to orange
Fine gravel # 4 sieve (5 mm) to 20 mm Pea to grapes
Coarse sand # 10 to # 4 sieve Sidewalk salt
Medium sand # 40 to # 10 sieve Openings in aluminum window screen
Fine sand # 200 to # 40 sieve Grains barely visible-table salt-sugar
Gravelparticles of rock that will pass a 3-in (75-mm) sieve and is retained on a No. 4
(4.75-mm) sieve. Gravel is further subdivided as follows:
Coarse gravelpasses a 3-in (75-mm) sieve and is retained on 3/4-in (19-mm) sieve.
Fine gravelpasses a -in (19-mm) sieve and is retained on No. 4 (4.75-mm) sieve.
Sandparticles of rock that will pass a No. 4 (4.75-mm) sieve and is retained on a No. 200
(0.075-mm or 75-micrometer [m]) sieve. Sand is further subdivided as follows:
Coarse sandpasses No. 4 (4.75-mm) sieve and is retained on No. 10 (2.00-mm)
sieve.
Medium sandpasses No. 10 (2.00-mm) sieve and is retained on No. 40 (425-m)
sieve.
Fine sandpasses No. 40 (425-m) sieve and is retained on No. 200 (0.075-mm or
75-m) sieve.
Claypasses a No. 200 (0.075-mm or 75-m) sieve. Soil has plasticity within a range of
water contents and has considerable strength when air-dry. For classification, clay is a
fine-grained soil, or the fine-grained portion of a soil, with a plasticity index greater
than 4 and the plot of plasticity index versus liquid limit falls on or above the "A"-line
(Figure 3.23, later in this chapter).
Siltpasses a No. 200 (0.075-mm or 75-m) sieve. Soil is non-plastic or very slightly plastic
and that exhibits little or no strength when air-dry is a silt. For classification, a silt is a
fine-grained soil, or the fine grained portion of a soil, with a plasticity index less than 4
or the plot of plasticity index versus liquid limit falls below the "A"-line (Figure 3.23).
Organic clayclay with sufficient organic content to influence the soil properties is an
organic clay. For classification, an organic clay is a soil that would be classified as a
clay except that its liquid limit value after oven-drying is less than 75 percent of its
liquid limit value before oven-drying.
Organic siltsilt with sufficient organic content to influence the soil properties. For
classification, an organic silt is a soil that would be classified as a silt except that its

liquid limit value after oven-drying is less than 75 percent of its liquid limit value
before oven-drying.
Peatmaterial composed primarily of vegetable tissues in various stages of decomposition,
usually with an organic odor, a dark brown to black color, a spongy consistency, and a
texture ranging from fibrous to amorphous. Classification procedures are not applied to
peat.
3.2.3 Shapes
Gravels and cobbles shape may be as: Rounded, Sub rounded, Sub angular, Angular.
The particles shape may be as Bulky (equi-dimensional), Platy, Flaky, or Fibrous.
3.3 ROCK FEATURES FOR CLASSIFICATION
Rocks are aggregates of minerals. The chemical composition and molecular structure
determine the strength of the rock. Rocks and rock minerals are classified according to:
Hardness: determined by scratching the rock surface and compared with standard scale The
10 minerals scale: Tale-mica - 1, Gypsum 2, Calcite 3, Diamond 10), Finger
nail 2, Copper coin 3 (3-4), knife blade 5, window glass 5.5. The rock hardness /
strength descriptors are as under.
Alphanumeric descriptor Description / Criteria
H1 Extremely hard Core, fragment, or exposure cannot be scratched with knife or sharp
pick; can only be chipped with repeated heavy hammer blows.
H2 Very hard Cannot be scratched with knife or sharp pick. Core or fragment breaks with
repeated heavy hammer blows.
H3 Hard Can be scratched with knife or sharp pick with difficulty (heavy pressure).
Heavy hammer blow required to break specimen.
H4 Moderately hard Can be scratched with knife or sharp pick with light or moderate
pressure. Core or fragment breaks with moderate hammer blow
H5 Moderately soft Can be grooved 1/16 inch (2 mm) deep by knife or sharp pick with
moderate or heavy pressure. Core or fragment breaks with light hammer blow or
heavy manual pressure.
H6 Soft Can be grooved or gouged easily by knife or sharp pick with light pressure, can
be scratched with fingernail. Breaks with light to moderate manual pressure.
H7 Very soft Can be readily indented, grooved or gouged with fingernail, or carved with a
knife. Breaks with light manual pressure
Cleavage (yes/No). Yes if smooth surface on breaking. cleavage can be along one or more
parallel planes.
Fracture-breakage in planes other than cleavage plane: conchoidal concentric curved
surface, irregular - rough surface, splintery - wood like appearance
Luster appearance of mineral surface due to quality and intensity of light reflected
Color of the rock block.

Streak-color of fine powder of mineral obtained on rubbing
Uni-axial compression strength: weak less than 35 MPA, strong 35 115 MPA, very
strong - > 115 MPA. (1 MPA = 145 psi ????)
Pre-failure deformation: elastic or viscous
Gross homogeneity: Massive or layered
Formation continuity: Solid joint spacing > 2 m, blocky joint spacing 1 2 m, broken /
fragmented - < 1m.
3.4 ROCK FORMING MINERALS
Only a dozen out of 2000 minerals are found in most rocks.
Quartz - silicon dioxide (example milky quarts, rock crystal quarts)
Feldspar - potassium aluminum silicate or No-Ca-Al-silicate
Mica - Complex K Al-silicate
Amphibole - Ca-Mg-Fe-silicate
Pyroxene - Ca-fe-Silicate
Olivine - Mg-Fe-silicate
Calcite - Ca-CO
Dolomite - Ca-Mg-Co
3

Clay minerals - Hydrous-Al-silicate
3

Limonite - Hydrous ferric oxide
Hematite - Ferric oxide
3.5 ROCK ORIGIN
3.5.1 Igneous rocks
Igneous rocks are primary rocks. These are formed on cooling/solidification of molten
lava (magma). If lava cools within the earth body, it forms an intrusive igneous (or plutonic)
rock. If the lava reaches the earth surface through some channels and then cools, it forms
extrusive igneous (or volcanic) rocks. Intrusive-dike-introduced at an angle to bedding plane.
Intrusive-sill-introduced on parallel to bedding plane. Cooling of magma results in the
systematic arrangement of ions into orderly patterns. The silicate minerals resulting from
crystallization form in a predictable order. Texture refers to size and arrangement of mineral
grains. Cooling rate, dissolved gases affect crystal size.
Igneous rocks-may be coarse grained-individual crystals visible to naked eye. Fine
grained, Glossy-rock non crystalline. Examples- Granite, Rhyolite (Extrusive equivalent of
granite), Basalt, Gabbro (Intrusive equivalent of basalt). Shrinkage cracks often formed on
cooling to give a columnar structure. Intrusive rocks may become exposed subsequently due
to weathering / erosion of upper layers. Pyroclastic rocks are those composed of fragments
ejected during a volcanic eruption.
Figure 3.2.1 describes the classification of igneous rocks and Figs 3.2.2 to 3.2.5 show
some igneous rocks.

Figure 3.2.1: Classification of Igneous rocks.
2

Fig 3.2.2: Fine grained and coarse grained igneous rocks.

2
Figs 3.2.1- 3.2.16 are taken from lecture materials of Prof. J. David Rogers for GE50: Geology for Engineers
[http://web.umr.edu/~rogersda/umrcourses/ge50_....] and GE341: Engineering Geology and Gotechnics,
University of Missouri, Missouri School of Mines, Rolla. [http://www.geoengineer.org/learnbyhy-geology.html]

Fig 3.2.3: Granite, Andesite

Fig 3.2.4: Diorite (coarse grained), Basalt (fine texture, extrusive)

Fig 3.2.5: Gabbro, and Rhyolite
3.5.2 Sedimentary Rocks
These are secondary rocks formed of layer like masses of sediments that have
hardened through concentration, compaction, (or lithification) dissolution, precipitation or
incipient re-crystallization. Sedimentary rocks are products of mechanical and chemical
weathering. The base material is derived from the disintegration and decomposition of pre-
existent igneous, sedimentary or metamorphic rocks, materials were usually moved to new
places by wind, water, glaciers (detrital rocks).

Classtic rocks are made out of fragmental sediments of gravel, sand, silt and clays and have
discrete fragments and particles. Nonclastic rocks have pattern of interlocking crystals.
Chemical rocks form from dissolution and precipitation of chemical portions of rocks.
Organic rocks form from sediments of organic origin.
Examples: Classtic Conglomerate, Breccia, Sandstone, Siltstone, Mudstone, Shale
Pyroclastic Fine ash, Tuff, coarse (cinder) agglomerate
Chemical CaCO
3
(limestone), Ca-Mg-CO
3
(Dolomite), CaSO
4

(Gypsum), NaCl (Rock salt), CaCO
3
Organic animal remain (Coral rocks, Chalk), Carbon - plant remains
(Coal)

Figure 3.2.6 describes the classification of sedimentary rocks and Figs. 3.2.7 to 3.2.9 give
examples of these rocks.
Stratification is in approx parallel bands may be flat, tilted or folded. Bedding may be thin
(few inches) or thick (few feet). Bedding planes parallel to stratification. Cross bedding also
develop at right angle to the stratification.

Figure 3.2.6: Identification of sedimentary rocks.

Figure 3.2.7: Alternate sequences of sandstone and shale in Grand Canyon.

Fig 3.2.8: Quartz sandstone and Conglomerate.


Fig 3.2.9. Breccia, Coquina
3.5.3 Metamorphic Rocks
Metamorphic rocks are formed by partial to complete re-crystallization of pre-existing
rocks (igneous, sedimentary, other metamorphic rocks) due to high temperature and/or
pressure, differential stresses. Differential stress causes mechanical rotation and elongation of
constituent minerals and clasts. These rocks usually become deformed with complex highly
controlled fabrics. Layering develop due to original rock layering or generated during
metamorphism is clearly displayed in most rocks but not present in some massive rocks.
Layering is called foliation or schistocity. Most metamorphic rocks have the same overall
chemical composition as the parent rock from which they formed. Mineral makeup
determines, to a large extent, the degree to which each metamorphic agent will cause change.
Foliation any planar arrangement of mineral grains or structural features within a rock.
Examples of foliation: Parallel alignment of platy and/or elongated minerals.
Schistosity: Platy minerals are discernible with the unaided eye and exhibit a planar or
layered structure. Rocks having this texture are referred to as schist. Gneissic: During higher
grades of metamorphism, ion migration results in the segregation of minerals. Gneissic rocks
exhibit a distinctive banded appearance.
Nonfoliated rocks: Marble is a crystalline rock formed by the metamorphosis of limestone.
Quartzite is formed from a parent rock of quartz-rich sandstone. Quartz grains are fused
together.
Examples. Gneiss, Schist, Slate, Phyllite, Quartzite (from sandstone), Marble (from lime type
sedimentary rock). Fig. 3.2.10 gives classification of metamorphic rocks and Figs 3.2.11 to
3.2.16 give examples of metamorphic rocks.

Figure 3.2.10: Classification of metamorphic rocks.

Figure 3.2.11: Foliation resulting from directed stress.

Figure 3.2.12: Garnet-mica-schist

Figure 3.2.13: Slaty cleavage planes; Slope creep and rock toppling.

Figure 3.2.14: Deformed and folded gneiss; Gneissic texture

Figure 3.2.15: Slate (L) and Phyllite (R).

Figure 3.2.16: Marble; Quartzite

3.5.4 Rock symbols
The rocks are shown on the map by standard symbols as shown in Figure 3.2.17.

Figure 3.2.17: Symbols representing various rock types. (Source: Wahlstrom 1974, p-200)

3.5.5 Rock Formations in Pakistan
Various rock formations encountered at different locations are shown in Figs. 3.2.18
to 3.2.20 for illustrative purposes.


Figure 3.2.18: Massive limestone rock with many discontinuities (M-2 Salt range). Also see
are blast drill hole marks.

Figure 3.2.19: Shale formation cut slopes affected by whethering and erosion (M-2 Salt
range).

Figure 3.2.20: Massive limestone and sandstone inter bedding (M-2 Salt range).

Figure 3.2.21: Shale and sandstone inter bedding (M-2 Salt range).

Figure 3.2.22: Shale and sandstone inter bedding (M-2 Salt range).

Figure 3.2.23: Fractured sandstone bedding (M-2 Salt range).

Figure 3.2.24: Massive limestone rock on abutments of Dharabi dam (Dist. Chakwal).

Figure 3.2.25: Rock features along Mastuj River (a Try of Chitral R).

Figure 3.2.26: Rock fracturing Golen Gol, Chitral..

Figure 3.2.27: A large rock boulder with visible lava eruption/fill; Golen Gol, Chitral.

Figure 3.2.28: Sandstone and shale layers exposed at Tanpura-I dam, Dist Jhelum.

Figure 3.2.29: Fractured rock cut at Simly dam left abutment..

Figure 3.2.30: Shale and sandstone layering at right abutment of emergency spillway,
Mangla dam raising project.

Figure 3.2.31: Tanpura-I dam: Fractured friable sandstone layers over shale.

3.6 ROCK RESHAPING
Many features result in reshaping of rock masses as under.
3.6.1 Disintegration and Decomposition of rocks
Rocks are subjected to many physical and chemical processes that alter rock
formations and properties to varying degrees. Most changes result in reduction in size and
consequently their strength. Rocks are subject to weathering an account of exposure to
environment and on contract with hot aqueous solutions (hydrothermal solutions). The rate of
weathering depend on rock composition the climate, extent of contact of surface solutions
into deep locations (along fractures) warm and hot regions has greatest weathering. Physical
weathering produces soil and gravel, which are finally eroded by water, wind, and glaciers.
Chemical weathering results in clay minerals. Magnesium, calcium and iron rich rocks break
more easily by chemical weathering.
Rock masses also break on cooling and shrinking which also causes deep fractures
and joints. Rocks become folded etc due to seismic thrusts, lava eruption and earthquake
reasons. These features weaken the rock mass. Some depth of loose materials or alluvium
may also cover rock surface and is termed as overburden.
3.6.2 Bedding and Folding
Most rocks have flat-lying beds or layers and are visible on vertical exposed edges.
However, subsequent slope failure, lava eruptions, seismic movements lift these straight beds
and become folded and tilted or inclined (Figs. 3.3, 3.4).
Folds are produced by a complex process of dislocation involving bending, shearing
or slipping on a large to small scale and/or recrystalization. Anticlines-upfolds, synclines-
downfolds. Dome is upfold which dips away in all directions.
3.6.3 Fractures in rocks
Discontinuity.A collective term used for all structural breaks in geologic materials which
usually have zero to low tensile strength. Discontinuities also may be healed. Discontinuities
comprise fractures (including joints), planes of weakness, shears/faults, and shear/fault zones.
Depositional or erosional contacts between various geologic units may be considered
discontinuities.
Bedding planes - The planes marking the termination of one sedimentary deposit and the
beginning of another; they usually constitute a weakness along which the rock tends
to break.
Foliation - In rocks that have been subjected to heat and deforming pressures during regional
metamorphism, some new materials such as muscovite and biotite mica, talc and
chlorite may be formed by recrystallisation. These new minerals are arranged in
parallel layers of flat or elongated crystals - the property of foliation.

Figure 3.3: Rock layering (Source: Wahlstrom 1974. p-88)
Fractures are discontinues/breaks in geologic materials resulting from failure of rock under
stress (tensional, compressional or shear) The presence of faults may be recognized
from such physical features as; Offset of beds, dykes or veins; Slickensides; Gouge;
Brecciation or crushing; Topographic features like escarpments, linear trenches or sag
valleys.
Joint is a crack which transects a rock with little or slight displacement of adjacent sides
parallel to the plane but a slight seperation normal to the joint surface. A series of
joints with similar orientation forms a joint set (Figs. 3.5, 3.6).
Shear.A structural break where differential movement has occurred along a surface or zone
of failure; characterized by polished surfaces, striations, slickensides, gouge, breccia,
mylonite, or any combination of these. Often direction of movement, amount of
displacement, and continuity may not be known because of limited exposures or
observations.
Fault

. fractures along which there has been notable displacement of one side of fracture
relative to other. A shear with significant continuity which can be correlated between
observation locations; foundation areas, or regions; or is a segment of a fault or fault
zone reported in the literature. The designation of a fault or fault zone is a site-specific
determination. (A and B in Fig. 3.5)


Figure 3.4: Cross section of several kinds of folds. (no scale). Source: Wahlstrom 1974 p.96.
Shear/fault zone
Faults are generally accomplished by joints but joints are not necessarily associated
with faults. Fractures are of greater concern for engineering proper ties of rocks.
Fractures greatly reduce strength of rock and promote valley slope failure. Fractures
also provide channel ways for movement of water (leading to mechanical and
chemical weathering and alternation by solutions of deep seated origin. Fault is
dislocation along a fracture. Fault zone movement along a number of parallel, sub-
parallel or intersecting surfaces.
.A band of parallel or subparallel fault or shear planes. The zone may
consist of gouge, breccia, or many fault or shear planes with fractured and crushed
rock between the shears or faults, or any combination. In the literature, many fault
zones are simply referred to as faults.
Stirke of fault is compass bearing of a horizontal line in the plane of fault.
Dip

is inclination of fault from the horizontal (measured at right angle to strike). Many faults
and fault zone contain crushed materials and/or secondary minerals deposited from
groundwater circulation along the faults.


Figure 3.5: Some aspects of faults. (Wahlstrom 1974, p.97). A. Tensional gash joints and
tight compressed shear joints have developed along a fault. B. Faulting has caused
drag folding in adjacent sedimentary rocks. C. Fault is accompanied by extensive
development of joints in wall rocks. D. Sheeted fault zone. Movement along joints
is accompanied by development of parallel joints. E. Fault zone contains closely
spaced joints. F. Gash joints and shear joints have developed within and adjacent
to fault zone.
Gouge is the mix having large proportion of grains of clay size or slightly larger.
Crush breccia contain angular rock fragments usually embed in gouge.
Primary/Secondary Joints:

Primary joints formed at formation of rock due to shrinkage/
contraction/ volume change. Fractures can also develop during folding/lifting process.


Figure 3.6: Faults fill materials. (Wahstrom 1974, p.98). A. Braided slip surfaces intersect
fault filling, consisting of angular crush breccia. B. Fault filled with gouge and
crush conglomerate. C. Open space in fault contains a partial filling of minerals
deposited from solutions that moved along the fault. D. Fault contain a vein of gangue
and ore minerals. Wall rocks are altered by the solutions that deposited the fault
filling.

Figure 3.7: Shear and tension joints. (Wahlstrom 1974, p.99) A. Smooth surfaced,
intersecting shear joints. B. Rough surfaced tension joints. C. Tension joints that have
localized alteration of wall rock. D. Closely spaced shear joints associated with
displacements along bedding plane in shale.


Figure 3.8a: Faults, folds and joints in rock foundations.

Fig 3.8b. A fault with vegetation growth over the intervalley (The photo shows a reverse
fault. The lithology is composed of marl, clay and tuffite beds. The formation is namely
"Baskoy Formation". Its age is Turonien of Upper Cretaous. The fault formed as part of the
Alpine Orogenesis processes. The photo shows the formation of a small valley at the fault
zone where plants have grown. The location is the Bartin-Kurucasile roadway around Amasra
town in northwest Turkey near the Black Sea. Donated by: Avni Akyuz)
[www.geoengineering.org].

3.6.4 Weathering
Weathering considerably alters the properties of rocks. Weathering is caused by
weather, water, chemical and physical processes Weathering is classed as under:
Weathering category Weathering signs
Fresh Rock No visible signs of weathering
Slightly Weathered
Penetrative weathering developed in open discontinuity surfaces but only slight
weathering of rock material.
Moderately Weathered Weathering extends throughout the rock mass, but the rock is not friable.
Highly Weathered
Weathering extends throughout the rock mass, but the rock material is partly
friable.
Completely Weathered
Rock is wholly decomposed, and in a friable condition but rock texture and
structure are preserved.
Soil
A soil material with the original texture, structure and mineralogy of the rock
completely destroyed.

Figure 3.9: Rock matrix failure below river channels in soluble rocks.

3.6.5 Rock Classification
Tunnels are frequently constructed as part of outlet works, power tunnels, river
diversions etc. Tunnels are excavated through the rock matrix of abutments. The following
terms are used for the classification of rocks for tunneling purposes:
Intact rock contains neither joints nor hairline cracks. If it breaks, it breaks across sound
rock. On account of damage to the rock due to blasting, spalls may drop off the roof
several hours or days after blasting. This is known as spalling condition. Hard, intact
rock may also be encountered in the popping condition (rock burst) involving the
spontaneous and violent detachment of rock slabs from sides or roof.
Stratified rock consists of individual strata with little or no resistance against separation
along the boundaries between strata. The strata may or may not be weakened by
transverse joints. In such rock, the spalling condition is quite common.
Moderately jointed rock contains joints and hairline cracks, but the blocks between joints
are locally grown together or so intimately interlocked that vertical walls do not require
lateral support. In rocks of this type, both the spalling and the popping condition may be
encountered.
Blocky and seamy rock consists of chemically intact or almost intact rock fragments which
are entirely separated from each other and imperfectly interlocked. In such rock,
vertical walls may require support.
Crushed but chemically intact rock has the character of a crusher run. If most or all of the
fragments are as small as fine sand and no recementation has taken place, crushed rock
below the water table exhibits the properties of a water-bearing sand.
Squeezing rock slowly advances into the tunnel without perceptible volume increase.
Movement is the result of overstressing and plastic failure of the rock mass and not due
to swelling.
Swelling rock advances into the tunnel chiefly on account of expansion. The capacity to
swell is generally limited to those rocks which contain smectite, a montmorillonite
group of clay minerals, with a high swelling capacity.
Although the terms are defined, no distinct boundaries exist between rock categories. Wide
variations in the physical properties of rocks classified by these terms and rock loading are
often the case.
3.7 ENGINEERING PROPERTIES OF ROCKS
The strength of loose aggregates depends on degree of cohesion, confinement and
water content and varies as 5 to 20 psi. The strength of rocks (crushing strength) is a function
of mineralogy, cementation, origin and rock fabric (fabric expressed by grain size, grain
shape, grain distribution etc planer arrangement of elements of fabric, stratification, foliation
etc) and degree of fraction.

Engineering properties are considered in terms of ability of rocks to take load
(compressive and shear) and ability to pass water flow.
The rock density sp. Gravity
Basalt, gabbro, schist 2.9 3.2
Granite, slate, marble, limestone 2.5 2.8
In general strongest rocks are denser and weak rocks are most porous. Crushing strength of
rocks is given as under: (Wahlstrom p.48-49)
Rock type strength (thousand psi)
Clastic sedimentary rocks
Calcarious mudstones 8-28
Dolomite 9-51
Limestone 0.7-29
Sandstone 1.5-34
Shale 1-33
Siltstone 4-45
Igneous/metamorphic rocks
Basalt 26-40
Gneiss 22-36
Granite 6-42
Marble 7-34
Quantzite 30-53
Schist 1.1-20
Slate 14-47
Presence of mica lowers crushing strength. Weathering of rocks greatly reduces its strength.
Porosity of strong rocks may be less than 1%. Fractures, joints, solution channels may
increase porosity to as much as 15% (in limestone with cavernous spaces).
3.8 GEOLOGICAL REQUIREMENTS OF DAMS
Most dams can be built on all type of foundation conditions from strength point of
view. But this would require treatment and foundation improvements to make up structural
deficiencies of the foundation material. This means more costs usually making the project
expensive, less attractive and may be unacceptable. Thus there are preferred foundation
conditions favoring the type of dam and are described below. It may be pointed that
structurally sound foundations may require treatment for the purposes of reducing and
controlling seepage through dam foundations.
Earthfill Dams
Can be built over all types of foundation (alluvium, rock, soil, etc).

Rockfill Dams
Moderately hard rocks are preferred but can be built over deep alluvium. Sites with
large amount of clays are not very suitable.
Uncertain or variable foundation, which is unreliable for concrete dam can also be
used.
Concrete Gravity Dam
Hard rock at or near surface. Any soft overlying materials need to be removed.
Depth of soft material over the rock not to exceed 7-10 m to avoid excessive
excavation.
Concrete Buttress Dam
Buttress dam is suitable if rock of bearing strength of 2-3 MPa
Arch Dam
The dead gravity weight of an arch dam is supported by the foundation rock but it
utilizes the strength of an arch to transfer the water loads onto the abutments.
Therefore the strength of the rock mass at the abutments and immediately downvalley
of the dam must be unquestionable.
Its modulus of elasticity must be high enough to ensure deformation under thrust from
arch do not induce excessive stress in the arch.
Competent foundation and abutments of strong/hard rock.
Thin arch dam: Rock strength of valley sides between 5.5 to 8 Mpa.
Thick arch-dams: rock bearing strength more than 3.5 Mpa.
Multiple Arch Dam: Foundation rock reliable to bear 2-3 MPa or more without
settlement. [1 psi = 6.895 KPa, 1 MPa = 145 psi]
3.9 DAM SITE INVESTIGATIONS
3.9.1 Objectives
Geologic information of dam site is required for design of a safe dam structure. Over
40% of dam failures on record have occurred due to dam foundation defects. Investigations
must be able to answer following:
Depth of overburden that must be removed to reach an acceptable foundation.
Rock types that make up foundation and affect of weathering on rock quality.
Engineering properties of foundation rock types (strength, deformability,
durability), settlement, elastic properties.

Geologic structure of foundation in terms of joints, fractures, faults, folding,
defect pattern, orientation, spacing, extent and openness/aperture. Characteristics
of infill materials, presence of solution cavities and void continuity.
Permeability of rock foundation due to defects as joints, faults, bedding open.
Sources and location of adequate supplies of construction materials such as clay,
sand, gravel and rock fill, preferably as close as possible to the dam site;
Check if the rock excavated to provide a spillway for the dam be acceptable for
use as rock fill in the construction of the dam embankment;
Check if the spillway requires concrete lining and an energy dissipation structure
at its downstream end or is the spillway rock sufficiently erosion resistant that
these can be omitted (esp for small dams).
In order to be able to answer the above questions an experienced engineering
geologist must explore the dam site. Most dam site investigations will employ several
different methods, the exact mix of methods and the timing when each is carried out is
something which is tailored to suit the particular geological problems of each individual dam
site. These geological site investigations allow the engineering geologist to construct a
"geological model" of the site which is then used by the dam designers as a basis on which
they can design a safe and economic dam structure appropriate to the geology of that
particular site.
It is important to realize that even the most comprehensive site investigation program
cannot hope to reveal all the significant geological features of the site. It is therefore of
critical importance that the actual geological conditions revealed during construction be
compared with the geological model of the site derived from the site investigations. It is quite
common for unexpected geological conditions
3.9.2 Dam Site Investigations/Explorations Include
to be revealed during construction which
require changes to be made to the original design. A record of the site geology "as found"
during construction is also of great value if problems develop later during the operation and
maintenance phase
Surface explorations: geological mapping of surface rock outcrops
Geophysical surveys: seismic refraction, electrical resistivity surveys
Sub-surface explorations which include:
excavation of pits and trenches using bulldozers, backhoe, etc.
excavation of shafts, addits (tunnels) gallery
diamond core drilling to obtain undisturbed core samples at various depths
(few to hundreds of meters deep)
Rotary drilling to obtain disturbed samples

In-situ loading compressibility tests
Water pressure intake tests
Grout intake tests
The test sites include: dam axis, reservoir periphery, spillway, tunnels, power house site, etc.
3.9.3 Surface Explorations
The rock and loose fill material features are obtained from study of exposed surface,
rock outcrops, vertical cuts along streams, road sides, building foundation excavations.
Features directly observable/visible are evaluated. Loose fill material is noted as to grain size,
size gradation, shape and type of fill (alluvium, instu weathering, aeolian, glacial deposits) in
terms of quantity, quality, volume, depth, aerial extent etc. Rocks are noted for type, bedding,
layering, layer thickness, fracturing, dip and strike.
Surface exploration is a cheap and quick method for preliminary reconnaissance and
pre-feasibility level studies only. These must be added with other exploration methods for
feasibility and detail design level studies. Surface explorations with limited subsurface
explorations are useful to locate construction materials as gravel and sand for concreting,
boulders/cobles for riprap etc..
3.9.4 Geophysical Surveys
These are methods to read the foundation profile from the surface without
excavating the profile itself by traversing the profile with an electromagnetic signal. These
are non-destructive, cheap and quick methods. The main purpose of geophysical surveys are
to (1) - determine depth of bed rock and rock layers, (2) - locate buried bedrock channels, (3)
- determine depth of the rock weathering, (4) - major layering conditions, and (5) - delineate
boundaries of different materials.
A signal in the form of a
seismic impact (e.g. hammer blow)
or electric current or acoustic signal
is sent into the earth crust. The wave
traverses through the soil/rock layers
refracted back to soil surface and is
monitored at a distant location by
geophones or electrodes. The
strength and velocity of wave travel
is interpreted in terms of rock type,
layering depth, rock integrity. Field
experience in the form of bore hole
logs at neighboring locations are used for accurate interpretation of results. Geophysical
surveys require specialized equipment and experienced persons. Geophysical surveys are
mostly used to fill/detail out rock description between borehole locations.
Figure 3.10. Geophysical profile testing.

3.9.5 Sub Surface Explorations
Sub surface exploration includes excavating the foundation profile and studying the
contents. Various methods used are:
Test Pit of small plan area is dug to shallow depth. It allows inspection, sampling and insitu
tests.
Trench is a long continuous test pit to selected depths. Mostly limited to upper weathered
zone.
Tunnels-/adits is a horizontal opening made to explore area under slope, abutments, section
5x7 rectangular or hoarse shoe. It is slow and expensive. Show rock features. May be used
later as drainage adit.

Figure 3.11: Top: Exploratory adits on left and right abutments of Monar dam. Bottom:
Entrance to the adit. (http://www.corestore.org/DeanieMonar.htm)
Rotary drilling or Auger borings provide undisturbed samples. Augur borings of 4-12 inch
dia and up to 20 ft depth are done manually. Deeper holes are possible with mechanical

augers only including helical augurs for 3-16 inch dia, disk augurs for upto 42 inches dia, and
bucket augurs upto 48 inch dia holes. Augur borings provide profile details. Large size holes
are preferred for foundation investigations.
Diamond core drilling
3.9.6 Geologic maps
: These are carried by large drilling rigs using diamond drill bit. Water
is circulated through the drill stem to extract the rock cuttings/grindings to the surface. Drill
holes may be vertical or inclined. Log is prepared of the nature of rock materials encountered.
The penetration speed also provides rock hardness and strength. Undisturbed core samples
are retrieved by wire line without removing drill bit. Bore holes are located along dam axis,
and dam periphery. Bore holes are drilled down to level of hard un-weathered rock.
Undisturbed samples provide RQD description. Samples are sealed and sent to lab for further
strength tests.
The results of geologic investigations are presented in the form of geologic maps.
These include map of dam and reservoir area, along dam axis, along right and left abutments,
along spillway and other places of interest. Preliminary maps are first prepared from surfical
information and are improved further as more and more information is obtained by detailed
field investigations. Such maps for are shown in Figs. 3.12 (a to g) for Kurram Tangi dam.

Figure 3.12a: Surface geology map of KTD site.

Figure 3.12b: Alternate dam axis.

Figure 3.12c: Geological section along river channel.

Figure 3.12d: Geological section along dam axis.

Figure 3.12e: Geological section along left abutment.

Figure 3.12f: Geological section along right abutment / outlet tunnel.

Figure 3.12g: Geological section along spillway.

3.10 ROCK FOUNDATIONS (Sherard 1963 p-255)
Rocks are generally stronger than alluvium overlying the bed rock. Some rock masses
of soft secondary rocks (shale, clay stone, siltstone, mudstone or marl) are weak rocks with
their strength varying over a wide range. Density of rock may vary from 88 to 155 lbs/cft and
water content 2 to 40%. The rocks may be well cemented to being rock due to higher pressure
only (compaction shale). Shale foundations must be given the most careful and conservative
considerations even for low dams.
Characteristics which can reduce the strength of a rock are:
1. Continuous mass of clay or other weak material, even for thickness of a fraction
of an inch.
2. Closely spaced cracks system often associated with severe twisting movements
and faults.
3. Basic constituents consisting of highly plastic and very fine clay with no sand size
so that individual rock fragments have a greasy surface texture and very little
frictional resistance when sliding in respect to each other.
4. Horizontal bedding is likely to be more dangerous for two reasons. (a) weak
seams are more likely be continuous, (b) it is more likely that high pore water
pressure will be transmitted horizontally.
Test on individual rock specimens, core borings alone may not provide complete picture.
Large rock samples, large scale field insitu tests, test pits and shafts should be used. Calyx
borings (large diameter holes drilled with smooth walls) plus a large core is very useful for
this.
3.11 LOGGING OF EXPLORATIONS
The description of formation type and other characteristics is called bore log. This shows
results from rotary drill with adequate arrangements for obtaining samples. The standard
symbols are used to graphically describe the details. The information of multiple exploration
logs are presented in the form of sample log, x-section, or fence diagram. Sample log is
shown in Fig. 3.13.
Test holes should be numbered for identification.
Hole number prefixed by 1-2 letters as: DH-drill hole, AH augur hole (hand), AP-
Augur hole (power), TP-test pit (open), T-trench, etc.
A log is a written record of data concerning materials and conditions encountered
in each test hole.
Each log be factual, accurate, clear and complete

Log describes depth elevation, graphic log, samples, classification and physical
condition, percolation tests, type and size of hole, core recovery, RQD (rock
quality designation = proportions of samples which are 4 inch or longer in length).
Each log also record of hole No., location, project, ground level, bore
dip/inclination, total depth, test dates, ground coordinates, etc. type of equipment
used.

Figure 3.13: A typical log of a borehole. (Wahlstrom 1974. p.201)
3.12 FOUNDATION FAILURE (Wahlstrom p-165)
Dam foundations should be designed with generous margins of safety. The dam and
the reservoir behind dam create dead weight loads and water pressures that did not exist
previously. Thus behavior of dam, the materials in the foundations and the abutments, and in
the reservoir site require constant monitoring during and after dam construction and reservoir
filling for short and long term responses to loads (creep response: elongation due to continued
loading for long time). Tarbela dam is known to have numerous earth tremors on account of
release of stresses on bedding plans which are imposed by dam and water weight.
Dam body exerts large unit pressure over the foundation. Concrete dams, because of
small contact area, have greatest in concentrated loads pressures. Concrete dams are rigid
body and small foundation settlements can induce excessive stresses in the dam body.
Earthfill/ rockfill dams are non-rigid and can relatively easily adjust internally to load, and
pressure exerted on foundation are approximately equal to the weight of overlying prism of
materials of different height.

Figure 3.14: Geologic conditions promoting foundation failure. Plastic mechanism for shear
failure. A: vertical directed load. B: Load is directed asymmetrically. (Wahlstrom
1974, p.181)
Horizontal foundation rock/earth fill dams fail because of seepage/uplift problems
rather for shearing dislocations owing to the load of the dam. On contrary concrete dam fail
by shear dislocations. Shear surfaces develop under the dam as a symmetric wedge.
Foundations with faults, folds, low strength beds, inclined planes, fault zone or other weak
surface can lead to failure until treated.
Elastic properties of some selected rocks (P-185)
Rock Elasticity (10
6
Igneous Granite: 1.5-11.9; Andesite: 4.7-6.9; Baslat 5.9-12.4
psi)
Metamorphic Quartzite: 1.2-6.4; Gneiss: 3.5-15.1
Sedimentary Gypsum: 0.17-1.1, Shale: 0.3-9.9; Limestone: 0.4-14.1; Sandstone 0.6-8.0;
Siltstone: 1.0-9.3
3.13 IMPROVEMENTS OF FOUNDATION AND RESERVOIR AREA
FOUNDATION IMPROVEMENT
In spite of geological and geophysical investigations, the many important details
become known only at the time of construction and may require modifications of design and
construction details. Unpredicted delays are not appropriate. It be born in mind that never
again in the life time of dam it will be possible to examine in detail and take the appropriate
necessary steps to correct adverse conditions that are revealed in future. The foundations of
main dam through river valley and abutments are required to withstand dead/dynamic loads

with minimum seepage. Treatment of foundations and abutment is done to improve their
competency and to reduce or eliminate subsurface seepage.

Figure 3.15: Geologic conditions promoting failure of foundation of concrete dams.
(Wahlstrom 1974. p-182-183). A. Brittle fractured sandstone rests on a weak shale
layer dipping upstream. B. Horizontally layered limestone rest on a weak shale layer
which extends downstream to a steep slope in the valley floor. C. Fracture crystalline
rocks lie above a flat fault containing sheared, gougy materials of very low strength.
D. Intersecting strong conjugate joints have attitudes that promote easy mass sheat
dislocation. E. Sedimentary rocks dipping downstream are intersected by a fault
dipping upstream and containing materials of low strength. F. Folsed rocks containing
thin, weak layers of shale present a potential for foundation failures.
3.13.1 Stripping
The top few meters of rock surface are most affected by weathering and development
of fractures, faults etc inclined slippage planes. The fractured part of the rock foundation is
stripped off to reach a otherwise hard competent rock. This may be good enough for small

dams but need other treatments for large dams. Foundations with overlying alluvium are
stripped to expose the hard bed rock surface for concrete dams; this may not be needed for
earthfill or rockfill dams.
3.13.2 Replacement of Weak Layers
Weak inclined layers/beds of shale and other materials do not provide good
foundation. These layers if few and thin, may be excavated and space filled up by strong
concrete. Thus upper 5-10 m depth may be treated. However, the weak cleavage planes
between adjacent beds/layers may not get treated fully leaving potential planes of failures.
3.13.3 Grouting
Grouting is a process of filling the discontinuities and void spaces of underground
channels in rock with a sealant. Grout is a liquid, either a uniform chemical substance or an
aqueous suspension of solids, that is injected into rocks or unconsolidated materials through
specially drilled bore holes to improve bulk physical properties and/or to reduce or eliminate
seepage flow paths of water beneath the dam structure. Grout include: 1- Portland cement
based slurries, 2- chemical grouting solutions, and 3- organic resins, epoxy/polymers. Clay,
sand, bentonite or chemicals may be added to cement slurries to increase/decrease setting
time.
Three kinds of grouting programs are identified.
1. Comparatively shallow systematic blanket or consolidation grouting over critical
portions of the foundation.
2. Deep curtain grouting from a gallery or concrete grout cap along a specified location
e.g. dam axis, to produce deep impermeable barrier to subsurface groundwater
seepage.
3. Off-pattern special purpose grouting to improve strength and/or overcome problems
created by groundwater circulation.
Grouting help to close channel ways, and thus reduce seepage considerably. Small
inaccuracies may allow some seepage past the curtain, however, thus seepage can be taken
care of by installing drainage wells.
Grout curtain is located under the clay core in earth fill-rock fill dams, under the
concrete face in CFRF dam, under heel of a concrete dam, below gallery in concrete dams.
Depth of grout curtain is upto solid/firm/competent rock mass through weaker or fractured
beds. If complete description of foundation rock is not available, or is highly varied, then
grout depth is taken equal to height of dam at that location. Grouting for deep holes is usually
done over short intervals upward or downward. Packers may be used to isolate the grouting
section.


Figure 3.16: Earthfill and rockfill dam foundations in unconsolidated deposits. Wahlstrom
p.236-237). A. Rockfill dam, impervious membrane (asphaltic concrete) extends to a
grout cap on bed rock. B. Cut-off trench extends to bed rock. C. Cutoff trench
penetrates impervious layer in unconsolidated valley fill. D. Cutoff extends to layers
of impervious material in unconsolidated valley fill. Grout holes extend through
limestone layer in bed rock. E. A cutoff is provided by sheet piling driven into an
impervious layer in valley fill. F. Flow beneath dam is reduced by a layer of
impervious material placed upstream from the dam.
IMPROVEMENT OF ABUTMENTS AND RESERVOIR AREA
The weakness of abutments in terms of rock surface disintegration and falling over
may be improved by (1) Dental work the open rock joints are cleaned and filled with
concrete or some other filler; (2) Scaling the loose rock masses over the abutments and
reservoir rim are removed to exposed lower lying hard and stable surface, thus future danger
is reduced.
3.14 GROUTING
3.14.1 Curtain Grouting
This is grouting done along a single selected axis (e.g. below core, below concrete
slab of rockfill dam, below heel of concrete dam , or grout cap etc) to form a seepage curtain
below the dam. Thus every space on selected axis becomes treated (Figs. 3.17, 3.185).
Curtain grouting before dam construction for E/F, R/F dams.

Performed from a grout cap. The grout cap is made of concrete by filling a
shallow, narrow excavated trench in the foundation/cut of trench.
May be done after dam completed from an u/s heel of a dam.
Construction after dam completion most effective when full load of dam is being
exerted on the foundation. Thus higher grouting pressures may be used to assure
maximum filling of voids and sealing off of flow channels.

Figure 3.17: Dams on rock foundations showing location of drilled holes for foundation
treatment.. (Wahlstrom 1974. p-230-240). A. Rockfill dam with impermeable
concrete face. B, C. Zoned earth and rock fill dam. D. Earth dam. E. Concrete gravity
dam with C holes intersecting a fault zone. F. Concrete dam with double grout
curtain and C holes intersecting a permeable fault zone.

For concrete dams, a gallery is left in dam body from where grouting and drainage
wells may be installed after dam completion.

Depth of grouting: For completely described geology = 1/3 of dam height + 50 ft.
For unknown or highly variable geology = dam height.
For unknown geological conditions, depth as may be needed to plug off seepage.
Grout spacing commonly 10 ft apart.
A pre-determined closure pattern followed (Fig. 3.20).
Holes may be vertical or inclined
The depth of shallower holes is controlled by the experience in the preceding
holes
3.14.2 Blanket Grouting
Blanket grout holes are shallower 20-30 ft.
Intended to remedy flows in the foundation such as deep fractured rock. Over a
larger area.
Holes normal to foundation
Blanket grouting completed before construction of dam.

Figure 3.18: Schematic layout of Curtin and blanket grouting of rock foundation of an
earthfill dam. A: Plan, B: Section showing formation depth for curtain grout holes.
(Wahlstrom 1974. p-244)
3.14.3 Pattern Grouting
Dam geology unknown before construction. Location/specifications of curtain &
blanket grouting not precisely stated. Grouting take can be in excess of estimates

Need to complete grouting as required. Grouting is an art and not a science
Pattern grouting included in plans to for prior estimate of footage and grants
value.
Actual number of holes & specifications determined by the area and cross
sectional configuration of the excavation of dam foundation.

Fig. 3.19: Schematic location of pattern blanket and curtain grout holes in foundation of a
concrete gravity dam. Curtain grout holes are drilled from a gallery within the dam.
A: Plan, B: Preferred pattern, C: Alternate plan for grouting from the gallery.
(Wahlstrom 1974. p-245).


Figure 3.20: Conventional closure pattern for curtain drilling and grouting. Numbers indicate
sequence of drilling and grouting. (Wahlstrom 1974. p-248).

Figure 3.21: Curtin grouting holes with depth attitudes determined by subsurface geologic
conditions. (Wahlstrom 1974. p-249).


Figure 3.22: Grout curtain used on the abutment. (USBR, 2001, p.213).
3.14.4 Grouting pressure
Grout entry into the formation depends on grout consistency, void opening size, and grout
pressure. Thick or thin mixtures are used. Grout liquid injected below the rock layers tend to
travel outward and also force upward the overlying layers. The lifting of grout under pressure
in a horizontal channel way is function of grout pressure and rock density (for granite density
== 2.6) as under. (Pressure in psi, Height of rock that can be displaced.): 10 psi 8.8 ft; 100
psi 89 ft, 200 psi 178 ft, 300 psi 276 ft, 500 psi 444 ft. This necessitates that
shallower holes be grouted at smaller pressure, thus will have smaller lateral spacing.
3.15 ROCK SLOPE STABILITY
Fractured rock masses with inclined planes of weakness tend to be unstable and
present a threat of collapse by slope failure. This is especially so rock friction is likely to
change by exposure to water from a reservoir. Grouting and or rock bolts or steel tensioned
cables are useful.
Rock bolts tend to close fissures and increase shearing strength along fractures by
increasing frictional resistance.
These be firmly anchored in solid rock. Expanding anchoring device (rawl bolt),
quick set high strength resins are used.
Rock bolts may be installed at right angle to plane of facture.


Figure 3.23: Rock slab stability improvement by rock tension bolts. (Wahlstrom 1974. p-264).

Figure 3.24: Reinforcement of rock mass by tensioned rock bolts or steel cables. (Wahlstrom
1974. p-265) A: Unstable slope in inclined sedimentary rocks. B: Block of crystalline
rock above faults inclined toward the valley floor. C: Crystalline rock mass
intersected by vertical shear. D: A shattered zone along a fault zone. E: Closely
fractured zone in a foundation. F: Rock bolts or heavy steel cables to reduce hazard of
possible dislocation along a horizontal shale layer when reservoir is filled.

3.16 EARTHQUAKE HAZARDS
Earthwork or seismic tremors are important geophysical phenomena. Earthquakes are
caused by volcanic exceptions, tectonic plates movement and release of stresses embedded in
plates in the earth profile along active seismic faults, e.g. St. Andrews fault California, USA.
Earthquakes cause a sudden acceleration of earth surface resulting in shaking, jolting of all
structures resulting on the earth surface. Extreme tremors can cause considerable damage to
property and life. A geo-physist can analyze the earthquake hazard in the area.
Shock waves associated in the earthquakes are P or longitudinal, S or shear and L
waves. P waves moves with maximum in velocity, S waves at about 60% of P waves. P and S
waves are body waves that travel through rocks below the earth surface. L waves are
relatively slow surface waves of long periods and capable of causing swaying of buildings or
wave motion in water bodies at great distances from the point of origin. Most damage from
earthquake is caused by L waves rather than P & S waves.
Earthquake are characterized by location and depth of epicenters, intensity and
magnitude. Intensity is given by Mercalli scale and magnitude by Richter scale. Richter
magnitude is determined from amplitude of ground vibrations. Richter scale size of
earthquake effects at a specific location. The distance of epicenter and nature of ground
formation causes large changes on intensity and impact of the earthquake at a specific
location. Subsurface geology being much more important. Mercalli scale 1 to 12 (1 not felt
by people, 12 damage extreme or total). Richter scale M 1 to 8. M = Log
10
A/A
0
, where A =
maximum amplitude of horizontal ground motion at a distance of 100 km and A
0
Concrete dams resting on solid rock are usually not extensively damaged by
earthquake. Rock and earthfill dams are dislocated more than concrete dams by shock waves,
generally are flexible to adjust to micro adjustments without failure (not on weak foundation)
(or not dislocated by extension of fault into the dam). Although visible damage may not
develop in a dam, small scale displacements in foundation rocks may alter groundwater flow
pattern beneath the dam, disrupt or reopen cracks filled and sealed by grouts.
= amplitude
at 0.001 m.
Earthquakes may promote extensive land sliding in slopes, leading to water waves, of
considerable height. These water waves present a serious threat of destructive over flow of a
dam and dam failure. Waves may also be generated in the reservoir water body due to surface
jolting (called Tsunami). The earthquake hazard require that seismic loads must be
adequately accounted for dam and foundation design. Thus active or potential fault zone in
the vicinity of the dam site must be evaluated in the light of historic observed earthquake in
the area. For high risk area, the dam structure must be designed that can withstand shock
waves without damage. If historic record do not point to any earthquake hazard, even then
provision of measures tending to nullify the effects of natural disasters of all kind should be
considered as a social responsibility.

3.17 FOUNDATION PREPERATIONS
The foundations of a dam must be able to withstand without unacceptable
deformation the loads imposed upon it by the structure, both immediately after filling the
reservoir and in the long term. With time, deterioration by saturation and percolation of water
can occur, whilst soft rocks and clays usually exhibit lower residual strengths under sustained
loading (creep) than under rapid testing. It is the 10-20m of rock immediately below the dam
that is of greatest importance.
Terzaghi's advice might well apply to foundation testing - "...because of unavoidable
uncertainties involved in the fundamental assumptions of the theories and the numerical
values of the soil constants, simplicity is of much greater importance than accuracy." The
Engineer must use all the available resources, concentrating on the zones of foundation that
appear weak and that will be subject to stresses once loaded.
Introduction
If it is economically feasible, all material under the base of a proposed dam which
could cause excessive settlement and leakage should be removed. If this cannot be done, the
dam design should be modified to take account of such material. Sometimes it may be
necessary to remove material to considerable depths in isolated areas of the foundation. This
is known as dental work. The general overall removal of material is termed stripping,
whereas the removal of loose masses of rocks on the abutments is termed scaling. The
engineering geologist has to determine the expected depth of weathered or unsound rock or
overburden that must be removed in advance of construction. Further it has to be ascertained
about the vertical side angles of all cut-slopes (short or long periods) required for power
house, spillway, chute, stilling basin, plunge pool, etc. Also required is the compressive
strength, shear strength and water tightness of various rock formations.
Foundation program
A planned program of foundation excavation should be initiated with the view that the
volume of excavation and configuration of the excavation will approximate reasonably to the
plans and specifications established. It is the responsibility of the construction engineer to
ensure slopes for excavations will be permanently stable or will not fail during construction.
In earth materials slopes of 1.5:1 to 2:1 are excavated in permanent cuts and slopes of 1:1 are
established in temporary cuts, except where unusual conditions are anticipated. In bedrock
that is not closely fractured or does not contain inclined planes of potential slippage, such as
bedding planes in weak rocks, slopes are excavated at angles up to the vertical.
Problematic foundation materials
In foundations in unconsolidated material excavation of natural deposits may reveal
inadequate localized or widespread foundation materials that require special treatment or total

removal. Unacceptable or inadequate materials rich in organic substances such as topsoil,
swamp muck or peat, loose deposits of sand or silt, talus accumulations and plastic, active,
sensitive, or swelling clays. Poor foundation conditions in rocks are associated with close
fracturing, weathering or hydrothermal alteration, or poorly indurated sedimentary rocks.
Excavation in bedrock
The objective of excavation is the preparation of a clean surface that will provide
optimum contact with the dam materials, whether earth or concrete is to be placed on that
surface. Therefore excavations in bedrock should extend into firm, fresh rock. Any closely
fractured zones extending downward, especially if containing soft altered materials such as
clay gouge or other products of weathering, should be removed if feasible.
Prolonged exposure of both earth and rock foundations to the atmosphere or to water
frequently results in deterioration by hydration, dehydration, frost action, shrinkage, and
expansion with changes in temperature. It is good practice to protect reactive surfaces that
will be exposed for long periods of time with bituminous materials. Alternatively, original
cover is not removed until final cleanup and just prior to placement of the dam.
Construction on unconsolidated deposits
At an ideal site, excavations in unconsolidated deposits should extend to solid
bedrock for the full width of the dam, whether it is constructed of concrete or earth/rock fill.
However, there are many locations where the depth of the valley fill is so great that dams
must be constructed in part or entirely on unconsolidated deposits (Tarbela dam). Where this
is the case steps must be taken to improve the engineering properties of the foundation
materials and to reduce subsurface seepage to allowable levels.
Except for low dams of small gross weight, concrete dams are not built on
unconsolidated deposits because of their generally low bearing strength. Larger dams
constructed in whole or in part on unconsolidated deposits should without exception, be earth
or rockfill dams with the capacity to adjust to settlement in the foundation materials.
Preparation of foundation for concrete dam
The extent of the work that will be necessary in the foundations for a concrete dam
will be determined by two main factors, their strength to sustain the loads that will be
imposed by dam and the reservoir water, and the effect of water entering the foundations
under pressure from the reservoir.
Generally the quality of foundations for a gravity dam will improve with depth of
excavation however the abutments for an arch dam often do not improve with distance
excavated into the sides of the valley. Deterioration of clay could endanger the dam and/or
lead to collapse of abutments downstream from the dam.

Frequently the course of the river has been determined by geological faults or
weaknesses; proving of the river bed is therefore of first importance in the investigation
stage. The depth to be excavated will depend upon the nature of the infilling material, the
shape of the excavated zone, and the depth of cutoff necessary to ensure an acceptable
hydraulic gradient after the reservoir is filled.
Concrete dams may be constructed on foundations other than massive rock, i.e.
shales, glacial deposits or even sand for river works. Each case must be examined relative to
permeability, settlement, and load-carrying capacity (vertical and horizontal).
The final preparation of the foundation should be undertaken just prior to the
placement of concrete. It should include the removal of loose rock and all debris, roughening
of smooth rock surfaces, washing down of all surfaces, and the removal of excess water from
pools to leave a clean damp surface to receive the concrete.
3.18 GRANULAR MATERIALS IN FOUNDATIONS & FOR CONSTRUCTION
(Golze p-151)
Dams are occasionally built over granular foundations. In addition granular materials
are required for constructing earthfill dams and also impermeable core of rock fill dam. A
deep understanding of engineering properties of granular soils is important.
Granular materials are resultant of weathering of rocks over geological time scale.
Most frequently the weathering products are transported to other sites by water, ice, wind.
Various landforms of granular deposits are:
1. Fluvial Soils: Soils whose properties have been affected in-situ by action of water to
which they have been subjected. Common characteristics are roundness of individual grains
considerable sorting action, soil is stratified with lenses, strata may be thick or thin, and small
range of grain sizes in each stratum. Further divided as:
a) Torrential outwash. When the steep channels debounch onto plains the sediments
are deposited as an alluvial fans, as small deposits of steeply sloping coarse rock
fragments to gently sloping plains of fine grained alluvium. Coarse materials
deposited first. Sands and gravel sub-rounded to sub-angular. These are good
source of sand and gravels for construction purposes.
b) Valley fill materials: Flood plain deposits of generally finer materials., more
stratified generally flat, stream shape explain nature of deposits, braided silt,
sand, gravel, meandering fine grain soils, flood plain as common source of
construction material (sand, gravel) for concrete and dam shell material. Mining
from d/s areas is unfeasible until a positive cutoff is provided. It can also affect
tail water levels d/s of mining area ultimately affecting out let and spillway stilling
basin design. River bank terraces from an early stage of valley development can
provide good amounts of sand and gravel of excellent quality.

c) Lake beds: These are formed out of sedimentation of fine grain silt and clay in still
water. Stratification is usually weak. Materials are usually impervious,
compressible and of low shear strength. Cracking clays be present. Can be used
for imperious core of earthfill dams.
2) Glacial Deposits: These are formed due to grinding action of glaciers during its
advancing and retreats. These deposits are heterogeneous and difficult to explore
economically. These contain wide range of particle sizes, and particles are typically sub-
rounded to sub-angular with flat sides.
a) Moraine Deposits: Deposits formed from ice movement, heterogeneous mix of
cobbles, gravel, sand and some non-plastic fines. Flat to slightly undulating
surface. Large accumulation at tip.
b) Glacial outwash. These are deposits from glacial melt water.
3) Aelian Deposits: These are soils formed from blown wind and two types are dune
sands and loess. These are very rich in quartz and in fine to medium range sand with no
cohesive strength, high permeability and moderate compressibility. Loess has ability of
standing in vertical faces due to presence of small amount of clay which binds the soil grains
together. These fall in ML or ML-CL boundary group
4) Residual Soils. These are in-place weathered rock soil particles. Undefined dividing
line between parent rock and residual soil. Individual grains are angular and soft. Working
and handling reduces grain size, thus difficult to predict performance. Talus and land slides
are examples.
3.19 SOIL CLASSIFICATION
Soil is aggregate of uncemented mineral grains. Soils are classified on the basis of
percentage of various size grains in terms of clay, silt, sand, gravels to describe its potential
to produce crops. (See figure of soil classification triangle). Engineers are interested in soil
physical properties as unit weight, permeability, shear strength, compressibility and
interaction with water. Unified soil classification system is widely accepted by engineers.
This classification system is developed jointly by US Bureau of Reclamation, Corps of
Engineers and Prof. Casagrande. The system is usable for both visual - manual examination
as well as laboratory testing. The system is based on:
percentage of various soil fractioning
shape of grain size distribution curve
plasticity and compressibility characteristics of very fine grains
The system has established 15 distinctive soil groups (with a 2 letter symbol and a name) as
given in Table 3.3. The identification is based on:
1. Visual method: simple manual tests and visual observations to estimate size and
distribution of coarse grains and plasticity of fine grains.

2. Laboratory method: Use lab tests for size gradation, moisture content (soil
consistency) other basic soil properties. Help in precise delineation of soil group.

Figure 3.25: Typical soil gradation chart.


C: Gap graded soils.

Figure 3.26: Examples of soil gradation (USBR p-129).

Table 3.3: Grading of soils.
Major Divisions Group
symbol
Typical Names Field identification procedure Information required for
describing soils
1 2 3 4 5 6
C
o
a
r
s
e

g
r
a
i
n
e
d

s
o
i
l
s

M
o
r
e

t
h
a
n

5
0
%

m
a
t
e
r
i
a
l

l
a
r
g
e
r

t
h
a
n

#
2
0
0

s
i
e
v
e

s
i
z
e

G
r
a
v
e
l
s
:

M
o
r
e

t
h
a
n

h
a
l
f

o
f

c
o
a
r
s
e

f
r
a
c
t
i
o
n

l
a
r
g
e
r

t
h
a
n

#

4

i

C
l
e
a
n

g
r
a
v
e
l
s

(
l
i
t
t
l
e

o
r

n
o

f
i
n
e
s
)

GW
Well graded gravels,
gravel-sand mixtures,
little or no fines
Wide range in grain sizes and
substantial amounts of all intermediate
particle sizes
For undisturbed soils add
information on
stratification, degree of
compaction, cementation,
moisture conditions and
drainage characteristics.

Give typical name, indicate
approximate % of sand,
gravel, max size,
angularity, surface
condition, hardness of
coarse grains, local or
geologic name, and other
features and symbol.

Example: Silty sand,
gravely, about 20% hard,
angular gravel particles
in max size, rounded and
subangular, sand grains
coarse to fine; about 15%
non plastic fines with low
dry strength; well
compacted and moist in
place, alluvial sand (SM).

GP
Poorly graded gravels,
gravel-sand mixtures,
little or no fines
Predominantly one size or a range of
sizes with some intermediate sizes
missing
G
r
a
v
e
l
s

w
i
t
h

f
i
n
e
s

(
a
p
p
r
e
c
i
a
b
l
e

a
m
o
u
n
t

o
f

f
i
n
e
s
)

GM

Silty gravels, gravel-
sand-silt mixtures
Non plastic fines or fines with low
plasticity (procedure as for MC below)

GC

Clayey gravels, gravel-
sand-clay mixtures
Plastic fines
(procedure as for CL below)
S
a
n
d
s
:

M
o
r
e

t
h
a
n

h
a
l
f

o
f

c
o
a
r
s
e

f
r
a
c
t
i
o
n

s
m
a
l
l
e
r

t
h
a
n

#

4

s
i
e
v
e

C
l
e
a
n

s
a
n
d
s

(
l
i
t
t
l
e

o
r

n
o

f
i
n
e
s
)

SW
Well graded sands,
gravely sands, little or
no fines
Wide range in grain sizes and
substantial amounts of all intermediate
particle sizes

SP
Poorly graded sands,
gravely sands, little or
no fines
Predominantly one size or a range of
sizes with some intermediate sizes
missing
S
a
n
d
s

w
i
t
h

f
i
n
e
s

(
a
p
p
r
e
c
i
a
b
l
e

a
m
o
u
n
t

o
f

f
i
n
e
s
)

SM

Silty sands, sand-silt
mixtures
Non plastic fines or fines with low
plasticity (procedure as for MC below)

SC
Clayey sands, sand clat
mixtures
Plastic fines
(procedure as for CL below)
F
i
n
e

g
r
a
i
n
e
d

s
o
i
l
s
:

M
o
r
e

t
h
a
n

5
0
%

m
a
t
e
r
i
a
l

s
m
a
l
l
e
r

t
h
a
n

#

2
0
0

s
i
e
v
e

s
i
z
e

Identification procedure
Dry
strength
Dialatancy Toughness
Silts and Clay
Liquid limit less
than 50%

ML
Inorganic silts and very
fine sands, rock flour,
silty or clayey fine
sands or clayey silts
with slight plasticity
None to
slight
Quick to
slow
None Give typical names.
Indicate degree and
character of plasticity,
amount and maximum
size of coarse grains,
color in wet condition,
odor if any, local or
geologic name, and other
pertinent descriptive
information; and symbol..

For undisturbed soils add
information on structure,
stratification, consistency
in undisturbed and
remolded states, moisture
and drainage conditions.

Example: Clayey silt loam:,
brown, slightly plastic,
small percentage of fine
sand, numerous vertical
root holes, firm and dry in
place, loess (ML).

CL
Inorganic clays of low
to medium plasticity,
gravely clays, sandy
clays, silty clays, lean
clays
Medium
to high
None to
very slow
medium

OL
Organic silts and
organic silty clays of
low plasticity
Slight to
medium
Slow Slight
Silts and clays
Liquid limit more
than 50%

MH
Inorganic silts,
micaceous or
diatomaceous, fine
sandy or silty soils,
elastic silts
Slight to
medium
Slow to
none
Slight to
medium

CH
Inorganic clay of high
plasticity, fat clays.
High to
very high
None High

OH
Organic clays of
medium to high
plasticity, organic silts
Medium
to high
None to
very slow
Slight to
medium

Highly organic soils
Pt
Peat and other highly
organic soils.
Readily identified by color, odor,
spongy feel and frequently by fibrous
texture.

Table 3.3 continued on next page

(Table 3.3 Continued)
Major Divisions Group
symbol
Laboratory classificationcriteria
1 2 6 7
C
o
a
r
s
e

g
r
a
i
n
e
d

s
o
i
l
s

M
o
r
e

t
h
a
n

5
0
%

m
a
t
e
r
i
a
l

l
a
r
g
e
r

t
h
a
n

#
2
0
0

s
i
e
v
e

s
i
z
e

G
r
a
v
e
l
s
:

M
o
r
e

t
h
a
n

h
a
l
f

o
f

c
o
a
r
s
e

f
r
a
c
t
i
o
n

l
a
r
g
e
r

t
h
a
n

#

4

s
i
e
v
e

C
l
e
a
n

g
r
a
v
e
l
s

(
l
i
t
t
l
e

o
r

n
o

f
i
n
e
s
)

GW

D
e
t
e
r
m
i
n
e

%

o
f

g
r
a
v
e
l

a
n
d

s
a
n
d

f
r
o
m

g
r
a
i
n

s
i
z
e

c
u
r
v
e
.

D
e
p
e
n
d
i
n
g

o
n

p
e
r
c
e
n
t
a
g
e

o
f

f
i
n
e
s

(
f
r
a
c
t
i
o
n

s
m
a
l
l
e
r

t
h
a
n

#

2
0
0

s
i
e
v
e

s
i
z
e
)

c
o
a
r
s
e

g
r
a
i
n
e
d

s
o
i
l
s

a
r
e

c
l
a
s
s
i
f
i
e
d

a
s

f
o
l
l
o
w
s
.

L
e
s
s

t
h
a
n

5
%

G
W
,

G
P
,

S
W
,

S
P

M
o
r
e

t
h
a
n

1
2
%

G
M
,

G
C
,

S
M
,

S
C

5

t
o

1
2
%

B
o
r
d
e
r
l
i
n
e

c
a
s
e

(
u
s
e

d
u
a
l

s
y
m
b
o
l
s
)

Uniformity coefficient Cu > 6,
Coefficient of curvature Cc between 1 and 6

GP

Not meeting all gradation requirements for GW
G
r
a
v
e
l
s

w
i
t
h

f
i
n
e
s

(
a
p
p
r
e
c
i
a
b
l
e

a
m
o
u
n
t

o
f

f
i
n
e
s
)

GM

Atterberg limits below A line or PI
less than 4

Above A line with PI
between 4 and 7 are
borderline cases requiring
use of dual symbols.

GC

Atterberg limits above A line or PI
greater than 7
S
a
n
d
s
:

M
o
r
e

t
h
a
n

h
a
l
f

o
f

c
o
a
r
s
e

f
r
a
c
t
i
o
n

s
m
a
l
l
e
r

t
h
a
n

#

4

s
i
e
v
e

C
l
e
a
n

s
a
n
d
s

(
l
i
t
t
l
e

o
r

n
o

f
i
n
e
s
)

SW

Uniformity coefficient Cu > 4,
Coefficient of curvature Cc between one and 3

SP

Not meeting all gradation requirements for GW
S
a
n
d
s

w
i
t
h

f
i
n
e
s

(
a
p
p
r
e
c
i
a
b
l
e

a
m
o
u
n
t

o
f

f
i
n
e
s
)

SM

Atterberg limits below A line or PI
less than 4

Limits plotting in hatched
zone with PI between
4 and 7 are borderline
cases requiring use of
dual symbols.
SC

Atterberg limits above A line or PI
greater than 7
F
i
n
e

g
r
a
i
n
e
d

s
o
i
l
s
:

M
o
r
e

t
h
a
n

5
0
%

m
a
t
e
r
i
a
l

s
m
a
l
l
e
r

t
h
a
n

#

2
0
0

s
i
e
v
e

s
i
z
e

Fig. 3.27: Soil plasticity chart for laboratory classification of fine grained soils.
Silts and Clay
Liquid limit less
than 50%
ML

CL

OL

Silts and clays
Liquid limit
more than 50%

MH

CH

OH

Highly organic soils
Pt
Table 3.3 continued on next page

(Table 3.3 Continued)
Procedures and Criteria for Visual Classification of Fine-Grained Soils
Select a representative sample of the material for examination and remove particles larger than the No. 40 sieve (medium
sand and larger) until a specimen equivalent to about a handful of representative material is available. Use this specimen for
performing the identification tests.
Identification Criteria for Fine-Grained Soils.The tests for identifying properties of fines are dry strength, dilatency,
toughness, and plasticity.
1. Dry strength.Select from the specimen enough material to mold into a ball about 1 in (25 mm) in diameter. Mold or
work the material until it has the consistency of putty, adding water if necessary. From the molded material, make at
least three test specimens. Each test specimen should be a ball of material about in (12 mm) in diameter. Allow the
test specimens to dry in air or sun, or dry by artificial means, as long as the temperature does not exceed 60 degrees
Centigrade (EC). In most cases, it will be necessary to prepare specimens and allow them to dry over night. If the test
specimen contains natural dry lumps, those that are about in (12 mm) in diameter may be used in place of molded
balls. (The process of molding and drying usually produces higher strengths than are found in natural dry lumps of soil).
Test the strength of the dry balls or lumps by crushing them between the fingers and note the strength as none, low,
medium, high, or very high according to the criteria below. If natural dry lumps are used, do not use the results of any
of the lumps that are found to contain particles of coarse sand.
None: The dry specimen crumbles with mere pressure of handling.
Criteria for describing dry strength
Low: The dry specimen crumbles with some finger pressure.
Medium: The dry specimen breaks into pieces or crumbles with considerable finger pressure.
High: The dry specimen cannot be broken with finger pressure. Specimen will break into pieces between thumb and a
hard surface.
Very High: The dry specimen cannot be broken between thumb and a hard surface. The presence of high-strength, water-
soluble cementing materials, such as calcium carbonate, may cause exceptionally high dry strengths. The presence of
calcium carbonate can usually be detected from the intensity of the reaction with dilute hydrocloric acid (HCl). Criteria
for reaction with HCl are presented in a subsequent paragraph.
2. Dilatancy.Select enough material from the specimen to mold into a ball about in (12 mm) in diameter. Mold the
material, adding water if necessary, until it has a soft, but not sticky, consistency. Smooth the soil ball in the palm of
one hand with the blade of a knife or spatula. Shake horizontally (the soil ball), striking the side of the hand vigorously
against the other hand several times. Note the reaction of the water appearing on the surface of the soil. Squeeze the
sample by closing the hand or pinching the soil between the fingers and note reaction as none, slow, or rapid according
to the criteria below. The reaction criteria are the speeds with which water appears while shaking and disappears while
squeezing.
None No visible change in the specimen.
Criteria for describing dilatancy
Slow Water slowly appears on the surface of the specimen during shaking and does not disappear or disappears slowly
upon squeezing.
Rapid Water quickly appears on the surface of the specimen during shaking and disappears upon squeezing.
3. Toughness.Following completion of the dilatancy test, the specimen is shaped into an elongated pat and rolled by hand
on a smooth surface or between the palms into a thread about c in (3 mm) diameter. (If the sample is too wet to roll
easily, spread the sample out into a thin layer and allow some water loss by evaporation). Fold the sample threads and
reroll repeatedly until the thread crumbles at a diameter of about c in (3 mm) when the soil is near the plastic limit. Note
the time required to reroll the thread to reach the plastic limit. Note the pressure required to roll the thread near the
plastic limit. Also, note the strength of the thread. After the thread crumbles, the pieces should be lumped together and
kneaded until the lump crumbles. Note the toughness of the material during kneading. Describe the toughness of the
thread and lump as low, medium, or high according to the criteria below.
Low Only slight pressure is required to roll the thread near the plastic limit. The thread and the lump are weak and soft.
Criteria for describing toughness
Medium Medium pressure is required to roll the thread to near the plastic limit. The thread and the lump have medium
stiffness.
High Considerable pressure is required to roll the thread to near the plastic limit. The thread and the lump have very high
stiffness.
4. Plasticity.On the basis of observations made during the toughness test, describe the plasticity of the material according
to the criteria given below.
Nonplastic A 3-mm thread cannot be rolled at any water content.
Criteria for describing plasticity
Low The thread can barely be rolled, and the lump cannot be formed when drier than the plastic limit.
Medium The thread is easy to roll, and not much time is required to reach the plastic limit. The thread cannot be rerolled
after reaching the plastic limit. The lump crumbles when drier than the plastic limit.
High It takes considerable time rolling and kneading to reach the plastic limit. The thread can be rolled several times after
reaching the plastic limit. The lump can be formed without crumbling when drier than the plastic limit. Based on the dry
strength, dilatency, toughness, and plasticity tests, decide on whether the soil is an organic or an inorganic fine grained soil.

