CECW-ED

DEPARTMENT OF THE ARMY

U.S. Army Corps of Engineers
Washington, DC 20314-1000

Technical Letter
No. 1110-2-307

ETL 1110-2-307

20 August 1987

Engineering and Design

FLOTATION STABILITY CRITERIA FOR
CONCRETE HYDRAULIC STRUCTURES

Distribution Restriction Statement

Approved for public release; distribution is unlimited.

ETL lliO-2-307

DEPARTMENT
OF THE ARMY
US Army Corps
of Engineers
Washington,
D.C. 203141000
CEECED
Technical
Engineer
Letter
No. 1110-2-307

20 Au~st

1987

Engineering
and Design
FLOTATION
STABILITY
CRITERIA
FOR
CONCRETE
HYDRAULIC
STRUCTURES
1.
Purpose.
stability
of

This ETL provides

concrete
hydraulic

2.
App liability.
and field operating
responsibilities
.
3.

guidance
for
structures.

This ETL applies

to all
activities
having
civil

evaluating

HQUSACE/OCE
works

flotation

elements

References.
a.

EM

111022200,

Gravity

Dam

1110-2256,

Sliding

Stability

b. ETL
Structures.

Design.

for

Concrete

4.
Hydraulic
structures,
such as Uframe
locks,
Discussion.
stilling
basins,
pumping
stations,
conduits,
canal
linings,
and
are subjected
to buoyant
forces
which
spillway
sills
and aprons,
This ETL provides
guidance
for
affect
structural
stability.
determining
if the structures
are adequately
stable
with respect
to buoyant
forces.
5. Flotation
defined
as:

Safety

SFf

Factor.

The

flotation

safety

factor,

w, + w. + s
=---

SFf,

is

(1)

Uwg
where

Ws

= Weight
of the structure,
including
weights
of fixed equipment
and soil above
the top surface
of
The moist
or saturated
unit weight
the structure.
should
be used for soil above
the groundwater
table
and the submerged
unit weight
should
be used for soil
below
the groundwater
table.

Wc

= Weight
of the water
contained
within
the
structure
which
is controlled
by a echanical
valve,
or pump).
operator
(i.e.,
a gate,

S Surcharge

loads.
1

KLL 1110-2-307
20 Aug 87

u=

Wg

Uplift
forces
acting
on the
The uplift
forces
should
be
with References
3a and 3b.
= Weight
of the
gravity

base of the structure.

calculated
in accordance

of surcharge
water
above
top surface
structure
which
is totally
controlled
flow.

When calculating
SFf, the vertical
friction
along
the exterior
faces
neglected.
The basic
assumptions
flotation
safety
factor
are given
6. Flotation
Stability
should
be designed
to
factors:

by

resistance
mobilized
by
of the structure
should
be
and general
derivation
of
in Enclosure
1.

Criteria.
Concrete
hydraulic
structures
have the following
minimum
flotation
safety

Minimum
SFf

Loading
Conditions
Construction
Normal
Operation
Unusual
Operation
Scheduled
Maintenance
(e.g.,
structure
dewatered
with normal
tailwater
or normal
lower pool)
Extreme
Maintenance
(e.g.,
structure
dewatered
with maximum
tailwater
or maximum
lower pool)

1.3
1.5
1.3
1.3
1.1

Any relaxation
of these
values
will be accomplished
only with the
approval
of HQUSACE
(CEECED)
and should
be justified
by a
comprehensive
study
of the piezometric
pressure
data and
foundation
and backfill.
engineering
properties
of the structure,
Design
7.
Design
Examples.
flotation
safety
factors
are
FOR

THE

examples
contained

for
in

calculating
the
Enclosure
2.

COMMANDER:

2 Enclosures

WILLIAM
N. McCORMICK,
JR.
Chief,
Engineering
Division
Directorate
of Engineering
Construction

&

EILlll&2-307
20 Aug 87
BASIC

1. Definitions
SFf

and

ASSUMPTIONS
AND DERIVATION
FLOTATION
SAFETY
FACTOR

Symbols

= Flotation

factor.

