Chapter 7.
4
IMPOUNDMENTS AND DAMS
P AUL D. N ESBITT
The planning and design of impoundments in conjunction
with mining projects takes into account many engineering and
environmental considerations. Under the environmental scrutiny
of today, any new major facility will come under public review.
Whether the public itself is involved in an item-by-item review,
the regulatory agencies will ensure that a careful review will take
place.
Initial efforts need to focus on determining the exact use
and purpose of the impoundment. Commonly, impoundments in
conjunction with mining projects are used for sediment control,
fine slurry settling ponds, and freshwater sources. There are
other purposes, but those named are the most common. Based
upon the proposed use of the facility, the design standards em-
ployed may vary. As with any design, it is not possible to design
a structure without knowing the end use. A clear definitive
statement of the end use coupled with referral to such goals as
the design/permitting/construction process proceeds will ensure
a usable and functioning end product.
For fundamental coverage of soil mechanics, see Chapter
10.1; and for related topics, see various chapters of Sections
10 and 12 (e.g., Chapter 12.1, Water and Sediment Control
Systems).
7.4.1 PRELIMINARY STUDIES
In the preliminary study phase, the site must be examined
from all aspects, using as much existing information as possible.
It is important for the designer of an impoundment to study all
available information.
Using the stated end use of the project, certain design consid-
erations may appear. Obviously, if the purpose of the im-
poundment is to settle out fines, either slurry or sediment, then
the volume and consistency of such fines must be examined.
Obviously, the finer the slurry/sediment is, the longer the deten-
tion time must be in order to achieve the desired settling rate
and subsequent water quality. If the purpose of the impoundment
is for water supply, then the quantities of the water needed must
be determined.
US Geological Survey (USGS) topographic maps then can
be utilized to determine if the volumes that were estimated to be
necessary in the impoundment can be achieved on the potential
sites. It should be emphasized that these maps are used for
planning purposes only. Coupled with these, many areas of the
country also have geologic quadrangles that map the type and
extent of the geology of a region. Also published in many regions
are soil surveys. All these items need to be analyzed to see if
there are any environmental or physical factors present that
would impact on the functioning impoundment.
Today more than ever, the designer is faced with a massive
amount of regulations and regulatory agencies to deal with in
any project. A survey of the agencies that might govern mini-
mum design or performance standards for such a facility needs
to be made immediately. All the regulations that apply should
be indexed. Obviously, the most stringent regulations for any
aspect of a project need to be followed. The agencies could
include, but are not limited to, the Office of Surface Mining
(OSM), the Mine Safety and Health Administration (MSHA),
the US Fish and Wildlife Service, and the Environmental Protec-
tion Agency (EPA) (all federal) as well as the state surface
mining agencies, the state water agency, and any other agency
that might impact this project. It is always helpful to meet with
the agencies, clearly state intentions of the project, and ask for
their input at the beginning of the process rather than after the
design is complete. Any stumbling blocks that they might reveal
can be addressed prior to work proceeding past the point where
such items need to be utilized in the design/construct process.
Several recent additions to the regulatory list should be
pointed out. It is normal now to require such items as fish and
wildlife surveys, vegetative surveys, archeological surveys, and
an inventory of wetlands. If any negative findings of these agen-
cies’ requirements are uncovered, it is easier to deal with in the
beginning of the project rather than after an exhaustive amount
of work is completed.
Using USGS topographic maps for crude volume calcula-
tions, preliminary hydrologic studies can proceed. The design
storms that are proposed from the agencies, or more stringent
design storms if desired by the designer and/or client, need to
be identified. It should be noted that the design storm is specified
for facilities given a possible chance of failure. If the client wishes,
the designer can demonstrate by statistics what the probabilities
are that the capacity of a particular impoundment hydrologic
system will be exceeded within a certain time frame. Obviously,
the longer the facility is proposed to be in service, the greater is
the statistical chance of this happening. Also, based on a hazard
classification for the structure, the greater the potential for loss
of property and/or life in case of a failure, the greater the margin
of safety that needs to be built in to the project. However, the
design standards should be arrived at after a review of the mini-
mum regulatory standards and the owner’s specifications.
