Dams1
Dams1
INTRODUCTION
A dam is simply a barrier placed across a watercourse to prevent or retard the normal flow of
water therein. It is one of the most ancient of all structural types and scores of thousands of
them have been built in the course of history.
The first dam for which there are reliable records was built on the Nile River sometime before
4000 B.C. It was used to divert Nile and provide a site for the ancient city of Memphis. This
dam is no longer in existence. The oldest dam still in use is the Almanza Dam in Spain, which
was constructed in the sixteenth century (Linsley and Franzini, 1964).
Many remains of hydraulic works can be found in Turkey, which date hundreds or even
thousands of years back. Among them, there are several dams from Roman times or even
earlier, which are partially ruined. A series of dams constructed during Ottoman Empire
between seventeenth and nineteenth centuries are still in service. These dams are located in the
Belgrad forests in Istanbul. For a very long period they supplied water to the city (Öziş, 1977).
Table 1 summarizes the characteristics of these dams.
Table 1. Characteristics of the dams of Istanbul water supply system ( After Öziş, 1977).
Crest Max.Res.Vol
Dam Completion Height Length (1000 cu.m)
Topuz 1620 10 65 70
Büyük* 1724 15 85 1318
Topuzlu 1750 16 81 157
Ayvat 1765 15 66 156
Valide 1796 13.5 104 240
Kirazli 1818 13 60 104
Yeni 1839 17 102 243
Elmali I 1893 22 179.80 1700
* After a major failure the dam was rebuilt in 1748.
They are all masonry gravity type structures except Elmalı I Dam, which is an earthfill
embankment. They were engineered and built by the architectural masters of the Ottoman
Empire. Elmalı I Dam is an exception in this respect, and was engineered by Henry Gruner of
Switzerland (Ural and Ungan, 1967). For location of the above-mentioned dams see Figure 1.
Dam construction causes more interference with natural conditions than any other civil
engineering operation. Equally striking, however, is the critically important function that dams
perform in storing water for domestic supply, power generation, flood control, irrigation, and
recreation. Although failures of engineered works are always of serious consequence, failures
of dams are more serious than others, since they generally occur during periods of abnormal
weather, often without warning, and almost always with disastrous results. The failure of St.
Francis Dam in 1928 and associated casualty brought the importance of foundation
investigations into the agenda.
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The features that distinguish dams from other engineering structures include: (1) unusual
accumulation of large masses of building materials and water on a limited area of the earth's
surface and, hence, exceedingly heavy pressures on the foundation; (2) destructive influence of
the water in the reservoir on the foundation and on the structure itself which may cause
leakage, erosion, or even failure of the structure; and (3) emplacement always in a valley (
Krynine and Judd, 1957). Consequently, dams depend on the environmental conditions,
particularly on the geology of the site, more than other engineering structures, and in the case
of large dams, adequate geologic studies are always made.
The proper construction and maintenance of these types of structures are vital, as failures may
and have caused hundreds of deaths and millions of dollars in major property damages. Thus,
an additional distinguishing feature of dams is that unlike most other engineering structures,
the failure of a dam may result in severe loss of life and property.
TERMINOLOGY
Some of the more common terms used to describe certain portions of a dam are as follows
(also see Figure 2):
Abutments: Either the sloping sides of the valley upon which the dam is built or the actual
part of the dam that rests on this portion of the valley.
River or Channel Section: The center portion of the dam that directly overlies the river
channel or that portion of the valley that is so situated.
Heel of the Dam: The upstream portion of the dam where it contacts the bearing surface ( i.e.,
the ground or rock foundation).
Toe of the Dam: The downstream portion of the dam where it contacts the bearing surface.
Crest: The top of the dam. If walls are placed along the top of the dam to afford safety to a
road or walkway, these walls commonly are called parapet walls.
Freeboard: The distance between the highest level of water in the reservoir and the top of the
dam.
