Dam Safety Guidelines

Dam Safety Guidelines
 Dam Safety Guidelines on Training

 Dam Safety Guidelines on Documentation
 Dam Safety Guidelines on Emergency Action Plan
 Dam Safety Guidelines on Geological and Geotechnical
 Dam Safety Guidelines on Instrumentation and
Monitoring
 Dam Safety Guidelines on Quality Management
 Dam Safety Guidelines on Reservoir Impoundment
 Dam Safety Guidelines on Surveillance
Ministry of Energy and Mines (MEM)

Supported by World Bank (WB)
Vientiane, 2018
Table of Contents
1. Dam Safety Guidelines on Training, December, 2018
2. Dam Safety Guidelines on Documentation, December, 2018
3. Dam Safety Guidelines on Emergency Action Plan, December, 2018
4. Dam Safety Guidelines on Geological and Geotechnical, December, 2018
5. Dam Safety Guidelines on Instrumentation and Monitoring, December, 2018
6. Dam Safety Guidelines on Quality Management , December 2018
7. Dam Safety Guidelines on Reservoir Impoundment, December, 2018
8. Dam Safety Guidelines on Surveillance, December, 2018
Preface
Lao PDR is endowed with abundant water resources and is the leading contributor of the water to the lower
Mekong basin, almost a third is from Lao PDR. It is among the countries having one of the world’s highest
per capita availability of water of nearly 600,000 cubic meters per capita per annum. It is therefore but
natural that these abundant water resources are developed as a source of energy for hydroelectric
generation which the Government of Lao PDR has been doing over the past few decades after according
high priority to development in this sector. A large number of dams have been constructed since the 1960’s
to harness the water potential of the country. While dams provide the means for achieving this primary
objective of providing clean power and other benefits, they also demand a responsibility to care for their
upkeep and maintenance and to prevent / minimize damages due to wear and tear and other natural causes.
Recognizing this aspect, the Government of Lao PDR embarked on a program to create an institutional
framework for Dam safety in the country for which World Bank has stepped forward to provide necessary
support and assistance under the World Bank aided “Technical Assistance for Capacity Building in the
Hydropower and Mining Sectors” project. PricewaterhouseCoopers Pvt Ltd, India (PwC India) and Entura,
had been appointed as the consultants to support Government of Lao PDR to put in place a framework for
proper development of the power sector including the dam safety aspects.
In 2017, from April 3-7, the World Bank (WB) organized the Regional Workshop & Exposure Visits East
Asia & Pacific (EAP) and South Asia (SAR) Comparative Study of the Legal and Institutional Frameworks
for Dam Safety and Disaster Resilience in Tokyo, Japan. The Department of Energy Management (DEM),
represented by Mr. Bouathep Malaykham, Deputy Director General and Mr. Viengsay Chantha, Director of
Division, participated in this workshop. DEM found that the dam safety guidelines were very important for
dam safety management in Lao PDR. As such, DEM requested the WB to support MEM/DEM for preparing
the dam safety guidelines.
As a part of the project, a framework of dam safety guidelines has been developed by Entura in order to
build a culture of dam safety in the country and to provide capacity building and infrastructure for the same.
The framework of dam safety has been put together in the form of eight topic wise guidelines as below:
1. Dam Safety Guidelines on Training.

2. Dam Safety Guidelines on Documentation.
3. Dam Safety Guidelines on Emergency Action Plan.
4. Dam Safety Guidelines on Geological and Geotechnical.
5. Dam Safety Guidelines on Instrumentation and Monitoring.
6. Dam Safety Guidelines on, Quality Management.
7. Dam Safety Guidelines on Reservoir Impoundment.
8. Dam Safety Guidelines on Surveillance.
The contents of these guidelines have been created taking into view the best practices from around the
world and considering the present status of development and practices being followed in the country.
Reference to existing Standards and other technical documents as appropriate in Lao PDR have been kept
in mind while preparing these guidelines.
These are the first set of documents in Lao PDR on the subject and set out the main principles governing
the management of dam safety. Dam safety as a subject has been receiving increasing attention world over
during the last few decades and effort has been made by Entura to incorporate the best practices being
followed around the world in these guidelines.
The Ministry of Energy and Mines takes this opportunity to thank the World Bank and their consultants
PwC India and Entura for the valuable assistance they have provided in developing these guidelines. The
Ministry would also like to thank all participating organizations and staff for their cooperation in
successfully establishing these guidelines, which will help the all concerned personnel and organizations.
The Government of Lao recognizes that these guidelines have been framed as a first step towards starting a
dam safety culture in the country, especially in the view of some unfortunate incidents in the recent past.
These would evolve over time with usage and experience and are designed to ensure that the existing as
well as future dams that are built will remain safe and provide benefits in the long term.
List of Team Members for establishment of
Dam Safety Guidelines 2018
Government of Lao PDR
• Mr. Sychath BOUTSAKITTIRATH, Director General, Department of Energy Management

• Mr. Bouathep MALAYKHAM, Deputy Director General , Department of Energy Management
• Mr. Houmphanh VONGPHACHANH, Deputy Director General , Department of Energy
Management
• Dr. Phoukhong SENGVILAY, Director of Division, Department of Energy Management
• Mr. Viengsay CHANHTHA, Director of Division, Department of Energy Management
• Mr. Phouxay VIENGVIXAY, Director of Division, Department of Energy Management
• Mr. Bounthavee CHANHTANGEUN, Deputy Director of Division, Department of Energy
Management
• Mr. Amphaivanh PHASAVATH, Technical official, Department of Energy Management
• Mr. Khampasert BOUDTICHAK, Technical official, Department of Energy Management
• Professor Boualinh SOYSOUVANH, Ph.D, Dean of Faculty of Engineering, NUOL.
• Mr. Daophet PHOTIVANH, Deputy Director of Division, Department of Energy Business
• Mr. Vilanhdone KEOPHILA, Acting Director of Division, EDL-GEN
• Mr. Somdeth LAKHONVONG, Deputy Director of Division, Department of Energy Policy and
Planning
• Dr. Kaona BOUAPHA, Deputy of IDD, Department of Irrigation
• Dr. Ounla SIVANPHENG, Vice Dean, Faculty of Water Resources, NUOL
• Mr. Bounheng SOUVANNAHUE , Deputy head of Hydrological Division, DMH
• Mr. Kindavong LUANGRATH, Director Deputy Division , NDMO
World Bank
• Mr. Satoru Ueda, Lead Dam Specialist

• Mr. Takafumi Kadono, Senior Energy Specialist
Entura/ PwC India
• Mr. A.K. Bajaj, Dam Safety Specialist, Entura

• Dr. Zafarul Hasan, Dam Specialist, Entura
• Dr. Tapanjyoti Mukhopadhyay, Geological and Geotechnical Expert, Entura
• Mr. Ajit Garg, Project Manager, Entura
• Mr. Rajeev Raina, Senior Consultant, Entura
• Dr. Amanda Ashworth, Entura
• Mr. Subhrajit Datta Ray, Director, PwC India
Multiconsult United Kingdom
• Mr. Christopher Grant, Technical Director

LAO PEOPLE’S DEMOCRATIC REPUBLIC
PEACE INDEPENDENCE DEMOCRACY UNITY PROSPERITY
Dam Safety
Guidelines on
Training
December, 2018
Table of Contents
1. Introduction 1
2. Personnel Involved and Training Areas 2
3. Training Procedure 4
3.1 Training Agency 4
3.2 Identification of Training Needs 4
3.3 Centralised Training Calendar by Government Authority 4
3.4 Organizing Training 5
3.5 Training Feedback 5
3.6 Evaluation of Training Feedback Effectiveness 5
3.7 Training Frequency 5
3.8 Staff Training Records 5
3.9 Training Documentation 6
4. Online Dam Safety Training Programs by International Organizations 7
Annexure 1: (Reference) Training Need Identification Questionnaire 8
Annexure 1.1: Knowledge, skills and Attitude 9
Annexure 1.2: Learning Preference 10
Annexure 1.3: Changing business environment 11
Annexure 2: (Reference) Training Feedback Form 12

Dam Safety Guidelines - Training
1. Introduction
Large numbers of dams/ hydropower projects are currently in different phases of planning
construction and operation in Lao PDR. The safe operation of dams has significant social, economic
and environmental relevance and a dam failure can result in extremely adverse impacts, including
large-scale loss of human life and destruction of infrastructure and property. It is of paramount
importance that the Government Authority and Project Company possess the necessary skills to assess
the safety of dams, manage a proper dam safety program in line with Laos Dam Safety Guidelines and
have the capacity to undertake regular inspections of dams and to conduct investigations on dams
whenever the need arises. In order to ensure the sound management and oversight functions of Dam
Safety, an ongoing training program for associated staff is very critical through educational
opportunities, professional development short courses, attendance at seminars and conferences,
and/or participation in professional societies and associations organised by the Government Authority
or other institutions.
This Guideline on Dam Safety Training is being introduced so that the Government, both at the
Central and Provincial level, the technical departments and the Project Companies have a clear
understanding on the type of skills development and capacity building that is necessary for the safe
and proper design, construction, inspection and operation and maintenance of dams.
Every Project Company while submitting their application for hydropower development must also
submit the list of technical personnel along with their curriculum vitae that will be involved in the
design, construction and O&M of Dams. The curriculum vitae should clearly mention the trainings that
the personnel have undertaken on Dam Safety and in the areas as identified in Section 2 and their
overall knowledge of all the Dam Safety Guidelines in effect in Lao PDR.
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2. Personnel Involved and Training

Areas
The areas/fields in which the staff of the various stakeholders in the Dam Safety management program
of the country need to be trained is suggested in the following table:
Group / Stake Holder Training Areas
Government Authority • Understanding of the obligation of the Government agencies, as well as

that of the Project Company as mandated by relevant legislation.
• Understanding of the social and environmental impacts and the
mitigation measures, as well as the expectations of the community
• Knowledge of dam engineering, risk management principles, and dam
safety governance
• Understanding of all the Laos Dam Safety Guidelines
• Understanding of international practices being followed and ensure the
Laos Dam Safety Guidelines keep pace with modern standards, practices,
and technology
• Ability to review and approve submittals.
• Understanding of Integrated Water Resources Management and ability to
review dam applications in a holistic manner with special emphasis on
Hydropower applications.
• Arrange specialised training from international experts for its internal
staff as well as Project Company staff
Project Company • Understanding of the responsibilities relating to dam safety and the
significance of hazard and risk
• Thorough knowledge of all Dam Safety Guidelines
• Understanding of the risk profile of its own dam(s)
• Thorough knowledge of preparing and implementing a dam safety
management plan
• Understanding of asset management planning principles
• Understanding of portfolio risk management (where owner of more than
one dam)
• Understanding of quality control procedures
Dam Engineer • A thorough understanding of:
( both from Government as o Design principles including structural, geotechnical, hydrologic
well as Project Company and hydraulic
perspective )
o Construction techniques
o Instrumentation and monitoring equipment and processes
o Dam surveillance processes and responses
o Dam failure modes, consequence assessment and responses
o Audit and review techniques
2
o Risk evaluation and management techniques, Operation and

maintenance procedures
o Clear understanding of LEPTS, Basic Design and all technical
guidelines including dam safety guidelines and legal duties
o Emergency response planning
Operation and • A thorough understanding of
Maintenance Engineers
o Operating risks and safe operation procedures
o Dam failure modes and responses
o Dam surveillance processes
o Dam condition assessments
o Instrumentation Data analysing and processing
o Environmental and water quality issues
o Environmental flow
o Dam safety maintenance practices
o Reservoir operation
o Data management, analysis and reporting
o Emergency response planning and incident management
o Health and Safety issues applicable to working on dam site
Inspectors and other field • A thorough understanding of:
personnel
o Dam failure modes and responses
o Dam surveillance principles, including inspection and
monitoring
o Dam operation and maintenance procedures
o Emergency response procedures and communication protocols
o Ability to undertake regular inspections during construction and
O & M phases of the project.
o Understanding of Laws on Electricity, Dam safety regulations,
LEPTS, Dam safety guidelines and the ability to apply them
during the inspections.
o Health and Safety issues applicable to working on dam site
Land use planners • Awareness of the dam hazard category

• Awareness of the impact of land zoning on downstream inhabitants
Counter disaster personnel • Emergency planning and response
• Awareness of the dam hazard category
• Understanding of community expectations
Public at risk • Awareness of the hazard
• Understanding of specific rules relating to activities on or around a
company’s dam
• Emergency awareness and response processes and communication
channels
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3. Training Procedure
3.1 Training Agency
The Government Authority shall be responsible for coordinating and monitoring effectiveness of dam
safety training program in Lao PDR. The Government may also conduct specialised Dam Safety
training programs through recognized institutes, collaboration with universities, international experts
or through its technical departments as deemed appropriate. The expenditure for the training shall be
borne by attendees of the training program or funded by sponsoring agencies.
Apart from the training conducted by the Government Authority or recognized institutes, the Project
Companies shall also provide training to its staff, time to time, to upgrade their skills based either on
available online courses and seminars conducted by various international organisations or, through
physical in-country programmes. Some details of same are provided in Section 4 of this guideline.
3.2 Identification of Training Needs

Section 2 above has identified the knowledge and skills required by all the stakeholders involved in the
design, construction, operation and maintenance, and inspection of dams. Each of the agencies and
competent authorities must ensure that the required capability and capacity is available to effectively
fulfil their mandates related to the safe operations of dams. The head of the agencies of the
Government Authority and the Project Company through the personnel department must carry out an
assessment of the training needs by circulating a “Training Need Identification Questionnaire” (refer
Annexure 1) to its employees and through focused group discussions / workshops with the
management team. These data would help to identify the following:
• Basic knowledge of the applicant
• Identification of competencies and gaps for each level
• Areas for training and possible duration
• Number of employees to be trained
• Target date by when the trainings should be conducted
• Budget requirements
3.3 Centralised Training Calendar by Government

Authority
Based on the data received through the self-assessment form and discussions with focus groups, the
training areas shall be determined and an annual training calendar shall be prepared by the Project
Company and submitted to Government Authority. Based on the inputs received from different
projects, Government Authority shall prepare a consolidated annual training calendar and circulate
among its internal staff and Project Companies and call for nominations to attend. The Government
and the Project Companies shall nominate their personnel and must confirm that the nominated
trainees have the basic qualification to be able to absorb and understand the training and achieve the
required competency at the end of the training. The training calendar shall be kept flexible in order to
accommodate any additional urgent needs of the Project Companies.
It would be mandatory that every Project Company nominate their staff to attend the Dam Safety
Training organized by the Government. The Government may at the request of the Project Company
also organize specific training for them. In the event the Project Company would like to organize its
own training, the course and the syllabus must be consistent with the Dam Safety Training Guidelines.
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3.4 Organizing Training

The trainings shall be organized either in house or at an external location using internal or external
faculty. With a view to encouraging cross learning, combined training programmes with internal and
external participants and faculty may be organised.
Information relating to training programmes shall be sent to Project Companies concerned and
nominations obtained.
The dam safety training programs shall cover the identified training areas for different personnel and
shall be based on any of the following methodology;
• Lectures
• Classroom exercises and/or simulations
• Case studies
• Field visits and on-site practical exercises
The attendance shall be recorded for internal staff and external participants attending the training
programmes conducted by Government Authority. Certificates of attendance shall be provided to
record participation.
3.5 Training Feedback

A training feedback form shall be used to gather feedback from participants after completion of each
module about the effectiveness of training programmes organised by the Government Authority /
external training programmes to which Government Authority / Project Companies staff were deputed
to participate and shall be obtained using “Training Feedback Form” (Refer Annexure 2).
Participants’ feedback shall be consolidated, analysed and presented to Government Authority in order
to determine the areas for improvement and recommendations for any future courses.
3.6 Evaluation of Training Feedback Effectiveness

The Government Authority shall evaluate the effectiveness of the trainings in enhancing the
competence of staff and consider the same while identifying the need for additional training or
considering modification to the training modules.
3.7 Training Frequency

It is mandatory that all new staff of Government Authority / Project Company undergo, shortly after
starting service, a minimum induction-training program of at least two weeks in the their respective
fields of work.. Thereafter, depending on the type of work the personnel are involved with, a regular
schedule of training should be prepared to upgrade skills and keep abreast of latest developments in
their respective fields. The training as per this schedule must be provided, which should in any case be
not less than, at least 25 hours refresher training, every year.
3.8 Staff Training Records

The Government Authority and Project Company shall maintain the record of training attended by
their respective staff.
5
3.9 Training Documentation

The Government Authority / Project Company shall store all training documentation including
programs, material, presentations, work booklets etc. These records shall be kept on file / soft copy on
computers at the project office and must be available to all the staff and readily accessible.
6
4. Online Dam Safety Training

Programs by International
Organizations
Apart from the Dam Safety Programs organised by the Dam regulator in Lao PDR, there are other
courses available online in other parts of the world, which can be attended by Government employees
or Project Company staff from their respective locations to enhance knowledge in specific fields. These
are listed below.
• Association of State Dam Safety Officials (ASDSO) provides a number of online dam safety
modules. This includes some very general, basic dam safety training, as well as some technically
specific topics. Information can be found on the ASDSO website (https://damsafety.org/
training-center).
• Federal Emergency Management Agency (FEMA) Training Aids for Dam Safety (TADS): TADS
is a self-contained, self-paced training course consisting of 21 modules (workbooks and videos).
The modules are organized into 3 components: Dam Safety Inspection; Dam Safety Awareness,
Organization and Implementation and Data Review, Investigation, Analysis and Remedial
Actions for Dam Safety. These modules can be obtained from the FEMA website
(www.fema.gov) under Publication Number 609DVD.
• Dam safety short courses, workshops, seminars, or comprehensive capability programs
organised jointly by Asian Institute of Technology, Thailand and Entura Clean Energy and
Water Institute (ECEWI), Australia. The ECEWI has a strong reputation in dam safety related
training by real-world experts working on new and operating assets. ECEWI has delivered
training in countries across the Asia region, including Laos PDR. Courses can be targeted at
different job function or management responsibility and level of technical expertise from
overarching governance to dam safety surveillance or specific technical competencies such as
risk evaluation, portfolio risk assessment, dam break modelling, or emergency response
planning. Information on customising to suit the relevant training participants can be found on
its website. (http://www.entura.com.au/training/customised-training).
• Dam safety workshops organised by Lower Mekong Initiative
• Dam safety liabilities course organised by Australian National Committee on Large Dams
(ANCOLD)
• Dam engineering training program in cooperation with International Committee on Large Dams
(ICOLD) can be organised in Laos PDR
7
Annexure 1: (Reference) Training

Need Identification Questionnaire
The purpose of this questionnaire is to find out the knowledge, skills and abilities used in daily work
activities by each individual. The information collected through this questionnaire will be used to
design and develop appropriate training programs.
The questionnaire contains the following sections
Section 1: Knowledge, skills and Attitude
Section 2: Learning preference
Section 3: Changing business environment
This questionnaire is to be filled by individuals in key roles and they be requested to complete all the
sections. For every department, one questionnaire can be used to capture information for all the roles
in that department.
Name
Role
Level
Department
Name of TNA Anchor
Contact Details of TNA Anchor
8
Annexure 1.1: Knowledge, skills and

Attitude
About the role
Location Brief description of Knowledge and skills Challenges faced in

the role required to complete executing responsibilities
the job
In your opinion, what do you think are the training needs for your own role?
Training Needs for the role- Technical Training Needs for the role- Behavioural
9
Annexure 1.2: Learning Preference

Please write the preference for Training Medium for the Training Areas
Interactive group sessions Knowledge based Self-learning options

information sessions (correspondence material,
books)
Training Area A
Training Area B Training Area C
10
Annexure 1.3: Changing business

environment
Keeping in view of the changing business environment, technology and emerging challenges please
answer the following questions
Please list the changes in the role that will be required to improve productivity and
remove bottlenecks
Changes to the role to improve productivity and remove bottlenecks
Please list the required technical and managerial/soft skills for each role in the
changing business environment, technology and emerging challenges.
Technical Skills Required Behavioural/Managerial Skills Required
11
Annexure 2: (Reference) Training

Feedback Form
We would appreciate it if you could spend a few minutes filling in this form before you leave (please
hand it to the trainer when you’ve finished).
Title of training course:
Date:
Name of Trainer(s):
Areas of Training Poor Average Good Excellent
Overall Verdict 1 2 3 4
Training Structure 1 2 3 4
Training Content 1 2 3 4
Quality of Handouts 1 2 3 4
Session Length 1 2 3 4
Trainer(s) 1 2 3 4
What did you like about the course?
What do you think could be improved?
Outline things that you have learnt in this session
Do you have any suggestions for new training sessions?
12
Dam Safety
Guidelines on
Documentation
December, 2018
Table of Contents
1. Introduction 1
2. Documentation 2
2.1 Planning Stage Documentation 2
2.2 Construction and Commissioning Stage Documentation 2
2.2.1 Technical Specifications, Detailed Designs and Drawings and Reports 2
2.2.2 Additional Investigation Report 3
2.2.3 Foundation Report 3
2.2.4 Quality Assurance /Quality Control Plans including Quality Control
Report 3
2.2.5 Monitoring Report 3
2.2.6 Impoundment Report 3
2.2.7 Flood Management Report 3
2.2.8 Construction/ Commissioning Photographs and Videos 3
2.2.9 As-Built Drawings 4
2.2.10 Operation, Maintenance and Training Manual 4
2.2.11 Commissioning Report 4
2.3 Operating Stage Documentation 4
2.3.1 Documents relating to Dam Safety Management System 4
2.3.2 Reservoir Operation Report 4
2.3.3 Instrumentation Monitoring Report 5
2.3.4 Surveillance and Evaluation Reports 5
2.3.5 Training Records 5
2.3.6 Maintenance Records and Log Book 5
2.3.7 Incidents and Failures 5
2.3.8 Emergency Action and Event Reporting 5
3. Document Management 7
Annexure 1: Planning Stage Documentation 9
Annexure 2: Construction and Commissioning Stage Documentation 10
Annexure 3: Operation Stage Documentation 12

Dam Safety Guidelines - Documentation
1. Introduction
Efficient management and surveillance of dams, like any other major civil engineering structure, needs
permanent and immediate availability of all relevant updated information on its design, its
construction and its operation.
Records of the dam’s history are important information source for Dam Safety Review, for formulating
remedial measures and for taking informed emergency actions to prevent release of uncontrolled
water from the dam, particularly if they contain details of the designer’s intentions, the characteristics
of the material used, construction records and the history of the dam’s performance since
commissioning. Data books for each dam, which should be kept by the Project Company, are a good
way to compile and retain relevant information on the history of dams and are a valuable source of
records on the dam for use at various occasions as per requirement and more particularly at the time
of Dam safety review.
The primary objective of this guideline is to establish the documentation procedure and records to be
maintained to highlight the importance of collecting and managing key documents and records for the
dam for its whole life-cycle.
1
2. Documentation
The documentation for dam spans right from planning to operation stage or, in the eventuality of
decommissioning of the dam to that stage as well, wherein number of documents are required to be
prepared and maintained in order to have important historical background about the dam
performance. These historical records will be highly useful in future for persons not involved at the
relevant stages of the life of the dam to understand the dam history. The documentation required to be
maintained at different stages of dam is discussed below in detail.
2.1 Planning Stage Documentation

The documentation at planning stage mainly comprise of pre-feasibility study, final feasibility study
and basic design study including permits required from various departments. These are very
important documents and should be maintained as they contain details related to the following:
• Survey Data
• Hydrology
• Investigation Documentation
• Instrumentation
• Design Assumptions and Design Documentation / Reports
• Geotechnics and Geology
• Hazard Classification
• Seismicity
• Other Criticalities
In addition, all relevant correspondence with Project Authority should be documented. The lists of
documents prepared at planning stage that are required to be maintained are given in Annexure 1.
2.2 Construction and Commissioning Stage

Documentation
The documentation at construction and commissioning stage comprise of the records that are
important for providing a background for future dam safety evaluations. The lists of the documents
that are required to be maintained by Project Company or Government Authority are discussed below
and given in more detail in Annexure 2.
2.2.1 Technical Specifications, Detailed Designs and

Drawings and Reports
Records of all detailed designs and drawings along with the technical specifications on which these
designs have been based should be maintained. Also record of approval by the Government Authority
and changes made to the initial designs during construction should be maintained.
2
2.2.2 Additional Investigation Report

Records of all investigation activities completed during construction including drill hole logs, backhoe
and dozer trench logs, shaft logs, investigation photographs, field and laboratory test results, and
investigation reports should be maintained.
2.2.3 Foundation Report

All excavations for permanent works and all foundation areas for dams should be logged, mapped and
photographed and interpreted in the foundation report. The excavated foundation profile should also
be recorded. These details should be recorded in line with the Lao Dam Safety Guidelines for
Surveillance.
2.2.4 Quality Assurance /Quality Control Plans

including Quality Control Report
All Quality control plans and records should be maintained in line with the requirements mentioned in
the Lao Dam Safety Guidelines for Quality Management Program.
2.2.5 Monitoring Report

Any monitoring records gathered during construction, including instruments readings from
installation to end of construction, which could have a present or future impact on dam performance
and dam safety. Monitoring reports should also include details of each instrument installation. The
monitoring record should be documented in line with the Lao Dam Safety Guidelines for
Instrumentation and Monitoring.
2.2.6 Impoundment Report