Figure 3.27: Plasticity chart for laboratory classification of fine grained soils.

Materials described as (gravel > #4, sands #4-#200, silt+clay <#200)
Coarse-grained, soils (gravel G, sand S modified by grading uniformity W-well graded, P-
poor graded). Sub-divisions are
GW well graded gravel, GP poor graded gravel
GM silty gravel (with 5-10% fines of little or no plasticity)
GC clayey gravel sand (with 5-10% fines of slight to medium/ plasticity).
SW well graded sand SP poor graded sand
SM silty sand with fines of little/no plasticity
SC clayey sand with fines of slight to medium plasticity
Fine grained (silt+ clays) < 200 sieve. Main groups are: M silt, C clay, O organic
soils modified with liquid limit as: ; L low liquid limit, H high liquid limit. Sub
divisions are:
CL lean clay ML silt
OL organic clay (on or above A-line) or organic silt (below A-line)
CH fat clay MH elastic silt
OH organic clay (on or above A-line) or organic silt (below A-line)
Boundary soil. Soils falling on boundary of fine and coarse grained and are given dual
symbol. This is used when % of fines is 5 to 12% or 45 to 55%.

(a): Basic group names. Hatched area on plasticity chart based on (Laboratory
Classification)
CL-ML - Silty clay
GC-GM - Silty, clayey gravel
SC-SM - Silty, clayey sand
(b): Basic group names, 5 to 12 percent fines (Laboratory Classification)
GW-GM - Well graded gravel with silt
GW-GC - Well graded gravel with clay (if fines = CL-ML) else well graded gravel
with silty clay
GP-GM - Poorly graded gravel with silt
GP-GC - Poorly graded gravel with clay (if fines = CL-ML) Poorly graded gravel
with silty clay
SW-SM - Well graded sand with silt
SW-SC - Well graded sand with clay (if fines = CL-ML) Well graded sand with silty
clay
SP-SM - Poorly graded sand with silt
SP-SC - Poorly graded sand with clay (if fines =CL-ML) Poorly graded sand with
silty clay
Augur holes 4 dia are made to retrieve soil samples for visual or lab tests. Samples are
obtained at all depths at short intervals. Larger dia augur if gravel/cobles are expected.
Samples may be disturbed or undisturbed. Samples may be obtained from test pits, trenches,
tunnel/addits excavations, augure borings, rotary drillings, etc. Very fine grained soils may be
grouped by using USDA soil triangle (Fig. 3. 28)
The general engineering properties of various soil groups is given in Table 3.? .
However lab tests must also be done.
3.20 EMBANKMENT MATERIALS
Huge quantities of materials are required for fill of embankments. Tarbela dam
required 106 million cubic meters (85,855 acre feet) of fill material. Availability of the
construction material (in terms of quantity and quality) has a profound impact on the choice
of the dam type. Most materials are suitable for use as shell and core. Unsuitable materials
are those which will deteriorate in the fill such as soil with soluble salts, organic matter.
Almost all soils can be used to construct an earthfill embankment.
The exploration for embankment materials begin at same time as foundation
investigations (Sherard p-263). The possible borrow areas are selected through
reconnaissance surveys, study of aerial photographs, geologic maps. Exploration proceeds in
stages moving outward from dam site, until enough borrow soils have been found. Following
factors must be studied


Figure 3.28: USDA soil classification system (USBR 2001. p-121).
i. Nature and thickness of top soils to avoid mixing up during excavations.
ii. Relative elevation of borrow area: to determine grade of haul roads.
iii. Natural water content, its seasonal fluctuations and need for draining or irrigating it in
the embankment:
iv. Quantity of oversized cobbles which would have to be removed before compaction.
v. Influence of excavation on appearance and operation of dam these sites should not
pose underlying pervious areas. No borrow close to dam.
The fill materials are evaluated for:
- Permeability - Density
- Stability - Shear strength
- Compression and shrinkage - Proctor compaction
- Piping and washing out of fines, - Economics of utilization
Various tests conducted on potential embankment fill materials include following.
Water Contents
These tests may be done in-situ or in a lab.


Permeability
Soil less than 1 ft/year (10
-6
cm/s) are considered as impervious. Pervious soils may
have K of 100 ft/year (10
-4
The permeability of soil may change when compacted in embankments. A pervious
gravelly or sandy soil with some fines can become quite impervious after compaction,
especially when course grains are well graded. To get imperviousness, adequate compaction
and proper gradation (minimum of fines and max of coarse grains) are required.
cm/s) or more. Both pervious and impervious materials are needed
for dam construction in varying amounts.
Stability
Ability of compacted embankment to resist shear force reflect stability. This depend
on factors as grain size, gradation, grain shape and drainability. Larger well graded grains,
better stability and shear resistance. Finer soils develop pore water pressure which reduces
shear resistance.
Compression and Shrinkage
Soil high in clay content compress under land of upper layers and develop high pore
water pressure. This is not desireable. Such materials can also shrink and crack on drying
during construction shut downs and extended low reservoir periods. Upper layers should be
reworked to improve.
Piping and Washing of Fines
Washing of fines from u/s & d/s slope be protected by providing graded filter and
riprap.
3.22 FIELD TEST
i. Field Permeability.
(In-situ test.) Tests are carried out by using pump out, method below water level and
pump in method above water level. Test over whole depth of the bore hole or packers may be
used to test over partial length. Test for each identified layer (both horizontal or vertical K).
For large deposits pumping drawdown test is conducted.
ii. In-place Density Test.
Sand density test. (test hole filled with sand of known ). weight sample. Small dia
hole for fine soils. Large cubic excavation/hole for gravely soil. If clean hole be dug, volume
by measurements of hole size. If broken hole, volume by sand displacement.
3.23 LAB TESTS
I. Fill materials tests
1. Particle gradation:
a. dia < 200 sieve hydrometer analysis

b. Dia # 4 to # 200 sieve Standard sieve analysis
c. dia > # 4 sieve. Sieve with clear square openings (size in inches)
Determine uniformity coefficient (Cu = d
60
/d
10
d = particle size by % passing) and
Coefficient of curvature (Cc = (d
30
)
2
/[d
10
x d
60
2. Water Content: Test by weighing, oven drying & weight again
]
3. Atterberg Limit:
Plastic limit PL by rolling 1/8 dia threads
Liquid limit LL by using casagrande apparatus (blows required to make the soil to
flow)
Plasticity index = LL-PL
4. Specific gravity
5. Proctor compaction test (max. dry density)
greatest dry unit weight obtainable by compactions.
Optimum water content water content at max. dry density
Proctor mold soil filled in mold in 3 layers, compacted by standard blow.
Compacted weight measured
Penetration test: Forcing proctor needle into compacted sample
6. Relative density: State of compactness of a soil in comparison to loosest and densest
state at which it can be placed by lab methods.
min max
max
e e
e e
D
d
=
7. Shear strength test under i. Undrained or Q (quick) test, ii. Consolidated undrained or
R (rapid) test, iii. Consolidated drained or S (slow) test. (Fig. 3.26). [for c, c, , ]
II. Riprap and aggregate tests
1. Specific gravity
2. Abrasion resistance of crushed rock and natural and crushed gravel (wear test)
3. Soundness test (sodium sulfhate test) - indicate ability of rock/gravel to resist
weathering.


Figure 3.29: Shear strength of compacted soils. (USBR 2001, p.138)
3.23 TEST EMBANKMENTS
Test embanks may be used for medium to large dams to gain increase in
understanding of best methods of placing the material and consequent improvement in the
specifications. This results in improved design and reduced costs. This also reflects needs and
special problems in handling/processing the embankment fill materials.
The main problems which can be studied with test embankments.
1. The best method and difficulty of excavation and placing the materials with respect to
water content, mixing and blending, problems of over sized rocks, segregation,
scarification of layers and compaction.
2. The shrinkage problem.
3. The shear strength and permeability of materials in the test fill as contrast to lab tests.
4. To test if a certain borrow material can be using for a specific purpose (pervious fill or
core)
5. To determine if a proposed material can be placed during racing weather
6. To determine best way to mix two materials
7. to determine if water content of a material can be practically lowered during
construction.
8. It provides unexpected valuable lessons.
9. Efforts require for compaction of rocks. (we know less about rock compactions)
10. Crushing of large rock pieces at dam site or a crushing plant to form an impervious
soil from weathered rock masses.

3.25 CONCRETE AGGREGATES
Large quantities of concrete are required for dam construction even for earth/rock fill
dams. Concrete require coarse and fine aggregates (gravel and sand). Economy of
construction dictates that enough quantities of aggregate are available within reasonable
haulage distance from the site. Highest quality aggregate may not always be the best choice.
These materials may be available is ready to use size/quality or some rock processing
(crushing/sorting/grading) may be needed. Cost of additional processing be compared with
cost of obtaining aggregates from amore distant source.
Aggregates should be tested in Lab for crushing strength, specific gravity (high values
materials hard and tough), chemical content (sodium and magnesium sulfate soundness
test), workability (shape and size of particles and proportion of small fractions.
Angular grains require more cement sand and water. Flat and elongated particles
liable to fear the matrix during finishing operations. Sands required of uniform grading from
coarse to fine. Coarse sand require more cement, Fine sand require more water
Aggregates be tested against contaminants as
% by weight Max. for Fine Coarse
Coal 1 1
Clay lumps 1 0.25
Shale 1 1
Materials passing 200 sieve 3 1
Other substances (alkali, Mica, coated 2 1
grains, flaky Particles, loam
Sum of all contaminants 5 3

3.26 DESCRIPTION OF THE PHYSICAL PROPERTIES OF SOIL
Descriptive information for classification and reporting soil properties such as
angularity, shape, color, moisture conditions, and consistency are presented in the following
paragraphs.
Angularity
Angularity is a descriptor for coarse-grained materials only. The angularity of the
sand (coarse sizes only), gravel, cobbles, and boulders, are described as angular, sub-angular,
sub-rounded, or rounded as indicated by the criteria below. A range of angularity may be
stated, such as: sub-rounded to rounded.
Criteria for describing angularity of coarse-grained particles
Angular Particles have sharp edges and relatively planar sides with unpolished
surfaces.
Sub-angular Particles are similar to angular description but have rounded edges.

Sub-rounded Particles have nearly planar sides but wellrounded corners and edges.
Rounded Particles have smoothly curved sides and no edges.
Shape
Describe the shape of the gravel, cobbles, and boulders as flat, elongated or flat
and elongated if they meet the criteria given below. Indicate the fraction of the particles that
have the shape, such as: one-third of gravel particles are flat. If the material is to be processed
or used as aggregate for concrete, note any unusually shaped particles.
Criteria for describing particle shape
The particle shape is described as follows, where length, width, and thickness refer to the
greatest, intermediate, and least dimensions of a particle, respectively.
Flat Particles with width/thickness >3.
Elongated Particles with length/width >3.
Flat and elongated Particles meet criteria for both flat and elongated.
Color
Color is an especially important property in identifying organic soils and is often
important in identifying other types of soils. Within a given locality, color may also be useful
in identifying materials of similar geologic units. Color should be described for moist
samples. Note if color represents a dry condition. If the sample contains layers or patches of
varying colors, this should be noted, and representative colors should be described. The
Munsel Color System may be used for consistent color descriptions.
Odor
Describe the odor if organic or unusual. Soils containing a significant amount of
organic material usually have a distinctive odor of decaying vegetation. This is especially
apparent in fresh samples, but if the samples are dried, the odor often may be revived by
heating a moistened sample. If the odor is unusual, such as that of a petroleum product or
other chemical, the material should be described and identified if known. The material may
be hazardous, and combustion or exposure should be considered.
Moisture Conditions
Describe the moisture condition as dry, moist, or wet, as indicated by the criteria
below.
Criteria for describing moisture condition
Dry Absence of moisture, dusty, dry to the touch.
Moist Damp but no visible water.
Wet Visible free water, usually soil is below water table.

Consistency
Describe consistency (degree of firmness) for intact finegrained soils as very soft,
soft, firm, hard, or very hard, as indicated by the criteria given below. This observation is
inappropriate for soils with significant amounts of gravel. Pocket penetrometer or torvane
testing may supplement this data.
Criteria for describing consistency of in-place or undisturbed fine-grained soils
Very soft Thumb will penetrate soil more than 1 in (25 mm).
Soft Thumb will penetrate soil about 1 in (25 mm).
Firm Thumb will indent soil about 1/4 in (5 mm).
Hard Thumb will not indent soil but readily indented with thumbnail.
Very hard Thumbnail will not indent soil.
Cementation
Describe the cementation of intact soils as weak, moderate, or strong, as indicated by
the criteria below.
Criteria for describing cementation
Weak Crumbles or breaks with handling or little finger pressure.
Moderate Crumbles or breaks with considerable finger pressure.
Strong Will not crumble or break with finger pressure.
Structure (Fabric)
Describe the structure of the soil according to criteria described below. The
descriptors presented are for soils only; they are not synonymous with descriptors for rock.
Criteria for describing structure
Stratified Alternating layers of varying material or color; note thickness.
Laminated
1
Fissured
Alternating layers of varying material or color with layers less than 6 mm
thick; note thickness.
1
Slickensided
Breaks along definite planes with little resistance to fracturing.
1
Blocky
Fracture planes appear polished or glossy, sometimes striated.
1
Lenses Inclusion of small pockets of different soils, such as small lenses of sand
scattered through a mass of clay; note thickness.
Cohesive soil that can be broken down into small angular lumps which resist
further breakdown.
Homogeneous Same color and textural or structural appearance throughout.

(Note: Do not use for coarse-grained soils with the exception of fine sands which can be
laminated.)
Additional Descriptive Information
Additional descriptive information may include unusual conditions, geological
interpretation or other classification methods, such as:
Presence of roots or root holes or other organic material or debris;
Degree of difficulty in drilling or auguring hole or excavating a pit;
or Raveling or caving of the trench, hole, pit, or exposure;
or Presence of mica or other predominant minerals.


Geology of Kurram Tangi Dam
The strata flanks is made of sand stone (soft to medium/hard to very hard),
conglomerate with pebbles of limestone, sand stone, and shale (thirty bedded,
blocky and sparely jointed).
Valley is 150 wide, 20 to 30 ft deep consisting of mix of cobbles, gravel, fine to
coarse sand, etc. Gravel of quartzite, dionite, limestone and sand stone.
Sand stone well exposed on valley wells.
Foundations are stable (4000-10700 pm crushing strength) with modulous of
deformation as 755000 to 14,600,000 psi
Permeability vary considerably. 2-3 ingeous at KTV-1, 114-193 at KTV-2.
The nearby seismic faults are sughar fault, Kala Bagh fault, Kurdal fault, Bhittani
fault.
Small to medium seismic risk.

REFERENCES
Novak et al. HYDRAULIC STRUCTURES pp-25, 85
USBR. 1967. Engineering Geology Field Manual @www.usbr.gov/prnts/geology/fieldman.htm.
USBR 1990a. Procedure for Determining Unified Soil Classification (Laboratory Method),
Earth Manual, Part II, 3rd edition, Bureau of Reclamation, U.S. Department of the
Interior, USBR-5000.
USBR. 1990b. Procedure for Determining Unified Soil Classification (Visual Method),
Earth Manual, Part II, 3rd edition. Bureau of Reclamation, U.S. Department of the
Interior, USBR-5005.
USBR. 2001. DESIGN OF SMALL DAMS. Oxford & IBH Publishing Co. New Delhi. Chapter 5
pp:107-204, chapter 6 pp 211-220
Wahlstrom, E. E. 1974. DAMS, DAM FOUNDATION AND RESERVOIRS SITES Elsevier
Scientific publishing company, Amsterdam.
Web resources:
http : // homepages . ihug . com . au/~richardw/ page 19.html, page25.html, page26.html
www.dur.ac.uk/~des0www4/cal/dams/geol/topo.htm
Other sites

Tariq 2008 DAM AND RESERVOIR ENGINEERING 4-1
Ch 4: Earthfill and Rockfill Embankment Dams

Chapter 4
EARTHFILL AND ROCKFILL EMBANKMENT DAMS
4.1 DEFINITION
International Commission on Large Dams (ICOLD) defined embankment dam as any
dam constructed of excavated materials placed without addition of binding material other
than those inherent in the natural material. The materials are usually obtained at or near the
dam site. An Earthfill Dam is an embankment dam, constructed primarily of compacted
earth materials, either homogeneous or zoned, and containing more than 50% of earth
granular materials. Contrary a Rockfill Dam is an embankment dam constructed of natural
rock materials, usually broken down to smaller fragments. Rockfill dam with all voids filled
by finer materials by hydraulic sluicing is usually regarded as earth-fill dam. An embankment
dam where large quantities of both granular materials (earth) and rock fragments are used is
called as Earthfill-Rockfill Dam.

Example of embankment dam, Stratos Dam, Greece (http://www.geoengineer.org)
I: EARTHFILL DAMS
4.2 GENERAL DESIGN CRITERIA:
Embankment dams are built to meet the following design criteria (Golze 1977 P-291,
Novak 19** P-59):
1. Stability: The foundation, abutments and embankments must be stable for all loading/
stress conditions during construction, and operation. Some distress can be tolerated
during construction.

2. Control of Seepage: Seepage through embankment, foundation and abutments must
be small and not exert excessive uplift on the structure, create high exit gradients,
piping not permitted.
3. Overtopping and Free Board: Top of dam must be high enough to allow for
settlement of dam and foundation and to provide sufficient free board to prevent
waves at maximum pond level (during maximum flood, e.g. spillway design flood)
from overtopping the dam.
4. Maximum Flood Evacuation: Spillway and outlet capacity be large enough to
prevent overtopping of the dam (Spillway only, no other outlets) even when few (at
least one) spillway gate become stuck/inoperative.
5. Upstream Slope Protection: Slope of embankment and outlet works be stable under
all operational conditions (first filling, quick drawdown, steady pond etc). Cuts into
rock masses for placing spillway must be stable under earthquake conditions.
6. Outlet and Ancillary Works: Care must be taken to ensure that outlet or other
facilities constructed through the dam do not permit their perimeter with risk of soil
migration and piping. Same care is needed at embankment joints with abutments.
7. Stability against uplift under structures: Seepage under the various structures as
spillway, chute, stilling basins, power house, exert lot of uplift pressure, thus these
structure must be safe for this condition.
4.3 PLACEMENT OF FILL MATERIALS
Huge quantities of fill material of varying gradation are placed to form the
embankment. The embankment materials of a dam may be placed as a rolled fill or hydraulic
fill.
Rolled fill. The embankment material of requisite grading is transported to site by hauling
machinery, placed at specific locations in layers, rolled out by earth moving
machinery into layers of suitable thickness, watered and compacted by plain or sheep-
foot rollers to requisite density.
Hydraulic fill. The material containing all grades and sizes are thoroughly blended, mixed
with water, transported to site in suspension by pumps and pipes and discharged at the
dam edge in inward direction. The material gets deposited by sedimentation. Thus the
coarser particles get deposited near the edges and finer particles reach to the middle
section. The fill is usually not further compacted.
Semi-Hydraulic fill. The material in suspension is transported by hauling units and dumped
at the edge of the embankment. It is then washed in its final position by water jets.
Drainage of hydraulic fill. The excess water reaching inner part of dam percolates
horizontally to outer more pervious shell. Remainder water rises upward to the
surface, allowing the center of dam to consolidate and subside. The downward

movement of the core eventfully develops arching in the core and prevents its further
consolidation.
4.4 TYPE OF EARTHFILL DAMS
Earthfill dams can be of types as Homogeneous, Zoned and Diaphragm dam.
4.4.1 Homogeneous Dams
The dam embankment is made of a single type of material (Fig. 4.1). These include
fine-grained particles or coarse-grained materials. The materials are compacted mechanically
to form a watertight fill. The fill material is required to possess following properties

1
It must be capable of being placed and consolidated to form a homogeneous mass
without any potential of piping as paths of percolation through the fill or along its
contact with the foundation and abutments.
:It must be sufficiently impervious to provide an adequate barrier and prevent
excessive loss of water through the dam, the acceptable level being determined from
the safety of the structure and the value of the lost water.
The fill material should develop maximum practical shear strength under compaction
and maintain most of it after the filling of the reservoir.
It must not consolidate, soften or liquefy upon saturation.
Due to relatively finer materials, the slopes must be able to avoid sloughing. The u/s slope is
relatively flat to ensure safety against sloughing under rapid drawdown conditions after
prolonged high-level storage. The d/s slope must be protected to resist sloughing when
saturated to a high level by rainfall.

For a completely homogeneous embankment, the seepage will eventually emerge on
the d/s slope regardless of its flatness and the impermeability of the soil if reservoir level is
maintained for a sufficiently long time. The surface to the height of 1/3
rd

1
(@ www.dur.ac.uk/~des0www4/cal/dams/emba.htm/embaf1.htm)
of depth of the
reservoir will be eventually affected. The exit of seepage may induce sloughing of the dam
toe and consequently the dam embankment. Thus measures are included to intercept the
H/3
H
Seepage
Figure 4.1: Seepage through an earthfill homogeneous dam.
Phreatic/Seepage line

seepage flow before it reaches the d/s slope. Such a dam is then called as modified
homogeneous dam (Figs. 4.2 to 4.4). These measures include rockfill toe, horizontal d/s
drainage blanket, and a vertical or inclined chimney drain. These measures do not decrease
the seepage amount but makes the seepage exit safer with no danger of dam toe failure. A toe
drain (Fig. 4.5) is usually used in conjunction with these seepage control measures to
intercept the seepage flow and its disposal.
A homogeneous embankment should not be used for storage dam. A homogeneous
type of dam is applicable in localities where readily available soils show little or no variation
is permeability and soils of contrasting permeability are available only in minor amounts or at
considerably greater cost.

Figure 4.3: Modified homogeneous dam with d/s horizontal drainage blanket.
H
Seepage
Figure 4.4: Modified homogeneous dam with a chimney drain and d/s horizontal drainage blanket.
H
Seepage
H
Seepage
Figure 4.2: Modified homogeneous dam with rockfill toe and graded filter.

4.4.2 Zoned Embankment Dam
A zoned embankment dam is constructed of materials of more than two types. The
zoned dam has a central zone of impermeable materials flanked by zones of materials
considerably more pervious called shell or shoulders. The inner zone is usually called a core.
The shell materials enclose, support and protect the impervious core. The u/s shell provides
stability against rapid drawdown and d/s shall acts as drain to control the line of seepage. The
section as a whole show progressive increase in permeability from the center outwards
towards each slope. The core is flanked by one or more zones of graded filter.
The central impervious zone consists of clay and outer shell consists of sand, gravel,
cobbles or rock or mixture of these materials. If rock is used in shell, it is then called as
earthfill-rockfill dam (Tarbela, Mangla dams). The dam is considered as zoned dam only if
the horizontal width of the impervious zone at any elevation equals or exceeds the height of
the dam above that elevation, and is not less than 10 feet (Fig. 4.6). The maximum width of
the core is controlled by stability and seepage criteria and the availability of the material. The
outer shall due to coarse nature and good drainage, may have relatively steeper outer slope,
limited only by the strength of the foundation, the stability of the embankment itself and
maintenance/construction considerations. For better stability of a section, longer haulage of
materials may be preferred. Graded filters are provided on u/s and d/s sides of the core which
Rockfill toe or horizontal drainage blanket
Fine rock or
sand/gravel fill
Graded gravel or
crushed rock
Toe drain
Figure 4.5: Toe drain for use with rockfill toe or horizontal drainage blanket.
Dam d/s slope
H
U/S
Shell
CORE
D/S
Shell
Seepage
Filter
Figure 4.6: A zoned earthfill dam.

acts as chimney drain. The d/s graded filter is connected with d/s horizontal drainage blanket
and toe drain for seepage outflow.
When a variety of soil materials are available, the choice of an earthfill dam should
always be a zoned embankment type because of its inherent advantage in reduced cost of
construction. The necessary arrangements are required to collect and dispose off any seepage
that does cross the impervious central zone.
4.4.3 Diaphragm Dam
This dam is similar to a zoned embankment dam with the exception that a thin
diaphragm of impervious material is provided to form a water barrier (Fig. 4.7). The bulk of
the embankment is constructed of pervious material (sand, gravel or rock). The position of
the diaphragm may vary from a blanket on the u/s face to a central vertical core. The
diaphragm may be made of earth/clay, Portland cement concrete, asphalt concrete or other
material. If the diaphragm material is earth, the horizontal thickness of the diaphragm at any
elevation is less than 10 feet or the height of the embankment above the corresponding
elevation of the dam (W h and W 10 ft). In some cases the diaphragm may be inclined.
Necessary arrangement for drainage of seepage flow is required. Graded filters are provided
on u/s and d/s sides of the core, which acts as chimney drain. The d/s graded filter is
connected with d/s horizontal drainage blanket and toe drain for seepage outflow.
The core may be vertical oriented or inclined. It can be placed near the u/s face, in the
center, or near the d/s face. The u/s and d/s faces of earthfill dam are protected by suitable
riprap.

A thin core dam becomes more economical for reasons as:
Unit cost of placing impervious materials may be more than the unit cost of placing
pervious materials.
The amount of embankment volume can be reduced in a thin core dam more effectively.
The construction time available and weather conditions may not permit the use of an
impervious core of large thickness.
H
U/S
Shell
C
O
R
E

D/S
Shell
Seepage
Filter
Figure 4.7: A diaphragm earthfill dam with central vertical core.

The minimum thickness of core depends on a number of factors on:
1. the tolerable seepage loss;
2. minimum width which will allow proper construction (machinery considerations);
3. type of materials chosen for the core and shoulders;
4. design of proposed filter layers;
5. past experience of similar projects.
Vertical Core
The core is inclined vertical (Fig. 4.7) and is usually located in alignment with the
crest of the dam.
Advantages of vertical core
Higher pressure exists on the contact between core and the foundation, and will provide
more protection against the possibility of leakage along the contact.
Vertical core tends to be slightly thicker for a given quantity of impervious soil than the
thickness of the sloping core.
Criteria
Cores with width of 30 to 50% dam height prove satisfactory under diverse conditions.
Core with width of 15 to 20% (thin) if constructed adequately is satisfactory under most
condition.
Core with less than 10% used only if large leaks through the core would not cause dam
failure.

Inclined Core
The inclined core is oriented at an angle with the base of the dam. The core is located
closer to the u/s face of the dam with top of core aligned with the dam crest (Fig. 4.8).
H
U/S
Shell
C
O
R
E

D/S
Shell
Filter
Figure 4.8: A diaphragm earthfill dam with inclined core.

Advantages
1. Core can be constructed after completion of d/s portion of embankment. Especially
useful for short dry weather condition. Suitable to allow construction of core from fine
grained soils.
2. Foundation grouting can be continued while dam embankment is being placed (thus
smaller construction period).
3. Filter zones can be thin (smaller slanting width for same horizontal width) and are
easier to install.
Disadvantages
1. Location of core for deep foundation conditions cannot be determined in advance; thus
difficult to locate grout curtain.
2. Additional grouting, if required after dam completion, cannot be undertaken.
Location of Impervious Core/Diaphragm
The core is preferably located in the center of the dam embankment due to following
advantages.
1. The core is equally supported and is more stable during a sudden drawdown (if
constructed from earth).
2. Settlement of dam induces compressive stresses in the core, tending to make it more
compact.
3. There is less core volume.
4. Foundation grouting if required can be done post construction of the dam from the crest.
The choice of impermeable zone depends on stability of the core material. If it is strong to
resist cracking under load, a location near u/s is often the most economical. However, if core
material is weak, a central location is better.
[www.ferc/industries/hydropower/safety/eng-guide/chap4.pdf (embankment dam) and
/chap3.pdf (gravity dam)]
4.5 CONTROL OF SEEPAGE THROUGH EMBANKMENT
The seepage through the dam embankment is controlled by two steps: (1) minimize
the seepage rate and volumes and (2) streamline the any seepage to exit from the dam without
any damage to the embankment (safe seepage exit gradients).
1. Minimize the seepage: All the fill materials will allow some seepage through the
embankment. The impermeability of the core minimizes the seepage rate. Thus
permeability and the thickness of the core will ultimately set the seepage rate through the
embankment. Thus thick cores having minimum permeability materials will result in
smaller seepage rates.

2. Contain and streamline the seepage: For a sustained high-level reservoir, the seepage
flow occurs through the dam section. The seepage emerges at the d/s face of homogeneous
and zoned dams. The seepage flow if unchecked can lead to severe piping, and sloughing
of the d/s slope and may ultimately lead to failure of the dam. Following arrangements are
used to contain and streamline the exit of seepage flow from the dam body.
4.5.1 Rockfill Toe and Toe Drain
The d/s toe of a homogeneous embankment is constituted of rockfill material with a
graded filter between the earthfill and rockfill pervious material. The seepage line will
converge towards the rockfill and is then exits safely across the d/s slope keeping the d/s
slope dry and safe. A graded filter is provided between the embankment fill material and the
rockfill toe to prevent migration of embankment materials into the rockfill toe. Frequently a
perforated toe drain of rockfill grade material (Fig. 4.5) is constructed near and below the
outer end of the toe to collect the seepage flow. A perforated pipe is embedded in a trench
filled with fine rock fill. The toe drain collects the seepage discharging from the embankment
and the foundation and lead it to an outfall into the river channel below.
Toe drains may be made of vitrified clay or concrete, perforated corrugated metal or
PVC pipe. Drains are placed in trenches below the ground surface to ensure effective
interception of seepage flow. Minimum depth below GS = 4 ft, maximum as required to
maintain uniform gradient. Bottom width of trench is 3-4 ft, pipe dia- 6 to 24 depending on
gradient, reach length, seepage rate. Drain pipe is surrounded by geotextile filter to prevent
clogging. Material surrounding drain must satisfy filter criteria. The fill materials in the
trench and surrounding the drain pipe include: Graded sand, Sand and gravel or selected fine
rock, and Graded gravel or crushed rock
4.5.2 Drainage Blanket
Blanket drains are provided under the base of embankment fill material and extend d/s
of impervious zone, impervious diaphragm or 1/4 to 1/3 base of the dam (Figs. 4.3 and 4.9).
The blanket drain will intercept the seepage line. Drainage blanket may contain one or more
layers of coarse filter grade materials of filter criteria to match with the materials on two sides
of the filter. The thickness of the blanket should be enough to carry the seepage flow to the
toe drain at the end of the blanket. The blanket drain may not provide full protection against
seepage over a stratification layer which moves horizontally over the layer and ultimately
reaches the downstream face.
Blanket drain: It may be a continuous layer along whole length of dam or may be intermittent
and connected with chimney drain. The length of the dram should reach to d/s edge of core or
u/s water depth for a uniform dam. In some cases it may extend under the core. Large length
of drain decreases the seepage flow path and increase seepage. The thickness varies 3 ft and
above. Material is of filter criteria. A toe drain or a drainage gallery is also provided at outer
end to collect the seepage.


4.5.3 Chimney Drain
This is a vertical or inclined drain (made of graded filter) provided inside the dam
body (Figs 4.4, and 4.6 to 4.8). These are usually placed d/s of the impervious core and may
be vertical or inclined (30
o
120
o
The chimney drain can be equally useful for a homogeneous dam with a toe drain.
The dam fill placement and compaction in layers form a pseudo-layered condition where
seepage flow entering in one layer will continue in the same layer and will ultimately appear
on d/s slope facing leading to slope failure. The chimney drain will intercept the seepage
from these layers and lead safely to the toe drain (Fig. 4.4)
). The chimney drain may be composed of one or more
zones to match the gradation of the adjacent materials. The chimney drain intercepts the
seepage flow that crosses the core. It may be single graded or double graded depending upon
gradation of fill materials on the two sides of the chimney drain. Chimney drain is used in
conjunction with horizontal drainage blanket. Chimney drain is connected to blanket drain at
bottom or into a floor channel of drainage gallery.
4.6 FILTER CRITERIA
The filter material is placed in toe, blanket or chimney drains and its materials must
match with the gradation of the adjacent materials to ensure stability of the filter and adjacent
materials. The filter must have large flow capacity to transmit intercepted seepage flow out of
the dam body. Following criteria follows. D refers to the size of filter material (having larger
size) and d refers to the size of base (adjacent) materials having smaller size. (Sherard P-83,
USBR 2001, p-235).
Standard sieve set is used to determine the particle size gradation of fill and filter
materials. The sieve sizes are as under.
# mm # mm # mm # mm # mm
3 6.4 10 2.0 25 0.71 60 0.25 200 0.074
4 4.8 12 1.7 30 0.59 70 0.21 270 0.053
5 4.0 16 1.19 35 0.50 100 0.149 300 0.050
6 3.4 18 1.00 40 0.42 140 0.105 325 0.044
8 2.38 20 0.84 50 0.297 170 0.088 400 0.037
Dam foundation material
(fine to coarse grained)
EARTHFILL
Dam d/s slope
Fine graded filter
Coarse graded filter
Figure 4.9: D/s horizontal drainage blanket and toe drain.
Toe drain

The fill and filter material are characterized by Uniformity Coefficient C
U
= d
60
/d
10
and
Coefficient of Curvature as: C
C
= d
30
2
/[d
60
xd
10
] and Self-Filtering Critera C
SF
=
d
50
2
/[d
60
xd
10
1. D
]. The filter criteria is as under:
15
/d
15
2. D
= 5 to 40
15
/d
85
3. D
5 [This is to prevent migration of fines.]
85
4. Gradation curve of filter material be parallel to gradation curve of base material
(similar C
/drain opening 2 [for toe drain]
U
5. If base material contains gravel, then filter is designed on the basis of gradation curve
of the portion of the material finer than 1 sieve.
as for base material).
6. Filter should contain not more than 5% of fines passing # 200 sieves and the fines, if
any, should be cohesionless.
7. Self filtering is achieved if d
15 coarser
5 d
An alternate filter criteria for transition zone is described as under.
85 finer

* D
15
/d
15
* D
> 4-5 For sufficient permeability
15
/d
85
* D
< 4-5 To prevent migration of fines
50
/d
50
* D
< 25 To prevent migration of fines
60
/D
10
The filter may have one zone/layer or more than one zone between the adjacent fill
materials e.g. clay core and rockfill. Single or double filter layers between fine and course fill
are selected to ensure filter criteria on both sides of the filter layer. For single zone/layer filter
of Fig. 4.10(a) the filter F1 must comply both for the gradation of clay core on one side and
the gradation of rockfill on the other side. Considering the filter criteria between clay core
and filter F1 the D will refer to gradation of filter F1 and d will refer to gradation of clay
core. Considering the filter criteria between filter F1 and the rockfill the D will refer to
gradation of rockfill and d will refer to gradation of filter F1. For double zone/layer filters of
Fig. 4.10(b) the filter F2 abutting the coarser fill material (rockfill) will be coarse than filter
F1 abutting the finer fill material (clay core). The filter F1 must comply both for the
gradation of clay core on one side and the gradation of filter F2 on the other side. Similarly
the filter F2 must comply both for gradation of filter F1 on one side and the rockfill gradation
on the other side. In exceptional cases three layers/zones of filter may become necessary to
fully meet the filter criterion between fine and coarse fill materials.
< 20 For well graded filter to prevent segregation of filter
Dimensions of Filter Layer
Filter zone width and thickness is selected from point of view of its carrying capacity after
few years (when some settlement, particle rearrangement had occurred and some fines may
have settled) and its constructability.

Minimum thickness is one which can be constructed without danger of gaps or
areas of segregated materials.
Horizontal filter layers can be thin, as 6 for sand and 12 for gravel but thicker
layers are preferred.
Chimney drains or transition zones min horizontal width of the filter zone should
be 8-10 ft, 10-12 ft preferable to enable placement, handling and some
compaction.
For cost reasons or limited filter materials, 3-5 ft wide zones may be used, but
require more supervision and hand labor for good construction.

Example (USBR 2000, p-236)
Given: d
15
= 0.006 mm, d
85
D
= 0.10 mm, pipe openings = inches.
15
D
lower = 5 * 0.006 = 0.03 mm (1) [criteria 1]
15
D
upper = 40 * 0.006 = 0.24 mm (2) [criteria 1]
15
From eq 2 and 3 select smaller size, D
5 * 0.10 = 0.50 mm (3) [criteria 2]
15
upper = 0.24 mm; Average D
15
Draw filter gradation line parallel to base material gradation curve and read D
= 0.14 mm.
85
D
= 2.4 mm.
(4)
85
As D
2 * 0.5 1 (5) [criteria 3]
85
from eq (4) is smaller than from eq (5), thus a single filter layer will not work. Adopt
above criteria for 1
st
layer F1 [D
15
= 0.14 mm, D
85
= 2.4 mm] and Work for 2
nd
D
layer F2.
15
D
15
Clay core
Earthfill
F
i
l
t
e
r

F
1

F
i
l
t
e
r

F
2

Figure 4.10.1 Single or double zone/layer filter between clay core and gravel / coarse fill.
Clay core
Earthfill
F
i
l
t
e
r

F
1

(a) single filter zone
(b) double filter zones

D
15
5 * 0.24 = 12 mm (8) [criteria 2]

Figure 4.10.2: Mangla dam raising project showing core, and u/s and d/s double filter layers.

Core F1
F2 F1
F2
U/s fill
D/s fill
F1 F2
CORE
D/s fill

Figure 4.10.3: Mangla dam raising project showing core, and double filter layers.
15
15
= 4.0 mm.
85
D
= 50 mm. (9)
85
Select D
2 * 0.5 1 (10) [criteria 3]
85
from eq 9 and 10 as 50 mm. Then F2 = [D
15
= 4.0 mm, D
85
Dimensions and Permeability of Toe/Blanket/Chimney Drains
= 50 mm.
The dimension and permeability of the drain must be adequate to carry away the
anticipated flow with an ample margin of safety for unexpected leaks. For a relatively
impermeable foundation, then the expected leakage would be low.
A drain should be constructed of material with a coefficient of permeability of at least
10 to 100 times greater than the average embankment material.
Drain material is usually a processed material. Pit run borrow is usually too dirty (i.e.
have large fines). Drain materials must have following grading.
Particle size % passing by weight
1 90 100
45 75
# 4 (4.8 mm) 30 - 45
# 50 (0.297 mm) 4 - 10
# 100 (0.149 mm) 1 - 3
# 200 (0.074 mm) 0 - 2
Gradation should be such that it will prevent particles of soil from the adjacent location from
entering the filter and clogging it.
4.7 FOUNDATION DESIGN
Foundation includes both valley floor and the abutments. Foundation must ensure
following design requirements
1. It provides support for the embankment under all conditions of saturation and
loading.
2. It provides sufficient resistance to seepage to prevent excessive loss of water.
Foundation is not actually designed but treatments are provided in design to ensure
that all essential requirements are met.
No two foundations exactly alike, each presents its own separate and distinct
problems. Foundation improvements be adopted to local conditions.
40% dam failures attributed to failure of the foundation.
Judgment on the basis of foundation exploration and past experiences.

Foundation may be of rock, coarse grained material (sand, gravel), or fine grained
material (silt and clay)
Infinite variations in the combinations (materials), structural arrangements and
physical characteristics of the constituent materials.
Roughly stratified.
For hard foundation minimum treatment include stripping of foundation area to
remove sand, topsoil, and other unsuitable materials.
A key trench is provided to improve bonding of impervious zone of embankment to
the foundation.
4.8 ROCK FOUNDATIONS
Most rock foundations have adequate physical strength. However weathering near the
surface make is weaker and prone to excessive seepage flows. Some treatments may be done
to improve strength and/or to reduce seepage potential. The treatments includes: (see detail in
chapter 3 on Geology): 1. Stripping, 2. Strengthening of weak zones, 3. Grouting to make it
water tight. Rock foundations are very well suited for earthfill and rockfill dams.
4.9 SAND GRAVEL FOUNDATIONS
4.9.1 Characteristics
Gravel/sand foundation has enough bearing/shear strength the support small to
medium earthfill and rockfill dams.
However these foundations are very conducive to seepage and need suitable
treatment for seepage and uplift pressure control.
These materials usually are laid over impervious geological foundation at some
depth below the surface.
Usually stratified heterogeneous mixture
Excessive under seepage could lead to: Large seepage uplift pressures and Dam
failure due to piping (if fine sand is present in large quantities).
Clean sand (fine and uniform) of low density is inherently unstable due to its loose
structure and is liable to collapse under dynamic load as for earthquake.
Vibrations/shock as for an earthquake tremor causes re-adjustment of grains into a
dense structure. Pore water pressure increases suddenly (due to slow drainage) and
foundation behaves as liquid and results in sudden liquification.
Cohesionless sands of low relative density (< 50%) are suspect to failure.
4.9.2 Treatment of Foundation

The foundation is treated to minimize the seepage through the foundation and reduce
uplift pressures for d/s part. Various foundation treatments include positive cut-off, partial
cutoff, sheet pile, cement bound curtain, concrete wall, slurry trench, grouting, etc. These are
described below.

4.9.2.1 Positive Cut-off Trenches:
Rolled earth/clay is filled and compacted in a trench excavated to the impermeable
barrier / underlying hard bed rock (Fig. 4.11a). The compacted clay forms an impermeable
barrier to the seepage flow. The cutoff depth varies as 50 to 150 ft with 1:1 or flatter side
slopes. It is located in continuation of the embankment core u/s from centerline of dam crest,
but not beyond where cover of core becomes small. It is made of usually same material as is
suitable for dam core. Wider trench base is adopted for dams with large depth. For deeper
trench smaller base may be used as seepage force at foundation contact decrease with
increase in depth. Grouting of upper part of weathered/fractured bed rock, if required.
Generally top width as w = h d. A minimum bottom width 20 ft to allow operating
machinery. Trench below water table will require dewatering.
4.9.9.2 Partial Cutoff
The cutoff penetrates only partially into the foundation (Fig. 4.11b).
Suitable if a low K layer of considerable thickness found above the bed rock. This
layer must be aerially extensive. Thus seepage from upper more pervious layer is
intercepted.
Partial barrier be at least 95% deep to have any appreciable reduction in seepage.
Partial seepage barrier may be effective at sites where average permeability of
foundation decreases with depth.
H
U/S
Shell
CORE
D/S
Shell
Figure 4.11a: A positive cutoff for earthfill dam.
Gravel sand foundation
Bed rock
Overburden
River
bottom

For deep foundations the upper part is sealed off against seepage by providing a
partial cutoff and lower part may be sealed by providing sheet piling or grouting
etc below and in continuation of the partial cutoff.
In all cases a minimum partial cutoff of 6-10 ft should be provided. This trench
also provided better understanding of the subsoil conditions.

4.9.2.3 Sheet Piling Cutoff
Steel sheet pile may be driven into soft alluvium.
Depth to bed rock.
Used in combination with partial cutoff to seal lower horizons.
Not suitable for cobbles/boulders as these formations cause misalignment/ open
joints, interlock liable to tear-off, pile wander off, pile twisting making an
ineffective barrier.
Twin steel sections may be used with interior filled with cement grout.
Not completely water tight
80-90% effective if good work
Poor workmanship, efficiency less than 50%.
Seepage resistance offered by sheet pile equals 30-40 ft length of soil; field tests
show resistance equivalent of 400-2000 ft. The effectiveness increase with time
due to filling of gap by sediments, encrustation etc.

H
U/S
Shell
CORE
D/S
Shell
Figure 4.11b: A partial cutoff for earthfill dam.
Deep gravel sand foundation
Bed rock
Sheet piling or grouting etc

Figure 4.12a: Sheet pile installation at Taunsa Barrage. (L) Secondary weir, (R) Old pile
exposed. Note the pile section and the interlocking between the pile sheets.

Figure 4.12b: Taunsa Barrage: Sheet pile interlocking and embedding in concrete.

Figure 4.12c: Taunsa Barrage: Sheet pile installation by vibroinstaller.

Figure 4.12d: Taunsa Barrage: Sheet pile installation by vibroinstaller.


Figure 4.12e: Taunsa Barrage second weir: U/s, mid and d/s sheet pile rows.

4.9.2.4 Cement Bound Curtain Cutoff
In places piles are cast by mixing cement with foundation material (Fig. 4.13).
Curtin constructed by successive overlapping individual piles.
Each pile consist of column of sand intimately mixed with mortar to form a pile
like structure
Hole drilled, Mortar injected through hollow rotating pipe with mixer head at
bottom.
May be reinforced.

U/s Mid
D/s

4.9.2.5 Concrete Wall
RCC wall build down to
the bed rock provide
positive cutoff.
Wall width 5 ft or more
Dewatering and shoring
bracing/sheeting required.
High in cost and
challenging in construction
RCC or PCC
Depths 150-200 ft in past
4.9.2.6 Slurry Trench
Trench excavated by drag
lines 5 wide or less.
Depth to impervious layer
rock surface.
Excavated material stock
piled in windrows.
Trench filled with
bentonite mud slurry
(slurry density > water
density) which prevent
Plan
Section
Figure 4.13 Cement bound curtain cutoff.
River level
Bed rock level
Pictorial
Figure 4.14 Sequential operations in the
construction of a slurry trench. (Source
USBR 2001, p-228).

walls from caving in. Slurry weighs more than water.
Mud slurry level above water table to keep trench sides stabilized.
Trench bottom cleared with clamshell bucket and air lift pumps
Bentonite coated excavated slurry material are further blended with 15-20% of
natural silt.
Mixture dumped on one end of trench, displacing the slurry until backfilling
complete.
Completed slurry trench in a very soft condition for many months after
construction, with consistency like a stiff butter.
Need more care if cobbles, boulders, large blocks in deeper locations.
The upper weathered/fractured part of the bed rock grouted after completion of the
slurry trench.
4.9.2.7 Grouting Alluvial Deposits
Cement grouts not injected uniformly in alluvial deposits except for coarse
material
Chemical grout can be injected in sand, but expensive
Primary difficulty of keeping hole open with casing, impossibility of using
packers, and lack of technique ensuring uniform penetration of grout
Special techniques developed for grouting in alluvium as packers can not be used
along with casing.
Coarse materials grouted successfully
Usually several rows of grout holes to increase effectiveness.
Outer rows grouted with cement and cement-clay grouts, inner rows with
chemical grout.
Results of grouting difficult to evaluate.
4.9.2.8 Horizontal U/s Impervious Blanket [Sherard p-312, Fig 6.3.2]
If construction of complete seepage barrier for a dam on pervious foundation is not
practicable, then under seepage may be reduced by increasing the width of the base of
impervious section by a horizontal impervious blanket, which is connected to the dam core.
The seepage is reduced due to lengthening of seepage path. This also reduces the d/s pore
water pressure and thus increase stability. The u/s impervious blanket is constructed of
impervious material extending u/s of the dam face toe/ heel and connected with impervious
core of the dam embankment (Fig. 4.15).

These may be used in conjunction with partial cutoff located at u/s end or any
other location (e.g. Tarbela, Khanpur dam).
Blanket is generally used for a stream channel or valley floor of sand and gravel.
This may also be required for portions of abutments to reduce seepage through the
abutments.
Blanket starts from core of the dam and extends about 400-500 m, upstream.
Blanket thickness 10% of dam height (minimum 10 feet) at dam face to minimum
3 ft at outer end.
Blanket protected from erosion by 2-3 ft thick riprap over gravel bedding.
Areas with natural clay blanket if any are cleared of trees/vegetation, defective
places repaired, and entire surface rolled to seal root holes.
No stripping of area us/ of dam to obtain fine construction material for dam
construction (particularly if no +ve cutoff).
Length of blanket governed by desired reduction in seepage flow.
Blanket may not eliminate piping in naturally stratified soils as high pressures
may exist in one or more strata at d/s toe of the dam.
Tarbella dam has 5700 ft long u/s impervious blanket. Its thickness varies from 42
ft at dam u/s toe to 10 ft at the outer end.

Figure 4.15a: U/s horizontal impermeable barrier.
U/s impermeable
barrier / blanket
Protective gravel/
riprap layer

Figure 4.15b: Mangla dam raising: u/s impervious blanket with top gravel layer for
protection in area of Sukhian dike.

Figure 4.15c: Mangla dam raising: Compaction of impervious blanket by sheep foot rollers
at optimum moisture content.

4.9.2.9 Horizontal d/s impervious blanket
Likewise u/s blanket, impermeable horizontal blanket may also be provided at d/s of
dam to lengthen seepage path and reduce seepage (Fig. 4.16). However due to its position at
d/s of dam it is subjected to excessive uplift pressures. Thus the d/s blanket must be designed
to resist uplift pressure. This is done by providing berm of random fill material to add weight
over the impermeable layer. The d/s drainage blanket may be provided above the
impermeable blanket. D/s impervious blanket is not very often used.

4.9.3 Seepage through Foundation
4.9.3.1 Seepage rate
Under seepage through the foundation is determined by Darcys law
Q = K I A I = h/L
I = Average hydraulic gradient over the flow length.
L = length of seepage path = base of impervious bottom or core
h = head difference between reservoir water level and the d/s drain water level.
A = 1 x depth of foundation
K = average permeability for all layers (horizontal K)

The Darcy formula is quite valid when depth of the foundation (d) is small in
comparison to the flow length L. For other conditions a flow net should be drawn to
Random fill to counteract
uplift pressure. Height=H/2
D/s impermeable blanket
Figure 4.16 D/s impervious blanket.
Figure 4.17 Seepage force components. [USBR p-221]
L
d
Seepage exit
area ~ 2-3 d

determine the seepage flow rate. The seepage flow emerges d/s of the dam over a length 2-3 d
depending on the permeability and stratification/ layering of the foundation.
4.9.3.2 Seepage Forces and Piping
The flow of water through pervious foundation produces seepage force due to
friction of percolating water with the walls of the pores.
Seepage force proportional to flow velocity.
Small downward force at entry over large u/s area. This increases submerged
weight of soil.
Under the dam flow velocity increases due to reduced flow area.
At d/s toe of dam, the seepage force is upward reducing effective weight of the
soil.
If upward force exceeds soil weight, the soil would be floated out (boils
formation).
The particle erosion progress backward along the flow line until a continuous pipe
like opening is formed (usually irregular and tortuous) to reservoir.
Piping allows rapid escape of water.
It can lead to dam failure due to foundation heaving.
Excessive seepage results in blow out / heave at d/s of dam.
Piping failure also called as failure by heave or internal/subsurface erosion.
Magnitude and distribution of seepage forces by flow net analysis (this requires
considerable experience to draw flow net).
Grain size and gradation of the foundation materials has an important bearing on
the piping failure.
Piping failure takes places after the dam has been in service for some time.
Piping takes places along minor geological weaknesses.
Piping can be completely and reliably prevented by controlling the under seepage
such as (Sherard P-313):
i. Exist velocities are not high.
ii. Water discharges through adequate thickness of progressively coarser soils
which meets gradation requirements of filter.
Line of creep- shortest path that a particle of water has to travel in seepage under
the dam.

Creep ratio i.e. the ratio of length of creep to the pressure head loss (CR = L/h),
this is inverse of the average hydraulic gradient.
Weighted creep ratio is for length of line of creep computed as sum of the vertical
components of the shortest seepage path plus one-third of the length of the
horizontal seepage path. This is used for stratified soils.
Criterion for piping potential on the basis of weighted creep ratio as function of
foundation soil type.
Creep ratio. Minimum 3 for gravel/boulder foundation
Minimum 8 for very fine sands
This is to be used as guide to judgment but not as a design criteria.
Valid if no graded filter provided at d/s of dam (graded filter reduces flow length).
The best plan is to provide drainage blanket of graded filter under d/s section of
the dam.
Pressure relief wells placed near d/s toe of dam shall be useful to intercept the
seepage and this reduces uplift pressures.
4.9.3.3 Pressure Relief Wells
Relief wells are to ease out and reduce pressure of the seeping water under the
foundation of an earth dam.
These has disadvantages as:
a. These decrease the length of average seepage path and cause to increase the
quantity of under seepage.
b. These require frequent inspection and maintenance, replacement.
c. The pressure head is lowered to a value nearly equal to the elevation of top (or
discharge level) of the well.
d. Well may discharge into a delivery pipe, a drainage ditch and water is carried
back to river section.
e. Wells to be closely spaced (10 to 25 ft) to minimize pressure build up in
between. Spacing based on judgment.
f. Additional wells be installed in between or in d/s row subsequently, if needed.
g. Wells penetrate more than 50% depth of foundation.
h. Screen is placed in center of hole and outer annular spaced filled with suitable
gravel pack as per filter criteria. Usually a single pack is used and screen
opening is designed to match the selected filter material.

i. Wells are developed to improve efficiency.
j. Pressure relief wells are very helpful to relieve seepage pressure when lower
pervious foundation material is overlain by otherwise natural impervious
stratum (no danger of piping, blow out).
k. Depth of wells equal to height of dam (or depth of bed rock) are most
satisfactory.
l. Pressure relief wells lower uplift pressure but enhance seepage flow rate.

4.9.3.4 Deep toe drain
A toe drain is often provided to collect seepage flow occurring through the drainage
blanket. This is generally a shallow ditch filled with gravel/sand material. The toe drain also
intercepts the seepage flow through the dam foundation. Providing a deeper toe drain can
considerably enhance the interception of foundation seepage. A graded filter zone is provided
Bed rock
Drainage ditch
Pressure relief well
Seepage flow
Figure 4.17 Pressure relief well.
Well details
Well head details

between the foundation and toe drain fill to stop migration of fines from the foundation. The
deep toe drain does not significantly alter the seepage path length and thus seepage rate is not
very much affected.
4.9.4 Sand Gravel Foundation Design
The design criteria require control of seepage flow through the foundation and
abutments (no internal erosion, no sloughing in area where seepage emerges). The pervious
foundation may be either exposed or covered at the surface. The pervious foundation may be
homogeneous or stratified. Stratification influence foundation treatment method.
4.9.4.1 Case I: Exposed Foundation
The sand gravel foundation is open at the surface. The foundation may be shallow,
medium or deep.
A: Shallow Foundation
Provide a positive (complete) cutoff to bedrock.
Grouting of bedrock, if needed.
Horizontal drainage blanket not necessary if shallow pervious foundation can act
as filter and provide adequate drainage.
Provide drainage blanket of filter criteria if:
a. embankment is homogeneous or d/s shell is rockfill
b. perviousness of foundation is questionable.
c. Piping potential exist, either from embankment to foundation or from
foundation to embankment zone (at d/s part).
d. Foundation is stratified.
If rockfill at d/s portion of dam, provide DB from d/s slope to the impervious
zone/core.
It positive cutoff not practical due to lack of materials, short construction season,
wet climate, high dewatering cost, then other methods of cutoff be used.
B: Intermediate Depth Foundation
Positive cutoff may be less economical
Provide other methods of cutoff (sheet pile, slurry trench etc).
Provide minimum impervious zone/core B 1:1 u/s slope and 1:1 d/s slope (core
B is described in a later section).
Provide drainage blanket of filter grade if i) overlying zone is impervious or ii)
overlying zone is rockfill, iii) piping potential is present

Provide key trench
C: Deep Depth Foundation
Foundation too deep for a positive cutoff
Provide u/s impermeable blanket in continuation of impermeable core.
Minimum core B
Provide key trench
At d/s of embankment, provide adequate thickness of previous or impervious
(random fill) materials (berm) (Fig. 4.16) to improve stability against high uplift
pressures.
Provide filter grade drainage blanket for d/s rock or imp fill against piping hazard.
Provide toe drains
For foundations of high K, which cause extensive seepage, ponding and sand
boils, then provide drainage trenches, pressure relief wells, extension of d/s toe of
dam or blanket on d/s area.
For deep stratified layers, provide partial cutoff and u/s blanket.
Some seepage inadvertent.
4.9.4.2 Case-II: Covered Pervious Foundation
The gravel/sand foundation is covered by some impervious layer. There are three (3)
conditions:
A: Top impervious layer thickness 3 ft or less
Layer usually ineffective as an impervious blanket. Design the foundation as
exposed foundation.
Excavate/remove the foundation material to bottom bed rock layer.
B: Thickness of top impervious layer more than 3 ft, but less than dam height h.
Provide drainage trenches (of depth as much as to top of lower pervious layer) at
d/s of dam or pressure relief wells to relieve uplift pressure.
May act as u/s impervious blanket depending on thickness, continuity,
imperviousness, u/s distance to natural loose deposits
Need to compact with heavy roller.
Horizontal drainage blanket also provided if embankment is homogeneous, or
permeability of d/s zone questionable of length reaching to base of imp zone
(Z+5) if d/s slope of core greater that 1

C: Thickness of impervious layer greater than dam reservoir head.
No major problems for seepage or seepage forces. No treatment is needed for
seepage control.
4.10 FINE GRAINED (SILT, CLAY) FOUNDATIONS [USBR p-246]
Foundation of fine grained soil (silt, clay) are sufficient impermeable and thus no
danger of under seepage and piping
Main problem is stability against consolidation and shear failure due to low
bearing/shear strength
Characteristics depend on location of water table, and compactness of soil
State of compactness determined by standard penetration test (soil below water
table) and by density-in-place test (for dry soils above water table)
Weak soils need to be treated for improving strength (by improving density)
4.10.1.1 Saturated soils
Determine nature of consolidation as normally consolidated or over consolidated
by analyzing the weight to which the soils had been exposed in geologic past.
Saturated impervious sands (dirty sands - sands having good amounts of fines)
also act as fine grained soils
Ability to resist shear stress (due to embankment weight) may be determined from
soil group.
Relative density for cohesionless soils D
r
= (e
max
-e)/(e
max
-e
min
For cohesive soils relative consistency C
) is related to
strength.
r
[C
r
= (LL-W)/(LL-PL)] = (e
LL
-
e
w
)/(e
LL
-e
PL
At C
) is also related to strength LL = liquid limit, PL = plastic limit, W =
water content.
r
= 0 (W = LL), cohesive strength of all remolded soils C
LL
0.2 lb/sq in and
shear strength S
LL
= 0.2 + tan
s
. The
s
At W = PL, cohesive strength varies considerably; is obtained from triaxial test
on samples compacted at proctor maximum dry density.
is obtained by slow shear test on
saturated soil (drainage permitted, pore water pressure zero) tan about 0.5
Treatments:
The shear strength can be increased on
i. Remove the soil of low shear strength.

ii. Provide drainage of foundation to permit settlement on drainage and increase
of strength during construction.
iii. To reduce the magnitude of the average shear stress along the potential surface
of sliding by flattening the slopes of the embankment.
a. Removal of soft foundation is practicable and thin layers of soft soil
over lying firm layers are excavated.
b. Vertical drains may be provided to facilitate consolidation. This is
practical for low embankments only e.g. under highway (non-hydraulic
structures) not practical for dams.
c. Flattening of slopes lengthen the surface of sliding, decreases average
shear stress along the path and increase factor of safety against sliding
(Fig. 4.18).

4.10.1.2Relatively Dry Foundations
These soils exhibit large strength at its present dryness
The relative density of the material indicates the potential/danger of soil on
compression
Many soils will undergo quick and sudden volume reduction on wetting/saturating
on reservoir filling (Fig. 4.18).
Dense soils which will undergo small compaction on loading and wetting may be
used as foundation for dams.
Pre-wetting of soil before loading improves its strength on loading.
Large compaction and could cause serious rupture/weak section for dam cone
materials and consequent dam failure
Drainage must be assured by an underlying pervious layer or by a vertical
drainage.

h/2
h
Figure 4.18: Increasing base contact area for stability against shear, sliding.

4.10.2 Treatment/Improvements of Fine Grained Foundation
Foundation of dams can be improved by: 1) Pre-consolidation, 2) Densification of
cohesionless soils, and 3) Dynamic compaction
Pre-consolidation
Useful in compressible soils
Done by applying artificial surcharge such a soil removed from stripping and
scaling of abutments may be piled up
Allow time for water to drain
For rapid rate (1-2 months for 50% consolidation) piling of random weight is
useful.
For slow rate soils, dam weight is used to consolidate the soil. This requires slow
construction rate and providing drainage. Longer time periods (1-2 years for 50%
consolidation) are necessary.
Densification of Cohesionless Soils
This is carried out using shock and vibration. Vibrofloatation is used to improve poor
foundation. This can reduce settlement as much as 50% with substantially increased shearing
strength. Vibrations convert loosely packed soils into a denser soil.
Vibroflat can be used to penetrate the soil and operate below the water table. Best
results are obtained in coarse sands which can contain little or no silt or clay.
Dynamic Compaction
This is repeated application of very high intensity impacts to the surface. This
improves the soil mechanical properties. Compaction is done by dropping a weight, typically
10-20 tones from heights of 10-20 meters at regular interval across the surface. Several
tamping/passes may be made at the site. Each imprint is backfilled after tamping. In finer
soils increased pore water pressure must be allowed to dissipate between passes, which may
take several weeks.
Stress
S
t
r
a
i
n

Unconsolidated dry sample
Unconsolidated wet sample
Preconsolidated dry sample
Preconsolidated wet sample
Figure 4.19: Consolidation of wet/dry soils.
Sudden consolidation
of dry soil on wetting

4.10.3 Fine Grained Foundation Design
Saturated Foundation
Recommendation according to soil group on USBR P-251
Add stabilizing fill (u/s + d/s) to embankment designed for a stable foundation
(Fig. 4.18).
Slopes according to strength of foundation material as determined by penetration
test, consistency and dam height.
Suitable for small dams only

Dry Foundation
Design depend on potential to volume change on wetting
If potential less, design as for saturated soil
Else pre-densify the soil before construction and later design as for saturated
dense soils.
4.11 EMBANKMENT SECTION DESIGN
This defines the crest design, u/s and d/s slopes of impermeable core, the shoulder fill,
the slope protection, etc.
4.11.1 Crest Design
Crest width W
The width W of the crest is governed by height of dam, importance of structure,
width of highway, construction procedure, access required either during
construction or as a permanent feature.
Japanese code W (m) = 3.6 H
1/3
Special widening may be necessary to provide a
highway or safeguard against freak waves etc. This
widening could be done by steepening face slope in
3. (Thomas p-384). These are seismic active
areas)
the upper reaches of dam.
Top crest width should not be less than 30.
Figure 4.19b
h/2
h
3:1 or flatter
Random fill

The top width (m) is taken as
W = h/5 + 3 low dams (Punmia P. 365)
W = 0.55 h + 0.2 h h< 30 m
W = 1.65 (h+1.5)
1/3
Crest width of dams in Pakistan are: Hub dam = 28 ft, Mangla dam = 40 ft, Khanpur
dam= 35 ft, Tarbella dam = 40 ft, Simly dam = 35 ft, Bolan dam = 40 ft.
h>30 m (USBR 2001)
For ease of construction with power equipment, the crest width should not be less
than 12 ft. Roadway across the dam set the width.
Sherard p-413: For earthquake area, top of dam is subjected to worst damage and can
vibrate with greater amplitude than the base. Thus it is advisable to make dam top thicker by
increasing crest width or using flatter slopes near top. Also that if any crack develops, the
longer seepage path causes less seepage and increases dam safety.
Surface Drainage
Surface drainage of crust be provided by a crown of at least 3, or by sloping towards
the upstream floor. For wider crest 2% slope is adequate.
Surfacing
Crest surface should be protected against damage from wave splash, rainfall, wind,
frost and traffic wear. A layer of fine rock or gravely material of 4 inches minimum thickness
be provided. If a highway is carried across the dam, then crest width and surfacing must
conform to highway codes.
Safety Requirements
Crest should be made safe by providing metallic or concrete guard rails on both
shoulders of the crest. For minor dam, pillars at 25ft spacing or large boulders placed at
intervals along the crest may be provided. Guard rails be at least 2
1/2
Camber
ft from crest edge and be
well supported.
The crest elevation is increased towards center of the dam by an amount equal to
future consolidation of dam foundation and embankment after completion of the construction.
Selection of amount of camber is somewhat arbitrary. It is provided to ensure that some
residual camber will remain after settlement and consolidation. This improves the appearance
of the dam. The camber is provided by increasing the u/s and d/s slopes near the crest of the
dam. The camber is not accounted in stability calculations. For non-compressible
foundations, camber of about 1% of dam height is provided. Several feet (often 8 to 10 ft) of
camber may be needed for dams constructed on foundations expected to settle.