From the preliminary hydrologic studies, design flows for
both mid-range storms and the maximum design storms can be
arrived at. Computer programs are readily available for such
computations.
7.4.2 HYDROLOGY
7.4.2.1 Introduction
The primary emphasis of mining hydrology is placed on
storm water hydrology. The entire hydrologic cycle is depicted
in Fig. 7.4.1, where the boxes represent storages and the arrows
represent flow. Fig. 7.4.2 indicates the parameters related to
storm water hydrology that need to be addressed in the analysis
of any single precipitation event.
Hydrographs are developed using the unit hydrograph ap-
proach. A unit hydrograph is a graph depicting the quantity of
runoff resulting from a unit of rainfall excess occurring at a
uniform rate, uniformly distributed over a watershed in a speci-
fied duration of time, plotted against time. This approach is
empirical and is based on several assumptions:
1. Uniform distribution of rainfall excess over the water-
shed.
 IMPOUNDMENTS AND DAMS
Fig. 7.4.2. Storm water hydrology.
2. Uniform rate of rainfall excess.
3. Superposition or linearity.
The last assumption states that the unit hydrograph reflects
all basin characteristics to the degree that the runoff rate is
proportional to the runoff volume for a rainfall excess of a given
duration (Barfield et al., 1981). Fig. 7.4.3 is a typical hydrograph
resulting from a storm event.
7.4.2.2 Design Considerations
If the impoundment is for sediment control or settling fine
coal particles out of a slurry, then adequate volume must be
available for this purpose. Using the best estimating techniques,
such volumes must be estimated.
Any design storm must be specified utilizing both the dura-
tion of the storm and the return occurrence of the event. For
example, the 10-yr/24-hr storm event is the amount (inches or
millimeters) of rainfall that fall in a 24-hr period every 10 years.
521
Fig. 7.4.1. Hydrologic cycle.
Fig. 7.4.3. Typical hydrograph.
These numbers are statistical derivations and published by vari-
ous agencies.
Under regulations, a dam must “contain or treat a precipita-
tion event (‘design event’) to be based on regional diversity,
terrain, climate, and other site specific conditions.” Effluent
limitation may vary depending on the size of the design storm.
At present, during base flow conditions, the 35 to 70-mg/L (0.35
to 0.70-lb/1000 gal) total suspended solids effluent limitation
must be met by all dams. If a structure is sized to the 10-yr/24-
hr precipitation event, effluent limits for flows caused by rainfall
events change to 0.5 mg/L (0.005 lb/1000 gal) settleable solids,
and a pH from 6 to 9 is required. Only the pH standard applies
during events larger than the 10-yr/24-hr storm. If a dam is
522 MINING ENGINEERING HANDBOOK
Fig. 7.4.4. Design flow chart.
sized to a smaller storm, the EPA effluent limitation of 35- to
70-mg/L (0.35- to 0.70-lb/1000 gal) total suspended solids will
still be in effect during any precipitation event.
The design event, typically a 10-yr/24-hr storm event, is
analyzed for the principal spillway. (The design procedure is
outlined in Fig. 7.4.4.) This event is routed through the dam and
the flood crest determined. The emergency spillway invert is set
at this crest elevation. This is done in order to prevent flow
through the emergency spillway during the principal spillway
design event.
The combined principal and emergency spillways are re-
quired by the regulations to safely pass a larger storm, typically
a 25-yr/24-hr precipitation event. This storm is routed through
these spillways and the flood crest determined. To calculate the
top of dam elevation, free board is added to the flood crest
elevation, typically 1 ft (0.3 m), and a percentage of the dam
height (the difference in elevation between the upstream toe of
the dam and the emergency spillway crest) is added for settle-
ment, typically 5%. The difference in elevation between the
upstream toe of the dam and top of the dam is referred to herein
as the total embankment height.
Fig. 7.4.5 illustrates the definition of theoretical detention
time. This time is defined as the time difference between the
centroid of the inflow hydrograph and the centroid of the outflow
hydrograph for the design event. The greater the detention time,
the better the effluent quality will be. Care must be taken to
prevent short-circuiting that would invalidate detention time
calculations.