= Weight
of the structure,
including
weights
of fixed
equipment
and soil above
the top surface
of
The moist
or saturated
unit weight
is
the structure.
used for soil above
the groundwater
table
and the
submerged
unit weight
is used for soil below
the
groundwater
table.

UC

= Weight
of the water
contained
within
the
structure
which
is controlled
by a mechanical
operator
(i.e. , a gate,
valve,
or pump).

Wg

= Weight
of the
gravity

of water
structure
flow.

Surcharge

forces

N = Normal

compo~ent

L=

Length

of

Hu,

HD

PU,

Basic

The

acting

the

Lateral

= Uplift

Assumptions

a.
b.

PD

structure

above
the
which
is

top surface
totally
controlled

by

loads.

U = Uplift

T = Tangential

should

safety

Ws

s=

2.

OF

on

of

the

the
base

component

the

structure.

reaction.

forces.

of

pressure

is

of

base.
hydrostatic

and

base

the

base

reaction.

heads.

Simplifications
a rigid

and

impermeable

mass,

A mathematical
definition
of flotation
safety
satisfy
the equation
of vertical
equilibrium.

c. Flotation
occurs
when the
reaction,
N, is equal
to zero.

normal

component

of

factor

the

base

d. Flotation
is a state
of neutral
equilibrium
which
is
independent
of the submergence
depth.
Therefore,
the flotation
safety
factor
is also independent
of the depth
of submergence
over the structure.

Enclosure

11

m
111G2-307
20 Aug 87
e. Water
which
is contained
treated
as an additional
weight.
as the interior
is flooded).

within
(This

the structure
is why damaged

should
ships

be
sink

#. The flotation
analysis
is only uncoupled
from the
stability
analysis
if the location
of the loading
resultant
is
within
the kern of the base.
If the resultant
is not within
the
kern,
the uplift
pressure
distribution
should
be modified
over
the portion
of the base which
is not in compression.

3.

Derivation

Figure

can

of

The generic
1-1.

Flotation
geometry

From Figure
be expressed

ll,
as:

N+

As
factor,

and

the

W.

loading

vertical

W.

SFf

should

be

conditions

equilibrium

Wg

are

of

the

shown

in

structure

- S = O

independent

(b) Water
contained
additional
weight.
(c)

S Ff

(l-1)

equation
(b) as:

N +

SFf

within

of
the

the

submergence

structure

should

depth.
be

treated

= 1 if N =0

The equilibrium
conditions
(a) and

The

Factor

discussed
in Paragraph
2 above,
a flotation
safety
SFf, should
satisfy
the following
basic
conditions:

(a)

as

Safety

can

be

SFf

Substituting

defined

can

= Ws +Wc

(U Wg)

to

satisfy

be

rewritten

u-

Wg

(l-2)

into

Eq.

Ws + w= + s
= --

U-wg

1-2

to

+ s

satisfy

(l-2)

condition

(c)

N + (U - Wg)
= -.

Eq.

SFf

(l1)

as:

(1-3)

(l-3),

we

get

(1-4)

ETL 1110-2-307
20 Aug 87

v
_______

I
I
I
I
,,
-

IMPERMEABLE
DARY

I
-

,.

Figure

11

Generic

Geometry

13

and

Loading

Conditions

DESIGN

1. DESIGN

A.

EXAMPLE

Design

In
illustrated:

1 - U-FRAME

CASE

design

in

Figure

Enclosure

LOCK

example,

two

1: Normal

Operating

a.
b.
c.

pool
pool
pool

II:

Upper
Lower
Lower

Extreme
a.
b.
c.

B.