4.11.2 Embankment Slopes
Embankment slopes are designed to ensure strength, stability and economy of
construction: Flat slopes, more cost, more stability/strength; Steeper, lower costs, stability or
strength. Embankments are constructed from infinite conditions of soil materials with varying
size, gradation, stress-strain relationship, and shear strength (USBR 2001, p-254).
The procedure for designing a cross-section of earthfill dam consists largely of
designing to the slopes and characteristics of existing successful dams, making analytical and
experimental studies of unusual conditions and controlling closely selection and placement of
embankment materials. Except small variation in specific design, radical innovation are
avoided. Any fundamental changes in design concepts are adopted gradually as more
practical experience is gathered. This practice is being overly cautious, but probable extent of
loss of property and life in the event of failure of a constructed dam provide ample
justification for these conservative procedures. Whereas design of large dam can be made
increasingly secure by laboratory test of materials, the design of small dams is heavily
followed on the basis of successful structures and past experiences.
Embankment slopes may be continuous or discontinuous. Embankment may have a
single slope over whole height, or multiple slopes may be provided over different sections of
the depth. The slope discontinuity or change in slope may be with or without a berm.
The u/s and d/s slopes of the embankment and core are selected from general
guidelines, experiences in the light of foundation materials and materials available for
construction. The seepage analysis and stability of the selected dam section is carried out and
dam section may be acceptable if factor of safety for the dam under different construction and
operation conditions are found satisfactory. Alternate dam sections are evaluated for material
needs/crest and factor of safety and that dam section is adopted which provide higher factor
of safety at lowest costs. Stability of the shape is analyzed under static loads as well as under
seismic conditions.
Dam crest design level
Construction level
Camber ~ 4

Camber
Figure 4.20 Camber for the dam crest.
W
ELEVATION
X-SECTION
1.75:1
2:1

Except where there is surplus of material available from required excavations, the
most economical dam is obtained with the minimum volume and therefore most steep slopes
consistent with the dam stability (Sherard p-48). The allowable steepness depends on the
internal zoning and on strength of foundations and the embankment material. Crest length
and pace of construction may also affect the slope selection. Use of excavated material as
random fill may allow flatter slopes. The random fill material may be placed (Fig. 4.21) at
bottom of u/s face to eliminate slope protection, at d/s face as toe support to improve
stability; it may be buried inside the supporting shells, or if it contains coarse materials it may
be used as filter zones to the core. If random fill is impermeable but with poor stability, it
may be buried inside the impervious core. (Also see USBR p-260 fig. 149)
The strength of foundation is also affects the dam face slopes: Weak foundation
average slope 2:1 to 4:1; Strong foundation steeper slope 1.5:1 to 3:1. The height of dam
also affect slope selection. For homogeneous materials dams of fine core: Short height
steeper slope, Higher dams flatter slope. The internal zoning permit steeper slopes. For thin
clay core slopes are independent of height. For rockfill dam with thin u/s core, the d/s slope is
equal to natural angle of repose of rockfill material (1.7:1 rounded stream gravel, 1.2:1
angular quarried rock, 1:1 thin layers of well compacted quarried rock. Central core d/s 1.6
1.8. The slopes may be single or multiple slope. Slopes may be continuous or discontinuous
with or without intervening berm.
Slopes are set as following:
Dams located in narrow rock-walled canyons can be constructed with some what
steeper slopes than otherwise, because of added stability given by the confining
walls. In narrow valleys broad toe berm or very flat slopes at the toe of dam can
be provided relatively cheaply due to the small quantities of embankment material
required.
U/s slope may vary from 2:1 to as flat as 4:1 for stability, usually it is 2:1 or 3:1.
For eliminating slope protection in lower levels (below dead storage) slope may
be made flatter
Berm to act as base for top slope protection
Figure 4.21 Placement of random fill.

Steeper slopes may be allowed above normal conservation level
Random fill in lower part to flatten slope
D/s slope: 2:1 for dams with d/s pervious zone and 2
1/2
The slope of vertical core as: u/s face 1.5H:1V to 0.6H:1V; d/s face: 1:1 to
0.5H:1V; Inclined core: u/s face 1:1, d/s face 0.3:1 (reverse slope)
:1 for homogeneous dams.
This provides stability for most soils when drainage is provided to eliminate
saturation of d/s slope.
The slope depends on materials available, foundation condition, dam height, and
varies widely as: u/s from 2H:1V to 4H;1V. Coarser free draining materials allow
steeper slopes, and finer materials require flatter slope. In general slopes may be
as (Pumnia p-366):
Material u/s d/s
Homogeneous well graded 2.5:1 2:1
Coarse silt 3:1 2.5:1
Silty clay h < 15 m 2.5:1 2:1
h > 15 m 3:1 2.5:1
Sand and gravel with clay core 3:1 2.5:1
Concrete core 2.5:1 2:1
The slope of the dam also depends on the type of the dam and on the nature of
materials for construction.
Diaphragm Type
If shoulder material SW- GW or GW. (# 200 < 5%) slopes as for rockfill dam (1.3 to
1.7 Horizontal to 1 Vertical)
Homogeneous
Materials No rapid draw down Rapid drawdown
u/s d/s u/s d/s
GW GP SW SP Materials not suitable -too pervious
GC GM SC SM 2:1 2:1 3:1 2:1
CL ML 3:1 2:1 3:1 2:1
CH MH 3/6:1 2:1 4:1 2:1
Zoned embankment
Impervious core flanked by relatively pervious material.
Filter transition provided on both sides of the impervious zone to prevent piping
and internal erosion.
Transition materials partially fill cracks/holes in imp core.
Transition of rock fines or sand gravel.

Few feet required but constructed as 8-12 ft to accommodate construction
materials/machinery
Thick transition-design as filter
Thick transition-less requirements

Impervious Core
Pervious or impervious foundation with positive cut off - provide minimum core A
(top width 10, base = h, symmetric)
Exposed pervious foundations or covered pervious foundation (cover < 3 ft). No
positive cutoff-minimum core B (Top width 10, U/S 1:1, D/S 1:1)
Maximum core (Top width 10, U/S slope = (x-1/2) : 1, D/S slope = (y ) : 1;
where x:1 is slope of u/s face, y :1 is slope of d/s face)
For core greater than maximum core, outer shells become ineffective in stabilizing the
dam and embankment may be considered as homogenous for stability analysis.
Core smaller than minimum core dam as diaphragm type.
Impervious cover over foundation more than 3- select between core A and core B
depending on extent and effectiveness of the core.
Top of the core kept 3-5 ft below crest to safeguard against weathering.
Thickness of impervious cover over foundation more than dam height (d > h): For
saturated fine grained foundation use Core A + u/s and d/s random stabilizing fill
(Fig. 4.18). The slope of stabilizing fill depends on dam height (min 3:1) and
consistency and nature/group of foundation soil (4:1 for SM to 10:1 for CH). Further
details in USBR 2001 p=251, Table 16).
For core A stability not affected by core material (due to smaller thickness).
Minimum Core A: for dams on impervious foundation or shallow pervious foundation with
positive cutoff trench.
Minimum Core B: for dams on deep pervious foundations without positive cutoff.
Maximum Core:
Figure 4.21 Size range of impervious core for zoned embankment. (USBR p-266).
Slope = y:1
Slope = y-:1
Slope = 1:1
Slope = :1
1:1
x-:1
x:1
Z
Z

Outside shell slopes governed by stability of fill material
Rocks, GW, GP, suitable for shell
Gravely SW and SP also suitable for shell
Embankment slopes may be selected according to materials as below.
USBR p-251 Table 16 defines slopes of stabilizing fill, min 3:1 and max 10:1.

Table 4.2: Recommended slopes for small zoned earthfill dams on stable foundations (USBR
p-267)
Type Shell material Core material No rapid
drawdown
Rapid
drawdown
U/s D/s U/s D/s
Min core A Rock, GW,
GP, SW, SP,
gravely
GC, GM, SC, SM,
CL, ML, CH, MH
2:1 2:1
Max core Rock, GW,
GP, SW, SP
gravely
GC, GM 2:1 2:1 2:1 2:1
SC, SM 2:1 2:1 2:1 2:1
CL, ML 2:1 2:1 3:1 2:1
CH, MH 3:1 3:1 3:1 3:1

Cross section of some dams in Pakistan are shown in chapter-1.
Tarbela Dam, Pakistan.
Rocks under alluvium and abutments.
Abutments: Metamorphosed sedimentary rocks (sugary limestone, phylite, quartzite, schist)
Alluvium: Boulders/cobbles and gravel choked with sand, depth as much as 600 ft.
4.11.3 Slope Protection
Dam slopes are needed to be protected against action of various destructive forces.
U/S Slopes: Protection is required against destructive waves splashing onto the side slope.
Waves generated due to high sustained winds as well as from earthquake action. Also needed
to be protected against burrowing animals.
D/S Slope: These need to be protected against erosion by wind
and rainfall runoff and the borrowing animals. This also needs to
be protected against possibility of seeping of rain water and
forming internal erosion (piping and sloughing of inside of
embankment).

I: UPSTREAM SLOPE
U/s slopes are provided protection by: rock riprap, concrete pavement, steel facing,
bituminous concrete pavement, pre cast concrete blocks, others as short cement pavement,
wood, sacked concrete. Special care is needed against beaching process if water level stays at
one elevation for long times.
Rock Riprap
This refers to placing of fairly large size rock pieces over the slope face. The rock
may be dumped or hand placed. The riprap is placed over a properly graded filter, which may
be a specially placed blanket or may be outer pervious zone of a zoned dam.
Dumped Riprap
The rock fragments/stones are dumped over the slope. The efficiency of dumped rock
riprap depends on following: Quality of the rock, Weight or size of individual stone pieces,
Thickness of the riprap, Shape of stones or rock fragments (rounded, angular), Slope of the
embankment, Stability and effectiveness of the filter.
Rock for riprap should be hard, dense and durable, resist long exposure to weathering.
Igneous, metamorphic rocks, limestone, hard sandstones make excellent riprap. Visual
inspection and lab tests, petrographic tests assure quality. Rocks should be free of seams of
shale (low quality rocks).
Individual pieces should be of sufficient weight to resist displacement by waves (must
for all size dams). The thickness of riprap should be sufficient to accommodate weight and
size of stones necessary to resist wave action (Fig. 4.22). A 3 minimum thickness is used.
Smaller thickness if wave action is less severe. Lesser thickness may be used for upper slopes
corresponding to flood control storage (above normal conservation level) due to infrequent
exposure of this part to waves. If there is any damage to this section, it can be repaired on
reservoir lowering.

Slope protection Min 3 ft
Shell material
(min 4-6 ft to
enable placing)
Filter or bedding layer 1 ft
min (washed gravel fill)
Figure 4.22a: U/s Slope protection.

Figure 4.22b: Dumped rock riprap. (L: placement in progress and R: completed)

Figure 4.22c: Hand placed rock riprap. (USBR p-279)

Figure 4.22d: Mangla dam raising: Protection of d/s slope by hand/machine placed rounded
river-run cobbles. (looking downward)

Figure 4.22e: Mangla dam raising: U/s slope protection by angular rock riprap over filter.

Figure 4.22f: Simly dam: u/s slope protection by angular rock riprap.

Figure 4.22g: Tanpura-I dam: u/s slope protection by rounded rock riprap.

Figure 4.22h: Mangla dam: u/s face protection by angular rock riprap.

Riprap weight
(Zipparro eds. Davis Handbook of Applied Hydraulics, p-13.58) defined the riprap
weight as:
( ) ( )
b
a
Cot G K
H
W
3
50
1
=
W
max
= 4 W
50
and W
min
= W
50
W
/8
50
H = Wave height (ft)
= Average stone weight (lbs)
= Stone unit weight (lbs/cft) (bulk unit weight after placement) ~ 156 lb/cft
G = Sp. Gravity of stones material (2.3 2.7)
= angle (degrees) of slope surface with horizontal
K = stability coefficient (K 4.37)
a, b = empirical coefficient (In general coefficient are as: a = 3, b 1)

Novak et al (p-54) defined size of rock armoring necessary for stability under wave action is
as: M = 10
3
x H
s
3
where M=mass of stone required (kg), and H
s
The size of riprap is estimated as: D = [7 W / 5 ]
=significant wave height
(m).
1/3
where D = stone size (ft), W = stone
weight, = bulk un i t weight (lbs/cft). The th i ckness must be more than size of
heaviest/largest stones. In no case it should be smaller than 1.5 x D
50
USBR p-277 provided gradation (by weight in lbs) of riprap for slope = 3:1 and angular rocks
as:
or 24
Fetch thickness Max D
50-60
D
40-50
D
< 2.5 miles 30 2500 lbs 1250 75-1250 75
0-10

> 2.5 ml 36 4500 2250 1000-2250 100
Sand and rock dust < 5% by weight
Rounded size d
0-10
Rounded rocks require a thicker layer, or slope should be made flatter
is meant to fill the voids in larger rocks.
For 2:1 slope, 36 minimum thickness be used.
Shape of Rock
Shape of rock fragments influences the ability of riprap to resist displacement by
wave action. Angular fragments tend to interlock better than boulders and rounded cobbles.
Thus rounded stones should have more thickness.
Graded Filter
A layer or blanket of graded filter should be provided underneath the riprap if there is
danger of fines from underneath layer to more into the riprap layer by wave action. For a
zoned dam filter not needed if outer shall is gravel. Blanket of crushed rock or natural gravels
3/16 to 3
1/2
Flexibility
with thickness equal to half of riprap thickness (but not less than 12) is
satisfactory. Follow filter criteria discussed earlier.
Dumped filter should have flexibility to adjust base surface an account of settlement
of dam body or local settlement.
Placement
The riprap is dumped from hauling trucks onto the prepared surface. Bulldozers are
used to level off-and compact the dumped layer to fill up the voids between larger stones.
Smaller stones fit in voids of larger pieces very well. The rock stones must not break during
handling / placement / compaction. Top surface is uneven, rough and decreases wave riprap.

Riprap materials had been hauled from long distances (200+ miles) due to its satisfactory and
proven performance and economy.
Hand Packed rock Riprap
This consists of suitably sized stones carefully laid by hand in a more or less definite
pattern with minimum amount of voids and with top surface relatively smooth. Doubled or
irregular shapes lay up less satisfactorily than stones of roughly square shape. Stones of flat
stratified nature should be placed with principal bedding plane normal to slope. Joints should
be broken as much as possible and voids be avoided carefully by arranging various sizes of
stones and small rock fragments.
The stones of excellent quality should be used. Thickness can be half of dumped
riprap but not less than 12. Filter blanket be provided underneath the riprap, if required. Due
to tight packing, hand placed riprap is not as flexible, so it cannot adjust to foundation or
local settlement. Thus hand placed riprap should not be used where considerable settlement is
expected. Hand placed riprap could be costly due to extensive labor cost in spite of its smaller
thickness.

Concrete Paving
Concrete is placed over the sloping surface to resist wave destruction. It can be used
both for rockfill and earthfill dams. Paving thickness depend on dam height, slope steepness.
Thickness is 8 for h 50 for and 12-18 for high dams. Paving is placed in blocks 6 x 6 or
more but monolithic construction gives the best service. A water tight surface will eliminate
hydrostatic pressure underneath the pavement. Blocks could be displaced or broken by wave
action and uplift forces under the slab. Concrete can crack requiring frequent maintenance.
For blocks, expansion joints and construction joints should be widely spaced.
Reinforcement is (5% area) in both directions and be continuous through the construction
joints. Joints be sealed with plastic fillers and cracks be grouted and sealed properly.
Pavement should extend from crest to below the minimum water levels. It should terminate at
a berm and against a deep seated curb or header (minimum 18 deep).
The success of concrete pavement is mixed, but successes and problems have been
observed. Paving is a costly alternate, but may be adopted if enough riprap material is not
available. Concrete pavement may or may not be held in place firmly by foundation bolts
embedded deep inside sloping shell. Concrete paving increase the wave runup and suitable
wave breakers, wave deflectors, may be provided to reduced risk of dam overtopping. Failure
chance is 30% + due to inherent deficiencies in this type of construction.
Soil Cement
Soil cement is produced by mixing cement with coarse sandy or gravely soil with 10-
25% material passing # 200 sieve are ideal (Maximum allowed < 50% of # 200). The cement
is 0.7-1.0 barrel of cement per cubic yard of compacted soil cement. 2-4% extra cement may

be added for erosion resistance. For most soils 10-12% cement (% of compacted volume) is
considered typical. Cement and moisture ratio is determined by lab tests.
Soil cement is placed in 6-8 horizontal layers over the slope (horizontal width as 8 ft
normal thickness 2-3 ft) and roller compacted in a stair-step horizontal layers. Soil cements
have 500-1000 lb/inch compressive strength at 7-day (10% cement). The edges of the cement
layers are not trimmed to retard wave runup. A reasonably firm foundation is required so that
deformation following placement of soil-cement is not significant. Normal embankment
construction procedures are satisfactory.

Figure 4.23b: Soil cement paving.

II. DOWNSTREAM SLOPE
8-10 ft
2-3.5 ft
Concrete paving with coping wall
Concrete paving with
wave breakers Soil cement
Figure 4.23a: Paving with soil cement or concrete.

The zoned dams with d/s shell of rock or cobble fill do not need additional slope
protection. Slope protection is required for all conditions against erosion by wind and rainfall.
If not protected gully can develop.
This protection is provided by
placing a layer of rock, cobbles, or
sod (grass). However, vegetation
protection can be poor and
ineffective at places, especially in
arid regions. Thus cobbles/rock protection is preferred. The stone is 24 thickness (minimum
12) over a filter bed should be provided. Minimum single layer hand placed cobbles / stones.
Berm or a cut slope may be provided at intervals and graded contour drainage channels
provided to collect and dispose the rain runoff from upper portions of dam slope. Drainage
channels discharge into cement lined channels running down the slope and ultimately to safe
disposal point/river bed. A contour drain is also provided along toe of dam. Surface drainage
is also provided (as an open gutter) for abutments and valley floor.
4.11.4 Abutments
FLARED ABUTMENT SLOPES
The u/s and d/s slopes of embankment are often flared at abutments to provide flatter
slopes for stability and seepage control. The u/s flaring is equivalent to providing u/s
impermeable blanket. The flaring design is governed by topography of the site, the length of
constant desired, for aesthetic value, and ease of construction. For steep side slopes this may
be useful to locate access road across the dam.
ABUTMENT SIDE SLOPES
The side slope of impervious abutment are usually discontinuous. The sides are
dressed with slope not exceeding 1H:2V to provide a stable contact between the embankment
and abutments. The bottom should be continuous without abrupt level changes. Any hang
over should be removed to have good contact.

Remove overhangs
Trim slopes to max 0.5V:1H
Figure 4.24 Abutment shaping.
Cut slope
Berm

4.12 ENGINEERING CHARACTERISTICS OF SOILS [Novak et al. 1998, p-36-45]
Soil load pore water pressure response
Soils undergo deformation as a result of changes in loading or drainage conditions
due to alterations in the geometric configuration of the soil particle assembly. The volume
changes and settlement due to external loading takes place slowly through the complex
process of consolidation. Relationships in the form of pore-pressure coefficients are used to
describe immediate response of pore water pressure to applied total stress.
Shear strength
The shear strength of a soil is defined as the maximum resistance to shearing stress
which can be mobilized; when this is exceeded failure occurs usually along identifiable slip
surfaces. The shear strength of any material is described by Mohr-Coulomb failure criterion
based on total stress as: S = c + tan or based on effective stress as: S = c + tan =
total compressive stress ( = + u), = effective stress, u = pore water pressure.
Laboratory shear tests, e.g. triaxial shear test, are run for the material compacted to the design
density / moisture content and construction of Mohr circle plot. Coarse soils such as sands
derive their shear strength largely from particle interlock and internal friction, and are called
as cohesionless (c=0) or frictional soils; the shear strength is mostly controlled largely soil
density.y . Most clays soils derive shear strength from both cohesion and internal friction.
Following tests are usually carried out. (Sherard p-332)
1. Undrained test: (unconsolidated undrained test). No drainage and dissipation of
pore water pressure. Called as Q-test (quick test). Used for stability analysis for
dam during and after construction.
2. Consolidated-undrained test. (sample first consolidated with full pore water
pressure dissipation under given consolidation pressure) and then is failed in shear
with no drainage allowed. This is called R test.
3. Drained test consolidated. Drainage and complete dissipation of pore pressure
allowed at all stages (slow test) For parameters in terms of effective stress (c and
). Called as S test (slow test)
Compressibility and consolidation
When load is applied to a soil, mass volume decreases and settlement may occur due
to (a) elastic deformation of soil particles, (b) compression of the pore fluid, (c) explusion of
pore fluid from the stressed zone with rearrangement of soil particles, with expulsion of pore
water being dominant. The consolidation of clays is very slow due to their very low
permeability. Vertical consolidation characteristics are determined in lab in oedometer tests
and expressed by:
Coefficient of volume compressibility to determine the magnitude of time dependent
consolidation settlement: m
v
=
v
/
v
Coefficient of consolidation to establish rates of settlement: c

v
= k/m
v
w
(k=permeability)

Coefficient of secondary consolidation to describe subsequent continuing settlement due to
creep of the soil structure under constant effective stress.
Compaction
Compaction is the process of densification by expulsion of the air from the soil void spaces,
and result in closer particle packing, improved strength and reduced settlement. Rollers
assisted by vibratory excitation are used for field compaction of embankments. The degree of
compaction is measured in terms of dry density
d
Representative engineering properties for soils:
= /(1+w) where = bulk in-situ density,
w is moisture content. Compaction of soil modifies the major engineering characteristics as
shear strength, compressibility, volume change due to change in moisture content, and
permeability.
Description Saturated
unit
weight
(kN/m
3
Shear strength (effective
strength basis)
)
Coefficient of
compressibility
,
mv
(x10

-4
m
2
Coefficient
of horizontal
permeability
k
/kN)
h
(m/s)
Cohesion
c (kN/m
2
Friction,
(degrees) )
Gravels 17-22 0 30-45 0.1 1.0 10
-1
10
-2

Sand 0 30-45
10
-2
10
-5

Silts < 5 20-35
10
-4
10
-6

Clay (soft-
medium)
15-21 0 20-30 1.0 10.0
Intact clays,
< 10
-8
, if
weathered,
fissured, or
with silt
lenses 10
-3

10
-8

Clays (sensitive,
silty)
< 10 < 30
Clays (medium-
stiff)
< 50 < 20

4.12 SEEPAGE ANALYSIS
Seepage flow will occur through all types of formation irrespective how small the
permeability may be. Seepage occur both through the dam embankment as well as dam
foundation. Seepage flow is given by Darcys law q = K I per unit flow cross section and as
Q = q A = K I A = K hA/L through section of area A.
Flow net method is used for simple flow conditions. Seepage occurs as confined flow
through the foundation and as unconfined flow through the embankment. A flow net is
drawn with curvilinear squares; different squares may have different area but all have flow
lines and potential lines cross at right angle and that all four sides are of equal curved length
(Fig. 4.25). The flow is given as

Q = K H N
f
/ N
K = Permeability (m/s)
d

H = Head difference across two ends
N
f
N
= No. of flow lines
d
Flow net are drawn on a to-scale map of the dam + foundation cross section. Usually the
permeability in horizontal orientation is higher than permeability in vertical orientation (an-
isotropic case). Experience, skill and practice is required to draw flow net. See figures on
next page.
= No. of potential drops
Flow net provide
1. Seepage flow rate through the section
2. Distribution of water potential (h) and pore water pressure u (u = h z ; z =
elevation and Note: u, h, z has units of length and are taken from a pre-selected
datum). Also u = P/g = P/, P = water pressure, = water density, = sp weight.
The water potential h and pore water pressure is given in units of pressure head;
this should be multiplied with unit weight of water ( = 62.4 lbs/cft, 1000 kg mass
/m
3

) to convert it to pressure units. Pore water pressure distribution is needed for
stability analysis.

No. of flow tubes = N
f
= 4.3
Seepage
exit face
h/3
h
Equi-potential drops: 1 2 3 4 5 6 7
8 9 10 12 14 16
Figure 4.25 Seepage flow through the dam embankment by flow net method.
Seepage
exit face
h/3
h
Equi-potential drops: 1 2 3 4 5 6 7 8 9 10 12
Figure 4.26 Drawing equi-potential lines through the dam embankment.
h
h=h/m
B
H C
0.3 L
L

Procedure to draw flow net
1. Draw a to-scale map of dam and foundation
2. Determine the seepage exit area
3. The u/s face of the embankment is plane where seepage originates.
4. The d/s exit area is usually up to a height h/3 for a homogeneous dam (h = dam
height). For a modified homogeneous dam, the flow will converge towards the toe
drain or the horizontal blanket drain. Flow emerges tangentially to the exit face for
d/s face or chimney drain or vertical line for rockfill toe or drainage blanket (Fig.
4.27).
5. The seepage line is part of parabola and exits tangent to the d/s surface.
6. Establish the seepage line/phreatic surface. The seepage line intersects the
reservoir water surface at a distance 0.3 L from the point C (point C is at water
surface at u/s face) where L is the horizontal projection of the u/s face (Fig. 4.26).
The actual phreatic line is modified to meet at point C.
7. Determine the head difference h between u/s and d/s exit area h = h
u/s
h
8. Select number of potential drops m over h. Determine head drop across one
potential drop h = h/m. Divide the seepage line into selected equal h intervals.
Thus total number of potential drops N
d/s

d
= h/h.
a) Seepage exit at d/s
face of dam.
b: Seepage exit into vertical
face chimney drain
c) Seepage exit into
rockfill toe
d) Seepage exit into
drainage blanket
Figure 4.27 Phreatic line for various seepage exit conditions.

9. Draw equipotential lines from these points such that they intersect to the seepage
line and lower confining layers at right angle. Towards the u/s face these
equipotential lines will take parallelism to the slope of the u/s face.
10. Draw a flow line in the middle part of the flow area keeping it normal to potential
lines but approximately curvilinear and parallel to seepage line such that
approximate squares are formed. Extend this flow to the originating surface (i.e.
u/s face) and to the exit surface (i.e. d/s face or toe/blanket drain). Draw more
flow lines to the bottom confining layer.
11. The effect of confining surface on the shape of flow lines and equipotential lines
diminishes farther from the confining surface.
12. The flow net is formed of curvilinear squares (equal sides, right angle). Few non-
squares will not affect seepage flow rate but may affect internal head distribution.
13. Flow net become more complex if more than one material or anisotropic materials
are present.
14. For large differences in K of the two materials of embankment and foundation the
flow lines can cross from foundation into upper embankment or from
embankment into bottom foundation (the material of higher K will attract flow
lines from other material). For small differences in K the flow lines originating
from any material will continue within the same material and will not cross into
the other material.
15. Flow lines are attracted by chimney drain, drainage blanket and toe drain.

Phreatic Line in earth dams with drainage blanket: Graphical Method (Fig. 4.28)
L = Horizontal projection B-D of the upstream face length A-D
Mark point C as CD = 0.3 L
Taking C as center draw circle of radius CF to point E.
A
B
C
0.3 L
L
F G H
Q
x
R = x+S
R
P(x,y)
D
E
Figure 4.28 Phreatic surface D-P-G for dam with drainage blanket.
y
S
h
T
Directrix

Draw vertical tangent from E to H (E-H line is directrix )
G point midway between F and H. This is extremity of seepage line D-P-G
Draw vertical line at Q (F-Q = x)
With F as center, Q-H as radius R, cut PQ vertical at P. The distance P-Q = y.
(x,y) are the coordinates of the seepage line parabola. Draw other points similar to
P. The seepage line meets at C.
U/S end part of the seepage line is redrawn to meet the water surface at D at right
angle.
Seepage rate
I = dy/dx, A = y x 1, Q = K I A = KS, where S = Focal distance = FH. Also
( ) T h T K Q + =
2 2

Figure 4.29 Seepage flow net for dam foundation with partial cutoff.
Figure 4.30 Equipotential contours and flow lines for seepage through dam foundation with sheet pile.

Seepage Through Dam Foundation
Seepage through the dam foundation is also determined by drawing flow net for the
foundation section. The flow net is drawn by procedure similar to for the embankment. The
seepage control measures are also considered while drawing the flow net and determining the
seepage rates.
Example: {Lambe and Whitman 1969, p-273. K = 5 x 10
-4
Top width = 14 ft, u/s and d/s slope = 1.5:1, toe drain = 30 ft, total base = 140 ft, height = 42
ft, free board = 2 ft.
ft/sec, Fig. 4.31.
N
f
= 2.8, N
d
= 9, = 42 2 = 40 ft, h = 40/9 = 4.444 ft, saturated flux = 5 x 10
-4
x 2.8/9 x 40
= 6.22 x 10
-3
ft
3
/s/ft, unsaturated flux = 0.58 x 10
-3
ft
3
/s/ft total seepage flux = 6.80 x 10
-3

ft
3

/s/ft.}

Figure 4.31 Seepage flow net for rockfill toe homogeneous e/f dam. (b), (c) by Seep/W
showing equi potential lines and flow lines respectively.
(a)
(c)
(b)

Blanket drain thickness:
The thickness of the blanket drain required to pass seepage discharge q per unit width is as:
d d d
K K H K L q t
1
5 . 1 = where L is shoulder width at drain level, H is the reservoir
water depth above drain level, K
1
= permeability of dam core material and K
d
Seepage Analysis by Computer Software
is permeability
of drain material.(Novak et al. 1998, p-61)
Computer software are available (e.g SEEP/W) to determine seepage flow through the
dam embankment and the foundation. These programs are user friendly and easily
incorporate the seepage control measures, the seepage exit conditions, varying material
properties, etc. The program result provides seepage flux through selected sections, equi
potential contours, distribution of potential/head, seepage flux vectors, and seepage flow
lines, etc.
Permissible Seepage
Seepage control measures are provided to reduce seepage quantity and the uplift
pressures due to seepage flows. The seepage quantity is usually not very large and the
seeping water could be used beneficially at some downstream location. The uplift pressures
are usually more critical in the stability of the dam structure. Thus seepage control measures
are sized to achieve acceptable gradients in the flow domain. Cedergen (1967) defined the
acceptable average hydraulic gradients exerted by the water seeping through the embankment
and foundations should not exceed the following critical values.
Impervious core 1:4
Impervious blanket 1:15
Alluvial foundation 1:0.066 (15:1)
Rock foundation 1:1
Materials placed around seepage water collection system to comply with filter criteria.
[Source: Cedergren, H. R. 1967. Seepage, Drainage and Flownets, 2
nd
Gradient method: 1) determine average hydraulic gradient in soil element, 2) determine
magnitude of seepage force (F = 62.5 I V, V = element volume), 3) determine direction of
seepage force, 4) line of action of seepage force.
edition, John Wiley
& Sons Inc., New York] p-115, 16.

4.13 STABILITY ANALYSIS
Dam sections are analysis for safety against failure by shear and sliding. The sliding
of dam can occur at base of dam or any height above the base. Most earthfill dams built with

good material and placed on sound foundation are considered safe against sliding. The safety
against shear failure is analyzed for the following conditions: (Sherard p-326)
1. During and after construction for both u/s and d/s faces. Assume pore pressure
high and not drained; Analysis is based on lab Q test
2. Full reservoir steady seepage d/s face; Analysis is based on lab S - test
3. Rapid drawdown u/s face pore water undrained and pore pressure high;
Analysis is based on lab R- test
4. Seismic loading; Analysis is based on lab R- test
A factor of safety is determined for various situations. The dam section is accepted if the
factor of safety for the selected loading condition is higher than recommended values. Else
the dam section (i.e. side slope of core and shell and materials) is revised and safety re-
evaluated.

Method of Slices / Sweadish Circle Method
Procedure
Problem is considered in 2-D space (cross section)
a continuous potential surface of shear failure (usually called slip surface) passing
through dam embankment and/or foundation is assumed. Slip surface could be a
combination of part of a circle, an arc, line, etc. Sliding surface-circular or
combination of arc and straight lines (Fig. 4.32).
Slip surface as circle
Slip surface as lines
Slip surface as arc
Slip surface as arc + line
Figure 4.32: Various shapes of slip surface as circle, arc, lines.

Shape and location of the slip surface chosen arbitrarily.
Material above the selected slip surface is called a trial sliding mass
The trial sliding mass divided into 8-10 slices as in Fig 4.33. (dam unit thick)
Width of each slice adjusted so that entire base of a slice is located on a single
material and chord length L does not significantly differ from arc length.
Available shear force from material properties S = c + tan is determined along
base of selected surface
Actual shear force from loading conditions determined.
Factor of safety F
S
Procedure is repeated for other potential failure surfaces until a critical surface
obtained with lowest factor of safety.
= Shear strength force available Shear force applied
Analysis is based on shear strength derived on the basis of total stress S = c +
tan , or effective stress as : S = c + tan , where = - u.

For each slice of bottom width b, compute forces as:
a) Total weight W of the slice. W = area of slice x slice thickness (unit) x grass
unit weight (Soil + water). For same height of the two sides of the slice area =
1
2
3
4
5
6
7
11
12
15
b
W
5

T
5

N
5

Assumed slip surface (circle) through embankment and foundation
CORE
Figure 4.33: Dam stability analysis by method of slices.
W
5

T
5

N
5

b
L
D

Slice # 5
Center of slip circle

D x b. For marked difference in length of two sides, area of trepezoid as A =
(D
L
+ D
R
b) Normal component of W force acting on bottom of slice: N = W cos
)/2 x b.
c) Tangential component of weight: T = W sin
d) Total water potential h acting on the slice bottom is determined from the equi-
potential contour map. The pore water pressure head (units of L) is then
determined as u = h z, where z is the elevation of the bottom from selected
datum. Total pore water pressure head U acting on bottom of slice as: U = u x
b/cos x 1 = average pore water pressure x area of bottom of slice. Area of
bottom of slice = L x 1 = b/cos x 1. The pore water pressure head U is
converted to force units as U
Force units
= U
Length units
x
e) The cohesion of the material c or c is determined from lab tests of the
materials. The total shearing resistance component due to cohesion C = unit
cohesion x area of bottom of slice. Thus C = c b/cos
w

f) Total shear resistance which can be developed on the bottom of the any slice
at failure: S = C + (N - U) tan [N-U = ]
g) Determine sum of tangential force T and shear resistance S on all slices.
h) Safety factor F = S/T = [C+(N-U) tan ] / W x Sin
NOTE: T, U and N may be worked as continuous curve across all slices. Normal components
pass through center of rotation and does not cause any driving moment on the slice.
Tangential component T causes a driving moment M=T x r, r = radius of slip surface.
Resisting forces determined from Columbs equation.
For homogeneous and uniform cohesive soils a circular arc is considered for slip
circle. The locus of the centre of the critical circle with r
u
Z
< 0.3 is approximated as:
c
= H Cot (0.6 + 2 tan ) and Y
c
where Z
= H Cot (0.6 - tan )
c
, Y
c
= coordinate w.r.t. toe of dam (+ve up and left), = slope angle, H = height, z =
depth below ground surface, r
u
= dimensionless pore pressure ratio, = u
w
Method of Sliding block
/Z.
Same as method of slices, but 2-3 slices only called blocks.
Stability of D/s slope for steady seepage
For steady seepage the d/s slope is liable to shear failure. A slip surface is selected over the
d/s slope. The sliding mass is divided into slices or blocks and factor of safety determined by
above procedure. The pore water pressure along the base of sliding slices is determined from
an equipotential contour of the d/s slope (Fig. 4.34).

9

1
2

1
4

1
6

1
8

2
0

2
2

2
4

2
6

2
8

3
0

3
0

3
2

3
4

3
6

3
7

3
8

3
9

4
0

4
0

4
2

4
4

4
5

4
6

5
1

5
2

5
3

5
4

Figure 4.34: Equipotential lines for steady seepage in a vertical core earthfill dam.
Stability of U/S slope During Sudden Drawdown
When reservoir is suddenly lowered, the Hydrostatic force acting on u/s force is
removed and weight of water tends to help a sliding failure as no outside pressure to
counteract it. Water in the saturated mass tend to drain towards both U/S face and the
permeable foundation. Permeability of foundation material affects drainage pattern. If
foundation is permeable then flow is downward, if impermeable flow horizontally outward
towards outer faces. The U/S face is not an equipotential line but potential varies with height
as h = z = elevation. Water potential within the saturated mass of soil changes according to
the u/s potential.
A slip surface is considered along the u/s face. Determine h, z, and u = h-z on bottom
of the slices along the slip surface. The pore water pressure is determined from corresponding
equipotential contour map (Figure 4.35). Determine safety factor by procedure above.
No change in water content within the saturated mass of the earthfill.
Hydrostatic force acting on u/s face is removed and potential at face h = z (point height)
Weight of water tend to help sliding failure as no outside pressure to counteract it.
Permeability of foundation material affect drainage pattern. If more permeable, flow
downward, if imp, flow is horizontally outward.

9

1
0

1
2

1
4

1
4

1
6

1
7

1
8

2
0

2
0

2
2

2
2

2
4

2
4

2
5

2
6

2
6

2
7

2
8

2
8

2
9

3
0

3
0

3
2

3
4

3
6

3
7

3
8

3
9

40

4
0

42
44
45
46

Figure 4.35: Equipotential lines for sudden drawdown in a vertical core earthfill dam.

U/s + d/s face during and at end of construction
The embankment fill of core is compacted to maximum dry density at optimum moisture
content. Soil mass changes due to compaction and by its own weight. The pore water

pressure increases on compaction due to decrease of void ratio. The pore water pressure after
compaction is determined by Hilfs equation as (Fig. 4.36).
+

=
w c a
a
V h V
P
u
where
u = pore water induced pressure
P
a
= embankment compression in % of original total embankment volume
= air pressure in voids of soil mass after initial compaction atmospheric
pressure corrected for the site elevation)
V
a
V
= Volume of free air voids as % of original total embankment volume
w
h
= Volume of pore water as % of original total embankment volume
c
= Henery constant of stability of air in water = 0.02 at 68
o

F

Figure 4.36: Consolidation and water potential in dams.
Draw graph between effective stress and % compression (Plot 1)
For each , determine u from Hilfs equation. Also determine corresponding
from plot 1. Determine = + u.
Draw u vs. (plot 2)
Find mid height D of each slice bottom
Calculate total stress = D and find u for each slice from plot 2 corresponding to
.
Determine the safety factor as above procedure.
NOTE: DAVIS. HAH P.18-38
In zoned dam, critical circle is located so that a maximum portion of its length passes through
materials of lowest shear strength (core or foundation layer). The slip surface can be as part
of Toe circle, Slope circle or Midpoint circle.
%

u
Plot 1
Plot 2

Recommended Factor of Safety (Novak)
Design loading F
s
During/end of construction 1.25 1.25 (1.3 to 1,5)
u/s d/s
+ earth quake 1.0 1.0
Reservoir full/partial (steady conditions) - 1.5
+ earth quake - 1.1
Rapid drawdown 1.2 -
(Slip circle between highest and lowest water levels)
Seismic loading 1.1 1.1
Steady seepage + surcharge pool condition - 1.4
Example:
The Fig. 4.38 shows section of an earthfill dam at its maximum depth showing steady
seepage phreatic line, equipotential lines, a trial slip surface A-B-C-D-E. Scale: 1 block = 5x5
m. Dam height = 60 m, depth at normal conservation level = 55 m, U/s slope = 2:1, d/s slope
= 2:1, Core uniform width = 20 m, core height = 55 m. The material properties are as: Core:
c' = 5 KPa, ' = 30, average unit weight = 20 KN/m
3
, K = 1 x 10
-5
cm/s. Fill: c' = 3 KPa, '
= 35, = 18 KN/m
3
, K = 5 x 10
-4
Solution:
cm/s. Determine the factor of safety for the d/s face for
steady seepage condition for the shown slip surface by using method of sliding blocks.
The slip area is divided into four sliding blocks 1 to 4. The width, side height are noted for
each block as: width = 20, 20, 40 and 30 m and sections heights as 15, 35, 35, 20 and 0.
1: Total weight of each block.
W1 = 5x15x18 + 10x15x20 + (15x20)/2x20 = 1350 + 3000 + 3000 = 7350 KN
W2 = (35+35)/2x20x18 = 12600 KN
W3 = (35+20)/2x40x18 = 19800 KN W4 = (20+0)/2*30*18 = 5400 KN
2. Bottom length:
L1 = [15
2
+25
2
]
0.5
= 29.15 m; L2 = [20
2
+10
2
]
0.5
L3 = [40
= 22.36m;
2
+5
2
]
0.5
= 40.31 m; L4 = [30
2
+5
2
]
0.5
= 30.41 m
Mid point circle
Slope circle
Toe circle
Figure 4.37: Trial slip circle.

9

1
2

1
4

1
6

1
8

2
0

2
2

2
4

2
6

2
8

3
0

3
0

3
2

3
4

3
6

3
7

3
8

3
9

4
0

4
0

4
2

4
4

4
5

4
6

5
1

Figure 4.38: Dam d/s slope stability for constant seepage.
3. Inclination of bottom
1 = tan
-1
(25/15) = 59.04 2 = tan
-1
3 = tan
(10/20) = 26.57
-1
(5/40) = 7.13 4 = tan
-1
4. Component of block weight normal to base N:
(5/30) = - 9.46
N1 = 7350 x cos 59.04 = 3781 KN N2 = 12600 x cos 26.57 = 11269 KN
N3 = 19800 x cos 7.13 = 19647 KN N4 = 5400 x cos 9.46 = 5327 KN
N in core = N1 = 3781 KN; N in fill = N1+N2+N3=11269+19647+5327 = 36243 KN
5. Component of block weight normal to base T:
T1 = 7350 sin 59.04 = 6303 KN T2 = 12600 x sin 26.57 = 5636 KN
T4 = 19800 x sin 7.13 = 2458 KN T4 = 5400 x sin -9.46 = - 888 KN
T = 6303 + 5636 + 2458 888 = 13509 KN = Total shearing force
6. Total water pressure head h, elevation, and net pore water pressure at points B, C, D, E,
F:
h (m) = 47.5 37.0 33.4 24.9 15
z (m) = 45 25 15 10 15
u (m) = 2.5 12 18.4 14.9 0
u (KPa) = 24.52 117.72 180.50 146.17 0
Average pore water pressure u along bottom of each block:
u1 = (24.52+117.72)/2 = 71.12 KPa, u2 = (117.72+180.50)/2 = 149.11 KPa,
u3 = (180.50 + 146.17)/2 = 163.33 KPa, u4 = (146.17 + 0)/2 = 73.08 KPa.
Total pore water pressure force along block bottom U:
U1 = 71.12 KPa x 29.15 m x 1 m= 2073 KN U2 = 149.11 x 22.36 = 3334 KN
U3 = 163.33 x 40.31 x 1 = 6584 KN U4 = 73.08 x 30.41 x 1 = 2223 KN
U in core = U1 = 2073 KN; U in fill = 3334 + 6584 + 2223 = 12141 KN
7. Cohesion along slip surface C:
C1 = (3x5 + 5x10 + 5x29.15) x 1 = 211 KN C2 = 3x22.36x1 = 67 KN
C3 = 3x40.31 x 1 = 121 KN C4 = 3 x 30.41 x 1 = 91 KN
C = 211 + 67 + 121 + 91 = 490 KN
A
B
C
D
E
F
2
1
3
4

8. Total shearing resistance mobilized:
S = 490 + (3781 - 2073) tan 30 + (36243 12141) tan 35 = 490 + 986 + 16876 = 18352 KN
9. Factor of safety FOS = 18352/13509 = 1.359

STABILITY OF FOUNDTION AGAINST SHEAR
Foundations of finer loose cohesionless materials or of unconsolidated clays and silts-
weak in shear.
Approximate method
Assumption earthen material has an equivalent liquid unit weight which would
produce same shear stress as the material itself.
P = total horizontal shear down to rigid boundary
)
2
45 ( tan
2
1 2
m
2
2
2
=
h h
P
i

1
= equivalent angle of friction
1
1 m
1
c tan h
tan
h
m
+
=
where
, c = shear parameters of foundation materials
m
1
2 2 1
) (
h
h h h
f d
m

+
=
= mean unit weight of dam and foundation weighted in proportion to depth of each

d
= unit weight of dam material and
f
Max unit shear S
= unit weight of foundation material.
max
= 1.4 S
av
Now average unit shear = s
and occur at point B which is 0.4 b from C
av
Let S
= P/b
1
= unit shear strength below toe (at A) = c +
f
h
2
S
tan
2
= unit shear strength at point C = c +
m
h
1
Average shear strength S = (S
tan
1
+ S
2
Overall factor of safety against shear = S/S
)/2
av
Factor of safety at maximum shear:
. This schould be > 1.5
Let S = Unit shear strength at point of max. shear (point B) = c +
av
h tan
av
= mean effective unit weight = (
d
h +
f
h
2
) / (h+h
2
) and F.S. = S/S
max
. This should be
greater than 1.0
h
1

h
2

b
0.4b
h
P
A B C
Rigid boundary

Inter slice Force
Slice Normal force at base
= W + (X
L
X
R
) + N Cos + S
m
Ordinary or Fellenius No inter slice forces
- D Sin w
Bishop horizontal - yes, Shear No
Janbu horizontal - No, No shear-but a correction
factor used to account for interslice shear force
Stability may be ascertained by considering Moment or force
equilibrium
Moment equilibrium on individual slice or Overall sliding man
Force equilibrium summation of horizontal forces
Inter slice shear force X = E f(x)
f(x) = inter slice force function
= % (in decimal) of function used
Weight W increased/decreased by X amount
SAFETY AGAINST SETTLEMENT AND DEFORMATION [Novak et al. 1990]
Dams are provided with some free board for safety against overtopping. The dam fill
material is however liable to settle and deform resulting in decrease of free board. To assure
safety against future settlement of dam crest, the crest is elevated by the amount of future
settlement.
The primary consolidation
1
which develop as excess pore water pressure are
dissipated (during the course of construction of the dam embankment) can be estimated in
terms of coefficient of compressibility m
v
, the depth of compressible soil and mean vertical
effective stress increase as:
1
= m
v
Embankment:
. Then:
1e
= m
ve

d
H
2
/2, [ =
d
Foundation:
H2/2]
1f
= m
vf
D
f

f
[
f
= I
d
where H = embankment height, D
Ze]
f
The secondary consolidation settlement
is depth of compressible foundation, I is influence factor
(depending on foundation elasticity and depth-width ratio; for representative
embankment/dam foundation geometries I ~ 0.90-0.99.)
2
can be estimated from the coefficient of
secondary consolidation C
as:
2
= C
z log(t
2
/t
1
) where z is the height H or D
f
as
appropriate and times t
2
and t
1
are relative to completion of primary consolidation. Values of
C
See worked example 2.4 by Noval et al. 1990.

are generally below 0.002 for over consolidated clay fills, rising to 0.005 and 0.5 for
softer normally consolidated clays.

E
R

E
L

X
R

X
L

W

II: ROCKFILL DAMS

4.21 ROCKFILL DAM (Source: USBR ch-7, Golze ch-7)
Rockfill dams are type of embankment dams where more than 50% rock mass
of varying size and quality is used for construction of the embankment. The rockfill has
usually very large permeability and thus large amounts of water can seep through the rockfill
embankment. Thus a seepage control membrane is used to minimize seepage through the
embankment. The alignment of the dam (dam axis) is selected for minimum embankment
volume and/or membrane exposure. There are two main modes of seepage control membrane.
Internal membrane (central core). The membrane is located inside the
embankment (Figs. 4.41 and 4.42). The membrane materials include earth/clay
core, reinforced cement concrete (RC), roller compacted concrete (RCC), asphalt
concrete, steel or other metals. The clay core may be thin or thick, located in the
middle or near the u/s face, may be vertical or inclined.
External u/s face. The membrane is located at the u/s face of the rockfill dam (Fig.
4.43). The membrane materials include cement concrete, RCC, steel, timber, stone
/ rubble or PCC masonry, asphalt concrete.

A and E: Rockfill
B and D: graded filter / transition
C: Vertical internal seepage control
membrane (earth core)
D
Figure 4.41 A typical rockfill dam section with vertical internal seepage control membrane
E
C
B
A
A and E: Rockfill
C: Inclined internal seepage control
D
Figure 4.42. A typical rockfill dam section with inclined internal seepage control membrane
E
C
B
A
E1 E2
E3
E1 small size rocks
E2 medium size rocks
E3 large size rocks

Figure 4.44: Glennies Creek Dam (67 meters high, concrete faced rock fill dam CFRD) on
Glennies Creek. [Source: http://members.optusnet.com.au/~richardw2/projects.html]

A- seepage control and face
protection membrane
B- membrane bedding layer
C- random fill of low quality
rock
D- rockfill of best quality
rock
C
D
Figure 4.43 A typical rockfill dam section with external seepage control membrane
A
B

Figure 4.45: Rockfill dam: d/s view.
4.22 CONDITIONS FAVORING CHOICE OF ROCKFILL DAM
Large quantities of rock usually readily available from structural excavation or a
nearby quarry site.
Earth materials are difficult to obtain or require expensive + extensive processing.
Short construction season (allows simultaneous during unfavorable weather as
excess moisture not an issue for u/s face membrane dams).
Excessive wet climate restricting placement of earth materials
The dam is to be raised at a later time
Rockfill can be placed during rainy season. Grouting foundation can be done
simultaneously with embankment placement.
Diversion floods are very large and large diversion arrangements very costly. The
flood can flow through/over the dam without failure or with small damage.
Uplift pressure and erosion due to seepage not a significant design problem

Short structure base lengths due to steeper slopes
Short coffer dam (can be placed within the gorge length) and also overtopping can
be permitted.
4.23 EMBANKMENT DETAILS
4.23.1 Materials
The design of the rockfill dam depends on placement and materials of the seepage
control membrane. The typical sections are shown in Figs. 4.41 to 4.43.
U/s Face membrane
A. Face protection
B. Membrane bedding layer of Well graded small size rock/gravel
C. Random fill-low quality Lesser quality excavation materials
D. Best quality rock Best quality large size this section provide high stability to
dam
Internal membrane
A+E Rockfill
B+D Graded filter/transition (One or more zones)
C Earth core
Selection depends on availability of rock
Smaller size rocks close to filter/transition zones
Larger size rock of highest quality on u/s & d/s slope
Thin earth core as vertical or inclined
4.23.2 Traditional vs Present Design
Breitenbach 2007 summarized historical record rockfill placement and compaction
indicates 4 milestones in rockfill dam construction. The first milestone included the use of
low level hand placed rockfill dumps with timber facing on the upstream slope in the 1850s
for water storage and gold sluicing operations. The second milestone included a gradual
increase in water storage dam heights to over 300 feet (100 m) high using thick dry and loose
rockfill dump lift placement by trucks or draglines without compaction into the 1940s. The
third milestone included the use of high-pressure water jets and flooding techniques to wet
and consolidate the thick loose rockfill dump lifts to achieve up to 85 percent of total dam
settlement before reservoir filling from the 1940s into the 1950s. The fourth milestone
included control of rockfill lift thickness with dozer spreading and roller compaction, in
addition to documentation of rockfill gradation, moisture, and density in large-scale test fills
from the 1960s to the present day.

Figure 4.46: Rockfill embankment traditional construction technique. Top: Rock dump loose
lift placement in 45 ft (15 m) thickness. Bottom: Rock segregation with boulders at
bottom of rock dump lift (Breitenbach 2007)

Figure 4.47: Present day construction of rockfill embankment. Top: 0.5 m thick rockfill lift
placement by haul truck and dozer. Bottom: Fill lift compaction with steel smooth
drum vibratory roller. (Breitenbach 2007)

Figure 4.48: Wetting and compacting 2 ft (0.6 m) thick loose rockfill lift with 20 ton
vibratory compactor roller 2005

Figure 4.49: Rockfill bulk density test. (L) - 1 m diameter plate for large scale rockfill
sample. (M) - Water replacement test in hand excavated and lined hole, (R) - Bulk
gradation test on excavated rockfill materials. (Breitenbach 2007)
Traditional design (Dumped rockfill)
Rocks dumped in high lifts 30 to 60 ft.
No compaction-point to point bearing
Smaller size rocks sluiced with high pressure water volume 2-4 times rock vol.
(dirty rock need more water) Sluicing with 2-4 inch dia nozzles.
Rock angular corners break easily on wetting and thus denser packing

Settlement is caused due to wetting and rock mass weight + rock thrust on rolling
down the slope + height of drop
U/s hand or derrick placed rock zone or rubble masonry required to form support
for face membrane.
Present design (Compacted rockfill)
Rock material dumped in thin layers, spreaded by dozers and compacted by
vibratory rollers of 5 to 50 ton capacity. Lift varies 1 to 2 m only.
Has very small post construction settlement.
Wide range of rock (size, quality) may be used
Concurrent work in adjacent areas unaffected
4.23.3 U/s and d/s Face Slopes
Slopes depend on type and location of membrane. Slopes evolved from steep (0.5
H: 1V) to flat (1.3-1.7:1)
Steep slopes used to minimize rock volume and cost
Steep slopes possible with u/s face membrane
For past design the steep slopes were stabilized by thick crane-placed dry rubble
masonry (and which provide as support zone for the bedding layer for u/s
membrane). No derrick/crane placed rock work required for present design
Slope flattened to match angle of repose
Central sloping core: 2:1 to 4:1 both u/s & d/s (flatter slopes for central core)
U/S face membrane: concrete u/s 1.3-1.7:1, d/s natural angle (1.3 1.4 :1),
Asphalt concrete face 1.6 1.7:1, Steel, u/s 1.3-1.4:1, D/s 1.3- 1.4
4.23.4 Rock Quality
Hard, durable and able to withstand disintegration due to weathering.
Resist excessive breakage due to quarrying (rock blasted at quarry), loading,
hauling and placing operations
Free of unstable minerals
Individual rocks of uniform size for good rock-to-rock contact.
Igneous, sedimentary and metamorphic rocks all used successively.
Each dam site a unique problem, thus General guidelines only.
Rock quality determined by lab tests and/or in-situ inspections of weathering
marks at the rock quarry site.

Test embankment to answer i. Use of marginal materials, ii. Performance of
materials during compaction operation, iii. Correct compaction equipment, iv.
Number of passes, v. Correct lift for each material
4.23.5 Rock Sources
Rock can be obtained from many sources as: Excavation for foundations, structures,
spillway, stilling basin, tunnels, underground power houses etc., Quarry rock near dam site,
Talus slopes, etc. Angular rock fragments can be obtained from the from river bed if
cobbles/boulders
4.23.6 Rock Size
Use Rock of sp gravity = 2.67 2.94+, weight not less than 160 lb/cft = 2560 kg/m3
Past Design
Zone B: Mix. of: (between bedding layer and C
zone see figure)
40% - quarry chip to 1000 lbs (375 kg) of
compressive strength > 350 kg/cm
2
30% 1000-3000 lbs (1/2 to 1.5 tons
having 0.45 to 0.75 m size)
(5000 psi)
30% 3000-14000 lb (1.5 to 6 tons of 0.75 to 1.25 m size)
<3 % quarry dust
Maximum dimension not more than 3 times min dimension
Zone D: Extra large rock
50% > 14000 lbs (4.5 ft)
50% 6000 14000 lbs (3.25 to 4.5 ft)
Max dimension not more than 4 times minimum dimension
Zone C: Random quality rock as Mix.
Quarry chips to 14000 lbs
Present design with compacted layers
(I) With u/s face membrane (A):
D Good quality rock of 1 cft to 1 cubic yard
size, No slaby rocks (to avoid bridging), well
graded, minimum finer part.
C Low quality: 3 to 1 cft
B C
D
C
D
A
B

B Bedding layer: 3 to provide smooth uniform bearing surface for the u/s face
membrane
Note: (1) For C D zones fine rock placed nearer to u/s face and coarse rock nearer to d/s.
Strongest material is placed in lower part of zone D to improve stability. The internal
friction angle decreases with rock size and confining pressure.
(2) The lift (lift = fill height) should be at least twice the size of the largest rock. The
B zone is dumped in 30 cm (1 ft) lifts, leveled and compacted with crawler or
vibratory rollers. The C and D zones are dumped with 1 m and 1-2 m lifts,
respectively and compacted with vibratory rollers. The material is thoroughly wetted
during truck dumping time (but not sluiced) before compaction.
(3) For asphalt face, a thin B zone is enough, and compaction is done by smooth drum
vibratory rollers up the face.
(II) With Central core:
The u/s and d/s rock shell provide support to the core. Thus strongest and large rocks
in d/s rockfill shell/zones. The u/s shell may be formed of lesser quality rock. For both u/s
and d/s shells, the smaller size rock is placed nearer and adjacent to the core while larger size
rocks is placed towards the outer faces. The rock material placed on u/s and d/s face to be of
sufficient size and quality to satisfy the riprap requirements. No bedding layer is required
below the riprap due to sufficient porous nature of the rockfill.
General grading of rock material as: 0-10% - 0.6 mm, 0-40% -5 mm, 0-65% - 19 mm,
22-100% - 76 mm, 60-100% - 305 mm, 100 % - 610 mm.
The u/s and d/s shell rockfill is compacted in 1 m lifts with vibratory rollers. The
sluicing is done in such a way that will not clog filters or impermeable materials washed
away.
The filter/transition zones are compacted in 30 cm lifts by crawler or vibratory rollers.
The width of filter zone should be enough for placing and compaction. Filters materials
prevent piping of the impervious materials into the rock shells.
The core is compacted in 15 cm layers and compacted by sheep foot rollers +
vibratory or tamping rollers. The top surface is scarify / roughened before the next layer to
obtain an effective bond. The core material to have enough plasticity index to allow the core
to deform without cracking.
4.23.7 Rockfill Dam: Overflow and through Flow
Flow through rock voids
Unsupported d/s slope liable to erode and collapse
Provide an anchorage system to support d/s face
If larger rocks at d/s face, then no support needed

Grid of steel bars anchored by tie back rods extending horizontally into the rock
mass (12 to 20 mm rods 30 cm vertical spacing and 1-1.5 m horizontal spacing)
Alternatively slope stabilization by concrete slabs, asphalt concrete membranes,
long flat berm of heavy rock also useful

Figure 4.50: Steel mesh being installed on downstream rock fill face of Windamere Dam as
protection against overtopping during diversion. In the background the impermeable brown
clay core of the dam can be seen under construction. (Source:
http://members.optusnet.com.au/~engineeringgeologist/page11.html)
4.23.8 Test Embankment
Laboratory tests (abrasion resistance, freeze-thaw characteristics, water
absorption) used to evaluate suitability of rock.
Petrographic analysis for minerals identification and rock weathering potential.
Unconfined or triaxial tests for strength evaluation.
In-situ examination of rock to check weathering condition.
Test embankment to evaluate performance of rocks with questionable properties.
It is used to determine following issues

- use or not of marginal materials
- performance of selected materials during compaction operations
- correct type of compaction equipment for each material
- required number of compaction passes for each material
- correct lift thickness for each material
- effects of particle crushing
4.24 FOUNDATION
4.24.1 Foundation Requirements
Foundation requirements for rockfill dam is more severe than earthfill dam but less
severe than concrete gravity dam. Hard erosion resistant bed rock is most suitable. Rockfill
dams are not suitable in soft foundation of sand, silt and clay. Foundation with river gravel +
rock fragments is acceptable (A positive cutoff must to bed rock to control seepage).
Foundation is treated for minimum dam settlement. Filters to protect migration of fines from
the foundation into rockfill.
For rock foundation grouting is done to seal-off rock imperfections. If geology of the
foundation is unknown, complete grouting is done, and shallow grouting may be enough if
geology permits. For cobbles-gravel-sand foundation the under seepage through the
foundation is minimized by providing a positive cutoff. For a deep foundation a partial cutoff
(concrete, metal, sheet pile etc) is provided in upper part with cement grouting beneath the
cutoff. Some grouting may be needed into the rock below the positive cutoff. Post
construction grouting may be required depending on seepage measurements of first few years
if reservoir can be drawn down to the bottom. Cutoffs Provides leakage control, facilitate
grouting operation (as grout cap), provide water tight seal with membrane, and take
downward thrust of membrane
4.24.2 Foundation Preparation
Rockfill dams usually founded on some type of rock
Rock may be exposed at surface or buried
Stripping of shallow over burden of sand-gravel-cobbles foundation under the
core (3-5 m deep) to form a key trench. For other areas e.g. under the shells, the
foundations strength may be more than dam fill material, thus no need to strip or
excavate.
Shallow clay-silt-sand foundation to be stripped for entire dam base (core and
shells)
Over hangs in foundation and abutment be eliminated
Trimming/excavation not to damage bed rock

Large depressions below desired bottom contours filled with dental concrete
Foundation preparation is less severe under rock shells
Prominent rock projection removed.
4.24.3 Grouting
Minimize seepage through dam foundation
Reduce hydrostatic pressure under d/s portion of dam (usually not a problem for
clear rocks)
Eliminate piping through dam foundation
Blanket and curtain grouting in and adjacent to core foundation area
Fractured/faulted rocks upper 30 ft blanket grouted to prevent piping of fines from
core into rock crevices
Single or multiple line of grout under core
Grouting pressure to avoid fracturing or moving of rocks.
4.25 SEEPAGE MEMBRANE
4.25.1 Options
Seepage membrane is required to stop the seepage through the dam embankment.
Central core (vertical or sloping/inclined) or u/s membrane are used for this purposes. The
materials for the membrane include reinforced cement concrete (RC), roller compacted
concrete (RCC), steel, timber, stone / rubble or PCC masonry, asphalt concrete for u/s face
membrane and earth/clay, reinforced cement concrete RC, RCC, steel, stone / rubble or PCC
masonry, asphalt concrete for central core dams. Economic and safety analysis is done to
choose type and design of the membrane. The advantages and disadvantages vary according
to type, materials available, and foundation condition.
Advantages of Internal membranes
- Less total area exposed to water (due to steep slope)
- Shorter grout curtain length (shorter axis length at shortest line of dam
axis)
- Potential safety from weathering and external damages
- Core location precisely known (a plus point when additional grouting
works may be needed in future)
Disadvantages of Internal membrane
- Simultaneous construction is must both for membrane and rockfill.
- Inaccessibility to inspection and damage repair

- Small dam base for stability against sliding
- Need flatter dam shell side slope if E/F core
- Filters/transition zone required for earth core
- Adequate construction control required if several filter zones are required
due to coarse shell.
- Through and over flow not permitted
Advantages of u/s membrane
- Readily available for inspection and repair
- Membrane can be constructed after rockfill section
- Foundation grouting can be performed simultaneously with rockfill dam
- Large portion of dam base for sliding stability
- Membrane works as slope protection
- Dam raising easy
- Flow through dam body permitted during dam construction
4.25.2 Membrane Design Internal Core
1: Earth Core
Impervious Central Core of Earth
Enough quantity of earthfill available for core
Used when u/s abutments widely apart in comparison to dam axis length
Or show highly weathered rock to great depth and require adequate grouting
/cutoff.
Or higher elevation of abutment with deep layers of overburden thus trench type
installation less economical
Design same as for earthfill dam, seepage and stability analysis required.
Material placed in 6 lifts and compacted by tampering rollers
Core material to have enough plasticity to allow it to deform without cracking on
dam deflection.
Filter zones provided (one or multiple zone of 8-15 ft thick)
Foundations and abutments opposite to core be treated to prevent piping
Joints, cracks, fissures in core area be cleaned out and filled with concrete or
grouted; additional future grouting of foundation can be carried from dam crest.
Vertical side faces/overhangs of abutments trimmed to 1H:2V

Bottom width 0.5 h to 2.5 h
U/s and d/s slopes symmetrical (0.3 H:1V 1.5H:1V), or u/s flatter than d/s face.
Dam slopes as x+1 H:1V (minimum 2:1) [x = core slope]
Chimney/blanket drain to drain off seepage flow (from the earth core and other
core / membranes.
Location is central vertical position

Sloping Earth Cores
These core located closer to u/s face, almost paralleling the u/s face
Filter zones on u/s & d/s of core
Provide more stability against sliding (provide better transfer of water pressure to
foundation and d/s shell)
Usually thin width, width decreases at top
Bottom width 30 to 50 ft
Top width 15 to 20 ft
Advantages: grouting cutoff can be at same of d/s fill placement
U/S face: core = 1.4H:1V Dam: u/s face 2:1 or flatter, d/s face = 1.4:1
Core can be placed after initial settlement of rockfill (less subsequent cracking
risk)
Section better to pass flood flows as through flow (d/s anchoring needed)
1
1
1
1
> 2
2
1.4
1.9
Z
> Z
Figure 4.51: : Sloping earth core rockfill dams.

Due to lower contact pressure at foundation more susceptible to seepage and
piping
Additional grouting, if required difficult as foundation contact area likely under
water.
Works as u/s earth face rockfill dam with face protected by dumped quarry rock.
Moderate Sloping earth core
U/s 0.5H;1V to 0.9 H:1 V, d/s 0.5:1
Moderately sloping core has clear advantage with respect to arching
U/S dam slope can be made steeper than for extremely sloping core for stability
reason
2 Other Materials for Central Core
Limited success due to rigid nature
Reinforced Concrete
6 ft at bottom to 1 ft at top
Large deflection (e.g. at one dam 9 ft in 4
years & additional 5 ft in next 38 years)
Core cracking due to lateral movement of shell
Use of concrete practically discontinued
Concrete cutoff in foundation and extending partially into impervious earth core
used in modern dam to improve contact and seepage control and sliding safety.
Steel Diaphragm
Centrally located
Deterioration of steel due to water contact (oxidation, corrosion, potting, holes)
Impossibility of repairing
Limited used in few installation
Bituminous Material
Used for small height dams
Thin cores 40-100 cm in thickness
Transition zone to provide uniform support and for filter, if any leakage/rupture
Can be vertical or slightly inclined

Earth core
Concrete
cutoff

Figure 4.52: Top: Cross section of an asphalt core rockfill dam in Norway that was
constructed with an only one meter thick. Very high quality control is necessary for
such a thin core. Bottom: Construction.
[Source:
http://cee.engr.ucdavis.edu/faculty/boulanger/geo_photo_album/Embankment%20da
ms/Zoned%20rockfill%20dams/Zoned%20rockfill%20-%20main.html]

4.25.3 U/s face membrane
Concrete Faced Rockfill Dam (CFRD)
RCC slabs placed at face over bedding layer
Slab thickness and reinforcement requirements by experience, precedent and
judgment
Criteria
- Low permeability
- Sufficient strength to permit large subsided areas beneath the facing
- High resistant to weathering
- Flexible to adjust to small embankment settlements
Best suited for compacted rockfill dams due to lesser chance of settlement and
deflection.
Well compacting bedding layer (4+4+8 passes) reduce bridging requirements and
provide more uniform support to the face layer.
Concrete to be dense, durable, weather/chemical resistant
Slab placed in blocks 20-60 ft square
Horizontal + vertical expansion joints and construction joints are provided. Gaps
filled with flexible bitumen.
Metal or rubber water stops (1 or more layers) in joints
Concrete facing result in smooth surface and increase wave run up (but due to
steeper slopes, net run up may not increase much)
Coping or parapet walls (5-10 ft) (Fig. 4. (a)) in continuation of face concrete to
reduce height of embankment by containing wave run up.
Concrete placement by slip forming process
Shortcrete (roller compacted concrete RCC) may also be used
Facing provided after dam construction (to allow dam settlement)
Concrete facing anchored to the foundation cutoff wall through continuous
reinforcement (Fig. 4. (b))
May be anchored to flat bottom with dowel anchored footwall which also serve as
grout cap (Fig. 4 (c)).
Slabs 20-60 ft square slip formed; Contraction joints horizontal
Minimum temperature reinforcement 5%

Thickness tapered t =0.3 +0.002h (min 1.5 at base to 1 at top) [KTD 6.6 ft to 1
ft over 315 ft height)

Figure 4.54: concrete face slab construction work by slip forming. Note the reinforcement
and machine control. [@ http://www.dur.ac.uk/~des0www4/cal/dams/emba/embaf23.htm]
Parapet wall
Concrete
face slab
Dam crest
Original
ground
surface
Foot wall min
1 m thick
dowel
Min 1m
Grout curtain
Cutoff
(a)
(b) (c)
Figure 4.53 : u/s face concrete slab.