The details of impoundment should be recorded in line with the Lao Dam Safety Guidelines for
Reservoir Impoundment.
2.2.7 Flood Management Report

The Project Company shall prepare and maintain a flood management procedure that defines the
procedures and responses required for the operation of gated spillways and outlets. These procedures
should be in line with relevant Lao Dam Safety Guidelines.
2.2.8 Construction/ Commissioning Photographs and

Videos
A good photographic and video record of the dam construction and commissioning should be
developed and kept in the archived data for the dam. This information can be very useful in
addressing questions that develop during future dam safety reviews and also during issue evaluations.
Photographs should be suitably annotated with dates, locations and descriptions.
3
2.2.9 As-Built Drawings

This information is critical to establishing the completed condition, geometries and dimensions of the
constructed dam. If this information is not provided it creates uncertainties and confusion as to the
actual condition, geometries and dimensions of the dam during future evaluations. The preparation of
as-built drawings requires the recording of data for ongoing /constructed structure as work progress
and should be a part of the documentation.
2.2.10 Operation, Maintenance and Training Manual

The operation, maintenance and training manual for the dam including instrumentation, hydro-
mechanical and electrical works which covers operation methodology, manpower requirements,
sequence of operation, emergency procedures, safety requirements etc. should be part of the
documentation records.
2.2.11 Commissioning Report

The commissioning process must be recorded in an appropriate project commissioning report. This
report provides an important permanent record of initial performance compared with design
expectations, and any actions undertaken during commissioning to address unexpected performance.
The report should also include instruments readings since installation and up to commissioning. The
report will constitute a benchmark for ongoing surveillance and safety evaluations, and may play a
vitally important role in any subsequent examination of a developing dam safety deficiency.
2.3 Operating Stage Documentation

The Operation stage documents mainly comprise of Standard Operation Procedures, Dam Safety
Surveillance and Monitoring outline plans, Training Reports in appropriate format, reports on
remedial works and other measures taken in the interest of dam safety and the resultant change in
specifications and as built drawings as a result thereof, O & M manuals, operating instructions for
gated spillways and any other documents that can affect the safety of a dam. The details of the
documents which are required to be maintained by Project Company or Government Authority are
given in Annexure 3.
2.3.1 Documents relating to Dam Safety Management

System
Process and procedural documents that should be kept for future reference are those relating to
implementation of the dam safety management system e.g. surveillance procedures, operation and
maintenance procedures, gate/valve testing procedures, reservoir operating rules during normal and
flood conditions. These should be regularly updated and the latest version should be readily available.
This will also include necessary updates done to the already developed plans and procedures.
2.3.2 Reservoir Operation Report

It is important that parameters associated with a reservoir’s operation are consistently and accurately
recorded and stored securely in a way that allows their consideration during routine dam safety
monitoring, and periodic and comprehensive dam safety reviews. Parameters that are important for
the evaluation of dam safety include rainfall, reservoir inflows, reservoir levels, reservoir outflows, and
all operations (including inspections, maintenance and testing) of gates and valves. These should be
set out in the form of Standing Operating Procedures (SOP’s) in addition to detailed Operation and
Maintenance (O & M) manuals.
4
Incidents such as unusual loading conditions, operations, and occurrences, together with any
evaluations and lessons learned, should also be recorded.
2.3.3 Instrumentation Monitoring Report

Instrumentation and monitoring records should be maintained in line with Lao Dam safety guidelines
for Instrumentation and Monitoring. The records should also include details of instrumentation
inventory and supporting information like as-installed drawings, technical specifications, calibration
certificates, operation and maintenance requirements and records of maintenance.
2.3.4 Surveillance and Evaluation Reports

Dam safety inspections and evaluations are conducted to determine the status of the dam and its
features relative to its structural and operational safety. Inspection and evaluation reports should be
maintained for different types of inspections in line with the requirements mentioned in the Lao Dam
safety guidelines for Surveillance. These reports are vital for understanding the performance of the
dam and the trends over the various stages of its life cycle especially for persons who have not been
involved in the operation and maintenance of the dam at that stage. Surveillance reports will also be a
ready source for the maintenance history of the dam.
2.3.5 Training Records

Training schedules and records for all dam safety related staff including managers, engineers,
operators and surveillance inspectors should be maintained to ensure suitably qualified and
experienced people are available to operate the dam.
2.3.6 Maintenance Records and Log Book

Log books should be maintained to record major and exceptional events and procedures, such as
equipment testing, major planned and unplanned maintenance and special one off jobs at the dam,
testing of gate functions, painting programs, flood discharges and reservoir levels, reports dispatched
and received, notification of changes to documentation etc.
2.3.7 Incidents and Failures

All dam incidents and failures, either actual or suspected, including tracking of their status and
associated decisions should be documented.
2.3.8 Emergency Action and Event Reporting

Following an emergency, an Emergency Event Report should be compiled. Dam owners have the
responsibility for implementing the recommendations contained in the Emergency Event Report and
documenting them.
Emergency Action Plan
The Emergency Action Plans prepared from time to time at different stages of the dam life and their
updation should all be preserved in the Documentation system.
5
Dam Safety Review Reports
Any dam safety reviews carried out at any stage, including the comprehensive dam safety review
should be properly presented in a report and copies of the same kept as a part of the Documentation
system.
6
3. Document Management
In the context of a dam’s lifetime, and the effort that must be applied to its ongoing safe management,
the importance of careful record keeping and preservation of all dam information cannot be
overstated. It is vitally important that all dam information is filed and managed in a way that it can be
easily located by future users, including those that may not know it exists. Dam information should
also be backed up and stored at an alternative offsite location to the primary copy. It is important to
have backups of the records stored at an offsite location to cater to a contingency when damage can be
caused due to floods or fire to the original records stored at the dam site.
A robust and defensible document management system will safeguard Project Company against the
risks of institutional knowledge being lost through staff turnover. Activities that are planned using
reliable knowledge and good records will likely save the Project Company considerable time and
money.
The Project Company shall be primarily responsible for setting up of a document management system
to store all required documents. The documentation management system should ideally follow the
basic five principles of document management and meet the following requirements.
Principles Key requirements

Create and Capture • Records must meet legislative, regulatory and administrative
Records requirements
• Records must be captured regardless of format
• Records must be appraised for their value
• Records must be classified, and metadata applied
• Records must be captured into systems with recordkeeping
functionality.
Govern Records • The overall responsibility for records management must be
assigned to a senior officer.
• Direct responsibility for records management must be assigned to
an appropriately skilled and trained resource.
• All management, staff, contractors, and volunteers must be
responsible for their recordkeeping
Store Records • Records must be stored on appropriate media or hardware, and in

appropriate formats
• Records must be stored in suitable locations and systems
• Records backup should be stored at an offsite location
• The Project Company must monitor records storage for
environmental conditions appropriate to the media, and retention
periods
Access Records • Records access must be monitored for security breaches
• Access must be managed in accordance with:
o Organisational security policy/model
o Organisational change
• Records accessibility must be maintained during and after:
o System migration
o Transfer of Custody
7
• Access to systems, and the records in them, must be maintained

for the required retention periods
Dispose Records • No documents mentioned in this guideline should be disposed off
under any circumstances and should be maintained until the end
of project life.
• The destruction of documents other than that mentioned in this
guideline must be secure, documented and appropriate to the
media.
• Project Company must develop and maintain an approved
Retention and Disposal Schedule
8
Annexure 1: Planning Stage

Documentation
Stage Reference Document Document Owner Document
Article of Location
Guideline on
LEPTS
Pre-Feasibility Article 8 Pre-Feasibility Report Project Company Project
Stage Company
Archive/
Correspondence Project Government
Company/Government Authority
Authority Archive
Feasibility Stage Article 8 Inception Report Project Company
Interim Report
Final Feasibility
Report
Correspondence Project
Company/Government
Authority
Basic Design Stage Article 13 Inception Report Project Company
Quarterly Progress
Report
Design Criteria Report
Final Basic Design
Report
Correspondence Project
Company/Government
Authority
9
Annexure 2: Construction and

Commissioning Stage Documentation
Article of Location
Guideline on
LEPTS
Construction Article 14 Technical Project Company Project
Stage Specification Company
Archive
Article 19 Detail Engineering Project Company Project
Drawings Company
Archive
Detail Engineering Project Company
Reports
Article 21 Emergency Action Project Company Project
Plan at Construction Company
Stage Archive/
Government
Authority
Archive
Article 23 Quality Control and Project Company Project
Assurance Plan for Company
Construction Stage Archive/
Government
Authority
Archive
Article 25 Report on Government Authority Project
Examination and Company
Inspection before Archive/
Commencement of Government
Construction Authority
Archive
Article 32 Foundation Report Project Project
Company/Government Company
Authority Archive/
Government
Authority
Archive
Article 29 Quality Control Project Company Project
/Quality Assurance Company
Report Archive/
Government
Authority
Archive
Article 33 Emergency Action Project Company Project
Plan for Impoundment Company
Stage Archive/
Government
Authority
Archive
10

Article of Location
Guideline on
LEPTS
Article 35 Impoundment Report Project Project
Company/Government Company
Authority Archive/
Government
Authority
Archive
Article 36 Flood Operation Project Company Project
Report Company
Archive
Article 14 Correspondence Project Company/ Project
Government Authority Company
Archive/
Government
Authority
Archive
Commissioning Article 38 Emergency Action Project Company Project
Stage Plan for Impoundment Company
stage Archive/
Government
Authority
Archive
Article 37 Report on Government Authority Project
Examination and Company
Inspection Pre- Archive/
Commencement of Government
Operation Authority
Archive
Article 40 and Commissioning Project Company/ Project
45 Report Government Authority Company
Archive/
Government
Authority
Archive
Construction and Project Company Project
Commissioning Company
Photos/ Video Archive
Article 14 and As built drawings Project Company Project
30 Company
Archive
Article 43 Operation, Project Company Project
Maintenance and Company
Training Manual Archive
Article 40 Correspondence Project Company/ Project
Government Authority Company
Archive/
Government
Authority
Archive
11
Annexure 3: Operation Stage

Documentation
Stage Reference Document Document Document
Article of Owner Location
Guideline
on LEPTS
Operation Stage Article 43 and Documents relating Project Company Project Company
45 to Dam Safety Archive
Management System
Article 36 Reservoir Operation Project Company
Report Archive
Article 43 Instrumentation Project Company
Monitoring Report Archive
Article 43 and Surveillance and Project Project Company
45 Evaluation Reports Company/Govern Archive/Governm
ment Authority ent Archive
Article 43 Training Records Project Project Company
Company/Govern Archive/Governm
ment Authority ent Archive
Article 43 Maintenance Project Company Project Company
Records and Log Archive
book
Article 44 Incidents and Project Company
Failures Archive
Article 45 Emergency action Project Company
and Event Reporting Archive
Article 38 Emergency Action Project Company Project Company
Plan Archive
Article 45 Dam Safety Review Project Company Project Company
Reports Archive
Article 43 Correspondence Project Company/ Project Company
Government Archive/
Authority Government
Authority Archive
12
Dam Safety
Guidelines on
Emergency Action
Plan
December, 2018
Table of Contents
1. Introduction 1
2. Basic considerations for Preparing an Emergency Action Plan (EAP) 2

2.1 Purpose of EAP 2
2.2 Scope 2
2.3 Coordination 3
2.4 Evacuation 3
2.5 Document Control 4
2.6 Maintaining EAP 4
3. Elements of EAP 5
3.1 EAP Outline 5
3.2 Notification Flowcharts and Contact Information 5
3.2.1 Notification Flowcharts 5
3.2.2 Contact information 6
3.3 Emergency Response Process 6
3.3.1 Incident Detection, Evaluation, and Emergency Level Determination 7
3.3.2 Notification and Communication 9
3.3.3 Emergency Actions 10
3.3.4 Termination and Follow-up 10
3.4 Responsibilities 11
3.4.1 Project Company's Responsibilities 11
3.4.2 Notification and Communication Responsibilities 12
3.4.3 Evacuation Responsibilities 12
3.4.4 Monitoring, Security, Termination, and Follow-Up Responsibilities 12
3.5 Preparedness 13
3.5.1 Surveillance and Operation Inspections 13
3.5.2 Response at Night and during Weekends or Holidays 13
3.5.3 Phone Numbers and Addresses Directory for Operation and Emergency
Contingency Plan 14
3.5.4 Access to Water Retaining Structure Sites, Including Periods of Darkness
and Adverse Weather 14
3.5.5 Alternative Systems of Communication 14
3.5.6 Emergency Supplies 14
3.5.7 Detailed Preparedness Instructions to Apply in Case of Emergency 14
3.5.8 Training, Exercises, and Drills 15
3.5.9 EAP Posting 15
3.6 Dam Break Analysis 15
3.7 Scenario Analysis 15
3.8 Inundation Maps 16
3.9 Survey Maps: 16
3.10 Additional Information 16
Annexure 1: Action Required for Different Event Occurrences 18

Table of Abbreviations used
No table of contents entries found.

Dam Safety Guidelines- Emergency Action Plan
1. Introduction
These guidelines are intended to provide recommendations to Project Company about putting in place
and implementing Emergency Action Plans and its role in the event of a dam failure or flood
emergency. For developing, maintaining and updating an Emergency Action Plan (EAP), the
Government of Lao recommends the development of the EAP in accordance with recognized
international guidelines such as the Federal Guidelines for Dam Safety – Emergency Action Planning
for Dam Owners published by Federal Emergency Management Agency (FEMA), US Department of
Homeland Security. These guidelines have been prepared based on these FEMA guidelines adapting
them to local conditions existing in Lao PDR.
1
2. Basic considerations for

Preparing an Emergency Action
Plan (EAP)
2.1 Purpose of EAP
An EAP is a formal document that identifies potential emergency conditions at a dam and specifies
actions to be followed. The purpose of an Emergency Action Plan (EAP) is to protect lives and
reduce property damage in the event of a dam failure or flood emergency.
The EAP includes:

• Actions the Project Company will take to avert, moderate or alleviate a problem at the dam
by identifying developing unusual conditions
• Actions the Project Company will take, in coordination with Emergency Management
Authorities (EMA), while responding to incidents or emergencies related to the dam
• Procedures Project Company will follow to issue early warning and notification messages to
responsible Emergency Management Authorities (EMA) and downstream inhabitants at risk.
• Preparation of Inundation maps to help Project Company and Emergency Management
Authorities identify critical infrastructure and population-at-risk sites that may require
protective measures, warning, and evacuation planning
• Delineation of the duties and responsibilities of all those involved in managing the incident
or emergency and how the responsibilities would be coordinated. The duties and
responsibilities schedule shall be prepared in consultation with the Government and other
authorities in the local area who would get involved in case of an event and shall have a final
seal of approval from the Government Authority under Ministry of Energy & Mines.
2.2 Scope
The EAP guidelines in this document are intended to assist in developing or revising EAP’s for dam
events that would likely cause loss of life or significant property damage as a result of a failure or
other life-threatening incident. The areas downstream of each dam are unique. Therefore, the
extent and degree of potential impacts of each dam vary.
The level of detail in the EAP should be commensurate with the potential impact of a dam failure or
operational incident. A dam with low hazard or no potential impact should not require an extensive
evaluation or be subject to an extensive planning process while high and extreme hazard dams may
require a larger emergency planning effort. In addition, high and extreme hazard dams tend to
involve more entities that must coordinate and put effort to effectively respond to an incident than
low-hazard dams. Every EAP must be tailored to the site conditions.
The EAPs should be prepared for:

• Construction Stage – A construction stage EAP should be prepared prior to the initiation of
construction and should be implemented, if needed, during construction. The construction
stage EAP should follow the general EAP requirements but should address the unique
conditions that exist or may develop during construction.
• Impounding Stage – An impounding stage EAP should be prepared 6 months prior to the
initiation of impoundment and should be implemented, if needed, during impoundment.
The impounding stage EAP should follow the general EAP requirements but should address
the unique conditions that exist or may develop during impounding.
2
• Operational Stage – An Operational Stage EAP should be prepared prior to the start of
project operation and should be in place for all dams in operation. The Operational Stage
EAP should follow the general EAP requirements but should address the unique conditions
that exist or may develop during operation. This EAP should be prepared with great
attention to details and be updated regularly with changing conditions keeping in mind that
these will be implemented for the entire life cycle of the project.
2.3 Coordination
Although the Project Company is responsible for developing and maintaining the EAP, the plan will
not be effective unless it is developed and implemented in close coordination with all entities,
jurisdictions and agencies that would be affected by an incident at the dam or that have statutory
responsibilities for warning, evacuation and other post-incident actions. Emergency Management
Authorities will use the information to facilitate the implementation of their responsibilities. Local
Emergency Management Authorities (EMA) may have some coordinating plans in place to address
local emergency operations and/or warnings and evacuations. The EAP should contain clearly
defined roles and responsibilities for each entity. Coordination with upstream and downstream
Project Companies is also important to determine operational procedures at those projects for
mitigating the effects of floods and dam safety emergencies. Dams that provide critical resources to
a community should have a recovery plan that is developed in coordination with local Emergency
Management Authorities.
2.4 Evacuation
Evacuation planning and implementation is the responsibility of local Emergency Management
Authorities (EMA). Although an EAP does not need to include an evacuation plan, it should identify
the agency responsible for evacuation whose plan will be followed and ensure that the identified
agency will be amongst the first ones to be notified of the impending emergency.
Inundation maps must be developed by the Project Company and shared with Emergency
Management Authorities (EMA) as well as included in the EAP. These maps should be prepared
with appropriate scaling for making the local landmarks easily identifiable Also, the maps should
be prepared following proper dam break analysis and reservoir flow simulation studies. They
should take into consideration the downstream topography and a worst case scenario of
simultaneous occurrence of events to arrive at the values of flood wave depths, travel time etc. (See
also Clause 3.7 below). These maps will help in the development of warning and evacuation plans.
It is important for Project Companies to coordinate with the appropriate Emergency Management
Authorities and provide information from dam inundation studies that can assist with evacuation
planning. Project Companies should also include procedures in the EAP for ensuring that
emergency management authorities are provided with timely and accurate information on dam
conditions during an incident.
Dam emergency evacuation plans should be developed in coordination with local Government
Bodies and Emergency Management Authorities of the area as part of an EAP. The recommended
plans should be based on a worst-case scenario and to address the following:
• Initiation of emergency warning systems

• Pre-incident planning
• Identification of critical facilities and sheltering
• Evacuation procedures, including evacuation of special needs populations, flood wave travel
time considerations etc.
• Distance and routes to high ground
• Traffic control measures and traffic routes
• Potential impact of weather or releases on evacuation routes e.g. portions of the evacuation
route likely to be flooded, should be available before the dam incident occurs
3
• Vertical evacuation/sheltering in place

• Emergency transportation
• Safety and security measures for the perimeter and affected areas
• Re-entry into affected areas after abatement of the emergency
2.5 Document Control

The Project Company should develop an EAP distribution list for all those who would be involved
in implementing the EAP. The list must be reviewed and updated as part of updates to the EAP.
When out-dated EAPs have been replaced in their entirety with new versions, the Project Company
should request that the out-dated controlled copies be returned to the owner or otherwise ensure
they are securely destroyed to prevent inadvertent use of out-dated procedures / protocols. If EAPs
are made available electronically, care should be taken to ensure that document control is
maintained to the entities on the established distribution list.
2.6 Maintaining EAP

EAP must be reviewed and updated at regular intervals. Without periodic updates, the EAP will
become out-dated and may be ineffective at the time of implementation.
The EAP should be updated promptly to address changes in personnel and contact information,
significant changes to the facility, or emergency procedures. The EAP should be reviewed at least
annually for adequacy and updated as needed.
The review should include an evaluation of any changes in flood inundation areas especially new
inhabitations, downstream developments, or in the reservoir and a determination of whether any
revisions, including updates to inundation maps, are necessary.
Once the EAP is revised, the updated version (or only the affected pages with minor updates)
should be promptly distributed to those on the distribution list.
4
3. Elements of EAP
3.1 EAP Outline
A suggested EAP outline is provided below which is applicable for EAPs prepared for all stages
listed in Clause 2.2 above:
• Cover Page
• Table of Contents
• EAP Signatures- EAP should be signed by all parties involved in plan implementation.
• EAP Information: EAP information should contain details of following essential elements of
Dam safety Emergency Action plan:
o Notification Flowcharts and Contact Information
o Emergency Detection, Evaluation and Classification
o Responsibilities
o Preparedness
o Inundation Maps
o Additional Information
In addition to the above essential elements, the EAP should contain ‘Summary of EAP
responsibilities’. This should summarize the critical responsibilities of concerned entities for
responding to an incident and implementing the plan. An Emergency Response Matrix indicating
the response for various types of events should also be prepared for easy reference for checking
required actions in case of an emergency. A typical sample matrix is at Annexure 1.
3.2 Notification Flowcharts and Contact

Information
3.2.1 Notification Flowcharts

A project specific Notification Flow Chart providing ready firsthand information about the
processes involved in issuing notifications should be provided as a part of an EAP. The
responsibilities of issuing notices and to whom notices should be served, shall be clearly described
indicating the name and contacts of the responsible authorities. Critical information and Time of
issuing notifications are a very important part of notifications and must be dealt in very specific
terms.
Following information must be included in notification flow charts:

• Applicability of type/ level of emergency
• Priorities regarding notifications
• Responsible persons from Project Company or Government Authority, authorized to issue
various notifications
• Agencies and persons required to be notified
• Contact details of key authorities, persons and Emergency Management Authorities (EMA)
5
A typical process flowchart for the EAP notifications is presented below.
Notification Process Flow Charts shall be prepared by the Project Company for each category of
Emergency and submitted to Government Authority for review and approval. The approved flow
chart shall be included in EAP.
3.2.2 Contact information

A list of all important persons and agencies associated and responsible for dam safety and EAP
execution along with their contact details shall be prepared, preserved and updated regularly. The
details shall include names, roles, addresses and contact details (landline and mobile telephones
numbers, email addresses etc.). Additionally, alternative contact details should be provided to
ensure immediate contact. Complete contact information shall be displayed at easily approachable,
and visible locations, so that these are available without any effort in case an emergency strikes.
3.3 Emergency Response Process

In response to an emergency event, a pre-planned scheme is very essential to take immediate
actions without loss of time. It is therefore essential to detect the event likely to trigger emergency
situations as early as possible. In order to achieve this, it is necessary that procedures for reliable
and timely detection of an emergency level and classifying it properly to invoke appropriate
response actions based on the urgency of the situation are developed. Procedures for early
notification are mandatory to allow all entities involved with plan implementation to respond
appropriately. Preventive or mitigating actions can be taken to attempt to address conditions at the
dam.
Typically, such scheme of EAP response process involves the following steps.
• Step 1: Incident detection, evaluation, and emergency level determination
• Step 2: Notification and communication
• Step 3: Emergency actions
• Step 4: Termination and follow-up
6
3.3.1 Incident Detection, Evaluation, and Emergency

Level Determination
As a first step, an unusual incident is detected and confirmed. Incidents likely to cause an
emergency situation should be uniquely identified as some may be common but some may be
project specific. Hence, these conditions should be clearly identified in the EAP to the maximum
extent possible. Primarily the following information and data should be included to assist the
owner in evaluation of an incident or event and its classification:
• Measures for detecting existing or potential failures
• Leakages or seepage through the body of the dam
• Operating information, such as normal and abnormal reservoir level data
• Description of monitoring equipment, such as water level sensors and early warning systems
• Monitoring and instrumentation plans
• Inspection procedures
• Process for analysing and confirming incoming data
After an unusual condition or incident is detected and confirmed, the Inspection Team or Project
Company shall assess and classify the conditions under the emergency levels / classification as
mentioned in Table 3.1 below and appropriate response shall be initiated accordingly. The Project
Company officials, Government authorities, local authorities and other Emergency Management
Authorities (EMA) should have good knowledge and understanding of the emergency
classifications and their respective responses as well as expectations from others. Consistency of the
emergency level categories is recommended to eliminate confusion for emergency responders
whose jurisdiction contains multiple dams and Project Companies. There may be an occasion
where the category of emergency is decided but subsequent events may require an escalation of the
category into an imminent or actual failure emergency.
The EAP should describe how each emergency level applies to the particular dam and how it is to be
handled. Information to assist the Project Company officials in determining the appropriate
emergency level should be developed and included in the EAP.
Typical response under each category of emergency is summarized in the Table 3.1. These are
suggestive responses. EAP executive bodies may adopt more appropriate approach or additional
measures and methods for more effective implementation, if so required, in special circumstances.
Table 3.1: Emergency Classification and Response
Emergency Indicative Conditions and Criteria of Classification and

Classification Colour Response
High Flow YELLOW The High Flow emergency is envisaged when flooding is
occurring in the river system, but integrity of the dam is
not at risk. This is actually not an emergency but a
condition which may develop into an emergency.
Observation of a sudden rise or flow higher than
normally observed during the season, which may lead to
exceeding the maximum safe level in reservoir can be a
cause for concern. The maximum safe water level may be
the Maximum Water Level of the reservoir or any other
level the project company may decide for the specific
requirement of their project.
Upon observing a High Flow emergency, the Project
Company should raise an alert to Government and Local
Authority that flooding in downstream areas may be
7
expected after some time due to releases from the dam.