Once a dam exceeds a certain height or reservoir storage,
the design criteria become more severe. Also several other gov-
ernment agencies, such as MSHA or the state water division,
may want to review the design.
There are many available numerical procedures for flood
routing hydrographs through reservoirs. Computer models are
modified numerical adaptations of the graphical Puls method
Fig. 7.4.5. Theoretical detention time.
(Warsaw et al, 198 1). This method solves the continuity equation
in the form,
(7.4.1)
where S is storage, I is inflow rate, O is outflow rate, and T is
time interval over which flow rates are averaged.
This equation states that the net change in storage, be it
positive or negative, is the difference between the volume enter-
ing the pond and the volume leaving the pond over any given
time period. All routing procedures, graphical or numerical, are
nothing more than solutions to this equation over a small period
of time.
7.4.2.3 Types of Spillways
Three different spillway systems can be utilized. The first
system is a trickle tube-emergency spillway system (Fig. 7.4.6).
This consists of a single pipe running through the dam embank-
ment. The invert of this pipe is set at the sediment pool elevation.
An emergency spillway should be used in conjunction with the
trickle tube, and can either be cut in soil or rock or be a lined
channel.
The next system is a riser-emergency spillway system (Fig.
7.4.7). This consists of a vertical pipe in the pool connecting to
a smaller pipe that runs under the dam. The same emergency
spillway installed with the trickle tube should be installed with
the riser.
A combination trickle tube, riser, and emergency spillway
system (Fig. 7.4.8) can be utilized in order to increase detention
times while bringing down the height of the dam.
The methodology used to compare the data generated by
the reservoir routing program is relatively straightforward. To
explain the rationale involved, a discussion of the hydraulics
involved is essential.
Several different types of flow are possible through the spill-
way systems analyzed. In the riser-principal spillway systems,
the following types of flow are possible:
1. Weir controlled.
2. Orifice controlled (riser).
3. Orifice controlled (principal spillway).
4. Pipe flow controlled.
At very low heads, the riser crest acts as a weir and weir flow
controls. As the head increases, the inlet begins to act like an
 IMPOUNDMENTS AND DAMS 523

Fig. 7.4.6. Trickle tube—emergency spillway dam.

Fig. 7.4.7. Riser—emergency spillway dam.

Fig. 7.4.8. Combination trickle tube—riser emergency spillway dam.

orifice with the riser crest still controlling the flow. When the
head and flow rate reach a certain point, the principal spillway
controls the orifice flow through the system. As the head contin-
ues to increase, the principal spillway pipe begins to flow full,
and pipe flow will control. In order to determine which type of
flow is controlling at any one point in the routing procedure, the
flow rates for each control are calculated. The control allowing
the smallest flow controls the system.
Flows possible in the trickle system are:
1. Weir controlled.
2. Orifice controlled.
3. Pipe flow controlled
The behavior for this system is similar to that of the riser-
principal spillway system. Flow transitions occur from weir flow
to orifice flow to pipe flow, depending on the amount of head
available at any certain time. The controlling flow at any one
point in the routing procedure is determined by computing the
flow rates for each control. The one allowing the smallest flow
controls the system.
When analyzing the combined trickle tube and riser-princi-
pal spillway systems, the same procedures outlined previously
are used. Since the pipe systems are not dependent upon each
other, flow-rate calculations for the two systems are done inde-
pendently and their outflows added to find the total outflow at
any point in the routing procedure.
In most cases, weir flow is sustained for a comparatively
short amount of time in all systems. Orifice flow controlled by
the riser is also relatively short term. Orifice flow and pipe
flow, controlled by the principal spillway and trickle tube, are
responsible for the majority of flow out of the dam. Since the
trickle tube and principal spillway are controlling most of the
flow out of the dam, results will emphasize comparison of these
two entities. Therefore systems with the same size pipe control-
ling outflow are compared to see how different types of systems
affect detention time.
Typically, the detention time for the trickle tube system is
the longest of any of the systems. Detention times for the riser-
principal spillway systems varied little with the size of the riser
and are much lower than that of the trickle tube. As the riser
diameter increases, a slight decrease in detention time occurs.