EXAMPLES

Conditions

this

CASE

Structural

loading

conditions

elevation
95.0
elevation
- 64.0
in lock chamber

Maintenance

and

ft
ft

Condition

Upper pool elevation

95.0
Lower pool elevation
81.0
Lock chamber
dewatered

Dimensions

are

Condition

Loading

ft
ft

Conditions

The structural
dimensions
and loading
diagrams
The loads are tabulated
in Table 2-1.
21.

1110-2-307
20 Aug 87

2-1

are

shown

ETL 1110-2-307
20 Aug 87

LA ND SIDE

1-

26.0

8.5~
EL.99.

EL. 86.0
EL.81.O

RIVERSIDE

%0:---+-

+
. ... .,.,
...:. .
m
5 -

-42--0: +2ti-

EL.103.O

EL.85.O

EL.85.O

I
I
I
I
I

EL.95.
EL.86.

f ;
::

EL.81.O
_=

,.
.,, ,.
... ,..
..
..
*

I
I

---

EL. 64.0

Wcl

..
. ....
...
... . ...,
..

4
EL.42.O

,,.,. ,:...\,::::.::::::
i...::i.*-s; .,,.,.;..:-:..,:,::,:,:
.
,.
... ..-. .....,-.
.
....
.
..
.
-,...........,.....
. EL. 32.0 + TV..,.,..,.,,..:;,
~
\;.,..-. : ~:,....~

UPLIFT

Figure

21

Structural

PRESSURE

Dimensions

2-2

and

Loading

Diagrams

O
O

ETL 1110-2-307
20 Aug 87

Table

21

Summary

of

Loading
Conditions*
CASE 11
CASE I
--

Loads
- ._ _ ___ ___ _ ___
Weight

of

the

structure,

WS1

Weight
of soil above
WS2
#
landside,

the

Weight
of soil above
riverside,
WS3 #

the

Ws

Wsl +

WS2

+ W53

lock

Weight

of

water

in

Weight

of

water

in culvert,

Wc

= Wcl

lock

lock

above

Weight
of water
above
riverside,
Wgz
Wg

WC1

WC2

lock

the

407.7

36.2

36.2

24.8

24.8

468.7

468.7

on

chamber,

the

407.7
on

+ WC2

Weight
of water
landside,
Wgl

Loads

lock

105.0

18.0

123.0

on
21.1

21.1

17.6

17.6

38.7

38.7

on

Wgl + wg2

Uplift

pressure

at

point

(See

Fig.

21)

2.44**

2.75**

Uplift

pressure

at

point

(See

Fig.

2-1)

3.09**

3.40**

Total

uplift,

Surcharge

365.9

load,

454.3
0

* All loads are in kips/ft

except
as noted
xx Uplift
pressures
are in kips/sq
ft
# Saturated
weight
(130 lbs/cu
ft) is used for soil above
EL. 81.0 and submerged
weight
(67.5 lbs/cu
ft) is used for soil
below
EL. 81.0

2-3

ETL 111G2-307
20 Aug 87

c.

Flotation

Safety

Factors

The flotation
safety
factors
can be calculated
by
substituting
the appropriate
loads from Table
2-1 into
(1) in the basic
letter:

CASE

I : Normal

Operating

SFf

Equation

Condition

Ws + w= + s
=-Wg
u-

(1)

468.7
+ 123.0
+ O
= .
365.9
= 1.81

CASE

II:

Extreme

sFf

>

38.7
1.5

Maintenance

O.K.

Condition

Ws + Wc + s
.-_____

(1)

Uwg
468.7
+ O + O
= __---_454.3
= 1.13

2.

DESIGN

A.

EXAMPLE

Desi@n

38.7

> 1.1

2 STILLING

0.

K.

BASIN

Condition

The water
profile
used for the unusual
operating
condition
with one tainter
gate half open is shown
in Figure
22.
The upper pool elevation
is at EL. 95.0 and the tailwater
is at
The drain
effectiveness
for uplift
calculation
is
EL. 64.0.
assumed
to be 50%.

2-4

ETL 1110-2-307
20 Aug 87

I
I

A.