Internal or Non- BLUE The Internal or Non-Failure emergency corresponds to
Failure Emergency an event that will not cause any disaster or failure by
itself but will require investigation, repairs, maintenance
and remedial measures to set things right by the Project
Owner.
These may also include existence of anomalies or events
that are either harmless or might compromise to some
degree the structural or operational safety of the dam or
the dam observation system. The situation is stable or is
developing extremely slowly. Existing problems must
lead to the belief that no serious consequences are
expected downstream of the dam, and impacts (if any)
will be small and confining to immediate downstream
areas of the dam.
Such events may include:
• minor repairable structural problems
• new seepage or leakage in galleries
• new minor seepage or leakage downstream of the
dam,
• malfunction of a gate
• malfunctioning of dewatering systems
• malfunction of other electrical and mechanical
systems
Such events can mostly be dealt by the Project
Companies themselves and the responses can be
managed internally.
Potential Failure ORANGE The Potential Failure emergency is the condition
Emergency developing at the dam which will lead to a dam failure or
disaster. Potential Emergency is brought in by a
progressive event or occurrence or a Dam Failure is
progressing steadily towards a disastrous situation.
It is suggestive of a failure that may occur, but
predetermined response actions may moderate or
alleviate the failure.
Some amount of time will normally be available for
analysis, decisions, and mitigation before the emergency
or disaster strikes. Events leading to such developing
situation include:
• rising reservoir levels and continuing inflow
• overtopping of the dam and continued inflow to the
dam reservoir,
• minor transverse cracking of an embankment,
• disastrous threat by hooligans and terrorists
• appearance of small flows through channels (piping)
eroded through the embankment
The Government, local administration, EMA shall be
notified of the situation giving the details of the event or
occurrence and an assessment of time in which disaster
may strike.
8
Imminent RED Imminent Emergency is suggestive of a Dam Failure that

Emergency is progressing rapidly and is about to occur.
The Imminent Failure emergency indicates that time to
respond to the situation is very limited.
It will also include a situation with a high probability of
dam failure, with the belief that it might not be possible
to control the situation and might cause serious
consequences downstream of the dam.
Normally no time will be available for analysis, decisions,
and mitigation to be made before downstream impacts
occur.
Some typical situation of inevitable catastrophe under
Imminent Failure may be identified as follows:
• detection of severe anomalies in- dam structural
elements, or in dam operational elements
• continuing and progressive loss of material from the
dam
• dam failure in progress
• existence of severe foundation problems
• occurrence of extremely large floods/ flash floods
• severe earthquakes resulting in extensive damage to
dam and appurtenant structures
• washing away of a dam gate
• damage caused by act of hooligans and terrorists
• damage caused by bombardment or other way during
a war
It is not usually possible to determine how long a
complete breach / failure of a dam will take. Therefore,
once it is ascertained that failure is about to happen, the
Imminent Failure warning must be issued. For purposes
of evacuation, Emergency Management Authorities
(EMA) should assume the worst-case condition that
failure has already occurred.
The Government, local administration, EMA or any other
agency responsible or likely to be of some help shall be
immediately notified of the situation.
Assistance from outside agencies should be immediately
called upon. Public warnings and alerts should be raised.
3.3.2 Notification and Communication

Procedures for early notification are required to allow all entities involved with plan
implementation to respond appropriately.
As soon as an emergency condition is detected or encountered, the first action should be to identify
the category. Notifications shall be issued thereafter as per the requirement of the specific category
in accordance with the EAP’s Notification Flowcharts and procedures.
When developing notification and communication procedures, Project Company should coordinate
closely with emergency management authorities. All parties must understand that the formal
declaration of public emergency by Emergency Management Authorities (EMA) can be a very
difficult decision. During this step, the Project Company should provide all information that will
assist in that decision. An early decision and declaration are critical to maximizing available
response time.
9
The Project Company shall prepare status and action taken reports in respect of the emergency
event or occurrence at regular interval and circulate it to all agencies concerned in accordance with
the Notification procedures.
In case of the situation continuing to deteriorate despite actions being taken to moderate or
alleviate failure, Government authority and local authorities may take appropriate action to control
the situation, as far as possible, and protect the public life and property. Depending on the location
of downstream residents and the estimated time required to warn them, the evacuating authorities
may also consider early evacuation or continued warnings until the emergency has passed.
All notifications, communications, alerts and warnings shall be drafted in clear, simple,
unambiguous and nontechnical terms so that their intent is perfectly understood by the people for
whom it is intended. These should clearly inform about what is happening at the dam; what the
current emergency level is and actions required to be taken. EAP shall include checklists and/or
pre-scripted messages to help the caller to adequately describe the emergency situation to
authorities, agencies and public.
3.3.3 Emergency Actions

On detection of emergency conditions the Project Company will immediately take action to prevent
damaging effects, try to save the dam and minimize impacts to life, property and the environment.
There will be continuous assessment of conditions and procedures of EAP shall be adopted in
varying mode as per the changing conditions and classification of the emergency. The Project
Company shall prepare a listing of specific conditions with corresponding actions for minimizing
impacts of emergency occurrence. Additional information related to response actions may also be
provided in the dam operating manuals and instructions.
During an incident, safety and security measures should be implemented to secure the affected
operational areas at the dam to protect operation personnel and the public and permit an effective
performance of emergency response actions.
3.3.4 Termination and Follow-up

When the emergency has receded and conditions are closing towards normalcy, it is required to
terminate the EAP and resume normal operations and public life. The EAP shall also provide the
expected termination and follow-up procedures and criteria to call for the termination of dam
safety incidents and emergencies. A Dam Emergency Termination Log should be developed and
used to document conditions and decisions for each event. The Project Company shall be
responsible for notifying the authorities that the condition of the dam has stabilized. Government
officials / EMA shall be responsible for declaring an end to the public emergency response.
Following the closure of an incident, the Project Company, in coordination with emergency
management authorities, shall conduct an evaluation that will include all affected participants. At a
minimum, the following should be discussed and evaluated in an after- action review:
• Events or conditions leading to, during, and following the incident
• Significant actions taken by each participant and improvements for future emergencies
• All strengths and deficiencies found in the incident management process, materials,
equipment, staffing levels, and leadership
• Corrective actions identified and a planned course of action to implement recommendations
The results of this after-action review shall be documented in an After Action Report (AAR) and
used as a basis for revising the EAP. Project Company shall be primarily responsible for and
participate in the after-action review and the development of the AAR.
10
3.4 Responsibilities
General:
It is crucial to assign responsibilities for various tasks to specific persons or agencies for successful
implementation of EAP. A responsibility matrix should be prepared by the Project Company and
form part of the EAP. Project Company shall be responsible for developing and maintaining the
project EAP in consultation with Government authority. Project Company in coordination with
Government authority, local authority and EMA shall be responsible for implementing the EAP.
Government authority, local authority and EMA with statutory obligations shall be responsible for
issuing warning and implementing evacuation plans. All entities involved with EAP
implementation should document incident-related events in proper uniform format referred to as
Emergency Incident Log and pass on to Project Company for preparing After Action Report (AAR).
The EAP must clearly specify the responsibilities of Project Company, Government authority, local
authority, all EMA and all agencies and personnel of these bodies involved to ensure that effective
and timely action is taken if an emergency strikes. The EAP has to be project specific and also
agency specific. Even though the main responsibility of developing an EAP is of the Project
Company but every agency involved should develop its own supplementary EAP for its own
required actions outlining procedures to be followed by that agency for every project considering
the unique features of individual projects and the downstream topography.
3.4.1 Project Company's Responsibilities

The duties of the dam owner should be clearly described in the EAP. In general, the dam owner’s
responsibility is to:
• Develop and maintain Emergency Action Plan and assign an Emergency Plan Coordinator to
be responsible for all related activities.
• Monitor dam behaviour, particularly during high risk periods, such as floods or after
earthquakes.
• Identify and/or verify that a dam safety emergency has occurred.
• Initiate Emergency Action Plan and classify emergency condition in the event of an
impending dam failure or flood emergency.
• Notify provincial or state and local officials and other entities identified on the Notification
Flowchart.
• Assign an individual or team for on-site monitoring of the situation at the dam and to keep
local authorities informed of developing conditions.
• Take all appropriate actions to prevent or reduce the impacts of a dam failure or excessive
flood release.
• Coordinate emergency response with operators of upstream facilities to minimize incoming
flows and with downstream facilities to prepare them for unusual discharges.
• Monitor downstream development and river uses if increased development or use may have
affected the hazard classification previously assigned to the dam.
• Develop and distribute inundation maps.
• Train staff on all elements of and periodically exercise the Emergency Action Plan.
• Terminate the Emergency Plan, in consultation with local emergency management officials,
when conditions at a dam or downstream no longer constitute the emergency.
Instructions for the operation of the project during the anticipated emergency should be provided.
The chain of command in the dam owner’s organization should be clearly described. Officials and
alternates that must be notified should be identified and priority of notification determined.
Notification of supervisory personnel is recommended if time permits since advice may be needed
11
concerning predetermined remedial action to delay, moderate, or alleviate the severity of the
emergency condition. Responsibilities should be coordinated with appropriate levels of
management to ensure full awareness of organizational capabilities and responsibilities.
3.4.2 Notification and Communication

Responsibilities
The individuals authorized to notify emergency management authorities should be determined and
clearly identified in the EAP. If time allows, onsite personnel should seek advice and assistance.
However, under an ‘Imminent Failure’ emergency level, the responsibility and authority for
notification may have to be delegated to the operating manager or a local official. When developing
the EAP, the Project Company, Government authority, local authority and EMA should discuss and
determine the most efficient notification protocol to follow.
The Authority collecting hydrological / hydro-metrological data upstream shall have the primary
responsibility for issuing flood warnings for inflows to the dam. It is highly recommended that the
Notification Flowchart include the agency with this responsibility so that its facilities can enhance
accuracy of warnings being issued.
3.4.3 Evacuation Responsibilities

Warning, evacuation planning and implementation shall be the responsibility of Government
authority and / or local authority / EMA having legal authority to perform these actions. The
Project Company shall be responsible for notifying the appropriate authority when an incident is
anticipated or imminent or has occurred. Warning and evacuation protocols are key elements in an
EAP exercise but are not typically included in the EAP. The EAP should, however, clearly describe
the notification, warning, and evacuation responsibilities of the Project Company, Government
authority, local authority and EMA’s.
Project Company should not normally assume or take over the responsibility of government entities
for evacuation of people. However, there may be situations in which routine notification and
evacuation will not be sufficient, as in the case of a residence located immediately downstream of a
dam or a campground that would be inundated within minutes of a dam failure. In such cases,
Project Company may arrange to notify the residence or campground directly. Such procedures
should be coordinated with the appropriate authorities before an emergency situation develops.
3.4.4 Monitoring, Security, Termination, and Follow-

Up Responsibilities
An official of the Project Company should be designated as an onsite monitor from the beginning of
a dam safety incident until the emergency has terminated. This person should provide status
updates to the Project Company so that the owner can keep all those involved with the
implementation of the EAP informed of developing conditions. Provisions for security measures
during the emergency should be specified in the EAP.
Termination of a dam safety emergency is usually two-fold. The entity that activates the EAP is
usually responsible for determining when the dam safety situation has stabilized. This is typically
the Project Company in consultation with dam safety experts but may include other Government
entities. The relevant Emergency Management Authorities (EMA), on the other hand, are
responsible for termination of the emergency response activities, including termination of an
evacuation. Both the Project Company and the Emergency Management Authorities should
coordinate closely while making decisions to terminate both the dam safety event and response
efforts.
Recovery activities should continue on different levels for all involved in the dam safety incident
after the emergency has been terminated. Although not typically addressed in a dam EAP, recovery
12
activities should be considered by Project Companies and particularly for those dams that can affect
a critical public utility such as water supply or electricity.
The Project Company should coordinate the follow-up evaluation after any emergency. All
participants should be involved in this evaluation and should keep logs and records during the
incident. The results of the follow-up evaluation should be documented in an After Action Report
(AAR) and used to improve future response actions.
3.5 Preparedness
Emergency Preparedness Planning refers to preparation of a plan that allows all involved with the
dam and the potential consequences of Dam Failure, including the Project Company, Government
authority, local administration, Emergency Management Authority and any other body to be
prepared for the management of a Dam Safety Emergency. It is an important component of a dam
safety management system and includes the preparation and maintenance of an EAP. Regular
training, educational and public awareness programmes are required to ensure that emergency
management personnel remain familiar with the EAP and their responsibilities and that they are
able to fulfil their duties during an Emergency.
The Emergency Preparedness Plan (EPP) shall be prepared by the Project Company in consultation
with Government authority and shall be updated time to time taking into consideration the issues
identified during routine inspection / operation and maintenance activities such as changes in dam
instrumentation readings. The latest updated EPP shall be submitted to Government authority for
review and approval.
All the contact details like contact person, his mobile phone number, addresses, phone numbers,
email addresses etc. shall be preserved, updated regularly and displayed at easily approachable, and
visible locations, so that these are available without any effort in case an emergency strikes.
Preparedness actions are taken to prevent a failure incident with respect to a water retaining
structure or to help reduce the effects of such a failure and to facilitate appropriate responses to
emergencies.
The EAP describes preparedness actions to be taken both before and following the development of
emergency conditions.
Various aspects of dam safety preparedness are described herein below:
3.5.1 Surveillance and Operation Inspections

Surveillance of the Water Retaining Structures shall be carried out in accordance with the Dam
Safety Guidelines for Surveillance.
The monitoring plans and the operating instructions are generally framed for managing normal
operation. They are not part of the EAP but may indicate thresholds, especially of the
instrument readings, that could trigger EAP procedures.
3.5.2 Response at Night and during Weekends or

Holidays
Provision for Emergency response during nights, weekends and holidays shall be addressed
adequately with proper organizational and infrastructural arrangements in EAP.
Contact details of on duty and on call staff shall be included in the contact information of EAP.
13
3.5.3 Phone Numbers and Addresses Directory for

Operation and Emergency Contingency Plan
The directory shall include name, position, telephone numbers and contact details of the
responsible persons in charge of EAP implementation. This shall form a part of the EAP. This
information shall be preserved and updated regularly.
3.5.4 Access to Water Retaining Structure Sites,

Including Periods of Darkness and Adverse
Weather
Anticipating access problems that may be caused by weather or flood conditions as well as seasonal
restrictions and identifying measures to overcome such problems are a critical component to
facilitate emergency preparedness. During the course of a dam failure or flood emergency,
execution of emergency response actions will require personnel to arrive at the site to operate
equipment and monitor conditions, as well as transportation of construction materials and
equipment for repairs and damage control to the site.
Ground access to the project site, particularly areas where operators may need to travel for
inspection after or during an event affecting the dam or for operations for flood releases, reservoir
drawdown or dam emergency repairs or where construction equipment and materials may need to
be delivered, should be evaluated under normal and flood or other extreme weather conditions and
during both daylight hours and periods of darkness.
3.5.5 Alternative Systems of Communication

Full details should be included of the internal and external communication systems as they apply to
the EAP. Commonly used communication systems (mobile phone, land line telephone and email)
are vulnerable to failure or overload in the adverse conditions that may lead to a dam safety
emergency (e.g. earthquake, storm, heavy rainfall, etc.). As such, the robustness of the available
communication systems should be assessed and, where appropriate, enhanced by additional
communication systems.
3.5.6 Emergency Supplies

Emergency supplies would help Project Company and local officials to manage the emergency
situation more safely and effectively. These could include:
• Stockpiling materials and equipment for emergency use.
• Spare parts.
• Alternative sources of power for emergency use etc.
3.5.7 Detailed Preparedness Instructions to Apply in

Case of Emergency
Detailed instruction of preparedness for each probable emergency event or occurrence shall be
prepared by Project Company and included in EAP for the project. These instructions shall
highlight all probable actions and measures required to meet the emergency which may also
include emergency drawdown of the reservoir waters to reduce hydraulic loads on the dams and
thereby potential failure. For this reason it is considered desirable to incorporate a low level outlet
of suitable capacity at the time of dam planning and design.
14
Similar instructions shall be prepared by other Government and Local Authorities and EMA’s in
collaboration with Project Company to ensure a collaborative and collective effort to meet the
emergency.
3.5.8 Training, Exercises, and Drills

All dam personnel including Government authority, local authorities and Emergency Management
Authority who may have emergency response duties and responsibilities for a specific site should be
familiar with every element of that site’s EAP. Annual training on each specific plan is typically
appropriate. Contact lists should be updated annually. Additional specific training requirements
may vary depending on an individual’s specific duties and responsibilities (e.g., emergency
detection or verification, external communications with emergency response agencies etc.), but a
sufficient number of people should be trained to ensure adequate coverage for all responsibilities at
all times.
3.5.9 EAP Posting

Up-to-date plastic covered copies of the following extracts of the EAP should be prepared that will
include:
• Emergency detection, evaluation and classification.
• Notification Flowcharts.
• Excerpts of the Phone Numbers and Addresses Directory.
The copies shall be posted at prominent locations at the dam site, in the powerhouse control room,
in the relevant meeting rooms and offices, and in the Project Company management booklet.
Rules for using acoustic warning shall be prominently displayed in the dam control room.
Additional copies of the extracts or the complete EAP should be provided to Government Authority
on request.
3.6 Dam Break Analysis

For identification and quantification of probable consequences of a dam failure, Dam Break
Analysis is carried out for simulation of possible failure and to predict the consequences thereof to
ascertain peak discharge in the event of dam failure, the flood wave formation and its downstream
progression. . Effective formulation of Emergency Action Plan depends on assessment of
downstream consequences in the event of dam failure. There are considerable uncertainties
involved in mode and degree of failure. As such, conservative failure postulations are necessary for
carrying out the Dam Break Analysis. Proper selection of breach parameters, peak discharge and
flood wave travel time at the time of performing Dam Break Analysis are needed to be appropriately
verified by acceptable methods like dynamic routing. Dam break floods are coupled with
appropriate local inflows during its routing through downstream reaches to evaluate extent of
flooding by area inundated, depth of flooding and velocity of flow of the floodwaters.
3.7 Scenario Analysis

The Dam Break Analysis shall be carried out describing all the scenarios. At a minimum, the
analysis should include following scenarios:
• Dam breaches when reservoir is at Full Reservoir Level (FRL) and fair weather conditions
exist.
• Dam breaches when reservoir is at Flood Water Level considering project design flood
impinges the reservoir and the flood is already passing through the spillway.
15
• Downstream flood routing of overflow through spillway and gates generated by project
design flood without dam breach scenario.
• Assessment of safe discharge carrying capacity of the channel downstream and evaluation of
safe water levels in order to arrive at likely overtopping of the banks and likely inundation
areas
3.8 Inundation Maps

The primary purpose of an inundation map is to show the areas that would be flooded and travel
times for wave front and flood peaks at critical locations if dam failure occurs or there are
operational releases during the flooding conditions. These maps should be prepared after proper
Dam Break Analysis and reservoir flow simulation studies. They should take into consideration the
downstream topography and a worst-case scenario of simultaneous occurrence of events to arrive
at the values of flood wave depths, travel time etc. Inundation maps are prepared for different flood
intensities and are an essential component of EAP used by both Project Company and Emergency
Management Authorities (EMA) to facilitate timely evacuation and notification of areas potentially
affected by dam failure or flood condition.
Project Company should develop inundation maps in coordination with appropriate emergency
management authorities.
Inundation maps should show inundation areas for varying intensities of flood at scales sufficient
for the identification of areas at risk and should include inundation tables, which show at key
locations:
• The arrival time of the first flood waters.
• The arrival time of the peak flood level.
• The peak flood elevation above mean sea level.
It may also be useful to express flood levels as relative depths at key locations (e.g. bridges) and the
time at which key structures may become unusable.
3.9 Survey Maps:

Topographical data of upstream and downstream area of the dam should be collected through
survey or from available maps prepared and authenticated by a specialled Government Agency for
this purpose. This would enable validation and rectification of elevations of the Digital Elevation
Model (DEM) obtained through remote sensing. Number of river cross section need to be taken at
every standard 500 m to cover affected river length up to sufficient distance. Additional sections
may be required to capture constrictions like bridges, at the confluence of the tributaries to the
main channel or other such specific topographical features. This information is aimed at indicating
shape and slope of the valley, influences on downstream flow and major tributaries downstream.
Collection of additional details likely to fall within affected area would facilitate ease in evaluation
of impact on vegetation, topsoil cover, flora and fauna and other areas of recognized environmental
value.
3.10 Additional Information

Additional items frequently incorporated as appendices in an EAP include:
• General site plans, drawings and photographs.
• Details and operating instructions for gates and valves that fulfil dam safety functions.
• Information for assessing reservoir depletion options.
16
• Procedures for the recording of emergency situations (e.g. flood inspection check lists, post-
earthquake check lists, emergency action log and emergency termination log).
17
Annexure 1: Action Required for Different Event

Occurrences
Response level Reservoir water Earthquake Excessive leakage/ Accident/sabotage
elevation and Incoming internal erosion/ piping
flood volume
Level I Reservoir water elevation In case of earthquakes with a If water level rises in In case of an incident or
Preliminary notification for may reach the level of FRL; PGA (Peak Ground observation wells at the threat to the dam and its
possible flooding event starting discharge over the Acceleration) smaller than dam's downstream slope or facilities, the dam security
spillway, down, downstream that of the Design Base at the downstream toe, or a officers will respond first and
municipalities shall be Earthquake, the dam must leakage is visually observed, the police will be informed
informed. be examined by dam safety examinations must be thereof.
engineers. performed by dam safety
engineers.
Level II If the reservoir water level In case of earthquakes If the amount of water In case the dam
Conditions may lead to exceeds the elevation of FRL greater than the Design Base leakage observed embankment and spillway
downstream flooding. and the incoming flow rates Earthquake, all downstream downstream of the dam are damaged as an accident
above say hundred-year flow municipalities / communities increases, and the leakage or sabotage, downstream
rate are anticipated, shall be alerted carries materials, municipalities /communities
downstream municipalities appropriately. downstream municipalities/ shall be alerted.
/communities shall be communities shall be alerted.
alerted.
Level III If it is anticipated that If a stability problem has In case of major increases in
Imminent threat and prepare reservoir will exceed the occurred in the dam slopes the water leakages with
for evacuation crest elevation, and the after an earthquake, turbidity on the downstream
incoming flow rate is preparations will be started part of the dam, preparations
expected to reach say 1000 to evacuate the downstream will be started to evacuate
year return period or more, communities. the downstream
preparations will be started communities.
to evacuate the downstream
communities.
18
Level IV Emergency If water level is reaching the If the dam has been severely If the dam has been severely
declaration and evacuation surcharge water level, the damaged that it can no damaged by erosion that it
order downstream communities’ longer retain water after an could no longer retain water
evacuation shall be ordered. earthquake, evacuation of safely, evacuation of
downstream communities downstream communities
shall be ordered. shall be ordered.
19
Dam Safety
Guidelines on
Geological and
Geotechnical
December, 2018
Table of Contents
1. Introduction 1
2. Geotechnical and Geological Consideration 2

2.1 Introduction 2
2.2 Literature and Initial Review 2
2.2.1 Geological Maps and Other Geologic Information 2
2.2.2 Soil Survey 2
2.2.3 Topographic Quadrangle Maps 3
2.2.4 Other Sources of information 3
2.3 Site Reconnaissance 3
2.4 Topographical Mapping 3
2.5 General Geological Aspects 4
2.6 Geological Mapping 5
2.7 Geophysical Investigations 5
2.8 Subsurface Explorations 6
2.8.1 Exploratory Drilling 6
2.8.2 Test Pits 8
2.9 Test Samples 8
2.10 Construction Material Study 8
2.10.1 Locations 10
2.10.2 Exploratory Techniques 10
2.10.3 Sampling 11
2.10.4 In-Situ/Field Testing 11
2.11 Laboratory Testing 11
2.11.1 Characterization Testing 12
2.11.2 Strength Testing 12
2.11.3 Special / Other Test 13
2.11.4 Consolidation Testing 13
2.11.5 Permeability Testing 13
2.12 Seismic Hazard Assessment 13
2.13 Geotechnical Analysis 14
2.13.1 Foundation 15
2.13.2 Stability Analysis 18
2.13.3 Seepage Analysis 18
2.13.4 Settlement Analysis 19
2.14 Instrumentation 19
2.15 Investigation Implementation Schedule 19
2.16 Geotechnical Report 23
3. References 25
Annexure 1: (Reference) Checklist for Geological and Geotechnical Guidelines 27

Dam Safety Guidelines - Geological and Geotechnical
1. Introduction
Geological and geotechnical condition is one of the most important aspects of a dam safety evaluation.
A proper assessment and evaluation of the safety of either a new or an existing dam requires, among
other things, the adequate examination, exploration and investigation of the foundation and abutment
so that reasonable details are available for the planning and design purpose. The assessment should
identify the factors that critically affect the safe performance of the dam.
The general guidelines contained in this document are useful for the planning and design of all dams
considering their safety. The extent of engineering tests, analyses, studies, evaluations, and assessments
that are needed to justify a typical design are indicated in these guidelines.
Further, reservoir is an integral part of dam hence safety of dam is also associated with safety of
reservoir, which should be evaluated in view of reservoir rim study by emphasising its slope stability,
identifying landslides and its impact and water-tightness of reservoir.
Another important aspect for dam construction is study of construction material for various type of
dams. To ensure availability of suitable construction materials, it is necessary to identify quarry, borrow
areas, and evaluate it geologically through mapping and investigations to establish its extent and
quantity estimation. Laboratory tests of materials should be undertaken to admit its suitability for use.
Powerhouse and penstocks are generally located downstream of dam and/or at certain instances these
could be integrated with dam and hence their safety aspects in case of hydropower project is another
important aspect.
The intent of this document is to outline the general minimal geological and geotechnical data required
for engineering analyses and computations, and the plans that need to be generated for a successful
implementation of the project.
1
2. Geotechnical and Geological