Axis of the Dam: An arbitrary imaginary line drawn either along the exact center of the plan
of the crest or along the contact between the upstream part of the crest with the upstream face
of the dam.
Dam Cross Section: Usually drawn on a vertical plane that is normal to the dam axis.
Galleries: Formed openings within the dam. They provide means for draining water seeping
through the face or the foundation, act as openings to drill grout and drainage holes, and
provide access to equipment within the dam and for observing its performance.
Dead-storage Water Surface: The elevation of the reservoir below which water stays
permanently in the reservoir and cannot be withdrawn. Also includes the silt storage, which is
that portion of the reservoir basin reserved for storing any silt, which may enter and be
deposited.
Tail Water: Water at the downstream base of the dam resulting from backup of water
discharged through the spillway, outlet works, or powerhouse.
Minimum Water Surface: The lowest elevation to which the reservoir can be lowered and
water still withdrawn by means of the outlet works.
Maximum Water Surface: The highest elevation at which water can be stored in the
reservoir without overtopping the dam or being released through the spillway.
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Spillway: It is a concrete structure that conveys floodwater from the valley upstream to the
valley downstream without damaging the dam or reservoir walls or eroding the foundation or
toe of the dam.
Diversion Tunnel: It is a tunnel constructed within the abutment rocks to carry the water of
the stream during construction of the dam.
Cofferdams: They are temporary structures built upstream and downstream from a dam to
increase the stage of the stream so that the water will flow into the diversion tunnel by gravity.
The downstream cofferdam prevents backup of water discharged from the tunnel.
Cut-off: A fabricated structure or a grout curtain placed to intercept seepage flow beneath a
dam.
Left Abutment: That portion of the dam that makes contact with its foundation on the left
side of a valley as viewed from upstream.
Right Abutment: The abutment to the right as observed from a point upstream from a dam.
B. Storage dams
1. Flood control- to store peak discharges behind dam, with releases controlled to
minimize downstream flood damage
2. Water supply-to store inflows until times of water demand, with releases
controlled to make optimum use of available water in stream
a. Irrigation supply
b. Municipal water supply
c. Industrial supply
d. Stock pond
3. Hydroelectric power-to raise stage for provision of head, as well as to provide
storage of water, since amount of power available is proportional to product
of head and discharge.
4. Sedimentation-to remove sediment from stream by retarding velocity sufficiently
to induce setting
5. Recreation-to provide water area for swimming, boating, fishing, hunting, etc
6. Groundwater recharge-to detain flood flow long enough for infiltration to occur
C. Multipurpose dams-to provide storage or stage control, or both, for two or more
purposes harmonized or compromised as necessary for optimum use.
D. Barrier dams
1. Levees and dikes-to protect land areas from overbank flow
2. Cofferdams-for temporary dewatering of construction sites
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A. Masonry dams
1. 1. Concrete gravity dams-designed so that water and other loads are resisted by
weight of dam
2. Concrete arch dams-loads resisted by arch action carried to abutments
a. Constant-center arch dams
b. Variable-center arch dams
3. Gravity-arch dams-loads resisted by combination of gravity and arch action
4. Buttress dams-loads resisted by slab or arch action between successive buttress
support
a. Slab-and-buttress dam
b. Multiple-arch dams
c. Multiple-dome dams
d. Massive-head dams
e. Truss-buttress dams
f. Columnar-buttress dams
5. Stone-masonry gravity dams
6. Stone-masonry arch dams
D. Steel dams
1. Steel slab-buttress dams
2. Sheet-steel cofferdams
3. Cellular-steel cofferdams
E. Timber dams
1. Timber slab-buttress dams
2. Timber crib dams, with rock-filled cribs
Dams are also classified as low dams (under 15-20 m in height), medium dams, and high dams
(over 100 m high). Various types of dams are illustrated in Figure 3.