This is due to the increased weir and orifice capacity of the larger
riser. Since the riser controls flow for just a short period to time,
very little change is detected in detention time.
When combining a trickle tube with a riser-principal spill-
way system, effects on a detention time can be predicted. By
adding a riser-principal system to a trickle tube system, the flow
rate from the dam would increase thereby decreasing detention
time from the trickle tube system. Detention time for the riser-
principal spillway system would increase with the addition of a
trickle tube below the riser elevation. This would allow the ini-
tially slower trickle tube flow rate to control until the water
surface reached the riser elevation. The centroid of the outflow
hydrograph would be shifted to the right and detention time
increased.
7.4.2.4 Hydrographs
Any hydrograph represents the response of a watershed to
a particular storm event. Fig. 7.4.3 is such a hydrograph. The
524 MINING ENGINEERING HANDBOOK
hydrograph graphically represents the flow at a particular spot
in the watershed plotted against a time axis.
The base flow of the stream is represented in Fig. 7.4.3 as a
dashed line. The lag time is the time the watershed takes to
respond to a certain storm event, that is, the time it takes after
a storm event before flow resulting from the storm occurs. Of
course, lag time depends upon many factors including but not
limited to soil moistures, types and extent of vegetations, topog-
raphy, soil types, geography, etc.
The area under the curve but above the base flow represents
the volume of the storm that ran off as surface water. The
response of a watershed can then be estimated by examining the
hydrograph for lag time, time to peak, the maximum flow, and
the quantity of water discharged.
7.4.3 EMBANKMENT DESIGN
The design of the embankment itself and the configuration of
the spillway system is the basis for implementing the information
obtained by the hydrologic analysis. We discuss here the various
materials and design considerations that need to be taken into
account.
7.4.3.1 Construction Materials
Generally, the materials to be utilized in the construction
should be taken from an area adjacent to the embankment itself
in order to achieve the best economics possible. These materials
may either be earth or rock. Additionally, in conjunction with
many mining projects, the reject material from mineral or coal
processing may be utilized to construct the embankment. In this
case, it is very important to obtain representative samples of the
material to be utilized, and to analyze not only their physical
characteristics but also the potential environmental dangers that
could result from utilization of the materials.
An exploration plan must be undertaken in order to deter-
mine the characteristics of the material so that the designer can
utilize these characteristics in his/her analysis. Both disturbed
and undisturbed samples should be taken in the soil exploration
phase. The undisturbed sample can be utilized to classify materi-
als “in place,” and the disturbed samples can be utilized to
determine the common characteristics that could be achieved
during the construction process.
As in any program, the exploration phase must be docu-
mented well. Survey controls should be utilized to locate the
exact placement of the samples. Any drilling and/or classifica-
tion that is to be done should have logs prepared that detail at
a minimum the following information:
1. Job name, boring. Sample number, sample location. Sur-
face elevation.
2. Degree of saturation, observations.
3. Complete classification of the material, whether it be soil
or rock.
4. All samples correctly and completely labeled immediately
after taking.
In the exploration phase, care should be taken to totally
classify the types of material that can be utilized. Many varia-
tions of a design can be prepared, depending upon the type of
material to be utilized. If adequate descriptions of the materials
are available to the designer, he/she can evaluate the most effec-
tive combination to utilize in his/her design. It is possible that
additional sampling might have to take place after the designer
completes his/her evaluation.
In evaluating the sources, the haul distance, access, location
of groundwater, and the moisture content of the materials must
be considered.
7.4.3.2 Foundation
Drilling must take place in the area that the dam is to be
constructed in order to determine the foundation requirements
for the embankment. The underlying rock needs to be pressure
tested to make sure there are no cracks or fissures that would
allow water to seep under the embankment. At times, by moving
the embankment a small distance, such cracks can be avoided.
A small amount of analysis and testing at this point will insure
a proper working embankment.
The soils underlying the proposed embankment must also
be analyzed as to their permeability and makeup. The size of the
cutoff trench to be utilized will be determined by this analysis.
Fig. 7.4.9 is a common cross section showing the normal design
of such a cutoff trench. This cutoff trench insures that the seep-
age under the embankment will be kept to a minimum.