Consideration
2.1 Introduction
The identification of the site characteristics, engineering properties of the materials used to construct
the dam, and geologic conditions beneath the dam in the foundation are essential to the design of a
safe dam.
The geotechnical and geological guidelines for a "typical" project involving all types of dam generally
have some challenges. It should be understood that each and every project is unique, and the
geotechnical requirements have to be modified accordingly. The type and quantity of field and
laboratory tests conducted and the types and numbers of analyses performed will be influenced by
the hazard classification and project function. A limited geotechnical investigation may be allowed
in case of a small, low-hazard dam while a comprehensive geological and geotechnical investigation
is recommended for large, high/extreme hazard dams.
Structures in heterogeneous geologic settings, such as limestone terrain susceptible to solution

phenomenon or lakebed sediments may require extensive geotechnical studies as subsurface
conditions can change dramatically across a valley. High dams and dams with very long crest lengths
may require more elaborate geotechnical investigations to assess the subsurface conditions properly.
The following subsections provide guidelines for planning and executing a minimal required
investigation programme, which should be completed to support the design.
For detailed guidance on investigation techniques, a list of references (particularly ICOLD Bulletins
129 and Fell et al, 2005) have been included in chapter 3 of this guideline.
2.2 Literature and Initial Review

The development of any project should begin with a review of available literature, existing geologic
and geotechnical maps, reports, and other records that might provide technical background
information on special conditions at the site and the surrounding area. The project details will dictate
the extent of the literature search that would be beneficial in the development of the project. Listed
below are some sources of information that may prove helpful.
2.2.1 Geological Maps and Other Geologic

Information
The available geologic mapping or published literature will provide an indication of the regional
geologic setting of the area surrounding the site. Local, detailed geologic mapping and pertinent
information in or near the project area may be available with National Geographic Department or in
the published literature.
2.2.2 Soil Survey

National Geographic Department has soil survey maps, which contain information on the surficial
soils. These are particularly useful in the preliminary phase of planning a subsurface exploration
program.
2
2.2.3 Topographic Quadrangle Maps

Topographic maps provide a general characterization of the surface features of the area under
investigation and the drainage patterns, which may influence site selection. In certain cases, detailed
topographic maps may be available from the departments carrying out topographic surveys, which
would be more helpful to use in evaluating site.
2.2.4 Other Sources of information

• Aerial Photographs
• Satellite Imagery: Remote sensing imagery will provide an appraisal of the geomorphology and
regional geology
• Well Records will provide idea about hydrogeology
• Technical publications pertaining to the area: will help to assess the impact of regional geology
on the site
• Technical records or inspection reports on existing dams near the site, will help to assess the
impact of regional geology on the site
• Special maps (abandon coalmines, underground caves, any unexploded ordnance (UXO) etc.)
2.3 Site Reconnaissance

A thorough reconnaissance of the project site and adjacent areas by the project engineers, the
geotechnical engineer and engineering geologist is considered to be essential at the initial stages for
any new dam project. A reconnoitre traverses in the dam site and reservoir area has to be done to
identify the presence of surface instability, faults and other adverse geological features. During the
course of reconnoitre traverses one or two alternative sites may be identified so that fall-back option
is available in case the originally selected site is not found suitable. Typically, a reconnaissance is
conducted in the initial stage prior to preliminarily selection of the site for locating the structure
based on surface topography and plan the surface and subsurface exploration to establish the
suitability of site for locating the structure, obtain the parameters required for designing the structure
and treatments required for constructing a safe structure. The primary emphasis of the site
reconnaissance is the area within the dam footprint and the areas on its upstream and downstream
covering sufficient distances to study the alternatives in view of foundation and abutment condition
at a glance. In addition, the reconnaissance study should include assessment of reservoir in view of
any leakage / seepage avenues. These would include the creek bottom, flood plain, abutments, and
any potential open channel spillway alignments within the abutments or areas away from the dam
site. In certain instances, the reconnaissance may include the entire dam body. It is very important
for the reconnaissance team to include the landowner in the site reconnaissance to help identify
potential borrow/ quarry suitable for sourcing coarse and fine aggregates and locations of unusual
geologic conditions such as rock outcroppings, caves, springs etc. Traverses both in the upstream and
downstream sides of the proposed dam are recommended to better identify the potential hazards, if
any, that may develop due to construction of the dam.
2.4 Topographical Mapping

Topographical maps for the investigation and design of any dam usually include:
• Regional maps on 1:50,000 scale with a 20 m contour interval may be available and published
by National Geographic Department.
• Site-specific maps to suit the site conditions which are typically on scales between 1:2,000 and
1:500 and with 2m to 1m contour intervals. Site-specific topographical mapping should be
produced during the initial stages of an investigation programme using ground survey,
photogrammetry, or remote sensing technology (e.g. LiDAR). The accuracy of
3
photogrammetry and remote sensing techniques can be affected by vegetation coverage and,
in some instances, manual ground surveys will be necessary to give the required resolution.
This topographical mapping using the benchmarks with X, Y and Z coordinates obtained from
Geographical or Topographic Survey Department.
All site-specific mapping should be completed in relation to a regional coordinate system and datum,
and all features recorded during an investigation (e.g. geological features, drill holes) should be
located and levelled to the same coordinate system and datum.
2.5 General Geological Aspects

Regional and site-specific geological studies should be completed for all dam sites taking into account
the complexity of the site, composition of foundation, the type of dam and its hazard potential.
Information on the stratigraphy and the extent to which the materials are weathered or erodible, the
strength and stiffness of the materials, the permeability of the materials and whether they
incorporate potential leakage paths, and the joints and whether they are oriented in a manner that
could contribute to foundation instability is important.
Subsurface explorations comprising geophysical surveys including seismic refraction and resistivity
surveys, pitting and trenching, core drilling and drifting may be planned and executed.
General consideration for sub-surface investigation and in-situ as well as laboratory testing
requirements are listed below, but not limited to:
• Subsurface exploration programmes should be sufficient to permit to obtain all the parameters
required for design of the dam.
• Testing of the foundation materials to determine their characteristics and the extent of any
necessary foundation excavation. It should include
o Sufficient test pits and drill holes, with in-situ permeability testing, to characterise the
foundation.
o Additional in-situ and laboratory testing (e.g. shear strength, consolidation) to
determine the characteristics of the foundation materials, as appropriate to the site
conditions.
o Construction materials from the identified sources have been planned to be tested in the
laboratory for their suitability to use as aggregates
The intent of geotechnical investigation for any dam is to gather as much data as possible to carry
out an initial feasibility assessment, with subsurface exploration (numerous and comprehensive
borings, fully representative of the site) to evaluate additional considerations, including:
• The depth to bedrock (if applicable) and the bedrock profile along and across the axis of the
proposed dam both in riverbed and on the abutments.
• the classification and integrity of geological strata beneath the proposed dam and appurtenant
structure (including permeability of strata; details of fractures or seams in rock; and the
presence of karstic limestone, gypsum and other possible channels conducive to leakage.,
dispersive soils, etc.
• The boundaries of different litho-units and units in overburden
• The limits and orientation of geological features such as joints, bedding, sheared zones, faults
etc.
• the potential unstable areas around the proposed dam site and along the reservoir rim
• the presence of artesian water conditions
After establishing all of the above parameters through geological and geotechnical investigations, a
compilation of all data is necessary to evaluate the geological model of a particular project.
4
2.6 Geological Mapping

Site-specific engineering geologic mapping on an appropriate scale is essential perquisite for
planning subsurface explorations in any project. It gives idea of nature, quality and extent of rock
mass present at the site and can be utilised to have preliminary idea about the size and design of the
proposed dam. Based on the detailed geological mapping, subsurface explorations required at the
site can be identified. The surface mapping may include picking up all the rock outcrops available at
the site and recording the type of bedrock, details of discontinuities, extent of weathering etc. in case
of bedrock; and where bedrock is covered by overburden, the mapping should gather the information
regarding nature of overburden and extent of estimated thickness of overburden at the site.
Geological sections based on the surface geological mapping should be developed. Post developing
geological sections the critical areas relevant to the structures may be identified and subsurface
explorations are to be planned. The surface geological mapping should also include prominent
geomorphological features at the site including the extent of reservoir showing abnormal features
such as unstable slopes, springs, landslides (active, dormant or old passive) etc. During walk-through
geological mapping of the reservoir, all the major geological features such as prominent joints, shears
faults, folds, landslides, seepage areas etc. should be picked up to further analyse the data for
reservoir rim stability and indicating the geotechnical measures required to stable the reservoir rim.
Geological mapping is to be extended to identify potential sources of material for construction of the
Dam.
Map symbols should conform to FGDC Digital Cartographic Standard for Geologic Map
Symbolization, U.S. Geological Survey for the Federal Geographic Data Committee, FGDC Document
Number FGDC-STD-013-2006, August 2006. This Standard contains descriptions, examples,
cartographic specifications, and notes on usage for a wide variety of symbols that may be used on
typical, general-purpose geologic maps and related products such as cross-sections.
2.7 Geophysical Investigations

Generally surface geophysical surveys (also referred to as geophysical surveys) follow the surface
geological mapping as these non-destructive methods are very much helpful in defining the
subsurface configuration at a site. These are relatively less costly and can be conducted quickly. These
may follow detailed surface geological / engineering geological mapping and form the basis for
destructive and direct subsurface explorations like drilling and drifting. It is always better that the
drilling and drifting explorations are planned based on the results of surface mapping and
geophysical surveys.
Geophysical surveys have the following benefits:

• They are non-destructive and have limited impact on the site conditions.
• They provide a continual spatial quantification of potential ground conditions.
• They can identify anomalous areas that can be targeted while planning a drilling program.
• They can be helpful in estimating the thickness of overburden or depth to bedrock at site,
quality of bedrock in the subsurface and identify litho contacts to some extent.
• In general, results of geophysical surveys should form as baseline for planning further
subsurface explorations as drilling. In a way, geophysical surveys can be helpful in optimising
the quantum of costly and time-consuming drilling explorations.
Typical geophysical surveys may include:

• Seismic refraction/reflection profiling – in these p-wave velocities in different media present
in the subsurface are measured and can be used to identify density of different types of
subsurface materials, litho contacts and groundwater levels in the subsurface.
• Electrical and electromagnetic surveys that measure resistivity / conductance of the
subsurface media, which can provide an indication to the extent of saturation of media and
may indicate the presence of clay – can be used to identify saturated and/or clay rich materials
5
• Magnetic and gravity surveys – may be useful in identifying low-strength rock and natural or
human-made cavities.
In general, geophysical surveys do not provide quantitative information in all situations and should
be corroborated with results of drilling.
2.8 Subsurface Explorations

The objective of an effective subsurface exploration program is to define the subsurface condition of
the strata present in the foundation and abutments such as extent of overburden and its nature, and
type of bedrock along with its condition for dam, ancillary structures, powerhouse and penstock
alignment. It also facilitates to conduct in-situ testing of soil and rock mass and collection of samples
from foundation media for testing in the laboratory. These programmes may include exploratory
pitting / trenching, core drilling and exploratory drifting.
Subsurface explorations comprising drill holes, test pits and /or test auger holes should be located
along the axis proposed for the dam, in the toe and heel region of the dam, at the proposed service
and auxiliary spillway locations, powerhouse premises, penstock alignments and in other critical
areas such as identified vulnerable areas of reservoir, quarry and borrow areas. The depth of the
subsurface explorations should be sufficient to locate and determine the extent and properties of all
soil and rock strata that could affect the performance of the dam, powerhouse, penstock, the reservoir
and appurtenant structures.
The subsurface explorations like test pits, auger holes and drill holes, besides studying the
parameters of the foundation strata, should be utilised to collect disturbed and undisturbed samples
for testing in laboratories for determining physical and mechanical characteristics of the foundation
media required for finalising foundation level and designing the dam and powerhouse.
The output of all field investigations should be presented as a factual report on the investigations that
include standards used, investigations carried out, investigation results, and results of laboratory
testing.
2.8.1 Exploratory Drilling

The number of exploratory drill holes along the centre line of the dam should be based on the needs
of the design. For even the small low height dams, at least three exploratory drill holes should be
drilled along the proposed dam axis. Of these, one may be drilled in the deepest part of the valley
across which the dam will be built and one on each abutment. At least one drill hole should be drilled
at the downstream end of proposed spillway location. The depth of exploratory drill holes may be 30
meter for small earth or rock fill dams, if bedrock is not encountered and 5-10 m into acceptable
foundation grade bedrock in case bedrock is encountered earlier or in case of high dams of all types.
It is also suggested that one or two holes may be extended down to the depth equal to height of the
dam in bedrock to have the idea about the permeability characteristics of the foundation strata and
design the foundation treatments, if required. Permeability tests should be carried out in all the drill
holes at regular intervals to determine the permeability characteristics of foundation strata and
formulate the foundation treatment programme if required. Drill holes may be vertical, inclined or
horizontal based on the site-specific requirement. In general, bore holes should be drilled vertically
but based on the discontinuity pattern of rock mass gathered from surface geological mapping,
inclined drill holes might be necessary to plan to extract more sub-surface information. Inclined drill
hole may also be required to investigate beneath a river or water channel where accessibility is
difficult. In such cases, drilling may be planned from the abutments inclined towards river or water
channel. Similarly, drilling exploration should be carried out at powerhouse area and penstock
alignment to establish suitable foundation strata.
The general guidance for subsurface geotechnical site investigation may be as below:
• The depth of the drill holes should be 30 m in case bedrock is not encountered earlier in case
of small dams and the drill holes may be taken at least 10m in to the foundation grade bedrock
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in case of medium and large dams or dams on soft soil foundation. However, one or two holes
may be extended to depth equal to height of the dam.
• The spacing between drill holes along the proposed dam axis should be determined keeping in
view the variability of the foundation conditions and height of the dam. Spacing could for
example range from a few metres apart for complex foundation conditions to 50 metres for
sites with simple foundation conditions.
• Drilling at the upstream and downstream dam toe should be considered for most dams to
delineate the soil / rock stratigraphy in the valley
• Open channel spillways in the abutments are typically evaluated with borings, if significant
depth of excavation is anticipated. These drill holes should at least penetrate the depths of
excavation and identify the properties of the materials at the base of the channel
• The investigations should be strategically located to cover the areal extent of the dam structure
and the anticipated stratigraphy.
• Drilling in powerhouse area should be extended to a depth of 10 m into sound bedrock and/or
at least 30 m in absence of rock at shallow depth.
• Along penstock alignment, a few drill holes especially at anchor blocks should be undertaken
to establish suitable foundation strata and/or identifying treatment for the strata to improve
for its suitability
• The number of investigative locations must be sufficient to support representative profiles
along the dam axis and representative design cross sections (upstream to downstream) along
the dam alignment.
• The number of investigative locations must be sufficient to adequately characterize all the
different soil and bedrock units that are present in the proposed dam foundation.
• Undisturbed sampling of cohesive soils should be conducted to obtain samples for laboratory
testing.
• Appropriate in situ testing like SPT (Standard Penetration Test: ASTM Standard D1586)
should be considered to establish and confirm in situ properties of soils.
• During drilling programme, ground water level should be measured in each drill hole to
delineate the ground water condition as a whole in the dam site area
• All cores obtained from the bore hole should be preserved in a tidy, clean and dry condition at
a designated place with proper numbering and levelling to use these in future as and when
necessary
Additional Investigation Required
In all cases, if the above mentioned recommended minimum requirements identify any potential
difficulties with the site (e.g. existing signs of slope instability, adversely orientated joints, weak or
karstic foundation materials extending beyond the depths of the completed drill hole, the presence
of volcanic ash or potentially liquefiable materials), additional investigation work should be
conducted as required.
Specific Investigation
For High and Extreme hazard rating dams, a more comprehensive investigation, focussed on key
issues identified by technical specialists should be conducted which may include the following:
• Excavation and logging of shafts and drives
• Drilling and monitoring of groundwater observation wells
• Downhole geophysical electronic logging and core orientation
• Geophysical and borehole logging of the subsurface foundation materials
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• Large scale in-situ tests (e.g. plate bearing tests, shear tests)
• Advanced material investigation (e.g. trial grouting, reactivity of concrete aggregates, slake
durability tests),
• Reservoir slope stability investigations (e.g. drilling, groundwater observation, deformation
surveys)
In all cases of field exploration programme, the reporting of soil and rock descriptions should
conform with the Unified Soil Classification System (ASTM D-2487) and the Standard Guide for Field
logging of subsurface explorations of soil and rock (ASTM D5434-12). Alternative standards are
available such as ISO 1489:2017 Geotechnical Investigation and Testing – identification, description
and classification of rock.
2.8.2 Test Pits

Test pits excavated with a backhoe can provide useful information in certain portions of the site.
Several excavations often allow a more thorough assessment of the stratigraphy near surface, and
can provide indications of potential difficulties that may encounter during construction. In case of
small dam of low hazard structure, if good and competent rock is available at shallow depth then test
pits may significantly reduce the quantity of drilling / boring. Otherwise, the following procedure
may be adopted.
2.9 Test Samples

The rock and soil samples from drilling and lump samples from potential or representative area as
well as undisturbed and bulk samples are to be collected to determine their engineering properties
to use these in design and analysis.
• Rock Core Samples – Suitable rock core samples are to be collected from various drill cores,
which may represent the overall geo-mechanical properties to be considered by dam engineer
for their various analyses.
• Disturbed Samples - Split-spoon samples from borings and samples from test pits should be
obtained for classification and correlation. Disturbed samples obtained by Standard
Penetration Testing, or other suitable methods, are normally made on 1.5 meter intervals
unless there is evidence that the material is relatively homogeneous in which case 3 meter
intervals may be appropriate
• Undisturbed samples - A sufficient number of relatively undisturbed samples should be
obtained to evaluate foundation materials, especially at large dams. A sufficient number of
samples are needed to accurately characterize the differing types of materials present in the
valley and abutments. Strength, compression, and permeability tests on undisturbed samples
produce data that is essential in evaluating the stability of the dam and determining the
expected behaviour of the materials left in place to support the dam.
• Bulk Samples - Disturbed bulk samples from test pits or auger cuttings are typically collected,
particularly for explorations made in open channel spillway areas and potential borrow areas.
• Lump rock Sample – these should be manually collected by removing the weathered rock
material from the potential quarry area to test the samples for alkali aggregate reaction testing
or for crushing in order to assess concrete mix design.
2.10 Construction Material Study

The ultimate purpose of construction material study is to identify sufficient quantities of acceptable
grade construction materials including coarse and fine aggregates that can be used in the
construction of the dam. This can be accomplished by identifying the areas in the vicinity of the
proposed site, preferably in the reservoir, estimating the quantity of material needed in the dam.
Sufficient subsurface explorations should be made to verify the suitability of encountered rock for
8
use as a construction material. Testing of rock materials shall ascertain its strength, compressibility,
and resistance to degradation. Similarly, appropriate laboratory tests should be performed on
samples of the proposed embankment materials in order to ascertain their suitability for use in the
dam. Haul distances between the borrow areas and dam site, the characteristics of the available
materials (e.g. material quality, variability in the borrow area), can affect the dam type and the cost
of a dam project.
In general, the following types of materials are necessary to be evaluated for designing purpose:
Embankment Dam
• Embankment dams are constructed of all types of soil materials, with the exception of organic
soils and peats.
• Inorganic soils are generally used as construction materials such as well graded, fine grained
soils for impervious core (Silt and clay) and coarse-grained soils (Sands and gravels) for
casings
• Fine grained soils used as the water barrier in embankment dams, either in a homogeneous
section, or as the core in a zoned embankment should have following properties:
o The material must be formed into an essentially homogeneous mass, free from any
potential paths of percolation through the zone or along the contacts with the abutments
or concrete structures.
o The soil mass must be sufficiently impervious to preclude excessive water loss through
the dam.
o The material must not consolidate excessively under the weight of superimposed
embankments.
o The soil must develop and maintain its maximum practicable shear strength and
adequate plasticity
o The material must not consolidate or soften excessively on saturation by water from the
reservoir.
o Do not have dispersive characteristics unsuitable for the cores of embankment dams.
• Coarse grained soils such as gravels and sands typically used in the shells or in transition zones
of zoned embankments, and in filters and drains should have the following properties:
o The material must be formed into a homogeneous mass free from large voids.
o The soil mass must be free draining.
o The material must not consolidate excessively under the weight of superimposed fill.
o The soil must have a high angle of internal friction [i.e., high shear strength].
o Lack plasticity and cannot hold an open crack.
• For rockfill material, all kinds of rocks (igneous, sedimentary and metamorphic) are used for
compacted rockfill such as sound, intrusive, igneous rock (granite, syenite, diorite, gabbro,
labradorite and so forth), sedimentary rock, such as sandstone cemented by siliceous or
ferrous materials, metamorphic rocks with reasonable joints and good physio-mechanical
indices may also be considered. The rock fill material should have the following properties and
should be tested for its suitability:
o Have sufficient strength In shear and compression
o Materials should be hard and durable so that should not not deteriorate easily
o Do not have high rates of weathering where weathering could compromise their design
performance or function.
o materials should be well graded
o Rockfill materials are sometimes prone to segregation which can be minimised by
proper placement methods
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Aggregate materials for Concrete Gravity Dam

• The aggregate for concrete gravity dam is composed of two varieties, namely coarse and fine
aggregates.
• The coarse aggregates comprises crushed or uncrushed stone, gravels and rock materials
having the following properties:
o It should be hard, strong, dense, durable, clear and free from veins and adherent
coatings; it should be free from injurious amount of disintegrated pieces, alkalis,
vegetable matter and other deleterious substances. The materials should be tested for
aggregate impact, abrasion, crushing value, elongation and flakiness index, petrography
etc.
• The fine aggregates should be naturally occurring stream sand or produced from stone by
crushing that should have the following characteristics:
o Materials should be well graded, strong, dense and free from organic impurities, clay
lumps. The fines should be tested for gradation and fineness modulus, alkali reactivity,
specific gravity/density, soundness of the materials and petrography.
2.10.1 Locations
Borrow areas should be located with due consideration to the future safety of the dam so that it does
not jeopardize the integrity, stability or the performance of the structure and should be shown on the
plans.
The following areas as borrow material may be considered:

• Open Channel Spillways - For projects involving the excavation of open channel spillways in
the abutment, it is recommended that these materials be evaluated for use in the construction
of the dam.
• Reservoir Area - Any portion of the reservoir area that will be excavated for borrow material
should be investigated. Under no circumstances should bedrock be uncovered and left exposed
in a borrow area that is within the reservoir water fluctuation regime to avoid deterioration of
rock mass which may trigger slope failure within reservoir rim.
• Materials from open excavation and tunnels may also be tested for suitability to use as
construction materials
2.10.2 Exploratory Techniques

Exploration through drilling in potential rock quarry site is essential to delineate the quantity and
quality of available materials. The quantum of investigation depends on the specific geological
mapping of the concerned area, which has to be guided by the professional geologist / geotechnical
engineer.
The exploration of potential borrow sites should be sufficient to characterize the usable soil deposits
both from a geological and engineering perspective. The study should demonstrate homogeneity
relative to the deposit(s) under consideration.
• Test Pits - Test pits are the preferred exploration technique for the evaluation of borrow
sources, where the potential depths of excavation are limited, or where the occurrence of
suitable material is near the surface. Soil stratigraphy can be determined in more detail, and
the variability and inclusion of unsuitable materials may be more readily observed with test
pits. Discreet sampling of specific soil layers and combined sampling of two soils in the vertical
profile can easily be done using this technique.
• Borings - Auger borings are typically required where greater excavation depths are planned.
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2.10.3 Sampling
Small grab samples of foundation, abutment, and borrow materials are useful for general
classification purposes. Sealed samples of this type can be used to determine in-situ moisture
contents. Bulk samples are required on all materials that may be used as embankment fill. Sufficient
quantities of bulk material are obtained based on the types of laboratory tests to be performed .
2.10.4 In-Situ/Field Testing