Asphaltic Concrete
provides more flexibility and tolerates larger settlement
Dam u/s slope 1.7:1 or flatter for easy placement
Good bedding layer to eliminate uplift pressures and piping if cracks
If bedding layer B zone not used , provide a 6 thick leveling layer to fill surface
voids, provide easy travel of paving machinery, and smooth bedding surface for
asphalt membrane
Penetration coat over leveling layer to bind and stabilize it
Membrane thickness 20 to 25 cm. Asphalt 8.5% by weight of dry aggregates
Standard road paver used and asphalt placed in 3 layers
Seal coat on the finished surface (for water proofing) and increased durability
Placed in 3 to 4 m (10-12) wide strip at right angle to dam axis
Paving placed on upslope pass only
Rolling operation follow placement
Smooth wheel rollers, vibratory or tandem type
Layers compacted to min of 97% density
Tight joints between adjacent strips
Transverse joints minimum and complete as hot joints
Cold joints by (a) apply tack coat (b) overlap 10-15 cm (3-6) joints (c) reheat
joint with infrared heating (no open flames) (d) compact joints by rolling after
heating.
Joints offset by 1-1.5 m (3-4) from joints of bottom layers
Formation cutoff allow easy placement
Membrane must be durable, flexible, impervious, does not creep, and resist
weathering
Membrane material must satisfy: sieve analysis, immersion + unconfined
compression test, Sustained load test, Permeability, Wave action test
Special tests may be needed as: Slope flow, Coefficient of expansion, Flexural
strength and Effect of reservoir ice
Parapet walls may be used to contain wave action

Steel Face
Used on few dams
Performance satisfactory
Can be rapidly constructed
Can tolerate greater embankment reverts
Disadvantage-probability of corrosion
Cathodic protection on both faces of plates
Proper maintenance can made facing as permanent
Dam u/s Slopes 1.3-1.7

Original ground surface
Backfill
Cutoff
Grout curtain
Asphalt membrane
Rockfill embankment
Figure 4.55 Asphalt concrete membrane
Backfill
Cutoff min 1m
Grout curtain
Steel plate
Rockfill embankment
Figure 4.56 Steel membrane
Anchor dowel

Steeper slopes construction difficulties
Plate anchored to embankment by steel anchor rods grouted in bedding material
Plate raised on a scaffolding, grid, bedding material placed after or during plate
construction
Plate thickness -3/8
Jointed by bolts or continuous fillet weld,
Expansion joints provided at regular interval
Coping walls can be used to retard over splash
4.26 SEISMIC DESIGN
Low seismic activity require no additional provisions
Note: No exact rules for dam design in earthquake regions.
Fact: Large d/s zone of quarried rock placed in thin layers provide maximum
stability
For Moderate seismic activity areas, provide:
- Large d/s zone of good quality rock
- D/s slope flattened to 1.7:1 in all cases
- For additional conservation u/s slope may also be flattered
- Foundation must be firm rock/blanket grouting
- Free draining cobbles/boulders/rock fragments (if compaction same as
rockfill) may be used.
- Provide trench type cutoff
- Provide thicker bedding zone
- Use better quality rock in C zone (routine is random fill of poor quality
rock)
- Limit lift thickness to max of 3 in zone D
- Use a thicker membrane on U/S.


REFERENCES AND BIBLIOGRAPHY

Breitenbach 2007. History of rockfill dam construction: Parts 1 and 2. @
http://www.geoengineer.org/ rockfill1.htm, rockfill2.htm (as on 16 Jun 2007)


QUESTIONS
1. A homogeneous dam has following data. Total height = 80 m, Free board = 5 m, u/s
face slope = 2.5:1, d/s slope face = 2:1, Crest width = 5 m, Foundation thickness = 25
m, K of dam fill material = 5 x 10
-6
m/s, K of foundation material = 2 x 10
-7
2. The attached Figure shows section of an earthfill dam at its maximum depth showing
steady seepage phreatic line, equipotential lines, a trial slip surface. Scale: 1 block =
5x5 m.
m/s. Tail
water depth = zero. Draw seepage flow net and determine the seepage rates through
the dam and foundation. Assume seepage from dam do not enter into foundation and
vive versa. Also determine uplift pressure at base of the dam.
Dam height = 60 m, depth at normal conservation level = 55 m, U/s slope = 2:1, d/s
slope = 2:1, Core uniform width = 20 m, core height = 55 m. The material properties
are as:
Core: c = 12 KPa, = 29, average unit weight = 21 KN/m
3
, K = 3 x 10
-5
Fill: c = 5 KPa, = 33, = 19 KN/m
cm/s.
3
, K = 5 x 10
-4
Determine the factor of safety for the d/s face for steady seepage condition for the
shown slip surface by using method of slices.
cm/s.

9

1
2

1
4

1
6

1
8

2
0

2
2

2
4

2
6

2
8

3
0

3
0

3
2

3
4

3
6

3
7

3
8

3
9

4
0

4
0

4
2

4
4

4
5

4
6

3. Repeat Q-1 by using SEEP/W program.
4. Repeat Q-2 by using SEEP/W and SLOPE/W computer programs.



Figure 4.61: Dynamic compaction, Townsville Australia.


Figure 4.62: Mangrove Creek concrete faced Rock Fill dam
(http://www.ipenz.org.nz/nzsold/NZSOLD-Newsletter-46-Text.pdf)

Figure 4.63: 125 m high Storglomvatn Rockfill dam with asphalt concrete core
(http://www.ngi.no) 125 m high RF dam with asphalt concrete core.

Figure 4.64:
Zoned Rockfill Dams in Norway Dams constructed of soil, of rock, or of a
combination of soil and rock are called embankment dams. Embankment dams are most
economical where the materials at the dam site can be used to construct the embankment with
little or no processing. Small embankment dams can be built of a single type of soil, which
must hold back the water and provide enough strength for stability of the embankment. Large
dams are usually zoned, with fine soils (silts or clays) at the center of the dam (the core)
to hold back the water, and sand, gravel or rockfill in the upstream and downstream parts of
the dam (the shells) to provide the strength needed for stability of the embankment.This
photo shows a cross section through a zoned rockfill dam in Norway. The yellow zones
downstream from the green core are the filter and the drain. The filter is graded to hold the
particles within the core in place, while allowing seeping water to pass freely. The drains
have high enough permeability to carry the seepage without allowing any significant pore
water pressures to develop in the downstream parts of the dam. The rockfill shells are shown
in orange. The gray zone between the drains and the shells is a transition zone, used to
make economical use of as much of the soil at the site as possible. The steep slopes indicate
that the rockfill of which the shells are constructed has a high angle of internal friction.
(http://cee.engr.ucdavis.edu/faculty/boulanger/geo_photo_album/Embankment%20dams/Zoned%20rockfill%20
dams/Zoned%20rockfill%20-%20main.html)


Figure 4.65: Mohali dam, Lesotho (http://www.trc.org.ls)

Fig 4.66: Kouris EF dam, Cyprus. (http://www.flickr.com/photos/lemessoler/2155179591/)

Fig 4.67: Windamere Dam (69 metres high, earth and rock fill dam) on the Cudgegong
River near Mudgee. Geotechnical problems included excessive grout takes in highly fractured
rock in dam foundation. The spillway was an unlined cutting in andesite about 1 km from the
dam site and supplied the entire rock fill requirement for the construction of the dam
embankment. If a spillway had been built in the weathered sedimentary rocks at the dam site
full concrete lining would have been required.
Windamere Dam earth and rock fill embankment. The dam foundations are weathered
Devonian conglomerates, sandstones and shales. The spillway is located about 1km away
from the dam in mostly unweathered Ordovician andesite. The spillway is an unlined rock
cutting that provided all the rock fill required for the construction of the dam embankment.
The access road bridge over the spillway cutting is just visible in the upper left of the photo
http://members.optusnet.com.au/~richardw2/img/wind3.jpg


Fig 4.68: The dam wall of the Upper Yarra Reservoir which is a rolled earthfill and rockfill
embankment and is 610 metres long and 90 metres high.
(http://www.flickr.com/photos/splatt/357903508/)


Chapter 4
4.1 DEFINITION

I: EARTHFILL DAMS
Novak 19** P-59):

fill.

consolidation.

1

rd

1
of depth of the
H/3
H
Seepage


H
Seepage
H
Seepage
H
Seepage

Fine rock or
sand/gravel fill
Graded gravel or
crushed rock
Toe drain
Dam d/s slope
H
U/S
Shell
CORE
D/S
Shell
Seepage
Filter

4.4.3 Diaphragm Dam
riprap.

pervious materials.
H
U/S
Shell
C
O
R
E

D/S
Shell
Seepage
Filter

Vertical Core
crest of the dam.
Criteria
condition.
failure.

Inclined Core
H
U/S
Shell
C
O
R
E

D/S
Shell
Filter

Advantages
grained soils.
easier to install.
Disadvantages
advantages.
compact.



4.5.3 Chimney Drain
o
120
o
4.6 FILTER CRITERIA
USBR 2001, p-235).
3 6.4 10 2.0 25 0.71 60 0.25 200 0.074
4 4.8 12 1.7 30 0.59 70 0.21 270 0.053
5 4.0 16 1.19 35 0.50 100 0.149 300 0.050
6 3.4 18 1.00 40 0.42 140 0.105 325 0.044
8 2.38 20 0.84 50 0.297 170 0.088 400 0.037
EARTHFILL
Dam d/s slope
Fine graded filter
Toe drain

U
= d
60
/d
10
and
C
= d
30
2
/[d
60
xd
10
SF
=
d
50
2
/[d
60
xd
10
1. D
15
/d
15
2. D
= 5 to 40
15
/d
85
3. D
85
(similar C
U
15 coarser
5 d
85 finer

* D
15
/d
15
* D
15
/d
85
* D
50
/d
50
* D
60
/D
10

compaction.

Given: d
15
= 0.006 mm, d
85
D
15
D
15
D
15
5 * 0.10 = 0.50 mm (3) [criteria 2]
15
15
= 0.14 mm.
85
D
= 2.4 mm.
(4)
85
As D
2 * 0.5 1 (5) [criteria 3]
85
st
layer F1 [D
15
= 0.14 mm, D
85
nd
D
layer F2.
15
D
15
Clay core
Earthfill
F
i
l
t
e
r

F
1

F
i
l
t
e
r

F
2

Clay core
Earthfill
F
i
l
t
e
r

F
1


D
15
5 * 0.24 = 12 mm (8) [criteria 2]


Core F1
F2 F1
F2
U/s fill
D/s fill
F1 F2
CORE
D/s fill


Constriction of chimney filter, Mangla dam raising project.

15
15
= 4.0 mm.
85
D
= 50 mm. (9)
85
Select D
2 * 0.5 1 (10) [criteria 3]
85
15
= 4.0 mm, D
85
= 50 mm.
1 90 100
45 75
# 4 (4.8 mm) 30 - 45
# 50 (0.297 mm) 4 - 10
# 100 (0.149 mm) 1 - 3

# 200 (0.074 mm) 0 - 2
loading.
Roughly stratified.
the foundation.

described below.

H
U/S
Shell
CORE
D/S
Shell
Bed rock
Overburden
River
bottom

intercepted.

Depth to bed rock.
H
U/S
Shell
CORE
D/S
Shell
Bed rock









like structure
bottom.
May be reinforced.

U/s Mid
D/s

positive cutoff.
High in cost and
RCC or PCC
rock surface.
piled in windrows.
Trench filled with
Plan
Section
River level
Bed rock level
Pictorial
USBR 2001, p-228).

natural silt.
complete.
slurry trench.
material
along with casing.
chemical grout.

abutments.
3 ft at outer end.

U/s impermeable
barrier / blanket
Protective gravel/
riprap layer




Q = K I A I = h/L

L
d
Seepage exit
area ~ 2-3 d

weight of soil.
soil.
formation).
the piping failure.
the dam.

the dam.

satisfactory.

Bed rock
Drainage ditch
Seepage flow
Well details
Well head details

very much affected.
medium or deep.
zone/core.

Provide key trench
Minimum core B
Provide key trench
pressures.
Provide toe drains
conditions:
exposed foundation.

seepage control.
soil group.
r
= (e
max
-e)/(e
max
-e
min
) is related to
strength.
r
[C
r
= (LL-W)/(LL-PL)] = (e
LL
-
e
w
)/(e
LL
-e
PL
At C
water content.
r
LL
0.2 lb/sq in and
shear strength S
LL
= 0.2 + tan
s
. The
s
Treatments:

(Fig. 4.18).

compression
drainage.

h/2
h

Pre-consolidation
useful.
Dynamic Compaction
take several weeks.
Stress
S
t
r
a
i
n


(Fig. 4.18).

Dry Foundation
dense soils.
4.11.1 Crest Design
Crest width W
1/3
areas)
Figure 4.19b
h/2
h
3:1 or flatter
Random fill

W = 0.55 h + 0.2 h h< 30 m
W = 1.65 (h+1.5)
1/3
h>30 m (USBR 2001)
Surface Drainage
Surfacing
Safety Requirements
1/2
Camber
well supported.


seismic conditions.
Construction level
Camber ~ 4

Camber
W
ELEVATION
X-SECTION
1.75:1
2:1

required.
be made flatter

1/2
as (Pumnia p-366):
Material u/s d/s
Silty clay h < 15 m 2.5:1 2:1
h > 15 m 3:1 2.5:1
Diaphragm Type
Homogeneous
u/s d/s u/s d/s
GC GM SC SM 2:1 2:1 3:1 2:1
CL ML 3:1 2:1 3:1 2:1
CH MH 3/6:1 2:1 4:1 2:1
Zoned embankment

materials/machinery

Impervious Core
Maximum Core:
Slope = y:1
Slope = y-:1
Slope = 1:1
Slope = :1
1:1
x-:1
x:1
Z
Z


p-267)
drawdown
Rapid
drawdown
U/s D/s U/s D/s
GP, SW, SP,
gravely
GC, GM, SC, SM,
CL, ML, CH, MH
2:1 2:1
Max core Rock, GW,
GP, SW, SP
gravely
GC, GM 2:1 2:1 2:1 2:1
SC, SM 2:1 2:1 2:1 2:1
CL, ML 2:1 2:1 3:1 2:1
CH, MH 3:1 3:1 3:1 3:1

embankment).

I: UPSTREAM SLOPE
Rock Riprap
Dumped Riprap
reservoir lowering.

Shell material
(min 4-6 ft to
enable placing)








Figure: D/s face protection, Dharabi Dam, Potohar, Chakwal.

Riprap weight
weight as:
( ) ( )
b
a
Cot G K
H
W
3
50
1
=
W
max
= 4 W
50
and W
min
= W
50
W
/8
50
as: M = 10
3
x H
s
3
s
(m).
1/3
50
as:
or 24
50-60
D
40-50
D
< 2.5 miles 30 2500 lbs 1250 75-1250 75
0-10

> 2.5 ml 36 4500 2250 1000-2250 100
Rounded size d
0-10
Shape of Rock

Graded Filter
3/16 to 3
1/2
Flexibility
Placement
thickness.

Concrete Paving

Soil Cement

8-10 ft
2-3.5 ft
wave breakers Soil cement


4.11.4 Abutments
Cut slope
Berm


Shear strength
Remove overhangs

and expressed by:
v
=
v
/
v

v
= k/m
v
w
(k=permeability)
Compaction
d
permeability.
unit
weight
(kN/m
3
strength basis)
)
Coefficient of
compressibility
,
mv
(x10

-4
m
2
Coefficient
of horizontal
permeability
k
/kN)
h
(m/s)
Cohesion
c (kN/m
2
Friction,
(degrees) )
Gravels 17-22 0 30-45 0.1 1.0 10
-1
10
-2

Sand 0 30-45
10
-2
10
-5


Silts < 5 20-35
10
-4
10
-6

Clay (soft-
medium)
15-21 0 20-30 1.0 10.0
Intact clays,
< 10
-8
, if
weathered,
fissured, or
with silt
lenses 10
-3

10
-8

Clays (sensitive,
silty)
< 10 < 30
Clays (medium-
stiff)
< 50 < 20

Q = K H N
f
/ N
d

N
f
N
= No. of flow lines
d
next page.
Flow net provide
f
= 4.3
h

/m
3

stability analysis.

face of dam.
face chimney drain
rockfill toe
drainage blanket
Seepage
exit face
h/3
h
h
h=h/m
B
H C
0.3 L
L

4.27).
u/s
h
d/s

d
= h/h.
are present.

the other material.

angle.
Seepage rate
( ) T h T K Q + =
2 2

A
B
C
0.3 L
L
F G H
Q
x
R = x+S
R
P(x,y)
D
E
y
S
h
T
Directrix

seepage rates.
-4
ft/sec, Fig. 4.31.
N
f
= 2.8, N
d
-4
x 2.8/9 x 40
= 6.22 x 10
-3
ft
3
-3
ft
3
-3

ft
3

/s/ft.}

(a)

d d d
K K H K L q t
1
1
d
is permeability
lines, etc.
Permissible Seepage
(c)
(b)

Impervious core 1:4
Rock foundation 1:1
nd
edition, John Wiley

evaluated.

Procedure
Factor of safety F
S
Slip surface as arc


(D
L
+ D
R
)/2 x b.
Force units
= U
Length units
x
w

1
2
3
4
5
6
7
11
12
15
b
W
5

T
5

N
5

CORE
W
5

T
5

N
5

b
L
D

Slice # 5

u
Z
c
= H Cot (0.6 + 2 tan ) and Y
c
where Z
= H Cot (0.6 - tan )
c
, Y
c
u
w
/Z.

9

1
2

1
4

1
6

1
8

2
0

2
2

2
4

2
6

2
8

3
0

3
0

3
2

3
4

3
6

3
7

3
8

3
9

4
0

4
0

4
2

4
4

4
5

4
6

5
1

5
2

5
3

5
4


the u/s potential.

9

1
0

1
2

1
4

1
4

1
6

1
7

1
8

2
0

2
0

2
2

2
2

2
4

2
4

2
5

2
6

2
6

2
7

2
8

2
8

2
9

3
0

3
0

3
2

3
4

3
6

3
7

3
8

3
9

40

4
0

42
44
45
46


+

=
w c a
a
V h V
P
u
where
P
a
V
a
V
w
h
c
o
F

Draw u vs. (plot 2)
.

%

u
Plot 1
Plot 2
Mid point circle
Slope circle
Toe circle

Design loading F
s
u/s d/s
+ earth quake - 1.1
Example:
3
, K = 1 x 10
-5
= 35, = 18 KN/m
3
, K = 5 x 10
-4
Solution:
W1 = 5x15x18 + 10x15x20 + (15x20)/2x20 = 1350 + 3000 + 3000 = 7350 KN
W2 = (35+35)/2x20x18 = 12600 KN
W3 = (35+20)/2x40x18 = 19800 KN W4 = (20+0)/2*30*18 = 5400 KN
2. Bottom length:
L1 = [15
2
+25
2
]
0.5
= 29.15 m; L2 = [20
2
+10
2
]
0.5
L3 = [40
= 22.36m;
2
+5
2
]
0.5
= 40.31 m; L4 = [30
2
+5
2
]
0.5

9

1
2

1
4

1
6

1
8

2
0

2
2

2
4

2
6

2
8

3
0

3
0

3
2

3
4

3
6

3
7

3
8

3
9

4
0

4
0

4
2

4
4

4
5

4
6

5
1

= 30.41 m

A
B
C
D
E
F
2
1
3
4

1 = tan
-1
(25/15) = 59.04 2 = tan
-1
3 = tan
(10/20) = 26.57
-1
(5/40) = 7.13 4 = tan
-1
(5/30) = - 9.46
N1 = 7350 x cos 59.04 = 3781 KN N2 = 12600 x cos 26.57 = 11269 KN
N3 = 19800 x cos 7.13 = 19647 KN N4 = 5400 x cos 9.46 = 5327 KN
T1 = 7350 sin 59.04 = 6303 KN T2 = 12600 x sin 26.57 = 5636 KN
T4 = 19800 x sin 7.13 = 2458 KN T4 = 5400 x sin -9.46 = - 888 KN
F:
h (m) = 47.5 37.0 33.4 24.9 15
z (m) = 45 25 15 10 15
u (m) = 2.5 12 18.4 14.9 0
u (KPa) = 24.52 117.72 180.50 146.17 0
u1 = (24.52+117.72)/2 = 71.12 KPa, u2 = (117.72+180.50)/2 = 149.11 KPa,
u3 = (180.50 + 146.17)/2 = 163.33 KPa, u4 = (146.17 + 0)/2 = 73.08 KPa.
U1 = 71.12 KPa x 29.15 m x 1 m= 2073 KN U2 = 149.11 x 22.36 = 3334 KN
U3 = 163.33 x 40.31 x 1 = 6584 KN U4 = 73.08 x 30.41 x 1 = 2223 KN
C1 = (3x5 + 5x10 + 5x29.15) x 1 = 211 KN C2 = 3x22.36x1 = 67 KN
C3 = 3x40.31 x 1 = 121 KN C4 = 3 x 30.41 x 1 = 91 KN
C = 211 + 67 + 121 + 91 = 490 KN
S = 490 + (3781 - 2073) tan 30 + (36243 12141) tan 35 = 490 + 986 + 16876 = 18352 KN

weak in shear.
Approximate method
P = total horizontal shear down to rigid
boundary
h
1

h
2

b
0.4b
h
P
A B C
Rigid boundary

)
2
45 ( tan
2
1 2
m
2
2
2
=
h h
P
i

1
1
1 m
1
c tan h
tan
h
m
+
=
where
m
1
2 2 1
) (
h
h h h
f d
m

+
=

d
f
Max unit shear S
max
= 1.4 S
av
av
Let S
= P/b
1
f
h
2
S
tan
2
m
h
1
tan
1
+ S
2
)/2
av
av
h tan
av
d
h +
f
h
2
) / (h+h
2
) and F.S. =
S/S
max
Inter slice Force
. This should be greater than 1.0
= W + (X
L
X
R
) + N Cos + S
m
- D Sin w
equilibrium
E
R

E
L

X
R

X
L

W

settlement.
1
v
1
= m
v
Embankment:
. Then:
1e
= m
ve

d
H
2
/2, [ =
d
Foundation:
H2/2]
1f
= m
vf
D
f

f
[
f
= I
d
Ze]
f
2
as:
2
= C
z log(t
2
/t
1
f
as
2
and t
1
C



II: ROCKFILL DAMS


A and E: Rockfill
D
E
C
B
A
A and E: Rockfill
D
E
C
B
A
E1 E2
E3
E1 small size rocks
E3 large size rocks


protection membrane
rock
rock
C
D
A
B

nearby quarry site.

be permitted.
4.23.1 Materials
U/s Face membrane
A. Face protection
dam
Internal membrane
A+E Rockfill
C Earth core





for face membrane.
H: 1V) to flat (1.3-1.7:1)
4.23.4 Rock Quality

4.23.5 Rock Sources
cobbles/boulders
4.23.6 Rock Size
Past Design
zone see figure)
2
30% 1000-3000 lbs (1/2 to 1.5 tons
(5000 psi)
<3 % quarry dust
50% > 14000 lbs (4.5 ft)
50% 6000 14000 lbs (3.25 to 4.5 ft)
B C
D
C
D
A
B

membrane
22-100% - 76 mm, 60-100% - 305 mm, 100 % - 610 mm.
away.



4.24 FOUNDATION
excavate.
shells)

4.24.3 Grouting
clear rocks)
4.25.1 Options
axis)

- Dam raising easy
1: Earth Core
/cutoff.
dam deflection.

core / membranes.

Sloping Earth Cores
risk)
1
1
1
1
> 2
2
1.4
1.9
Z
> Z

piping
water.
U/s 0.5H;1V to 0.9 H:1 V, d/s 0.5:1
reason
Reinforced Concrete
Steel Diaphragm
Centrally located
Bituminous Material

Earth core
Concrete
cutoff

[Source:

Figure: Mirani dam u/s face protection by concrete.
judgment
Criteria
- Low permeability
deflection.


Parapet wall
Concrete
face slab
Dam crest
Original
ground
surface
Foot wall min
1 m thick
dowel
Min 1m
Grout curtain
Cutoff
(a)
(b) (c)

Asphaltic Concrete
asphalt membrane

heating.
weathering
Steel Face
Used on few dams

Backfill
Cutoff
Asphalt membrane
Rockfill embankment

construction
4.26 SEISMIC DESIGN
stability
Backfill
Cutoff min 1m
Grout curtain
Steel plate
Rockfill embankment
Anchor dowel

rock)





QUESTIONS
-6
-7
5x5 m.
m/s. Tail
are as:
3
, K = 3 x 10
-5
Fill: c = 5 KPa, = 33, = 19 KN/m
cm/s.
3
, K = 5 x 10
-4
cm/s.

9

1
2

1
4

1
6

1
8

2
0

2
2

2
4

2
6

2
8

3
0

3
0

3
2

3
4

3
6

3
7

3
8

3
9

4
0

4
0

4
2

4
4

4
5

4
6








Figure 4.64:








Chapter 4
4.1 DEFINITION

I: EARTHFILL DAMS
Novak 19** P-59):

fill.

consolidation.

1

rd

1
of depth of the
H/3
H
Seepage


H
Seepage
H
Seepage
H
Seepage

Fine rock or
sand/gravel fill
Graded gravel or
crushed rock
Toe drain
Dam d/s slope
H
U/S
Shell
CORE
D/S
Shell
Seepage
Filter

4.4.3 Diaphragm Dam
riprap.

pervious materials.
H
U/S
Shell
C
O
R
E

D/S
Shell
Seepage
Filter

Vertical Core
crest of the dam.
Criteria
condition.
failure.

Inclined Core
H
U/S
Shell
C
O
R
E

D/S
Shell
Filter

Advantages
grained soils.
easier to install.
Disadvantages
advantages.
compact.



4.5.3 Chimney Drain
o
120
o
4.6 FILTER CRITERIA
USBR 2001, p-235).
3 6.4 10 2.0 25 0.71 60 0.25 200 0.074
4 4.8 12 1.7 30 0.59 70 0.21 270 0.053
5 4.0 16 1.19 35 0.50 100 0.149 300 0.050
6 3.4 18 1.00 40 0.42 140 0.105 325 0.044
8 2.38 20 0.84 50 0.297 170 0.088 400 0.037
EARTHFILL
Dam d/s slope
Fine graded filter
Toe drain

U
= d
60
/d
10
and
C
= d
30
2
/[d
60
xd
10
SF
=
d
50
2
/[d
60
xd
10
1. D
15
/d
15
2. D
= 5 to 40
15
/d
85
3. D
85
(similar C
U
15 coarser
5 d
85 finer

* D
15
/d
15
* D
15
/d
85
* D
50
/d
50
* D
60
/D
10

compaction.

Given: d
15
= 0.006 mm, d
85
D
15
D
15
D
15
5 * 0.10 = 0.50 mm (3) [criteria 2]
15
15
= 0.14 mm.
85
D
= 2.4 mm.
(4)
85
As D
2 * 0.5 1 (5) [criteria 3]
85
st
layer F1 [D
15
= 0.14 mm, D
85
nd
D
layer F2.
15
D
15
Clay core
Earthfill
F
i
l
t
e
r

F
1

F
i
l
t
e
r

F
2

Clay core
Earthfill
F
i
l
t
e
r

F
1


D
15
5 * 0.24 = 12 mm (8) [criteria 2]


Core F1
F2 F1
F2
U/s fill
D/s fill
F1 F2
CORE
D/s fill


Constriction of chimney filter, Mangla dam raising project.

15
15
= 4.0 mm.
85
D
= 50 mm. (9)
85
Select D
2 * 0.5 1 (10) [criteria 3]
85
15
= 4.0 mm, D
85
= 50 mm.
1 90 100
45 75
# 4 (4.8 mm) 30 - 45
# 50 (0.297 mm) 4 - 10
# 100 (0.149 mm) 1 - 3

# 200 (0.074 mm) 0 - 2
loading.
Roughly stratified.
the foundation.

described below.

H
U/S
Shell
CORE
D/S
Shell
Bed rock
Overburden
River
bottom

intercepted.

Depth to bed rock.
H
U/S
Shell
CORE
D/S
Shell
Bed rock









like structure
bottom.
May be reinforced.

U/s Mid
D/s

positive cutoff.
High in cost and
RCC or PCC
rock surface.
piled in windrows.
Trench filled with
Plan
Section
River level
Bed rock level
Pictorial
USBR 2001, p-228).

natural silt.
complete.
slurry trench.
material
along with casing.
chemical grout.

abutments.
3 ft at outer end.

U/s impermeable
barrier / blanket
Protective gravel/
riprap layer




Q = K I A I = h/L

L
d
Seepage exit
area ~ 2-3 d

weight of soil.
soil.
formation).
the piping failure.
the dam.

the dam.

satisfactory.

Bed rock
Drainage ditch
Seepage flow
Well details
Well head details

very much affected.

Sand boiling
http://research.eerc.berkeley.edu/projects/GEER/GEER_Post%20EQ%20Reports/Peru_2007/
Liquefaction.htm#Jahuay%20Reference

Figure 3.4 A large sand boil feature at the southern end of the 400 m long slope failure with
shrinkage cracks in the perimeter ejecta material (08/21/07 5:25PM, S13.3950
W76.1979).

http://research.eerc.berkeley.edu/projects/GEER/GEER_Post%20EQ%20Reports/Peru_2007/
DSC05084.JPG
Figure 3.9 A large sand boil at the base of the Pan American highway
embankment failure. Note the three concrete box culverts running through the
embankment that were sheared during the failure (see Figure 3.8). Also notice the
shrinkage cracks in the perimeter ejecta material (08/24/07 2:47PM, S13.41307
W76.18960).

Grain Size Distribution Curves for Two Sand Boils near the Jahuay Slope
Failure

Sand Boil Specimen USCS
%
Fines LL PL PI
Jahuay Boil (LMS-540) SC 43 25 17 8
Pan Am Boil (LMS-504) SP 2.9 NP NP NP

A picture of the sand boil labeled as ?Jahuay Boil? in the grain size distribution
plot and table above is shown in Figure 3.4. A picture of the sand boil labeled
as ?Pan Am Boil? is shown to the left Both sand boils were found near the
Jahuay Slope Failure (Section 3.2)

Sand boil (source Kaplan, 2004)
Injection & grouting
Dynamic compaction

Piping failure. [Indiana DoNR 2007]

ASWCC 2002



Seepage area on downstream
embankment behind tree

Seepage at toe of dam

a. Water flows through dam as a result of piping.

b. Note the eddy or whirlpool in the
reservoir, indicating removal
of water by piping

medium or deep.

zone/core.
Provide key trench
Minimum core B
Provide key trench
pressures.
Provide toe drains

conditions:
exposed foundation.
seepage control.

soil group.
r
= (e
max
-e)/(e
max
-e
min
) is related to
strength.
r
[C
r
= (LL-W)/(LL-PL)] = (e
LL
-
e
w
)/(e
LL
-e
PL
At C
water content.
r
LL
0.2 lb/sq in and
shear strength S
LL
= 0.2 + tan
s
. The
s
Treatments:
(Fig. 4.18).

h/2
h

compression
drainage.

Pre-consolidation
useful.
Stress
S
t
r
a
i
n


Dynamic Compaction
take several weeks.
(Fig. 4.18).

Dry Foundation
dense soils.
Figure 4.19b
h/2
h
3:1 or flatter
Random fill

4.11.1 Crest Design
Crest width W
1/3
areas)
W = 0.55 h + 0.2 h h< 30 m
W = 1.65 (h+1.5)
1/3
h>30 m (USBR 2001)
Surface Drainage
Surfacing

Safety Requirements
1/2
Camber
well supported.

Construction level
Camber ~ 4

Camber
W
ELEVATION
X-SECTION
1.75:1
2:1

seismic conditions.

required.
be made flatter
1/2
as (Pumnia p-366):
Material u/s d/s
Silty clay h < 15 m 2.5:1 2:1
h > 15 m 3:1 2.5:1

Diaphragm Type
Homogeneous
u/s d/s u/s d/s
GC GM SC SM 2:1 2:1 3:1 2:1
CL ML 3:1 2:1 3:1 2:1
CH MH 3/6:1 2:1 4:1 2:1
Zoned embankment
materials/machinery

Impervious Core
Maximum Core:
Slope = y:1
Slope = y-:1
Slope = 1:1
Slope = :1
1:1
x-:1
x:1
Z
Z


p-267)
drawdown
Rapid
drawdown
U/s D/s U/s D/s
GP, SW, SP,
gravely
GC, GM, SC, SM,
CL, ML, CH, MH
2:1 2:1
Max core Rock, GW,
GP, SW, SP
gravely
GC, GM 2:1 2:1 2:1 2:1
SC, SM 2:1 2:1 2:1 2:1
CL, ML 2:1 2:1 3:1 2:1
CH, MH 3:1 3:1 3:1 3:1

embankment).
I: UPSTREAM SLOPE
Rock Riprap
Dumped Riprap

reservoir lowering.

Shell material
(min 4-6 ft to
enable placing)









Figure: D/s face protection, Dharabi Dam, Potohar, Chakwal.
Riprap weight
weight as:
( ) ( )
b
a
Cot G K
H
W
3
50
1
=
W
max
= 4 W
50
and W
min
= W
50
W
/8
50
as: M = 10
3
x H
s
3
s
(m).

1/3
50
as:
or 24
50-60
D
40-50
D
< 2.5 miles 30 2500 lbs 1250 75-1250 75
0-10

> 2.5 ml 36 4500 2250 1000-2250 100
Rounded size d
0-10
Shape of Rock
Graded Filter
3/16 to 3
1/2
Flexibility
Placement

thickness.

Concrete Paving
Soil Cement


8-10 ft
2-3.5 ft
wave breakers
Soil cement

Riprap protection (ASWCC 2002)

Piping from d/s sink holes (ASWCC 2002)

U/s Slope failure due to wave erosion (ASWCC 2002)

Wave erosion (ASWCC 2002)

Animal burrows (ASWCC 2002)
4.11.4 Abutments
Cut slope
Berm


Shear strength
Remove overhangs

and expressed by:
v
=
v
/
v

v
= k/m
v
w
(k=permeability)
Compaction
d
permeability.
unit
weight
(kN/m
3
strength basis)
)
Coefficient of
compressibility
,
mv
(x10

-4
m
2
Coefficient
of horizontal
permeability
k
/kN)
h
(m/s)
Cohesion
c (kN/m
2
Friction,
(degrees) )

Gravels 17-22 0 30-45 0.1 1.0 10
-1
10
-2

Sand 0 30-45
10
-2
10
-5

Silts < 5 20-35
10
-4
10
-6

Clay (soft-
medium)
15-21 0 20-30 1.0 10.0
Intact clays,
< 10
-8
, if
weathered,
fissured, or
with silt
lenses 10
-3

10
-8

Clays (sensitive,
silty)
< 10 < 30
Clays (medium-
stiff)
< 50 < 20

Q = K H N
f
/ N
d

N
f
N
= No. of flow lines
d
next page.
Flow net provide
f
= 4.3

/m
3

stability analysis.

face of dam.
face chimney drain
rockfill toe
drainage blanket
Seepage
exit face
h/3
h
h
h=h/m
B
H C
0.3 L
L

4.27).
u/s
h
d/s

d
= h/h.
are present.

the other material.

angle.
Seepage rate
( ) T h T K Q + =
2 2

A
B
C
0.3 L
L
F G H
Q
x
R = x+S
R
P(x,y)
D
E
y
S
h
T
Directrix

seepage rates.
-4
ft/sec, Fig. 4.31.
N
f
= 2.8, N
d
-4
x 2.8/9 x 40
= 6.22 x 10
-3
ft
3
-3
ft
3
-3

ft
3

/s/ft.}


d d d
K K H K L q t
1
1
d
is permeability
lines, etc.
(a)
(c)
(b)

Permissible Seepage
Impervious core 1:4
Rock foundation 1:1
nd
edition, John Wiley

Shallow slides or slump on d/s slope (ASWCC 2002)

Shallow slide (ASWCC 2002)

Deep seated slide (ASWCC 2002)


evaluated.

Procedure
Factor of safety F
S
Slip surface as arc


(D
L
+ D
R
)/2 x b.
Force units
= U
Length units
x
w

1
2
3
4
5
6
7
11
12
15
b
W
5

T
5

N
5

CORE
W
5

T
5

N
5

b
L
D

Slice # 5

u
Z
c
= H Cot (0.6 + 2 tan ) and Y
c
where Z
= H Cot (0.6 - tan )
c
, Y
c
u
w
/Z.

9

1
2

1
4

1
6

1
8

2
0

2
2

2
4

2
6

2
8

3
0

3
0

3
2

3
4

3
6

3
7

3
8

3
9

4
0

4
0

4
2

4
4

4
5

4
6

5
1

5
2

5
3

5
4


the u/s potential.

9

1
0

1
2

1
4

1
4

1
6

1
7

1
8

2
0

2
0

2
2

2
2

2
4

2
4

2
5

2
6

2
6

2
7

2
8

2
8

2
9

3
0

3
0

3
2

3
4

3
6

3
7

3
8

3
9

40

4
0

42
44
45
46


+

=
w c a
a
V h V
P
u
where
P
a
V
a
V
w
h
c
o
F

Draw u vs. (plot 2)
.

%

u
Plot 1
Plot 2
Mid point circle
Slope circle
Toe circle

Design loading F
s
u/s d/s
+ earth quake - 1.1
Example:
3
, K = 1 x 10
-5
= 35, = 18 KN/m
3
, K = 5 x 10
-4
Solution:
W1 = 5x15x18 + 10x15x20 + (15x20)/2x20 = 1350 + 3000 + 3000 = 7350 KN
W2 = (35+35)/2x20x18 = 12600 KN
W3 = (35+20)/2x40x18 = 19800 KN W4 = (20+0)/2*30*18 = 5400 KN
2. Bottom length:
L1 = [15
2
+25
2
]
0.5
= 29.15 m; L2 = [20
2
+10
2
]
0.5
L3 = [40
= 22.36m;
2
+5
2
]
0.5
= 40.31 m; L4 = [30
2
+5
2
]
0.5

9

1
2

1
4

1
6

1
8

2
0

2
2

2
4

2
6

2
8

3
0

3
0

3
2

3
4

3
6

3
7

3
8

3
9

4
0

4
0

4
2

4
4

4
5

4
6

5
1

= 30.41 m

A
B
C
D
E
F
2
1
3
4

1 = tan
-1
(25/15) = 59.04 2 = tan
-1
3 = tan
(10/20) = 26.57
-1
(5/40) = 7.13 4 = tan
-1
(5/30) = - 9.46
N1 = 7350 x cos 59.04 = 3781 KN N2 = 12600 x cos 26.57 = 11269 KN
N3 = 19800 x cos 7.13 = 19647 KN N4 = 5400 x cos 9.46 = 5327 KN
T1 = 7350 sin 59.04 = 6303 KN T2 = 12600 x sin 26.57 = 5636 KN
T4 = 19800 x sin 7.13 = 2458 KN T4 = 5400 x sin -9.46 = - 888 KN
F:
h (m) = 47.5 37.0 33.4 24.9 15
z (m) = 45 25 15 10 15
u (m) = 2.5 12 18.4 14.9 0
u (KPa) = 24.52 117.72 180.50 146.17 0
u1 = (24.52+117.72)/2 = 71.12 KPa, u2 = (117.72+180.50)/2 = 149.11 KPa,
u3 = (180.50 + 146.17)/2 = 163.33 KPa, u4 = (146.17 + 0)/2 = 73.08 KPa.
U1 = 71.12 KPa x 29.15 m x 1 m= 2073 KN U2 = 149.11 x 22.36 = 3334 KN
U3 = 163.33 x 40.31 x 1 = 6584 KN U4 = 73.08 x 30.41 x 1 = 2223 KN
C1 = (3x5 + 5x10 + 5x29.15) x 1 = 211 KN C2 = 3x22.36x1 = 67 KN
C3 = 3x40.31 x 1 = 121 KN C4 = 3 x 30.41 x 1 = 91 KN
C = 211 + 67 + 121 + 91 = 490 KN
S = 490 + (3781 - 2073) tan 30 + (36243 12141) tan 35 = 490 + 986 + 16876 = 18352 KN

weak in shear.
Approximate method
P = total horizontal shear down to rigid
boundary
h
1

h
2

b
0.4b
h
P
A B C
Rigid boundary

)
2
45 ( tan
2
1 2
m
2
2
2
=
h h
P
i

1
1
1 m
1
c tan h
tan
h
m
+
=
where
m
1
2 2 1
) (
h
h h h
f d
m

+
=

d
f
Max unit shear S
max
= 1.4 S
av
av
Let S
= P/b
1
f
h
2
S
tan
2
m
h
1
tan
1
+ S
2
)/2
av
av
h tan
av
d
h +
f
h
2
) / (h+h
2
) and F.S. =
S/S
max
Inter slice Force
. This should be greater than 1.0
= W + (X
L
X
R
) + N Cos + S
m
- D Sin w
equilibrium
E
R

E
L

X
R

X
L

W

settlement.
1
v
1
= m
v
Embankment:
. Then:
1e
= m
ve

d
H
2
/2, [ =
d
Foundation:
H2/2]
1f
= m
vf
D
f

f
[
f
= I
d
Ze]
f
2
as:
2
= C
z log(t
2
/t
1
f
as
2
and t
1
C



II: ROCKFILL DAMS


A and E: Rockfill
D
E
C
B
A
A and E: Rockfill
D
E
C
B
A
E1 E2
E3
E1 small size rocks
E3 large size rocks


protection membrane
rock
rock
C
D
A
B

nearby quarry site.

be permitted.
4.23.1 Materials
U/s Face membrane
A. Face protection
dam
Internal membrane
A+E Rockfill
C Earth core





for face membrane.
H: 1V) to flat (1.3-1.7:1)
4.23.4 Rock Quality

4.23.5 Rock Sources
cobbles/boulders
4.23.6 Rock Size
Past Design
zone see figure)
2
30% 1000-3000 lbs (1/2 to 1.5 tons
(5000 psi)
<3 % quarry dust
50% > 14000 lbs (4.5 ft)
50% 6000 14000 lbs (3.25 to 4.5 ft)
B C
D
C
D
A
B

membrane
22-100% - 76 mm, 60-100% - 305 mm, 100 % - 610 mm.
away.



4.24 FOUNDATION
excavate.
shells)

4.24.3 Grouting
clear rocks)
4.25.1 Options
axis)

- Dam raising easy
1: Earth Core
/cutoff.
dam deflection.

core / membranes.

Sloping Earth Cores
risk)
1
1
1
1
> 2
2
1.4
1.9
Z
> Z

piping
water.
U/s 0.5H;1V to 0.9 H:1 V, d/s 0.5:1
reason
Reinforced Concrete
Steel Diaphragm
Centrally located
Bituminous Material

Earth core
Concrete
cutoff

[Source:

Figure: Mirani dam u/s face protection by concrete.
judgment
Criteria
- Low permeability
deflection.


Parapet wall
Concrete
face slab
Dam crest
Original
ground
surface
Foot wall min
1 m thick
dowel
Min 1m
Grout curtain
Cutoff
(a)
(b) (c)

Asphaltic Concrete
asphalt membrane

heating.
weathering
Steel Face
Used on few dams

Backfill
Cutoff
Asphalt membrane
Rockfill embankment

construction
4.26 SEISMIC DESIGN
stability
Backfill
Cutoff min 1m
Grout curtain
Steel plate
Rockfill embankment
Anchor dowel

rock)



Kaplan, A. 2004. Soil Liquefaction, Mid-America Earthquake Center and Georgia Institute of
Technology, [http://geosystems.ce.gatech.edu/Faculty/Mayne/papers/Liquefaction
%20by%20Alisha%20Kaplan.doc] Visited on 12-4-2010

Indiana DoNR. 2007. Indiana Dam Safety Inspection Manual, Part-4: Emergency
Preparedness. Dept of Natural Resources, Division of Water, Indianapolis, In. USA.
[www.in.gov/dhr/water/files/Part-4-Dam_Safety_Manual.pdf] visited on 12-4-2010
ASWCC. 2002. Inspection and Maintenance Manual for Arkansas Dam Owners. Arkansas
Soil and Water Conservation Commission, Little Rock, AR, USA.
[www.michigan.gov/documents/deq/deq-p2ca-bestpractices-
arkansasexample_281013_7.pdf] visited on 12-4-2010.


QUESTIONS
-6
-7
5x5 m.
m/s. Tail
are as:
3
, K = 3 x 10
-5
Fill: c = 5 KPa, = 33, = 19 KN/m
cm/s.
3
, K = 5 x 10
-4
cm/s.

9

1
2

1
4

1
6

1
8

2
0

2
2

2
4

2
6

2
8

3
0

3
0

3
2

3
4

3
6

3
7

3
8

3
9

4
0

4
0

4
2

4
4

4
5

4
6








Figure 4.64:








Tariq 2008. Dam and Reservoir Engineering 5-1
Ch-5: Concrete Dams
Chapter 5
CONCRETE DAMS
5.1 INTRODUCTION
The concrete dams get their structural strength by use of Portland cement. Other
cementous substances as Pozolan, Fly Ash may be mixed with the cement to derive certain
properties. Concrete is used in the form of PC (plain cement concrete), RC (reinforced
concrete), RCC (roller compacted concrete) etc. Concrete dams may be categorized into three
principle types according to their physical form and features of their design. These are
Gravity Dams, Arch Dams, and Buttress Dams. Historically stone/brick masonry had also
been used in conjunction with concrete to construct dams.
5.1.1 Concrete Gravity Dam
A concrete dam resists the applied loads primarily by its weight. Gravity dams are
usually straight in plan, but may be slightly curved to take advantage of topography of a site.
In cross section gravity dam are roughly triangular. Most of gravity dams are solid and thus
have no bending stress in plan. A gravity dam can also be made hollow to decrease concrete
volumes as well as uplift pressures, and are called hollow gravity dams. Gravity dams are
particularly suited across gorges with very steep canyon slopes where earth dams might slip.
When good foundation is available, gravity dams can be built to any height. The spillway can
be created in the dam by providing an overflow section (Fig. 5.1). Thus gravity dams become
natural choice for narrow valleys where spillway could not be located due to topography. The
highest dams in the world are of gravity type. Warsak Dam is example of a concrete gravity
dam located across River Kabul.

Figure 5.1a: A concrete gravity dam with overflow spillway section in the middle.
Ch-5: Concrete Dams

Figure 5.1b: Grand Coulee Dam, Washington. (Photo: USBR @,
http://www.pbs.org/wgbh/buildingbig/dam/coulee_dam.html)
5.1.2 Arch Dam
An arch dam is a dam with significantly upstream curvature in plan and transmit a
major part of the applied water load to the canyon walls / abutments by horizontal thrust of
the arch action. Arch dam has single curvature in horizontal plan only (Fig. 5.3). Arch dam
may have curvature both in horizontal plan and the vertical cross section with undercutting at
heel and, in most cases, a downstream overhang near the top of dam; such dams are called as
Cupola or double curvature dam (Fig. 5.4). The overhang is used to place an over-fall
spillway.
5.1.3 Buttress Dam
A buttress dam is made of two structural elements: A sloping water supporting deck
and A buttress which support the deck. The strength and the stability is provided by the
weight of the water over the deck and buttress concrete body. Buttress dam are further
classified according to the type of water supporting deck. Ambersom (slabbed buttress) dam
has straight continuous deck supported at upstream edge of the buttress. Multiple arch dam
consists of a series of arch segments supported by buttress. A massive head buttress dam is
formed by flaring the u/s edge of buttress to span the space between buttress walls (halfway
to either side). Massive head can be diamond head or round head depending on shape of the
enlargement section at the u/s face. Spillway may be provided as over-fall across the dam
face or as separate structure in the abutment (Fig 5.5).

Ch-5: Concrete Dams

Figure 5.2b: Proposed Diamir-Basha concrete gravity dam (Profile)

Figure 5.2a: Proposed Diamir-Basha concrete gravity dam (cross section)

Ex rock El = 898 m

Ex river bed El 945 m
Tail WL El = 960 m
Crest El = 1177 m
El = 1150 m
El =1060 m
El = 1150 m
Crest 12 m
6.5 m

30 MPa RCC

217.25 m
250.63 m
33.4 m
20 MPa RCC
0.75H:1V
0.22H:1V
0.1H:1V
0.05H:1V
DFL = 1170 m
281 m
El =1000 m
1-m thick enriched grout
concrete on u/s face
Ch-5: Concrete Dams
5.1.4 Arch Gravity Dam
An arch gravity dam is combination of gravity dam and arch dam where the
advantages of both dams are combined overcoming the limitations and stringent requirements
of arch dam (Figs. 5.6a-f and 5.7).

Figure 5.3: An arch dam with spillway in the left abutment.

Figure 5.4: Typical double curvature arch dam with overflow spillway and plunge-pool

Ch-5: Concrete Dams

Figure 5.5: Bartlett buttress dam (Verde River, Arizona) with spillway on the right abutment.
(Source: U.S. Bureau of Reclamation,@ http://www.pbs.org/wgbh/buildingbig/dam/bartlett_dam.html)

Figure 5.6a: Glen Canyon arch gravity dam on Colorado River. (Total structure height = 710
ft, height above river bed = 587 ft, crest length = 1560 ft, crest width = 25 ft, base
width = 300 ft, Geology = Navajo sandstone, Storage = 27 MAF, Spillway = 2,76,000
cfs, irrigation outlets = 15,000 cfs, Power house shown in foreground contain 8 Nos
Francis turbine of 155,500 HP each producing 1296,000 KW energy). Note the arch-
abutment contacts. [Source earth-google]
Ch-5: Concrete Dams

Figure 5.6b: Spillway layout of Glen Canyon dam. [Source earth-google]

Figure 5.6c: Panoramic view of Glen Canyon dam (green dam). (Source:
http://www.istockphoto.com/file_closeup.php?id=227013)
Ch-5: Concrete Dams

Figure 5.6d: D/s canyon view of Glen canyon dam.
(http://www.usbr.gov/dataweb/dams/az10307.htm)

Figure 5.6e: Glen canyon dam. Source:
(http://www.flickr.com/photo_zoom.gne?id=388953847&size=l)

Ch-5: Concrete Dams

Figure 5.7: Hoover arch-gravity dam. [Source earth-google]

5.2 CONSTRUCTION ARRANGEMENT
Concrete dams involve huge concrete volume. (Estimated volume of concrete for
Diamir-Basha dam is 22 million m
3
Internal drains are placed d/s of water stops to intercept any flow. Construction keys
may or may not be provided along the joints. Longitudinal joints are parallel to dam axis for
all dam height. These joints must necessarily be legged in order to transmit vertical shearing
stresses across the section. Key surfaces are placed approximately in the planed principal
stress trajectories under full reservoir conditions. [Davis p:11-5 fig 5,6,7,8 Punmia p:311- 13
Figs 8.21-23]. Each construction blocks are constructed in 1-2.25 m lifts. Concrete blocks are
poured when adjacent side blocks has gained sufficient strength.
.) Large concrete volume can not be placed once. Thus
most dams are built in blocks separated by transverse joints and longitudinal joints.
Transverse joints run from u/s face to d/s face for full height of dam and spaced 20-60 ft
apart. Water stops (rubber and metal) are provided to stop flow through the joints.
CONTRACTION AND CONSTRUCTION JOINTS (USACE 1995)
a. To control the formation of cracks in mass concrete, vertical transverse contraction
(monolith) joints will generally be spaced uniformly across the axis of the dam about 50 feet
apart. Where a powerhouse forms an integral part of a dam and the spacing of the units is in
excess of this dimension, it will be necessary to increase the joint spacing in the intake block
to match the spacing of the joints in the powerhouse. In the spillway section, gate and pier
size and other requirements are factors in the determination of the spacing of the contraction
joints. The location and spacing of contraction joints should be governed by the physical
features of the damsite, details of the appurtenant structures, results of temperature studies,
placement rates and methods, and the probable concrete mixing plant capacity. Abrupt
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discontinuities along the dam profile, material changes,
defects in the foundation, and the location of features
such as outlet works and penstock will also influence
joint location. In addition, the results of thermal studies
will provide limitations on monolith joint spacing for
assurance against cracking from excessive temperature-
induced strains. The joints are vertical and normal to the
axis, and they extend continuously through the dam
section. The joints are constructed so that bonding does
not exist between adjacent monoliths to assure freedom
of volumetric change of individual monoliths.
Reinforcing should not extend through a contraction
joint. At the dam faces, the joints are chamfered above
minimum pool level for appearance and for minimizing
spalling. The monoliths are numbered, generally
sequentially, from the right abutment.
b. Horizontal or nearly horizontal construction joints
(lift joints) will be spaced to divide the structure into
convenient working units and to control construction
procedure for the purpose of regulating temperature
changes. A typical lift will usually be 5 feet consisting
of three 20-inch layers, or 7-1/2 feet consisting of five
18-inch layers. Where necessary as a temperature
control measure, lift thickness may be limited to 2-1/2
feet in certain areas of the dam. The best lift height for
each project will be determined from concrete
production capabilities and placing methods. EM 1110-
2-2000 provides guidance on establishing lift thickness
Construction joints key:
Horizontal and vertical keys are provided in the
construction block joints to ensure an efficient load transfer between the blocks.
WATERSTOPS (USACE 1995)
A double line of waterstops should be provided near the upstream face at all contraction
joints. The waterstops should be grouted 18 to 24 inches into the foundation or sealed to the
cutoff system and should terminate near the top of the dam. For gated spillway sections, the
tops of the waterstops should terminate near the crest of the ogee. A 6- to 8-inch-diameter
formed drain will generally be provided between the two waterstops. In the non-overflow
monolith joints, the drains extend from maximum pool elevation and terminate at about the
level of, and drain into, the gutter in the grouting and drainage gallery. In the spillway
monolith joints, the drains extend from the gate sill to the gallery. A single line of waterstops
should be placed around all galleries and other openings crossing monolith joints. EM 1110-
2-2102 provides further details and guidance for the selection and use of waterstops and other
joint materials.
Vertical joints
Transverse joints
Longitudinal joints
SECTION
PLAN
Figure 5.8: Concrete dam joints
Ch-5: Concrete Dams

Figure 5.9: Block joint, layer green joint, water stop, and internal drain for concrete block.

Figure 5.9b: Waterstop closeup view.
Foundation Grouting and Drainage (USACE 1995)
It is good engineering practice to grout and drain the foundation rock of gravity dams. A
well-planned and executed grouting program should assist in disclosing weaknesses in the
foundation and improving any existing defects. The program should include area grouting for
foundation treatment and curtain grouting near the upstream face for seepage cutoff through
the foundation. Area grouting is generally done before concrete placement. Curtain grouting
is commonly done after concrete has been placed to a considerable height or even after the
structure has been completed. A line of drainage holes is drilled a few feet downstream from
Water stop
Internal drain
Inspection gallery
Seepage drain
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the grout curtain to collect seepage and reduce uplift across the base. Detailed information on
technical criteria and guidance on foundation grouting is contained in EM 1110-2-3506.
5.3 HEAT OF HYDRATION
Cement concrete releases large heat of hydrations. Procedures used to handle this include
Water curing It takes long duration and limit construction lift and pace.
Use of low cement concrete.
Use of heat retarding admixtures
Additions, e.g pozolan
Pre cooling of concrete by using cold water and ice blocks.
Internal refrigeration This is done by inserting metal coils at about 1-2 feet vertical
distance. Coolant or cold water or river water is passed, which cools down the
concrete.
5.4 LOADS
Dams are subjected to many different loads (Fig. 5.10). The determination of all applicable
loads is necessary for successful analysis and design of concrete dam.
5.4.1 Water Loads
The water pressure at any depth = p
w
=
w
h. The resultant horizontal force over depth
h
1
= P
wh
=
w
h
1
2
/2 and act at height of h
1
/3 from base where h
1
is u/s depth of water. For d/s
sloping face the total tail water pressure =P
twh
=
w
h
2
2
/2 and act at h
2
/3

height from base
where h
2
is d/s depth of tail water. For u/s face batter, the water weight over sloping face is
P
wv
=
w
x A
1
. and along d/s face as P
twv
=
w
x A
2
where A
1
and A
2
5.4.2 Self weight load
is profile water area
over u/s and d/s sides respectively.
The structure weight P
m
act through centroid of the cross section profile area A
p
, thus
P
m
=
c
x A
p
(
c
= concrete unit weight ~ 23.5 N/M
3
5.4.3 Fixtures
, 150-155 lb/cft).
The weight of various fixtures P
F
as crest gates, other ancillary structure and
equipment of significant weight placed/attached at the dam crest act at distance b
F
5.4.4 Seepage and uplift load
from the
toe of dam.
Interstitial pore water pressure (u
w
) develop within a concrete dam and its foundation
due to seepage e.g. due to preferential flow along joint plains, cracks, fine fissures and within
pore structure of concrete and rock foundation. Pressure distribution is locally indeterminate.
Formed drains provided in the dam structure near u/s face eliminate seepage pressure within
the dam concrete structure. The pressure relief drains d/s of cutoff or grout curtain will reduce
pore pressure in the foundation. The pore water pressure in the foundation varies from
w
h
1

at u/s heel to
w
h
2
or zero at d/s end and is considered to vary linearly. The mean effective
uplift head at the line of pressure relief drains h
d
( )
2 1 2
h h K h h
d d
+ =
can be expressed as:

Ch-5: Concrete Dams
The empirical coefficient K
d
is function of geometry of relief drain / pressure relief well
(diameter, spacing, and location relative to u/s face). For an efficient drainage system K
d
|
.
|
\
| +
=
2
2 1
h h
b P
w u

~
0.33. For no relief drains total uplift pressure is as:
KN/m and
|
|
.
|
\
|
+
+
=
2 1
1 2
2
3 h h
h h b
y
u

where h
1
and h
2
is head water and tail water depths and b is base width. The P
u
acts through
centroid of the pressure distribution diagram at distance y
u
from the heel; m. For presence of
relied drains P
u
( ) ( ) | | 2 / ) ( 2 /
2 1
h h L b h h L P
d d d d w u
+ + + =
is as:

5.4.5 Sediment Load
The general accumulation of significant deposits of fine sediments and silt against the
face of the dam generate silt pressure P
s
additional to the water load P
wh
and is given as: P
s
=
K
a

s
h
s
2
/2 (kN/m) and act at h
s
/3 from base where
s =
s
-
w
= silt/sediment submerged
unit weight,

and

s
= silt/sediment unit weight (~ 18-20 kN/m
3
),
w
= water unit weight, K
a

= active lateral pressure coefficient given as: K
a
= (1-sin
s
)/(1+sin
s
), where
s
= angle of
h
1

h
s

h
1
/3
h
2

P
wh

P
ewh

A
1

A
2

P
ewv

P
wv

P
ice

P
wave

R
P
U

P
s

P
m

P
emh

P
emv

P
twh

P
twv

b
m

b
U

b
Centroid of
profile area
0.4 h
1

b
R

Figure 5.10: Loads acting on a concrete dam.
P
F

b
F

m=dam mass weight
w=water weight
s=silt load
v=vertical
h=horizontal
t=tail water
e=earthquake
R=resultant
U=uplift
F=Fixtures
b
Hw

b
t

Ch-5: Concrete Dams
shearing resistance of the sediments (for
s
~30, K
a
~ 0.33). This yields equivalent fluid
unit weight of K
a

s
[ 3.0 kN/m
2
]. The silt depth h
s

is complex time dependent function of
suspended sediment concentration, reservoir characteristics, flow hydrograph, etc.

5.4.6 Ice Load
The ice load becomes important when ice sheets form to a appreciable thickness and
persists for long periods. Thus a considerable ice pressure may be generated with horizontal
thrust near the crest level. This is a complex function. An acceptable provision for ice load is
given by USBR (1976) as P
ice
= 145 kN/m
2
5.4.7 Wind Load (Pumnia p-282)
for ice thickness in excess of 0.6 m. For smaller
ice thickness less than 0.4 m, or when ice is subject to little restraint as on a sloping surface,
ice load may be neglected.
This is usually small force and is usually not accounted in dam stability analysis.
Wind pressure act only on that portion of the supper structure which is exposed to wind
action above the water level. Wind pressure may be taken as 100-150 kg/m
2
5.4.8 Wave Pressure. (Punmia p-281)
for the u/s area
exposed to wind.
Waves are generated on the reservoir surface because of the wind blowing over it.
Wave pressure depends on height of the waves h
w
, given as: h
w
= 0.032 (V.F)
+0.763 -
0.271 F
for F < 32 km and h

w
= 0.032 (V.F)
for F > 32 km where F is fetch or straight

length of the water surface (km) and V is wind velocity (km/hr). The pressure intensity due to
wave is given as: p
w
= 2.4
w
h
w
(t/m
2
) and act at h
w
/8 above the still water surface.
Assuming a linear pressure distribution, total pressure P
w
is given as: P
w
= p
w
dh = 2
w
h
w

(t/m
2
) and act at height of 3/8h
w
5.4.9 Earthquake Pressure
.
5.4.9.1 E/Q Waves
The earthquake induces various vibration waves in the earths crust. These wave
impart acceleration of various magnitudes in the foundation under the dam resulting in its
movement. In order to avoid destruction/rupture the dam also must move along the
foundation. The acceleration induces an inertia force in the body of dam and sets up stresses
in the dam body. The acceleration can take any direction and resultant direction is usually
P
U
P
U

y
u
y
u
b
u
b
u

Uplift pressure distribution without
relief drains/wells
Uplift pressure distribution with
relief drains/wells
Figure 5.11: Seepage uplift pressure distribution without and with relief drains/wells
h
1

h
2

h
1

h
2

h
d

b
L
d

Ch-5: Concrete Dams
resolved into horizontal and vertical directions. The dynamic loads generated by seismic
disturbances must be considered in the design of concrete dams situated in seismic-risk
regions as well as in regions of close proximity to potentially active geologic fault
complexes. Maximum credible earthquake (MCE) and Operating basis earthquake (OBE)
is established for the dam site after thorough review of local and regional geology in
conjunction with historical evidence. For low-risk areas a minimal level of disturbance is
specified for design purposes.
Seismic activity produces complex oscillating patterns of acceleration and ground
movements and these generate transient loads due to inertia of dam and the retained body of
water. Both horizontal and vertical acceleration are considered in the sense least favorable to
stability of the dam.
Under reservoir full condition the most adverse seismic loading will occur when a
ground shock is associated with (i) horizontal foundation acceleration operating upstream and
(ii) vertical foundation acceleration operating downward. Horizontal acceleration will
generate additional hydrodynamic water load P
ewh
acting downstream against dam face and
also inertia force due to the mass of the dam P
emh
acting in downstream sense. Vertical
acceleration will effectively reduce the mass (weight) of the dam by an amount P
emv
Seismic shock waves have frequency of 1-10 Hz, and consequently oscillate very
rapidly in a transient form (Fig. 5.12). The natural vibrating frequency of structures is as: f
, and
hence the stability of the structure.
n
=
600T/h
2
(Hz) where T is base thickness (m), h is dam height of triangular profile (of concrete
material of elasticity E
eff
=14 GN/m
2
Seismic loads are approximated by using the simple quasi-static approach of seismic
coefficient analysis. Alternatively dynamic analysis will provide necessary earthquake
response. The simple seismic coefficient analysis approach is conservative approach and used
for smaller and less vulnerable dams. For other dams sophisticated procedures are necessary.
The seismic load is defined primarily by an acceleration coefficient representing ratio of
seismic ground acceleration to gravitational acceleration g, thus
). Seismic waves are irregular in magnitude, periodicity,
and direction and are unlikely to sustain resonance beyond few seconds.
h
and
v
are horizontal and
vertical coefficients with usually
v
~ 0.5
h
and
h
= 0.1 to 0.2 are most common;
h
5.4.9.2 Inertia force mass of dam
= 0.4
is used for high risk dams in Japan.
Inertia forces are given as: Horizontal: P
emh
=
h
P
m
and Vertical: P
emv
=
v
P
m
where P
m
5.4.9.3 Hydrodynamic force water reaction

is dam mass weight. The inertia forces are considered to act through the centroid of the dm
section; +ve forces act in upstream and downward sense.
The hydrodynamic force at depth y below the water surface is given as:
p
ewh
= C
e
w
where C
y
e
is dimensionless pressure factor depending on y/h and slope angle of u/s face
u

from the vertical, h is max water depth at the section being studied. C
e

is given as:
Ch-5: Concrete Dams

Figure 5.12 Earthquake acceleration time history.
(
(
|
.
|
\
|
+
|
.
|
\
|
=
h
y
h
y
h
y
h
y C
C
m
e
2 2
2
and
=
90
735 . 0
u
m
C

; values of C
e
y/h
are given below.
C
e
(
u
C = 0)
e
(
u
= 15)
0.2 0.35 0.29
0.4 0.53 0.45
0.6 0.64 0.55
0.8 0.71 0.61
1.0 0.73 0.63
The pressure variation is elliptical/parabolic curve. The total hydrodynamic load at depth y is
as:
h y y C P
w h e ewh
. 66 . 0 =
and acts at 4/3 h (~0.4h) above the respective section. The total dynamic pressure and its
moment arm may be written as:
P
ewy
= 0.726 p
ewy
y and : M
ehy
= 0.299 p
ewy
y
2
The vertical hydrodynamic load P
.
ewv
effective above the upstream face batter or flare may be
as: P
ewv
=
v
P
wv
and act through centroid of area A
1
.
Ch-5: Concrete Dams

Figure : Earthquake pressure coefficient. (USBR 2001)
5.4.10 Load Combinations
All forces acting on a dam do not act simultaneously. Design of dam is usually based
on most adverse combination of loads.
I: Normal (Usual) load combination: Usual loads refer to loads and load conditions, which
are related to the primary function of a structure and can be expected to occur frequently
during the service life of the structure. A usual event is a common occurrence and the
structure is expected to perform in the linearly elastic range.
Normal load includes: self weight + normal head water level + minimum tail water
level + ice + silt + normal uplift.
II: Unusual load combination: Unusual loads refer to operating loads and load conditions
that are of infrequent occurrence. Construction and maintenance loads, because risks can be
controlled by specifying the sequence or duration of activities, and/or by monitoring
performance, are also classified as unusual loads. Loads on temporary structures which are
used to facilitate project construction, are also classified as unusual. For an unusual event
some minor nonlinear behavior is acceptable, but any necessary repairs are expected to be
minor.
Unusual load includes: self weight + maximum water level (pool at standard project
flood surcharge) + tail water level at flood elevation + ice + silt + normal uplift
III: Extreme load combination: Extreme loads refer to events, which are highly improbable
and can be regarded as emergency conditions. Such events may be associated with major
accidents involving impacts or explosions and natural disasters due to earthquakes or
flooding which have a frequency of occurrence that greatly exceeds the economic service life
of the structure. Extreme loads may also result from the combination of unusual loading
events. The structure is expected to accommodate extreme loads without experiencing a
catastrophic failure, although structural damage which partially impairs the operational
functions are expected, and major rehabilitation or replacement of the structure might be
necessary.
Extreme loads includes: self weight + normal head water level + minimum tail water
level + ice + silt + extreme uplift (max water level with drains not functioning) + maximum
credible earthquake MCE loads.
Ch-5: Concrete Dams
Other combinations of loads can also be analyzed as: Operating basis earthquake (OBE), Pool
level for PMF condition, No tail water, etc. The design is the checked for safety at reservoir
full and reservoir empty conditions particularly for dam interior and around openings
provided in the dam body.
Ch-5: Concrete Dams
5.5 CONCRETE GRAVITY DAMS
5.5.1 Layout ( Golze P- 437 )
The initial layout of dam structure is done on basis of previous experience with
similar dams. Then a standard stability analysis is made to determine the acceptability of the
design so that stress distribution and stability is satisfactory. Modifications are made by
reshaping the structure to improve the design and acceptability. The design is accomplished
by making out successive layout, each one being progressively improved based on the result
of stress and stability analysis of the preceding layout s
5.5.2 Shape
The a/s face of the dam is usually made vertical to concentrate the weight at u/s face
to resist reservoir water loading. The d/s face has usually constant slope from top of the dam
to the base (usually 0.75H:1V). The base width required to satisfy the stress and stability
requirements determine the slope. The thickness of dam at crest is usually set by the roadway
or other access requirements for the non- overflow section. However this should be adequate
to withstand all possible loadings including ice pressure, wind pressure and impact of floating
objects/debris. When additional crest width is used, the d/s face is usually vertical from the
d/s edge of crest to an intersection with the sloping d/s face.
A batter may be used on the lower part of the u/s face to increase the base thickness
and thereby improving the sliding safety at the base .The lower edge of u/s batter may also
be used as grout cap.
Spillway may be incorporated in the dam by providing an overflow section but the
layout of the spillway section should be similar to the non-overflow section. The curves
describing spillway crest and lower energy dissipater are designed to meet the hydraulic
requirements and slopes are set as tanget to straight segments.
Golze P438 fig. 8-4-1
The maximum water surface elevation should not exceed the top of non-overflow
section of dam-A solid concrete parapet wall can be included on the top of the dam to provide
freeboard against wind/wave section.
5.6 DAM SAFETY ANALYSIS
Dam safety is required against: i. Rotation and overturning, ii. Translation and sliding,
iii. Overstress and material failure. Criteria i and ii must be satisfied with respect to the
profile above all horizontal planes within the dam and the foundation. Overstress criteria
must be satisfied for the dam concrete and for the rock foundation.
5.6.1 Safety against Overturning:
This is defined by comparing the moments of the forces resisting overturning
(righting moment M
R
) to those forces causing overturning (overturning moment M
O
) against
the dam toe. The resisting forces are weight of the dam (W) and weight of the water wedge
over the u/s (W
HW
) and d/s (W
TW
) batter/slope. The overturning forces are water pressure at
the upstream face (P
wh
), the uplift pressure at the base (P
u
), pressure at u/s face from silt (P
sh
)
/ ice/wind/wave. During an earthquake the dam weight will decrease, but the water pressure
(hydrodynamic) will increase. Thus factor of safety against overturning FS
O
3 / 3 / 3 /
2 1
h P b P h P h P
b W b W b W
M
M
FS
twh u u s sh wh
tw tw HW HW w
O
R
O
+ +
+ +
=
=
is given as:

Ch-5: Concrete Dams
where b
w
, b
HW
, b
tw
, b
u
is distance from toe to centroid of dam section, to centroid of u/s
water wedge, to centroid of tail d/s water wedge, and centroid of uplift distribution diagram,
respectively and h
1
, h
2
and h
s
is depth of u/s water depth, d/s water depth and silt deposition.
The FS
O
5.6.2 Safety against sliding
> 1.25 is acceptable but > 1.5 is desirable under extreme load condition Davis (p-
11.14).
The resistance of a gravity dam to sliding is dependent on the development of
sufficient friction resistance and shearing strength along the potential sliding surface, e.g. a
construction lift joint, weak seam in the foundation or along the dam base. The friction
resistance is created due to interlocking of the grains under load on two sides of the sliding
surface. The shearing resistance develops due to cohesion and the internal friction.
Sliding Factor F
SS
The factor F
:
SS
is expressed as function of the resistance to simple sliding over the plane
considered; where resistance is from friction of the contact surfaces only and no shear
strength or cohesion is mobilized. For a horizontal contact plan the F
SS
V
H
F
SS
=
is as ratio of the sum
of all horizontal load components to sum of all vertical loads:

where H = algebraic sum of all active horizontal forces (water pressure, silt, ice, wave,
wind, hydrodynamic water pressure, horizontal inertia of dam body, etc.), V = algebraic
sum of all active vertical forces due to weight of dam and water wedge on u/s and d/s faces,
vertical inertia of dam body). If the contact plan is inclined at a small angle , ( is defined
+ve if sliding operates in an uphill sense) then factor of safety is as:
tan ) / ( 1
tan ) / (
V H
V H
F
SS
+

=
The H and V are maximum and minimum values appropriate to the loading condition and
V is determined allowing for the effects of uplift.
For well constructed mass concrete the FSS should nor exceed 0.75 for normal loading and
0.9 for extreme loading. If a plane of low shear resistance is present then the FSS may be
limited to 0.5 or less on some limestones, schists, laminated shales and similar low strength
foundations.
Shear friction factor F
The F
SF

SF
H
S
F
SF
=
is defined as the ratio of total resistance to shear and sliding S which can be
mobilized on a plane (from both cohesion c and the frictional component of shear strength tan
) to the total horizontal load as:

The maximum shear resistance is defined as:
( )
) tan(
tan tan 1

+ +
= V
Cos
cA
S
h

where A
h
is the area of plane of contact or sliding. For a horizontal contact plane ( = 0) the
total resistance is as:
Ch-5: Concrete Dams
tan V A c S
h
+ = .
If there exists some d/s passive wedge resistance then
F
SF
= (S + P
p
where Pp is wedge resistance given as:
) / H
( )
) tan(
tan tan 1
0

+ +
=
w
AB
p
W
Cos
A c
P
and W
w

is wedge weight and is for the base material.