7.4.3.3 Embankment
The materials to be utilized in the embankment should have
been classified during the exploration phase detailed previously.
The embankment can be constructed of earth materials, rock
materials, mine reject material, or possibly even concrete. For
the purpose of this discussion, it is assumed that a concrete
embankment would not be utilized.
The materials to be utilized in a rock fill dam should be
strong, hard, durable, and relatively dense. Gradation limitations
are not restrictive for such an embankment. The materials placed
on the upstream and downstream slopes of such an embankment
must be capable of resisting weathering. Usually, it is most eco-
nomical if the materials to be utilized in the rock fill dam are
taken from the area to be inundated by the reservoir.
If the material to be used to construct the embankment
consists of earth fill, the natural materials and their ability to
be utilized or compacted in the construction process will be
examined. Since these types of embankments usually have vari-
ous zones within them, the material may need to be separated.
This requires close control during the construction process. As
shown in Fig. 7.4.10, seepage control through the embankment,
or making sure that the saturated zone stays small, is important.
This is achieved by placing drains into the embankment or imper-
vious cores to greatly decrease the amount of seepage through
the embankment itself. The placement of these drains and cores
is not done lightly by the designer. It is important in the construc-
tion process to insure that these are accurately placed.
7.4.3.4 Spillways
Spillways are designed based upon the anticipated flows as
analyzed by the hydrologist. If the spillways are to be cut into
the natural rocks and soils, care must be exercised to insure that
the fracture systems in the rock structures would not cause the
area to be unstable. If the spillways are to be cut into earth
materials, the natural slopes adjacent to this spillway need to be
studied with great care.
It must determined whether the spillway needs to be lined
or not. The need for lining is determined by the geology of the
region and the velocity of the spillway discharge. Obviously,
materials that will slake over time need to be lined. In fact, it
may be cheaper to line the channel with either concrete or asphalt
initially rather than worry about the long-term maintenance of
such a channel.
During the embankment design process, decisions need to
be made as to the materials to be utilized, to what degree they
need to be worked during the construction process, the place-

Fig. 7.4.9. Cutoff trench.
Fig. 7.4.10. Seepage control.
ment of the embankment to insure its proper functioning, and
the materials to be utilized in the spillway construction.
7.4.4 CONSTRUCTION
The best studies, planning, and engineering design processes
will be totally invalidated by poor construction practices. A
definitive quality control and quality assurance plan must be
prepared and adhered to during construction practice.
7.4.4.1 Quality Control/Assurance
Quality control and quality assurance are often confused.
These terms, as defined by the Canadian Standards Association,
are as follows:
1. Quality control: those actions that provide a means to
measure and regulate the characteristics of an item or service to
contractual and regulatory requirements.
2. Quality assurance: a planned and systematic pattern of
all means and actions designed to provide adequate confidence
that items or services meet contractual requirements and will
perform satisfactorily in service.
What this means to the designer of an impoundment is that
the quality assurance plan must be prepared along with the
design that will systematically map out the actions that need to
525
be taken to insure that the impoundment is properly constructed.
The quality control program is then the program that carries
out those actions and institutes the controls that are designed in
the quality assurance program. A quality assurance program
must be developed in order for a quality control program to be
effective.
The person onsite observing the construction practices
should be someone who realizes the consequences of deviations
from the plan. Often, during the construction process, items are
encountered that will necessitate a change in the construction
practice. All such changes need to be noted. The usefulness of
daily inspection logs and either pictures or videotaping of the
construction cannot be emphasized enough.
7.4.4.2 Construction Practices
The following identify several different aspects of construc-
tion that need to be emphasized.
Survey Controls: During the design process, mapping was
accomplished using either aerial or ground methods. Regardless
of which method was utilized, permanent points that can be
recovered both for horizontal and vertical needs should be placed
in areas where construction processes will not disturb them.
These survey points, or bench marks, should be referenced on
the drawings. Multiple bench marks should be placed so that, if
526 MINING ENGINEERING HANDBOOK
some are disturbed, the others can be utilized to replace one of
the points. From that point onward, all actions at the scene of
the construction should be referenced to these points. A baseline
should be established in such a way that a single person using
tapes or hand levels could reestablish approximate locations of
any actions. All this information should be entered in the daily
log for later reference.