In-situ or field testings may be considered in the evaluation of foundation conditions for new dams
and in the evaluation of conditions within and beneath existing dams. The objective of the
geotechnical component of the site characterization program is to develop parameters that can be
used in the dam design. The geotechnical component may include, for example, investigations related
to stability, deformation, settlement, seismic response, seepage, and piping potential. The hydraulic
conductivity of bedrock is typically controlled by the degree of fracturing and rock quality. The stress
state of the rock should consider the potential for valley rebound and regional stresses. For high
dams, the deformation properties of the rock may be determined. Therefore, field permeability or
water percolation tests should be conducted in each drill hole to determine the hydraulic conductivity
of the rock mass at different levels beneath the dam foundation; it helps to assess uplift parameters
and to design an appropriate drainage system. Direct shear tests need to be conducted at site to
determine shear parameters of the rock mass, which is usually carried out within exploratory adits
excavated at dam abutments. In addition, modulus of deformation of the rock mass is an essential
design parameter to be obtained through field test within abutment adits.
Typical conditions that may warrant for earth dam, in-situ testing include soft compressible
foundation materials that cannot be sampled routinely for laboratory testing, determination of
bearing capacity, evaluation of seepage through foundations and existing embankments, evaluation
of the continuity and integrity of foundation rock, and the determination of excavation quantities
and methods.
The in-situ field examination may also be used to determine the suitability of rock for erosion control.
Rock proposed for use in erosion control applications will normally be classified as either filter
bedding stone, riprap stone, armor stone. Both the rock mass properties and the rock material
properties must be evaluated. The rock mass properties are the lithologic properties of the in situ
rock that must be evaluated on a macroscopic scale in the field following ASTM D4992. These would
include features such as fractures, joints, faults, bedding, schistosity, and lineations, as well as the
lateral and vertical extent of the rock unit. The rock material properties are those lithologic properties
that may be evaluated using small specimens and thus can be subject to meaningful laboratory
testing.
The utilization of field test methods will depend on the size and length of the dam, the type and extent
of foundation materials encountered, and the economic feasibility of a particular method over
another. In-situ methods may be used to supplement more common exploration techniques such as
soil test borings. Some geologic settings and embankment conditions may necessitate the use of one
or more of these methods. The insitu tests may be conducted following the relevant Standards and
Codes.
2.11 Laboratory Testing

The laboratory testing program for concrete gravity dam aims at characterization of rock mass to
define the physio-mechanical properties of various rocks that can be used as design parameters in
conjunction with field test data. It includes determination of strength of rock, density, deformation
modulus, shear strength parameters, tensile strengths etc.
For earth dam, it typically consists of soil classification and may include a determination of shear
strength parameters, permeability, and compressibility properties of soils. Appropriate in-situ tests
may be considered for foundation materials. Laboratory testing of remodelled samples of potential
embankment materials is typically needed to determine the strength of the material. Depending on
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the size and hazard classification of the dam, a relatively extensive testing program may be required
to characterize all of the material types in the foundation and the embankment. It may be necessary
to perform duplicate tests on significant soil material types to verify a typical value of the material
being tested.
The laboratory testing of relevant materials as stated above are to be carried out from an independent
laboratory. Otherwise, confirmatory laboratory tests of the materials should be undertaken from an
independent laboratory to validate the results obtained.
2.11.1 Characterization Testing

This type of testing is typically performed to provide an indication of the engineering characteristics
of the materials that will be used to construct the dam. These tests also provide identification of the
different types of materials involved so that more extensive testing can be targeted to specific
material groups.
For rock cores, petrography test is important to identify and define mineral content. Besides rock
cores are tested for density, water absorption, porosity, slake durability and susceptibility to alkali
aggregate reaction in addition to the tests determining the physio-mechanical characteristics of rock
materials as mentioned in laboratory testing.
Classification Tests - General classification tests, suitable for classifying soils by the United Soil
classification System (USCS), include gradation tests (sieve and hydrometer, as required) and
Atterberg Limits tests.
Compaction Tests – Standard and heavy compaction tests, and associated natural moisture content
tests are needed to establish the basis for quality control during construction and to provide samples
for strength testing. Standard compaction tests are typically used.
2.11.2 Strength Testing

Strength testing will normally be required to determine the shear strength parameters for the
stability evaluation of both new and existing dams. For rock cores, uniaxial compressive strength test
should be performed to evaluate strength parameters. In addition, shear strength test to determine
cohesion and friction values, tensile strength tests to determine strength parameters, deformation
tests to determine Young’s modulus and Poisson’s ratio are essential parameters to be obtained.
Besides, irregular lump rock samples in the field are also tested to determine rock strength through
Point Load Index testing (ASTM D5731 code of practice), which gives a preliminary idea about the
rock strength.
For earth materials, tests are typically performed on relatively undisturbed samples of foundation
materials and existing embankment materials. Remoulded samples of potential borrow materials are
compacted to the minimum value allowed in the technical specifications and tested to determine the
shear strength of the material that will be used to construct the new embankment. It is also required
to perform triaxial tests on foundation and embankment soils for significant and high hazard dams.
For small, low hazard dams, estimated shear strength parameters may be selected from published
data in the Bureau of Reclamation’s Design of Small Dams for the embankment and foundation
material. Estimates should be based on the results of soil classification tests (Atterberg Limits, Sieve
Analysis, and Hydrometer Analysis).
Triaxial Shear - Laboratory strength parameters are typically evaluated using consolidated undrained
(CU) triaxial shear strength tests with pore pressure measurements. The CU test provides both total
and effective strength parameters.
Direct Shear - Direct shear tests may be considered in certain instances. However, these tests are less
accurate than triaxial tests and are becoming less common in the determination of strength
parameters for earth dam stability computations.
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Unconfined Compression - Unconfined compression tests are used to estimate the undrained shear
strength of saturated, fine-grained foundation materials. It is applicable only for cohesive soils, which
will not expel or bleed water during the loading portion of the test such as clayey soils. It is not always
possible to conduct the bearing capacity test in the field. Sometimes it is cheaper to take the
undisturbed soil sample and test its strength in the laboratory by performing the unconfined
compression test on undisturbed and remoulded soil sample.
2.11.3 Special / Other Test

In addition to above mentioned tests, provision of some special tests are to be planned and
performed, if required at certain instances. These are as below:
• Dynamic triaxial tests or similar

• No-erosion Filter tests
• Chemical Tests
• Dispersivity Tests
2.11.4 Consolidation Testing

Where settlement is an issue, an adequate number of consolidation tests on undisturbed foundation
samples are needed to establish the settlement characteristics. Consolidation tests may also be
performed on samples from proposed borrow areas that are remoulded to provide reliable settlement
and deformation data on each soil type proposed for the embankment.
2.11.5 Permeability Testing

Depending on the dam size, the embankment and foundation characteristics, permeability tests may
need to be performed on undisturbed samples from the foundation of new and existing dams. When
seepage is a concern in an existing dam, permeability tests of undisturbed embankment materials
may be necessary. For new dams, remoulded samples of proposed borrow materials may require
permeability testing. These tests are typically performed on saturated samples to establish hydraulic
conductivity characteristics of the various soil types involved. Both falling and constant head tests
can be performed.
2.12 Seismic Hazard Assessment

The International Commission on Large Dams (ICOLD) published Bulletin 72 entitled ‘Seismic
design parameters for large dams’ (ICOLD, 2010) in which it is stated that a dam should be able to
resist the ground motions caused by the maximum credible earthquake. The seismic design criteria
for dams, which have been approved by ICOLD in 2001 and 2010, are to be followed for safe dam
design.
In view of the above and as part of the geological investigation, a site-specific seismic hazard
assessment should be performed. Seismic hazard assessment consists of selection of maximum
credible earthquake (MCE), the maximum design earthquake (MDE), or the Safety Evaluation
Earthquake (SEE) and design basis earthquake (DBE). An operating basis earthquake (OBE) is often
used in addition to the MCE, MDE, or SEE.
The analysis to determine the seismicity of a site requires the review of records and reports dealing
with the seismicity and remote-sensing interpretation. Geologic studies describe the seismo tectonic
province, characterize the site, and investigate all faults that may be the source of significant ground
shaking at the site. Compilation of historical earthquake data helps to identify the seismicity patterns
of an area and provides a basis for estimating a lower bound of the severity of possible future
13
earthquake motion at the site considered. Historical seismological information exists primarily
within governmental and academic references and the media record.
Basic seismic studies generally rely on existing seismological studies, available site data and
information, and simplified methods of design or evaluation developed for similar projects or
structures. Detailed seismic studies involve the use of site-specific studies in evaluating the
earthquake hazard and more refined dynamic analyses for determining the response of project
features to seismic loading.
Either of two general approaches may be used, namely deterministic or probabilistic approach. A
deterministic approach is generally possible, but probabilistic methods may be used alone or together
with deterministic methods. A deterministic approach uses fault characteristics and historic
seismicity combined with potential epicentral distances for each fault to determine the potential
earthquake loading. A probabilistic approach is usually most appropriate. It uses recurrence rates
based on historical seismicity to predict epicentral distances for the MCE in each source area, and
predicts events of lesser magnitude and distance for a given probability of occurrence. These
probabilistic events are then used to estimate potential earthquake loadings.
The DBE with a return period of 475 years is the reference design earthquake for the appurtenant
structures. The DBE ground motion parameters are estimated based on a probabilistic method. The
mean values of the ground motion parameters of the DBE can be taken. For the dam body and safety,
critical elements that include mainly gates and their motors and power supply, two levels of
earthquakes are specified, i.e. the operating basis earthquake (OBE) and the safety evaluation
earthquake (SEE). The ground motion parameters of these design earthquakes with return periods
of 145 years for the OBE and 10,000 years for the SEE may be obtained from a probabilistic seismic
hazard analysis. For the SEE ground motion parameters, the worst case earthquake scenarios may
be considered in a deterministic analysis. For smaller dams, depending on the risk classification,
shorter return periods are given for the SEE ground motion parameters.
Representative seismograms may be required for more rigorous evaluations of critical dams or dams
in areas of high seismicity. The seismic load consideration for dam design should be taken from
LEPTS article 20.
ICOLD bulletin 166 is concerned with the earthquake inspection of dams. After a strong earthquake
the condition and safety of dams subjected to strong ground shaking must be assessed. In Bulletin
166 typical checklists are given for embankment and concrete dams and recommendations are made
on the safety checks that have to be carried out depending on the intensity of ground shaking at a
dam site.
2.13 Geotechnical Analysis

Appropriate geotechnical analysis are performed to determine the configuration and geometry of the
dam, the size and location of internal drains, the location of conduits within the embankment, and
the location of appurtenant structures. The accuracy of these analyses depends on the validity of the
parameters and assumptions developed from the results of geotechnical investigation. Additional
field and laboratory work may be necessary to improve the accuracy of the geotechnical models that
are used by the engineer. The intent of the geotechnical analyses is to design a safe and satisfactorily
functioning structure at the lowest feasible cost. A design report should be prepared as the conclusion
of the design process and retained in the dam documentation.
The geotechnical analysis consideration for a dam emphasises in assessing the ability of the
foundation to support a dam. For that, extensive exploration, geologic mapping, sampling and testing
to obtain sufficient data about the condition of foundation are essential. Geotechnical analysis can
then be useful to identify potential failure planes in the foundation and to determine the strength
and deformation characteristics of the material along these failure planes. The following data will be
necessary for a geotechnical analysis of dam:
• Physical properties of the various foundation materials
• Physical geometry of all formations and deposits
14
• Dip and strike of the joints, faults, shears and other planar structures
• Shearing and sliding strengths of the discontinuities and the rock
The seismic evaluation of any dam should be carried out based on Maximum Credible Earthquake
(MCE) and Operating Basis Earthquake (OBE) to get a safe design against traditional overturning
and sliding stability of gravity structure and a structural analysis to determine stresses within the
dam. While analysing earthquake loading by using dynamic or pseudo dynamic methods, it needs to
be ensured that the dam must be capable of surviving and MCE without a catastrophic release of the
reservoir and also must be capable of resisting an OBE safely within the elastic range of the materials.
Critical sections of the dam / embankment should also be evaluated for all expected loading
conditions that could occur during the life of the dam.
The geotechnical design typically includes the following:

• Provisions for monitoring the performance of the dam and maintaining the structure to assure
satisfactory performance throughout its design life
• Evaluation of the stability of the structure during construction, at the end of construction, and
during steady seepage conditions
• Evaluation of the stability of the dam and appurtenant structures during and after seismic
events
• Evaluation of the stability of the dam and appurtenant structures during a rapid drawdown of
the reservoir
• Ability of the embankment, internal drains, and appurtenant structures to experience minor
consolidation settlements without significant adverse effects
• Monitoring, collection, and control of seepage through the embankment, foundation and
abutments
To assess the safety of a dam and the possibility of failure, the different potential failure mechanisms
must be recognized. Failure mechanisms are grouped into four general categories: foundation
failures, slope stability, piping and overtopping. A review of the different failure mechanisms for
existing dams is also provided in USBR (2001) and FEMA (1987). Further details of geotechnical
analyses of dams can be found in USBR (2001).
2.13.1 Foundation
Foundation defects can affect the integrity and stability of any dam type and untreated foundation
defects have contributed to many dam failures around the world. Clearly, the foundation for any dam
must fulfil the following functions:
• It must provide stability.
• It must provide sufficient stiffness to ensure deformations are within acceptable limits.
• It must control and limit seepage flows and uplift/ piezometric pressures beneath the dam.
• It must prevent the transportation of dam materials through the foundation.
• It must not degrade over time.
Any concerns that arise in relation to the above functions should be addressed by appropriate
foundation engineering.
In simple geological condition, the above functions may be easily satisfied. However, in case of
complex and special geological conditions, these could be a challenge and hence innovative treatment
may be required to arrest those to an acceptable limit. Some special geological set-up requires more
care during investigation, design and construction. These are indicated below:
15
• Clean coarse sands, gravels and cobbles (open work deposits) which could provide a pathway
for foundation piping or the piping of embankment materials into the foundation.
• Loose silt or sand deposits, which are potentially liquefiable.
• Infilled joints that could be eroded out and provide the potential for high seepage flows or the
piping of embankment materials.
• Interbedded soil deposits (fine against coarse) that could provide the potential for foundation
piping.
• Weak strata, interbeds and seams with low strengths, which could result in potential sliding
failure surfaces within the foundation.
• Highly compressible and/or dispersive soils, which could result in collapse and differential
settlements, and cracking or foundation piping.
• Volcanic deposits whose engineering properties can vary enormously over short distances.
Lava flows can be underlain by beds of breccia, scoria or sand with high permeability and low
resistance to erosion. Sites where tuffs, lahar deposits and agglomerates are present often
incorporate low density and low strength materials.
• Karst features (caves, sinkholes) which can result in high seepage losses and further sinkholes
following impoundment by the washing out of infilling or overlying materials.
• Persistent sub-horizontal joint sets that control the shear strength at the dam/foundation
interface or within the dam foundation.
• Faults and other major discontinuities, which can incorporate low strength materials and, if
unfavourably orientated, can affect dam stability.
• Active faults (primary and secondary) that can result in displacements beneath a dam and the
initiation of internal erosion increased uplift pressures and reductions in dam stability.
• Landslides or unstable rock abutments that may require substantial remedial works to protect
the long-term integrity of the abutments.
Foundation Treatment
Foundations for dams require necessary treatment to satisfy the requirements of stability,
deformation and water tightness. Generally, the scope of any foundation treatment depends on the
type of dam, the dam hazard rating, and the characteristics of the foundation materials. In case of
high hazard concrete gravity dam on a rock foundation it will be necessary to remove all overlying
materials to a suitable rock quality, treat particular rock defects, and it may be necessary to complete
a programme of consolidation and curtain grouting. If the core foundation of the dam consists of
closely fractured and jointed rock, a blanket grout pattern is used with holes spaced at 3 m to 5 m
centre to centre with depths of 6 m to 10 m. If the foundation rocks are massive, blanket grouting
may not be required. Localised area consisting of faults, fissures, or cracks are generally grouted to
the required depth. Target Lugeon values need to be based on the requirements of design.
ICOLD Bulletin 129 provides a detailed account of foundation treatment methods, which are grouped
into excavation and surface treatment, treatment by sealing measures, treatment by drainage
measures, and treatment by strengthening measures. In addition, ICOLD Bulletin 88 provides a
detailed account of the investigation, design and treatment of rock foundations. In addition, LEPTS
articles 21, 22 and 25 have mentions on the necessary measures to be taken care and should be
followed.
Excavation and surface treatment involves removal of all undesirable materials necessary to achieve
a foundation that satisfies or can be treated to achieve the requirements of stability, deformation and
water tightness. This necessitates the following for particular dam types:
16
Fill Dam (Zoned Embankment)
The removal of all erodible, weak, unstable or liquefiable, compressible or loose materials and the
treatment of any rock defects to achieve a uniformly varying foundation and abutment profile are
primarily necessary. Further, it is required to enable a tight bond between the core material and its
foundation, and to provide an adequate defence against the development of a preferential seepage
erosion pathway capable of transporting embankment materials along the foundation and abutment
contacts.
If it is uneconomic to remove liquefiable materials, then these must be stabilised by special ground
improvement techniques. Impervious foundation materials beneath the dam’s drainage features,
which would prevent proper functioning of the drainage must be removed. If necessary, graded filters
should be installed to prevent the erosion of shoulder materials into the foundation and foundation
materials into the embankment.
Concrete Face Rockfill Dam
Seepage paths beneath the plinths (upstream toe slabs) would be short and hydraulic gradients high
so it is important that excavation and surface treatments minimise the potential for erosion or piping
in the foundation beneath the plinth. Excavation methods should be selected to minimise the
potential for foundation damage and foundation clean up should be completed to a standard that
ensures a well-bonded contact between the concrete and foundation rock.
Apart from a short distance downstream of the plinth, where soil and soft weathered rock should be
removed if filter and transition materials are placed between the face slab and downstream rockfill,
the foundation beneath the downstream rock fill often only requires the removal of surface deposits
to expose the points of hard in situ rock. If the foundations are weathered then the section
downstream of the concrete plinth could be founded on material, which is more prone to erosion and
piping. In this case, filters will need to be more extensive. Gravel deposits are often left in place as
they frequently have a higher modulus of compressibility than well compacted rock fill.
Concrete Gravity Dam
Apart from low head structures which may be built on suitable overburden materials but require
special treatments for the control of seepage flows, all concrete gravity dam foundations should be
cleaned down to reasonably uniform surfaces of competent rock.
Foundation defects such as weathered zones, fault zones and weak seams should be excavated to
appropriate depths and backfilled with concrete. In some cases, where prominent defect zones
containing erodible material are present, it may be necessary to excavate upstream and downstream
cut-off shafts and backfill them with concrete. In other cases, where the global stability of concrete
monoliths is adversely affected by unfavourably orientated weak foundation seams (e.g. bedding
surfaces, joints, fault and shear surfaces) that form blocks or wedges, it may be necessary to remove
additional material or construct shear keys to achieve adequate margins of stability.
Further, the foundation strata needs to be treated with thorough consolidation grouting to make the
foundation monolithic and strengthen to the extent required for design load. The efficacy of the
grouting operation shall be tested by pre and post grouting permeability of the foundation measured
with percolation tests. Acceptable permeability depends on the height of the dam limiting to
maximum lugeon value upto 5 for medium dams and limiting to a value of around 3 lugeons for high
dams. Lugeon value represents hydraulic conductivity as well as the rock joint pattern. A value less
than 5 represents low conductivity and tight rock discontinuity condition, whereas less than 1 denotes
very low conductivity and very tight rock discontinuity condition.
Curtain grouting is also essential to increase the path of seepage. Curtain grouting shall be performed
near the upstream face of the dam, to cut off seepage under the dam or reduce it sufficiently. Curtain
grouting is commonly done after concrete has been placed to a considerable height or even after the
structure has been completed. Depth of grout curtain shall be determined based on comprehensive
considerations of seepage analysis, geological conditions, uplift pressure etc. and is selected on the
basis of reservoir water depth.
17
2.13.2 Stability Analysis

The assessment of the structural stability of gravity dams is an important part of the overall process
on ensuring the safety of both new and existing structures. Typically, concrete gravity dams must be
designed to prevent several structural failure mechanisms, including horizontal sliding, overturning,
and overstressing of the dam or foundation material.
Stability of concrete gravity dam should be carried out as per LEPTS articles 26. Under usual
operation, the application centre of resulting force of the expected external force and the self-weight
shall be within the centre one-third (i.e. the middle third) of the horizontal section of the dam body.
In the case of earthquake or flood, it shall be within the centre one-second (i.e. the middle half) of
the horizontal section of the dam body.
The purpose of a slope stability analysis for a fill dam is to determine a factor of safety that is defined
as the ratio of resisting forces (gravity forces and soil shear strength) to driving forces (gravity forces
and shear stresses) along the critical potential failure surface.
Concrete Gravity Dam
For concrete gravity dam, the geotechnical inputs required is to determine kinematically feasible
potential failure modes to determine if there are any potential failure planes or interfaces that needed
to be specially considered. The definition of rock mass properties as a whole rather than just assessing
intact rock strength will lead to more realistic input into the analysis. An assessment of kinematically
possible failure modes using simple stereonet analysis allows advanced modellers to know which
areas are of concern and which parts of their models they need to take a step further.
Fill Dam
For existing fill dams, the primary purpose of the stability analysis is to determine if the embankment
is stable under various loading conditions. A stability analysis can be used to evaluate a slope failure
that has occurred, design modifications to improve the stability of the embankment, or evaluate
proposed changes to the height of the dam or the reservoir elevation. Loading conditions are typically
limited to steady seepage-full pool, steady seepage-maximum pool, rapid drawdown, and seismic
events.
For new dams, the purpose of the stability analysis is to design a fill dam that will meet minimum
factors of safety for a variety of loading conditions. These include loading during construction and at
the end-of-construction. During the placement of fill, the construction schedule and any external
loading should be considered in the analysis of the embankment.
The method of analyses and appropriate factors of safety for the applicable loading conditions shall
be indicated in LEPTS articles 30, 31 and 32.
2.13.3 Seepage Analysis

Water will seep through all foundations and earth embankments over a period of time. Therefore, it
is imperative that this seepage be recognized, monitored, and controlled. A seepage analysis may be
necessary to determine pore pressures within the embankment, assess the effectiveness of seepage
control options, provide quantitative data for the design of seepage control structures, and predict
seepage behaviour of the embankment and foundation. The analyses can assist in locating
piezometers for use in monitoring seepage through the embankment and foundation.
After the phreatic surface has developed, the permeability of the embankment and foundation
materials will determine the seepage flow rate. If the rate is excessive, seepage reduction and seepage
collection techniques may be needed. The quantity of seepage flow, the hydraulic gradient through
the dam, and the long-term effects of the exit gradient on embankment performance are of particular
interest to the geotechnical engineer. Seepage reduction techniques such as cut-off keyways, slurry
18
walls, clay core zones, and grout curtains should be considered. The seepage analysis can be used to
select the most effective type of internal drainage system for the dam and foundation.
Permeability data is typically obtained from appropriate laboratory and field tests. The seepage
analysis should be performed on the maximum dam cross-section upon completion of the field and
laboratory testing. Either a graphical flow net analysis or a more sophisticated numerical finite
element model can be used.
Analytical models will aid the geotechnical engineer in determining critical seepage areas within the
dam and appurtenant structures. These include areas of excess pore pressure and high gradients. The
analysis should consider the proposed drainage system to allow accurate modelling of the phreatic
surface, and exit gradients at the toe of the dam. Such analysis will aid in determining if special
seepage devices, such as relief wells, will be required in the final design.
It is imperative that the geotechnical engineer be aware of the implications of the seepage analysis.
It is always advisable to perform an independent check of any computer calculations to verify that
the results are reasonable and within tolerable limits for the structure.
2.13.4 Settlement Analysis

Both the new embankment and the foundation soils will consolidate beneath the weight of the
embankment materials with time. The amount and rate of settlement will depend on the
consolidation characteristics of the underlying soils and the rate of pore pressure dissipation.
Settlement of the embankment can result in loss of freeboard, depressions on the dam crest,
differential settlement along conduits, which penetrate the dam, and in extreme cases, transverse
cracks that can lead to failure of the dam. Excessive settlement can cause misalignment of conduits,
separation of joints, and possible conduit failure, which results in leaking and possible soil piping
(internal erosion of embankment soils). The need for conduits within the dam body should be
avoided or not allowed. Conduits embedded within the dam foundation are allowed but, depending
on foundation stiffness, special measures may be required in their design.
It may be necessary to analyse settlement to determine foundation treatment and camber, for the
embankment and appurtenant structures. Laboratory consolidation tests should be performed to
determine the consolidation and drainage characteristics of the embankment and foundation
materials. The geotechnical engineer should consider performing a one-dimensional settlement
analysis, which considers the variable loadings across the dam footprint to determine areas of critical
movement. If differential settlement and cracking of the embankment is possible, the geotechnical
engineer should consider chimney drains, settlement accommodation along conduits, and joint
extensibility for any jointed conduits. The effects of the calculated vertical movements on both the
embankment and the appurtenant structures should be carefully considered in the design.
2.14 Instrumentation
The geotechnical design and construction of concrete and fill dams are subject to uncertainties, visual
observations supported by measurements obtained from appropriate instrumentation can provide
requisite information during construction and operating phase in the life of dam. The details for the
required instrumentation has been discussed in Lao Dam Safety Guideline for Instrumentation and
Monitoring.
2.15 Investigation Implementation Schedule

The various tasks or investigations as discussed above are generally implemented at different stages
of the project. The stage wise implementation of various investigations and their frequency has been
indicated in Table 2.1.
19
Table 2.1: Geological and Geotechnical investigations at different stages of project
Sl Stages of Pre- Final Basic Design Construction

no Project Feasibility Feasibility Stage Stage
Stage Stage
Geotechnic
al Aspects
1 Site It includes site Site visit and Same as FS
Reconnaissa visit and site further
nce appraisal assessment is
report necessary during
covering all feasibility stage to
project plan detailed
components study
including
alternatives to
present
geological
aspects
component
wise
2 Topographic It should be Additional survey, Same as FS
Survey and completed at if required
Mapping this stage because of any
covering all change should be
project taken up
components
including
reservoir;
survey should
be carried out
at requisite
scale defined
in PFS TOR
3 General Brief regional Detail geological Same as FS
Geological geological and geotechnical
Aspects aspects to be discussion should
presented be presented after
from literature rigorous
review published
literature survey
4 Geologic Preliminary Detail geological If any deviation