The horizontal shearing resistance is attained by stepping the foundation and by ensuring
good bond between concrete and rock and from successive pours of concrete. For concrete
dams the resistance to shear on any approx horizontal construction joint above the foundation
depends entirely upon the bond developed between successive concrete pours.
Recommended values of shear friction factor F
SF
Sliding plan location:
are as (Noval et al. p-101):
Normal
loading
Unusual
loading
Extreme
loading
1- dam concrete-base interface 3.0 2.0 > 1.0
2- foundation rock 4.0 2.7 1.3

The factor due to combined friction and shearing FS
S
H
V
H
U W cA
FS
S
+
=
tan ) (
is expressed as:

where H = algebraic sum of all active horizontal forces (water pressure, silt, ice, wave,
wind, hydrodynamic water pressure, horizontal inertia of dam body, etc.), V = algebraic
sum of all active vertical forces due to weight of dam and water wedge on u/s and d/s faces,
vertical inertia of dam body), U = total uplift force acting on the base, f = coefficient of
maximum static friction between the two surfaces (e.g. concrete and rock foundation at the
dam base, or between concrete and concrete at a lift joint), c = cohesion value of the concrete
or rock, A is area of contact at base, =coefficient of internal friction (of concrete or rock), b
= length of base measured horizontally, q = unit shear resistance of foundation material =
c+w tan ). The required safety factor is 2-4 for normal loading and 1.25-1.5 for extreme
loading.

0

B
A
W
w

Ch-5: Concrete Dams
Table 5.*: Range of shearing resistance parameters.
Description Cohesion c
MN/m
Friction
Tan
2

Mass concrete intact 1.5-3.5 1.0-1.5
H or construction joint 0.8-2.5 1.0-1.5
Concrete rock interface 1.0-3.0 0.8-1.8
Rock mass sound 1.0-3.0 1.0-1.8
inferior < 1.0 < 1.0
Sound conditions [competent
parent rock, few significant
discontinues in mass, no
significant alteration or
weathering]
gneiss 1.6 1.7
granite 1.5 1.9
Mica schist 3.0 1.3
Sandstone 1.0 1.7
Inferior conditions Gneiss unaltered 0.6 1.0
Granite weathered 0.3 1.3
Grey wacke < 0.1 0.6
Lime stone open jointed 0.3 0.3
Mica schist 0.4 0.7
Sand stone 0.1 0.6
Critical foundation features Faults/crush zone materials < 0.2 < 0.3
Clay seams / joints infill < 0.1 < 0.2
Shale dry 0.2 0.4
saturated 0.0 < 0.2
5.6.3 Stress Analysis
Concrete dams are designed to ensure:
No tension in any part of the concrete,
Compression stresses are within the maximum permissible limit (in the elastic range)
Shear stresses are within the maximum permissible limit (in the elastic range)
Stress evaluation is made for every plane in the section for: (Fig. Navak p-103)
i. vertical normal stress,
z
ii. horizontal normal stress,
on horizontal plane
y
iii. horizontal and vertical shear stress
on vertical planes
zy
and
iv. Principal stresses
yz

1
and
3
Vertical normal stress,
(for direction and magnitude)
This is given as (Novak et al):
z

I
y M
A
W
z

=
*

where W = sum of vertical loads excluding uplift, M*=sum of moments with respect to
centroid of plane, y = distance from the neutral axis to the point where the stress is being
determined, I = second moment of the area A of the plain w.r.t. its centroid (for a rectangle
section area A = T x d and I = d T
3
/12, where T = thickness from u/s to d/s side, d = section
width and for d of unit width (d = 1), A = T, I = T
3
/12,. Thus:
Ch-5: Concrete Dams
3
12
T
y e W
T
W
z

=
where e is eccentricity of the load R. At u/s or d/s face, y=T/2 and
|
.
|
\
|

=
T
e
T
W
z
6
1
The stresses at two faces are as below.
U/s face, i.e. heel: |
.
|
\
|

=
T
e
T
W
u z
6
1
:
,
D/s face, i.e. toe: |
.
|
\
|
+
=
T
e
T
W
d z
6
1
:

The eccentricity e = M
*
/V and M
*
= (M
R
M
O
Horizontal and vertical shear stress
). For e > T/6, the u/s face becomes
under tension. Therefore the resultant R must intersect the plain d/s of its centroid for
reservoir full conditions. The vertical normal stress varies linearly from u/s to d/s faces.
zy
and
The horizontal and vertical shear stresses are numerically equal and complimentary and are
generated due to variation in vertical normal stress over a horizontal plain. The boundary
values at u/s and d/s faces are as:
yz

u u z w u
p tan ) (
:
= and
d d z d
tan
:
= where
u
and
d
are upstream and downstream slope angles from vertical,
u z:
and
d z:
are vertical normal
stresses at u/s and d/s faces and p
w
u u z u
uplift Max tan ) (
:
=
is external hydrostatic pressure. The maximum shear
stress is at u/s face as:
.
The shear stress variations from
u
and
d
Horizontal normal stress,
depends on rate of change of vertical normal stress
and usually have a parabolic distribution.
These operate on vertical plains. Boundary values are as:
y

U/s face:
u w u z w u y
p p
2
: :
tan ) ( + =
and d/s face:
d d z d y

2
: :
tan = [p
w
=
w
Principal stresses
h]
1
and
These are determined from
3

z
and
y
Major:
and the Mohr circle diagram. Major stresses are:
max 1
2

+
+
=
y z
and Minor:
max
2
3

+
=
y z
where
2
max
2 / ) ( + =
y z

The u/s and d/s faces are each plains of zero shear and therefore plains of principal stress.
Boundary values are as:
U/s face:
u w u u z u
p
2 2
: : 1
tan ) tan 1 ( + = and
w u
p =
: 3

Ch-5: Concrete Dams
D/s face: ) tan 1 (
2
: : 1 d d z d
+ = and 0
: 3
=
d

Punmia defined minor principal stress as: ( )
u w zu u
p tan
3
= and
d zd d
tan
3
= .
Horizontal cracks:
Horizontal cracks may appear on u/s face if vertical stress
zu
t
t w d
zu
F
z K
'
' '
Min

=
is small. The minimum stress
required to stop cracks is as: where K
d
= drainage factor (~ 0.4 if
relief drains are effective and 1.0 if no drains),
t
= tensile strength of concrete across a
horizontal joint surface, F
t
Permissible stresses:
= factor of safety.
Compressive stresses are generally low as 2-3 MN/m
2
, but may exceed for large
structures. Factor of safety F
c
Load combination F
3.0 is usually prescribed. In some cases both factor of safety
and maximum stress are defined as:
c
(concrete) F
r
Normal 3.0 (
(rock)
max
10 MN/m
2
Unusual 2.0 (
) 4.0
max
15 MN/m
2
Extreme 1.0 1.3
) 2.7
5.7 GRAVITY PROFILE DESIGN
The shape of gravity dam consists of a triangular profile and a vertical u/s face is invariably
associated with a mean d/s slope of the order of 0.75H:1V. The primary load regime for a
gravity dam of given height is fixed. Little scope exists to modify the standard triangular
profile. Design of small dams is based on adopting such a geometry and checking its
adequacy for stability against sliding, overturning and material stress and making any
necessary minor modifications. Large dams require a unique profile to match the site specific
conditions applicable. Multi-stage and single-stage approach is used.
Multi-stage: A profile is defined whereas u/s and/or d/s slope are altered at suitable intervals.
Design commences from crest level and descends down. Each stage is proportioned so as to
maintain stress levels within acceptable limits.
Single stage:
=
w c d
/ / 1 tan
A suitable profile of uniform d/s slope is defined. The apex of the theoretical
triangular profile is set at or above the maximum retention level or DFL and an initial
required base width T is determined for each loading condition for safety against overturning.
The critical value of T is then checked for sliding stability and modified, if necessary.
Subsequently heel and toe stresses at base level are compared with
maximum permissible. Approximate definition of d/s slope (angle to
vertical) giving no tension in u/s vertical face is as:

For no tension the resultant force vector R should act at the inner third
point under reservoir empty condition and through outer third point i.e.
Base width by Stress criteria
M
1
M
2

R
Ch-5: Concrete Dams
point M
2
under reservoir full condition. Taking moment of all forces about M
2
0
3 2
1
3 2
1
3 2
1
2
= +
T
h T
T
h c
h
h
c w w

:
, from where
c
h
T
c

=
, where c = uplift
pressure coefficient (c~1 in the absence of any grouting, cutoff, u/s blanket etc). For
c
h T 83 . 0 =
=2.45
and c =1, .
For no sliding to occur, H forces causing sliding should be balanced by the frictional force.
Thus
Base width by sliding stability criterion
w
h
2
/ 2 = f(W U) = f(
c
T h/2 c T
w
) ( ' c f h T
c
= h) and thus where f =
friction factor concrete to base rock.
The maximum stress is given as:
Criteria for maximum stress
|
.
|
\
|

=
T
e
T
W
z
6
1 .For x
T
e =
2
and
V
M M
x
O R

=
and V = (W U). For full reservoir conditions: ) ( c h
c w z
= and stress at heel will be
zero. The principal stress at toe is as: f c h
c w
+ = ) 1 (
1
from where
) 1 ( +
c
f
h
c w

where f is maximum allowable stress. The shear stress at toe is as:
d d z d
tan
:
= c h
c w
=
Allowable unit shear stress for concrete ~ 14 kg/m
Allowable unit tensile stress for concrete ~ 4.2 kg/m
2

Unit weight of concrete ~ 2400 kg/m
2

Permissible stress ~ 2 3 MN/m
3

Adopted safety factor ~ 3.0
2

The dam height is given as:
Limiting height
) 1 ( +
c
f
h
c w

. For c = 0,
w
= 1000 kg/m
3
,
c
= 2.4, the
dam height h 0.295 f. For f = 300 ton/m
2
, h = 300/[1(2.4 0 + 1)] = 88 m. For h > 88 m, the
dam is called as high dam, and stresses for high dam could increase from the allowable
stresses. To accommodate this, the dam section is given extra slope to u/s or d/s faces or use
higher strength concrete.
Adding top width for roadway etc induces tension in the u/s face due to shift of centroid of
the dam mass. A batter is provided below depth y (below triangle apex) and
Top width
c a y
c
= 2 '
where a = top width. Crest width is determined by practical considerations as need of travel
across the dam, access to gate operating mechanism, climatic conditions, highway crossing,
etc.
Ch-5: Concrete Dams
SHAFTS/GALLERIES (USACE 1995, EM 1110-2-2200)
A system of galleries, adits, chambers, and shafts is usually provided within the body of the
dam to furnish means of access and space for drilling and grouting and for installation,
operation, and maintenance of the accessories and the utilities in the dam. The primary
considerations in the arrangement of the required openings within the dam are their
functional usefulness and efficiency and their location with respect to maintaining the
structural integrity.
a. Grouting and drainage gallery. A gallery for grouting the foundation cutoff will extend
the full length of the dam. It will also serve as a collection main for seepage from foundation
drainage holes and the interior drainage holes. The location of the gallery should be near the
upstream face and as near the rock surface as feasible to provide the maximum reduction in
overall uplift. A minimum distance of 5 feet should be maintained between the foundation
surface and gallery floor and between the upstream face and the gallery upstream wall. It has
been standard practice to provide grouting galleries 5 feet wide by 7 feet high. Experience
indicates that these dimensions should be increased to facilitate drilling and grouting
operations. Where practicable, the width should be increased to 6 or 8 feet and the height to 8
feet. A gutter may be located along the upstream wall of the gallery where the line of grout
holes is situated to carry away drill water and cuttings. A gutter should be located along the
downstream gallery wall to carry away flows from the drain pipes. The gallery is usually
arranged as a series of horizontal runs and stair flights. The stairs should be provided with
safety treads or a non slip aggregate finish. Metal treads are preferable where it is probable
that equipment will be skidded up or down the steps since they provide protection against
chipping of concrete. Where practicable, the width of tread and height of riser should be
uniform throughout all flights of stairs and should never change in any one flight. Further
details on the grouting and drainage gallery are covered in EM 1110-2-3506.
b. Gate chambers and access galleries. Gate chambers are located directly over the service
and emergency sluice gates. These chambers should be sized to accommodate the gate hoists
along with related mechanical and electrical equipment and should provide adequate
clearances for maintenance. Access galleries should be sufficient size to permit passage of the
largest component of the gates and hoists and equipment required for maintenance. Drainage
gutters should be provided and the floor of the gallery sloped to the gutter with about 1/4
inch/foot slope.
FILTERS AND DRAINS
FREE BOARD
WEEP HOLES
SPILLWAY AND TUNNEL LAYOUT
FOUNDATION REQUIREMENT
Solid rock foundations
Gravel foundations
Silt or fine sand foundation
Clay foundation
Foundation treatments
ARRANGEMENTS FOR CONTROL OF SEEPAGE
Ch-5: Concrete Dams
EXAMPLE
For the gravity dam shown in the
figure, given
C
= 2400 Kg/m
3
,
w
= 1000 Kg/m
3
, friction factor
f = 0.75, maximum shear stress
at concrete-rock interface = 14
Kg/m
2
Solution
, determine the (i) Factor of
safety against overturning, (ii)
Factor of safety against sliding,
(iii) Shear friction factor, (iv)
Compressive, shear and principal
stresses at toe and heel at base,
(v) Compressive, shear and
principal stresses at toe and heel
at 4 m above the dam base.
(1) Loads:
(a) Self weight = W
d
(b) Weight of water column over u/s sloping face = W
= 2400*[10*2/2 + 10*2 + 6.25*10/2] = 24000 + 48000 + 75000 =
147,000 Kg
w
(c) Uplift pressure = U = 1000 * [10*10.25/2] = 51,250 kg
= 1000*[10*2/2] = 10,000 kg
(d) Vertical net weight = V = W
d
+ W
w
(e) Horizontal water pressure load W
- U = 147000 + 10000 - 51250 = 105,750 kg
h
= 1000*[10
2
(f) Total horizontal load =H = W
/2] = 50,000 kg
h
(2) Moment due to various forces about d/s toe
= 50,000 kg
(a) M
d
(b) M
= 24000*(2*1/3+2+6.25) + 48000*(1+6.25) + 75000*(2/3*6.25) = 214,000 +
348,000 + 312,500 = 874,500 kg-m
w
(c) M
= 10000*(2*1/3+2+6.25) = 95,833 kg-m
U
(d) M
= 51250 * (2/3*[2+2+6.25]) = 350,208 kg-m
h
(e) Overturning moments M
= 50000*[1/3*10] = 166,667 kg-m
O
= M
U
+ M
h
(f) Resisting moment = M
= 350,208 + 166,677 = 516,875 kg-m
R
= M
d
+ M
w
(3) Factor of safety against overturning = FS = M
= 874,500 + 95,833 = 970,333 kg-m
R
/M
O
(4) Factor of safety against sliding: F
= 970,333 / 516,875 = 1.88
S
(5) Shear friction factor at base: F
= f* V / H = 0.75 * 105,750 / 50,000 = 1.58
SF
= [f V + c b] / H (b = base width = 10.25 m ) =
[0.75*105,750+14*10.25]/50,000 = 1.59
6.25 m 2 m 2 m
10 m
NCL
10 m Uplift
B C
A D
TWL
Ch-5: Concrete Dams
(6) Stresses at bottom:
(a) Location of resulting loads (weight, u/s water column weight, water pressure) = x =
[M
d
+ M
w
+ M
h
] / [W
d
+ W
w
(b) Eccentricity = e = b/2 -
] = 874,500 + 95,833 + 166,667 ] / [147,000 + 10,000] =
5.46 m (from toe)
x = 10.25/2 5.46 = - 0.31 m (load is acting 0.31 m left of
section centre i.e. towards heel)
(c) Compression stress at toe =
zd
= V/T (1+6e/T) [Note: V = W
d
+W
w
= 147,000 +
10,000 = 157,000 kg], and
zd
= 157000/10.25*(1+6*-0.31/10.25) = 12,537 kg/m
2
(d) Compression stress at heel =
=
12537*9.81/1000 = 123 KPa
zu
= V/T (1-6e/T) = 157000/10.25*(1-6*-0.31/10.25)
= 18,096 kg/m
2
(e) U/s and d/s angles: Tan
= 177.5 KPa
u
= 2/10 = 0.2, Tan
d
(f) p
= 6.25/10 = 0.625
w
= 10 m * 1000 kg/m
3
= 10,000 kg/m
(g) Horizontal shear stress
2

u/s face:
u
= (p
w
-
zu
) Tan
u
= (10,000 18,096) * 0.2 = - 1,620 kg/m
2
d/s face:
= - 15.9
KPa
d
=
zd
* Tan
d
= 12,537 * 0.625 = 7,835 kg/m
2
(h) Principal stresses:
= 76.9 KPa
1u
=
zu
(1+Tan
2
u
) p
w
Tan
2
u
= 18,096*(1+0.2
2
) 10,000 * 0.2
2
= 18,419 kg/m
2

3u
= p
w
= 10,000 kg/m2
1d
=
zd
* (1 + Tan
2
d
) = 12,537 (1 + 0.625
2
) = 17,434 kg/m
2
.
3d

= 0

Ch-5: Concrete Dams
5.11 CONCRETE ARCH DAMS
Arch dams with u/s curvature are suitable for sites where the geologic strata of the
abutments are strong enough to take up the forces of dam coming on the abutments (Figs.
5.21 and 5.22). The arch dams are suitable for tall rocky gorges and represent a stable
structural form given that the integrity of the supporting abutments is assured. As the dam
thrust is taken by the abutments, the concepts of overturning and sliding stability have little
relevance to the arch or cupola dam. Arch dams can fail for overstress only. Arch dam design
is therefore centered largely upon the definition of the arch geometry and stress analysis
which avoids local tensile stresses and/or excessive compressive stresses.
Arch dams were designed earlier as cylindrical shell element. These assumed that
water load is entirely carried by individual arches and only the weight of the structure was
considered to be transmitted to the foundation. This practice did not consider the cantilever
action arising from resistance from foundation and is satisfactory for small dams. For large
dams complex 3-d analysis is required. For Cupola dams the compression due to dead load
compensate for the cantilever tensions caused by water load.

Figure 5.21: Arch dam: El-Atazar dam, Madrid, Spain (Lozoya River). (Source: Canal de Isabel @
http://www.pbs.org/wgbh/buildingbig/dam/el_atazar.html). Height = 134 m, reservoir = 424 Mm
3
. base
width at foundation = 52.3 m. Construction 1972. Repaired for 150 ft deep crack in 1979.
Repaired cracking in foundation rock in 1983.
Ch-5: Concrete Dams

Figure 5.22: Pacoima dam California USA. (Source: Top: http://www-
socal.wr.usgs.gov/scign/group/pacoima_dam, bottom: Google-earth)
Vaiont Dam, Italy. Height = 162 m, crest length = 190 m. Completed in 1961. During first
filling it was damaged by a massive land slide in the reservoir when 314 Mm
3
Highest arch dam is Ingur i dam, Georgia, Soviet Union, with 272 m high and 680 m long; the
concrete volume is 3.9 Mm
material slid
into reservoir causing a surge of 260 m on opposite side of valley forcing a 100 m high flood
wave overtopped the dam, resulting in severe damages in the d/s valley including 2500 loss
of life. The dam with top width of 3.4 m stood strong with superficial damage to dam.
3
.
Ch-5: Concrete Dams

Figure Morrow Point arch dam. [http://simscience.org/cracks/advanced/arch_hist1.html]
5.12 DEFINITIONS
Terminology used in the layout and analysis of arch and cupola dams are as under.
Plan: A plan is an orthographic projection on a horizontal plan, showing principal features of
a dam and its appurtenant works with respect to topography and geologic data.
Profile: A profile is a developed elevation of the intersection of the dam with the ground
surface, rock surface or the excavated surface along the axis of the dam, or u/s face, or
d/s face, or other designated location.
Section: A section is representation of a dam as it would appear if cut by a plane.
Dam axis: This a vertical reference plane coincident with the u/s edge of the top of dam; in an
arch dam axis is curved horizontally.
Length of dam: This is distance measured along the axis at the top of the main dam body
from abutment to abutment, including any overflow spillway section but excluding
any spillway located adjacent to the dam on its abutment.
Arch or Arch Unit: The arch unit refers to a portion of the dam bounded by two horizontal
planes unit height apart. Arches may have uniform or variable thickness. Arches at
different levels may have same or varied location (in plan) of centers.
Cantilever or Cantilever unit: This refers to portion of dam contained between two vertical
radial planes unit length apart. The cantilever may have straight or curves surface on
u/s and d/s side.
Extrados and Intrados: This refers to the u/s and d/s curved surface or face of the arch / arch
unit of the dam. These terms are used for horizontal (arch) units; the faces of
cantilever are referred as upstream and downstream, as appropriate.
Ch-5: Concrete Dams
Central angle: This is the angle bounded by lines radiating from the arch extrados center to
point of intersection of the arch centerline with the arch abutments.
Crown cantilever: This is a cantilever element located at the point of maximum depth in the
canyon.
Reference Plane: This is vertical plan which pass through the crown cantilever and the center
for the axis radius.
Line of Centers: This is the loci of centers for circular arcs used to describe the face or
portion of dam.

Figure 5.23: Typical arch unit and cantilever unit. (USCoE 1994) p:1-3
5.13 TYPE OF ARCH DAMS
The types of arch dams may be based on mode of curvature, on symmetry, and
thickness, as under.
Types based on curvature
Single curvature arch dam: These dams are curved in plan only. Cantilevers have u/s vertical
and d/s straight slope faces, or may also be curved with the limitation that no concrete
overhangs the concrete below.
Double curvature cupola dams: Cupola dams have curved surface both in plan and cross
section. This type of dam utilizes the concrete weight to greater advantage than single
curvature dam, and consequently less concrete is needed resulting in thinner more
efficient dam.
Types based on symmetry
Symmetrical arch dams: The dams are termed as symmetrical if the arch length on each side
of reference plane differ by less than 5% between 0.15H and 0.85H (H = maximum
dam height).
Non-symmetrical arch dams: Non-symmetrical sites result in dams with longer arch lengths
on one side of the crown cantilever than the other. Such dams will often have two
reference planes, one for each side of the crown cantilever with same or different axis
radius. Symmetry of dam may be improved by excavating deeper in appropriate
Ch-5: Concrete Dams
places, by construction an artificial abutment, or by reorienting and relocationg the
dam.

Figure 5.24: Single and double curvature arch dams. USCOE 1994, p:1-10.
Types based on thickness
Dams are classified as Thin, medium thick, Thick and Very thick dams based on base
thickness (T) to height (H) ratio; Very thick dams are also termed as Arch-gravity
dams, as under.
Thin-arch dams. These dams have maximum cantilever thickness less than 0.2H. (T < 0.2H)
Medium-Thickness arch dams. These dams have maximum cantilever thickness between
0.2H and 0.3H. (T ~ 0.2 to 0.3H)
Thick arch dams. These dams have maximum cantilever thickness of more than 0.3H. (T >
0.3H)
Arch-gravity dams: These dams have maximum cantilever thickness of more than 0.5H. (T >
0.5H)
Uniform thickness dams:
Variable thickness dams:
Types based on arch geometry and profile(radius and central angle)
Constant radius profile: This has the simplest geometry, combining a vertical upstream face
of constant radius with a uniform radial downstream slope (Fig. Novak p-117,118,
Punmia p-338 fig 9.1). The downstream face radius therefore varies with elevation.
The extrados and intrados radius differ by the arch thickness only and centers of arch
elements at various elevations lie on a single vertical line. The central angle reaches a
maximum at crest level. In a symmetric valley the minimum dam volumes result from
central angle of 133.34 degrees. However the considerations of the abutment entry
Ch-5: Concrete Dams
angle limit the central angle to less than 110 degrees. This profile is most suited to
relatively symmetrical narrow-U shaped valleys.
Variable radius profile: The profile radius for extrados and intrados vary at various elevations
being maximum at the crest and certain minimum at its bottom. The central angle also
varies to obtain maximum arch efficiency. The dam has vertical or overhanging faces
on u/s side near the abutments and on d/s side near the crown The centers of arch
elements at various elevations do not lie on a single vertical line, hence it is also
known as variable center arch dams.
Constant angle profile: The central angle for all arch elements is constant with varied radius
resulting in a complex geometry. This results in considerable upstream overhang near
the abutments. This profile is most suited for symmetric narrow-V shaped valleys
with steep side slopes.
5.14 ARCH SHAPES
Several configurations are available to describe the horizontal arch shapes. These are as:
Single centered dam: For symmetric valleys a single centered profile with vertical or curved
line of centers is used. The loci of the centers are the same for both sides of the dam
and lie on the reference plane.
Two-centered dams: For nonsymmetrical valley, single centered profile cannot be
satisfactorily fitted to the site. A two centered scheme can be used; such profile has
two separate set of lines of centers, one for each side of the dam. Each line of centers
must lie along the reference plan to maintain continuity, but axis radius may be
different on the two sides.
Three centered profile: For wide V or U valleys the arch-abutment joint may not be efficient
to achieve required thrust angle. The three centered or elliptical arches are used. The
three centered dam has a shorter radii in the central part and longer radii in the outer
segments. The loci of centers for central portion lie on the reference plan but those of
outer portion do not. These have inherent characteristics of conforming more nearly to
the line of thrust.
Fillet: This is enlargement of arch cross section towards the abutment. For sites where
abutment thickening is desirable, short radius fillet may be added to uniform thickness
arches on the d/s sides. The fillet radii at each side of arch need not be same.
5.15 VALLEY SHAPES
The geometry of the arch evolved gradually over the years due to better understanding
of its behavior under loads. As the arch dams transmit the impose loads by arch action into
the valley walls, the arch geometry and shape of the dam is dependent upon the cross section
and geometry of the valley itself (Fig. 5.25). The canyon shape is described by canyon width
between the abutments (L
C
) to height H ratio (L
C
Narrow-V site have canyon L
:H) and the canyon wall slope. These
parameters affect the central angle, shape of the profile and type of the dam layout. The
valley may be classified as:
C
:H of 2:1 or less. Canyon walls are generally straight with few
undulations and converge to a narrow streambed. Arch dams are such sites will
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transmit the applied load to the abutments by the arch action. The lower arches are
relatively short and greater portion of the load is carried by arch action. A thin single
centered arch dam of uniform thickness is suitable for this.
Wide-V site have canyon L
C
Narrow-U site have near vertical canyon walls in the upper half of the canyon. The lower
arches have approximately the same chord length as those near the top. The streambed
is fairly wide perhaps one-half the canyon width at the crest. The water load over the
lower quarter height will be transferred to foundation and supported by cantilever
action towards the lowest point and balance upper load will be transferred to abutment
rock by arch action. A single centered arch dam with uniform thickness upper arches
and variable thickness lower arches is suitable.
:H of 5:1 or more to as much as 10:1. Canyon walls have more
pronounced undulations but will become generally straight after foundation
excavation converging to a less pronounced V-section streambed. Most of live load
will be transferred to abutments by arch action. A three-centered medium thickness
arch dam with increased thickness near the abutments is suitable option.

Wide-U sites have very wide streambed with near vertical walls above it. Much of the live
load is carried by cantilever action and arches are relatively long. These sites ate most
difficult for an arch dam because long flexible arches carry relatively load, and thick
cantilevers are needed support the increased water pressure. Arch thickness is
generally uniform for arches near c rest and variable near streambed with transition
near the upper one-third level. Three centered dams can be used advantageously in
such case.
An arch dam must be given first consideration for a site with length-height ratio of
less than 3 or less. For sites with length-height ratio of 3 to 6, an arch dam may still provide
most feasible structure depending upon the extent of foundation excavation required to reach
suitable materials. The effects of factors other than length-height ratio become much more
predominant in the selection process for dam sites with length-height ratio of more than 6.

Narrow-V
Narrow-U
Wide-V
Wide-U
Figure 5.25: Canyon valley shapes.
L
C

H
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Figure 5.26: Typical single centered variable thickness arch dam in a symmetrical site.
(USCOE 1994) p:1-5
Figure 5.27: Typical two centered variable thickness arch dam in a non-symmetrical site.
(USCOE 1994) p:1-6
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Figure 5.28: A three centered variable thickness arch dam. (USCOE 1994, p:1-7)

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Figure 5.29a: Monar Dam. (http://www.corestore.org/DeanieMonar.htm)

Figure 5.29b: Plan and elevation of Monar dam
(Source: htto://www.corestore.org/MonarDraw1.jpg)
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Figure 5.29c: Section of Monar dam (Source: htto://www.corestore.org/MonarDraw2.jpg)

5.16 ARCH-ABUTMENT CONTACT
The horizontal angle of arch thrust must be transferred into the abutment at a safe
angle, i.e. one which will not promote abutment yielding or instability (Fig. 5.30). The
horizontal thrust is considered to distribute into the rock with an included angle of 60 (30
on either side from tangent to extrados and intrados). The thrust must not be aligned too
closely with the valley sound rock contours or with any major discontinuity. This suggests
abutment entry angle (tangent of extrados and approx trend of sound rock contours along
valley sides) between 40 and 70.
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Figure 5.30a: Angle between arch thrust and the rock contour. (USCOE 1994, p:2-2)

Figure 5.30b: Arch abutment types. (USCOE 1994, p:2-3)
5.17 CHARACTERISTICS OF ARCH DAMS
1. Arch dams utilize strength of the dams material to counteract the imposed loads as
opposed to gravity dam which rely on the weight of the materials.
2. Arch dams are more economical because less material is needed for construction.
3. V-shaped valleys are preferred arch dam construction sites.
4. Reinforcement is generally not required in arch-gravity and thick-arch dams. Its use is
favored in thin arch dams, but for high dams the reinforcement cost become
prohibitively high to negate the adoption of such dams.
5. Uplift is usually not important in thin arch dams, but suitable internal drainage is
provided in thick-arch dams.
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5.18 FOUNDATION CONSIDERATIONS
The abutment foundations of an arch dam are
particularly critical to the stability of the dam because
they are required to resist the majority of the reservoir
forces that attempt to push the structure in a
downstream direction. The modulus of deformation of
the abutments and the foundation is also an important
element in analyzing the performance of the dam
since the flexibility of the foundation directly affects
the stresses in the dam. Foundation information must
provide sufficient geological detail to identify and
locate any potential sliding wedges of rock that could
cause instability. If such features are found to exist, a
stability analysis must be performed to assure that
there is an adequate factor of safety against abutment
sliding. For some existing dams, sufficient data and
analyses are already available to provide the
necessary information. In other cases it will be
necessary to perform field investigations and conduct
stability analyses. In either event, the staff must
require that sufficient abutment foundation
information and analysis be provided to support a
review that verifies the findings with regard to the
stability of the foundation and abutments. The same
requirement is true for the foundation modulus of
deformation.
5.19 TEMPERATURE STRESS ANALYSIS
Arch dams have relatively thin cross section.
The dam interior body temperatures will be directly
affected by the ambient air temperatures, reservoir
water temperatures and the solar radiation. Solar radiation has the effect of warming the
concrete surface above the surrounding air temperature. The thermal properties of concrete
and reinforcement will dictate the variations in the dam body temperatures and resulting
stresses (mostly tensile) in the concrete. These changes are even critical near the outer faces
(Fig. 5.31).
5.20 DESIGN LAYOUT
The design of an arch dam (single or double curvature) is an iterative procedure. An
initial geometrical shape and layout, which meet different criterion, is developed and for
which stress analysis is performed. The refinement of geometry and shape is based upon
stress results of the previous design, until a satisfactory design is reached. Several iterations
are required to produce a satisfactory design. The final design must ensure no tension stress
and compressive stress near the predefined upper limit in the concrete any/every where in the
dam body including u/s and d/s faces, openings, spillway, etc. Following steps are carried
out.
Figure 5.31: Temperature variation
in body of arch dam.
50
55
60
65
El=1350 ft
Reservoir surface
El = 1872 ft
Top of dam
El=1965 ft
Dam axis
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Figure 5.32: Thrust block at right abutment. (USCOE 1004, p:3-27)

Figure 5.33: Straight and curved thrust block, plan view. (USCOE 1994, p:3-27)
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Figure 5.34: Developed profile of arch dam.

Figure 5.35: Empirical values of L
1
and L
2
i. Select a suitable location where geologic foundation is available of requisite standard.
(USCOE 1994, p:5-3)
ii. Mark abutment location where arch can be placed. Measure straight line distance L
1
iii. Determine R

between the crest level topographic contours (or to abutment excavated to assumed
rock quality at crest).
axis
= 0.6 L
1
iv. Draw an arc of radius = 0.6 L1 on a transparent sheet on same scale as topographic
map.
.
v. Overlay the arc on the topographic map. Adjust the arc position to produce
acceptable/ optimum position. The acceptable position provides (i) shortest dam
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length along the arc, (ii) the central angle between the abutments do not exceed 110,
and (iii) the incident angle of the arc be between 40 and 70 degrees. If angle > 120
degrees, then increase radius.
vi. Two or three centered profile may be used for unsymmetrical canyon shapes.
vii. Trial and error procedure is used to obtain suitable location and orientation of the
crest arch.
viii. Locate crown cantilever, the reference plane, etc.
ix. Define the suitable single or double curvature cross section.
x. Select the line(s) of centers and complete plan location of lower arches ensuring the
geometric constraints.
xi. The geometry of crown cantilever controls the shape of entire dam. Trial dam section
thickness of crown cantilever at crest (T
c
), at base (T
B
) and at 0.45 height (T
0.45H
( )
1
2 . 1 01 . 0 L H T
c
+ =
) as:
( )
3
400 /
2 1
400 / 0021 . 0
H
B
H L L H T =
B H
T T 95 . 0
45 . 0
=
xii. Dam axis is set at u/s end of crest. Crest width is set d/s of axis. Width at
base is taken 0.67 and 0.33 on u/s and d/s of axis. Width at 0.45H is taken
u/s of axis (Fig. 5.37).
xiii. Carryout requisite stress analysis.
xiv. Accept or modify the design depending on computed stress levels.

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Figure 5.36: Layout of dam axis. (USCOE 1994, p:5-4)

Figure 5.37: Projections of crown cantilever and definition of u/s and d/s faces. (USCOE
1994, p:5-6)

Figure 5.38: Contact points between dam and foundation at crest and crown
cantilever.(USCOE 1994, p 5-7)
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Figure 5.39: Development of the line of centers. (USCOE 1994 p 5-11)

Figure 5.40: Upstream contact line at dam-foundation interface (USCOE 1994, p:5-8)
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Figure 5.41: Arch sections. (P:5-18)

Figure 5.42: Cantilever sections. (p:5-17)
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Figure 5.43: Spillway and outlet works for arch dam.
5.21 DAM STRESS ANALYSIS
Dam stress analysis can be done under different conditions as: (i) static conditions
when all loads except earthquake loads are considered, (ii) pseudo-static conditions when all
loads including earthquake loads are considered, and (iii) dynamic conditions, when sudden
temporal earthquake loads of finite duration are superimposed over the static loads. The trials
may be based on static or pseudo-static analysis, and final selected design must then be re-
evaluated under dynamic loads.
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The input data to stress analysis includes concrete properties (modulus of elasticity,
Poisson ratio, unit weight, permissible maximum compressive and tensile strength,
coefficient of thermal expansion), Dam geometric data (curvatures, radius, height, arch length
and thickness, head and tail water levels, dam spillway and other openings, thrust blocks,
expected temperature changes at site, sediment, wind, ice, seismic and other loadings), and
Foundation and abutment properties (modulus of elasticity, Poisson ratio) etc.
5.22 STATIC ANALYSIS
This section describes analysis and evaluation procedures required for assessing the
structural stability of arch dams and their abutment foundation under static loads. The
acceptable methods of analysis for computing deflections and stresses developed in the dam
include Thin Cylinder Theory, Trial Load Method and three dimensional finite element (FE)
and in certain cases continuum solution procedures, as applicable.
5.22.1 Thin Cylinder Theory
The thin shell/cylinder subjected to uniform water loads will develop compressive
stresses (considered to be uniform over the section). The maximum stress will develop near
the abutment as: T R h
w
/ = where h is dam height, T is arch thickness, and R is arch
radius. If the maximum permissible compressive stress is f
n
n w
f R h T / =
, then required arch thickness is
given as: . The thin cylinder theory give very simplistic picture as: (i) it do not
consider bending and shear in concrete, (ii) it consider water load only, (iii) it do not account
for stresses induced due to rib shortening and abutment yielding.
5.22.2 Finite Element Analysis
The finite element procedure is the numerical method most often used for the
structural analysis of arch dams. This guideline assumes that the reader is already familiar
with the general theory of finite element analysis of elastic solids (Zienkiewics, 1971; Bathe
and Wilson, 1976). The FE stress analysis should be conducted by developing an accurate
three-dimensional model of the dam-foundation system. The manner by which various static
loads are applied should be described. The results of analyses should be presented
appropriately in order to facilitate examination, interpretation, and evaluation of the findings.
FE models as SAP2000 can be used for 3-D structural analysis of arch dams (Sarwar 2005).
The following remarks are intended only to point out some special considerations in the
application of this technique to arch dam analysis.
Structural Modeling Assumptions
The finite element analysis of arch dams is based on the same assumptions that underlie all
finite element analyses. This being the case, the basic principles that govern element
formulation, mesh construction, and load application are as valid in the analysis of arch dams
as they are anywhere in structural mechanics. There are, however, certain special
considerations in the use of the finite element in arch dam analysis:
1. The body of the dam is typically assumed to be bonded to the foundation rock throughout
its contact with the canyon. However, the validity of this modeling assumption is often
what the analysis is seeking to determine. If this assumption results in excessive shear or
tensile stresses on the foundation contact, this modeling assumption may require
modification.
2. The dam is typically assumed to be a monolithic structure with linear elastic and isotropic
material properties. In reality, the typical arch dam is divided by construction joints, con-
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traction joints, and pre-existing cracks. In addition,
concrete by its nature is not isotropic because its
compressive strength is typically 10 times its
tensile strength.
3. The foundation rock is assumed to be monolithic
with linear elastic and isotropic material
properties, when in reality it is jointed with non -
linear characteristics. The use of a "deformation
modulus" instead of the actual Young's modulus is
an attempt to deal with the complex character of
the typical foundation.
Dam Model
The basic geometry data for developing a 3D
finite element mesh for the dam can be obtained from
the construction drawings (Fig. 5.44). In some
situations, however, it may be necessary to confirm the accuracy of such data by visual
inspection, and possibly by field surveys, to ensure that the existing conditions of the dam
matches the as-built drawings. For example, a severely deteriorated layer of concrete near the
dam surface may have lost its strength, suggesting that a reduced dam thickness or a reduced
effective modulus of elasticity might better represent the actual conditions.
In other situations, structural modifications may have increased both stiffness and
mass of the dam. Critical gravity abutment thrust blocks that may exist at one or both ends of
an arch dam should be included in the dam model. Smaller and less important thrust blocks
may be considered as part of the foundation rock, and not modeled separately. The FE model
developed for the dam should closely match the dam geometry and be suitable for application
of the various loads.
The basic results of a finite element analysis include nodal displacements and element
stresses. As a minimum, nodal displacements and surface stresses should be presented for the
static loading combinations in clear graphical form. Surface stresses should be presented in
the local arch and cantilever directions. Additionally, since nodal loads can be obtained from
finite element analyses on an element by element basis, dam thrust needed for the rock wedge
stability analysis can be determined from loads acting on elements having a common surface
or a common edge with the dam/foundation contact surface.
Maximum tensile and compressive stresses in an arch dam usually occur at the faces
of the dam, therefore evaluation of stresses on the faces of the dam is required. The surface
stresses resolved into arch and cantilever stresses are usually presented in the form of stress
contours on each face of the dam, while surface principal stresses are displayed in the form of
vector plots, as illustrated in Fig. 5.45.
In addition to the arch and cantilever stresses, the magnitudes of the shear stresses
caused by the bending and twisting moments should be examined, especially for very thin
arch dams and those with cracked sections. These include radial cantilever shear stresses
acting radially on a horizontal plane and radial arch shear stresses acting radially on a vertical
plane. Also, excessive tangential shear stress acting on the foundation can be a cause for
concern.

Figure 5.44: Model of dam and
foundation.
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Fig. 5.45 Arch and cantilever stress contour and principle stress vector plots.
A concrete arch dam under static loading conditions is considered to be safe from
over stressing failure if the allowable stresses are not exceeded in any extensive area.
Allowable stresses of concrete are obtained by dividing the strength capacities by the
appropriate safety factors. This requirement is easily satisfied for a well designed arch dam
which resists the loads by developing essentially compressive stresses with very little tension
(Fig. 5.45). In other cases compressive stresses usually meet the criteria but tensile stresses
caused by temperature loads, or other unfavorable situations may be significant. When
significant tensile stresses are indicated, sections of the arches and cantilevers subjected to
excessive tension are assumed to be cracked. This cracking will result in the re-distribution of
stresses and loads.
5.22.3 Trial Load Method
The trial load method is based on the assumption that an arch dam is made of two
systems of structural members: horizontal arch units and vertical beams or cantilever units
(Fig. 5.46); that the water load is divided between the arch and cantilever units in such a way
that the resulting arch and cantilever deflections and rotations at any point in the dam are
equal (Fig. 5.47). The preceding agreement is accomplished by subjecting arch and cantilever
units to a succession of self-balancing trial-load patterns and solving the simultaneous
equations involved. The solution is normally obtained by computers using a trial load
program such as ADSAS developed by the US Bureau of Reclamation. The resulting load
distributions required to achieve geometric continuity are then used to compute stresses in the
dam.
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Fig. 5.46 Translations and rotations of arch
and cantilever units.
Progressing from the simplest to the most comprehensive, a trial load analysis may
consist of crown-cantilever adjustment, radial deflection adjustment, or the complete
adjustment, which includes adjustments for the radial and tangential translations as well as
rotations. The crown-cantilever and radial deflection analyses are usually used for the
preliminary and feasibility studies of new dams. For safety evaluation of existing arch dams
only the complete trial load analysis should be attempted.
Many comparisons with measurements from actual dams and scale models as well as
with 3D fintite element analyses have shown that ADSAS gives reliable results for one-, two-
or three-centered dam layouts, subjected to standard static loads. It has been used
successfully in the design of new dams over many decades, but its use in the evaluation of
existing dams is limited to the geometry configurations just described and to static loading
only. Complex geometry and material property variation, the effects of openings within the
body of the dam, and nonradial abutments cannot be analyzed by ADSAS.
Unlike FEM, ADSAS does not permit analysis of the effects of rapid changes in the
dam geometry where detailed stress information may be required. Analysis of the effects of
unusual loads, special boundary conditions, and seismic loading is not possible. The use of
trial load method and ADSAS should be limited to the geometry configurations described
above so far as the computed static stresses are not excessive. Existing dams located in
seismic regions requiring dynamic analysis should be evaluated by the finite element method.
5.23 Sliding on the Abutment Contact
Usually, sliding stability along the dam-foundation contact of a concrete arch dam is
unlikely because of the wedging produced by arch action. However, arch dams with
relatively flat abutment slopes, or in cases where the concrete is not thoroughly bonded to the
foundation rock and adequate drainage is not provided, the benefit of wedging will be
reduced. In these situations the possibility that a portion of the dam might slide along the
dam-foundation contact should be evaluated. The potential for sliding can be evaluated by
comparing computed shear forces with the shear resistance along the dam-foundation contact
surface.
5.24 Buckling Failure Modes
Over and above the determination of stresses and displacements in arch dams, under
some extreme dam geometries such as thin, single curvature dams with large radii, the
question of buckling stability of an arch dam structure may arise. Figure 5.48 and the
Figure 5.47: Arch and cantilever elements
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corresponding equation describe the buckling mechanism of circular arches subject to
uniform compressive load, qcr

Figure 5.48. Buckling of a simply supported circular arch under uniform load.
5.25 DYNAMIC ANALYSIS
All dams in seismic zone 3 and higher should be evaluated using dynamic analysis
techniques. Dams in zone 2 may also require dynamic analysis on a case by case basis.
Currently, three-dimensional linear-elastic finite-element analysis is the most common
technique used for dynamic analysis. A linear-elastic dynamic analysis of arch dams typically
consists of the following four basic steps:
1. Determination of design or evaluation earthquakes and the associated ground motions;
2. Development of appropriate three-dimensional finite-element models including dam-
foundation and dam-water interaction effects;
3. Specification of dynamic material properties, damping, and reservoir-bottom absorption, if
applicable; and
4. Computation of the earthquake response and presentation, interpretation, and evaluation of
the results.
The requirements for development of design or
evaluation earthquakes and earthquake ground motions
are obvious. The design or evaluation earthquake for arch
dams is the maximum credible earthquake (MCE). The
earthquake ground motions include the horizontal and
vertical response spectra, or three components of
acceleration time histories. They are applied uniformly at
the fixed boundaries of the foundation model.

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Figure 5.49: Gallery system in right side of arch dam. (p:3-21)
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Figure 5.50: Gallery system in left side of arch dam.

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REFERENCES / BIBLIOGRAPHY
Golze. 1977. Handbook of Dam Engineering.
Pumnia, B.C. and Pande B.B. Lal. 1979. Irrigation and Water Power Engineering, 5
th
Sarwar, Murtaza. 2005. Study of Concrete Arch Dam for Zarwam Reservoir on Kurram
River. M.S. WRE Thesis. Centre of Excellence in Water Resources Engineering,
University of Engineering & Technology, Lahore,
edition.
Standard Publisheres Distributors. Delhi.
USBR. 1976. Design of Gravity Dams. Denver.
Zee, C. and R. Zee. 2006. Earthquake hydrodynamic pressure on dams. J. Hydraulic
Engineering, ASCE. 132(11):1128-33. Nov 2006.
www.dur.ac.uk/~des0www4/cal/dams/conc/acone.htm.
www.ferc.gov/industries/hydropower/safety/guidelines/eng-guide/chap11.pdf
www.usace.army/mil/usace-docs/eng-manuals/em-1110-2-2200

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Figure 5.61: 106 m high Buttress dam, Iran.
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Figure 5.62: 106 m high Buttress dam, Iran.

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Figure 5.63: Elmali Dam (Buttress) Turkey (http://www.ce.metu.edu.tr/~ce471/links.htm)
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.Figure: 5.64: Spaulding Arch Dam, USA.

Figure 5.65: Porsul Dam (Concrete gravity) Turkey.
(http://www.ce.metu.edu.tr/~ce471/links.htm)
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Figure 5.66: Sariyar Dam (concrete gravity) Turkey

Figure 5.67: Gokcekaya Arch dam Turkey (http://www.ce.metu.edu.tr/~ce471/links.htm)
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Figure 5.68a: Loch Laggan Dam, Scotland (masonary dam) u/s view L=700/213 m, H =
170/ 52m (Constructed in 1934) (http://www.flickr.com/photos/graeme_smith/1147054638/)

Figure 5.68b: Loch Laggan Dam, Scotland (masonary dam) d/s view spillway and outlets
working (www.dcs.st-and.ac.uk/~rd/remote/dam.jpg)
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Figure 5.69: Cahora Bassa concrete arch dam, Mozambique (L = 303 m, H = 171 m,
Reservoir is 240 km long with volume capacity as 51MAF~ 63
BCM)(http://www.epoch-suite.com/images/casestudies/cahora_01.JPG)

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Figure 5.70: Gordon arch dam. http://en.wikipedia.org/wiki/File:Gordon_Dam.jpg

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Fig 5.71: A steel dam. http://en.wikipedia.org/wiki/File:088808pv.jpg

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Figure 5.72: Spillway from Llyn Brianne Dam, Wales
http://en.wikipedia.org/wiki/File:Llyn_Brianne_spillway.jpg

Tariq. 2008. Dam and Reservoir Engineering 6.1
Chapter 6 - Dam Spillways
6-1
Chapter - 6
DAM SPILLWAYS
6.1 INTRODUCTION
Spillways are required for storage dams to pass surplus or floodwater flows, which
cannot be contained in the allotted storage space. The excess water is drawn from top of dam
and conveyed through an artificial waterway back to the river.
Failure of dam can result due to improper design of spillway (due to overtopping)
especially for earthfill and rockfill dams.
Larger capacity spillway required for earthfill and rockfill dams to avoid
overtopping
Overtopping of concrete dams (gravity, arch) is less dangerous to the dam
structure, but yet remain an undesired condition.
Spillway is to be located such that spillway discharge will not erode or undermine
toe of dam
Spillway surface be able to withstand high scouring velocities as 50+m/s
Due to very high exit velocity a device is required to dissipate excess energy at the
end of spillway.
At large storage dams spillway are used infrequently; For small storage dam,
spillway use more often or even constantly
The flood water also carries with it varying sizes of debris (logs and trees
uprooted by the flood water in the catchment areas). Arrangements are required to
ensure spillway is not blocked by the floating debris and continued performance
of spillway; especially if the flow path include a closed flow section as tunnel.
Debris control boom is usually provided.
6.2 LAYOUT/LOCATION
Every dam is provided with one or more spillways to evacuate flood waters. The
location of a spillway depends on type of the dam (EF, RF, Concrete gravity, Arch, Buttress).
For earthfill and rockfill dams the spillway is usually located separate from main dam
embankment at an adjacent saddle. For a concrete gravity dam the spillway can be made
integral part of the dam embankment and weir is located at the dam crest and d/s face of the
embankment forms the chute. Spillway can also be carried as tunnel through abutments. Arch
dams may have a spillway separate or part of the dam depending upon dam height and
thickness. Spillway for buttress dam is placed across one or more buttress. In fact the choice
of the type of dam and type of the spillway are dependent on each other. Figs. 6.1 to 6.6 show
layout of spillway for some dams.
6-2

Figure 6.1: Hoover dam and spillway layout and debris control boom (top) and side spillway
and tunnel (bottom).

Debris control boom
6-3

Figure 6.2: Tarbela Dam: Embankment and spillway layout (top) and service and emergency
spillway showing control structure, chute, and plunge pool (bottom).
6-4

Figure 6.3: Tarbela dam service and emergency spillway (Source: Pakistan picture gallery).

Figure 6.4: Spillway for Warsak Dam, Pakistan. Source:
http://flickr.com/photos/toufeeque/330744180/, (Dec 23, 2006)
6-5

Figure 6.5: Main and auxiliary spillway of Simly dam. Note double stilling basin for main
spillway.

Figure 6.6: Horse-shoe shaped mass gravity concrete spillway with nape aeration.
Source: www.evn.co.za/photo_005.htm
6-6
6.3 SPILLWAY DISCHARGE CAPACITY
Spillways are provided to safeguard dam safety against small or large floods; thus
spillway discharge capacity is selected to ensure safety of the structure against damages that
could occur due to dam failure/breach on overtopping for exceptionally high floods of very
rare occurrence. Floods of any extra ordinary magnitude are real possibility and could cause
devastation by its own. The system is designed in consideration of the additional and
incremental damages caused by breach of the structure. ICOLD 1992 noted that the spillway
design discharge has direct bearing on structure safety on one side and project costs on the
other side; and ideally this should be based on engineering and economic considerations
relevant to the site and its environment.
6.3.1 Risk factors
ICOLD 1992 discussed the various risk factors affecting the choice of spillway
discharge capacity are:
i) Dam height: Smaller height dams reflect smaller risk. The structure is classified as of
small, intermediate and large
ii) Storage volume: Small storage volume reflects lesser hazard.
size for dam heights of <12.25, 12.25-30.5 and more
than 30.5 m.
iii) D/s loss of life due to dam breach: Loss of any human life is unacceptable in general
sense, but occasional some loss of life may be tolerated.
iv) D/s economic loss due to dam breach: The risk of economic loss is classified as high,
significant or low
v) Type of dam: Earthfill and rockfill dams are likely to be subjected to severe damages and
failure risk in the event of overtopping of dam. The concrete gravity dam can sustain
overtopping to some extent (due to having factor of safety greter than 2 against
overturning, sliding and material stresses), and arch dam can withstand overtopping to
even larger extent owing to wedge effects (stresses due to water loads are smaller than
stresses for temperature loads). The bridge deck and machinery placed at dam crest
are liable to some damage on structure overtopping.
depending on the extent of damage to housing, industrial,
commercial or agricultural facilities, public utilities, communication network, the dam
itself, repair or replacement of dam or its some components, etc.
vi)) Consequences of dam failure: Loss of some structure structures can not be accepted as
this may be so vital (e.g. water supply) for the sustenance of the community. In other
cases the dam failure may cause economic losses only for temporary curtail of the
output (hydropower, irrigation water).
vii)) Replacement/repair costs: This considers the extent of damages caused by the
overtopping; e.g. loss of whole or part of dam embankment, damage to spillway only,
failure of one or more panels of concrete dams, etc.
viii) Opportunity for dam repair/replacement activities: This refers to the extent and
possibility of shutting down the river system and making necessary repairs,
replacements.
6-7
6.3.2 Design Flood and Safety check flood.
In most cases two distinct discharges are set: (1) the design flood that must be
discharged through the spillway structures under normal conditions with a safety of margin
provided by the free board; this is usually taken flood of selected recurrence
probability/return period. (2) the safety check flood, which is the discharge which can be
passed by the crest structure, the waterway and the energy dissipater on the verge of failure
but to exhibit marginally safe performance. The design flood is selected to ensure adequate
safety of structure under most conditions. The safety check flood is taken a higher magnitude
flood or even the PMF depending on the importance of the dam. For Mirani dam (CFRD)
floods of 200 and 10,000 years return period was taken as design flood and safety check
flood, respectively. Flood of 200 years return period and PMF was taken as design flood and
safety check flood, respectively, for Patrind Hydropower Project Weir (concrete gravity
dam); since historic flood at the site exceeded the 200 year design flood, the design flood was
upgraded to flood of 1000 years return period
6.3.3 Design Inflow Flood
Selection of design inflow flood is a policy decision. This depends on evaluation of
losses/ damages that can occur in the event of dam failure.
If damage/loss of human life expected, select design flood equal to probable
maximum flood (PMF).
If rare-overtopping tolerable: 0.5-1 PMF or T >10,000 years, whichever is higher.
No loss of human life, but heavy property damage, some risk accepted: 0.3-0.5
PMF, or T =1000-10000 years, whichever is higher.
Negligible risk to life and property: 0.2-0.3 PMF, or T = 150-1000 years,
whichever is higher.
Very limited flood damages: 0.2 PMF, or T =100-150 years, whichever is higher.
The safety check flood may be taken as next higher design discharge or the PMF.
6.3.4 Spillway Design Discharge
The design inflow flood is partially stored temporarily in the reservoir flood surcharge
space above the normal conservation level. This results in reduction of the peak flood
discharge. The peak flow of the outflow flood for which spillway is designed is determined
by routing the design inflow flood through the reservoir (Fig. 6.7) for a pre-selected spillway
configuration and the discharge rating curve (i.e. discharge capacity vs. reservoir water levels
or depth). Suitable routing procedure e.g. a level pool routing procedure explained in chapter
2 Hydrology and Sedimentation may be used. The spillway configuration and/or
discharge rating curve is modified until the maximum flood surcharge equals the allowable
flood surcharge. The resulting peak outflow is then taken as spillway design flood discharge.
6-8
Figure 6.7: Design inflow, outflow flood hydrographs and reservoir water levels.
6.4 CLASSIFICATION
Spillways may be classified according to:
1. Utility
Main or service spillway-to pass more often flows
Auxiliary/subsidiary or emergency spillway to rare/PMF floods
Combined service and auxiliary spillway
2. Control of flow
Gated spillway: gates used to control / regulate outflow
Free/ungated spillway: outflow is direct function of reservoir water levels
Free/ungated spillway with a breaching dyke or collapsible rubber dam: The
outflow is delayed until the water level reaches the top of breaching dyke/rubber
dam and subsequently outflow is direct function of reservoir water levels
3. Type of flow
Orifice flow: Outflow is through an orifice, e.g. Mangla dam
Weir flow: outflow is over a weir, Tarbella dam, Simly dam. For full gate
openings the flow is free flow and the structure works as weir flow. For partial
gate opening flow is under pressure and flow is as orifice flow through the open
section of the structure.
4. Structural arrangements for auxiliary spillway (which are mostly ungated)
Regular constructed free flow section. The flow through the section is initiated as
soon the water level rises above the sill of the flow section.
KTD PMF Routing for Spillway Design
0
20000
40000
60000
80000
100000
120000
140000
160000
180000
200000
0 5 10 15 20 25 30 35 40 45 50
Time (hrs)
F
l
o
w

(
c
f
s
)
2100
2101
2102
2103
2104
2105
2106
2107
2108
2109
2110
R
e
s
e
r
v
o
i
r

w
a
t
e
r

e
l
e
v
a
t
i
o
n

(
f
t
)
Inflows
Outflow
Res Water Elev
6-9
Regular constructed free flow section with a breaching section e.g. an earthen fuse
plug placed across the regular section. The fuse plug will be eroded quickly once
the water level rises above the top of the fuse plug, and subsequently whole
section conducts the flood flow.
Regular constructed free flow section with a collapsing section e.g. a rubber dam
placed across the regular section. A rubber dam is anchored onto the section
bottom and is inflated to form a raised dam like profile/shape. The rubber dam
will detain water as long as the water level remains below the top of the rubber
dam. On small increase of water level above the crest of the rubber dam, the flow
glides over the rubber dam surface as a broad crested weir. On further increase of
water level, the rubber dam is deflated and lies at the bottom of the flow section
making all section available for flood flows.
Regular constructed free flow section with stop logs or gates used to close the
flow section.
6.5 SPILLWAY COMPONENTS
Most spillways have four components as: (a). Approach channel, (b). Outflow
structure, (c). Discharge channel / chute (d). Terminal energy dissipation structure and (e)
Exit channel.
a. Approach channel
This is channel leading from main reservoir body to the spillway crest or
discharge/control point.
Large flow reaching spillway crest through approach channel
Undesirable conditions in approach channel can reduce spillway capacity, produce
troublesome disturbances, contribute to possibility of cavitations, prevent passage
of floating debris, produce erosion and undermining of u/s portion of spillway
structure.
Maximum velocity at critical elevation and discharge not to exceed scouring
velocity of channel materials.
Curvature if any be gradual to avoid differential water depths.
End walls to guide flow to control section to extend upstream from crest to avoid
development of vortex (which would be carried over the crest). Walls to be flared
or curved to form a streamlined entrance design of control section (cost basis).
Approach channel lengthens the seepage path under the spillway structure; thus
helps the reduce seepage losses and more importantly the uplift pressure under the
crest and chute structures.
A floating debris boom may be used to stop flow of large debris (trees and logs)
and block the spillway especially if spillway takes water from the top and a closed
conduit (e.g. tunnel) forms the part of discharge channel/chute.
b. Outflow Structure
This forms the discharge control point.
Permit outflow from the reservoir and regulation/ control of outflow
6-10
Consists of sill, weir, orifice, tube or pipe
Discharge head relation fixed for ungated structure and variable for gated
structure (due to variable gate opening)
Takes various positioning and shapes as orifice and weir.
Overflow crests can be straight, curved, circular, semi-circular, U-shaped, W
shaped
Orifice control in horizontal, inclined or vertical position
Tubes or pipes may be horizontal, vertical or inclined and flow section can be
circular, square, rectangular, horse shoe or other shapes in cross section.
Overflow can be over sharp crested, ogee shape, broad crested or varied cross-
section or bell mouth shape.
Fully contracted or suppressed jet over the crest
Tubes can flow full or part, and flow control may be located at u/s or d/s end of
tube/pipe.
c. Discharge Channel
Flow from outflow structure carried to river bed in a discharge channel or
waterway
This may be d/s face of concrete dam, an open excavated channel, a closed cut
and cover conduit cut through or under a dam or a tunnel excavated through
abutment
Profile variably flat or steep
Cross-section-rectangular, trapezoidal, circular or other shape.
Channel dimensions are set according to hydraulic requirements
Channel profile, sections, shapes depend on geologic and topographic
consideration
Open channels follows closely the ground surface profile
Channels straight or curved in profile and plan
Section divergent or convergent or combination
Discharge channels be lined to resist scouring, cavitations and be structurally
strong to withstand forces from backfill, uplift and water loads. May be unlined if
pass through sound rock
d. Terminal Structure
Outflow posses considerable energy due to large fall from pond level to river bed.
(At Tarbela dam spillway flows carries flow energy in excess of ------ MW.)
Static head converted to kinetic head and high velocity.
High velocities if impeded result in large pressures (chute blocks of Mangla dam
service spillway are each subjected to thrust of 7.2 million pounds.)
6-11
Scour and erosion protection required at terminal end of discharge channel; thus
stilling basin, roller bucket, flip bucket, plunge pool provided for dissipating
excess energy.
Direct exit of high velocity jet over strong rocks of bed/abutment permitted
Also if erosion location farther from dam and no damage likely to dam
Flip buckets, cantilever extensions/deflectors to throw jet away from the structure
Flaring jet by deflectors reduce impact and bed erosion
For likely severe scour, plunge pool provided with bed and sides lined with riprap.
Flow may be allowed to erode a natural pool (for small installations), protected
riprap may be provided later, if needed.
Adequate cutoff to ward off undermining and uplift
For serious erosion hazard provide stilling basin/hydraulic jump basin, a roller
bucket, sill block apron, impact baffles etc.
e. Exit Channel
An exit channel may be required from d/s of stilling basin to the river channel.
6.6 DESIGN APPROACH
Spillways are designed using established flow equations and associated flow
coefficients. As these coefficients vary with operating head vis--vis the design head, the
approach and exit conditions, the accuracy of the theoretical design may be lowered. The
designed spillway is tested for flow conditions using a scale model, and final design values
and flow characteristics are therefore established. This is very necessary for large structures
where significant cost savings and/or design safety improvements can be achieved due to
improvement in design with smallest possible structural sizes.
For small structures it may be more economical to provide generous low velocity
approach conditions (use lower and safer coefficients values) rather than invest in a model
study.
6.7 SPILLWAY TYPES
Main types of spillways are as under:
1. Free overfall or straight drop spillway
2. Overflow or ogee spillway (e.g. at Tarbela, Simly dam)
3. Side channel spillway (Hoover Dam, Glen Canyon Dam)
4. Open channel or trough-chute spillway (Tainpura Dam)
5. Conduit or tunnel spillway
6. Drop inlet +shaft spillway (morning glory, multiple rose petals)
7. Siphon spillway (Baran dam)
8. Culvert spillway with inlet or outlet control
9. Labyrinth spillway with U, V or W shaped crest
10. Baffle apron spillway (in combination with open channel or culvert spillway)
6-12
11. Stepped spillway (in combination with open channel or culvert spillway)
6.8 OVERFALL STRAIGHT DROP SPILLWAY
Low height weir crest as control section (Fig. 6.8).
D/s face vertical or nearly vertical, thus usable with concrete thin arch or buttress
dams only.
Water drops freely from crest
Underside of nape ventilated
No pulsating jet
Crest may be extended to form an overhanging lip
Water drops into a stilling basin, plunge pool, onto a sound rock, or a concrete
apron
Not recommended for high head as impact can generate vibrations causing cracks
in structure
Danger of toe scour

Figure 6.8: Overfall spillway and plunge-pool Picture.
FERC 1999 defined the scour depth D as (Fig. 6.8):
Sin q H D
54 . 0 225 . 0
32 . 1 = (6.1)
Where D =max scour depth below tail water level (ft)
q =unit discharge (cfs)
= angle of inclination of the jet at water surface.
Mason and Arumugam 1985 compared results from more than 30 formulae for
estimating scour depth with data from 47 models and 26 prototypes and defined
the scour depth as:
10 . 0 30 . 0
015 . 0
2
05 . 0 60 . 0
27 . 3
d g
h H q
D = (6.2)
Where d =characteristic size of bed material
6-13
D =max scour depth below tail water level (m)
q =unit discharge (m
3
H =Head difference between reservoir level and tail water level (m)
/s/m)
h
2
6.9 OGEE OVERFLOW SPILLWAY
=tail water depth
6.9.1 Spillway Profile
Control weir is ogee or S shaped in profile
Ogee profile conforms and corresponds to lower nape of a sharp crested weir
Flow is made to adhere to the surface of ogee and prevent access of air to the
undesired of the water sheet.
Flow at design discharge glides over the crest and ogee profile with no
interference from boundary surface. This results in maximum discharge
efficiency.
Small negative pressure created along the profile at low discharges. Large
negative pressures can lead to cavitation damage. Air is provided in the chute
floor to circumvent negative pressure and decrease cavitation potential along the
chute.
The spillway chute as tangent to the ogee surface to support the sheet on the face
of the overflow.
A reverse curve at bottom of slope turns the flow on to a stilling basin.
A broader crest width (more than that required for ogee shape) causes positive
hydrostatic pressure along the contact surface. This supported sheet causes a back
water affect on the crest discharge and reduces efficiency of discharge.
For a sharp crest, water sheet tends to pull away from the crest and produces a
sub-atmospheric pressure along the contact surface. Negative pressure results in
increase of effective head and thereby increases the discharge. Negative pressure
increase cavitation hazard, but this may be eliminated by providing air at places
along the chute.
Ogee crest could be used as outflow structure of other spillway type (e.g. side
channel spillway, drop inlet spillway). Ogee crest +apron may work as full
spillway.
The ogee spillway may be equipped with gates or free flowing (no gates). The
gated spillway works as orifice for partial gate opening and as free flowing weir
for full gate openings.
The crest of free flowing spillway usually coincides with the normal conservation
level. The crest of gated spillway is usually set below the normal conservation
level to achieve higher operating head.
Because of high discharge efficiency, ogee profile is used for most spillways.
The u/s face of the spillway may be vertical, or have 1H:3V, 1H:2V, 1H:1V
slopes
6-14
The ogee profile d/s of the ogee crest is defined by equation as:
n
H
x
K
H
y
|
|
.
|
\
|
=
0 0
(6.3)
where K and n are constants defined as function of h
a
/H
0
and u/s inclination; h
a
=
velocity of approach head. Generally K =0.5, n =1.85 (for u/s face vertical); thus
y =-0.5 x
1.85
H
-0.85
Upstream shape of crest profile is defined by compound circular curves of radius
R
(Wei, ). The factors K and n are given in Fig. 6.9 (taken
from Fig. 247 P-347of USBR, 2001). K value increases with slope of u/s face (K
higher for vertical or 1:3, less for 3:3) and n value decreases (n higher for vertical
or 1:3, lower for 3:3). Morris and Wiggert described the coefficients K and n as:
(0.516 and 1.836), (0.515 and 1.810), (0.534 and 1.776) for other u/s face slopes
of 1v:3h, 2v:3h and 3v:3h respectively.
1
and R
2
with lip of the crest inlet offset by amount X
c
, Y
c
. The R
1
, R
2
, X
c
, Y
c

depend on h
a
/H
o
The approximate profile shape for a crest with vertical u/s face, negligible velocity
of approach and approach height P equal or greater than H
and u/s face inclination. (Fig. 6.10)
0
The lower part of the profile is formed as chute of selected constant slope of
2H:1V to 0.7H:1V. The origin of the chute is determined by equating the dy/dx of
Eq. (6.3) equal to the selected slope. For y =- 0.5 x
/2 may be given in the
form of a compound curve (Fig. 6.11)
1.85
H
-0.85
, dy/dx =- 0.5 * 1.85
x
0.85
H
-0.85
. Let desired chute slope =1H:1V (dy/dx =slope =1.0) and H =36 ft,
then X
T
=39.46 ft and Y
T
6.9.2 Flow Over Ogee Spillway For Ungated Condition
=81.4 ft. Thus chute starts at a horizontal distance of
39.46 ft and vertical distance of 81.4 ft from crest top.
The discharge for ungated (or gated with fully open gates) ogee spillway at the design
head H
0
Q
is as
0
= C
0
L H
0
3/2
where

(6.4)
Q
0
= spillway discharge (Q
0
C
=design discharge)
0
= coefficient of discharge (variable) at the design head H
0
(dimension
L./T). The discharge coefficient is written as C for head different from
design head. The C
0
L = crest effective length
is corrected for inclination of the u/s face of crest.
H
0
= Total design head on crest including static head and velocity of
approach head (H
0
=h
0
+h
a
h
) but excluding entry and friction losses in
the approach channel.
0
= Static head upstream from weir (Note h
0
h
do not include entrance or
friction losses in the approach channel.)
a
= velocity of approach head
6-15
Let P =depth of approach channel below spillway crest level, L
C
=spillway gross crest
length (including piers). The flow depth in the approach channel =h
0
+P. Then approach
velocity V
a
=Q / [L
C
(h
0
+P)] and velocity of approach head h
a
=V
a
2

/2g.