The topography of a region is mapped and is critical to the
design of an impoundment. The amount of material to be stored
behind the impoundment changes as the topography is changed.
Often during the construction of an impoundment, it is planned
that excavation take place in the impoundment pool itself. While
this excavation is taking place, a greater or lesser amount of
material than planned may be taken. After the area is excavated
and regraded, another survey needs to take place so that the
designer can examine the topography of the pool to make sure
that it does meet the minimum storage standard required. Also
it is possible that if a greater storage area is behind the dam than
planned, then additional regulatory and design requirements
may be instituted. This needs to be examined as the construction
process proceeds.
As construction proceeds and quality control tests take
place, as will be described later, these need to be referenced in
the daily log, along with their specified location. If a test fails,
the location should be noted and a retesting noted at the same
location at a later date. One cannot emphasize enough that this
material must be organized and taken in a systematic manner.
Material Quality Control: All materials that are utilized in
the construction of an impoundment should have specifications
for that material. Obviously, in the design process, materials that
are onsite to be utilized will be analyzed. Any soils, rocks, etc.,
that will be utilized have been tested. It is important that the
test be representative of the type of materials to be encountered.
If the inspector notes that new materials have been encountered,
it is important to do new tests on this material. All of the design Fig. 7.4.11. Proctor curve.
processes assume certain parameters. If these parameters are not
achieved, the design process is voided.
Often the embankments will be constructed of earth materi-
als, and compaction is specified. It is important that compaction
Compaction testing can be achieved using many methods,
testing be performed often and documented well. Prior to placing
but the most convenient and modern would be testing using
the material, the ability of the material to be compacted should
nuclear density instruments. These are readily available from
be analyzed using laboratory tests, which are referred to as the
manufacturers. This allows for instantaneous readouts concern-
proctor curves and modified proctor curves. What these curves ing compaction and moisture contents. Other methodologies
represent is the ability of a material to be compacted. Fig. 7.4.11 such as the balloon or sand cone methods are available, but
represents these curves. results generally take hours to achieve.
Note that when a material has very little moisture within it, Piezometers: As construction proceeds, the installation of
it can be compacted only poorly. As the moisture content rises, piezometers may be specified. These are for the protection of
the ability of the material to compact increases. Ultimately, it the owner and tell him where the saturated zone within the
reaches a maximum compaction ability, and as more moisture embankment lies. As mentioned previously, it is desired that the
is added, the ability for it to compact decreases. The top of the seepage remain low. There will be some degree of saturation
curve is called the “100% proctor,” and it is normal practice for within the embankment, and the designer allows for this. After
designers to specify that the material compacted reach a given construction and during the inspection process, the saturated
percentage of the proctor. zone needs to be checked against the design standards. Care
Since construction practices take place in the environment, should be taken during the construction process to insure that
the moisture present will vary depending on the season and the these piezometers are placed in the proper locations, and that
weather. The moisture content of the material to be compacted any compaction around them does not damage the piezometer.
has to be checked often to make sure that it does meet the degree Cutoff Trenches: Normally, an impoundment is placed on
of compaction specified. Also present in Fig. 7.4.11 is a curve top of a valley floor where soils have accumulated. It is possible
that illustrates the conductivity of a material in relationship to that as the permanent pool establishes itself within the im-
moisture content as it is compacted. Note that the conductivity poundment, water will seep into the soil layer and under the
is much less, meaning that less seepage would occur, as compac- impoundment itself. To insure that this does not happen, a cutoff
tion is achieved on the “wet” side of the proctor curve. Less trench needs to be constructed. Fig. 7.4.9 shows such a cutoff;
seepage through an embankment is desirable; therefore, con- it is a cross section of an embankment illustrating the cutoff
struction practice should try to achieve the desired compaction trench. Construction equipment should be utilized to excavate
by utilizing the wet side of the curve. as deep as possible in this area and material compacted back in
 IMPOUNDMENTS AND DAMS
the void. This will insure that seepage under the embankment
does not occur.