Mapping geological mapping on large from FS or if
mapping but requisite scale any additional
should be covering all are to be
carried out by project covered
demarcating components geological
different should be carried mapping should
lithounits, out with all necessitate
overburden geological details appropriately
and collect
some rock
attitudes data
20
a Geophysical Necessary to If any deviation of Same as FS

Investigation complete at project
PFS stage to component as
get a broad compare to PFS,
perspective of additional
sub-surface geophysical
geology and to investigation may
prepare a be carried out
preliminary
geological
model of the
proposed site
b Subsurface
Exploration
i Exploratory Limited Detail drilling Additional
Drilling and drilling may be covering all drilling may
Rock Coring taken up as project require based on
per site components are design
condition and to be undertaken requirement
requirement of to clearly
PFS represent the sub-
surface geology
ii Exploratory For complex Additional adits,
Adit geologic condition if require to
adits at dam establish
abutments complete
foundation
condition
iii Test Pits Limited test Additional test
pits may pits may require
require and as per site
helpful to condition
confirm sub-
surface strata
at places
iv In-situ Test Direct shear test Additional
in adits, direct
delineation of shear tests and
Deformation delineation
modulus of rock
of deformation
mass
modulus of rock
mass, if required
5 Test Samples Sampling Sampling should Additional Additional
should be be done as per FS testing as per testing as per
done as per standard design design and
PFS standard requirement construction
may be carried requirement
out may be carried
out
6 Construction Identification If required Same as FS If required
Material of borrow and additional borrow additional
Study quarry area area and mapping borrow area and
should be needs to be done mapping needs
done; mapping along with to be done
geophysical
investigation to
21
should be establish the

completed extent of quarries
7 Seismic To be assessed Detail to be

Hazard preliminary assessed
Assessment
8 Lab Testing Some material Detail material Further testing Further testing
testing testing of all drill may be required may be required
including core cores and
and construction
construction materials from all
materials to be borrow areas are
done to be completed
9 Geotechnical
Analysis
a Foundation Preliminary Detail discussion Design should
and discussion on on foundation be evolved
Abutment foundation and abutment based on
and abutment based on detailed geotechnical
based on investigation data discussion
limited including
geotechnical laboratory test
data should be results should be
done incorporated
b Foundation Indicative Detail treatment Design should Treatment
Treatment treatment plan based on be evolved based on actual
should be detail based on site condition
discussed investigation data geotechnical
including discussion
laboratory test
results should be
discussed
c Seepage Discussion Discussion would Seepage analysis Treatment
analysis would be be based on should be based based on actual
based on elaborate data of on final site condition
limited data of water interpretative
water permeability permeability
permeability values
d Settlement properties of detail discussion Based on Bearing capacity
analysis Foundation on foundation material test should be
material and subsurface properties and done on final
should be materials along bearing capacity foundation and
discussed with testing design should be design may be
results should be adopted validated in case
discussed and of small
bearing capacity diversion
should be structure
evaluated
e Instrumentat It should be Design should Installation and
ion indicative at this incorporate the monitoring is
stage instrumentation important at
this stage
22
10 Geotechnical Preliminary Factual Geological Design should Any deviation

Report report and geotechnical take into and change
report and account of all intended based
Detailed the geological on site
interpretative and condition,
report geotechnical additional
findings report should be
prepared
2.16 Geotechnical Report

Once the field exploration and laboratory testing program completed for a project, a factual
geological & geotechnical report has to be prepared. Further based on the factual information, a
Geological Base line Report (GBR) should be prepared to indicate the range of geotechnical
parameters to be considered for feasibility and tender level design. Further, when sufficient
geotechnical analyses have been completed, a Geotechnical Report is to be prepared because the
design of all structures depends on the strengths and weaknesses of the material they are founded on
or in. The geotechnical report should consist of a succinct presentation of those geological conditions
that contribute to characterization of the project site and determination of the design of the various
structures.
The Geotechnical Report required for new projects should present a comprehensive assessment and
description of the geology of the project. It should be limited, however, to an effective combination
of brief discussions, tabulated data, and geological illustrations to depict the conditions that are of
engineering significance.
The information in the reports should focus on the following topics:

• Significant and controlling topographic conditions.
• Description of all aspects of bedrock and recent geology, including discussions of:
o Composition and structure of the rock,
o engineering description of soils and of their relationship to the bedrock,
o principal engineering properties of the rocks and soils as determined by field and
laboratory investigations,
o geologic conditions that present special engineering problems,
o remedies proposed or used for the special problems, and
o Sources and characteristics of construction materials.
The surface and subsurface investigations, laboratory tests, and geological illustrations in
geotechnical reports should be sufficiently comprehensive to supply reliable information on all
geological conditions that can influence the design, construction and cost of the project.
The geotechnical report should also contain some illustrative materials that will discretely represent
and summarize the objectives. The following is a list of illustrative materials but not limited to:
• Project Location Map
• Reservoir-Geology map
• Plan of Explorations
• Logs of Exploratory Borings
• Laboratory Test Plots and Tabulations
• Site Geology Map
• Photographs
23
• Top of Rock Contour Map

• Geologic Structure Map
• Geologic Sections and Profiles
Geologic sections and profiles should show correlation of soil and rock units together with such
significant features as water levels, water losses, faults, shear zones, foliations, jointing, and solution
zones. The sections should also emphasize geologic structure and show depths of primary and
secondary weathering. All sections and profiles should be superimposed with outlines of the principal
structures and the depth of foundation excavation for existing or proposed structures.
24
3. References
• Department of Natural Resources Division of Water Indianapolis, Indiana (2001 edition):
General Guidelines for new Dams and Improvements to Existing Dams in Indiana
• Fell, R.; MacGregor, P.; Stapledon, D.; Bell, G. 2005. Geotechnical Engineering of Dams. Taylor
& Francis 912 pp
• FEMA (1987): National Earthquake Hazards Reduction Program, Fiscal Year 1987 activities:
Report to the United States Congress. Washington D. C.: Federal Emergency Management
Agency
• Frankel Arthur et al. documented in “National Seismic-Hazard Maps: Documentation June
1996” (USGS - Open File Report 96-532) available
at: http://earthquake.usgs.gov/hazards/products /conterminous /1996/documentation/ofr96-
532.pdf
• ICOLD Bulletin 88- Rock Foundations for Dams.
• ICOLD Bulletin 72 (1989): Selecting seismic parameters for large dams
• ICOLD Bulletin 52 (1986): Earthquake analysis procedures for dams (Report prepared by O. C.
Zienkiewicz, R. W. Clough, and H. B. Seed)
• ICOLD (2001). Design features of dams to effectively resist seismic ground motion, Bulletin 120,
Committee on Seismic Aspects of Dam Design, International Commission on Large Dams, Paris.
• ICOLD (2002). Earthquake design and evaluation of structures appurtenant to dams, Bulletin
123, Committee on Seismic Aspects of Dam Design, International Commission on Large Dams,
Paris.
• ICOLD (2010). Selecting seismic parameters for large dams. Guidelines, Revision of Bulletin 72,
Committee on Seismic Aspects of Dam Design, International Commission on Large Dams, Paris.
• ICOLD (2008) “Reservoirs and Seismicity: State of Knowledge”, Bulletin 137, XX pp.
• ICOLD Bulletin 129 (2005), Dam Foundations: Geologic Considerations, Investigation Methods,
Treatment, Monitoring. Available online at: http://icold-
cigb.org/GB/Publications/moteur_bulletin.asp
• Kramer, S.L., 1996. Geotechnical Earthquake Engineering, Prentice-Hall, Upper Saddle River
NJ, 653 pages
• New York State Department of Environmental Conservation (1989): Guidelines for Design of
Dams by Division of Water; Bureau of Flood protection, Dam Safety Section
• TCEQ (2009): Design and Construction Guidelines for Dams in Texas; dam safety program,
Field Operation Support Divisions; Publ. Texas Commission of Environmental Quality
• Toro, G.R., N.A. Abrahamson and J.F. Schneider (1997). A Model of Strong Ground Motions
from Earthquakes in Central and Eastern North America: Best Estimates and Uncertainties.
Seismological Research Letters, v.68, no. 1, pp. 41-57.
• US Army Corps of Engineers, 1995. Engineering and Design: Geophysical Exploration for
Engineering and Environmental Investigations. Engineer Manual EM 1110-1-1802. 208 pp.
Available online at:
publications.usace.army.mil/Portals/76/Publications/EngineerManuals/EM_1110-1-
1802.pdf?ver =2013-09-04-070854-217
• US Army Corps of Engineers, 2001. Engineering and Design: Geotechnical Investigations.
• Engineer manual EM 1110-1-1804. Available online at:
publications.usace.army.mil/Portals/76/Publications /Engineer Manuals/EM_1110-1-1804.pdf.
449 pp.
25
• U.S. Army Corps of Engineers, "Laboratory Soils Testing," EM 1110-2-1906, November 1970
• United States Committee on Large Dams, 1999. “Guidelines for Selecting Seismic Parameters
for Dam Projects”, USCOLD Committee on Earthquakes
• US Department of the Interior, Bureau of Reclamation. 2012. Design Standards No. 13:
Embankment Dams. Chapter 12: Foundations and Earth Materials Investigation. Available
online at: http://www.usbr.gov/tsc/techreferences/designstandards-
datacollectionguides/finalds-pdfs/DS13-12.pdf
26
Annexure 1: (Reference) Checklist

for Geological and Geotechnical
Guidelines
(A) Geotechnical Report Information
Sl Description of Check List Yes No Unknown
No or N/A
1 Is the general location of the investigation described and/or
a vicinity map included?
2 Is scope and purpose of the investigation summarized?
3 Is concise description given of geologic setting and
topography of area?
4 Are the field explorations and laboratory tests on which the
report is based listed?
5 Is the general description of subsurface soil, rock, and
groundwater conditions given?
6 Is the Seismicity and seismotectonic addressed in the
report?
7 Does the test pit log / drilling / adit logs included with the
geotechnical report
8 Does the field test Data included in geotechnical report?
9 Does the laboratory test Data included in geotechnical
report?
10 Does the relevant photographs included in geotechnical
report?
11 Is a plan and subsurface profile of the investigation site
provided?
12 Are the field explorations located on the plan view?
(B) Site Investigation Information

1 Has an adequate site investigation been conducted
(reasonably meeting or exceeding the minimum
requirement)?
2 Has geological mapping conducted covering all components
including quarry areas?
3 Has Geophysical survey and investigation conducted?
4 Does sub-surface investigation such as drilling / aditing
conducted?
5 Are the explorations plotted and correctly numbered on the
profile at their true elevation and location?
6 Does the subsurface profile contain a word description
and/or graphic depiction of soil and rock types?
7 Are groundwater levels and date measured shown on the
subsurface profile?
8 Are sample types and depths recorded?
9 Are SPT blow count, percent core recovery, and RQD values
shown?
10 Does permeability test conducted on soil and rock?
11 Were laboratory soil classification tests such as natural
moisture content, gradation, Atterberg limits, performed on
selected representative samples to verify field visual soil
identification?
27
12 Are laboratory test results such as characterization tests,

strength test (shear strength), consolidation, etc., included
and/or summarized?
(C) Construction Materials

1 Material site location, including description of existing or
proposed access routes and bridge load limits, if any?
2 Does the Borrow pits and quarry sites identified?
3 Does the geological mapping of the borrow and quarry sites
prepared
4 Does the investigations carried out in borrow and quarry
areas?
Have soil samples representative of all materials
encountered during pit investigation been submitted and
tested?
5 Does the samples collected for laboratory testing?
6 For aggregate sources, do the laboratory quality test results
(such as L.A. abrasion, sodium sulphate, degradation,
absorption, reactive aggregate, etc.) indicate if specification
materials can be obtained from the deposit using normal
processing methods?
7 Where high moisture content clay-silt soils must be used,
are recommendations provided on the need for aeration to
allow the materials to dry out sufficiently to meet
compaction requirements?
8 Does the quantity estimated for each of the construction
materials required?
9 Has the availability of required quantity established?
(D) Landslides in reservoir and other site areas

1 Is a site plan and scaled cross-section provided showing
ground surface conditions both before and after failure?
2 Is the past history of the slide area summarized, including
movement history, summary of maintenance work and
costs, and previous corrective measures taken, if any?
3 Is a summary given of results of site investigation, field and
lab testing, and stability analysis, including cause(s) of the
slide?
4 Are detailed slide features, including location of ground
surface cracks, head scarp, and toe bulge, shown on the site
plan?
5 Are the cross-sections used for stability analysis included
with the soil profile, water table, soil unit weights, soil shear
strengths, and failure plane shown as it exists?
(E) Geotechnical Analysis

1 Does the site specific seismic parameters evaluated (such as
MCE, DBE etc.) and applied in analysis?
2 Has the stability of the embankment been evaluated for
minimum Factor of Safety?
3 Has the shear strength of the foundation soil been
determined from lab testing and/or field test?
4 If the proposed embankment does not provide minimum
factors of safety, are recommendations given or feasible
treatment alternates, which will increase factor of safety to
minimum acceptable grade?
5 Have consolidation properties of fine-grained soils been
determined from laboratory consolidation tests?
28
6 Have settlement amount and time been estimated?

7 Have foundation design done by considering seepage
cutoff, soil & rock treatment, grouting, etc.?
8 Have abutment design done by considering seepage cutoff,
soil & rock treatment, grouting, etc.?
29
Dam Safety
Guidelines on
Instrumentation
and Monitoring
December, 2018
Table of Contents
1. Introduction 1
2. Instrument Types and their use 2

2.1 Water level 2
2.2 Water Pressure 3
2.3 Seepage and Leakage 4
2.4 Movements 5
2.5 Weather and Precipitation 6
2.6 Stress and Strain 6
2.7 Seismic Activity 6
2.8 Temperature 6
2.9 Cracks and Joints 7
2.10 Other Available Performance Monitoring Instruments and Systems 7
3. Instrumentation System Design 8

3.1 Familiarisation with the project conditions 8
3.2 Identification of the likely failure modes 8
3.3 Identification of key parameters to monitor and when 9
3.4 Selection of the instruments 9
3.5 Selection of number of instruments 10
3.6 Selection of instrument locations 10
3.7 Installation 11
3.8 Monitoring 11
3.9 Maintenance and Calibration of Instruments 11
3.10 Monitoring Schedule 12
3.11 Review of instrumentation 13
4. Data Management, Processing and Evaluation 15

4.1 Data Management 15
4.2 Data Collection 15
4.3 Data Processing 16
4.4 Data Maintenance 16
4.5 Data Presentation 17
4.6 Data Interpretation 17
4.7 Dam Performance Evaluation 18
Investigations and identification of Issues 19
Resolving the Issues 19
Modifying Surveillance 19
Updating Status Statement 20
5. References 21
Annexure-1: (REFERENCE) REPORT FORMAT AND CHECKLIST FOR
INSTRUMENTATION 23
Dam Safety Guidelines - Instrumentation and Monitoring
1. Introduction
An effective dam safety-monitoring program is essential for Project Company to manage the risks
associated with dams. The use of instrumentation can improve the Project Company’s ability to monitor
the on-going safe performance of the dam by providing more comprehensive information well within
time to allow appropriate action and thus preventing a build-up of evolving manifestations developing
into an emergency.
Instrumentation comprises the various devices used to measure pressure, water flow, movement, stress,
strain, temperature, and other parameters at a dam and its appurtenant structures. Instruments may
operate mechanically, optically, electrically, pneumatically or hydraulically. Some instruments are
capable of instant response; others need a period to obtain readings.
There are no simple rules or standards for determining the proper level of instrumentation and
monitoring for dams. However, depending on the size and hazard potential of the dam, complexity of
the structures and foundations, potential failure modes etc. an instrumentation plan with appropriate
types and adequate quantum/numbers of instruments, can be designed to foretell the evidences of
impending disaster, giving opportunity to take remedial measures either to prevent them or at least
minimise the consequent damages.
Installation of monitoring instruments in all new dams is an integral part of dam safety and a minimum
level of instrumentation is required to monitor its behaviour. The minimum recommended
instrumentation is limited to that which clearly provides useful information for evaluating dam safety
and is also readily installed and monitored. In these guidelines, minimum instrumentation varies from
visual observation of low hazard potential dams, to instruments for the measurement of pore pressures,
uplift pressures, surface movement, internal movement, and foundation deformation on proposed,
large, high and extreme hazard potential structures. The ICOLD Bulletin No. 60 lists types of
measurements desired. The United States Army Corps of Engineers (USACE) Regulation ER 1110-2-
1156 on Safety of Dams Policy and Procedures along with many other international guidelines/ bulletins
also lists out various types of parameters that are recommended to be measured.
Instrumentation typically provides data to:

• characterize site conditions before construction;
• verify design and analysis predictions;
• evaluate behaviour during construction, first filling, and operation phases of the structure;
• evaluate performance of design features;
• observe performance of geological and structural anomalies; and
• evaluate performance with respect to potential site-specific failure modes.
This guideline is focussed on instrumentation only. A separate guideline on surveillance is available and
therefore aspects related to visual inspection, checking and testing are not referred into this guideline.
1
2. Instrument Types and their use

A wide variety of devices and procedures are used to monitor dams. As every instrument is designed to
measure specific physical properties, instruments are grouped by the parameters that they monitor. The
basic physical parameters that are most important in assessing the safety and performance of both fill
and concrete dams are as follows:
• water level
• water pressure - pore pressure and uplift pressures
• seepage and leakage
• movements (horizontal, vertical, rotational and lateral)
• weather and precipitation
• seismic activity
• stress and strain
• water quality
• temperature
• cracks and joints
Other parameters that are not on the list, such as concrete deterioration, soil erosion, and inadequate
vegetation can be monitored with simple instruments, including hand measuring tools and a camera.
Most of the instrumentation that is used to monitor dam performance is complicated and requires
qualified personnel to install and use the equipment. This is especially true for the various instruments
available for monitoring concrete structures. Many instruments can be automated and connected to
continuous data loggers to simplify data collection. This section does not provide detailed information
for all of the instrumentation that is available, but rather, it focuses on some of the more common,
simpler equipment that a typical dam owner is likely to use. Detailed information for all types of
instrumentation is available in the literature (Dunnicliff 1981 and 1988, MESA 1973, Sherard 1981,
USACE 1971, 1976, and 1987c, and USBR 1976, 1977, 1987a, 1987b, and 1990).
Due to the expense, the use of sophisticated and extensive instrumentation to ensure safety is usually
limited to large dams where failure would result in loss of life and a great deal of damage. A brief
description of some of the physical parameters and relevant instrument specifically used to measure and
monitor such parameters is provided herein.
2.1 Water level

Water level is commonly measured with staff gauges, float-type water level gauges, and ultrasonic
sensors. The USACE (1971 and 1987c) and the USBR (1987a, 1987b, and 1990) provide a more detailed
discussion of water level measuring devices.
Water level staff gauges are simple, effective and reliable (they do not need a power source or have
electronic components) and where water level sensors are installed they provide an important
calibration check. Water level staff gauges should be dimensioned to allow measurement of the full
operational (including flood) range of reservoir levels and positioned so that they can easily be read in
all loading and weather conditions.
Reservoir level is a fundamentally important measure of the loading condition, and therefore the driving
head that the dam and its foundation are subject to, and the freeboard available to avoid overtopping.
2
As a minimum, reservoir level should be recorded when visual inspections and instrumented
measurements are completed so that meaningful correlations of the effects of different loading
conditions can be made.
Measuring the water level in the reservoir and in downstream discharge channels (tail water elevations)
is important to interpret most instrumentation data, including the determination of uplift water
pressure distribution beneath the dam. Uplift pressures and seepage rates are directly dependent from
the difference between reservoir and tail water elevations.
2.2 Water Pressure

Water pressure includes pressure within a reservoir or other body of water. Water pressure within soils
and within concrete is commonly referred to as pore pressure. Water pressure acting upward on the base
of concrete dams is commonly known as uplift pressure. Internal water pressure and foundation uplift
pressure are measured to allow the stability of the dam to be evaluated against performance expectations
and design assumptions.
Water pressure is commonly measured with bubblers, observation wells and several other types of
piezometers such as open standpipe piezometer, ported/slotted standpipes, and hydraulic, pneumatic,
vibrating wire and fibre optic piezometers.
The simplest type of open-type piezometer is an observation well that are appropriate only in a uniform,
pervious material. Open standpipe piezometers are observation wells with subsurface seals that isolate
the strata to be measured. Open standpipe piezometers are also known as Casagrande-type piezometers.
These are used to measure pore pressure in soils with high permeability, such as sand, and is easily
installed. Closed standpipe piezometers are identical to open standpipe piezometers except that the
water level being measured is higher than the top of the standpipe (artesian condition).
Internal piezometric pressures are most relevant to embankment dams and the foundations and
abutments of all dams. The measurement of internal water pressure at a number of points in the body
of the dam, or in its abutments or foundation, allows the phreatic surface (below which the materials are
saturated) to be understood. Saturation of the downstream shoulder of an embankment dam is
undesirable for dam stability.
Uplift pressures are most relevant to concrete dams and their foundations, and allow their stability to
be evaluated. Uplift pressures at or near the toe of embankment dams may also be relevant if a blowout
condition or potential piping condition exists.
Piezometers are typically installed during the construction of a dam, and built into the dam body or
foundation. This makes the replacement of certain types of piezometers a difficult and potentially risky
process. Therefore the maintenance of installed piezometers, to preserve their accuracy and maximise
their service lives, is very important and usually requires the input of an appropriately skilled and
competent Technical Adviser (specifically a geotechnical Instrumentation specialist).
Where retrofit or replacement of piezometers is considered necessary (e.g. for replacing failed
instruments, characterisation of a special feature or the monitoring of a potential failure mode), extreme
care should be taken in planning and installing the instruments to avoid damage to the dam and its
foundation. An appropriately experienced Technical Adviser or Technical Specialist should be consulted
in such cases.
For correct evaluations of dam performance, it is important that the locations of piezometers in the body
of a dam or foundation are accurately known (position and level), that the instruments are correctly
identified, that their precision and accuracy are regularly assessed, and that they are appropriately
maintained.
3
The frequency with which a dam's piezometers should be checked depends on several factors. However,
piezometers should be read at least every three months. Certain conditions may call for more frequent
readings. Such conditions include:
• significant changes in reservoir elevation,
• new record reservoir levels,
• the first filling of the reservoir,
• the construction of any remedial seepage measures,
• the discovery of abnormal seepage or movement, and
• seismic activity
2.3 Seepage and Leakage