Figure 6.9 Spillway ogee crest profile and factors K, n for defining nape shape d/s of crest
(Source: USBR, 2001 p-374).
6-16

Figure. Factors R
1
, R
2
, X
c
, Y
c

for defining nape shape profiles u/s of crest.

Figure 6.10: Factors R
1
, R
2
, X
c
, Y
c
for definition of nape-shaped crest profile u/s of crest
(Source: USBR 2001, p-375)
6-17

Figure 6.11: Ogee crest profile defined by compound curves.

6.9.3 Effective Length of spillway
Usually a number of piers are placed to support structural components as gates, road
bridge etc. across the spillway length. Presence of piers and contraction along piers and the
abutment decrease the spillway effective length.
L =L 2 (N K
p
+K
a
) H
e
where
(6.5)
L =effective length of spillway crest excluding piers, and contraction along abutments and
piers.
L =net length of spillway crest excluding pier width =L
C
N W
L
p

C
=Total crest length including piers,
6-18
N =number of piers
W
p
K
=Width of each pier
P
K
=pier contraction coefficient
a
H
=abutment contraction coefficient
e
=total effective head on crest (Note H
e
may be equal to, smaller than or greater than
H
0
The coefficient K
for varied flow depth h and discharges Q other than design conditions)
p
is affected by: i. Shape and location of pier nose, ii. Thickness of pier,
iii. Head in relation to design head, and iv. Approach velocity. For design head, K
p
- Square nose (with corner rounded to r =0.1 of pier thickness W
for
various u/s pier nose conditions is as under:
p
- Round nose pier K
) =0.02
p
- Pointed nose pier K
=0.01
p
The shape of the d/s pier nose has no effect on the discharge, but it effect on d/s jet
disturbance, cross shock waves and roaster tail formation.
=0.00

The coefficient K
a
is affected by: i. shape of abutment, ii. angle between abutment wall
and u/s approach / axis of flow, iii. head in relation to design head, and iv. velocity of
approach. For design, head, average K
a
- Square abutment, head well at 90
as (vertical wall):
o
to direction of flow: K
a
- Rounded abutment, head well at 90
=0.20
o
to direction of flow (abutment radius r =0.15-
0.5 H
0
): K
a
- Rounded abutment, head well at <45
=0.10
o
(r >0.5 H
o
): K
a
The abutment wall continues as straight vertical wall.
=0.00
6.9.4 Coefficient of Discharge for free flow conditions
The discharge coefficient C
0
or C is influenced by depth of approach channel P below
crest level, relation of actual crest shape to ideal shape, u/s face slope, d/s apron interference,
d/s submergence. The coefficient C
o
(i.e. coefficient at design head H
0
) is related to P/H
o
P/H
as
under (Fig. 6.12):
0.0
0
0.1 0.2 0.3 0.4 0.5 1.0 1.5 2.0 3.0
C 3.087
o
3.4 3.57 3.68 3.76 3.79 3.88 3.92 3.935 3.95
Effect of u/s face slope
The discharge coefficient also varies with the inclination of the u/s face as given in
Fig. 6.13. For small P/H
o
, C increases with decreasing slope (vertical 0:1 to inclined 1:1). For
large P/H
o
C decreases with decreasing slope (for relatively flat slopes only).
Pier Nose Shapes
Abutment Shapes
6-19
Effect of varied flow depth
The coefficient C varies for heads H
e
other than design head H
o
H
as: (Fig. 6.14)
e
/H 0.1
0
0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0 1.1 1.2
C/C
0.821
o

0.853 0.878 0.90 0.92 0.939 0.957 0.972 0.987 1.0 1.013 1.026
Generally C/C
0
=0.802 +0.257 (H
e
/H
0
) 0.057 (H
e
/H
0
)
2
. Note both H
e
and H
0
include
velocity of approach head h
a

.

Figure 6.12: Discharge coefficient for vertical face ogee crest.

Figure 6.13: Discharge coefficient for inclined u/s crest face. (Source: USBR 2001 p-379)
6-20

Figure 6.14: Coefficient of discharge for different ratios of effective head to design head.
Economy of Design
Use design head (H
0
) less than the maximum expected head (H
M
) and determine
coefficient C
0
corresponding to H
0
. Generally H
0
maximum <=1.33 H
M
. Higher heads
(H
F
/H
0
>1) increases discharge coefficient and thus discharge for same spillway effective
length. Determine C/C
0
for H
M
/H
0
and C corresponding to H
M
. Determine spillway width
required to pass the design flood Q
0
corresponding to H
M
. e.g. let H
M
=35 ft. P =15 ft, let
H
0
=30 ft, P/H
0
=0.5, C
0
=3.80, H
M
/H
0
=35/30 =1.167, C/C
0
=1.02, and C =1.02 * 3.80
=3.876. But for H
0
=H
M
=35 ft, P/H
0
=15/35 =0.429, C
0
=3.773, C/C
0
=1.0, and C =
3.773. Thus selecting H
0
=30 ft lead to 2.73% higher C and higher Q. But the shape of the
profile for H
0
=30 ft will be different than for H
0
At higher head sub-atmospheric conditions develop over crest (Fig. 6.15). This sub-
atmospheric head is less than 0.5 of design head if design head >75% of maximum head.
Such small negative pressures do not induce cavitations. Unevenness of surface (abrupt
offsets, depressions, projections) will amplify negative pressure to cavitation level thus
smooth surface must be ensured.
=35 ft, and may induce small backwater
effects.

Sub-atmospheric pressure zone
H
M
=
1
.
3
3

H
0

H
0

h
a

X
c
H
0

H
0
/2
Figure 6.15: Sub-atmospheric pressure over crest for H
0
/H
M
=0.75.
6-21

Example 6.1:
Determine the maximum flood discharge for an ogee gated spillway for following
conditions: Normal conservation level = 640.24 m, Spillway crest level = 631.09 m,
maximum flood surcharge =2.0 m, Gates fully open, Number of spans =6, Span width =
11.18 m, Pier width =2.0 m, Approach channel floor level =624.993 m, length =100 m, U/s
face inclination =2H:3V. Pier have rounded nose. Abutment radius =5 m, and approach wall
at 30
o
Solution:
from flow axis. Draw discharge-rating curve. Compute spillway discharge if crest level
is at normal conservation level NCL and P =flood surcharge.
A: Gated spillway:
Step I
1. P =631.09 624.993 =6.097 m. Approx H
: Determine approximate discharge over the spillway,
M
2. L
=(640.24 631.09) +2.0 =11.15 m
C
3. Select K
=6 x 11.18 +5 x 2.0 =67.08 +10.0 =77.08 m.; L =6 x 11.18 =67.08 m.
p
=0.10, K
a
4. Let C
=0.00, then L =67.08-2(5x0.10+0.0)x11.15 =55.93
0
=4.04 (assumed), then approximate spillway Q =C L H
3/2
=4.04 x 55.93 x
11.15
3/2
=8412 m
3
/s.
Step-II
5. Now channel flow depth d =H+P =11.15+6.097 =17.247 m, channel flow area A =
d x L
: Determine head loss in approach channel, and net head over spillway crest.
C
=17.247 x 77.08 =1329.4 m
2
, perimeter =77.08 +2 x 17.247 =111.574 m,
hydraulic radius =1329.4/111.574 =11.915 m. The approach velocity in channel V
a
6. Velocity of approach head in channel h

=Q/A =8412/1329.4 =6.3277 m/s,
a
=6.3277
2
7. For approach channel let n =0.0225, then hydraulic slope is computed by Mannings
formula as: S =(V n / R
/2x9.81 =2.041 m.
2/3
)
2
=(6.3277 x 0.0225 / 11.915
2/3
)
2
=0.000744. The
approach channel friction losses h
f
8. Head loss on entrance into approach channel h
=hydraulic slope x channel length =0.000744 x
100 =0.0744 m.
e
0.1 h
a
9. Total losses in approach channel h
=0.1 x 2.041 =0.204 m
t
10. Net maximum head H
=0.0744 +0.2041 =0.2784 m.
M
=11.15 0.2784 =10.872 m.
Step-III
11. Let H
: Determine corrected flow over spillway
0
=0.75 x H
M
12. P/H
=8.154 m
0
=6.097/8.154 =0.7477. For P/H
0
=0.75, C
0
13. For P/H
=3.824
o
=0.75, C
inclined
/ C
vertical
=1.011 and C
0
14. Now H
=3.824 x 1.011 =3.866
e
=H
M
=10.872 and H
e
/H
0
15. For H
=10.872/8.154 =1.333 (at max flow)
e
/H
0
=1.333, C/C
0
=1.05 and C
0
16. Corrected effective crest length =L =67.08-2(5x0.10+0.0) x 10.872 =56.208 m
=3.866 x 1.05 =4.0593
17. Q =4.0593 x 56.208 x 10.872
1.5
=8,179 m3/s.
6-22
Step-IV: (optional) The discharge may be further corrected by adjusting head loss in
approach channel. [This depends on how close C
0
in step-4 is taken in comparison
to C
0
a) Channel d =6.097 +10.872 =16.969, A =1307.97, P =110.018, R =11.782. V
computed in step-15.]
a

=8179/1307.97 =6.2532, h
a
=1.993, S =0.000737, h
f
=0.0737, h
e
=0.199,
h
t
=0.2727. H
e
b) The discharge coefficient remain same =4.0593
=11.15 0.2727 =10.8773.
c) Effective length =67.08 2 x 5 x 0.1 x 10.8773 =56.203
d) Q =4.0593 x 56.203 x 10.8773
1.5
=8,184 m
3
18. The discharge rating for water levels other than flood level are computed in Table 6.1
and shown in Fig. 6.16. It should be noted that spillway will be operated only when
reservoir water level rises above the normal conservation level.
/s. which is close to previous results.
Table 6.1: Spillway discharge for free flow conditions.
Crest El = 631.09 m; Ch floor = 624.99 m; P = 6.097 m; H
0
= 8.175 m; C
0
N = 5, W
=3.866;
p=2.0 m; Ws=11.18 m; L
C
= 77.08 m; L = 67.08 m; K
a
= 0.10, K
p
= 0.00

B: Spillway Discharge For Crest Level =NCL
1. Approx H
M
2. L =67.08-2(5x0.10+0.0) x 2.0 =65.08 m
=2.0 m, and P =2.0
3. Let C =3.86, then approximate spillway Q =CLH
3/2
=3.86 x 65.08 x 2
3/2
=710 m
3
4. Now d =2+2 =4m, A =77.08 * 4 =308.32, P =85.08 m, R =308.32/85.08 =3.624
/s.
5. Channel V
a
=Q/A =710/308.32 =2.303 m/s, and velocity of approach head h
a
=
2.303
2
6. For approach channel let n =0.0225, R =3.624; then hydraulic slope is computed by
Mannings formula as: S =(V n / R
/2 x 9.81 =0.27 m.
2/3
)
2
=0.00048. The approach channel friction
losses h
f

=hydraulic slope x channel length =0.00048 x 100 =0.048 m.
6-23
Spillway Discharge Rating Curve
630
632
634
636
638
640
642
644
0 2000 4000 6000 8000 10000
Discharge (m3/s)
R
e
s
e
r
v
o
i
r

w
a
t
e
r

l
e
v
e
l

(
m
)

Figure 6.16: Spillway discharge rating curve for free flow conditions.
7. Head loss on entrance into approach channel h
e
0.1 h
a
8. Total losses in approach channel h
=0.1 x 0.27 =0.026 m
t
9. Net total head H
=0.048 +0.027 =0.075 m.
M
=2.0 0.075 =1.925 m. Let H
0
=H
M
10. P/H
=1.925 m
0
=2.0/1.925 =1.039; For P/H
0
=1.039, C
0
11. For P/H
=3.837
o
=1.039, C
inclined
/ C
vertical
=1.007 and C
0
12. Corrected effective crest length =L =67.08-2(5x0.10+0.0) x 1.925 =65.155 m
=3.837 x 1.007 =3.8638
13. Q =3.8638 x 65.155 x 1.925
1.5
14. Thus 12 times longer spillway is required to pass the flood for ungated spillway.
=672 m3/s.
Example 6.2:
Given Q =2000 cfs, head at crest =5 ft, u/s crest face slope =1V:1H, approach channel
length =100 ft, pier width =1.5 ft, pier nose =round, abutment radius =5 ft and approach
channel at 30 degrees from flow. Determine required spillway width with span not more than
20 ft between the piers.
Solution:
1. Let P =2 ft, P+H =2+5 =7 ft, P/H =2/5 =0.4,
2. Let C =3.7, q =Q/L =CH
3/2
=3.7 * 5
3/2
3. v
=41 cfs/ft
a
=41/7 =5.9 fps, h
a
=5.9
2
4. For approach channel let n =0.025, R =d =7, then S =[(5.9 * 0.025)/(1.486*7
/2*32.2 =0.5 ft
2/3
)]
1/2
5. Let entrance losses =10% =0.1 * 0.5 =0.05 ft

=0.0006 and channel friction losses =0.0006 * 100 =0.06 ft
Normal conservation level =640.24 m
6-24
6. Total approach channel losses =0.06 +0.05 =0.11 ft
7. Effective head =5 0.11 =4.89 ft
8. P/H0 =2/4.59 =0.41, and C0 =3.77
9. For 1:1 u/s face and P/H0 of 0.41 C
inc
/C
v
10. Now 2000 = 3.77 L 4.89
=1.018 and C =1.018 * 3.77 =3.84
3/2
, and thus required clear water way width L =
[2000/(3.77*4.89
3/2
11. For span <20 ft, No. of spans =48.2/20 =2.4, select 3 spans and number of piers =2
)], =48.2 ft
12. For round pier nose contraction coefficient =0.1, and abutment coefficient =0.0
13. Gross spillway opening L =L +2(2*0.01+0.0)*4.89 =50.15 ft, and span length =
40.15/3 =16.72 ft. Total spillway width L* =L +2 * 1.5 =53.15 ft.
6.9. 5 Gated Ogee Spillway
The ogee overflow spillway is usually provided with gates to control the flow. Thus the
gates are opened partially or fully to discharge the requisite flood flows. The opening of
spillway gates is chosen to ensure the evacuation of design inflow flood under selected flood
surcharge. For ungated spillway large crest length is required to pass the design flood due to
small flood surcharge. Gated spillway allows setting the spillway crest level below the
normal conservation level, and obtaining a large working head. Gates are kept closed as long
as reservoir water level remains below the normal conservation level. On rise of water levels
gates are opened partially or fully to obtain requisite outflow capacity.
For partial gate opening, flow is as low-head orifice flow.
Free discharging trajectory follow the path of a jet issuing from an orifice
For a vertical orifice, path of jet expressed as a parabolic equation: y =- 0.25 x
2
/H
(H =head on the center of opening)(For ungated: y =- 0.5 x
1.85
/H
0.85
For orifice inclined at angle from vertical y =x tan +x
)
2
/4H cos
2
To avoid sub-atmospheric pressure, ogee profile to conform to trajectory profile
for orifice flow (part of ogee d/s from the gate).

For small gate opening, large head result in negative pressure over spillway
profile.
For ideal ogee shape (for maximum H
o
If ogee profile is taken as orifice trajectory it results in a wider crest and reduced
discharge efficiency for full gate opening.
), negative heads remain less than 1/10 of
design head
If wider crest may be needed for structural stability, than adopt orifice trajectory
profile
Gate sill is placed 0.2 H
0
The spillway discharge is given as:
d/s of crest to minimize negative pressure due to ideal
nape profile. This causes d/s inclination of jet for small openings allowing ogee
profile for orifice flow condition to be closer to ogee profile for full open gate
condition.
6-25
Q =2/3 (2g) C
g
L (H
1
3/2
H
2
3/2
where H
) (6.6)
1
and H
2
are respectively total head including velocity head to the bottom
and top of orifice (Fig. 6.17), C
g
Spillway effective length L =L 2 (N K
is the discharge coefficient of gated
spillway, and L is spillway effective crest length.
p
+K
a
) H
Coefficient of discharge for gated spillway C
1

g
Top contraction for vertical leaf gate differs from curved inclined radial gate and
thus will slightly effect the discharge coefficient.
differs from free flow condition.
U/S profile affect bottom contraction of jet and d/s profile affect back pressure
and thus effective head over the spillway.

C
g
as function of gate opening (d =gate opening =H
1
H
2
d/H
) is given as (Fig.
6.18): Coefficient corrected for u/s face inclination.
.05
1
.1 .2 .3 .4 .5 .6 .7 .8 0.9
C
g
.73 .713 .690 .688 .677 .666 .656 .646 .634 .625
In simple form:
C
g
=0.7206 - 0.1077 d/H
1
C
d/H >0.15
g
=0.7535 - 0.5838 d/H
1
+1.7455 (d/H
1
)
2
0.05 d/H
1
0.15
H
2

H
1

d
h
a

Figure 6.17: Gated ogee spillway.
0.2 H
1

6-26
Figure 6.18: Coefficient of discharge for flow under gates.
Example 6.3
Determine discharge of gated spillway of Example 6.1 with 4.573 m (15 ft) gate
opening for maximum flood water level.
Solution
1. H
1
=H
M
=11.15 m, H
2
=H
1
2. d/H
d =11.15 4.573 =6.577 m. P =6.097 m
1
=4.573/11.15 =0.4102. For d/H
1
3. For 2:3 u/s face inclination, V
of 0.41, C from Fig. 6.14 is 0.6765.
inclined
/C
vertical
4. Crest effective length L =67.08 2(5*0.1 +0.0)*11.15 =55.93 m
=1.05. Thus corrected C =1.05*0.6765 =
0.7103
5. Approximate Q =2/3*(2*9.81)
0.5
*0.7103*55.93*(11.15
1.5
6.577
1.5
) =2389 m
3
6. Channel flow depth =6.097+11.15 =17.247 m, A =1329.4 m
/s
2
7. Channel V
, P =111.574 m, R =
11.915 m
a
=2389/1329.4 =1.797, h
a
=1.797
2
/2*9.81 =0.1646 m, h
e
=0.1 h
a
8. S =(1.797 * 0.0225 / 11.915
=
0.016 m
2/3
)
2
=0.00006, h
f
=0.00006*100 =0.006 m. and h
t
9. H
=
0.016 +0.006 =0.022 m
1
=11.15 0.022 =11.128 m, H
2
=11.128 4.573 =6.555 m, d/H
1
10. L =67.08 2(5*0.1 +0.0)*11.128 =55.952 m
=0.411, and C
=0.6762, C corrected =1.05 * 0.6762 =0.7100
11. Q =2/3*(2*9.81)
0.5
*0.7100*55.952*(11.128
1.5
6.555
1.5
) =2387 m
3
/s
6-27
12. The spillway discharge for various water level and gate opening (of d =4.573 m) are
computed in Table 6.2 and shown in Fig. 6.19. The discharge rating curve for various
water levels and gate openings are given in Table 6.3 and shown in Fig. 6.20.

Discharge Rating Curve of Partial Gate Opening
632
634
636
638
640
642
644
0 500 1000 1500 2000 2500
Discharge (m3/s)
R
e
s
e
r
v
o
i
r

W
a
t
e
r

L
e
v
e
l

(
m
)

Figure 6.19: Spillway rating curve for partial gate opening (d=4.573 m).

6-28
Table 6.3: Discharge rating curve for various gate openings d (m).
WL Full d=1 d=2 d=3 d=4 d=5 d=6 d=7 d=8
632.00 184
633.00 568 234
634.00 1079 311 518
635.00 1694 370 653 842
636.00 2397 417 759 1022 1198
637.00 3175 457 846 1167 1414 1579
638.00 4020 491 921 1288 1591 1825 1981
639.00 4921 521 985 1392 1741 2029 2251 2399
640.00 5870 547 1041 1482 1871 2203 2478 2690 2831
641.00 6858 571 1089 1561 1983 2354 2672 2936 3139
642.00 7879 592 1132 1629 2081 2485 2841 3147 3399
642.24 8179 596 1141 1644 2102 2514 2878 3193 3456
Spillway Discharge Rating Curve
0
1000
2000
3000
4000
5000
6000
7000
8000
9000
630 632 634 636 638 640 642 644
Reservoir Water Level (m)
D
i
s
c
h
a
r
g
h
e

(
m
3
/
s
)
Full
d=1
d=2
d=3
d=4
d=5
d=6
d=7
d=8

Figure 6.20: Spillway discharge rating for full and partial gate openings d (m).
Turbulent Boundary Layer
Self aeration of nape starts at a distance L
i
from the crest as : L
i
=14.7 q
0.53
15 q; (Figs.
6.21 and 6.22) where q =specific discharge (Q per unit spillway crest length). Growth of
turbulent boundary layer is as: /L =0.0212 (L/H
s
)
0.11
(L/k)
-0.10
where H
s

=potential flow
velocity head and k =equivalent roughness value. Uniform aerated flow at considerable
distance from crest. Side wall height to be determined for aerated flow conditions. Aeration
facilities are placed in the floor

6-29

Backwater affects
The ogee spillway will operate freely for the condition of (h
d
+d)/H
e
>1.7 (Figs. 6.23-24). If
this limiting condition is violated then d/s flow depth over the chute/apron will cause
backwater effects leading to lowering of the discharge coefficient and C should be corrected
as per Figs. 6.24/6.25.
Figure 6.21: Growth of turbulent boundary layer for gated ogee spillway.
Non aerated
flow region
Partially
aerated flow
region
Fully aerated
flow region
Fully turbulent
flow region
L
i

Radial gate
6-30

Figure 6.22: Boundary layer development in overflow weirs. (http://www.tpub.com)
6-31

Figure 6.23 : Effect of downstream influences on flow over weir crest. (USBR 2001, p-380)

Figure 6.24: Ratio of discharge coefficient due to apron effects. (USBR, 2001 p-381)
6-32

Figure 6.25: Ratio of discharge coefficient due to tail water effects. (USBR, 2001 p-382)

6.10 SYPHON SPILLWAYS From: Novak p-170.
Closed conduit in the form of an inverted U.
Types as: as Saddle or Drop inlet / Shaft / Volute
Parts, inlet, short upper leg, throat (control section), lower leg/barrel and outlet.
Bottom and top of throat section are termed as crest and summit, respectively.
Crest is placed about 0.2 ft (0.061 m) above the normal conservation level.
Low flows-siphon operates as weir (free flow) and throat as control. Under increasing
discharge it hydraulically behaves as weir flow (free surface). At further increase in
discharge, priming occurs and flow become pressurized; the transition between free
surface and pressure flow depends on mainly the aeration and deaeration of the siphon
crest.
Throat as rectangular with depth d and width b (area =b*d)
As u/s water level rises, flow increases, velocity increases, and flow in lower leg
exhaust air from top of siphons
On complete priming, flow is pressurized and full pipe flow begins quickly and
continues until de-primed.
Transition between free and pressurized flow depends mainly on the aeration and
deaeration of siphon crest.
As water level drop below the de-priming pipe inlet, air enters into the throat, break
suction and flow ceases suddenly.
6-33
Full flow as pipe flow and discharge given as:
Q = C
d
gH 2 A C
d
where A =throat area, H =difference of reservoir water level and tail water level past
the outlet, C
0.65 (6.7)
d
4 3 2 1
1
K K K K
C
d
+ + +
=
is discharge coefficient given as:
(6.8)
where Ks are head loss coefficients at entry, bend, exit and friction loss in the barrel
(usually 0.2, 0.42 (for radius <2.5d), 0.1).
Figure 6.26b. Arrangements for lower leg of saddle siphon spillway.

Figure 6.26a: Saddle siphon spillway.
H
Maximum reservoir water level
Normal
conservation
level
Throat
De- priming pipe
Deflectors
Tudal point
Siphon breaker vent
Summit
Crest
Water seal
Throat section
d
b
6-34

Figure 6.26c: Alternate arrangement of siphon spillway.
Figure 6.27: Drop inlet or Shaft or Volute siphon spillway.
Inlet below water level to exclude floating debris, ice and prevent vortex formation
and work as water seal against air drawing in.
The minimum height of inlet tip from approach channel bed is as h
in
=2d. This gives
inflow velocity as: v
in
=q/h
in
and velocity head h
vin
=v
in
2
Minimum hydraulic seal is as: s =1.5 h
/2g.
vin
Deflectors (tudals or steps) or reverse slope of lower leg to seal the lower leg and
provide a more positive priming
+0.152 (in m).
Sub atmospheric pressure, pipe to be rigid to enable withstand collapsing forces
To total drop of siphon limited to 20 ft to prevent absolute pressure within the conduit
approaching cavitation pressure and water vaporization.
Automatic operation.
Erratic make-and-break action of siphon results in sudden surges and stoppages of
outflow, this may cause radical fluctuations in the d/s river stages.
Priming pipe attached at summit for priming and later de-priming of barrel. De-
priming caused to admit air, break siphon action and cease flow.
More discharge than ogee for same surcharge and throat width due to extra head
difference of outlet
6-35
Multiple siphons at increasing crest levels and/or set the siphon breaker vents at
gradually increasing reservoir heads. This will more closely balance the outflow and
inflow.
Siphon spillway best suited as a service spillway in conjunction with auxiliary or
emergency spillway
Flow cross section same as throat. The crest and summit curves radius as: R
CL
=2 d,
R
C
=R
CL
d/2, R
S
=R
CL
+d/2. where R
CL
=radius of barrel centerline, R
C
=radius
of crest, R
S
=radius of summit, (R
S
=R
C
Minimum throat height d is 0.6 m (2 ft ), select a value which will provide requisite
unit discharge q;
+d), d =throat depth.
gH d C q
d
2 = , the throat width is determined as: b =Q/q.
Flow at throat section restricted to maximum allowable sub-atmospheric pressure as
(vortex equation): (USBR 2001, p-438)
c
s
C rs
R
R
R h g B Q ln 2
max
= and Q Q
max
where = efficiency coefficient, B =Throat Width, R
(6.9)
s
and R
c
=radius of summit and
crest of throat, and h
rs
=allowable maximum sub-atmospheric pressure. [Atmospheric
pressure at mean sea level h
atm
=10.35 m =34 ft]. The atmospheric pressure at any
elevation EL is corrected as h
atm
~10.35 0.00105 * EL (metric units). Usually h
rs

0.7 h
atm
(7.92 m or 26 ft corrected for the site elevation) Thus Q
max
=12.45 B R
c
ln
R
s
/R
c
for metric units and Q
max
=40.92 B R
c
ln R
s
/R
c
for imperial/fps units. The
selected Q Q
max
Main siphon waterway of constant section
.
Siphon breaker cross section area is taken as 1/24
th
H 7.92 +h
of barrel area, determine required
breaker diameter.
l
, where H =difference of elevation of throat and outlet end and h
l
The transition losses: Diverging flow =0.2 (V
=
head loss due to friction between throat and exit end
1
2
/2g V
2
2
/2g); Converging flow =0.1
(V
1
2
/2g V
2
2
/2g); Entry losses =0.2 V
2
/2g, Bend losses =0.42 V
2
/2g (for radius <
2.5 D), Exit losses =0.1 V
2
/2g, Friction losses =0.25 V
2
The outlet area same or increased to convert some of velocity head to potential head.
Then head H is as: (e =exit and T =throat)
/2g.
|
|
.
|
\
|
+ + +
g
V
g
H
T e
2 2
V
h 7.92
2 2
l
(6.10)
and area is increased less than above. At low head outlet is divergent and at high head
outlet area is convergent. See Fig. 4.18 on p-171 of Noval et al.
Example: Punmia p-454
Design siphon spillway for: Reservoir normal level =435.0 m, Siphon outlet =429.6 m, HFL
=435.85 m, Max Q =600 m
3
/s
6-36
Solution:
1. Let width b = 4 m, height d =2 m. then throat area A =2 x 4 =8 m
2. H =435.85 429.6 =6.25 m
2

3. Q =C.A(2gH) =0.65 * 8 * (2 * 9.80 * 6.25) =57.8 m
3
4. No. of barrels required =600/57.8 =10.38 10 and flow per barrel =600/10 =10
m
/s
3
5. The required H to generate selected discharge =6.785 m.
/s
6. Maximum flood level =429.6 +0.061 +6.785 =436.446 m.
7. R
CL
=2 * 2 =4 m, R
C
=4 2/2 =3 m, R
S
8. H
=4 +2/2 =5 m
atm
=10.35 0.00105 * 435 =9.893 m, h
rs
9. Q
=0.7 * 9.893 =6.925 m
max
=4 * (2*9.81*6.925)
0.5
* 3 * ln (5/3) =71.45 m
3
/s and Q <Q
max
10. Let inlet depth =2 d =2 * 2 =4 m
, thus design
OK
11. Inlet velocity =60/(4*4) =3.75 m/s
12. h
vin
=3.75
2
13. Minimum seal height =1.5 * 0.717 +0.152 =1.228 m
/2*9.81 =0.717 m
14. Bed level of approach channel =435.0 1.228 4.0 =429.772 m.
6-37
6.11 STEPPED / CASCADE SPILLWAY
The stepped spillway includes a flow control section (e.g. ogee or broad crested weir
or culvert or channel), a chute incorporating concrete steps for energy dissipation (Figs 6.28
to 6.30), and occasionally a stilling basin/roller bucket at the end of chute to dissipate any
surplus energy. This type of spillway is useful for concrete gravity dams as well as
embankment dams. Spillway chute is formed into small steps to dissipate energy of the
flowing water. The chute is formed on the downstream face of embankment or concrete dam
or at a separate location. The concrete dam will have steep chute (1V:0.75H) and
embankment dams will have flatter chute (1V:3H); flatter chutes results in better energy
dissipation. The stepped spillways are best suited for small heads and small discharge
capacity (Q ~3 m
3
The chute steps are designed to operate in a skimming flow regime. The steps
contribute to a substantial flow resistance and most of energy dissipation as a form of drag
process (Chanson 2001). Both flow acceleration and boundary layer development affect the
flow properties on the stepped chute. Flow computations are tedious. The steps affect free-
surface aeration of the flow significantly. Additional energy dissipation features (e.g. flip
bucket and plunge pool) may be needed at the downstream end to dissipate any residual
energy. Model studies are recommended for detail design of stepped spillways.
/s/m). The stepped structure can be formed by use of individual blocks
interlocked with the next element or concrete steps may be in-situ formed of concrete. The
stepped chute blocks have flexibility of allowing differential setting of the embankment. The
stepping blocks are laid over a lower drainage layer flanked by suitable geotextile membrane
to relieve uplift pressure along the chute. [See Vischer and Hager 1998. p-147-51].

Figure 6.28: Stepped spillway.
6-38

Figure 6.30: Stepped spillway with a culvert as control section. (source:
http://www.uq.edu.au/~e2hchans/pictures/russian3.jpg)

Figure 6.29: Stepped spillway for Melton overflow embankment dam, Australia (source:
http://www.uq.edu.au/~e2hchans/over_st.html)
6-39
6.12 BAFFLE APRON DROP SPILLWAY
Include a flow control section (ogee or broad crested weir) followed by a sloping
chute
Multiple rows of baffles provided on the chute to dissipate energy, thus no stilling
basin required, no tail water requirements.
Most useful where fall is small.
Chute on 2:1 or flatter slope (steeper slopes need to be model tested)
Figure 6.31: Typical baffle apron spillway. (USBR 2001, p- )
Baffle piers obstruct flow and dissipate energy
Lower end well below channel floor to prevent damage from degradation or scour.
Recommended entrance velocity as low as practical. Ideal condition (curve D Fig.
6.32) when V =(
3
gd 5) for discharge <70 cfs/ft.
Higher velocity jet air born after striking 1st baffle
Critical depth for rectangular chute D
c
3
2
/g q =
Baffle block length H 0.9D
c
0.8 D
c
Baffle block width 1.5 H and spacing <H
.
Row spacing =H slope, and inter row spacing as 2H
U/s face of baffle at right angle to chute floor
At least 4 rows of baffles for full control of flow
6-40
Other rows needed to maintain u/s established control
At least 1 row below channel bed level to protect against scour
Chute training walls 3 x H this will contain flow and most splash
Riprap at d/s end of training walls for protection of bank scour
Figure 6.32: Baffle drop spillway.

6.13 SPECIAL SPILLWAYS
For an ungated spillway with small flood surcharge large crest length needed to pass
requisite discharge. Ignoring huge cost of such long spillway structure, such space
may not be available at the site.
Alternative is to increase the total
length of crest by forming the crest
in different shapes as: semi-circular,
circular (morning glory,) Rose petal
(sunflower shape).
Other possibilities are to shape crest
as Labyrinth triangle or trapezia, U,
V, W shapes. Thus crest length
extended for small horizontal space.
6.13.1 MORNING GLORY SPILLWAY
This type of spillway is basically a
giant cement funnel. Rather than
spilling over the dam, high waters spill
Figure 6.33. Semi-circular crest.
6-41
into the funnel. Morning glory spillways are also known as bell-mouth spillways or
drop-shaft spillway.
Anti-vortex fixtures or pier guide vanes may be needed.
Crest is given an ogee shape
Channel as closed conduit or an open channel; Closed conduit combination of
vertical, inclined and horizontal segments. Conduit is placed through abutment or
embankment. Seepage collars are provided if conduit is placed in the embankment
fill. Tunnel or cut and cover to place the conduit in the abutment.
D/s energy dissipation may be required.
Some problems with nape aeration and noise.
At small discharges flow control is at crest (free flow), at large discharge flow control
section shift below the crest in the vertical tube (orifice flow) and on further increase
in discharge the lower horizontal pipe become full and flow is controlled by the pipe
full flow hydraulics (pipe flow control as pipe flowing full).
Discharge for crest control free flow condition by using ogee crest formula and using
circular discharge coefficient.
Discharge for orifice control (crest submerged) free flow condition by using orifice
flow formula.
Discharge for pipe control condition by using pipe flow formula.

Figure 6.34: Layout of morning glory spillway for Montecello dam (source:
http://www.usbr.gov/mp/berryessa/images/morning_glory_spillway_large.jpg)

6-42

Figure 6.35: Layout of morning glory spillway for Montecello dam CA USA. (a): Location,
(b): working, (c): end portal, (d): close up of end portal with ski-boarder, (e): Non
working state (note interior fins). The glory hole is located about 200 feet from the dam.
The funnel's largest diameter is 72 feet and narrows to about 28 feet. (source:
http://www.daviswiki.org/Morning_Glory_Spillway and http://www.usbr.gov/mp/
berryessa/ facts.html

Figure 6.36: Morning glory spillway during construction (source:
http://www.rovni.co.yu/en/dam.html)
6-43

Figure 6.37: Anti-vortex fins for morning glory spillway. Left: Apanas Dam, Nicaragua
(Source: http://www.therandymon.com/nicaragua/Apanas.htm) and Right: South Holston
Dam. (Source: http://cgi.ebay.com)

Figure 6.38. Morning glory spillway with circular crest.
6-44
Figure 6.39: Circular crest discharge coefficient for morning glory spillway.

Figure 6.40: Morning glory spillway (USCOE 1990)
6-45
The flow control of the spillway may be due to the crest, orifice control or channel control.
Figure 6.41: Nature of flow and discharge characteristics of a morning glory spillway
(USBR 2001, p-414)
6-46
6.13.2 LABYRINTH SPILLWAY
The spillway crest length is extended by giving a special shape to the crest (Figs. 6.42 to
6.45). The flow passes over the crest as free overfall flow. The flow past the crest is carried
through an open channel or chute with suitable energy dissipation on or at the end of the
chute.

Figure 6.42: Labyrinth spillway.

Figure 6.43: Arrangements for crest and channel layout for labyrinth spillway.
The discharge of long crested weirs for design purposes can be estimated using the following
equation:
Q =C B H
(3/2)
*(2g)^
(1/2)
where Q =discharge over the weir (m
(6.11)
3
/sec), C =discharge coefficient, B =crest length (m),
and H =height of water above the weir crest (m). Kraatz and Mahajan (1975) give the
following estimates of the discharge coefficients for various types of long crest weirs and for
two different crest types: Unrounded Crest: c = 0.31, Rounded Crest: c = 0.34.
(http://library.wrds.uwyo.edu/wrp/93-13/ch-02.html).
6-47

Figure 6.44: Labyrinth spillway crest.

Figure 6.45: Labyrinth spillway (http://projects.ch2m.com/standley_public/pres/sld017.htm)

6-48
6.14 SIDE CHANNEL SPILLWAY
In some cases only a short spillway could be provided parallel to the dam axis.
Spillway crest length then may be extended by providing crest at a reservoir side at an angle
to the dam axis where space is not limited. The spillway discharges into a side channel, turns
at right angle and flows parallel to spillway crest. The side channel transforms into the
spillway discharge channel.

Ogee crest of side spillway.

Dam axis
A
p
p
r
o
a
c
h

c
h
a
n
n
e
l

C
r
e
s
t

C
h
u
t
e

S
i
d
e

c
h
a
n
n
e
l

Figure 6.46: Side channel spillway.
PLAN
SECTION
6-49

6.15 BOX-CULVERT-CHANNEL SPILLWAY
A channel is lead from the reservoir. An inlet box (flush or raised) or a culvert may be
placed at the u/s end to work as control point and to regulate the flow. The flow in the
channel may be varying or uniform depending on the hydraulics of the channel (slope), and
d/s boundary condition. The channel outfalls over solid rocks thus d/s energy dissipation
system is not provided. Any occasional damage to d/s location may be repaired at small cost
in comparison to the cost of elaborate energy dissipation system.
Open channels are often used as the emergency spillway and sometimes as the
principal spillway for small dams. For dams with pipe conduit principal spillways, an open
channel emergency spillway is almost always required as a backup in case the pipe becomes
clogged. Open channels are usually located in natural ground adjacent to the dam and can be
vegetated, rock-lined, or cut in rock. High velocity flows and/or frequent operation can cause
severe erosion and result in a permanently lowered lake level if not repaired. Proper design of
an open channel spillway will include provisions for minimizing any potential erosion. One
way to minimize erosion is to design a flatter channel slope to reduce the velocity of the flow.
Earthen channels can be protected by a good grass cover, an appropriately designed rock
cover, concrete or various types of erosion control matting. Rock-lined channels must have
adequately sized riprap to resist displacement and contain an appropriate geotextile fabric or
granular filter beneath the rock. Guide berms are often required to divert flow through open
channels away from the dam to prevent erosion of the embankment fill. If an open channel is
used for a principal spillway, it must be rock-lined or cut in rock due to more frequent or
constant flows. Grass-covered channels should be mowed at least twice per year to maintain a
Figure 6.47: Side channel spillway.
6-50
good grass cover and to prevent trees, brush and weeds from becoming established. Trees and
brush must be removed from the channel. Erosion in the channel must be repaired quickly
after it occurs. Channel way should be kept clear of all obstructions. Deterioration due to
weathering should be repaired. (Source: http://www.in.gov/dnr/water/dam_levee/
inspection_man/pdf/part4-FactSheets/03-19OpenChannelSpillway-EarthRock.pdf)

Figure 6.48: Schematic View of Open Channel Spillway
(http://www.dnr.state.oh.us/water/pubs/fs_div/fctsht49.htm)

Figure 6.49: Open channel spillway for Tainpura dam. (Left: entrance end, Right: outfall
end). The channel is cut in medium to hard sandstone. Gabion mating is used to
protect d/s end and the bottom impact area from erosion damage.
6-51

Figure 6.50: Open channel spillway with a control weir section.
[http://members.optusnet.com.au/~richardw2/projects.html]
6.16 CHUTE SPILLWAY

6-52

Figure 6.52: Burrinjuck Dam (92 metres high, concrete gravity dam) on the Murrumbidgee
River near Yass. The chute spillway is cut in abutments. The d/s end of spillway chute
was destroyed in a flood due to erosion of the rocks.
http://members.optusnet.com.au/~richardw2/projects.html
6-53
6.17 CREST CONTROLS OF FLOW
Uncontrolled spillway release water whenever water rises above crest level.
Most dependable and eliminate need of constant attendance. No regulation by an
operator. (History: dam failed as operators could not reach the spillway to open the
gates.)
No repair/maintenance of gates
No advance lowering of water level in anticipation of flood
No blockage to floating debris.
No lowering of reservoir water level below crest level due to delayed closure of gates
for ungated spillway.
Require a much longer spillway as h is usually small. h increased by height of gates
Controlled spillways more flexible but demanding.
Require experienced operator
Require dependable availability of electricity (+back up), operating mechanisms,
operating bridges etc
Control selected based on factors as economy, adaptability, reliability, efficiency,
frequency of operation, urgency of control over short/long time width.
Types include flash boards, stoplogs, needles, bear trap gate, tilting hinged leaf gates,
drum gates, vertical or inclined rectangular lift gates, bulk heads, roller gates and
radial gates.
Backup power electricity arrangements necessary in case of power failure.
6.17.1 Flashboard, Stoplog, Needle
Individual boards beams/girders supported by vertical pins anchored to the crest.
Stoplogs flash boards span horizontally between grooves in the piers
Required adequate mechanism for removing and placing/crew
May be placed/removed manually or mechanically
Removed by failing automatically.
Cannot be restored while flow passing over the crest
Repeated replacement costly
Most suitable for closely spaced piers
Most suitable for infrequent use
Needles supported at crest and by a top beam

6-54

Figure 6.50: Stoplog. Top: rear view with locking arrangements. Bottom: front view.
6-55

Figure 6.51: Stoplog lowering. Note the pier slot in top picture.

6-56

Fig 6.52. Lift gate (top ) and roller train (right)
6.17.2 Vertical Lift Gates
Span horizontally between guide grooves in
supporting piers; Width 5 to 15 m
Made of wood/concrete but mostly steel.
Placed vertical or inclined and seal at bottom &
sides on u/s side
Placed in slots on the pier.
Opens upward.
Sliding, fixed wheal, stony gate/roller wheal train fixed on piers as support system.
(pic)
Lifting by overhead hoist mechanism (manual or electric)
Range of heads 1 to 15 m
Slots recessed/beveled by slope 20:1 of d/s side to reduce cavitation.
6.17.3 Drum Gate [Novak p-204,5,6,7]
Skin plate profile of ogee
Hinged at u/s or d/s (usually u/s)
In open form gate hides in housing
No lifting gear
Ease of passing ice, debris over the gate.
Water discharges over the gate for small flows.
Automatic control with optional manual operation is provided for raising and
lowering the gates. When in raised position a gate may be held continuously in that
position by the pressure of water against its bottom, until the water surface of the
reservoir rises above a fixed point, when by action of a float the gate is automatically
lowered. As the flood peak decreases, the gate can be operated manually so as to
Drum gates rotate backward, lowering
their tops and permitting a measured flow over the top of the gate.
6-57
gradually empty the flood control portion of the reservoir without creation of flood
conditions down stream.
Hoower dam each spillway has four steel drum gates, each 100 feet long and 16 feet
high. These gates can't stop the water going into the spillway, but they do allow an
additional 16 feet of water to be stored in the reservoir. Each gate weighs
approximately 5,000,000 pounds. (
http://www.usbr.gov/lc/hooverdam/History/essays/spillways.html)

Figure 6.53 : Roller mounted lift gates assembly and roller and seal details (source: http:
//www. armtec. com/ catalogue/Water_Control/Roller_Gates.pdf)

Figure 6.54: Drum gate (http://www.cee.mtu.edu/~watkins/ ce4630/ presentations/ gates.pdf)

6-58

Figure 6.55: Radial gate and hoisting for Mangla
dam.
6.17.4 Radial Gates (Tainter Gates)
Made of steel or steel +wood for small size.
Segment of a cylinder formed by skin plate and horizontal and vertical support frame.
Gate held by radial struts pivoted at the pier by a pin
Struts moved by a hoisting mechanism.
Entire thrust of water taken by trunion pin
Small moment needed to lift raise/lower gate.
Gate counter weighted to ease in operation
Hand operation practical on small installations
Small hoisting forces easy
automation
Does not need slots in the pier or
bottom.
Multiple gates operated
successively
Gate sealing on edges (bottom,
sides, top)
Gate seat at 0.2H d/s from crest.

6.17.5 Flap/Tilting Hinged Leaf Gates
Gate hinged at bottom d/s of crest
Lifting by a hydraulic push lever
When lowered, match with crest profile and gate and lifting mechanism fit within a
designed recess.

Figure 6.56:Flap gate with d/s jack. Source:
(http://www.dur.ac.uk/~des0www4/cal/dams/spill/f4.htm)
6-59
6.17.6 Roller Gate
Cylinder of large dia (equal to opening)
Gear teeth at edges and inclined rack with gear teeth on inclined rock at piers
Gate rolled up by hoist/cable
A cylindrical segment at lower portion of dam fully closes the spillway opening
Roller gates are large cylinders that move in an angled slot. They are hoisted with a chain
and have a cogged design that interfaces with their slot

6.17.7 Fusegate:
Fusegates are mechanical equivalent of
fuse plug. (Carroll ----). Multiple gates are
installed on a spillway crest approximating the
shape of a labyrinth weir. For moderate water
heights, the water spills over the fuse gate as over
a labyrinth weir. When reservoir level exceeds a
predetermined value, the fusegate overturns by
rotating about its d/s edge. Each gate is set to
overturn at progressively higher reservoir
elevation. At design discharge, all gates tip and
entire crest length is available to pass the flow.

Figure 6.58: Labyrinth crested fusegates
at the Terminus dam USA.

Figure 6.59: Working of fusegate (source: www.hydroplus.com)

Flashboards - Individual lengths of timber, concrete, or steel anchored to the crest of a spillway to
raise the retention water level but which may be quickly removed in the event of a flood either by a
tripping device or by deliberately designed failure of the flashboard or its supports. To provide
adequate spillway capacity, the flashboard must be removed before the floods occur, or they must be
designed or arranged so that they can be removed while being overtopped
Stoplogs - Wooden boards, timber, or steel beams or panels spanning horizontally between slots or
grooves recessed in the sides of supporting piers placed on top of each other with their ends held in
6-60
guides on each side of a channel or conduit providing a temporary closure versus a permanent
bulkhead gate.
Trash Rack - A screen located at an intake to prevent the ingress of debris. A trash rack is typically a
structure of metal or reinforced concrete bars located at the intake of a waterway, designed to prevent
entrance of floating or submerged debris of a certain size and larger.
Bulkhead GateA gate used either for temporary closure of a channel or conduit to empty it for
inspection or maintenance or for closure against flowing water when the head differential is small,
e.g., a diversion tunnel closure. Although a bulkhead gate is usually opened and closed under nearly
balanced pressures, it nevertheless may be capable of withstanding a high pressure differential when
in the closed position.
Flap GateA gate hinged along one edge usually either the top or bottom edge. Examples of bottom-
hinged flap gates are tilting gates and fish belly gates, so-called due to their shape in cross section.
6-61
6.18 DISCHARGE CHANNEL OR CHUTE
6.18.1 Channel features
Discharge channel or chute receives flow from the crest.
Discharge channel connect crest to stilling basin.
Discharge channel/chute as tangent to crest profile or with a concave curve beginning
at location where h
d
+d/H
e
>1.7 where d is flow depth, h
d
is discharge head and H
e
Flows passes from critical flow at crest to supercritical at discharge channel
is
effective head over the crest [else the backwater affect and weir C will decrease)
No flow jump allowed in discharge channel, thus flow must continue at supercritical
velocity
The flow may remain uniform or accelerating or decelerating (depend on chute slope)
Flow specific energy =d +h
v
Velocities and depths fixed by selecting
grade and flow area
=(total head drop losses in u/s portion)
Bernoulli theorem conservation of
energy follows.
Z +d
1
+h
v1
=d
2
+h
v2
+h
L
h
(Fig 6.60)
L
s =average friction slope by Manning Eq.
=s L =friction head loss
s =(q n/1.486 R
2/3
)
h
2

L
For concrete lined channel n 0.017 for depth calculation, n 0.008 for specific
=maximized for evaluating depth of
flow and minimized for evaluating energy
content of flow.
energy calculations.

6.18.2 Discharge channel Profile
Profile selected to conform to
topography and foundation conditions
Straight segments joined by convex or
concave vertical curve
Avoid sharp horizontal or vertical
curves
For horizontal curve provide super elevation
Convex curves to maintain minimum +ve pressure
Concave curves to minimize dynamic force
d
1

V
2

Z
V
1

d
2

L
h
V1

h
V2

Figure 6.60: Channel energy balance.
Concave
curve
Convex
curve
Section
Figure 6.61: Convex and concave

6-62
Convex curve: - y =x tan +x
2
/ K[4(d+h
v
)Cos
2
] where =slope angle of
floor at beginning of the curve, d =flow depth h
v
=velocity head, constant K 1.5
(to assure +ve contact), USACE 1990 defined convex curve as: - y =x tan +(g
x
2
) / {2(1.25 V)
2
Cos
2
Concave curvature- radius: R 2qV/P or =2dV
} based on theoretical equation of a free trajectory issuing
from an inclined orifice.
2
/P, where R =minimum radius in ft,
q =unit discharge cfs/ft, V =velocity at entrance fps, d =flow depth, P =normal
permissible dynamic pressure exerted on floor (P 100 lb/ft
2
) allowed by material
properties. In no case R should not be less than 10 d. Reverse curve of R 5d
(i.e. R not less than 5d) at lower end of ogees is acceptable.

Figure 6.62: Discharge channel energy.
6.18.3 Convergent and divergent chutes.
Chute may be widened or narrowed to vary unit discharge conforming to energy
dissipation system requirements.
Straight walls preferred as convergence and divergence will induce cross
currents/waves.
The inclination angle limited by: F 3 1 tan = where F is Froude number at
beginning of transition inclination. [ gd V F = where V and d is average of values
at beginning and end of transition]

6.18.4 Cavitation and air entrainment
Small chute surface irregularities can cause cavitation in the event of high velocity
flow.
Air is admitted at the chute bottom to decrease cavitation potential.
Air entrainment will cause bulking of flow depth, thus higher chute walls are
required.
1
3F
Flow
6-63
6.18.5 Channel Free Board
Depend on surface roughness, wave action, air bulking, splash and spray (depends on
d and flow energy head)
Empirical relation: Free board (feet) =2.0 +0.025 v d
1/3
6.18.6 Forces on Spillway Channels
.
Water weight against floor and walls
Walls also take active earth pressure due to backfilling
Design side walls as retaining walls
Floor subjected to water hydrostatic load
Boundary drag forces due to frictional resistance
Dynamic forces due to flow impingement
Uplift pressure due to sub atmospheric pressures along the boundary
Uplift pressure caused by leakage through joints/cracks
Uplift pressure due to leakage and under seepage along bottom surface from reservoir
water.
Uplift pressure due to high groundwater conditions near tail end
Floor/walls subject to temperature expansion/contraction, freezing/thawing.
Open to weathering and chemical deterioration e.g. boulders from adjacent hill falling
onto wall/floor.
Flowing debris can cause damage to floor and walls
Effects of settlement & buckling
Provide under-drain, anchors, cutoffs, temperature +other reinforcement to stabilize
floor
Provide water stop at all joints
Perform force analysis for worst conditions
Gallery below crest for drainage and/or grouting
Gravel layer below floor for impervious foundation
Joints made with lower slab lip below upper slab lip-to avoid high build up of
dynamic head at the joint. The dynamic head could introduce water at high pressure
under the slab, which would result in uplift or dislodgement of floor panels. Enough
reinforcement to make the two slabs move/settle equally, if any
Cutoff provided at u/s end of spillway to minimize seepage and uplift pressures
Cut off at d/s end to safeguard against erosion and undermining.
Intermediate cutoff may also be provided to lengthen seepage path.
Provide lining or riprap on floor of inlet supply channel to protect against any scour.
6-64
6.18.7 Channel Loss (USBR p-401-557
Channel head loss h
f
depend on chute length and flow velocity v
1
(or h
v
2
3 / 4
3 / 5
486 . 1
8
) 2 ( 3
|
.
|
\
|
=
n
q
h g L
h
v
f
)

Where q is unit discharge, L is channel length, h
v
=V
2
/2g, but v is unknown and d is
unknown. Generally h
v
=(1 - )H
o
Basin directly d/s from crest, chute length <hydraulic head. consider no loss =0
for rough determination of basin depth
Channel length between 1-5 times hydraulic head. Consider 10% loss of head, =0.1
Channel length >5 times of hydraulic head consider 20% of loss =0.2
6.18.8 Joints, under drainage and anchoring
These are shown in Figs. 6.63 and 6.64.

Figure 6.63: Floor lining and drains on firm foundation.

Figure 6.64: Transverse joints in chute lining with anchors.
6-65
6.19 ENERGY DISSIPATION
Energy dissipation system required to cater for energy of spillway flow water. Typical
installations include:
Stilling basin; Roller bucket; Flip bucket or ski jump; Stepped spillway; Baffle apron
spillway. A suitable plunge pool is required for roller bucket and flip bucket.
Choice depends upon peak flow rate, differential head, site conditions, etc.

6.19.1 Stilling Basin
The spillway crest flow taken to a stilling basin by discharge channel or chute
Supercritical flow in chute enters the stilling basin where a hydraulic jump forms and
flow is converted to a subcritical flow
Excess energy lost by turbulence and intermingling of flow on hydraulic jump
For unit discharge
Q =C L H
c
3/2
or q =C H
c
3/2
and H
c
=(q/C)
2/3
Setting basin invert level is iterative process.
(6.21)
Select initial stilling basin floor level below the tail water level
Energy at inlet into stilling basin (Fig. 6.65)
E
1
=crest height above stilling basin floor +H
c
friction losses in chute =d
1
+h
v1
Ignoring losses:
=
reservoir water level apron level (for no losses in the chute).
2
1
2
1
1
2
1
1 1
2 2 gd
q
d
g
V
d E + = + = (6.22)
Pre-jump velocity - supercritical
Find pre-jump depth d
1
E
by trials by using Eq. 6.22. as
1
=d
1
+C/d
1
2
[; C =q
1
2
Find pre-jump velocity: v
/2g] (6.22b)
1
=q/d
1
(6.23)
Crest
height Z
H
C

Loss in channel
d
1

h
v1

E
1

E
2
d
2

d
C

V
C
2
/2g
y
2

Figure 6.65: Symbols for spillway hydraulic jump.
Apron level
6-66
Froude No. F =
1 1
d g / v or
3
1
2
d g
q
F = (6.24)
Determine post jump depth d
2

as: [also see Fig. 6. ]
| |
(
(
+ = + = 1
8
1
2
1 8 1
2
3
1
2
1 2
1
1
2
d g
q d
F
d
d (6.25)
Compare d
2
with tail water depth y
2
Check basin invert level =tail water level d
for q.
The basin invert may be at, below or above the river bed level. But the post jump
water level in the basin must be equal or above the river water level.
2

If computed and initially selected basin invert levels match, design is OK else redo
the design with computed invert level in the last trial.
Redo the design for other discharges from zero to q and determine invert basin for all
flow conditions.
Select the lowest invert level of all flows.
Determine post jump velocity as: v
2
=q/d
2
Stilling basin floor sloping or level; a slope of less than 1V:6H is considered as level.

Efficiency of stilling basin to dissipate energy
as 20 to 60% for various conditions.
Eff =(E
1
-E
2
)/E
1
( )
2 1
3
1 2
4 d d
d d
~ (6.26)
For F>2, Eff ~ ( )
2
/ 2 1 F (6.27)
Length of hydraulic jump Lj as:
Lj ~8.0 d
1
F
1
for F
1
Lj ~3.5 d
>5 and
1
F
1
1.5
Chute blocks, baffle blocks and end sill added
for additional energy dissipation
for F between 2 and 5
Jump formation and stilling basin design
depend on Froude Number and tail water depth
D/S flow condition
(i) JHC TWC, (ii) JHC lower than TWC for
all q, (iii) JHC above than TWC for all q, (iv) JHC lower than TWC at small q, above
at large q, (v) JHC above than TWC at small q, lower at large q [JHC =post jump
height, TWC =tail water depth]
F = 1.7 to 2.5 Form A pre-jump stage (Fig. 6.66)
2.5 4.5 B Transition stage
4.5 9 C Well balanced jump
A: F 1.7 to 2.5
B: F 2.5 to 4.5
C: F 4.5 to 9.0
D: F >9.0
Figure 6.66: Post jump conditions.
6-67
>9 D Effective but rough jump (rough surface carried
d/s of basin into exit channel)
Figure 6.67: Velocity distribution of post jump flow in stilling basins.
(www.tpub.com/contents/ coastalhydrauliclaboratory/100-b/index.htm)
Basin Design
F < 1.7
d
2
2 d
1
1.40 d
v
c

2
0.5 v
1
0.70 v
No special basin or use Type I basin
c

Jump length 4d
F 1.7 to 2.5 (Fig. 6.66 A)
2

Type-I basin (or No special basin), results in weak jump
No baffles or sills
Basin sufficiently long L =4d
2
L 4.75 d
F 2.5 to 4.5 Transition flow stage (Fig. 6.66 B)
2

True hydraulic jump does not fully develop (oscillatory jump)
Stilling basin less effective in dissipation due to wave action not being controllable by
usual basin devices.
Energy loss efficiency =20 48%
Waves generated persist beyond end of basin
Type IV basin relatively effective
6-68
Auxiliary wave dampeners, suppressers provided for smooth d/s flow
Water depth in basin to be 10% larger than d
2
(d
2
*
1.1 d
2
Plan to alter inlet Froude Number of this range (widen basin etc).
)
F 4.5 to 9 (Fig. 6.66 C, D)
Adjust E1 to account for friction losses in chute / discharge channel
Forms a true hydraulic jump (steady jump)
Energy loss efficiency 48 to 68% without devices; increases with devices
For V
1
For V1 >50 fps, use Type-II basin.
<50 fps, provide Type-III basin (Chute slope ~0.6-0.8H:1V).
Type-II basin has basin length greater than for Type-III basin.
Chute block, impact baffle block +end sill stabilize jump and lead to short basin
length
Chute block height d
1
, spacing and width =d
Minimum y
1

0
~d
2
, L 2.68 d
2
Baffle block height 2.2 d
.
1
located at 0.8 d
2
from chute. End sill height =1.5 d
Cavitation possible due to baffle blocks this limited velocity (V <50 fps)
1

For V>50 fps or no baffle blocks, provide Type-II basin
y
o
1.05 d
2
;

L 4.23 d
2
F > 9 (Fig. 6.66 D)
(dentated sill)
Use Type-II or III with additional d/s bank protection against d/s waves
Use double / multiple basins at different levels.
Stilling Basin Free Board
Wall not to be over topped by surges, splashes and spray and wave action
Free board = 0.1 (V
1
+d
2
Cascade stilling basins
)
For certain conditions one stilling basin at the end of discharge chute may not provide
adequate energy dissipation. The more than one stilling basins are provided in cascade to
enhance the energy dissipation. Mangla dam and Simly dam are equipped with two stilling
basins. Vittal and Porey (1987) describe the design of cascade stilling basin. Bakhtyar et al.
2007 describe an approach to optimal design of cascade stilling basins.