Anti-Seep Collars: Anti-seep collars may be specified along
the pipe. The purpose of anti-seep collars is to prevent seepage
along the interface between the material in the dam and the
pipe itself. Because of fears of the damaging pipe, maximum
compaction may not be achieved. Additionally, if bedding mate-
rials are placed around the pipe, at time the permeability of the
bedding material is less than the embankment itself, it provides
an easy route for seepage to occur. It is of utmost importance
that these anti-seep collars be installed and that as much compac-
tion as possible be achieved around the pipe. Normally, this
is achieved by either hand compacting or using a mechanical
compactor commonly referred to as a “jumping jack.” Large
compaction equipment should not be utilized around a pipe
itself.
In summary, construction practices are extremely critical.
Experienced personnel should be utilized to monitor the con-
struction to insure that the assumptions used in the design are
met in the construction process.
7.4.5 INSPECTION
After an impoundment is constructed and placed into ser-
vice, the long-term maintenance of such a facility is of concern
to the designer. Periodic inspections are mandated by regula-
tions, but in the best interest of both the owner of the facility
and the engineer in charge of operation of the facility, periodic
inspections should be made. As with construction quality con-
trol, the inspector should be someone who is knowledgeable as
to what impact various deviations from approved plans could
make on the functioning of an impoundment. Following is a
discussion of various aspects of inspection.
Short Circuiting: In the design of the impoundment, the
designer assumes the principle of last-in/last-out. In other words,
the inflow into the impoundment will flow out of the im-
poundment only after the rest of the volume of the impoundment
is displaced. Obviously, in real life, this does not happen. Short
circuiting is a phenomena that occurs where a path of flow
exists through the impoundment. There will be areas of the
impoundment where water is stagnant and is standing, and there
will be other areas where flow through the impoundment occurs
almost as if it was a stream flowing in another body of water.
This is very simple to check for.
If a nontoxic dye is placed in the upstream inflow, any areas
where short circuiting may appear can be easily seen in the
surface of the impoundment. In addition, the length of time it
takes for the dye to appear in the outflow can be noted. In a low-
flow situation with an impoundment that should have had a two-
day retention time, the author has observed dye flowing through
a facility within 2 min.
There are several aspects within the design process that will
minimize short circuiting. Obviously, the inflow must be placed
as far away from the outflow as possible. In addition, barriers
can be constructed in the impoundment either using wood or
fabric material. Filter cloth can also be utilized to diffuse the
flow. This forces the water to seek paths other than a straight
path through the impoundment to the outflow.
Phreatic Surface: The phreatic surface within the im-
poundment is the surface area at the junction between the unsat-
urated and saturated zones. Since there is no material that is
totally impermeable, the water stored behind an impoundment
will force water through whatever structure is constructed. As
noted in a previous section, the permeability of the material is
the key factor. Designs will be prepared in order to make sure
527
that the phreatic surface or saturated zones remain at a minimum
within the embankment itself. The strength of a material is
closely related to whether the material is saturated or not. Obvi-
ously, the material is weaker when saturated; therefore, if the
phreatic surface is higher than the embankment, the factor of
safety for failure is lowered. It is safe to say that most failures
of embankments and slopes are connected to a higher saturated
zone, or greater zone than was anticipated from the design.
There are several ways to insure that the phreatic surface
does not rise within an embankment. It was noted in 7.4.4.2,
that piezometers need to placed in the embankment itself. These
piezometers need to be checked for the water surface, or the
phreatic surface, and these comparisons made with design as-
sumptions. If the water is higher than the design assumption,
then the design needs to be verified to ensure that the embank-
ment has a factor of safety that might be desired by the regulatory
agencies or the owner.
Vegetation: It is extremely worthwhile to step back from
the embankment during the inspection process and observe the
vegetation growing on the outslopes of the embankment and
downstream of the embankment. The vegetation that is growing
in a saturated area will be different from that growing in an
unsaturated area. Since the phreatic surface tends to assume a
constant elevation (since water seeks its own level), a different
type of vegetation can be noted at a specific point on the embank-
ment. Usually in spring, because of the moisture, the saturated
zones will be greener. Later on, in fall, the vegetation will be
taller and a different type of species. This is important because
normally it is not anticipated that the phreatic surface will actu-
ally outcrop on the downslope side of the embankment. Such
observations could represent the saturated zone appearing on
the downslope of the dam. When this is observed, it must be
noted and reacted to immediately.