In general, it is possible to design a satisfactory dam at a given site using any one of several
possible structural types and materials. The decision to use a specific type must therefore be
based largely on comparative economic studies. The following outline indicates important
factors that may influence the cost and therefore the optimum type.
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A. Site conditions
1. Geological Factors
* Gravity dams require a site where there is hard rock at or near the surface. The
thickness of overburden must not exceed 5-10 m. The rock should be capable
of sustaining 8-10 kgf/sq.cm (Walters, 1971).
* Buttress dams are suitable where the rock is capable of sustaining 20-30
kgf/sq.cm. If the rock is too weak, then the buttresses could punch into the
ground and cause heave in the intervening ground.
* Arch, cupola or dome type dams require both strong foundation and abutment
rocks. For thick arch dams, the rocks of the valley must be capable of
sustaining loads in the order of 30 kgf/sq.cm, whereas, thin arch, cupola, or
dome type dams require even stronger rocks (50-70 kgf/sq.cm).
* Rockfill dams can be built where the following conditions exist:
a. Uncertain or variable foundation,
b. Suitable rock in the vicinity-may be obtained from quarries,
c. An adequate amount of clay in the vicinity to be used either as a
vertical core or as a sloping core.
2. Topography of site
Walters (1971) classified the valleys on the basis of chord (crest length of the dam) to height
(height of the structure) ratio as follows:
a. Gorge: Chord to height ratio (C/H) <3
* Thin arch, cupola, dome dams
b. Narrow Valleys: C/H=3-6
* Gravity arch dams, gravity dams, thick arch dams
c. Wide Valleys: C/H > 6-7
* Gravity, buttress, multiple arch, earthfill, rockfill dams
d. Flat country: Plains
* Embankments
3. Availability of materials
a. Convenient source of earth or aggregate may indicate earth or masonry dam
b. Buttress dam requires smallest quantity of materials
B. Hydraulic factors
1. Spillway requirements
a. Overflow spillways best for large capacities, most feasible on gravity or slab-
buttress dams
b. Side-channel and tunnel spillways adaptable to any type.
2. Diversion requirements
a. Costs usually greater for earth dam, because of greater base thickness
3. Outlet works and penstock
a. Arch dams not adapted to large or numerous openings
C. Climatic effects
1. Spalling of concrete in cold climates disadvantage of thin arch and buttress dams
D. Traffic factors
1. Crest highways costly for thin arch and buttress dams
2. Navigation locks precluded for arch dams
E. Social factors
1. Gravity dams provide greatest safety against sudden destruction due to
earthquake, bombing, etc., with resultant damage to affected communities
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2. Benefits to be derived may control cost of dam; temporary dam may have to
suffice if benefits are small or short-range
3. Volume of employment , particularly of local labor
4. Esthetic considerations.
The major forces acting on a gravity dam are indicated in Figure 4, and defined in the ensuing
discussion. Of course, most of these forces also act on any type of dam. It is assumed that the
cross-section shown is typical for the entire width of dam and the forces therefore are
expressed in kgf per meter of width.
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FH= 1/2H , horizontal component of hydrostatic pressure, acting along a line H/3
meter above the base
FV= vertical component of hydrostatic pressure; equals to weight of fluid mass
vertically above the upstream face, acting through the centroid of that mass.
W = weight of dam= (area of cross-section of dam)* (S) where S = specific gravity
of masonry, approximately 2.4 or 2.5, acting through centroid of cross-section.
Fu= uplift force on base of dam (= 1/2 HB, acting at B/3 from the heel) as determined by
foundation seepage analysis, and integration of point pressure intensities
over base area; if foundation is homogeneous and permeable, pressure varies
approximately linearly from full hydrostatic head at the heel to full tailwater head.
Fs= additional hydrostatic force due to silt deposits near the heel (approximately 1/2
(Ss-1)(hs2)= 14 hs2, where hs is the depth of silt and Ss is the specific gravity
of the mixture of silt and water, about 1.45; any vertical component may be
neglected.