Example6.4:
Crest level =2070 ft, Tail water level in exit channel at design discharge =1925 ft, Spillway
discharge =1,55,000 cfs, chute width =200 ft, H
C
Solution:
=36.5 ft
q =155000/200 =775 cfs/ft,
6-69
First trial
Let d
2
Ignoring losses in chute: E
=60 ft, then stilling basin level =1925 60 =1865 ft,
1
E
=(2070-1865)+36.5 =241.5 ft. (Alternatively some
losses as 10% may be considered in the chute depending upon its length etc)
1
=d
1
+q
2
/2gd
1
2
; 281.5 =d
1
+775
2
/(2*32.2*d
1
2
) =d
1
+9326.5/d
1
2
By trials: (i) For d

1
=6.0 ft, RHS =265.06 -- not ok, (ii) For d
1
=6.1 ft, RHS =256.7
-- not ok, (iii) For d
1
=6.2 ft, RHS =248.8 -- not ok, (iv) For d
1
=6.25 ft, RHS =
245.5 -- not ok, (v) For d
1
=6.3 ft, RHS =241.3 -- ok; thus d
1
v
=6.30 ft.
1
647 . 8
30 . 6 2 . 32
01 . 123
=
= =
gd
V
F =775/6.3 =123.01 fps and
d
2
=6.3/2 [(1 +8 * 8.647
2
)
0.5
1] =73.87 ft. and y
0
=1.05 d
2
Required tail water level =1865 +77.6 =1942 ft. which is higher than TWL of 1925
ft; design to be revised by lowering apron level.
=1.05 * 73.87 =77.6
ft
Second trial
Let basin level =1925 77 =1848 ft, E
1
E
=(2070-1848)+36.5 =258.5 ft
1
=258.5 =d
1
+775
2
/(2*32.2*d
1
2
) =d
1
+9326.5/d
1
2

1
=6 ft, RHS =265.06 -- not ok, (ii) For d
1
=6.1 ft, RHS =256.7 --
not ok, (iii) For d
1
=6.08 ft, RHS =258.4 -- ok; thus d
1
v
=6.08 ft.
1
11 . 9
08 . 6 2 . 32
46 . 127
=
= =
gd
V
F =775/6.08 =127.46 fps and
d
2
=6.08/2 [(1 +8 * 9.11
2
)
0.5
1] =75.35 ft. and y
0
=1.05 d
2
Required tail water level =1848 +79.12 =1927.12ft. which is higher than TWL of
1925 ft; design to be revised
=1.05 * 75.35 =79.1
ft
Third trial
Let basin level =1925 79 =1846 ft, E
1
E
=(2070-1846)+36.5 =260.5 ft
1
=260.5 =d
1
+775
2
/(2*32.2*d
1
2
) =d
1
+9326.5/d
1
2

1
=6.07 ft, RHS =259.2 -- not ok, (ii) For d
1
=6.06 ft, RHS =
260.02 -- ok; thus d
1
v
=6.06 ft.
1
155 . 9
06 . 6 2 . 32
89 . 127
=
= =
gd
V
F =775/6.06 =127.89 fps and
d
2
=6.06/2 [(1 +8 * 9.155
2
)
0.5
1] =75.49 ft. and y
0
=1.05 d
2
Required tail water level =1846 +79.26 =1925.26ft. which is ~TWL of 1925 ft OK
=1.05 * 75.49 =
79.26 ft
v
2
=q/d
2
Use basin of Type-II.
=775/75.49 =10.27 fps.
6-70
From Fig. 6.70, jump length L/d
2
Free board =0.1 (v
=4.3, thus basin length L =4.3 * 77.25 =332 ft.
1
+d
2
Basin wall height =d2 +FB =79.26 +20 =99.26 ft ~100 ft.
) =0.1(127.89 +75.49) =20.33 ~20 ft.
(design to be completed for L, h1, h2 )
6-71

Figure 6.68: Type-IV stilling basin. (USBR, 2001 p-398)
6-72

Figure 6.69: Type-III stilling basin (USBR, 2001 p-399)
6-73

Figure 6.70: Type-II stilling basin (USBR 2001, p-400)
6-74

Figure 6.71: Stilling basin depths versus hydraulic heads for various channel losses. (USBR
2001 p-402 Fig. 268)
6-75

Figure 6.72: Tail water reduction due to end-sill.
6-76
Jump Depth vs Tail Water Depth
Tail water depth TWD (y
0
5 conditions
) determined from flow rating curve of channel d/s of
stilling basin
1. y
o
= d
2
2. y
for all q
o
> d
2
3. y
for all q
o
< d
2
4. y
for all q
o
> d
2
for small q and y
o
>d
2
5. y
for large q
o
> d
2
for small q and y
o
<d
2
Basin floor level selected to provide jump depths which most nearly agree with the
tail water depth at all discharge rang.
for large q.
Basin depth selection corresponds to conjugate depth needed for a perfect jump
If tail water depth less jump moves ahead onto stream bed (sweep out) of the basin
TWD more, jump recedes and drowns
Protection for various conditions
1. Ideal condition - jump forms at toe of spillway chute
Simple horizontal apron of length 5 x (d
2
-d
1
2. Jump completely submerged (y
)
0
>d
2
- No visible standing waves, little energy dissipation
)
- Use a sloping apron. Jump form on sloping glacis
- Or use roller bucket
- Provide end sill/baffles to dissipate energy by impact and friction
3. y
o
<d
- Basin floor is deepened below river bed by (d
2

2
-y
o
- Baffles provided
)
- OR provide a low secondary weir and baffles
1. y
o
<d
2
at small q and y
o
>d
2
- Sloping apron partly above and partly below river bed
at high q.
- Jump forms over sloping apron for low q
- Jump at level basin at high q
- Provide chute blocks, baffles, end sill
5 y
o
>d
2
for small q and y
o
<d
2

for large q.
6-77
Design a stilling basin for an overflow dam for max discharge of 2000 cfs/ft. crest elevation =
1000 ft, tail water as 985, 981, and 978 for Q of 2000, 1000, and 500 second-ft. River bed
elevation =970 ft.
Solution
2. Q =2000 cfs, Let L
C
=20 ft, then q =2000/20 =100 cfs. Head over crest H
C
=
(q/C)
2/3
3. h
=8.7 ft [for C=3.9]. Reservoir water elevation RWL =1000+8.7 =1008.7 ft.
v1
4. Tail water velocity =(2g x 23.7)
=RWL TWL =1008.7 985 =23.7 ft (assuming no losses in chute)
1/2
=(2 x 32.2 x 23.7)
1/2
5. Tail water depth =q/v =100/39.1 =2.56 ft
=39.1 fps
6. F at tail water =39.1 / [(32.2 x 2.56)
0.5
7. Conjugate depth d
] =4.3
2
[from Fig. 6.71 for q =100, H
T
8. Required apron elevation =985 16.7 =968.3 ft
=23.7 ft, alpha =0] =16.7 ft
9. Specific energy at u/s end of basin E
1
10. E
=1008.7 968.3 =40.4 ft
1
=40.4 =d
1
+q
2
/2gd
1
2
=d
1
+100
2
/(2*32.2*

d
1
2
) =d1 +155.28/ d
1
11. By trials: For d
2

1
=2.01, RHS =40.44 40.4, thus d
1
12. V
=2.01 ft.
1
=100/2.01 =49.75 ft/s. F =V
1
/[(g d
1
)
0.5
] =49.75 / [(32.2 x 2.01)
0.5
13. Required is Type-III basin
] =6.18 ~6.2
14. d
2
=d
1
/2[(1+8F2)
0.5
1] =2.01/2[(1+8x6.18
2
)
0.5
15. Required basin invert =985 16.59 =968.41 ft. which is same as initial trial.
1] =16.59 ft
16. Basin length =L =2.48 x 16.6 =41.17 ft 42 ft.
17. Basin free board =0.1(V
1
+d
2
18. Basin wall height =16.6 +6.64 =23.25 ft
) =0.1(49.75 +16.6) =6.64 ft
19. Chute block height h
1
=d
1
20. Baffle block height h
=2.0 ft
3
=1.82 x d
1
21. End sill height =1.65 d
=1.82 x 2.01 =3.66 ft
1
22. Chute block width =h
=1.65 x 2.01 =- 3.32 ft
1
23. Baffle blocks: w =0.75 h
=2.0 ft; Spacing =width =2 ft; Numbers: (2+2)*N=20.
N=5
3
24. Distance of baffle blocks from chute =0.8 d
=0.75 x 3.66 =2.75 ft, Spacing =width =2.75 ft;
Numbers : (2*2.75)N=20, N =3.64 4, then width = 20/(4*2*w), w =2.5 ft,
and spacing =w =2.5 ft.
2
25. Post jump velocity V
=0.8 x 16.6 =13.28 ft.
2
=q/d
2
26. E
=100/16.6 =6.02 fps
2
=d
2
+V
2
2
27. Energy loss efficiency =(E1 E2)/E1 =(40.4 17.16) / 40.4 x 100 =56.4%
/2g =16.6 +6.022/2*32.2 =17.16 ft
28. Remaining energy will be lost due to chute blocks and baffle blocks.

6-78
Stilling Basin Design
Tail water energy =Reservoir water level tail water level +h
Velocity at tail water level =v
v1

1
=2gh
q =unit discharge
v1

Depth of flow at tail water level =q/v
1
=d
Froude No. at tail water level =F
t

1
=v
1
/gd
Specific energy at tail water level =d
1

1
+h
Conjugate depth =d
v1

Tail water level =river bed level +y
2

Required apron elevation =Tail water elevation d
o

Specific energy at u/s end of basin H
2

E
u/s depth d
=Required water level apron elevation (no loss)
1
= H
E
=d
1
+V
1
2
= d
/2g
1
+q
2
/2gd
1
u/s velocity at floor level
2

V
1
= [(H
E
-d
1
) x 2g]
Froude No. F =V
0.5

1
gd
Select lowest apron level for all discharges.
1

6.19.2 ROLLER BUCKET/ SUBMERGED BUCKET DISSIPATER
TWD too great for good jump, provide roller bucket
D/S end as solid or slotted
Two rollers form
- in the bucket (counter clockwise) bucket roller
- Ground roller (clockwise) occur d/s of bucket
Shape as defined by the model figure.
Design involves selection of bucket radius R and invert elevation to match with tail
water level for all discharges, basin height to contain roller surge.
Design is verified / improved by model tests for all discharges.
Solid
Velocity jet flow deflected upward from lip
High boil in bucket and violent ground roller
Ground roller pull loose materials back to lip, tip and bucket abrasion
abrasion on bucket surface due to swept bed material
eddy currents carried on the river causes bank sloughing.
Provide good performance with wider range of TWD
6-79

Figure 6.73: Roller bucket. Left: details, Right: Hydraulic action.

Slotted
Velocity jet leave lip at flatter angle
Small jet part reach surface
Less violent roller and smoother flow
Slotted provide better energy dissipation
- Over a small range of TWD
- To be preferred over solid if TWD allows
- For deficient TWD, surface roller swept out of bucket by incoming jet
high velocity flow d/s
- At more depth, sweep out and submergence of surface roller alternatively
prevail.
- Excessively deep TWD-jet become depressed and dives to the river
bed/dissipation very loss.
Radius of curvature, T
min
, T
max
Calculate v
and TWD from Fig. 6.75 (Fig. 274 USBR P. 407)
1
, h
v1
, d
t
, and E
t
(E
t
=d
t
Find R/E
+hv1) at tangent point where chute coincides
with tangent to bucket radial profile.
t
and R from figure for known F(d) or else as: R
min
=51.9x E
t
/ F
t
1.64
Find T
.
min
, T
max
Find lowest bucket invert level =TWL - T
from figure (a,b)
Find highest bucket invert level: =TWL T
max

min

6-80
Select a value of invert elevation between the lowest and highest levels determined
above.
Slotted roller bucket. Find R
1
T
min
, T
max
Calculate tailwater hv
from Fig. 6.75
1
v
t
, d
t
, E
From R/E
t

d
vs F find R/E
t
Find min.tail water limit from F vs H
and R
E
(Tmr/d
t

)

Figure 6.74: Flow characteristics of slotted bucket.
6-81
Figure 6.75 : Limiting criteria for roller slotted bucket design. (USBR 2001 p-407)
6-82

Figure 6.76: Chart for roller bucket roller height.
6-83

Figure 6.77: Chart for Roller bucket surge height.
6-84

Figure 6.78: Roller bucket energy dissipation sample calculations for high overflow dams.
[Source:www.tpub.com/contents/coastalhydrauliclaboratory/100-b/index.htm]
Example:
Design a roller bucket for given data. Q=2000 cfs, crest length L
c
Solution:
=20 ft, q =100 cfs/ft,
Reservoir flood water level =1008.7 ft, River water level =985 ft.
1. Let bucket invert level =968.3 ft, E
1
2. From E
=1008.7-968.3=40.4 ft
1
=d
1
+v
1
2
/2g d
1
=2.01 ft and v
1
=q/d
1
3. F =49.75/(32.2*2.01)
=100/2.01 =49.75 fps
0.5
4. Now R =5.19 * 40.4 / 6.2
=6.2
1.64
5. From graph R/E
=10.5 ft;
1
6. Let select R =12 ft. R/E =12/40.4 =0.297 ~0.30
=0.275 and R =0.275*40.4 =11.11 ft.
7. For F =6.2 and R/E =0.30, T
min
/d
1
=9.5 and thus T
min
=9.5 * 2.01 =19.1 ft and
highest invert level =985 19.1 =965.9 ft
6-85
8. For F =6.2 and R/E =0.3, T
max
/d
1
=13.0 (for case-II bed 0.05R below apron tip)
and thus T
max
9. Select invert level between two limiting values as: Invert =963 ft. This value is
slightly lower than last assumed value. Thus a new trial may be performed to obtain
better values.
=13.0 * 2.01 =26.13 ft and lowest invert level =985 26.13 =958.87
ft.
10. h
1
=1008.7 963 =45.7 ft; h
2
=985 963 =22 ft, h
2
/h
1
11. P =q*10
=22/45.7 =0.48,
3 2 / 3
h g / =100*1000/(32.2
0.5
* 45.7
3/2
12. From figure 6.76 for P=57 and h
) =57
2
/h
1
=0.48, h
b
/h
1
=0.33 h
b
13. From figure 6.77 for P=57 and h
=0.33 * 45.7 =15.08 ft
b
/h
1
=0.33, h
s
/d
1
=0.57 h
s
=0.57 * 45.7 =26.05 ft

Figure 6.79: 95 m high Platanovrisi RCC dam, Greece with a ski jump.
(Source: http://www.industcards.com/hydro-greece.htm)
6.19.3 FLIP BUCKET / SKI JUMP+ PLUNGE POOL (Novak P 185-6)
Flip Bucket
The end of chute is formed into a bucket of radius R and lip exit angle
Called as flip bucket for > 0, it is called as ski jump if = 0.
Design if geological and topographical conditions permit
Tailor made for a project and designs developed with aid of models
6-86
Jet direction changed without changing flow conditions (d, v) and flow mingling
Jet leaving the lip fall into a plunge pool; jet splinters at lip tip.
Air bubbles are drawn into jet and flow is well aerated
Additional air sucked into at time of the impact into d/s pool
Energy dissipation due to compression of air bubbles on impact
Key design parameters: approach flow depth and velocity, bucket radius and lip angle
, bucket height h (jet fall Y), jet horizontal throw X
H
Minimum bucket radius as:
, jet impact angle , scour depth
of plunge pool D.
d P
d v
R
T

=
2
where = mass den sity of water, =
specific weight of water, v and d =velocity and depth of flow at entry into bucket, P
T

=theoretical unit maximum load on the bucket invert (USACE 1990). Adopt suitable
value.
Free jet trajectory of inclined orifice as: y =- x tan - x
2
/K[4(d +h
v
) cos
2
]
with K ~0.9, x =horizontal distance from lip, y =vertical distance below lip, d and
h
v
USACE 1990 provide jet throw as: X
=depth and velocity head of flow at the bucket exit, [DHAH, p 16.47]
H
=h
v
sin 2 +2 cos [h
v
(h
v
sin
2
+Y)]
1/2
where
Y is vertical fall below bucket lip to the water surface, h
v
If water level coincides with lip level (Y=0), Jet throw length as L =v
=velocity head at lip
2
A jet angle of = 45 result in maximum trajectory distance.
/g sin 2 .
Jet strike angle = = tan
-1
[sec (sin
2
+ Y/h
v
)
1/2
Figure 6.80: A flip bucket and plunge pool for energy dissipation.
]

R
Plunge pool
Flip bucket
D
River water level
Original river bed level

Jet throw X
H

Chute
Dam d/s face
Jet fall Y
6-87
Minimum lip height h as: h >h
min
, and h
min
=R R cos ( tan
-1
d R
d R d
=
2 / 1
)] 2 ( [
S) where S is chute
slope above bucket, and
The resulting lip angle is as: = cos
-1
If >tan
[(R h]/R]
-1
S, then h
min
No affect of air resistance for V 20 m/s, but significant affect for higher velocities
0 and lip height h is defined by selected lip angle as: h =R
R cos .
Throw reduces by 30% for V >40 m/s
Keep impact zone as far as possible from dam toe to protect structure against net
regressive erosion.
Jets can be planner, 3-D, straight or skew
Excessive pressure on flow at bucket
All small q, a jump form in bucket
At large q the jet sweep out and proper jet throw formation starts
Useful when additional stream bed protection not required
Flip bucket good for high v and low q conditions. Successful design in the past for q
in excess of 1000 cfs/ft.
Length required for total disintegration L =5.89 q
0.139
~6 q
Heller et al. 2005 described that ski jump is the only structure to accomplish
satisfactory energy dissipation for takeoff velocity in excess of 20 m/s. Study was
conducted to establish head and pressure distribution along circular bucket, takeoff
characteristics and impact characteristics. Typically 40% energy is dissipated
depending upon lip angle, relative bucket curvature, and relative fall height.
0.139

Novak 2006 mentioned that energy dissipation on a ski jump occurs in 5 stages: (1):
on the spillway and bucket, (2): in the free falling jet, (3): at impact into the tail water,
(4): in the plunge pool or stilling basin, and (5): at the exit into the d/s river flow.
Ski jump
This is similar to flip bucket with the difference that it has large curvature radius with jet
directed horizontal or slightly downward into the plunge pool. Thus jet throw will be
small.
Plunge Pool
Pools excavated fully or partially, or scoured in stream bed
Scour depth D depends on unit discharge q, jet fall height Y, lip angle , jet strike
angle , and bed particle size d.
In simplified form general form of scour as: D =1.5 q
0.6
Y
0.1
OR D =1.32 q

0.54
Y
0.225
sin
6-88
The scour depth is as: y
s
=6 y
cr
tan
1
; ys =y
s
y
0
, where y
s
=scour depth below
bed level, y
cr
=critical depth, y
s
=scour depth below tail water level, y
0
=tail water
depth,
1
The y
=u/s angle of scour hole (14 < 24 degrees).
s
=c q
x
H
*
y

w
/ d
z
where c =coefficient, (0.65 4.7), x =0.5 0.67, y =0.1
0.5, w =0 0.1, z =0 0.1. Thus y
s
has a wide range.

Figure 6.82: Chute and flip bucket spillway for 656 ft high San Roque dam, Phillipines.
Water drops through a fall of 70 ft into the plunge pool.
(http://www.gomaco.com/resources/worldstories/ world31_1/raytheon.html)

Figure 6.83: Flip bucket spillway for Mica
Dam, Canada, The spillway comprises a 3
gate ogee overflow weir, spillway chute
and flip bucket. (http://www.york-
net.com/60s/mica_dam.asp)
Figure 6.84: Flip bucket for Crystal dam.
Foundation consists of Precambrian
metamorphic rocks intruded by
pegmatite dikes
(http://www.usbr.gov/dataweb/dams/
co00387.htm)
6-89

Figure 6.85: Lostock Dam on the Paterson River, near Newcastle (38 metres high an earth
and rock fill embankment dam) with concrete lined flip bucket spillway. [source:
http://members.optusnet.com.au/~richardw2/projects.html].
6-90

Figure 6.86: Chute and flip bucket spillway of 173 m high arch gravity Karakaya dam,
Turkey. The 6x300 MW power station achieves an exceptional layout compactness for
being incorporated adjacent to the dam toe under the overflow spillway flip-bucket. The
two spillway chute aerators could also be skillfully integrated: the air ducts of the first
one utilizing the spillway piers, while that of the second optimally solves the problem of
the joint between the dam body and the powerhouse structure. For minimizing river
scouring in the impact area of the spillway jet, the flip-bucket is equipped with splitters
optimized by physical model testing. [http://www.electrowatt-
ekono.co.uk/projects/karakaya.pdf]

Example: (USACE 1990, p:F-1)
Design a flip bucket for given data. Q=66,200 cfs, chute and flip bucket width =88 ft, chute
slope =S =0.05 ft/ft, depth of flow entering bucket =d =9.5 ft, bucket invert elevation =
1375 ft, design flood tail water elevation =1330 ft, allowable foundation bearing pressure =2
kips/ft.
6-91
Solution:
1. v =q/d =Q/(w d) =66200/(88 * 9.5) =79.2 ft and hv =79.2
2
2. Bucket radius R =[1.94 * 79.22 * 9.5] / [2000 62.4 * 9.5] =82 ft; use R =100 ft
/64.4 =97.4 ft
3. = tan
-1
{[9.5 * (2 * 100 9.5)]
0.5
4. Minimum bucket height h
/[100 9.5] =25.2
min
=100 100 * cos(25.2 tan
-1
5. Lip elevation =1375 +7.5 =1382.5 ft
0.05) =7.48 ft; Use h =
7.5 ft
6. Trajectory angle: = cos
-1
7. Vertical drop =Y =1375 1330 =45 ft
[(100 7.5)/100] =22.3
8. Horizontal jet throw =97.4 sin (2*22.3) +2 cos 22.3 [97.4 (97.4 sin
2
22.3 +45)]
1/2
9. Impact angle = = tan

=208.6 ft
-1
[sec 22.3 (sin
2
22.3 +45/97.4)
1/2
10. If the jet throw is less than desired, then the lip height and lip angle may be increased
to a higher value.
] =33.7
6-92

Figure 6.87: Flip bucket throw distance. (http://www.tpub.com/contents/coastalhydraulic
laboratory/100-b/index.htm)
6-93
6.20 CAVITATION
Cavitation occurs when water pressure drops below the value of pressure of the
saturated water vapor P
v
Also due to exclusion of gases from the water due to the low pressure.
at prevailing temperature
Water bubbles when carried to regions of high pressure vapor quickly condenses
and bubble explode.
Cavities filled suddenly by the surrounding water
Noisy process, and disruption inflow pattern
Cavity exploding against a surface
Violent impact of water particles at high pressure in quick succession
Substantial damage to surface (steel, concrete) and/or complete failure of the
structure.
Pitting often accompanied by violent vibration
Low pressure (below atmospheric) occur at separation of water flowing alongside
boundaries/especially for high velocity flow.
Cavitation number (form of Euler number)
Cavitation starts of J follow below critical J
3 mm offset cause cavitation at U >11 m/s
3 mm recess at U >32 m/s
Roughness 1 mm +
Avoid pressure below 7 m vacuum (3 m absolute)
Model/prototype studies to ascertain cavitation danger
For possible cavitation
Change design
Change mode of operation
Provide other safeguard
Introduction of air at the endangered parts (i.e. artificial aeration).
Prevent extremely low pressures
Provide smooth surface (epoxy mortars) on concrete surface
6.21 SPILLWAY DRAINAGE AND UPLIFT CONTROL
Drainage below the spillway crest structure is minimized by providing long approach channel
floor, by grouting the rock mass under the crest. Any uncontrolled seepage is intercepted by
proving drainage/pressure relief wells located in a drainage gallery near the structure base.
The seepage and resulting uplift pressure is controlled by providing drainage interceptor
pipes below the chute at suitable intervals and disposing it at some lower elevations under
gravity (usually into the stilling basin). High uplift pressure are countered by providing thick
chute floor, by tying the floor with tie rods embedded into the rock below the chute etc.
6-94
6.23 SPILLWAY DESIGN STEPS
1. Mark alignment of spillway on topography sheet (approach channel +crest +chute +
discharge channel +stilling basin +exit channel). A straight alignment is preferred.
Horizontal curves of permissible criteria may be allowed for approach channel,
discharge channel, and exit channel, if necessary to reach the reservoir or river. Exit
channel is to connect stilling basin with the river/creek.
2. In marking alignment, leave space for other utilities as tunnels, penstock, power
house, energy dissipation basin, etc. The layout become more critical for rivers in
deep gorge conditions when there is small space to house all these utilities.
3. The spillway crest may be inline, u/s or d/s of dam axis. The crest can be parallel or
oblong to the dam axis.
4. Mark station RD for the selected layout with 0+000 RD for crest.
5. Read out NSL from the topo map for various RDs. Draw a profile/section (El vs RD)
for NSL at suitable scale.
6. Mark contour of NCL to topo map and on profile. (e.g. NCL =2100 ft)
7. Note peak of inflow hydrograph, e.g. 1,80,000 cfs
8. Estimate (guesstimate!) spillway maximum outflow Q
max
9. Select design Q (Q
from consideration of peak
of inflow hydrograph and the storage space available above NCL. e.g 1,55,000 cfs.
d
) as 70-80% of Q
max
10. Select gate height, e.g. 25 ft.
. , e.g. 1,16,000 cfs
11. Determine crest elevation EL
c
(EL
c
=NCL gate height for gated spillway and EL
c

=NCL for ungated spillway). Practical gate height is 20 to 40 ft. e.g. EL
c
12. Select target food elevation EL
=2100 25
=2075 ft.
F
(EL
F
=NCL +flood surcharge =2100 +6.5 =
2106.5 ft) and water surface elevation at design discharge EL
d
(EL
d
<EL
F
), e.g. EL
d
13. Determine effective head over crest at flood level =2106.5 2075 0.2 =31.3 ft
(considering 0.2 ft losses in approach channel)

=2104.5 ft.
14. Select depth of approach channel P below crest level. (e.g. P =10 ft) Mark this on
profile and draw the channel bottom to meet the NSL profile. Determine the length of
approach channel L
A
, e.g. L
A
15. Select crest length L
=250 ft.
2
(including pier width, number of piers) e.g. L
2
=250 ft. Find
effective crest length L (excluding pier width and pier/abutment end contractions) as
L =L 2 (N K
p
+K
a
) H
0
. Let Pier width =5 ft, No. of bays =5, No. of piers =4.
Select K
a
(e.g. 0.01 for round nose) and K
P
16. Determine unit discharge q =Q
(e.g. 0.0 for head wall parallel to flow).
Thus L =250 4 * 5 2(4*0.1 +0) * 31.3 =205 ft.
d
/L
2
, (=1,55,000/250 =620 cfs/ft) flow velocity V =
q/D, (D =flow depth in approach channel =P +EL
F
EL
c
=10 +2106.5 2075 =
41.5 ft) V =620/41.5 =--------. Determine friction losses (from Manning formula) and
other losses HL
A
in approach channel. e.g. HL
A
=0.22 ft.
6-95
17. Determine effective head over crest at design discharge H
d
=EL
d
EL
c
- HL
A
18. Determine P/H
=
2104.5 2075 0.22 =29.28 ft.
d
( e.g. =10/29.28 =0.342) and find discharge coefficient C
0
19. Determine required crest length from eq. Q
from Fig
249 of USBR (e.g. 3.66).
d
=C
0
L H
d
1.5
20. For selected crest length L (=205 ft) and coefficient C
[e.g. L =116000/(3.66 *
29.28^1.5) = 200 ft). Compare this with L in step 15. If different, then redo steps 15
to 19. Let final selected L is 205 ft.
0
(=3.66) find the spillway
discharge for NCL <=water elevation <=EL
F
(e.g for water elevation of 2100.5,
2101.0, .., 2105.0, 2105.5, 2106.0, 2106.5). For each level find H/H
d
and find C/C
0

form fig 250 of USBR, and discharge coefficient C. Note H =water EL EL
c
- HL
A
.
Q =C L H
1.5
. (e.g. for el =2103. H =27.78, H/H
d
21. Select gate opening d for various water levels, e.g. gate opening of d =2 ft for WL =
2100.5, d =5 ft for WL =2101.0, etc.
=0.95, C/C0 =0.992, C =3.66 *
0.992 =3.5712, Q =3.5712 * 205 * 27.78^1.5 =1,07,200 cfs.)
22. Determine spillway flow coefficient C for partial open flows for selected d from Fig.
257 of USBR and determine Q =2/3 (2g)
0.5
C L (H
1
3/2
H
2
3/2
) where H
1
=WL
EL
c
HL
A
and H
2
=H
1
23. Develop a EL vs. spillway Q policy from steps 20 and 22 as given in Box 1 below.
d. Determine Q for all selected (EL, d) values (e.g. at WL
=2102.0, d =10 ft, H1 =2102.0 2075 0.22 =26.78, H2 =26.78 10 =16.78,
d/H1 =10/26.78 =0.373, C =0.681, Q =52,168 cfs.)
Box 1: Selected spillway discharge rating curve
Water surface
elevation EL
Flood depth D Gate
opening
Discharge
2100 0 0 0
2105.5 0.5 2
2101.0 1.0 5
2101.5 1.5
2102.0 2.0 10 52,168
2102.5 2.5
2103.0 3.0 Full open 1,07,200
2103.5 3.5
Full open

2104.0 4.0
Full open

2104.5 4.5
Full open
1,16,000
2105.0 5.0
Full open

2105.5 5.5
Full open

2106.0 6.0
Full open

6-96
24. Fit a curve to Q vs flood depth D. A single curve for all data or more than one curve
to separate parts of the curve (e.g. one for full open data and other for partial open
flows) is ok.
25. For the known flood inflow hydrograph, reservoir elevation. vs. storage volume
relationship, perform the flood routing using the spillway el-vs-Q data curve. Find the
maximum spillway outflow discharge and maximum water level EL
max
reached. The
selected spillway design is considered acceptable if maximum water level does not
exceed (preferably match) the target flood surcharge levels i.e. EL
max
<=EL
F
26. If EL
.
max
>EL
F
27. If EL
, then do following. i. Lower crest level (and increase H over crest), ii.
Increase crest length, iii. Provisions which result in decrease of pier/abutment
contractions and increase of discharge coefficient, e.g. increase P, flatten u/s slope of
crest approach (Fig 251 USBR) etc. iv. Increase gate opening to affect larger
discharge at a selected elevation e.g. increase d from 2 to 5 ft for EL =2100.5 ft etc.
Redo steps 16 to 25.
max
<<EL
F
28. When design of crest is complete, mark it on profile. Draw ogee profile. At d/s of
ogee chute (2-3 H
then do inverse of step 26. Redo steps 16 to 25.
c
29. Draw a blow up map/section of crest and ogee details.
below crest) provide concave curve (in vertical) to reach close to
NSL and then convex curve to attain the same chute slope as of average NSL.
Determine flow depth from energy equation and provide wall height for discharge
channel accordingly (include free board.). Continue along the NSL with minimum
vertical curves.
30. Provide stilling basin at river level. Determine length, depth, and other details.
6-97

Bakhtyar, R., S.J. Mousavi and A. Afshar. 2007. Dynamic programming approach to optimal
design of cascade stilling basin. J. Hydraulic. Eng. ASCE. 133(8):949-54. Aug-07.
Boes, R.M. and W.H. Hager. 2003. Two phase flow characteristics of stepped spillways. J.
Hydr. Engg. ASCE. 129(9):661-70, Sep 03. and Discussions by: Chanson, H.;
Amador et al.; Andre et al.; and Closure. J. Hydr. Engg. 131(5):419-29. May 05.
Bollaert, E.F.R. and P.J. Mason. 2006. A physically based model for scour prediction at
Srisailam dam. Hydropower and Dams. 13(4):96-103.
Carroll, John. ----. Fusegate spillway for Terminus dam at lake Kaweah, Tulare county,
California. (http://www.hec.usace.army.mil/misc/watershed_conference/
PDF_files/carrol_John.pdf)
Chanson, H. 2001. THE HYDRAULICS OF STEPPED CHUTES AND SPILLWAYS.
Balkema, Lisse, The Netherlands.
FERC 1999. ENGINEERING GUIDELINES FOR THE EVALUATION OF
HYDROPOWER, PROJECTS; CHAPTER 11 - ARCH DAMS. Federal Energy
Regulatory Commission, Division of Dam Safety and Inspections, Washington, DC
20426, October, 1999.
Heller, V., W.H. Hager and H. Minor. 2005. Ski jump hydraulics. J. Hydr. Engg. ASCE.
131(5):347-55. May 2005. and Discussions by Katsuia, RM,; Novak, P.; Heller et al.
J. Hydr. Engg. ASCE, 132(10):1115,-1117. Oct. 2006.
Heller et al. 2006. Closure of discussion on: [Heller, V., W.H. Hager and H. Minor. 2005. Ski
jump hydraulics. J. Hydr. Engg. ASCE. 131(5):347-55.] J. Hydr. Engg. ASCE,
132(10):1115,-1117. Oct. 2006.
ICOLD 1992. Selection of Design Flood: Current methods.International Commission on
Large Dams (ICOLD) Bulletin No. 82., Paris, France.
Katsuia, RM. 2006. Discussions on: [Heller, V., W.H. Hager and H. Minor. 2005. Ski jump
hydraulics. J. Hydr. Engg. ASCE. 131(5):347-55.] J. Hydr. Engg. ASCE,
132(10):1115,-1117. Oct. 2006.
Mason R.J . and K. Arumugan. 1985. Free jet scour below dams and flip buckets. J . Hydr. Engg.
ASCE. 111(2):
Morris and Wiggert. . Applied Hydraulics in Engineering.
Novak, P. 2006. Discussions of:[ Heller, V., W.H. Hager and H. Minor. 2005. Ski jump
hydraulics. J. Hydr. Engg. ASCE. 131(5):347-55.] J. Hydr. Engg. ASCE,
132(10):1115,-1117. Oct. 2006.
Savage, B.M. and M.C. Johnson. 2001. Flow over ogee spillway: Physical and numerical
model case study. J. Hydr. Engg. ASCE. 127(8):640-49, Aug. 2001.
USBR 1978. HYDRAULIC DESIGN OF STILLING BASIN AND ENERGY
DISSIPATOR. Engineering Monograph No. 25, US Bureau of Reclamation, Denver.
6-98
USBR 1987. DESIGN OF SMALL DAMS. US Dept of Interior, Bureau of Reclamation. A
Water Resources Technical publication, 3
rd
USBR 2001. DESIGN OF SMALL DAMS. US Dept of Interior, Bureau of Reclamation. A
Water Resources Technical publication. Oxford and IBH Publishing Co. Pvt. Ltd.
New Delhi.
edition. (PDF edition available at:
www.usbr.gov/pmts/hydraulics_lab/pubs/manuals/SmallDams.pdf)
Vittal, N., and P.D. Porey. 1987. Design of cascade stilling basins for high dam spillways. J.
Hydraulic Eng., ASCE. 113(2):225-237.
Wei, C.Y. Spillways and stream bed protection. In: Davis Handbook of Applied Hydraulics.
P-16.8.
6-99

Figure 6.101: Hoover dam: dam arch, intake towers, side channel spillways and tunnels.

Figure 6.102: Ski jump Spillway of Menzelet Dam, Turkey
6-100

Figure 6.103: Spillway of Hasan Ugurlu Rockfill dam, Turkey

Figure 6.104: Ski jump spillway and power penstock for Keban Dam (Rockfill), Turkey.
6-101

Figure 6.105: Ataturk Dam (http://www.ce.metu.edu.tr/~ce471/links.htm)

Figure 6.106: Spillway face of Ataturk Dam (http://www.ce.metu.edu.tr/~ce471/links.htm)

6-102

Figure 6.107: Oymapinar Dam (Arch) http://www.ce.metu.edu.tr/~ce471/links.htm

Figure 6.108: Oymapinar Dam (Arch) (http://www.ce.metu.edu.tr/~ce471/links.htm)
6-103

Figure 6.109: Altinkaya Dam (RF) Turkey (http://www.ce.metu.edu.tr/~ce471/links.htm)

Figure 6.110: Simly dam ungated ogee type emergency spillway.
6-104

Figure 6.111: Simly Dam: Plan and profile of 2-stage spillway and diversion tunnel.

Figure 6.112: Lower basin of Simly Dam spillway. Seen also plugged tunnel end.
Diversion tunnel
(abandoned and)
1
st
Stage
2
nd
Stage
Crest
6-105

Figure 6.113a: The Craig Goch Dam (masonary dam constructed in 1890) in Elav valley,
Wales (d/s view)(http://www.riderz.co.uk/pics/north_wales_07/3_elan_dam.jpg) and
(http://history.powys.org.uk/history/rhayader/craig.html)

Figure 6.113b: http://www.fotolibra.com/gallery/378594/elan-valley/
6-106

Figure 6.114: Grahamstown dam labyrinth spillway

Figure 6.115: St Marry dam flip bucket spillway
http://www.amec.com/uploadfiles/stmary.pdf

6-107

Figure 6.116: San Roque dam flip bucket
(http://www.gomaco.com/Resources/worldstories/world31_1/photos/raytheon/CL-010301-
D10.jpg)
The spillway is located on the right-hand abutment of the dam and guides the flow of excess water supplied to
the reservoir. At 328 feet (100 m) wide and 1722 feet (525 m) long, the San Roque Dam spillway is designed for
a flow of 452,028 cubic feet (12,800 m
3
The flip bucket runs the full 328 feet (100 m) width along the bottom edge of the spillway. Its 70 foot (21 m)
drop dissipates the force of the water flowing down the chutes. Its reinforced concrete slabs are 33 feet (10 m)
thick to withstand the constant pounding it takes from the force of the water flowing down the slope. The rail
system the C-700 traveled on was formed to match the radius of the flip bucket.
) per second. The spillway is separated into three sections by two 26 feet
(8 m) high longitudinal walls. Each section is 98 feet (30 m) wide and runs the entire length of the spillway,
from the ogee at the top to the flip bucket at the bottom. The C-700 was set up to finish each slab within each
section in two 49 feet (15 m) wide passes.
One of the important design aspects of the San Roque spillway included the installation of six air duct galleries
that run underneath and transversely across the entire width of the spillway. As you look at the pictures of the
finished spillway, the galleries look like six steps going up the spillway chute. The purpose of the galleries is to
inject a protective cushion of air into the water. The galleries are designed with natural ventilation and, as the
water travels over them, a vacuum is created and injects the air right into the water. The air reduces the wearing
of the concrete as the massive amounts of water flow down the chute, thereby extending the operating life of the
spillway and reducing maintenance costs. The concrete mix included a high-quality, low alkali, sulfate resistant
Portland cement with a moderate heat of hydration. A Type II cement was specified because it generates less
heat as it cures. More than 1.8 million bags of cement were used to produce the concrete for the spillway.
The mix design had a strength of 6000 psi (41 MPa). Concrete slump averaged between three to 3.5 inches (76
to 90 mm).
6-108

Figure 6.117:Closeup of side channel spillway
http://members.optusnet.com.au/~richardw2/img/bjuck9b.jpg

Figure 6.118: Ski-jump spillway at Tocantins dam, Para, Brazil
(http://ponce.sdsu.edu/legacy_tales_a_great_mans_glory.html)

6-109

Figure 6.119: Spillway radial gates. (http://www.ce.metu.edu.tr/~ce471/links.htm)

Figure 6.120: Baffled chute (http://www.uq.edu.au/~e2hchans/pictures/irago05.jpg)

6-110

Figure 6.121: Ski jump spillway at Poechos Dam, Peru
(http://ponce.sdsu.edu/poechos_spillway.html)

Tariq 2008 Dam and Reservoir Engineering 7-1
Chapter 7 Dam Outlet Works
CHAPTER 7
DAM OUTLET WORKS

7.1 PURPOSES AND FEATURES
Outlets serve to regulate or release water impounded by a dam. There are one or
more outlets structures to requisite discharge capacity.
Most outlets are gated but some may be gated or ungated (as for flood retard)
Release at retarded rate for detention dam (outflow <inflow)
Diversion dam-release into canals or pipelines (canal outlet), release to a
hydropower plant (pressure pipe outlet) or release into river for d/s uses or
environmental purposes (river outlet)
Open channel outlets for small heads and closed conduit for large heads (tunnel or
cut & cover)
Conduit flow as under pressure (full or part length) or free gravity flow
Elevation of intake of outlet works usually just below dead storage level. Low-
level outlets have its intake at very low elevation, usually close to original river
bed level.
Elevation of outlet terminal structure depends on water uses (at river bed level for
river outlets, at/above canal bed level for irrigation, at penstock or turbine inlet for
power outlets).
Outlets may be used to pass diversion flood flows (large capacity) Or capacity just
enough to release present / future / target releases (small capacity)
Low level outlets may be used to sluice or flush out reservoir sediments.
Used to release water temporarily stored in flood control storage space.
Used to lower water below NCL in anticipation of flood.
Used to empty reservoir to permit inspection, to make needed repairs/maintenance
of structures that are normally inundated.
7.2 OUTLET CAPACITY
Outlet capacity based on target releases (maximum) for various purpose(s).
Irrigation/water supply/power production: Demand based Q, with minimum
friction losses required for hydropower.
Diversion flood: Capacity enough to keep flood water level well below coffer dam
height (less free board).
7.3 INTAKE LEVEL VS RESERVOIR STORAGE LEVEL
This depends on discharge capacity. Outlets are placed sufficiently below
minimum reservoir operating level to provide head for required flow capacity.
Outlet to be low enough below lowest water levels to avoid swirling / vortex
formation above inlet.
Depend on purpose. Outlets for diversion flood passage have inlet near river bed
levels.
Sedimentation: Outlet intake high enough to be not affected by future
sedimentation.
Intake position is important consideration, high enough to prevent interference
from sediments and low enough to permit drawdown below top of inactive storage
space (dead storage).
Intake at multiple levels possible if more than one outlets. Tower intake.
One low level outlet to river level (e.g. for flushing) and other as pressure outlet/
canal outlet.
Diversion tunnel usually converted to permanent outlet works after completion of
construction phase.
The intake at river bed level for diversion outlet may be closed later and revised
intake provided at a higher level for regular outflows. The lower level intake may
be subsequently closed/ plugged.
7.4 COMPONENTS
Outwork works included following components (Fig. 7.1):
1. Intake section consisting of: (i) Trash rack to stop trash entry into outlet, and (ii)
Inlet structure. Occasionally a fish rack will be required for the case power tunnel.
2. A fluid way (tunnel or open canal)
3. Outlet exit with: (i) Energy dissipation structure for canal or river outlet, or (ii)
Transition into penstocks for hydropower outlet or pressure pipe for water supply
4. Control devices including (i) One or more flow control/regulating gates or valves
(ii) Bulkhead or stoplog at entrance mouth, (iii) Guard gate

7.5 LAYOUT
Usually a straight alignment
Fluid way may be curved in plan and profile to suit inlet and outlet locations
May open into spillway stilling basin/chute if outflow is into a river. Thus
additional energy dissipation structure will not be required.
Outlet into canal head works for irrigation outlet.
Topography, geology (rock, type, over burden), type and design of fluid way
affect location and type (tunnel or cut-and-cover conduit).
Stilling basin
Dam
embankment
or abutment
Intake
Gate/valve
Trash / fish rack
Fluidway
River/
Canal
R
e
s
e
r
v
o
i
r

Gate/valve
Figure 7.1: Typical outlet layout.

Turbine
For earthfill and rockfill dams, outflow is usually carried through the rock
abutments as tunnel or as pre-cast pipes across the embankment with suitable
seepage retarding collars.
For gravity dam outlet is usually carried through the dam body using pre-cast
materials (e.g. embedded steel pipes) or cast-in-place.
Outlet fluid way as tunnel for whole length or central part as tunnel plus cut-and-
cover for entrance and exit sections may be used.
For quality constraints, (silt, algae, debris, fresh) multiple level inlet to draw water
from different levels of the reservoir at different seasons of the year.
Intake at abutment face for embankment dams and at dam face for concrete dams
Inlet may be located in a tower (away from face) and bridge deck or boat provided
to reach.
7.6 OUTLET CONTROL WORKS
Control gates and valves installed across fluid way/conduit to regulate release.
Operating gates and valves to control and regulate outflow and operate in any
position from closed to fully open (partial open to full open)
Guard gates near u/s end as full open or full closed condition to effect closure in
the event of failure of operating gates/valves or for unwatering of conduit for
inspection/repair of the operating gates.
Stoplogs or bulkhead at entrance to conduit for closure.
Control gates may be located at u/s end, at an intermediate point, or at lower d/s
end of structure.
For free discharge conduit tunnel portion u/s of gate is under pressure thus control
location affect conduit design.
For discharge into closed pressure pipe, gates serves only to regulate flow, full
pipe flow under pressure both u/s & d/s of control. Gate location have little affect
on conduit design.
7.6.1 Control on U/S end
For free flow conduit, part or full flow along whole length.
Operating head and conduit slope determine flow regime (uniform, varying, sub
critical, critical or super critical, usually supercritical).
Conduit subject to external loading of full water depth near u/s end (where rock
cover is small). Conduit wall near u/s end designed to withstand this large
pressure.
Fish screen, trash rack, guard gates, stoplog slots, regulating valves all combined
in a single intake structure.
Entire conduit can be dewatered readily (except some leakage into tunnel from
abutment above)
7.6.2 Control at Intermediate Point
Pressure in conduit u/s of control equal to full reservoir depth/head.
External and internal hydrostatic pressure on conduit shell same, thin tunnel
linings.
Water tightness of u/s portion less important
Leakage through joints/cracks to outside of pipe can start piping along outside of
pipe leading to saturation and later sloughing of dam or abutment.
U/S portion of conduit provided with steel liner.
For likely settlement/movement/cracking of conduit wall, a separate small steel
pipe carried inside the larger conduit and control placed at suitable place.
7.6.3 Control at d/s End
Suitable for conduit discharging freely into canal or river and stilling basin.
All conduit length under pressure
Guard gates at u/s end for un watering conduit.
7.7 WATER WAYS
7.7.1 Open Channel
A channel or flume is placed through the embankment to carry flow from reservoir to
an open canal. A gated culvert or orifice controls outflow. Used for small reservoirs.
7.7.2 Tunnels
Tunnel dug through abutment
Geology affects location and design
Tunnels excavated by tunnel boring machine, drill +blast, controlled blasting or
manual force +donkey machine (Fig. 7.3)
Inside surface usually provided lining of smooth finish. Lining for surface
smoothness or for strength purposes.
Lining must in soft rock zones
No lining required in competent rock (except for surface smoothing)
Reinforced lining for pressure tunnels to withstand external/internal pressures of
rock load, hydrostatic, etc.
Minimum tunnel size limited by as required for construction limitations (D >5 ft).
Tunnel shape round, horseshoe, modified horseshoe (Fig. 7.4)
Pressure tunnels usually circular/round, free flowing of horseshoe section.
7.7.3 Cut-and-Cover conduit
Small size tunnel cannot be constructed.
Foundation geology may not support tunnel
Then cut-and-cover conduit is best option
Conduit passes in shallow depth in abutments under the dam or through the dam
Conservative and safe design against danger of settlement, cracking, leakage,
piping along outside periphery, lateral or longitudinal displacement
Carried over hard rock or at places with minimum overburden over rock.

Figure 7.2: Schematic of typical outlet arrangements.

Conduit cast in place or
prefabricated metal/
concrete pipes.
Must have large strength to
withstand full load over
the conduit.
Conduit construction
before embankment.
Seepage collars to reduce
piping hazard.

Circular
Horseshoe Modified horseshoe
Figure 7.4: Tunnel shapes.
Figure 7.3a: Diversion tunnel at Split Rock Dam
excavated in sedimentary breccia, greywacke and
mudstone. (Source: http://members.optusnet.
com.au/~engineeringgeologist/page12.html)
Figure 7.3b Tunnel support form work for
lining

7.8 TUNNEL DESIGN
Tunnel bottom at some slope
Tunnel flow as open channel flow for small discharge and head
Tunnel as pipe flow at large Q & u/s head
Tunnel may discharge freely at atmospheric pressure (H =0) into canal or under
pressure (H >0) as for power plant or pressure water supply.
7.8.1 Open Channel Flow
For low depth d (d <D), determine Q by Manning formula (uniform flow),
include losses due to surface friction and other installation (gates, valves etc).
Full A = r
2
=2 (D/2)
For a circular tunnel the Flow area A = ( sin )D
2

2
n =0.013 for smooth concrete surface
/8 where is angle subtended
in radians, D is tunnel diameter; Perimeter P = 0.5 D; and hydraulic radius R =
0.25[(1 sin )/] D. Note for d R and > for d > R and R = radius =D/2
7.8.2 Full Flow H > Dia (pipe flow)
For free flow d/s H =0 (e.g. flow into
stilling basin)
For pressure flow (H > 0) Flow by
William Hazen formula
V =1.318 C R
0.63
S
C =125; S =(H
0.54

1
-H
2
)/L where H
1
=reservoir water level, H
2
=water level at
exit (usually H
2
R =A/P =D
<Dia), L =tunnel length.
2
Q =A V
/4 D =D/4
The tunnel discharge may be determined by using Darcy-Weisbach formula as:
h
f
=f L/D V
2
where f is friction loss coefficient [generally f =116.5 n
/2g
2
/r
1/3
=185 n
2
/D
1/3
] Use
Moody diagram to select f.
H
1

L
R
d

R
d


Figure 7.5:Mangla dam power tunnels during construction/lining.

Figure 7.6: A tunnel boring machine (TBM)

7.8.3 Head Loss for Flow Less than Maximum Flow
Tunnel designed for large Q (e.g. 30,000 cfs for diversion flood)
Release Q for e.g. hydropower is small (e.g. 2000 cfs)
For selected tunnel dia for Q =30,000 (e.g. D =20 ft)
V for small flow =2000/ x 10
2
h
= 6.37 fps
f
= f L / D V
2
L = 1200 ft
/2g
f =185 x 0.013
2
/20
1/3
h
=0.0115
f
=[0.0115 x 1200 / 20] x [6.37
2
Head available for hydropower =H
/ 2 x 32.2] =0.44 ft only
1
7.9 THE OUTLET SYSTEM
- 0.44 ft head loss in other fittings
7.9.1 Intake Layout Davis HAH p:22.6-7
1. Vertical intake on dam face or abutment
2. Small slope intake on dam face or abutment
3. Large slope intake on abutment
4. Tower intake (rectangular gate or cylinder gate) Fig. 7.7
5. Shaft or submerged intake
Intake submerged or extended as tower above maximum reservoir level
Entrance be vertical, inclined or horizontal
Conduit entrance rounded or bell mouthed to reduce entrance losses
Rounding on bottom, sides, roof
Trash rack and / fish rack in front of entrance with suitable arrangement for rack
cleaning

Figure 7.7a: Intake tower and access bridge.

Figure 7.7b: Intake tower with access platform for Tainpura-I dam.

Figure 7.7c: Submerged tower inlet for Simly dam. Temporary arrangements to pump out
water from below dead storage level in 2001 from a pontoon are also shown.
7.9.2 Control Arrangements
Top free radial gate-in open channels
Top seal radial gate-installed at
entrance or within a culvert outlet
followed by open channel or conduit
Slide gate for open channel or culvert
outlet (head wall structure).
Slide gate for tower structure,
worked from an operating deck
Wet wall shaft - for slide gate or top
seal radial gates (extends from
conduit to crest/platform for access)
Water tight bonnets over the gate
slots, gate operated from dry shaft or
a operating chamber located above
conduit.
Dry well to reach valves (u/s and d/s
end of valve encased in concrete.
Operating platform reached from
crest top or from d/s end of conduit
through a separate chamber (doomed
chamber).
Housing around controls to house
operating equipment under adverse
weather, to enclose top of the access shaft, and to accommodate auxiliary equipment
as ventilating fans, heaters, flow measuring and recording meters, air pumps, power
generator set, M&R accessories)

Submergence for non-vortex formation
Vortices at intake structures can affect intake efficiency and create a safety hazard. Vortices
are associated with high discharges and shallow intakes, these can form at intakes submerged
as much as 60 to 100 ft (USACE 1980, EM-1110-2-1602 p.4-3). The intensity of circulation
around an intake is function of submergence of the intake, the discharge and the intake and
approach channel geometry. Undesirable vortices can draw air and debris into the structure
reducing its max capacity. Anti-vortex devices are installed to reduce vortices. When vortex
prevention devices are used the critical submergence (ratio of water depth above the top of
inlet to the inlet diameter both dimensions at entrance to inlet bell mouth) should equal or
exceed the inlet flow Froude number to provide vortex free formation; otherwise it should
equal or exceed Froude number plus one. Model studies may be needed in some instances.
Unsymmetrical approach: S 0.4 V D
Symmetrical approach: S 0.3 V D

Figure 7.7d: Outlet towers for Hoover Dam. Tower
size =82 ft at base, 63 ft at top and 30 ft dia inside fluid
way[ @
http://www.usbr.gov/lc/hooverdam/images/D009a.jpg]

Figure 7.8a: Typical intake layout and gating arrangements.

Figure 7.8b. Typical inlet layout and gating arrangement.

7.9.4 Terminal Structures
Plunge basin-for tunnels that end up in flip bucket or d/s valve,
Stilling well (Riser well) (energy dissipated by fillets and diffuser blocks, and
turbulence), Rising velocity 1-3 ft/s
Stilling basin (for hydraulic jump)
Impact type stilling basin
Impact Basin
A concrete impact basin is an energy dissipating device located at the exit of the
outlet in which flow from the discharge conduit strikes a vertical hanging baffle. Discharge is
directed upstream in vertical eddies by the horizontal portion of the baffle and by the floor
before flowing over the end sill. Energy
dissipation occurs as the discharge strikes the
baffle, thus, performance is not dependent on
tailwater. ODNR (1999)

Figure 7.9a : Impact Basin (ODNR 1999)

USBR Type II and Type III Stilling Basins
Type II and Type III basins reduce the energy of the flow discharging from the exit of an
outlet or spillway and allow the water to exit into the outlet channel at a reduced velocity.
Type II energy dissipators contain chute blocks at the upstream end of the basin and a
dentated (tooth-like) endsill. Baffle piers are not used in a Type II basin because of the high
velocity water entering the basin.
Type III energy dissipators can be used if the entrance
velocity of the water is not high. They contain baffle
piers which are located on the stilling basin apron
downstream of the chute blocks. Located at the end of
both the Type II and Type III basins is an endsill. The
endsill may be level or sloped, and its purpose is to
create the tailwater which reduces the outflow
velocity. If any of the severe defects associated with
Figure 7.9b: Baffle block
impact stilling basin
Figure 7.9c: Type III Basin
concrete structures are observed, a registered professional engineer should be contacted to
evaluate the stability of the basin.

Abutment
Stop log groove
Trash rack slot
Fig. 7.12: Front entrance intake
Groove for stop log and/or
bulkhead gate. Extends along
face of dam to hoist on crest
Fish screen,
trash rack
abutment
Fig. 7.11 : Intake with sloping entrance.
Figure 7.14: A dry well for gate valve control
Figure 7.13:Submerged shaft inlet
Figure 7.10: Stilling wells: L. Impact well, R. riser well energy dissipater.
C
o
n
t
r
o
l

w
e
l
l

Dentated
sill

Figure 7.15 : Inclined intake and wet well control.

Figure 7.16: Vortex formation above a horizontal inlet. (Visher and Hager p.223)

Abutment
Embankment

Figure 7.17: Plunge pool energy dissipater for river outlets.
7.10 FLOW CONTROL
The outflow from outlets is controlled/regulated according to needs. This is done by
installing gates and valves in the fluid passage.
7.10.1 Nomenclature
Gate: Gate is a closure device in which a leaf or closure member is moved across the fluid
way from an external position to control the flow of water.
Valve: Valve is a closure device in which the closure member remain fixed axially with
respect to the fluid way and is either rotated or moved longitudinally to control flow
of water.
Guard gate/valve: Operates fully open or closed and functions as secondary device for
shuttling off the flow in case of primary closure device become inoperable. Guard
gate or valve is operated under balance pressure (no flow conditions) except in
emergencies
Regulating gate/valve: Operate under full pressure and flow conditions to throttle and vary
the rate of discharge.
Bulk head gate: Installed at entrance to drain fluid way for inspection, repair. Opened or
closed under balanced pressures (no flow conditions)
Stop logs: As smaller bulk head sections to permit easier handling.
7.10.2 GATE TYPES
1 Conduit slide gate
2 Ring follower gate
- Upper bulk head
- Lower ring
3 Ring seal gate
Similar to ring follower gate with roller train and wheals to reduce friction
4 Jet flow gate to reduce slot affects
5 Wheal and roller mounted slide gates (on sloping u/s face of dam/abutment).
6 Cylinder gates (a cylindrical shell lowered to control flow through radial openings
into a circular vertical intake structure). Located inside or outside of circular structure.
When lowered, closes all circumferential openings/slots
7. Tainter / radial gates (located in middle or d/s end of tunnel)
8. Bulk head gates and stop logs
- Placed in slots in front of entrance (for u/s end control)
- Seals provided on all sides with slot face (music note or J-seal).
- Stop log is steal structure with rubber seals
- Placed under balanced pressure i.e. no-flow conditions
- Bulkhead closes opening and stoplog closes approach section.
- Bulk head composed of maximum two closure sections and cover only the
entrance opening
- More than 2 units, units fill to a height above the existing reservoir surface
stop log.
- Placement by crane and lifting frame.
- Infrequent use when conduit need emptying
- Lifting frame (with latching device operated by a tag line) permit
connecting and disconnecting units for lowering or raising.
- Bulkhead gate at Hoover dam is of size 50 x 50 ft weighing 3 million
pounds 90 Metric tons.
Flow conditions below slide gate
The flow conditions below slide gate opening into closed conduits as tunnels depends
upon the gate opening, d/s conduit hydraulics and air supply. These are as under for
increasing gate openings:
i. Spray flow
ii. Free flow
iii. Foamy flow
iv. Hydraulic jump due to tailwater submergence
v. Hydraulic jump due to pressurized tailwater
vi. Fully pressurized flow.

Figure 7.18: Vertical lift gates.

Figure 7.19: Ring follower gate. (Davis HAH p.22.16)

Figure 7.20: Ring seal gate. (Davis HAH p22.20)


Figure 7.21: Jet flow gate. (Davis HAH p-22.22)
Figure 7.23: Wheel/Roller mounted slide gate. (Davis HAH p.22.26)


Figure 7.24: Cylinder gate. (Davis HAH p-22.32)

Figure 7.25: Cylinder gate. (Davis HAH p-22.34)


Figure 7.26: Typical bulkhead gate with lifting arrangements. (Davis HAH p-22.35)

Figure 7.27: Typical stop log installation and lifting arrangement. (Davis HAH p.22.36)

Figure 7.28: Needle valve. (Davis p-22.40)

Figure 7.29: Tube valve (p.22.43) Figure 7.30: Jet flow valve (p-22.50)

Figure 7.31: Sphere/cylinder valve. (Davis p-22.64)

Figure 7.32: Howel-Bunger valve (Source: Novak p-208) (Ex Mangla dam)

7.10.3 VALVES
Valves generally installed in pipe lines or pressure tunnels
1. Needle valves
Operated by water pressure (by filling and emptying of various chambers).
2. Tube valves
(small cavitation)
3. Fixed cone (Howell-Bunger) Valves (also called cone dispersion valve)
- Operating system exterior to valve body
- Discharge into atmosphere as jet. (example Mangla dam irrigation
valves)
- Installed at d/s end of pipe e.g. into canal (no stilling basin, plunge pool
required)
- May have an external hood (cover) to direct flow in forward direction
4. Hollow jet valve
- Free discharge into atmosphere (can operate partially submerged).
Hood
- Placed at d/s of pipe/tunnel
5. Sleeve type valve (similar to cylinder gate)
6. Butterfly valve
7. Sphere valve
10.8 BELL-MOUTH ENTRANCE (Davis p:22-68)
Entrance circular or rectangular in cross section
Rectangular entrance transitioned into circular section.
Entrance may be fully flared for circular entrance on all sides and for rectangular
entrance on 4-w, (all sides) 3-w (sides and top), 1-way (top)
Flare tangent at 2 ends (90
o
Eliptical curve (single) D is conduit dia (circular), conduit height for vertical
apart)
curve, and width for horizontal curve.
Figure 7.33: Entrance transitions. (Davis p-22.68)
Circular flare as: X
2
/(0.5D)
2
+y
2
/(0.15 D)
2
Rectangular 4-w, 3-way X
=1
2
/D
2
+y
2
/(D/3)
2
Rectangular 1-w X
=1
2
/(1.5D)
2
+y
2
/(0.5 D)
2
Compound elliptical curves for high head and low back pressure (low back
pressure static head d/s of entrance <0.1 H
=1
v
Required back pressure
)
V fps <50 60 80 100 120 140 200
BP (ft h) N/A 5 10 15 23 30 63
10.9 FLUIDWAY SURFACE (Davis p:22-70)
Smoothness, waviness, alignment become increasingly important as velocity
increase and back pressure decrease.
At 29 fps velocity offset 5/16 (sharp corned) create cavitation.
At high V, 1/32 (0.8 mm) offset can produce cavitation and damage.
Smooth surface required d/s regulating gates and valves
Surface smoothness of 250 in (0.006 mm) in required d/s of valves.
Machined steel surface, smooth troveled concrete provide such smoothness but
mass concreting become slow
Provide metal lining for some distance d/s of gates.
Stainless steel coating best-no painting required
Flat surface required to eliminate waviness
Offset at joints to be eliminated d/s member outward offset by 1/16 eliminate
cavitation
Small raids or bug holes on concrete surface can cause cavitation
Manholes and pipe openings in regions of pressure gradients above atmospheric
10.11 EXIT PORTAL PRESSURE
The conduits flowing full become partially flowing near the exit end. The intersection
of the hydraulic grade line is function of Froude number of the conduit flow. The values
of Y
p
/D are also dependent on the condition of support of issuing jet and tailwater
condition; a good approximation is two-thirds the vertical dimension above the exit portal
invert.

Figure 7.34: Exit portal pressure at end of full flowing tunnels (USCOE 1980).

10.12 CAVITATION
Formation of vapor filled cavities in a liquid (pressure in localized regions
reduced to vapor pressure). Collapsing of cavities near a fluid way surface result
in putting and damage to surface.
This is important factor in design of high velocity outlet works.
Fluid way alignment and energy surface discontinuity are potential source of
producing cavitation.
Follow following design approaches
Keep alignment and boundary surface as straight and free of irregularities as
possible.
Hold pressure gradient as high as possible at potential cavitation locations
Introduce air, if possible, at points where sub-atmospheric pressures exist in the
flowing water (usually behind gates/valves).
Provide definite and adequate spring points for flow separation, such as in a
sudden enlargement and for various type of gates.
Cavitation index K =(H
2
-H
vp
) / (H
T
-H
2
H
)
2
H
= static pressure head downstream from gate/valve
T
H
= total head (static +velocity) in u/s conduit
vp
Incipient cavitation index: gate valve 1.5, butterfly
= vapour pressure head of water at given temp.
( ) 2 / /
2
0 0
V P P = , where P =local pressure and P
0
and V
0
Irrigation tunnel lining blown out due to cavitation behind the u/s gates in Tarbela
dam
reference values
of u/s flow.
The spillway tunnel in Glen Canyon dam scoured to 31 ft deep pit over 100 long
section due to cavitation problem in 1993. ( http://www.popsci.com/
popsci/science/5917359b9fa84010vgnvcm1000004eecbccdrcrd.html

)

Figure 7.34: Gate slot types for high velocity outlets. (Davis p-22.74)
The gate slots produce a discontinuity in the side wall which may cause cavitation.
Metal plate liners are used down stream of the gate slots to protect the concrete from
the erosive action of the cavitation.
Gate slots are streamlined to to a taper d/s of slot to check the potential incipient
cavitation.

10.13 AIR VENTS
Control valves and gates located a considerable distance from the exit end (i.e. do
not discharge into the atmosphere) require air vents.
Emergency gates located immediately u/s of air vented service gates do not
require air vents. However emergency gates should normally not be used for
regulation.
Maximum air demand occurs at 80% gate opening.
Air vents for 2 purposes
a) Breathers lines to vent or admit air during filling or emptying/draining of
fluid way
b) To deliver continuous air to a discharging gate or valve to eliminate cavitation.
Air vent area as 0.5-1% of area of fluidway (rule of thumb)
Vents not controlled with valves and extend above maximum water surface.
High filling rates could produce very large water hammer pressure larger vents
be provided.
Slow filling recommended.
Air demand for conduit filling below gate: Q
a
=Q
w
x 0.03 (F-1)
1.03
Vent area for air V of 150 fps
, F =Froud
No. at vena contracta.
Air vent to assure spread of air across the full width of the conduit.
Air vent designed so that head loss do not exceed 0.5-1.0 ft of water.
Protect vent intake from public with screens/grill due to rushing air to avoid
damage to human life near air intake.
10.14 Tunnel Lining
For smoothness 15-20 cm thickness
For strength 0.5 to 1.5 m thick. Provide reinforcement
Required smooth workmanship to avoid cavitation at very high velocities.
Cavitation largest hazard below valves, thus provide lining for some length d/s of gates and
valves.
10.15 SYSTEM LOSSES
System losses are generally as: H
T
=K
L
V
2
1. Trash rack losses
/2g. Various losses are as:
2. Entrance losses
3. Bend losses (horizontal and vertical bends)
4. Contraction losses (due to reducer and other fittings)
5. Expansion losses
6. Gate/valve losses
7. Skin friction losses
8. Velocity head exit loss at outlet.
The H
T
free discharging outlet = center of outlet valve/gate or opening
is measured from reservoir water surface to
jet supported onto d/s floor as for stilling basins to top of emerging jet at the
point of greatest contraction
submerged outlet portal to tail water level

10.15.1 Trash Rack Losses
H
l
= K
t
v
2
/2g where K
t
=1.45 0.45 (a
n
/a
g
) (a
n
/a
g
)
where a
2

n
= net face area a
g
Assume 50% area clogged (for maximum loss) and no clogging (for minimum loss)
= gross face area
Losses are usually small as 0.3 and 0.5 ft for velocity of 1.5 and 2.0 fps.
Losses depend on bar shape (round, rectangular or aerofoil) and spacing
Bar spacing/opening not to be larger than minimum openings in valves/gates, turbines etc to
stop oversize debris.
Arrangements for cleaning/racking need to be provided.
Rack resonance can be a problem
Fritz (1984) gave trash rack losses as: g V Sin b t h
t
2 / ) / ( 3 . 2
2
= where t =bar thickness, b =
bar spacing, =angle of rack inclination from horizontal, and v = aperture velocity.
[Fritz, J.J. 1984. Small and Mini Hydropower System. CEWRE Lib Ac#2048]
h
l

f
o
r

e
n
t
r
a
n
c
e

a
n
d

t
r
a
s
h

r
a
c
k
,

f
i
s
h

s
c
r
e
e
n

h
l

f
o
r

e
x
p
a
n
s
i
o
n

h
l

f
o
r

c
o
n
t
r
a
c
t
i
o
n

h
l

f
o
r

g
u
a
r
d

g
a
t
e

h
l

f
o
r

v
a
l
v
e

h
l

f
o
r

b
e
n
d

Total
head
loss
Reservoir water level
Energy line
Figure 7.18: Pictorial representation of head loss in outlet conduits flowing full under pressure.
Horizontal bend
10.15.2 Entrance Losses
Entrance losses may be considered as equivalent to losses in a short tube. If Q =C a
2gH, then V =C 2gH and
H = 1/C
2
V
2
/2g H =sum of velocity head h
v
and entrance loss h
A weighted loss coeff K
e

e
=(1/C
2
1) and H
v
+h
e
=K
e
v
2
Circular bell mouth entrance K
/2g
e
Square or rectangular = 0.10 0.16
= 0.05 (average)
Inward projecting entrance = 0.80
Gate in thin wall (unsuppressed contraction) = 1.50
Gate in thin wall (bottom sides suppressed) = 1.0
Gate in thin wall (corner rounded) = 0.50
10.15.3 Bend losses
Bend losses are function of bend radius (R
b
Generally H
), pipe dia (D), bend angle.
l
=K
b
V
2
/2g K
b
R
=K Bend angle factor
b
1 /D 2 3 4 8 10 12 16
K 1 0.4 0.18 0.14 0.11 0.10 0.08 0.075

Bend angle () 20 40 60 80 90 100 120
Factor 0.36 0.64 0.83 0.95 1.00 1.04 1.13

10.15.4 Transition Losses (contraction / expansion)
Depend on area ratio and angle/length of transition
h
c
= K
c
(V
2
2
/2g V
1
2
h
/2g),
ex
= K
ex
(V
1
2
/2g V
2
2
K
/2g)
c
Flare angle 2
=0.1 gradual contraction, =0.5 abrupt contraction, =0.2 gradual expansion, =0.5 abrupt
expansion
o
5
o
10
o
12
o
15
o
20
o
25
o
30
o
60
K
o
ex
Flare angle =angle of side wall with center line
0.03 0.04 0.08 0.10 0.16 0.31 0.40 0.49 0.72
10.15.5 Gate and Valve Losses
Gate at entrance-wide open-no losses
Upstream gate in thin wall-losses included in entrance
Gate in conduit with u/s & d/s walls continuous-loss due to slot =K
g
V
2
/2g, K
g
Partial open gate depend on top contraction - K
0.1
g
Wide open gate valve - K
approaching 1.0
g
Partial open gate valve K
0.19
g
Butterfly wide open Kg =0.15 (vary 0.1 0.5)
1.15 (3/4 open); =5.6 (1/2 open) and 24.0 (1/4 open)
Spherical valve Kg 0.0
Flare angle
Gate Discharge Formula: Q =C A(2gH)
Head loss
H
l
(1/C
d
2
1) H
v
H
v
Slide gate C
=2gH
d
Ring follower 1.0
=0.95 0.97
Jet flow gate 0.80 0.84
Cylinder gate 0.80 0.90
Needle valve 0.45 0.60
Tube valve 0.50 0.55
Howell-Bunger fixed cone valve 0.85
Hollow jet valve 0.70
Sleeve valve (submerged) 0.85
Butterfly valves 0.60 0.80
Sphere valve 1.0
10.15.6 Exit Losses
K
v
= 1.0 h
l
=K
v
V
2
(no recovery of head from free discharging pipe)
/2g
For diverging tube, partial recovery, particularly if outlet is submerged example
draft tube K
T
=(a
1
2
/a
2
)
2
, a
1
to increased area a

2


Figure 7.35: Abrupt transition losses.

Figure 7.36: Conical transition losses.

Figure 7.37: Moody diagram for pipe flow resistance.

Figure 7.38: Tunnel parameters. Figure 7.39: Horseshoe tunnel.
10.16 OUTLET ENERGY DISSIPATION
Impact Basin http://www.dnr.state.oh.us/water/pubs/fs_div/fctsht51.htm
A concrete impact basin is an energy dissipating device located at the outlet of the spillway in
which flow from the discharge conduit strikes a vertical hanging baffle. Discharge is directed
upstream in vertical eddies by the horizontal portion of the baffle and by the floor before
flowing over the endsill. Energy dissipation occurs as the discharge strikes the baffle, thus,
performance is not dependent on tailwater. ODNR (1999)

Figure 7.40: Impact Basin
Baffled Chute
Baffled chutes require no initial tailwater to be effective and are located downstream of the
control section. Multiple rows of baffle piers on the chute prevent excessive acceleration of
the flow and prevent the damage that occurs from a high discharge velocity. A portion of the
baffled chute usually extends below the streambed elevation to prevent undermining of the
chute. If any of the severe problems associated with concrete that are referenced in the
opening paragraphs are observed, a registered professional engineer should be contacted to
evaluate the stability of the outlet.