Seepage and /or leakage rate is an indicator of the performance of impermeable (or low permeability)
elements installed in the dam and foundation, and the performance of the abutments and foundation
where no impermeable elements are installed. The objective of measuring seepage flows is generally
more about the identification of seepage trends and understanding the overall performance of the dam,
rather than the recording of absolute values. Decreasing seepage flows may need to be scrutinised just
as much as increasing seepage flows as they may indicate a change that is unacceptable.
The ability to measure rate of seepage and leakage through the dam, foundation or abutment usually
relies on directing the seepage or leakage, through appropriate collection and drainage facilities, to a
measurement point close to the dam’s toe or at the location where the seep or leak emerges from the
dam, foundation or abutment.
The most common instruments in measuring seepage / leakage include weirs, flowmeters, flumes, and
calibrated containers. Special circumstance may call for other types of flow measuring devices such as
current meters. Geophysical surveys can be used to determine flow direction. USBR references (1987a,
1987b, and 1990) provide a more detailed discussion of seepage and leakage measuring devices.
For the purpose of ongoing monitoring and evaluation of a dam’s performance the most important
aspect of seepage and leakage rate measurement is repeatability, rather than absolute precision. The
difference in water levels between the upstream and downstream sides of a dam is the primary cause of
seepage and leakage. The amount of seepage or leakage is directly proportional to permeability and
water pressure. Weirs should be sized for the anticipated flows and weir boxes should be large enough
to provide calm water surfaces behind the weir plates. In some cases baffles may be needed to achieve
this. V-notch weirs provide precision for the measurement of seepage flows; however, for large flows,
broad crested weirs or flumes will be necessary.
The observation of seepage and leakage flows via the use of weir boxes also allows the detection of any
materials being transported by the seepage flows. The detection of turbid seepage or soil particles in
seepage flows is important as they may be an indicator that internal erosion (backward erosion piping
or seepage erosion) is taking place within the dam, in its abutments or in the foundation. In order to
detect whether or not soil particles in a weir box are the results of internal erosion, the weir box may
have to be covered to protect it from windborne material and periodically cleaned to enable the captured
material to be examined and weighed.
For dams on soluble rock foundations (e.g. gypsum or halite), seepage may increase with time due to
dissolution of the rock. In these cases a slow steady increase in seepage may indicate developing
problems. Water quality tests can provide data to evaluate the dissolution of the foundation rock, the
source of seepage, or piping.
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2.4 Movements
Movements in dams are caused by forces induced by reservoir water pressure, unstable slopes (low
shearing strength), low foundation shearing strength, settlement (compressibility of foundation and
dam materials), thrust due to arching action, expansion resulting from temperature change, and heave
resulting from hydrostatic uplift pressures. Movements can be categorized by direction, including
horizontal, vertical, rotational, and lateral. Monitoring movements are very helpful in understanding
the effect of the operating forces and predicting an impending potentially hazardous condition.
• Horizontal, or translational, movements commonly happen in an upstream downstream direction
in both fill and concrete dams. It involves the movement of an entire dam mass relative to its
abutments or foundation. Cracks are usually present during horizontal movement. Vertical,
rotational, and lateral movements often occur in conjunction with horizontal movement.
• Vertical movement is commonly a result of consolidation of embankment or foundation materials
resulting in settlement of the dam. Another cause is heave (particularly at the toe of a dam) caused
by hydrostatic uplift pressures.
• Rotational movement is commonly a result of high reservoir water pressure in combination with
low shearing strength in an embankment or foundation and may occur in either component of a
dam.
• 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.
Movements are most commonly observed by visual observation but it can generally only identify large
or obvious deformations or movements in a structure or abutment. Instrumented measurement and
surveying are the most effective methods for measuring and monitoring changes at specific locations
and features, and establishing movement trends or verifying visual inferences of movement.
Measurement of movements in concrete dams is made with several different instruments including
plumblines, inclinometers, extensometers, strain meters, crack / joint meters, and De Mac gauges. These
devices can detect relative movements between parts of the dam or foundation blocks. Absolute
movements can be surveyed to measure all aspects of the dam and its surroundings. In fill dams, the key
movements to monitor include foundation and embankment settlement, and vertical and horizontal
deformations within the embankment and its foundation. Embankment movement measuring
instruments include settlement sensors, foundation baseplates, inclinometers, extensometers, surface
points, and various survey instruments.
Commonly used techniques for measuring movement are summarized below. More detailed information
may be found in ICOLD (1993), ISRM (1981), USACE (1987a and 1987c) and USBR (1987a and 1987b).
Fundamentally, the method and /or technology adopted should be selected such that it meets the dam
performance monitoring objectives related to precision and accuracy, and can be readily calibrated.
For Moderate to high hazard dams, deformation surveys should be conducted by specialist surveyors
with equipment and methodologies that achieve the required precision and accuracy (within 1 to 2 mm
vertically and 3 to 4 mm horizontally). For Low hazard dams, if deformation survey is necessary, the
designer may set the precision or accuracy required; however, it should be recognised that lower
precision or accuracy will significantly reduce the value of the deformation monitoring. A survey control
network on stable ground remote from the dam structure should be utilised to minimise survey errors
and a specialist surveyor should be consulted in designing the control network. Generally, the size of the
structure and its survey control network will influence the achievable precision and accuracy of the
deformation survey. To be reproducible and detect changes, periodic surveys should generally be taken
at the same time of year (especially important for concrete arch dams). Also, when surveying methods
or survey personnel change, a close examination of the results should be completed to establish the
validity of the results and their correlation with past surveys.
5
Vegetation management plays a significant part in the effectiveness of deformation monitoring. For
visual observation, clear dam and abutment faces allow the identification of surface anomalies. For
instrumented surveys, vegetation and man-made additions (e.g. handrails or fences) may block lines of
sight between survey pillars and monitoring points.
2.5 Weather and Precipitation

Weather conditions including air and reservoir water temperature, precipitation, humidity, evaporation,
and wind speed need to be measured to create a continuous historical record of these factors (WMO
2014). Because these factors do influence any dam's performance, they need to be recorded regularly
and continuously. A rain gauge, thermometer and wind gauge can be easily purchased, installed,
maintained, and monitored at a dam site.
2.6 Stress and Strain

Design stresses may not always occur as expected in a completed dam. For this reason, special total
pressure instruments are used to measure the actual stresses at selected locations, such as between a
dam and its abutments or foundation, or between certain components of the dam. Measurements to
determine stress and strain are common in concrete dams and, to a lesser extent, in embankment dams.
The purpose of total pressure monitoring is to measure the total pressure (total load) on a contact surface
or within the mass of the dam. The measured load can be caused by earth, water, or concrete. A dam’s
principal stresses can be evaluated based on data from specially placed and oriented pressure cells.
The primary value of total pressure data is to verify design assumptions and to supply data for future
design improvements.
Stress in concrete structures can be measured with total pressure cells or Carlson-type cells designed to
have stiffness like concrete. It can also be measured by over-coring. A variety of mechanical and
electrical strain gauges are used to measure strain in concrete structures. Some of the instruments are
designed to be embedded in the dam during construction, and others are surface mounted following
construction.
The operation and limitations of stress and strain instruments are discussed by ASCE (2000),
Bartholomew and Haverland (1987), Bartholomew et al. (1987), Dunnicliff (1988), USACE (1980), and
USBR (1976 and 1977).
2.7 Seismic Activity

Seismic strong motion instrumentation records acceleration from earthquake shaking. The data are
used to evaluate the dynamic response of dams. Seismic acceleration and velocity are usually recorded
with strong-motion accelerographs. These devices typically consist of three mutually-perpendicular
accelerometers, a recording system, and triggering mechanism. To prevent accumulation of unwanted
data, the instruments are usually set to be triggered at accelerations generated by nearby small
earthquakes or more distant, larger earthquakes. They are expensive, especially considering that
multiple instruments are necessary to record dynamic response at several locations on a structure, a
foundation, or abutments. The devices must be properly maintained, so that they operate if an
earthquake occurs. These devices are discussed by USACE (1987c) and USBR (1987a and 1987b).
2.8 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.
Temperature measurements are important both to determine: causes of movement due to expansion or
6
contraction and to compute actual movement. Temperature measurements of a dam, foundation,

ambient conditions or instrumentation are used to reduce data from other instruments, increase
precision, or to interpret results. For example, movements of concrete dams and changes in leakage at
concrete dams are often related to changes in temperature. Temperature is also measured in concrete
dams under construction to evaluate mix design, placement rates, and block and lift sizes; to time
grouting of block joints; and to assess thermal loads. Resistance thermometers or thermocouples can
measure the temperatures of a dam, its foundation, and other instruments.
2.9 Cracks and Joints

Knowledge of the locations and widths of cracks and joints in concrete dams, in concrete spillways and
other concrete appurtenances of embankment dams is important because of the potential for seepage
through those openings. It is even more 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. Concrete cracks can be measured with a crack comparator, which is a hand held
microscope with a scale on the lens closest to the surface being viewed. The scale includes lines of various
thicknesses which can be compared to the crack. A more simple form of comparator consists of a clear
plastic card printed with lines of various thicknesses. Crack movement can be measured with a crack
measuring device which is attached to the concrete structure at the crack. This device gives direct
readings of crack displacement and rotation. Underwater inspection and measurement of concrete may
be performed by divers, or by manned or unmanned underwater vehicles for very deep water conditions.
Either way, cracks on the concrete surfaces can be photographed, videotaped, or measured with
measuring tools. Cracks are usually associated with movements, and the measurement of the crack
widths and lengths is an indication of the amount of movement.
A simple method of monitoring cracks on embankments is to drive rebar or stakes on both sides of the
crack(s) to monitor any additional separation and vertical displacement on one side of the crack relative
to the other side. Also, the end of the crack should be staked to determine if the crack is lengthening.
This scheme can be used to monitor both longitudinal and transverse cracking. Commonly used
instruments include crack meters and joint meters and linear variable differential transformer.
2.10 Other Available Performance Monitoring

Instruments and Systems
There is a vast range of other instruments and systems available for the monitoring of dam performance
and the monitoring of hazards. Some common examples include, but are not limited to:
The use of simple scribe marks across monoliths of concrete dams, on the crest or within galleries, to
indicate relative movements of blocks. Two or three dimensional crack monitoring devices can also be
attached to the concrete for greater accuracy.
• Chemical analysis tests for determining seepage and leakage origins.
• Video cameras for real-time visual observations, including the internal inspection of conduits
(drains and outlet tunnels).
• Trip wire systems (e.g. displacement/rupture of an active fault, or a dam itself).
• Post-tensioned cable anchor load testing (to confirm anchor tensions).
• Early warning upstream rainfall collection and catchment modelling systems for predicting the
size of incoming floods or extreme weather conditions (an important aspect for surveillance and
emergency preparedness).
• Tilt meters and Inverted Pendulums for determining internal movement of dam
• Fibre optic cable to detect /locate seepage.
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3. Instrumentation System Design

The Instrumentation system design should receive the same level of effort as design of other features of
a dam. It should follow a logical step-by-step process beginning with establishing the objectives,
observations and ending with a properly assessed system for implementation. The process and outcome
will help to ascertain the pre-determined action based on the observations and analysis. Basic steps
involved in the process are described below and presented
Figure 3.1: Instrumentation system
in Figure 3.1.
design process
3.1 Familiarisation with the

project conditions
The person responsible for planning a monitoring
programme must be very familiar/ familiarise himself with
the project type and layout, subsurface geology and
engineering properties of subsurface materials,
groundwater conditions, status of nearby structures or
other facilities, environmental conditions, and the planned
construction method.
3.2 Identification of the likely

failure modes
Any instrumentation design for a new dam, or review of
instrumentation for an existing dam, should be based on
the identified failure modes for the dam. As part of any dam
design or review process, one of the first steps is to identify
the relevant failure modes for the dam, and how these
failure modes would initiate. This information is essential
for determining what parameters should be measured, and
therefore the type and location of instrumentation to be
provided. Key failure modes will depend on the type of
dam, the characteristics of the dam site and particular
details associated with the dam design. To identify failure
modes, the following should be taken care of:
• The inherent weaknesses likely to develop for a
particular dam design
• Factors such as, site-specific seismic and flood loads
influencing failure modes
• The weakness of the site geology and profile that could lead to dam failure
• Operational loads on the dam influencing likely failure modes
• The historical performance of similar dams indicating about the likely failure modes
• Dam safety events occurred during and since dam construction and the impact they have on dam
failure modes in case of retro fitting of instrumentation on existing dam
A typical list of potential failure modes in concrete and fill dam are presented below in Table 3.1.
8
Table 3.1: Typical list of potential failure modes in concrete and fill dam
Type of Dam Potential Failure Modes

Concrete • Foundation settlement, slip failure and erosion
• Sliding along weak discontinuities at foundation
• Overturning
• Overtopping
• Reservoir leakage and landslide
• Seepage/ leakage through Dam, foundation and abutment
Fill • Foundation settlement, slip failure, erosion
• Embankment settlement
• Embankment slope failure
• Foundation piping
• Embankment piping
• Overtopping
• Reservoir leakage and landslide
• Rapid drawdown
• Liquefaction
3.3 Identification of key parameters to monitor and

when
Having determined the potential failure modes, the next step would be to determine what tell-tale signs,
indicators, observations or conditions might precede dam failure. In doing so, the Project Company
determines what to look for in conducting surveillance and monitoring and what type of instrumentation
to install. This would involve consideration of the following:
• Specific dam behaviour associated with particular failure modes
• Observation and/or measurement of such behaviours, either visually or by instrumentation
• Associated parameter(s) with which the measurement should be compared against a standard
plot (Example: dam leakage/seepage with reservoir level and rainfall).
• Acceptable operating ranges of measured parameters given different operating conditions, and
the reasonable alarm levels set by the designers based on design assumptions.
• Number of observation/instrumentation points on a particular feature required for assessments
and analyses.
• Frequency of observations or recording of instrument readings
• Frequency of assessment of observations or collection of instrumentation readings and their
analyses.
3.4 Selection of the instruments

Considering the key parameters needed to be monitored:
• The hardware to be selected should measure required parameters. If telemetry is deployed the
hardware to should be selected that will be capable to log the records and relay the data logs.
9
• Selection of instruments should take into account the criticality of timely data reception and
incorporate a commensurate level of redundancy and/or robustness in considering the design and
construction of the hardware.
Consideration should be given to instruments that have been proven in the field in similar applications
and have a record of reliability, ease of testing and maintenance, suitable response time, and ease of
installation in the specific locations chosen. Reliability encompasses a variety of factors including
simplicity, durability, longevity, precision, accuracy, and a length of satisfactory performance history.
The relative importance of each of the factors depends on the purpose of the instrument. Instruments
appropriate for use during construction may be different than those for long-term operation. For
example, piezometers that have very short time-lag, but limited life, may be appropriate for control of
construction operations, whereas longevity may be more important for long-term monitoring.
The number of instruments, locations, types, and frequency of readings shall be commensurate with the
hazard rating and dominant failure modes identified.
3.5 Selection of number of instruments

Minimum instrumentation should be installed where behaviour is expected to be representative of the
dam as a whole. The number of instruments should be sufficient to provide a complete picture of the
parameter being measured. Usually, minimum instrumentation should be installed along longitudinal
or transverse sections of the dam. Often, depending on access and equipment costs, it may be more cost-
effective to install redundant instruments to account for the possibility of malfunction, than to replace
inoperable instruments at a later date. For example, vibrating-wire piezometer transducers are relatively
inexpensive and are often installed in pairs to provide continuity of data if one of the transducers should
fail. If a sensor will be inaccessible for calibration or replacement, multiple sensors should be considered
to provide redundancy. Redundant measurements are also useful for verifying and evaluating unusual
readings. Redundancy can be provided by using additional lines of instruments, more closely spaced
instruments, or different instruments to measure the same feature.
3.6 Selection of instrument locations

Instrumentation to monitor a particular area of concern should be placed along cross sections where the
suspected behaviour will most likely manifest itself. The results of structural analyses may indicate
appropriate locations and numbers of instruments. Often additional cross-sections should be monitored
adjacent to areas of concern to provide data for comparison and to aid in the evaluation of the extent
and magnitude of the concern. For new dams, the need to install instrumentation should be established
early in the design phase and before the preparation of final construction drawings to avoid interference.
For existing structures, as-built drawings and the location of equipment should be reviewed. Potential
interferences with rebars, pipes, and gates should be identified prior to finalizing instrument drawings.
A practical approach to selecting instrument locations entails three steps:

• Firstly, establish the zones where risk is highest.
• Once zones are identified, which are normally cross-sections where predicted behaviour is
considered representative of behaviour as a whole, these cross-sections are to be regarded as the
primary instrumented sections, and instruments be located to provide comprehensive
information on ground/structural responses and construction performance at these locations.
• Thirdly, because unknown factors may cause poorer performance at other locations,
instrumentation should be installed at a number of secondary instrumented sections, to serve as
indices of comparative behaviour. Instruments at these secondary sections should be as simple as
the requirements allow and should also be installed at the primary sections so that comparisons
can be made. If the behaviour at a secondary section appears to be significantly different from the
behaviour at the primary sections, additional instrumentation may be installed at the secondary
section as construction progresses.
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3.7 Installation
Typically, once the type and quantity of instruments have been selected, a specification is prepared for
their installation. Installation specifications should include detailed step-by-step procedures for
installing and testing instruments. The installation of instrument hardware should be performed by
specialists who have quality assured procedures to do the particular kind of work. Their work
methodology should be developed in conjunction with the Project Company to determine any conditions
which may affect the safe installation and future operation of the instrumentation equipment. Agencies
responsible for manufacturing supply and installation should be well reputed and experienced in similar
jobs. A comprehensive agreement covering quality of instrument, installation and post installation
upkeep, readings and observations should be executed with them by the Project Company.
3.8 Monitoring
A proper monitoring program should be developed and documented, which includes responsibility
assignments and procedures for data collection and management. Specific step-by step procedures for
setting up equipment, taking measurements, recording data and field screening of data should be
included. This information may be asked for, from the instrumentation equipment supplier. The
monitoring program should include steps for reporting the monitoring results through responsible
management personnel, a system to ensure timely response to problems revealed during the
surveillance and evaluation of data.
For manual data acquisition, data sheets should be developed for use in recording instrument data. All
data sheets should show the project name, instrument type, and instrument location. They should have
spaces to record the date, time, operator, data, and comments. The sheets should also have space to
record complementary data such as headwater and tailwater levels, weather, rainfall, temperature, and
any unusual conditions. Further details regarding various facets of monitoring are discussed in section
4.7 of this guideline.
3.9 Maintenance and Calibration of Instruments

For instrumentation data to be of any value, the instruments must be reliable to give consistent and
accurate readings. Hence instruments must be calibrated and maintained properly time to time. Proper
care of the equipment is essential to ensure correct readings. A routine of regular maintenance of
instruments, readout devices, and field terminals should be established.
For many instruments, manufacturers will suggest maintenance procedures and schedules that should
be followed unless there is adequate justification to alter them. Periodic calibration of all instruments is
necessary to provide accurate data. The nature and frequency of calibration depends on the
specifications of the instrumentation and should be developed on a case-by-case basis in consultation
with the manufacturer / supplier.
Instruments that are suspected to be malfunctioning should be tested to evaluate whether or not they
are functioning properly. If the engineer responsible determines that an instrument is no longer
providing useful or meaningful information, it should be abandoned and replaced with a new and
calibrated one.
Some general guidelines to help ensure the best operability and accuracy of instruments are listed below:
• Make sure permanent survey points are fixed in place and have not been disturbed.
• Make sure all equipment is kept clean and operable.
• Follow all manufacturer’s instructions and guidelines as given in the operating manuals, including
instructions for proper care of the equipment.
• Replace all caps and covers after they have been removed or are found missing from the
instruments.
11
• Exercise caution when driving or walking near instrumentation to avoid damage to the
instrumentation.
• Ensure adequate protection from vandalism and other damage.
• Check onsite instrumentation on a regular basis for damage from weather, traffic, or vandalism.
• Make sure that exposed metallic components of instrumentation, especially those exposed to high
humidity in galleries or maintenance holes, are clean and un-corroded, and that proper
preservative treatments have been applied to avoid corrosion.
• Ensure that Instruments are not affected by high voltage power lines present in the vicinity.
3.10 Monitoring Schedule

The Table 3.2 indicates the type and frequency of monitoring that could be expected for dams. The
schedules are considered generally applicable for all categories of dams; however, since each dam is
unique, the schedules should be applied using engineering judgment and common sense. In case
modifications to the schedule presented in Table 3.2 are required, specific monitoring schedules should
be developed on a case-by-case basis and presented to the Government Authority for approval. Typical
frequencies of measurements for various categories of dams have been summarized in the Table
Table 3.2.
Monitoring frequencies should depend, in part, on the rate of filling. In the first few years of operation
following impoundment most dams have not reached equilibrium with respect to self-weight, concrete
thermal load, reservoir load, seepage forces, settlement and pore pressure/uplift. Measurements should
be taken frequently because most dam failures and incidents occur during these periods. This also
applies to instruments logging data automatically and the readings should be monitored at the
frequencies indicated.
Even though existing dams have generally reached equilibrium with imposed loads, baseline data must
be obtained to compare with subsequent measurements. After a dam has substantially adjusted to
imposed loads, the frequency of readings can be reduced and reduction of frequency may be justified in
some cases.
More frequent measurements than shown in the Table 3.2 below should be made whenever an unusual
situation develops or whenever they will help to resolve a dam safety concern. For example, when the
reservoir is abnormally raised or lowered (whether for a specific reason or because of flood surcharge),
frequent readings during the raising or lowering should be made, plotted, and compared to expected
behaviour in order to identify any potentially unusual behaviour. Examples of other situations requiring
more frequent measurements include sustained high reservoir levels, earthquakes, unusual movements,
landslides in reservoir periphery, abnormal measurements, threshold measurements exceeded, new
cracks, new seeps leaks. Following resolution of the problem or concern, measurements should return
to the normal schedule.
Table 3.2: Typical Instrumentation Monitoring Schedule
Type of Frequency of measurement during various phase of Dam Life

Measureme
nt Construction First Filling First Year Second and Long term
after filling Third years operation
Visual Daily Daily Weekly Monthly Monthly
Observation
Reservoir - Hourly/ Daily during Daily during Daily during
Level Continuous lean flows and lean flows and lean flows and
Recording thrice daily thrice daily thrice daily
during during during
monsoons/ monsoons/ monsoons/
12
Continuous Continuous Continuous

Recording if Recording if Recording if
automated automated automated
instruments instruments instruments
installed installed installed
Tail Water - Hourly/ Normally Normally Daily Normally Daily
Level Continuous Daily and and thrice when and thrice when
Recording thrice when spilling/ / spilling/ /
spilling/ Continuous Continuous
Continuous Recording if Recording if
Recording if automated automated
automated instruments instruments
instruments installed installed
installed
Drain Flow - Hourly Daily/ Weekly Daily/ Weekly Monthly
Seepage or Monthly Hourly Weekly to Monthly Monthly to
Leakage Flow monthly quarterly
Pore Pressure Daily to Hourly Weekly to Monthly Monthly to
/ Uplift weekly monthly quarterly
Surface - Daily Quarterly Semi-annually Semi-annually
Settlement to annually to annually
Surface - Daily Quarterly Semi-annually Semi-annually
Alignment to annually to annually
Internal - Daily Monthly to Monthly to Monthly to
Movement quarterly semi-annually annually
Joint / Crack Daily Monthly to Monthly to Monthly to
Displacement quarterly semi-annually annually
Foundation Weekly Daily Quarterly Semi-annually Semi-annually
Movement to annually
Temperature Hourly / Daily Semi-monthly Monthly Typically, not
Daily required
Although, the frequencies given are not intended to be minimal, but they are towards the lower end for
appropriate monitoring. In many cases continuous monitoring of key points may be required. Further
monitoring of specific events such as earthquake and active landslides have not been considered here,
which will typically need to be continuous. River inflow and rainfall also need to be monitored
continuously for safety and economic reason.
Automatic weather station should record hourly/ daily maximum and minimum values of continuous
measurements such as temperature, humidity, wind speed and wind direction etc. However rainfall, will
be measured upon occurrence of such events.
3.11 Review of instrumentation

The planning, design, and layout of an instrumentation program are an integral part of the project design
and operation. A life cycle approach is needed as instruments that were critical during construction
phase work may not be critical during the operations phase. The number and locations of instruments
should be annually reviewed to assess if devices should be abandoned, added, or read at different time
intervals. As structures age and new design criteria are developed, the historical data are relied upon to
evaluate the safety of the structure with respect to current standards and criteria. Older structures may
require additional instrumentation to gain a satisfactory level of confidence in assessing safe
performance. The SMART USBR process for conducting consistent risk based reviews of surveillance
13
and monitoring of dams can be followed (refer Figure 3.2- Smart USBR) and the following questions
answered.
• Is measurement related to an identified failure mode?
• Is measurement expected to provide useful information?
• Is there a specific plan to use the data? (i.e. dam behaviour research)
• Is data reliable?
• Is the failure mode considered to be of practical concern for this dam?
• Is this a direct measure (or significant indirect measure) of a potential failure mode?
• Is the measurement unnecessarily redundant to other measurements/ visual observations?
• Are the measurements adequate to monitor the failure mode in conjunction with visual
monitoring (i.e. precision, reliability, coverage, etc)?
Figure 3.2: SMART USBR- Instrumentation review decision tree
Instrumentation Review Decision Tree

(for each measurement – current or proposed (including surveys)
Is the measurement
unnecessarily
redundant to other Note A
measurements/visual
Is this a direct measure Yes
observations?
(or significant indirect Note F
measure) of a potential Are the measurements
Yes Yes
FM? No adequate to monitor the
FM in conjunction with
Is the FM considered No visual monitoring (i.e. No
Yes
to be of practical Note A precision, reliability, Note E
concern for this dam? coverage, etc.)?
Is measurement
related to an No
Yes Note D
identified failure Note A
mode (FM)? Yes
Is data reliable?
Is there a specific plan to
use the data? (i.e. dam
Yes No
behavior research)
No Note B
Is measurement expected to
Yes No
provide useful information?
Note C
No
Note B
Note A – Read on the minimum frequency necessary to confirm proper functioning of the instrument
Note B – Decommission and/or abandon the instrument
Note C – Stop measuring, and either place the instrument on standby or decommission/abandon the instrument
Note D – Read at the frequency justified by the planned use of the data consistent with the resources dedicated to the planned research
Note E – Identify additional visual monitoring and/or measurement consistent with the need for analyzing or reducing risk
Note F – Read on a frequency consistent with use of the measurement in analyzing or reducing risk
14
4. Data Management, Processing

and Evaluation
Collecting reliable data is very important, but the data must also be carefully managed and evaluated in
a timely manner to effectively monitor the project performance. The steps required to process and
evaluate data, whether collected manually or automatically, are the same. Instrument data should be
processed and evaluated according to the procedures established by the monitoring program. Data
collected but not processed or evaluated right away does not serve the purpose of dam safety. Data must
be conscientiously collected, meticulously processed, graphically summarized, and interpreted in a
timely manner. Data must be evaluated with respect to the safety of the dam.
4.1 Data Management

Successful management of collected instrumentation and Figure 4.1: Data Management Process
monitoring data depends on the size of the project and the
magnitude of data collected, as well as the purpose of the
data collected. Means for effective data management,
processing and maintenance include:
• Spreadsheets
• Databases
• Intranet or Internet sites
• Collection of data in an effective manner suitable for
the project and intent of the monitoring program;
• Maintenance of historical data in a usable and easy
to evaluate format, including suitable backup and
archiving procedures.
4.2 Data Collection