FQD= earthquake force on dam due to quake acceleration; equals to (W/g)a, where
the acceleration (a) may range from (3/4)g for rock foundations to (1/10)g for
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earth foundations in the horizontal direction, and from (1/6)g to (1/12)g in the
vertical direction, acting through centroid of dam.
FQW= earthquake force due to acceleration of water behind the dam, equals
approximately to (5/9) H2a/g, acting horizontally at a distance (4/3 )H up from
the base.
FI= force of ice on lake surface against dam (=5000hý), where hý is the depth of
freezing.
FW= wave force (=2000 hw) where hw is the wave height
R = resultant of foundation shear and bearing pressures: horizontal component,
RH= FH+FS+FQW+FI+FW acting along he base; vertical component,
Rv=W+Fv-Fu acting at a distance x from the toe that can be determined by the
requirement for rotational equilibrium of the dam, by equating to zero the sum of
the moments of all the foregoing forces about the toe of the dam.
Of the various natural factors which directly influence the design of dams none is more
important than the geological, not only do they control the character of the foundation but they
also govern the materials available for construction.
The nature of the foundations upon which the structures are to be built and the reactions of the
foundation materials to the new and different conditions of stress and strain, of hydrostatic
pressure, of exposure to weathering and oxidation, and to alternate wetting and drying must be
ascertained, in order that the proper factors of safety must be provided against any possible
change that might occur in the natural conditions during or after construction (Bell,1980).
According to Burwell and Moneymaker (1958) major flaws such as shear zones, faults, buried
channels, cavernous zones, active and potential slides, and low water tables may constitute
serious threats to stability or effective operation , or seriously interfere with construction, and
must be discovered before the project is undertaken. Minor flaws resulting from differential
weathering, jointing, bedding, foliation, hydrothermal alteration, creep, and other less
noteworthy geologic details frequently have a major influence on the location of structures, on
design assumptions and details, and on construction problems and procedures, and must be
brought to light and properly weighed. Reservoirs must hold water. Therefore, the character
and structure of the rim rocks and the groundwater conditions in them must be investigated,
understood, and adequately appraised.
The building of dams necessitates extensive use of construction materials- aggregates for
concrete structures; stone for rip rap; sand and gravel for filters and drainage; and low
plasticity clay for seal or core. Aggregates must have proper gradation and durability. Riprap
stone must not undergo serious deterioration under the effects of weathering, alternate wetting
and drying, and wave action.
Embankment slips 2%
Defective material 2%
Incorrect operation 2%
Earthquakes 1%
Above list suggests that most unanticipated difficulties have been related to geology of the site
rather than to engineering design and workmanship. As a consequence, projects should not be
embarked until all reasonable doubt relating to the geological feasibility has been removed.
Surface Investigations
Available topographic maps (1:25.000, and 1:100.000 scale) and aerial photographs
( 1:25.000, 1:35.000, and 1:60.000) provide a good basis for overall assessment of the dam
and reservoir site conditions. Once alternative dam sites have been decided a geological
reconnaissance survey must be performed to determine the pros and cons of each site and the
one which exhibits most favorable conditions should be selected as the candidate site.
Surface geological investigations include detailed mapping of the dam (1:1000 or 1:2000) and
reservoir sites (1:5000, 1:10.000 or 1:25.000). During geological mapping campaign the
stratigraphic and structural features of the dam and reservoir sites should properly be
evaluated. The contact relationships between various lithological units and the characteristics
of structural features, such as folds and faults should be determined. It is very important at this
stage to determine the nature and characteristics of the fault zones and to decide whether the
faults are active or not. The types, quantities, and locations of available construction material
sources should be described.