Figure 7.41: Baffled Chute Basin

Plunge Pool
A plunge pool is an energy dissipating device located at the outlet of a spillway. Energy is
dissipated as the discharge flows into the plunge pool. Plunge pools are commonly lined with
rock riprap or other material to prevent excessive erosion of the pool area. Discharge from the
plunge pool should be at the natural streambed elevation. Typical problems may include
movement of the riprap, loss of fines from the bedding material and scour beyond the riprap
and lining. If scour beneath the outlet conduit develops, the conduit will be left unsupported
and separation of the conduit joints and undermining may occur. Separation of the conduit
joints and undermining may lead to failure of the spillway and ultimately the dam. A
registered professional engineer should be contacted to ensure that the plunge pool is
designed properly.

Figure 7.42: Plung Pool
10.17 STILLING BASIN ENERGY DISSIPATION FOR TUNNEL OUTLETS
10.17.1 General:
The circular tunnel portal of diameter D with exit velocity v is transitioned into rectangular
channel chute by providing fillet over a transition length L
F
=1.5 D; this fillet transition
length continues with the slope of the tunnel. The chute width is same over a distance L
T
gD
and
then flared out at a radius R =5D. Subsequently the diverging and sloping transition chute of
horizontal distance X and vertical drop Y. The transition flare is taken as 1:L where L ~
2F (F is Froude number of flow at tunnel exit portal =v/ ) with minimum of 1:6. This is
done to increase the basin width W
b
and to reach the basin invert level. The L
T
is given as:
L
T
2 2
2
cos ) 25 . 1 ( 2
tan
v
x g
x y =
=R tan /2 where =tan-1(1/ L). The profile of the sidewall transition is set by a
parabolic form given as:
where is angle of the slope of the tunnel as =tan
-1
(S) S is
tunnel slope (ft/ft).

Figure 7.45: Hydraulic jump stilling basin (USBR Type-II and III) for tunnel outlets.
The stilling basin is located at the end of parabolic transition with the basin width equal to the
transition width at X. The width W
b
is given as: W
b
=D +2 (X+L
F
-L
T
The flow velocity (v
)/ L and depends on
selected value of Y and X.
1
) and depth (d
1
) at the entrance of stilling basin depends on the energy
E
1
at this point. But the energy E1 depends on the flow energy at the tunnel exit portal E
0
and
the elevation difference between the tunnel exit portal invert and the stilling basin invert.

Figure 7.46: Stilling basin and exit channel: Plan and profile.
For full flowing tunnels the pressure head at tunnel exit portal is given as: P
0
=y
p
* D where
y
p
E
is the exit portal pressure coefficient (Fig ). The tunnel exit portal total energy is as:
0
=P
0
+v
2
/2g =y
p
D+v
2
E
/2g.
1
=E
0
But E
+(Elev tunnel invert Elev basin invert) head losses in the transitions.
1
=d
1
+v
1
2
/2g. However Q =W
b
* d
1
* v
1
, and thus d
1
=Q/(W
b
* v
1
E
), therefore:
1
=Q/(W
b
* v
1
) +v
1
2
/2g and few iteration swill provide value of v
1
. Now determine d
1
and
F
1
+ = 1 8 1
2
2
1
1
2
F
d
d
of the flow entering the basin. Now determine value of post jump conjugate depth d2 as:

The tail water level should be equal to d
2
(minimum of 0.85 d
2
). Thus required tail water
level =selected basin invert level +0.85 d
2

. If this agrees with the actual tail water level
determined from the rating curve of the exit channel, the design is accepted. Else complete
another trial with revised basin invert level.
Example: (Source: USCOE 1980 Appendix-F, p:F-1)
Q =12,320 cfs, D =14 ft, conduit slope =0.01 ft/ft, Exit portal invert elevation =100 ft amsl,
Exit channel invert =90 ft amsl, TW rating curve (Q, El):
Q 0 500 1000 1500 4000 8000 12320
El 90 91.5 92.5 93.2 95.7 98.2 100.2
Solution:
1. Conduit invert slope =tan
-1
2. Conduit area A
(0.01/1) =0.573
0
= 14
2
3. v
/2 =154 sft
0
=Q/A =12320/154 =80 ft/s
4. Exit portal pressure head =y
p
5. F
*D =0.57 * 14 =8 ft above invert.
0
6. Flare ratio for parabolic transition L = Max (2F
=80/(32.2*14)0.5 =3.77
0
, 6) =2*3.77 =7.54, and transition
angle from flow centerline = tan
-1
7. Length of fillet transition =L
(1/7.54) =7.56
f
8. Radius for fillet transition =R =5*14 =70 ft
=1.5 * 14 =21 ft.
9. Tangent length L
t
10. Elevation drop in fillet transition =0.01 * 21 =0.21 ft
= R tan (/2) = 70 * tan 7.56/2 = 4.61 ft
11. Invert elevation at end of fillet transition =100 0.21 =99.79 ft amsl
12. Equation for parabolic transition: y = - x * tan 0.573
x
2
[32.2/2*(1.25*8)
2
*cos
2
0.573] = - 0.01 x 0.00161 x
2
and is shown in figure below
for interpolation. The basin invert is placed Y below and X away from the end of fillet
transition (both X and Y to be determined as part of design computations). The Y =
invert at end of fillet section selected basin invert and corresponding X is
determined from the above parabolic equation (or graph below)

Figure 7.47: Transition bed profile.
13. Basin width W
b
=D +2 * [(X +L
f
L
t
14. Flow depth at entrance into the basin =d
)/L] = 14 + 2 *[(X + 21 4.61)/7.56} =
14+(X+16.39)/3.77
1
=Q/(W
b
*v
1
) =12320/( W
b
*v
1
15. E
)
0
=100 +8 +80
2
16. E
/2*32.2 =207. 37 ft.
1
=basin selected invert +d
1
+v
1
2
/2g =12320/( W
b
*v
1
) +v
1
2
/2g =E
0
17. 12320/( W
=207.37
(ignoring any losses in fillet and parabolic transitions and thus:
b
*v
1
) +v
1
2
/2g =207.37 - basin selected invert, (an iterative procedure is
required to determine v
1
Trial 1:
)
18. Let basin inert =80 ft amsl
19. Then Y =99.79 80 =19.79 ft and X =107.84 ft (from graph)
20. W
b
21. E =207.37 80 =127.37 =12320/( W
=14+2*(107.84+16.39)/3.77 =46.94 ft
b
*v
1
) +v
1
2
(i) let v
/2g, Iterative solution is as:
1
=50, RHS =12320/(46.94*50)+50
2
(ii) let v
/64.4 =44 (not ok)
1
=60, RHS =12320/(46.94*60)+60
2
(iii) let v
/64.4 =60.3 (not ok)
1
=80, RHS =12320/(46.94*80)+80
2
(iv) let v
/64.4 =102.66 (not ok)
1
=90, RHS =12320/(46.94*90)+90
2
(v) let v
/64.4 =128.7 (not ok)
1
=89.5, RHS =12320/(46.94*89.5)+89.5
2
22. Thus v
/64.4 =127.31 (ok),
1
=89.5 fps and d
1
23. F
=12320/(46.94*89.5) =2.93 ft
1
=89.5/(32.2*2.93)
0.5
24. d
=9.22
2
=2.93/2*[(1+8*9.22
2
)
0.5
25. 0.85 d2 =0.85 * 36.76 =31.25 ft
1]=36.76 ft
26. Required tail water level =80+31.25 =111.25 ft (which is higher than actual TWL of
100.2 ft for Q=12320 cfs), thus trial basin level is not ok.
Trial 2:
29. W
b
30. E =207.37 65 =142.37 =12320/( W
=14+2*(143.98+16.39)/3.77 =56.54 ft
b
*v
1
) +v
1
2
(i) let v
1
=90, RHS =12320/(56.54*90)+90
2
(ii) let v
/64.4 =128.2 (not ok)
1
=95, RHS =12320/(56.54*95)+95
2
(iii) let v
/64.4 =142.43 (not ok)
1
=94.9, RHS =12320/(56.54*94.9)+94.9
2
(i) let v
/64.4 =142.14 (not ok)
1
=94.95, RHS =12320/(56.54*94.95)+94.95
2
31. Thus v
/64.4 =142.29 (ok)
1
=94.96 fps and d
1
32. F
=12320/(56.54*94.96) =2.295 ft
1
=94.96/(32.2*2.295)
0.5
33. d
=11.05
2
=2.295/2*[(1+8*11.05
2
)
0.5
34. 0.85 d2 =0.85 * 34.73 =29.52 ft
1]=34.73 ft
35. Required tail water level =65+29.52 =94.52 ft (which is lower than actual TWL of
100.2 ft for Q=12320 cfs), thus trial basin level is not ok.
Trial 3:
38. W
b
39. E =207.37 70 =137.37 =12320/( W
=14+2*(133.0+16.39)/3.77 =53.63 ft
b
*v
1
) +v
1
2
(i) let v
1
=90, RHS =12320/(53.63*90)+90
2
(ii) let v
/64.4 =128.33 (not ok)
1
=91, RHS =12320/(53.63*91)+91
2
(iii) let v
/64.4 =131.11 (not ok)
1
=93, RHS =12320/(53.63*93)+93
2
(i) let v
/64.4 =136.77 (not ok)
1
=93.25, RHS =12320/(53.63*93.25)+93.25
2
40. Thus v
/64.4 =137.48 (ok)
1
=93.25 fps and d
1
=12320/(53.36*93.25) =2.464 ft
41. F
1
=93.25/(32.2*2.464)
0.5
42. d
=10.47
2
=2.464/2*[(1+8*10.47
2
)
0.5
43. 0.85 d2 =0.85 * 35.27 =29.98 ft
1]=35.27 ft
44. Required tail water level =70+29.98 =99.98 ft (which is same as actual TWL of
100.2 ft for Q=12320 cfs), thus trial basin level is ok.
Check:
45. Check the selected basin invert level of 70 ft for other discharges.
Basin fixtures:
46. As TWL is set for 0.85 of d2, baffle blocks (two rows are added)
47. Baffle block height h =Min (d
1
, d
2
48. Baffle block width w =h =2.5 ft
/6) =Min (2.464,35.27/6=5.48) =2.5 ft
49. Location of 1
st
row >=1.5 d
2
50. Location of 2
=1.5 * 35.27 =52.9 ft; select at 60 ft
nd
row at d
2
51. End sill height =h/2 =2.5/2 =1.25 ft with 1:1 u/s slope.
/2 =35.27/2 =17.6 ft from first row; select 18 ft.
Exit channel riprap and grades:
52. Velocity at end of sill: v =Q/(actual TWL top of end sill) =12320/(100.2 71.25) =
8 f/s
53. Select riprap size for v =8 f/s as W
50
=45 lb and D
50
=0.8 ft ~10 inches; use D
50
54. Designed scour hole length =0.5 d
=1
ft.
2
=35.27/2 =17.7 ft, and invert dip =0.15 d
2
55. The width of riprap and exit channel is increased by 0.3 d2 =0.3*35.27 =10.6 ft and
total width =53.6 +10.6 =64.2 ft.
=
0.15 * 35.27 =5.3 ft at 70 5.3 =64.7 ft.
56. The exit channel invert is raised at 1:10 grade from 64.7 ft amsl at end of riprap to 90
ft at start of outlet channel.
Final design:
57. The selected design for the stilling basin and exit channel are shown below.


Figure 7.48: Selected transition plan and profile.

Figure 7.49: Basin design.

http://www.popsci.com/popsci/science/5917359b9fa84010vgnvcm1000004eecbccdrcrd.html
Water Vapor Almost Busts Dam
By Brian Fortner | March 2003
A strange phenomenon was shredding Glen Canyon Dam. Here's how it was saved.
THE SITUATION Late spring, 1983. Heavy snowmelt and steady rains
create the worst flooding in nearly a century in the Colorado River basin.
Lake Powell, a 185-mile-long reservoir on the Utah-Arizona border, is the
hardest hit. Both spillways at the reservoir's 710-foot-high Glen Canyon
Dam must be opened for the first time to prevent the reservoir from
breaching its top.
On June 6, rumbling sounds begin emanating from the left spillway. It's
the calling card of cavitation, a little-understood phenomenon involving
the formation of vapor cavities in high-velocity water columns. These
cavities are short-lived, imploding with enough force to scour concrete
from the spillways. If they eat into the dam abutments, the structure
could give way, unleashing 17 billion cubic meters of water on the
canyon below.
Bureau of Reclamation engineers temporarily shut down the left spillway
to assess the damage. Philip Burgi, then a hydraulic engineer with the
federal agency, notes "five holes in a Christmas tree pattern," starting
small at the top and getting larger as they go down. The only positive: They are ripping into the
mountain below rather than toward the dam abutments on the side.
THE RESPONSE Operators install 4-foot-high wooden flatboards on top of the dam to give Lake
Powell additional capacity. These are replaced by 8-foot-high metal flashboards as the reservoir
continues to rise. By mid-June, however, concrete chunks are blasting 60 to 80 feet in the air out of
the bottom of the left spillway, along with sandstone-colored water. Operators reduce flow through the
left spillway and crank it up on the right. In July, the water level peaks just inches from the top of the
flashboards.
LESSONS LEARNED When engineers finally enter the left spillway to begin repairs, they find a crater
32 feet deep and 180 feet long at its elbow, and the holes Burgi discovered in June are now cavities
10 feet deep and 20 feet long. What's more, nearly 300 cubic yards of concrete, reinforcing steel and
sandstone have been deposited in the deflector bucket at the base of the spillway. The right spillway
suffers similar, if less severe, damage. "The spring runoff would come again in 1984," says Burgi. "We
had to get this thing up and operational, and we only had one year to do it."
Contractors blast away damaged concrete, fix tunnel linings and fill holes with 3,000 cubic yards of
concrete. Engineers, meanwhile, begin their own race to retrofit the dam with aeration slots, a new
technology that introduces small amounts of air into rushing water, cushioning the blow of imploding
vapor cavities. The plan works. The '84 runoff sets more records, but the spillways show no sign of
cavitation.
This success leads the Bureau of Reclamation to retrofit aerators to two other large dams, Hoover
and Blue Mesa. "It was a defining moment in dam design," says Burgi. "The world was watching how
we were going to solve this problem." As it turns out, the world did more than watch -- aeration slots
are now standard from the Tarbela Dam in Pakistan to the Infiernillo Dam in Mexico.
HOW AERATION WORKS
Rushing water skips over an air supply slot, creating a low pressure zone under the water's bottom
surface. This draws air into the water column from the upper portion of the slot, softening the impact
of cavitation

Tunnel Boring Machine (TBM)
TMB include cutter, conveyors, shields, rails and jacks.

Figure: A TBM. (http://www.robbinstbm.com/_img/products/cd_mb_906x365.jpg)

The equipment (http://www.soundtransit.org/documents/pdf/projects/link/central/FACT_TBM-4.pdf)
The Tunnel Boring Machine at its full size is approximately the length of a football fi eld. The
machine includes trailing gear such as supply tanks, electrical support, exhaust fans and a
conveyor belt. The weight of the TBM and trailing gear is approximately 642 tons. A 21-
foot in diameter cutterhead (the blue part) is positioned at the front of the machine. Equipped
with various cutting tools, the cutterhead turns around at the rate of 0.1 to 2.5 revolutions per
minute. Excavated material goes through openings in the face of the machine.
The spoils are brought into the machine by a corkscrew-like screw conveyor located behind
the cutter head. The spoils are then taken out the back on a conveyor system to be
temporarily stored on site and then loaded into dump trucks.
Foam is usually added to condition the soil cuttings into a paste in order for it to pass
through the conveyor for removal. Water, bentonite or polymers may also be used,
depending on the soil type, groundwater and other factors. The conditioning agents are bio-
degradable.
The machine is propelled and steered with 16 hydraulic jacks that are located around the
perimeter of the machine. The operator steers the machine using sophisticated positioning
technology that is accurate to within an inch.
The machine was manufactured by Mitsubishi Heavy Industries in Kobe, Japan and arrived
in Seattle by ship. It took 25 truck loads to deliver the boring machine in pieces to the
construction site.
Lining the tunnel with concrete
Tunnel liner segments made out of pre-cast concrete are brought into the tunnel. The
machine positions each segment into place using an arm or erector, creating a ring. Then
cement grout is placed behind the ring, forming the tunnels permanent liner. The segments
are manufactured in Tacoma by Technopref Industries/Concrete Technology Corporation. 10
inches thick, the segments include rubber gaskets and are water-tight. The TBM then uses
the surface of the liner ring to propel itself forward, by pushing against it.
REFERENCES
Davis, . HANDBOOK OF APPLIED HYDRAULICS.
Fortner, Brian. 2003. Water Vapor Almost Busts Dam. A strange phenomenon was shredding
Glen Canyon Dam. Here's how it was saved. @ www.popsci.com/popsci/science/
5917359b9fa84010vgnvcm1000004eecbccdrcrd.html
Novak et. Al. ----. HYDRAULIC STRUCTURES.
ODNR 1999. Dam Safety: Outlet Erosion Control Structures (Stilling Basins) by Ohio Dept.
of Natural Resources Fact sheet # 99-51. @
http://www.dnr.state.oh.us/water/pubs/fs_div/fctsht51.htm.
USACE. 1980 Hydraulic Design of Reservoir Outlet Works: Engineering and Design
Report., Engineer Manual. EM 1110-2-1602 (15 Oct 1980) US Army Corps of
Engineers.

Figure 7.61: Inside of the Simly dam diversion tunnel (now abandoned and plugged).

Figure 7.62. Schematic diagram of spillways and controlled-outlet facilities at Trinity Dam.
(http://www.usbr.gov/pmts/hydraulics_lab/pubs/PAP/PAP-0830.pdf)

Figure 7.63: Typical examples of short penstocks in a rockfill dam (Atatrk dam, Turkey,
http://www.waterpowermagazine.com

Figure 7.64: Shasta dam penstock (http://www.flickr.com/photos/gord99/1026444760/)

Tariq. 2008. Dam and Reservoir Engineering 8-1
Ch-8: Dam Safety and Instrumentation
Chapter 8
DAM SAFETY AND INSTRUMENTATION

8.1 GENERAL
Dams are usually very large and important structures and utmost care is needed to
ensure safety of the structure during construction and subsequent operation. Safety failures
will result in colossal loss of life and property in the event of dam breach due to flooding and
inundation of d/s areas, expenses required to bring the structure back to the operational
condition (requiring large repairs or complete reconstruction), losses on account of non-
accruing of benefits during the period of dam rebuilding but continued loan repayments, etc.
8.2 HAZARDS, RISK, FAILURES
Present national loss statistics from dam failure fully justify the need for dam owners
to better understand the public risks involved with dam ownership, the kinds of hazards that
promote these risks and the reasons why dams fail. Public risk is high because people have
been allowed to settle below dams in potential inundation zones and because new dams are
being built in less than ideal sites.
Other elements of risk include natural phenomena such as floods, earthquakes and
landslides. These hazards threaten dam structures and their surroundings. Floods that exceed
the capacity of a dam's spillway and then erode the dam or abutments are particularly
hazardous, as is seismic activity that may cause cracking or seepage. Similarly, debris from
landslides may block a dam's spillway and cause an overflow wave that erodes the abutments
and ultimately weakens the structure.
The International Commission of Large Dams (ICOLD) has determined that the three
major categories of dam failure are 1) overtopping by flood, 2) foundation defects, and 3)
piping. For earthen dams, the major reason for failure is piping or seepage. For concrete
dams, the major reasons for failure are associated with foundations. Overtopping has been a
significant cause of dam failure primarily in cases where there was an inadequate spillway.
8.3 DAM SAFETY PROGRAM
The safety of dams is encompassed in all three stages of planning and design,
construction and operation. The damage to dam usually stem from inadequate
characterization and handling of design flood, foundation failure, structural failure,
geotechnical failure etc. Adequate evaluation is required for following during various phases.
1. Planning and Design stage:
1. Layout planning of various components
2. Determination of maximum reservoir level during floods and assurance of reservoir
rim closure.
3. Physical model studies to establish adequacy of spillway and outlet works.
4. Determination of foundation conditions through elaborate geotechnical field and
laboratory investigations.
5. Seismo-techtonic studies and selection of seismic design parameters
6. Slope stability analysis to ensure safety under all loading conditions.
7. Seepage analysis of dam and foundation to select appropriate seepage control
measures.
8. Design of instrumentation system to monitor in-situ conditions during construction
and operation of the project.
2. Construction stage:
1. Review of actual foundation conditions with information obtained during construction
excavation and modifying design as per new site conditions.
2. Ensuring required construction code and material properties.
3. Monitoring of safety instruments and analysis of data.
4. Selection of appropriate design modifications based on results of review of actual
foundation conditions and instrumentation data.
3. Operation stage:
1. Close monitoring during first reservoir filling and operation of various dam structures.
2. Continuous monitoring of instrumental data and installation of additional instruments,
if needed.
3. Detailed periodic safety inspections.
4. Safety inspections and analysis of instrumental data after events of special and extra-
ordinary nature (severe earthquake, exceptionally high floods and water levels,
operation of certain dam features e.g. spillway subsequent to its maximum and near-
to-design loadings.
8.4 SAFETY INSPECTION
Dam safety is ascertained by conducting site inspections and evaluating available
informations.
Inspection Timings
Safety inspections are carried out at various intervals as:
1. Casual/routine inspections: The observations are recorded for all unusual observations
on every / any time dam structure is visited by the inspectors/dam operators.
2. Periodic / annual inspection. The dam is visited by the dam operators and/or dam
monitoring organization once a year to record all features and perform critical
analysis of instrumentation data gathered during the last year.
3. Periodic 5-yearly inspection. The dam is visited by a panel of experts engaged
specifically for this purpose out of professional/academic community having thorough
understanding and experience of their areas of expertise. The inspection is carried at a
minute detail level where operational record and instrumentation recode is analyzed
for acceptance of dam operational procedures adopted, dam stresses, distresses, dam
unusual response to usual as well unusual loading conditions, etc. The surface
condition of all concrete structures is evaluated for marks of cavitation pitting or
erosion; particularly for the spillway chute stilling basin, baffle blocks etc.
4. Special inspections. The dam is inspected and its performance evaluated at its first
filling and later after every condition of unusual loadings e.g. major earthquake, extra-
ordinary flood flows, high water levels, first operation of various structures as
spillways, stilling basins, outlets.
Each inspection ends with the preparation of performance and safety report. The report is
discussed with all stake holders and any discrepancies / shortfall / omissions completed.
Inspection Parameters
Safety inspections carried at any interval include:
I. Physical inspections of A: Embankments for cracks, depressions, holes, movements
settlements, deflection, slides, free boards, (i) condition of crest, (ii) condition of slopes, (iii)
condition of d/s toe in terms of boils, excessive seepage, piping, pore pressure, water oozing,
etc., B. Concrete structures for (i) cracking, (ii) cavitation marks. C. Reservoir rim for signs
of slips, cracks, slope failures, seepage rates D. External and internal deformations, u/s
blanket for sink holes, slope sloughing, slope condition.
II. Analysis of monitoring data for piezometers, seepage data for all relief wells, seepage
gallery, etc in terms of seepage quantity and condition (water is clear, muddy, etc) and
movement data of horizontal and vertical movements and closure data for tunnels and u/s
works, safe evacuation of floods,
III. Special problems
8.5 DAM INSTRUMENTATION
specific on project i.e. exceptionally high floods, major earthquakes etc.
"Instrumentation of a dam furnishes data to determine if the completed structure is
functioning as intended and to provide a continuing surveillance of the structure to warn of
any developments which endanger its safety" (ICOLD, 1969).
The means and methods available to monitor phenomena that can lead to dam failure
include a wide spectrum of instruments and procedures ranging from very simple to very
complex. Any program of dam safety instrumentation must be properly designed and
consistent with other project components, must be based on prevailing geotechnical
conditions at the dam, and must include consideration of the hydrologic and hydraulic factors
present both before and after the project is in operation.
Instruments designed for monitoring potential deficiencies at existing dams must take
into account the threat to life and property that the dam presents. Thus, the extent and nature
of the instrumentation depends not only on the complexity of the dam and the size of the
reservoir, but also on the potential for loss of life and property downstream of the dam.
An instrumentation program should involve instruments and evaluation methods that
are as simple and straightforward as the project will allow. Beyond that, the dam owner
should make a definite commitment to an ongoing monitoring program or the installation of
instruments probably will be wasted . This chapter discusses deficiencies in dams that may be
discovered and the types of instruments that may be used to monitor those deficiencies. Table
8.1 describes deficiencies, their causes and generic means for detecting them. Increased
knowledge of these deficiencies acquired through a monitoring program is useful in
determining both the cause of the deficiency, the necessary remedy and adequacy of thr
remeady. Involvement of qualified personnel in the design, installation, monitoring, and
evaluation of an instrumentation system is of prime importance to the success of the program.
Table 8.2 Minimum recommended instrumentation for proposed dams
Type Of
Measurement
Low hazard
Potential -
All Dam
Types
Significant or High-Hazard Potential Dams
Embankme
nt
Concrete
Gravity
Arch Buttress Separate
Spillway
Outlet
Integral
Power
House
Visual Observation x X X X X X X
Reservoir Level X X X X X X
Tail water Level X X X X X X
Drain Flow,
Seepage, Leakage
X X X X X X
Pore/Uplift Pressure X X X X
Surface Settlement X
Surface Alignment X X X X X X
Internal Movement X X X
Joint/Crack
Displacement
X X X X X
Foundation
Movement
X X X X X X
Temperature X X X
Seismic Loads x X X X X X
Loads In Post
Tensioned Anchors
X X X x X
Visual observation consists of walking tours of the crest, toes, abutments, etc.
For concrete dams greater than about 100 feet high.
Only on structurally significant joints or cracks that have visible displacement.
Should be considered for dams on compressible or weak foundations.
Should be considered on a case-by-case basis for dams in seismic zones.
Loads should be measured in anchors that are required to meet stability criteria

8.6 PHILOSOPHY OF INSTRUMENTATION AND MONITORING (FERC 2007)
The purpose of instrumentation and monitoring is to maintain and improve dam safety
by providing information to 1) evaluate whether a dam is performing as expected and 2) warn
of changes that could endanger the safety of a dam.
8.6.1 Dam Failures
The causes of dam failures and incidents have been catalogued (ASCE 1975 and
1988, Jansen 1980, National Research Council 1983, ICOLD 1992).
The common causes of concrete dam failures and incidents are:
Overtopping from inadequate spillway capacity or spillway blockage resulting in
erosion of the foundation at the toe of the dam or washout of an abutment or
adjacent embankment structure;
Foundation leakage and piping in pervious strata, soluble lenses, and rock
discontinuities; and
Sliding along weak discontinuities in foundations.
Abutment yielding (arch dam)
The principal causes of embankment dam failures and incidents are:
Overtopping from inadequate spillway capacity, spillway blockage, or excessive
settlement resulting in erosion of the embankment;
Erosion of embankments from failure of spillways, failure or deformation of outlet
conduits causing leakage and piping, and failure of riprap;
Embankment leakage and piping along outlet conduits, abutment interfaces,
contacts with concrete structures, or concentrated piping in the embankment itself;
Foundation leakage and piping in pervious strata, soluble lenses, and rock
discontinuities;
Sliding of embankment slopes due to overly steep slopes, seepage forces, rapid
drawdown, or rainfall;
Sliding along clay seams in foundations;
Cracking due to differential settlements; and
Liquefaction of embankment and/or sediment deposition u/s of the embankment.
8.6.2 Reasons for Instrumentation
Instrumentation and proper monitoring and evaluation are extremely valuable in
determining the performance of a dam. Specific reasons for instrumentation include:
Warning of a Problem - Often instruments can detect unusual changes, such as water
fluctuations in pressure that are not visible. In other cases, gradual progressive
changes in say seepage flow, which would go unnoticed visually, can be monitored
regularly. This monitoring can warn of the development of a serious seepage problem.
Analyzing and Defining a Problem - Instrumentation data is frequently used to
provide engineering information necessary for analyzing and defining the extent of a
problem. For example, downstream movement of a dam because of high reservoir
water pressure must be analyzed to determine if the movement is uniformly
distributed along the dam, whether the movement is in the dam, the foundation, or
both, and whether the movement is continuing at a constant, increasing or decreasing
rate. Such information can then be used to design corrective measures.
Proving Behavior Is as Expected - Instruments installed at a dam may infrequently (or
even never) show any anomaly or problem. However, even this information is
valuable because it shows that the dam is performing as designed and provides peace
of mind to an owner. Also, although a problem may appear to be happening or
imminent, instrument readings might show that the deficiency (say increased seepage)
is normal (merely a result of higher than normal reservoir level) and was foreseen in
the dam's design.
Evaluating Remedial Action Performance - Many dams, particularly older dams, are
modified to allow for increased capacity or to correct a deficiency. Instrument
readings before and after the change allows analysis and evaluation of the
performance of the modification.
8.6.3 Instrumentation Protocol
Instrumentation and monitoring, combined with vigilant visual observation, can
provide early warning of many conditions that could contribute to dam failures and incidents.
For example, settlement of an embankment crest may increase the likelihood of overtopping;
increased seepage or turbidity could indicate piping; settlement of an embankment crest or
bulging of embankment slopes could indicate sliding or deformation; inelastic movement of
concrete structures could indicate sliding or alkali-aggregate reaction. Conversely, lack of
normally expected natural phenomena may also indicate potential problems. For example,
lack of seepage in a drainage system could indicate that seepage is occurring at a location
where it was not expected or contemplated by the designer.
Instrumentation and monitoring must be carefully planned and executed to meet
defined objectives. Every instrument in a dam should have a specific purpose. If it does not
have a specific purpose, it should not be installed or it should be abandoned. Instrumentation
for long-term monitoring should be (1) rugged, (2) easy to maintain, (3) should be capable of
being verified or calibrated, (4) easy to read out, (5) capable of automation and remote
readout.
The primary function of monitoring is to ensure the longevity and safety of the dam.
Monitoring must ensure the timely detection of any behavior that could deteriorate the dam,
potentially result in its shutdown or failure, in order to implement corrective measures.
Monitoring also plays a fundamental role during construction. It enables the verification of
design hypotheses and may affect the construction rate of certain works. Monitoring is
particularly crucial during the initial filling of the reservoir, a critical phase in the life of a
dam.
Instrumentation is used to accurately quantify the certain parameters of structural
behavior over time and to monitor their rate of change. Thus instruments should be based on
three major selection criteria: (1) Reliability of the measurements obtained (accuracy,
resolution, precision and drift). (2) Instrument longevity, supported by numerous references
as instruments, if fail to perform, can not be replaced; at Mangla as much as 50% of the
instruments for pore water pressure are down in 40 years of dam service. (3) Ease of readout
automation, essential for efficient data collection and interpretation.
The scope of the monitoring methods employed depends on potential risk associated
with the dam and site characteristics, including: i. Dam height and type, ii. Extent of potential
damage to people and structures located in flood zone, iii. Reservoir and spillway capacity,
iv. Site seismicity, and v. Foundation weakness zones.
8.6.4. Monitoring Parameters
Various parameters to be monitored for safety of any dam include following:
a) Physical condition slopes, surfaces, reservoir rim, sand boils in the dam toe area,
b) Discharges inflows, outflows, spillway flow
c) Seepage flow pressure relief wells, toe drain, drainage gallery under spillway,
abutments
d) Water level Reservoir and tail water levels, wave amplitude and frequency
e) Movements crest settlement, deflection, lateral movement; inclination of concrete dam
u/s face, dam interior settlement/ deflection, abutment movement/ deflection
f) Pore water pressure at various locations in the dam core, shell, foundations, uplift
pressure under structures, etc.
g) Movement of joints, cracks
h) Point loads, stress, strains in the concrete dam and various structures and
i) Temperature in the concrete dam body and exteriors, in shafts, passage ways, reservoir
water temperatures
j) Water quality depth wise quality of reservoir water, seepage water (for suspended and
dissolved substances) and chemical contents
k) Meteorological / weather parameters max-min temperatures, wind velocity/direction,
rainfall, ice, relative humidity, pan evaporation rate, solar radiation
l) Siesmic activity earthquake, ground acceleration

8.7 INSTRUMENT TYPES AND USAGE
A wide variety of devices and procedures are used to monitor dams. The features of
dams and dam sites most often monitored by instruments include: Visual observations;
Movements: (horizontal, vertical, rotational and lateral); Pore pressure and uplift pressures;
Water level and flow; Seepage flow; Water quality; Temperature; Crack and joint size;
Seismic activity; Weather and precipitation; Stress and strain. Instruments for pore water and
uplift pressure and movements form the core of the monitoring activity.
Various instrumentation used to measure these pore water and uplift pressure
comprise various types of piezometers (a) Standpipe piezometers (casagrande type) (b)
Electric piezometers (vibrating wire type) (c) Pneumatic piezometers, (d) Hydraulic
piezometers (e) Pressure transducer The type of piezometer is selected as per need for
accessibility for readout, ease, accuracy etc. Instruments used for monitoring movement
(horizontal, vertical, rotational and lateral); include (a) Inclinometers, (b) extensometers (c)
Joint meters, (d) movement/settlement markers. Earthquake is monitored by using strong
motion accelerographs.
8.7.1 Piezometer:
Piezometer measure the water
pressure at its screened tip. These are
embedded in a bore hole or driven-in to
requisite level. Standpipe piezometers
are used where accessibility is easy for
its readout. Vibrating wire, pneumatic,
electric piezometers can be arranged
for a remote readout, e.g. in the
instrumentation monitoring room.
8.7.2 Extensometer
Extensometers are used for
measuring differential settlement in the
dam body. Tape extensometers are
used to measure deformation of
conduits.
8.7.3 Pendulum
Pendulum measure vertical
inclination of selected points.

Figure 8.1a: A standpipe piezometer

Figure 8.1b: Schematic of observation well Figure 8.1c: Schematic of open standpipe
piezometer installed in a borehole

Figure 8.1d: Electric probe for water level depth measurements in open standpipe
observation well and piezometers.

Wire contact end

Figure 8.1e: Schematic of vibrating wire pressure sensor.

Figure 8.1f: Vibrating wire electric piezometers.


Figure 8.1g. Schematic of pneumatic device (USACE 1995)

Figure 8.1h: Pressure transducer, cables and monitoring unit for measuring piezometric head.


Figure 8.1j: Readout unit for electrical piezometers.

Figure 8.1k: Readout units for piezometers at Simly dam.

Figure 8.2: Deep water segmental sample collection cylinder.

Figure 8.3: Inverted and hanging pendulums.

http://www.slopeindicator.com/
instruments/ext-magnet.html

Rod extensometers.

Magnetic extensometer
Figure 8.4a: Extensometer.

Figure 8.4b: Extensometer. Cross-arm gage, pipe arrangement, and measurement probe.

Figure 8.5: Tape extensometer.

8.7.4 Inclinometers (Goins, 1995.)
Introduction
An inclinometer is an instrument, which is used to measures ground movements. This
instrument measures ground movements in directions perpendicular to the axis of a drill hole
where a grooved casing has been installed. An inclinometer monitors horizontal movements
in near vertical drill holes and through the use of data reduction programs can provide a
complete and detailed profile of displacements along the drill hole. This detailed profile will
give localized ground movements wherever they occur. An inclinometer system for
measuring these detailed profiles consists of a probe fitted with guide wheels and containing
biaxial gravity-operated tilt sensor connected by an electrical cable to a power source and
readout unit.
For obtaining horizontal ground movements at only selected locations within a drill
hole, a fixed-in-place inclinometer is used. A fixed-in-place inclinometer consists of a series
of probes fitted with guide wheels and each containing a biaxial gravity-operated tilt sensor.
The probes are joined by articulated rods and suspended down a guide casing within the drill
hole. Electrical cables connect each sensor to the ground surface where they are attached to a
power supply and readout unit. The in-place inclinometer can provide ground movement
information perpendicular to the drill hole axis at the depths selected where the probe is set
with the guide casing. The in-place inclinometer will provide continuous information about
that selected depth in the guide casing. These instruments may be automated or an alarm can
be added to the unit if required.
How the Inclinometer Works
The inclinometer is an electronic instrument that measures
the averaged horizontal movement of a vertical casing usually
installed within the ground. The inclinometer consists of four
pieces of equipment, the grooved casing, the inclinometer probe,
the inclinometer cable, and the inclinometer readout. The
inclinometer is read by an operator moving the probe within the
casing and recording the data. Two values of deflection are
recorded at right angles to each other. The inclinometer reads in
both positive and negative directions according to which direction. For maximum accuracy,
two sets of readings are taken by rotating the borehole probe 180E so that the spring-loaded
wheels travel in opposite grooves of the casing. This process will eliminate or minimize
errors contributed by casing irregularities, depth measurements, and instrument calibrations.
The inclinometer does not measure displacement directly. Instead, it measures the tilt of the
casing. The tilt is converted to a lateral distance using computer software.
8.7.5 Joint meters
Joint meters are used to monitor the relative movement of two sides of a joint. The
two ends of the joint meter are cast-in the structure. Any movement is remotely read-out.
8.7.6 Crack meters
Cracks can develop across various surfaces. These need to be monitored by Crack
meters whose two sides are attached to the opposing sides of the crack.
8.7.7 Survey reference markers
Survey reference markers are installed at dam crest in a straight alignment, and tied to
two permanent markers installed on the right and left abutments. Periodic survey for
alignment control and elevation of the markers will provide information about crest
deflection and settlement.

Figure 8.6a: Inclinometer casing and probe.

Figure 8.6b: Typical inclinometer plots.
(Source: http://www.rizzoassoc.com/NewsData/Listening-to-Dam-Final.pdf)

Figure 8.6c: Inclinometer detail at surface. Figure 8.6d: Inclinometer and casing.

Figure 8.6e: Plot of inclinometer readings.

Figure 8.7: Joint meter.


8.7.8 Borros Anchor Settlement Point
The settlement point consists of an anchor and two
concentric riser pipes. The inner pipe, which is connected to
the anchor, can move freely within the outer pipe. A change
in the distance between the top of the inner pipe and the top
of the outer pipe indicates movement.

Figure 8.9: Installation of permanent reference/
measurement point for monitoring settlement on surface
of embankment dams.

Reservoir area
Dam axis
Instrument station
(Located where it
will not move when
dam moves)
Points marked
by rebar
Target station
Line of sight
(established outside traffic area)
Dam crest
Figure 8.10: Survey markers for surface settlement and surface alignment.
Figure 8.8: Anchor
settlement point.

Figure 8.11: Monitoring cracks on embankments.

8.8 MEASURING INSTRUMENTS
8.8.1 Instruments
Various instruments used to make measurements include:
a) Discharges Depth gage and rating curve,
b) Seepage flow flow meters, weirs, flumes
c) Water level Automatic water level monitor, staff gage (inclined or vertical)
d) Crest settlement surface reference markers/monuments, Extensometers
e) Deflections: - Inclinometers, Pendulums, Survey monuments, Surface inclinometer
f) Pore water pressure Piezometers
g) Uplift pressures: - Remote readable piezometers
h) Joint movement Joint meters
i) Tunnel deflections tape meters, Point studs
j) Cracks Crack meters, crack monitoring bar
k) Point loads, - Load cells, Strain gages
l) Temperature Thermometers
m) Reservoir water quality Differential depth water sampler
n) Meteorological / weather parameters Climatic instruments
o) earthquakeStrong motion accelerograph
8.8.2 Visual observations:
The visual observations by the dam owner or the owner's representative may be the
most important and effective means of monitoring the performance of a dam. The visual
inspections should be made whenever the inspector visits the dam site and should consist of a
minimum of walking along the dam alignment and looking for any signs of distress or
unusual conditions at the dam.
8.8.3 Movements:
Movements occur in every dam. They are caused by stresses induced by reservoir
water pressure, unstable slopes (low shearing strength), low foundation shearing strength,
settlement due to compressibility of foundation and dam materials, thrust due to arching
action, expansion resulting from temperature change, and heave resulting from hydrostatic
uplift pressures. They can be categorized by direction:
a) Horizontal Movement Horizontal or translational movement commonly happens in an
upstream downstream direction in both embankment and concrete dams. It involves the
movement of an entire dam mass relative to its abutments or foundation. Dam crest and
deeper layers can move. In an embankment dam, instruments commonly used for monitoring
such movement include: Extensometers, Multi-point extensometers, Inclinometers,
Embankment measuring points, Shear strips, and Structural measuring points. For a concrete
dam, instruments for monitoring horizontal movements may include: Crack measuring
devices, Extensometers, Multi-point extensometers, Inclinometers, Structural measuring
points, Tape gauges, Strain meters, Plumb lines, Foundation deformation gauges.
b) Vertical Movement: Vertical movement is commonly a result of consolidation of
embankment foundation materials resulting in settlement of the dam. Another cause is heave
(particularly at the toe of a dam) caused by hydrostatic uplift pressures. In an embankment
dam, vertical movements may be monitored by Settlement plates/sensors, Extensometers,
Vertical internal movement devices, Embankment measuring monuments. In a concrete dam,
vertical movement monitoring devices may include Settlement sensors, Extensometers,
Foundation deformation gauges
c) Rotational Movement: Rotational movement is commonly a result of high reservoir water
pressure in combination with low shearing strength in an embankment or rotation and may
occur in either component of a dam. This kind of movement may be measured in either
embankment or concrete dams by instruments such as: Extensometers, Inclinometers,
Tiltmeters, Surface measurement points Pendulums (concrete only)
d) Lateral Movement: Lateral movement (parallel with the crest of a dam) is common in
concrete arch and gravity dams. The structure of an arch dam causes reservoir water pressure
to be translated into a horizontal thrust against each abutment. Gravity dams also exhibit
some lateral movement because of expansion and contraction due to temperature changes.
These movements may be detected by: Structural measurement monuments, Tilt meters,
Extensometers, Crack measurement devices, Pendulums, Inclinometers, Joint meters
8.8.4 Pore pressure and uplift pressure:
In spite of various seepage control measures, a certain amount of water seeps through,
under, and around the ends of all dams. The water moves through pores in the soil, rock, or
concrete as well as through cracks, joints, etc. The pressure of the water as it moves acts
uniformly in all planes and is termed pore pressure. The upward force (called uplift pressure)
has the effect of reducing the effective weight of the downstream portion of a dam and can
materially reduce dam stability. Pore pressure in an embankment dam, a dam foundation or
abutment, reduces that component's shearing strength. In addition, excess water, if not
effectively channeled by drains or filters, can result in progressive internal erosion (piping)
and failure. Pore pressures can be monitored with Piezometers (electrical, open stand pipe,
casagrande, pneumatic, hydraulic, porous tube, slotted pipe), Pressure meters & gauges and
Load cells
8.8.5 Water Level and Flow:
For most dams, it is important to monitor the water level in the reservoir and the
downstream pool regularly to determine the quantity of water in the reservoir and its level
relative to the regular outlet works and the emergency spillway. The water level is also used
to compute water pressure and pore pressure; the volume of seepage is usually directly
related to the reservoir level. It is also important to establish the normal or typical flow
through the outlet works for legal purposes.
Water levels may be measured by simple elevation gauges - either staff gauges or numbers
painted on permanent, fixed structures in the reservoir - or by complex water level sensing
devices. Flow quantities are often computed from knowledge of the dimensions of the outlet
works and the depth of flow in the outlet channel or pipe.

Table 8.2: Advantages and limitations of common water level and pressure instruments.
Type Advantages Limitations
Staff Gage Simple device, inexpensive, reliable. Cannot be automated.
Float-Type
Water Level
Gage
Simple device, inexpensive, reliable.
Easily automated.
Requires readout device. Sensor must be in
water. Must be protected from ice
Ultrasonic
Water Level
Sensor
Sensor does not touch water. Easily
automated
Requires readout device. Must be corrected for
air temperature. Debris, foam, and ice can cause
false readings
Bubbler Simple device, inexpensive, reliable.
Easily automated.
Requires readout device. Sensor must be
submerged inwater.
Observation
Well
Simple device, inexpensive. Easily
automated.
Applicable only in uniform materials, not
reliable for stratified materials. Long lag time in
impervious soils.
Open
Standpipe
Piezometer

Simple to monitor and maintain.
Standard against which all other
piezometers are measured. Can be
subjected to rising or falling head tests to
confirm function. Easily automated.
Long lag time in impervious soils. Potential
freezing problems if water near surface. Porous
tips can clog due to repeated inflow and outflow.
Not appropriate for artesian conditions where
phreatic surface extends significantly above top
of pipe. Interferes with material placement and
compaction during construction. Can be
damaged by consolidation of soil around
standpipe.
Closed
Standpipe
Piezometer
Same as for open standpipe piezometers. Same as open standpipe piezometer but
appropriate for artesian conditions.
Twin-tube
Hydraulic
Piezometer

Simple device, moderately expensive,
reliable, long experience record. Short
lag time. Minimal interference with
construction operations.
Cannot be installed in a borehole, therefore,
generally not appropriate for retrofitting.
Readout location must be protected from
freezing. Moderately complex monitoring and
maintenance. Periodic de-airing required.
Elevation of tubing and of readout must be less
than 10 to 15 feet above piezometric elevation.
Can be automated, but moderately complex
Pneumatic
Piezometer
Moderately simple transducer,
moderately expensive, reliable, fairly
long experience record. Very short lag
time. Elevation of readout independent
of elevation of tips and piezometric
levels. No freezing problems.
Moderately complex monitoring and
maintenance. Dry air and readout device
required. Can be automated, but not over long
distances. Sensitive to barometric pressure.
Automation is complex. Moderately expensive
readout.
Vibrating
Wire
Piezometer
Moderately complex transducer. Simple
to monitor. Very short lag time.
Elevation of readout independent of
elevation of tips and piezometric levels.
No freezing problems. Frequency output
signal permits transmission over long
distances. Easily automated
Lightning protection required. Expensive
transducer and readout. Sensitive to temperature
and barometric pressure changes. Risk of zero
drift, but some models available with in-situ
calibration check
Bonded
Resistance
Strain Gage
(Electronic)
Piezometer
Moderately complex device, expensive.
Simple to monitor. Very short lag time.
Elevation of readout independent of
elevation of tips and piezometric levels.
No freezing problems. Easily automated.
Lightning protection required. Subject to zero-
drift, therefore, not recommended for long-term
monitoring. Expensive transducer and readout.
Voltage or current output signal sensitive to
cable length, splices, moisture, etc.

8.8.6 Seepage Flow:
Seepage must be monitored on a regular basis to determine if it is increasing,
decreasing, or remaining constant as the reservoir level fluctuates. A flow rate changing
relative to a reservoir water level can be an indication of a clogged drain, piping, or internal
cracking of the embankment. Seepage may be measured using the following devices and
methods: Weirs (any shape such as V-notch, rectangular, trapezoidal etc.), Flumes (such as a
Parshall flume), trajectory methods (for free flowing pipes and conduits), Timed-bucket
methods (volumetric method) and Flow meters
8.8.7 Water Quality:
Seepage comes into contact with various minerals in the soil and rock in and around
the dam. This can cause two problems: the chemical dissolution of a natural rock such as
limestone, or the internal erosion of soil.
Dissolution of minerals can often be detected by comparing chemical analyses of
reservoir water and seepage water. Such tests are site specific; for example, in a limestone
area, one would look for calcium and carbonates, in a gypsum area, calcium and sulfates.
Other tests, such as pH can also sometimes provide useful information on chemical
dissolution. Internal erosion can be detected by comparing turbidity of reservoir water with
that of seepage water. A large increase in turbidity indicates erosion.
8.8.9 Temperature:
The internal temperature of concrete dams is commonly measured both during and
after construction. During construction, the heat of hydration of freshly placed concrete can
create high stresses which could result in later cracking. After construction is completed and
a dam is in operation, it is not uncommon for very significant temperature differentials to
exist depending on the season of the year. For example, during the winter, the upstream face
of a dam remains relatively warm because of reservoir water temperature, while the
downstream face of the dam is reduced to a cold ambient air temperature. The reverse is true
in the summer temperature measurements are important both to determine causes of
movement due to expansion or contraction and to compute actual movement. Temperature
measurements can be made by using any of several different kinds of embedded
thermometers or by making simultaneous temperature readings on devices such as stress and
strain meters which provide means for indirectly measuring temperature of the mass.
8.8.10 Crack and Joint Size:
A knowledge of the locations and widths of cracks and joints in concrete dams and in
concrete spillways and other concrete appurtenances of embankment dams is important
because of the potential for seepage through those openings. Even more, it is important to
know if the width of such openings is increasing or decreasing. Various crack and joint
measuring devices are available, and most allow very accurate measurement. Some use
simple tape or dial gauges, while others use complex electronics to gain measurements.
8.8.11 Seismic Activity:
Seismic measuring devices (strong motion accelerograph) record the intensity and
duration of large-scale earth movements such as earthquakes. Almost all large dams use these
instruments for seismic recordings. It may or may not be necessary for a private dam to
contain any seismic devices depending upon whether it is in an area of significant seismic
risk. Seismic increments can also be used to monitor any blasting conducted near a dam site.
8.8.12 Weather and Precipitation:
Monitoring the weather at a dam site can provide valuable information about the day-
to-day performance and developing problems. A rain gauge, thermometer, and wind gauge,
evaporation pan can be easily purchased, installed, maintained and monitored at a dam site.
8.8.13 Stress and Strain:
Measurements to determine stress and/or strain are common in concrete dams and to a
lesser extent, in embankment dams. The monitoring devices previously listed for measuring
dam movements, crack and joint size and temperature are also appropriate for measuring
stress and strain. Monitoring for stress and strain permits very early detection of movement.
Various kinds of load cells are used for this purpose.

8.9 FREQUENCY OF MONITORING
The frequency of instrument readings or making observations at a dam depends on several
factors including:
Relative hazard to life and property that the dam represents
Height or size of the dam
Relative quantity of water impounded by the dam
Relative seismic risk at the site
Age of the dam
Frequency and amount of water level fluctuation in the reservoir
In general, as each of the above factors increases, the frequency of monitoring should
increase. For example, very frequent (even daily) readings should be taken during the first
filling of a reservoir, and -more frequent readings should be taken during high water levels
and after significant storms and earthquakes. As a rule of thumb, simple visual observations
should be made during each visit to the dam and not less than monthly. Daily or weekly
readings should be made during the first filling, immediate readings should be taken
following a storm or earthquake, and significant seepage, movement, and stress-strain
readings 'should probably be made at least monthly.

Table 8.3: Typical monitoring schedule for significant and high-hazard potential dams
Type of
Measurement
Frequency Of Measurements
Constructio First
Filling
First Year After
Filling
Second And Third
Years
Long-Term
Operation
Visual Observation Daily Daily Weekly Monthly Monthly
Reservoir Level - Daily to
Weekly
Semi-monthly
and at same time
as any other
measurements
Monthly and at
same time as any
other
measurements
Monthly to
quarterly and at
same time as any
other
measurements
Tailwater Level
-
Weekly Semi-monthly
and at same time
as any other
measurements
Monthly and at
same time as any
other
measurements
Monthly to
quarterly and at
same time as any
other
measurements
Drain Flow
- Daily to
Weekly
Weekly to
monthly
Monthly Monthly to
quarterly
Seepage/ Leakage
Flow
Monthly Daily to
Weekly
Weekly to
monthly
Monthly Monthly to
quarterly
Pore Pressure/
Uplift
Daily to
Weekly
Daily to
weekly
Monthly Monthly Monthly to
quarterly
Surface Settlement
-
Monthly Quarterly Semi-annually to
annually
Semi-annually to
annually
Surface Alignment
- Daily to
monthly
Quarterly Semi-annually to
annually
Semi-annually to
annually
Internal Movement
- Weekly to
Monthly
Monthly to
quarterly
Monthly to semi-
annually
Monthly to
annually
Joint/Crack
Displacement
- Weekly to
Monthly
Monthly to
quarterly
Monthly to semi-
annually
Monthly to
annually
Foundation
Movement
Weekly Weekly to
Monthly
Quarterly Semi-annually Semi-annually to
annually
Temperature Hourly to
weekly
Weekly Semi-monthly Monthly Typically not
required
Loads In
Posttensioned
Anchors
Typically
not
required
Typically
not
required
Annually Typically not
required
Quinquennially


Figure 8.12a: Instrumentation layout at Kurram Tangi Dam. (source Sohail, 2003)

Figure 8.12b: KurramTangi Dam: Instrumentation at Sections 1-1 (top) 2-2 (middle) and 3-3 (bottom).

Figure 8.13: Instrument layout for a Earth Core Rockfill Dam (ECRD) (USACE 1995, p:9-2).
8.10 INSTRUMENTATION AT LOS VAQUEROS DAM
(Lawton et al. 2007)
Description of Dam
Los Vaqueros Dam will be a zoned embankment dam with a crest length of about 1000 feet and a
maximum height of 197 feet. The design includes a thick central clay core supported by sandstone
and claystone shells. The dam foundation consists of a dipping sedimentary rock foundation
composed of sandstone, siltstone, and claystone. A grout curtain is placed beneath the core key
trench.
The appurtenant works at the dam include the outlet works to be used when filling the reservoir and
for releases to the CCWD system, and a spillway. The outlet works consists of a 5-port sloping intake
structure located on the right abutment of the dam, a 1300-foot long outlet tunnel through the right
abutment intake/outlet tunnel, and an outlet works control building at the downstream toe of the dam
with associated gates to divert water to the transfer pipeline to the CCWDs system or divert water to
the Kellogg Creek. The spillway will consist of a concrete lined approach channel, concrete-ogee
crest, and a concrete-lined discharge channel, located on the left abutment.
Instrumentation
Geotechnical parameters to be monitored by the instrumentation system are:
Pore PressuresMonitor the pore pressures within the dam to check design assumptions for
construction pore pressures, embankment consolidation, and post-construction seepage control.
Embankment DeformationMonitor embankment deformations within embankment zones and at
slope surfaces to assess design strength assumptions.
Embankment/Foundation SeepageMonitor for seepage following reservoir filling and after any
earthquakes.
Tunnel PerformanceMonitor the ground control for tunnel and portals during construction and
monitor the tunnel during operation to observe for seepage.
Strong Motion MeasurementsMeasure and record the time history of any seismic motions
imposed on the dam site. Intensive monitoring of selected instruments will be started when
motions are detected above a predetermined level.
Structure MonitoringMonitor survey measurement points on the spillway and intake structure to
detect any post-construction movements.
Meteorological MonitoringMonitor a standard set of meteorological conditions (temperature,
rainfall, wind speed/direction, relative humidity) near the Intake Control Building.
The plan of the instrumentation for the dam and a cross-section of the dam with instrumentation are
shown in Figures and , respectively.
The instrumentation monitoring system designed for the Dam and reservoir is summarized in
Table 1. Dam survey monuments, intake and spillway survey markers, inclinometers and settlement
systems, tunnel convergence points, and open standpipe piezometers will be read manually. All of the
remaining instrumentation will be monitored by an automatic data acquisition system
Of the instruments listed in the above table, the most important types for assessing the safety
of the dam are the piezometers and the seepage gauge.
(ADAS). The
strong motion instruments will be self-contained, automatic recording, solar powered units. The stored
data will be read using a portable computer after each earthquake which produces motions above a
pre-determined threshold.
Table 1 Instrumentation Summary
Instrument Type Number ADAS
Dam Vibrating Wire Piezometers 33 X
Dam Open Standpipe Piezometers 3
Tunnel Piezometers 4 X
Tunnel Convergence Points 5
Tunnel Portal Inclinometers 2
Dam Survey Monuments 31
Structure Survey Markers 9
SLEX Inclinometer/Settlement System 1
Reservoir Level Piezometers 2 X
Downstream Toe Seepage Gauge 1 X
Single Point Settlement Sensors 6
Tube Profile Settlement Gauges 2
Seismometers 3 X Seismic trigger connected to the ADAS).
Meteorological Station 1 X


Figure 8.14a: Instrumentation design of Los Vaqueros Dam - Plan


Figure 8.14b: Instrumentation design of Los Vaqueros Dam (cross section)
8.12 Roctest Telemac Instruments (www.roctest.com)

Types of Measurements

Earth and Rockfill Dams

Arch Dams

Concrete Gravity Dams

Symbols

Figure 8.15a: Symbols for instrumentation design.

Figure 8.15b: Instrumentation for concrete gravity dam.

Figure 8.15c: Instrumentation for Arch or Multiple Arch Dam.


Figure 8.15d: Instrumentation for Earth or Rock Fill Dam (Top d/s section, bottom u/s
section).


Figure 8.16a: Instrumentation for a 46 ft high homogeneous embankment dam(Source: FERC 2007). Legend: = Reservoir or tail water
level indicator; = drain flow, seepage and leakage; = Pore pressure / uplift; =Survey monument for surface settlement and surface
alignment; = Internal movement; = Joint and crack di splacement; =Foundation movement; = Temperature.


Figure 8.16b: Instrumentation for a 46 180 ft high zoned EF/RF embankment dam(bottom) (Source: FERC 2007). Legend: = Reservoir or
tail water level indicator; = drain flow, seepage and leakage; = Pore pressure / uplift; =Survey monument for surface settlement and
surface alignment; = Internal movement; = Joint and crack displacement; =Foundation movement; = Temperature.


Figure 8.17a : Minimum instrumentation for a 88 ft high concrete gravity dam (FERC 2007)). Legend: = Reservoir or tail water level
indicator; = drain flow, seepage and leakage; = Po re p ressu re / u plift; =Survey monument for surface settlement and surface
alignment; = Internal movement; = Joint and crack displacement; =Foundation movement; = Temperature.

Figure 8.17b : Minimuminstrumentation for a 120 ft high concrete gravity dam(FERC 2007) ). Legend: = Reservoir or tail water level
indicator; = drain flow, seepage and leakage; = Pore pressure / uplift; =Survey monument for surface settlement and surface
alignment; = Internal movement; = Joint and crack displacement; = Foundation movement; = Temperature.

8.13 SISGEO DAM SAFETY INSTRUMENTS Source: www.sisgeo.com
Dam monitoring instruments include piezometers, pressure cells, extensometer, tilt meters, strain
gages, joint meters, pendulums, thermometers, flow meters, inclinometer, settlement gages, and load
cells. Some of these are described below.
MAGNETIC EXTENSOMETERS
Magnet extensometer is a system - based on
British Building Research technique - for
measuring either settlement or heave at various
depths in soil, embankments, earthfill dams and
dikes.
The system consists of access tube with external
corrugate pipe, magnet rings, telescopic bottom
section with datum ring and suspension head.
Magnet rings (targets)are fixed, externally to the
access tube in the ground where movement may
occur. Magnet rings move together with
surrounding soil along the axis of the access tube.
Readings are obtained with a portable readout,
lowering the reed switch probe through the access
tube. Comparison of surveys taken over time provide profiles of ground settlement or heave.
IN-PLACE EXTENSOMETER
In-place extensometers are used in conjunction
with flush-coupled inclinometer casing for the
measurements of settlement or heave. The in-
place system is designed to be left inside the
casing to permit automatic or continuous
monitoring. Strings of in-place extensometer
sensors are joined together with stainless steel
wire. The sensors can be located at different
depths where the settlement occur. The model
equipped with biaxial tilt sensor is also available
for 3-D borehole profile monitoring. A datalogger
provides automatic monitoring and by means of
GSM module it is also possible to have on-line
monitoring of unattended locations.
HYDRAULIC ANCHOR LOAD CELLS
Hydraulic anchor load cells are used to monitor
loads in tiebacks, rock bolts and cables. They
consist of two ring-shaped stainless steel plates
welded together around their periphery. The
annular space between the plates is filled under
vacuum by de-aired oil.
The load is directly measured by a Bourdon
manometer connected to the cell body. The
manometer is calibrated in laboratory to allow
direct readings in KN. A very stiff distribution plate
is supplied, in order to ensure that the load is
applied equally over the loading surface of the cell.
Abutment plate may be not required if adequate
provision has been incorporated into the
installation design.

ELECTRIC AND VIBRATIG WIRE
PIEZOMETERS
Vibrating wire and electrical piezometers are used
to measure soil pore pressure or water table level
in boreholes. Applications include control of over-pressure in silt and clay soils, automatic
measurement of ground water levels, measurement and control of permeability and monitoring uplift
pressure and hydraulic gradients in dams and in natural or cut slopes. Output signals are easily read,
easily automated and suitable for transmission over long distances. The sensor is housed in a small
stainless steel sealed body with a porous filter tip. Filters with different porosity are available to suit
specific applications.
CASAGRANDE AND STANDPIPE PIEZOMETERS
Casagrande filter unit is used to measure the
water pressure in permeable soil. Filter unit is
made in synthesized high density polyethylene. It
is available in different models to suite all the
customer applications. Filter units have threaded
cap joint with two 0.5" twin tubes or with a 1.5"
single tube. Standpipe piezometers are used to
monitor the ground water table. The standpipe
filter unit consists of a slotted tube covered by
geotechnical fabric for filtered water entry.
Stainless steel push-in filter unit is also available
for drive-in piezometer installation in soft soils.

AUTOMATIC WATER LEVEL MONITORING
This is an integrated measuring system designed
for water level and temperature monitoring inside
wells, standpipes and Casagrande piezometers. It
consist of a submergible probe, vented cable and
battery operated miniature datalogger. The
submergible probe is equipped with a small
passive pressure sensor which provides high
accuracy and long-term stability. A vented cable
with reference tubing connects the probe to the
datalogger located at the ground level.

CRACKMETERS AND JOINTMETERS
The measurements of superficial movements are
important for the assessment of the behaviour of
civil structures and historical buildings. For this
purpose several models of crackmeters and
jointmeters have been designed. Each instrument
consists of two parts: the sensor housing and the
target. The sensor housing and target are mounted
onto two anchors. Typically the anchors are fixed
on the opposite sides of the joint or crack. The
displacement transducer housed in the sensor
body is positioned across the joint/crack enabling
to measure the changes in the distance between
the anchors. Applications include:
- Monitoring construction joints in dams, bridges and structures
- Monitoring submerged joints in concrete dams
- Monitoring superficial fissures in concrete, brick and masonry
- Monitoring the surface of shaft linings and underground openings
IN-PLACE INCLINOMETERS
In-place inclinometers are designed for automated
or remote long term monitoring of inclinometer
casings. The in-place system consists of a string
of linked inclinometer probes installed within a
grooved inclinometer casing. SISGEO in-place
inclinometers, being linked together, measure
differential movements and not simply rotations as
with other types.
SISGEO manufacture in-place inclinometers with
servo-accelerometer and magneto resistive sensor
options. A string of in-place inclinometers can be
readily connected to a data acquisition unit for real
time monitoring.
SURFACE CLINOMETER
SISGEO S500 surface clinometer measures the
changes of tilt of the surface of rock or civil
structures. Surface clinometer measures the
change of angle of the instrument sensors in their
measurement axis with reference to gravity
vertical datum. The sensor is either a magneto-
resistive or servo-accelerometer type and is
available in uniaxial or biaxial options. Model
specification, including measuring range, should
be selected to suit particular application. Output
readings are obtained with a suitable SISGEO
readout unit. Automated reading collection
provides continuous real time monitoring with tilt
alarms on preset thresholds.
PENDULUMS
Pendulums are designed to monitor the horizontal
movements in dams, dam foundations, abutments
and to determine the structural and foundation
movements of bridge piers towers and tall buildings.
The direct pendulum consists of a steel wire
anchored at the upper end to the structure, with a
tensioning weight suspended at the lower end which
is free to move in a tank filled by a damping fluid.
The inverted pendulum use the identical wire
anchored in firm soil beneath the structure, with a
floating unit to its upper end. The float is free to
move in a water tank and it allows to tension the
wire and keep it vertical.
Sisgeo floating unit allows to install two or more
inverted pendulums on the same vertical having
their anchors grouted at different depths in a single
borehole.
VIBRATING WIRE AND RESISTIVE STRAIN-
GAUGES
VW strain-gauges are used to monitor strain in steel
or in reinforced concrete and massive concrete
structures. Arc-weldable VW strain-gauge is
designed for arc welding to steel structure such as
tunnel linings, piles and bridges. The gauges are
supplied with mounting blocks.
Embedment VW strain-gauges are directly
embedded in concrete for strain measurements of
piles, foundations, dams, tunnel linings, etc. VW
strain-gauges are particularly rugged and thermally aged to minimize long-term drift and changes in
calibration.
Resistive strain-gauge are designed for dynamic measurement in concrete or steel structure and are
compensate for both temperature and bending effects.
Rebar strain-meters are designed to be embedded in concrete for the purpose of measuring concrete
strain due to imposed load. Application of rebars strain-meters are in concrete structures such as
piles, bridge, tunnel lining, foundation, retaining walls, etc.
EARTH PRESSURE CELLS
Earth pressure cells are used to monitor total
pressure in earthfill dams and embankments or
placed at the interface between the structure and
the wall of excavation.
The earth pressure cells are constructed from two
stainless steel plates, welded together around their
pheriphery. The anular space between these plates
is filled under vacuum by deaired oil.
The pressure pad is connected via a stainless steel
tube to the transducer forming a closed hydraulic
system.
The stress is then converted to an electrical signal
and may be remotely read on a variety of portable
readout units or dataloggers.
HYDRAULIC PRESSURE CELLS
Hydraulic pressure cells are designed to measure
stress in mass concrete or placed at the interface
between the structure and the wall of excavation.
The pressure pad consists of two steel plates
welded together around their periphery and spaced
apart by a narrow cavity saturated under vacuum
with de-aired oil which guarantee maximum rigidity.
A length of high-pressure rilsan tubing connects the
cavity of the pressure pad to the pressure
transducer. A repressurizing device is available for
expanding the cell after the concrete has cured.
Readings are obtained with portable readout units
or dataloggers.
.

Berga, L. (ed). 1998. DAM SAFETY. Vol-1. Proceedings International symposium 17-
19/6/98. A.A. Balkema, Rotterdam.
Risk analysis for dam overtopping. J. Hydr. Eng. ASCE. Aug-07 133(8):955-63.
Goins, Dan., 1995. INCLINOMETERS, Bureau of Reclamation, Denver Technical Center,
Denver, Colorado, USA, April 5, 1995 @
http://www.usbr.gov/pmts/instrumentation/instruments/DOC-Inclinometers.pdf
DGSI 2004. Guide to Geotechnical Instrumentation. Durham Geo Slope Indicator, @
http://www.slopeindicator.com/pdf/coursematerial/guide-to-instrumentation.pdf.
ICOLD 1969 "General Considerations Applicable to Instrumentation of Earth and Rockfill
Dams," International Commission of Large Dams, BULLETIN 21 November 1969.
ICOLD: 1992 "Improvement of Existing Dam Monitoring, Recommendations and Case
Histories," BULLETIN 87.
Lawton, G.M., J. E. ORourke, J. Paxton, and P Schoemann, Los Vaqueros dam automated
instrumentation design. [@http://www. geomation.com/ documents
Los_Vaqueros.PDF] accessed on June 11, 2007.
Sohail Anwer, 2003. Dam safety and instrumentation at Kurram Tangi Dam. Guest lecture
13-12-2003. CEWRE, UET Lahore.
USACE 1995. Instrumentation of Embankment Dams and Levees. US Army Corps of
Engineers Engineering and Design Manual EM 1110-2-1908
DEC. Inspection and Maintenance of Dams. @
www.dec.state.ny.us/website/dow/daminspect/ch6.html
www.damsafety.org/layout/subsection.aspx?groupid=10&contentid=24
www.ferc.gov/industries/hydropower/safety/projects/dspmp/background/per-plan.asp
www.ferc.gov/industries/hydropower/safety/guidelines/chap9.pdf.
www.rstinstruments.com


Figure 8.81: Pressure relief wells in abutment drainage gallery of Simly dam.

Figure 8.82: Simly dam Painted inclined staff gage.

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TARIQ. 2008.

DAM AND RESERVOIR ENGINEERING 1-1

See worked example 2.4 by Noval et al. 1990.

See worked example 2.4 by Noval et al. 1990.

See worked example 2.4 by Noval et al. 1990.

for F < 32 km and h

for F > 32 km where F is fetch or straight

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