EL. 95.0

EL.55.O

Figure

B.

given

in

Structural

2-2

Stilling

Dimensions

The structural
Figure
23.

and

dimensions

Basin

Water

Profile

Loading

Condition

for

stilling

the

basin

Figure

23

Structural

Dimensions,
2-5

Stilling

Basin

are

ETL 1110-2-307
20 Aug 87

The final
loading
condition
is shown
in Figure
24.
It
should
be noted
that,
in this design
example,
the results
of the
stability
analysis
indicate
that a portion
of the stilling
basin
slab is not in compression.
Full uplift
force
is applied
for the
portion
of the slab that is not in compression
and the final
uplift
distribution
as shown
in Fig. 24 is obtained
through
an
iteration
process.
From the information
given
in Figs. 22, 23,
and 24, it can be shown
that:
Ws

WC

Wg
u

= Weight
of the concrete
stilling
basin
= 212.6 kips/ft
= Weight
of the water
contained
in the basin
up to
EL.35.O
= 44.5 kips/ft
= Weight
of the water
above EL. 35.0 = 244.3 kips/ft
= Final uplift
force
= 441.2
kips/ft

Figure

c.

Flotation

24

Safety

Loading

Conditions,

Stilling

Basin

Factor

The flotation
safety
factor
can
substituting
the loads
into Equation
2-6

be calculated
by
(1) in the basic

letter:

1110-2-307
20 Aug 87

W.+wc+s

SFf

=--------

(1)

Uwg
212.6
+ 44.5
+ O
= ----------
441.2

= 1.31

3.

DESIGN
A.

EXAMPLE
Design

244.3

> 1.3

3 - PUMPING

K.

0.

STATION

Condition

The loading
conditions
for an unusual
operation
condition
with water
in sump at EL. 249.0 when pumps
are shutoff
are shown
in Figure
2-5.
The saturation
line is at EL. 263.4
and moist
fill is used above saturation
line.

B.

in

Figure

Structural

Dimensions

The structural
25.
It can

w,

Ws

u
w.
s

and

Loading

dimensions
and
be shown that

Conditions

loading

diagrams

= Weight
of the structures
= B + R + S~ + P + S.G. + V.P.
where
B, weight
of the superstructure
R, weight
of the trash rack
SB , weight
of the substructure
P, weight
of the pumps,
motors,
and equipment
S.G., weight
of the switch
gear
V.P., weight
of the vacuum
pump
= 333.5 + 30.1 + 2694.1
+ 152.0
= 3227.9
k
= Uplift = 3080.6 k
= Weight
of the water
contained
structure
= O k
= Surcharge
loads = O k

are

shown

= 333.5 k
30.lk
= 2694.1
k
= 152.0 k
= 17.2 k

1.0 k

+ 17.2

1.0

within

the

in the sump is
Because
of the open trash rack, the water
weight
of the water
controlled
by gravity
flow, and therefore;
the sump should
be treated
as Wg.

Wg =

45

37.71x

6 xO.0625
2-7

= 636.36

in

ETL 1110-2-307
20 &g 87
q.

--D

\\

A
1

EQUIVALENT
LINE
EL.

...

LLINE

N
i

YpOUNDMENT
Poo L ELEv.
EQUAL
249
WHEN
PUMPS
ARE
SHUTOFF.

BASE

...

OF

. .. . .

2-5

Pumping

Wr

. ..

COMpu-fED

PRESSURE

>

I r=

x:{
,.,:

4
. .

L-232

SECTION

Figure

------. .. .. . . .. . . . . .. .. .. ...... ...... .

-N
NOTE:

/3:

266

----

GROUND

Station

A-A

Dimensions

28

and

Loading

Diagrams

ETL 1110-2-307
20 Aug 87

c.

Flotation

Safety

SFf

Factor

WE + w. + s
=------
U-wg

(1)

3227.9+
O + O
= ---------
- 3080.6
- 636.36
= 1.32

> 1.3

2-9

O.K.