Hydrogeological investigations comprise observations on the existing springs and seeps, their
locations, discharge rates, and the rocks through which they are issued, the position of the
groundwater table, and general assessment of the water-bearing properties of rocks. The
reservoir must be watertight. The term "watertight" means impermeable to such a degree that
the loss of water is not of any economic significance and does not endanger the safety of the
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The modulus of elasticity is used in the design of gravity dams for comparing the different
types of foundation rocks with each other and with the concrete of the dam. In the design of
arch dams, if Young's modulus of the foundation has a lower value than that of the concrete or
varies widely in the rock against which the dam abuts, dangerous stress conditions may
develop in the dam. It should also be borne in mind that blasting during excavation of
foundations can open up fissures and joints which leads to greater deformability of the rock
mass. The deformability of the rock mass, any possible settlements, and the amount of
increase of deformation with time can be taken into consideration by assuming lower moduli of
elasticity in the foundation or by making provisions for prestressing ( see Serafim, 1964; in
Bell, 1980). Rocha (1974) showed that the deformability of a foundation is influenced by Er/Ec
ratio (the ratio of Young's modulus for the rock mass to that of the concrete). With Er/Ec
<1:16 the behavior of a dam is governed by the deformability of the foundation, whereas when
Er/Ec>1:4 the influence of the foundation is very slight.
According to Twort et al.,(1974), for a successful dam construction the following conditions
need to be fulfilled:
1. The valley sides of the reservoir must be watertight.
2. The dam must be watertight and properly connected to watertight foundation
material.
3. The dam and its foundation must be strong enough to resist all forces coming
upon them.
4. The dam and all auxiliary structures must be durable.
5. Provision must be made to pass all flood waters safely past the dam.
6. Provision must be made to draw off water from the reservoir under control, for
supply purposes.
Seismicity
The seismicity of a dam site is assessed through seismotectonic maps which cover an area
defined by a radius of approximately 100 km with respect to the dam site. The seismotectonic
map is prepared by entering all known active faults and earthquake epicenters on a base map.
Based on the types and characteristics of the faults and of the earthquake epicenters a seismic
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zoning map is prepared. The maximum earthquake magnitude of each zone is determined and
the design earthquake is selected. The ultimate product of seismic zoning studies is calculation
of peak horizontal ground acceleration, which provides major input for dynamic design of the
structure.
Faults
Faults are most troublesome if they are encountered across the length of the dam. It is better to
avoid fault zones for the construction of dams. The faults zones cause the following troubles:
• It is difficult to seal the fault zones and prevent leakage of water from the
reservoir at reasonable cost.
• The crushed and fissured rocks that exist along a fault zone in the foundation
have to be grouted intensively to increase their bearing.
• Along a fault some displacement of strata is always expected, particularly
during and earthquake. Such movement will not only reopen the fault fissure
but also rupture the dam.
• A site where the fault is known to have been active in recent year should always
be discarded.
Subsurface Investigations
Subsurface investigations at dam sites should aid the production of detailed geological maps
and sections showing the succession, structures, depth of weathering, position of the
groundwater table, and information on the physical and mechanical properties of the
foundation rocks.
Geophysical methods (electrical resistivity and seismic refraction) are commonly employed at
dam site investigations. Their best applications is in searching for buried channels and in the
approximate location of bedrock.
Core drilling is an indispensable tool of the subsurface exploration. Initially boreholes are
assigned at the crest elevation, in the middle of each abutment, and one or more in the river
section to determine the thickness of alluvium. Each borehole should extend down to depth
equal to the height of the structure. Additional holes can be assigned to the portals of the
diversion tunnel, along the spillway alignment, at the cofferdam locations, and where thick
overburden or complex geological situations are encountered. Carefully prepared borehole logs
do not only yield valuable information for the assessment of rock mass and rock material
conditions but also provide permanent record of the holes drilled (See Figure 5). Where rocks
are highly fractured and do not yield high core recovery, borehole TV cameras may be used to
visually examine the conditions in a borehole. In the boreholes various in-situ tests may also be
performed. Water pressure tests must be performed in every borehole at prescribed intervals.