Walking downstream, it is important to notice the types of
vegetation as well. If the cutoff trench is not constructed prop-
erly, water may seep through the soil layer next to the surface
underneath the embankment and rise to the surface some dis-
tance downstream from the embankment itself. If water is ob-
served coming upward out of the ground, it would be wise to
check its source. Obviously, it cannot assumed that it is always
from the embankment, but if it occurs immediately downstream
from the impoundment, this needs to be investigated. Again, the
use of dyes or tracers to verify the source of the water is the
easiest way to verify this aspect.
Spillways: Spillways are designed for specific flows given
normal functioning. Obviously, any restriction to the operation
of the spillway impacts on the amount of water that can flow
through a spillway.
Emergency spillways are often cut into rock. If the rock is
friable and weathers easily, such as occurs with certain shales,
this rock through the years might fall and restrict the flow in
the emergency spillway. Obviously, if the slopes are unstable
next to the emergency spillway, a slide may occur and partially
or totally block the emergency spillway.
Examination of the principal spillway pipes is of utmost
importance as well. In a riser-type design, brush and debris often
may clog the inlet into the spillway system. This needs to be
noted and removed from the inlet. Often a boat must be kept
adjacent to the embankment in the designs where the spillway
barrel may be in the middle of the embankment itself.
Pipes must be inspected to insure that if the inlet and outlets
are not protected by headwalls, machinery and/or persons have
not bent the ends of the pipe inward. When corrugated metal is
used, often the ends can become bent downward. This, in turn,
reduces the cross section available for flow and will restrict the
amount of flow through the pipe.
528 MINING ENGINEERING HANDBOOK
Sediment Load: Any impoundment will have a certain
amount of fines settle out in the pool. Obviously, in the case of
a sediment pond, this is the reason for the embankment being
constructed in the first place. In other areas, any inflow will be
carrying suspended solids and settleable solids, and they will be
deposited in the pool. In the design process, there is allowed a
certain amount of load for this. If the volume allotted for this
sediment is exceeded, the hydrology of the design is invalidated.
Inspections must be made to examine the volume of the sediment
placed in the embankment itself and the embankment cleaned
out if necessary.
All of the foregoing items need to be inspected in order
to insure that the quality control achieved in the design and
construction process is not invalidated due to improper operation
of the impoundment itself.
REFERENCES AND BIBLIOGRAPHY
Anon., 1973, Engineering and Design Manual Coal Refuse Disposal
Facilities, E. D’Appolonia Consulting Engineers, Inc., US Dept. of
the Interior, Washington, DC.
Anon., 1974, Inspection, Maintenance and Rehabilitation of Old Dams,
American Society of Civil Engineers, New York.
Anon., 1974, Safety of Small Dams, American Society of Civil Engineers,
New York.
Anon., 1975, Lessons from Dam Incidents, USA, American Society of
Civil Engineers, New York.
Anon., 1982, Surface Mining Water Diversion Design Manual, Simons,
Li & Associates, Inc., US Dept. of the Interior, Office of Surface
Mining, Washington, DC.
Acker, W.L., III, 1974, Basic Procedures for Soil Sampling and Core
Drilling, Acker Drill Co., Inc., Scranton, PA.
Attewell, P.B., and Farmer, I.W., 1976, Principles of Engineering Geol-
ogy, John Wiley, New York.
Barfield, B.J., Warner, R.C., and Haan, C.T., 1981, Applied Hydrology
and Sedimentology for Disturbed Areas, Oklahoma Technical Press,
Stillwater, OK.
Golze, A.R., 1977, Handbook of Dam Engineering, Van Nostrand Rein-
hold, New York.
Hirschfeld, R.C., and Poulos, S.J., 1973, Embankment-Dam Engi-
neering, Wiley, New York.
Huang, Y.H., 1983, Stability Analysis of Earth Slopes, Van Nostrand
Reinhold, New York.