This test yields valuable information regarding the zones through which leakage or seepage is
likely to occur. It also provides information concerning the hydraulic conductivity of the rock
mass. The deformation characteristics of the foundation rocks are determined through
dilatometer and pressiometer tests.
Adits provide an effective means of exploring dam abutments, especially if the valley walls are
steep. They are preferable to all other methods for exploring steeply dipping joints, faults,
shear zones, creep zones, and cavernous structures in valley walls. They also provide an
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opportunity to perform in-situ tests, and visual examination of the bedrock. Adits are driven
slightly above the maximum stage of the river in the direction perpendicular to the valley wall.
They normally extend as far as the crest length of the structure.
Trenches can be used to explore weathered zones and for exposing bedrock under shallow
overburden. They are also used to explore the fault zones.
Shafts may provide an opportunity to visually examine the in-situ bedrock conditions and to
obtain undisturbed oriented samples. However, shaft sinking is expensive and generally not
practical where the groundwater table is shallow.
In-situ Tests
Water Pressure Test: The test is also referred to as the packer or Lugeon test. In essence, it
comprises the measurement of the volume of water that can escape from an uncased section of
borehole in a given time under a given pressure. Flow is confined between known depths by
means of packers. In the double packer test flow is confined between two packers, whereas in
the single packer test between the bottom of the borehole and the packer above. Initially the
test section is selected as 5 m and depending upon the amount of water losses it is reduced to 4
m, 3 m, 2 m, and finally down to 1 m. Injection pressures are selected as 2-4-6-8-10-8-6-4-2
atm or 3-6-10-6-3 atm. The test is used to assess the amount of grout that rock will accept, to
check the effectiveness of grouting, to obtain a measure of the amount of fracturing of rock or
to give an approximate value of the permeability of the rock mass local to the borehole
(BSI,1981).
The results of the test are usually expressed in terms of Lugeon units. A rock is said to have a
permeability of 1 Lugeon if, under a head above groundwater level of 100 m, a 1 m length of
the borehole accepts 1 liter of water per minute. An approximate value of permeability may be
calculated from the following formula:
k=(Q/2 HL)loge(L/r)
where (k) is the permeability; (Q) is the rate of injection; (H) is the pressure head of water in
the test section; (L) is the length of the test section; and (r) is the radius of the test section.
Field layout of the water pressure test is given in Figure 6. Typical report form for the test is
given in Figure 7.
Grout-Take Test: Grouting refers to the process of injecting under pressure of cement-sand-
water, cement-clay-water or cement-water mixture into fissures, pores and cavities in the
ground to reduce permeability and to improve bearing capacity of the foundation rocks. A
triangular layout may be adopted for the grout-take tests. In this method injection holes are
drilled at the corners of an equilateral triangle and a control well is located at the center.
Through injection holes downstage grouting is applied at successive intervals and the success
of grouting is controlled in the central hole which was filled with sand before the test
commenced. The control hole is redrilled and grout penetration is checked by visual
examination and water pressure testing. If the sealing is found unsatisfactory additional grout
holes are drilled at the halfway along the edges of the equilateral triangle. The control hole is
backfilled with sand and injection through these secondary holes is performed. If water losses
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are found to be high tertiary holes at the midway of the secondary holes are drilled and
grouted. The procedure is repeated until satisfactory results are obtained. Major purpose of
this test is to determine the optimum distance between the grout holes, optimum mix, and
injection pressure.
Dye Test: The dye tests are generally employed to determine possible seepage paths from the
reservoir. A variety of dyes or traces may be used. Some of these include Uranine, Rhodamine
B, Sodium or Potassium Chlorides, certain Radioactive isotopes, fluorescent dyes, and spores.
The traces is introduced at one point in the flow field and its arrival at other points (
downstream springs) is observed.