The purpose of dam safety instrumentation and
monitoring program is to obtain useful data that provides
information relevant to the safe performance of the dam.
For this reason, it is important to regularly review the
purpose and function of the monitoring instrumentation
and to determine if the data are being provided in a format
useful for making decisions. Complementary data, such as
air temperature, reservoir level, reservoir temperature,
recent precipitation, and other information or observations that may be important in evaluating the
instrumentation data, should be noted on the data sheets. Data should be compared against previous
measurements and threshold limits in the field to identify erroneous measurements. Measurements that
are outside of normal scatter or threshold limits should be immediately retaken. Various methods and
formats of data collection are used but the data collected must be what is required to meet the
monitoring objectives.
Data can be collected using manual measurements that are made by project personnel. Alternatively,
data can be collected using electronic equipment that stores the data until it is downloaded or
automatically transmitted to a remote location using radio, telephone, satellite, or internet technology.
The best method for data collection and the instruments best suited for that will depend on many factors
including types and quantity of data to be collected, the reading schedule and frequency, site access
limitations, availability of electrical power, availability and qualifications of monitoring personnel, and
15
other factors. There can be various ways of collecting data depending also on the type of instruments
installed. These can be:
• The project personnel who conduct routine inspections also manually read instruments during
routine foot-patrols of the dam, and complete the inspection check-list during the inspection. Any
readings or observations are hand-noted on the check-list. Any photos required to record
observations are taken at this time. The information on the inspection forms is transcribed into
the data monitoring and management system which becomes available for processing.
• The self-reading instrumentation operate autonomously, powered by either mains power or
battery supported by on-site generation. The instrumentation generally consists of an electronic
sensor built into the instrument and a separate logger, each requires their own power supply. The
connection between the instrument and the logger (or other components of the instrument) can
be by wire, radio or pneumatic hose. Some self-reading instruments can also be read manually by
the project personnel and cross-referenced with automatic readings to detect discrepancies.
Personnel collecting data should be trained in the operation of the instruments, the importance of the
data and the need for proper documentation. They should be trained to identify improperly functioning
instruments based on measured data or visual observations. They should be aware of the procedures to
follow, should unusual or threshold measurements occur.
Personnel collecting data should visually observe the dam for indications of poor performance such as
offsets, misalignment, bulges, depressions, seepage, leakage and change in color of seepage or leakage,
and cracking.
All monuments and measuring points should be inspected during data collection for evidence of damage
or movement from external sources such as frost heave, impact from maintenance equipment, or
vandalism.
4.3 Data Processing

Data can be processed manually and /or with the aid of computer software. Post collection of
instrumentation data it is required to be evaluated otherwise unprocessed data does not serve the
purpose of dam safety. Quick and effective analysis of the data is crucial to maintaining the safety of the
project.
Spreadsheets can be developed to automatically process raw data as the information is entered.
Likewise, databases and other available software can be programmed to automatically process data as
raw data is input and/or uploaded. As with manual processing, automatic processing of data relies upon
well-documented reference information, calibration data, and instrumentation details.
4.4 Data Maintenance

An important activity of a dam safety program is the maintenance of data; it is vital for personnel
managing an instrumentation program to provide adequate resources for this activity. Not only is the
maintenance of data important to current evaluations, but also for emergency at the time of adverse
performance of the dam.
Typical records essential to be maintained for an instrumentation program include design memoranda,
instrumentation data, installation, initial calibration and maintenance records for instrumentation,
significant event records, reports of significant remediation to the dam, and data evaluation reports. Of
critical importance is the maintenance of historic information which, as staff and responsibilities
change, must be maintained and included as part of regular training of incoming or rotating staff.
Information that should be maintained includes:
• General information such as drawings; date(s) of installation; initial measurements and testing;
manufacturer’s calibration data; borehole logs; model and manufacturer number; wiring
schematics, etc.
16
• Instrument maintenance records including routine maintenance activities; calibrations of

instruments; cleaning of foundation drains; replaced readouts; removal of vegetation; cleaning of
approach channels of weirs; outages, reservoir drawdowns, major maintenance; installation of
drains, flushing of pieozmeters, and redirecting flow, etc. These are often sources of changes in
recorded data. As such, maintenance records should also provide documentation of schedules,
reasons for repair (such as damage from vandalism or construction), and information for future
maintenance and may also provide support to explain abrupt changes in readings.
• Significant project event records such as records of floods, earthquakes, major construction and
remediation measures undertaken must be maintained. These will provide information on the
performance of the project under these loads and can provide critical empirical information to
help with calibration of dam safety analyses that are intended to evaluate and prepare for future
extreme events.
• Data evaluation reports, or performance reports, are the tangible product of instrumentation
programs.
4.5 Data Presentation

Plots of the data may provide the best method of data evaluation. Plots facilitate screening of data and
comparison with expected data. Plots are also useful to summarize data. All reduced data should be
summarized in graphical form. All plots should include sufficient previous data to identify any long-
term trends. Furthermore, the plots should be self-explanatory. They should show the project name,
type of instrument, and what is being measured. If more than one set of data are on one plot, different
symbols or line types should be used to distinguish the data and a legend should be provided. Scales
should be consistent to allow comparison of data between plots and they should be labelled. Threshold
limits, scatter, and magnitude of significant changes should be considered when selecting scales. Plan
and section drawings showing the number, location, and details of each instrument should be included
with the plots. Wherever practical, threshold limits should be shown on the plots. Plotting software is
available to facilitate this step.
The best type of plot depends on the purpose of the instrument(s) and should be selected on a case-by-
case basis. Whether plots are generated dynamically or updated manually, care must be taken to develop
effective plots that accurately represent project performance. Generally data versus time plots are good
for displaying piezometric, seepage, and most movement data. Locations versus movement graphs are
preferable for surface movement data and some internal movement data. Often more than one type of
plot is useful for evaluating data.
Factors that have significant influence on instrument data should be plotted or noted on the data plots.
For example, reservoir and tailwater levels should be included on all post construction piezometer plots,
or they should be included as separate plots to the same scale as the piezometer plots. Other factors that
might be included on the plots are the height of the dam during construction, daily temperature, rainfall,
and seismic events.
4.6 Data Interpretation

The purpose of the instrument, its individual function, and its function as part of the entire monitoring
system as a whole must be understood before an evaluation of the data can be used to make effective
decisions.
Data should be reviewed for their reasonable representation, evidence of incorrectly functioning
instruments, and transposed data. Several checks for reasonableness can be made on all data. The
magnitude of data should be near the range of previous data. Data that are significantly different may
be incorrect. For example, water levels in piezometers should not be above the reservoir level, except
possibly during rapid drawdown or construction. Data should be within the limits of the instrument. For
example, data from open standpipe piezometers must be below the top and above the bottom of the pipe.
17
All data will have scatter from instrument error, human error, and from changes in natural phenomena
such as temperature, wind, and humidity. The true accuracy of data will not be apparent until a
significant number of readings have been taken under a variety of conditions.
Analysis of the data includes evaluation of trends such as levels increasing or decreasing with time;
response to changing headwater and/or tail water levels; cyclic responses to project reservoir levels;
responses to changes in temperature; effects of precipitation on project response; effects of construction
activities; effects of changes in project operations, etc. Statistical analysis of data may be useful in
evaluating trends that are obscured by scatter. However, such analyses are no substitute for judgment
based on experience and common sense. Data inconsistent with established trends should be
investigated. Readings deviating from established trends should be verified by more frequent readings.
Erroneous readings should be so noted on the original data sheets and should be removed from
summary tables and plots.
Instruments that do not appear to be functioning properly should be further investigated. For example,
data should be checked against redundant data to determine whether or not trends and magnitudes are
the same. Accessible sensors or gauges should be replaced to see if the error remains. Calibration of the
instruments should be checked. Often, tests can be devised to evaluate proper functioning. For example,
piezometers and observation wells could be filled with water (or bailed out) and the rate at which the
water returns to its original level measured and compared to the results of similar tests done at the time
of installation, or expected behaviour.
All of the above represent a few of the potential responses of a project as portrayed through the
surveillance and instrumentation data. The data should be evaluated in terms of detecting a developing
failure mode or potentially unsafe condition, and the general health of the project.
Improperly functioning instruments should be abandoned or replaced. Instruments that are vital to the
safety evaluation of a dam should be replaced. Instruments that provide no meaningful information or
that provide unnecessary redundancy should be abandoned.
Abandonment procedures should be evaluated on a case-by-case basis. They may consist of a variety of
actions such as:
• ceasing readings and maintenance;
• ceasing readings, but continuing minimal maintenance to keep the instrumentation in a safe
condition;
• plugging and sealing the instrument; and
• removing the instrument and repairing the hole
If the abandoned instrument remains in place, it should be clearly marked as such to avoid continued
collection of data.
4.7 Dam Performance Evaluation

The purpose of instrumentation and monitoring is to maintain and improve dam safety. The data should
be used to evaluate whether the dam is performing as expected and whether it provides a warning of
developing conditions that could endanger the safety of the dam.
All data should be compared with threshold levels established in the monitoring program. Trends of
measurements toward threshold levels should be identified and evaluated. If threshold levels will be
reached within a short time, investigations and remedial action should be implemented.
All data should be compared with respect to the design assumptions as well as basic design concepts.
Variations from expected behaviour may suggest development of certain conditions that need to be
evaluated. For example, at a concrete gravity dam, increasing uplift pressure, or decreasing drain flow
may indicate choking of the foundation drains. Similarly, pore pressure / uplift pressures are to be
18
compared with the design assumptions for stability. If data are not available for unusual load cases, such
as rapid drawdown and floods, it should be compared with assumed pressures.
If no unusual behaviour or evidence of problems is detected, the data should be filed for future reference.
If data deviates from expected behaviour, possible follow up actions that need to be taken are:
Investigations and identification of Issues

Investigations are conducted to ascertain the root cause, the extent of the issue, the severity, the urgency
and the risks posed. The history and development of the issue is documented in a managed way to
capture all relevant data, interpretations and conclusions and creating a knowledge-base of the issue
which is retained for easy retrieval at a later date. In general terms, in order to adequately consider
different remedial solutions, investigations may consist of (but not limited to):
• Confirmation that the data, instruments, telemetry and database are correct in their readings.
• Intrusive investigation and/or sampling programme (core samples, drilling, test pits, etc.)
• Developing and testing hypotheses regarding performance/behaviour
• Laboratory testing
• Analysis of laboratory findings
• Identification of root causes
• Conclusion of investigation and recommendations.
Resolving the Issues

The resolution of an issue leads to a solution that eliminates or reduces the risk posed by the issue to
tolerable levels. The resolution of issues can take many forms including temporary measures during the
identification and investigation of the issue. Possible options include (but are not limited to):
• Notify the dam safety management
• Activate the dam safety emergency plan
• Rectification of a faulty information gathering system (instrumentation, telemetry, plotting, etc.)
• Enhancing monitoring frequency of the issue.
• Limiting the way a dam is operated in order to reduce the likelihood of circumstances which may
exacerbate the risk.
• Implement structural changes or repairs to the dam structure.
Following the implementation of the solution(s), a period of enhanced monitoring is generally

maintained for such time as to ensure the concern originally exhibited has abated.
Modifying Surveillance
The modification in surveillance at the dam serves the purpose of enhancing the level of monitoring
relating to a particular failure mode. The modified surveillance regime includes additional observations
and/or instrumentation sufficient to validate the resolution of the issue having been recently addressed.
The modification to the post-resolution surveillance (different to the investigation) occurs after the issue
or problem has been resolved. As part of the solution, the modified surveillance regime’s frequency and
duration is specified, before returning to ‘normal’ surveillance.
The modified surveillance considers the following:

• The number of points observed or instrumented may be increased / decreased.
19
• The frequency of observations or instrument readings may be increased /decreased.

• The frequency of data transfer and receipt for initial analysis may be increased /decreased.
• The frequency of data analysis may be increased /decreased.
• The duration of acceptable modified surveillance results before surveillance activities can be
reviewed and/or surveillance requirements relaxed.
Updating Status Statement

The status statement of a dam is updated based on the most recent information. The Status Statement
is a graph of the status of each dam, according to one of four states, with explanatory comments or notes.
The four status “states" are as follows:

• All OK
• Under Investigation
• Heightened Awareness
• Alarming
20
5. References
• ICOLD (2014): Dam surveillance guide. Bulletin 158, Committee on Dam Surveillance,
International Commission on Large Dams, Paris, France
• USACE (2014): Engineering and Design Safety of Dams – Policy and Procedure, Regulation
ER 1110-2-1156
• WMO (2014) Guide to meteorological instruments and methods of observation WMO-No. 8,
World Meteorological Organization, Geneva, Switzerland
• ICOLD (2013): Selecting seismic parameters for large dams - guidelines (revision of
Bulletin 72). Bulletin 148, Committee on Seismic Aspects of Dam Design, International
Commission on Large Dams, Paris, France
• ICOLD (2011): Seismic observation of dams - guidelines and case studies. Bulletin 113,
Committee on Seismic Aspects of Dam Design, International Commission on Large Dams,
Paris, France
• ICOLD (2011): Concrete face rockfill dams - Concepts for design and construction. Bulletin
141, ICOLD - CIGB, Paris, France
• ICOLD (2009): Surveillance: basic elements in a ‘dam safety’ process. Bulletin 138,
Committee on Dam Surveillance, International Commission on Large Dams, Paris, France
• Novak, P., Moffat, A. I. B., Nalluri, C., and Narayanan, R. (2007): Hydraulic Structures (4th
ed.), Taylor & Francis, Milton Park, Abingdon, Oxon, United Kingdom
• USSD (2002) General Guidelines for Automated Performance Monitoring of Dams:
Committee on Monitoring of Dams and Their Foundations United States Society on Dams,
Denver, Colorado, United States
• ASCE (2000): Guidelines for Instrumentation and Measurements for Monitoring Dam
Performance: Task Committee on Instrumentation and Monitoring Dam Performance,
American Society of Civil Engineers, Reston, Virginia, United States.
• ICOLD (2000): Automated dam monitoring systems – guidelines and case histories.
Bulletin 118, Committee on Automated Dam Monitoring Systems, International Commission
on Large Dams, Paris, France
• Penman, A. D. M., Saxena, K. R., and Sharma, V. M. (1999): Instrumentation, Monitoring,
and Surveillance: Embankment Dams. Oxford & IBH Publishing Company, New Delhi,
India
• ICOLD (1993): Embankment Dams Upstream Slope Protection / Barrages en Remblai
Protection du Talus Amont, Bulletin 91
• USBR (1991) Design Standard No. 13, Embankment Dams, Chapter 11, Instrumentation
• Dunnicliff, John (1990), Twenty-Five Steps to Successful Performance Monitoring of Dams,
Hydro-Review, August
• ICOLD (1989): Monitoring of dams and their foundations – State of the art Bulletin 68,
Committee on Monitoring of Dams and their Foundations, International Commission on
Large Dams, Paris, France.
• ICOLD (1988): Dam monitoring – general considerations. Bulletin 60, Committee on
Monitoring of Dams and their Foundations, International Commission on Large Dams,
Paris, France
• Bartholomew, C. L., and Haverland, M. L. (1987): Concrete Dam Instrumentation Manual:
United States Department of the Interior, Bureau of Reclamation, Engineering and Research
Center, Denver, Colorado, United States
21
• Bartholomew, C. L., Murry, B. C., and Goins, B. L. (1987): Embankment Dam

Instrumentation Manual. United States Department of the Interior, Bureau of Reclamation,
Engineering and Research Center, Denver, Colorado, United States
• USBR (1987a) Embankment Dam Instrumentation Manual.
• USBR (1987b) Concrete Dam Instrumentation Manual
• USACE (1986a), Seepage Analysis and Control for Dams, EM 1110-2-1901
• USACE (1986b), Waterways Experiment Station, Instrumentation Automation for Concrete
Structures; Instrumentation Automation Techniques, Technical Report REMR-CS-5, Report
1
• USACE (1986c), Waterways Experiment Station, Instrumentation Automation for Concrete
Structures; Automation Hardware and Retrofitting Techniques, Technical Report REMR-CS-
5, Report 2
• USSD (1986) General Considerations Applicable to Performance Monitoring of Dams
• Dunnicliff, John (1982), Geotechnical Instrumentation for Monitoring Field Performance,
National Cooperative Highway Research Program, Synthesis of Highway Practice 89,
Transportation Research Board, National Research Council, Washington D.C.
• Dunnicliff, John (1982), Geotechnical Instrumentation for Monitoring Field Performance
John Wiley & Sons
• ISRM (1981), Part 3 Monitoring, Rock Characterization Testing and Methods, Pergamon
Press.
• USBR (1977) Design of Arch Dams
• USACE (1977), Recommended Guidelines for Safety Inspection of Dams, National Program
of Inspection of Dams, Appendix D
• USACE (1976) Instrumentation of Earth and Rock-fill Dams, Part 2, Earth Movement and
Pressure Measuring Devices, EM 1110-2-1908
• USBR (1976), Design of Gravity Dams
• USACE, Instrumentation of Earth and Rock-fill Dams, Part 1, Groundwater and Pore
Pressure Observations, EM 1110-2-1908
• ICOLD (International Commission of Large Dams), BULLETIN 21 (1969): General
Considerations Applicable to Instrumentation of Earth and Rockfill Dams.
• ICOLD Dam foundations: Geologic considerations; Investigation Methods; Treatment.
Monitoring Bulletin 129, International Commission on Large Dams, Paris, France
• USSD white papers on Instrumentation Data Collection, Management and Analysis, 2013
22
Annexure-1: (REFERENCE)
REPORT FORMAT AND
CHECKLIST FOR
INSTRUMENTATION
Project Name :
Location :
Dam Type :
Dam Purpose :
Hazard Classification :
Pre-dominant failure mode :
Instrumentation Provided :
Instrumentation Detail :
Reference Drawings :
S. Name N Loca Date Whet Date Date Monit Record Reco Rem
N of o tion of her of last for oring of rd of arks
o Instru s Install in Calibr next Sched Observ Data
ment ation Work ation Calibr ule ations Colle
ing ation (Y/N) cted
Cond
ition
(Y/N)
Last Review of Instrumentation
Details of data processing and interpretation

Instrument Data Collection Data Processing ( Data
name (Manual Manual/Computerised) Interpretation
Measurement/ results
Electronic
Equipment)
Details of dam performance evaluation

Issues Summary of Issue Resolution Future
identified investigation of resolved action modifications to
issue (Y/N) surveillance /
23
additional
instrumentation
required
Note:
• The supporting details to be annexed with this report.
• This instrumentation report needs to be submitted to MEM regularly every quarter or as
agreed.
24
Dam Safety
Guidelines on
Quality Management
Program
December, 2018
Table of Contents
1. Introduction 1
1.1 What is Quality Management? 1
1.2 Relevance of Quality Management to Dam Construction 1
1.3 Intent of this Guideline 1
2. Quality Management for Dam Construction 2
3. Quality Management Plan for Contractor 3

3.1 QA/QC Organisation 3
3.2 Communication Plan 4
3.3 Inspection Procedures and Plans 4
3.4 Testing Procedures and Plan 4
3.4.1 Non-conformance to Construction Works 4
3.4.2 Correction of Non-Conformance Work 4
3.4.3 Preventive Actions 4
3.5 Documentation and Record Keeping 4
3.5.1 Quality Inspection Report 5
3.5.2 Quality Test Report 5
3.5.3 Monthly Construction Report 5
3.5.4 Record Keeping 5
4. Quality Management Plan for Owner’s Engineer 6

4.1 QA and QC Organization 6
4.2 Communication Plan 6
4.3 Review and Monitoring of the Project Quality Assurance and Quality Control
Plan 7
4.4 Review and approval of Contractor’s submissions 7
4.5 Inspection and Witnessing of Testing Activities 7
4.5.1 Inspection 7
4.6 Witnessing of Testing Activities 8
4.7 Acceptance Criteria 8
4.8 Third Party Construction Audits 8
4.9 Non Conformance 8
4.10 Documentation and Record Keeping 9
The following documents / records shall be maintained: 9
4.10.1 Quality Inspection Report 9
4.10.2 Quality Test Report 9
4.10.3 Construction Report 9
4.10.4 Coordination Meeting Report 9
4.10.5 Record Keeping 10
4.11 Environmental management plan 10
5. Inspection to be carried out by Government Authorities 11

6. Training 12
7. References 13
Annexure-1: (Reference) QA/QC Minutes of Meeting 14
Annexure-2: (Reference) Quality Inspection Report 15
Annexure-3: (Reference) Receiving Material Inspection Report 16
Annexure-4: (Reference) Testing Report 17
Annexure-5: (Reference) Non-Conformance Report 18
Annexure-6: (Reference) Sample Quality Management Plan 19
Annexure-7: (Reference) Terms of Reference for Owner’s Engineer 20

Table of abbrevations used
Sl. No. Abbreviation Expanded Form

1 QA Quality Assurance
2 QC Quality Control
3 Lao PDR Lao Peoples Democratic Republic
4 EDL Electricite Du Laos
5 IPP Independent Private Player
6 LEPTS Lao Electric Power Technical Standards
7 ICOLD International Commission on Large Dams
8 USBR United States Bureau of Reclamation
9 USACE United States Army Corps of Engineers
10 QMP Quality Management Plan
11 FERC Federal Energy Regulatory Commission
12 USSD United States Society on Dams
13 TOR Terms of Reference
14 GOL Government of Lao PDR
15 EIA Environmental Impact Assessment
16 EPC Engineering, Procurement & Construction
Dam Safety Guidelines-Quality Management Program
1. Introduction
1.1 What is Quality Management?
Quality Management is a set of defining processes, practices and procedures, which are laid down to
ensure that the project's quality requirement are met or exceeded. This program has two elements i.e.
quality assurance and quality control.
As per ISO 9000:2015, Quality Assurance (QA) is that part of quality management program that is
focused on providing confidence that quality requirements will be fulfilled. Quality Control (QC) is that
part of the quality management program that is focussed on fulfilling quality requirements.
There are predominantly two types of project ownership in Lao PDR, one is the projects owned by EDL
(Government Authority owned) and the other is by IPP (Independent Private Player). In the projects
owned by EDL, quality management is generally performed by EDL themselves or through their
appointed Owner’s engineer along with the contractors. However, in case of the IPP, the quality
management is being done by the Contractor and the Project Company (or through their appointed
Owner’s engineer) along with inspections carried out by the Government Authority.
1.2 Relevance of Quality Management to Dam

Construction
The quality management performed by the Contractor and Owner’s Engineer should meet the dam
safety requirements as stipulated in technical specifications and drawings. The work and
documentation should demonstrate that the design objectives have been met including any design
changes proposed during the course of construction.
1.3 Intent of this Guideline

The proper implementation of quality management for dam construction is primarily the
responsibility of the Project Company. The contractor engaged by the Project Company is responsible
for his workmanship and execution of the works as set out in the contract.
The intent of this guideline is to provide Government Authority and Project Company with an overview
of quality management plan from Contractors and Owner’s Engineer/Project Company perspective for
dam and its appurtenant structures during construction stage. These guidelines do not provide
technical specifications but provide an overview of the process for ensuring the contractor’s
compliance to the contract technical specifications, drawings, LEPTS and other requirements. The
Project Company and Designer, based on international standards and guidelines like ICOLD, USBR
and USACE, should prepare the contract technical specifications. This guideline can be adapted by the
Project Company to suit the scope, design and setting of the dam.
1
2. Quality Management for Dam

Construction
The guideline is meant primarily for dam construction stage and outlines the approach to quality
assurance and control in the dam construction process. It encompasses contract technical
specifications, inspection & testing (for control & acceptance) and feedback along with implementation
and corrective actions thereon. The key areas where QA/QC is of utmost importance during dam
construction are;
• Dam foundation
• Dam civil works including appurtenant structures
• Dam instrumentation
• Dam hydro-mechanical works
• Dam electrical works
• Dam social and environmental compliance
In order to achieve necessary QA/QC for the above areas, a proper quality management plan for both
Contractor’s and Owner’s engineer is required. In this guideline, basic quality management plan from
construction point of view for Contractor’s and Owner’s Engineer has been discussed. However
depending on the type of contract Project Company is having with Owner’s Engineer and Contractor,
quality management plan can vary accordingly, to cover different aspects of construction.
2
3. Quality Management Plan for

Contractor
A typical Contractor’s quality management plan essentially requires a properly working QA/QC
organisation that could be supplemented with other systems. Typical contractors quality management
plan consists of following, but not limited to:
3.1 QA/QC Organisation

It is important for contractor to have a well-defined QA/QC organization to ensure adherence to
quality norms and keep the works on track during construction. An example of contractors
organization chart is presented in Figure 3.1, indicating relative positions within the QA/QC
organization. Such organization structure shall be developed by the Contractor for the project
depending upon the specific requirements of the project. All quality related personnel with the
Contractor should be suitably qualified and experienced.
Project
Incharge
QA/QC
Manger
QA/QC QA/QC
QA/QC Engineer for Engineer for
Engineer for Hydro- Lab Incharge
Mechanical Electrical
Civil Works
Works Works
Supervisor /
Sub-Contractor Sub-Contractor
Sub-Contractor
Figure 3.1: An example of typical Contractor’s QA/QC Organization Chart
3
3.2 Communication Plan

In order to have a thorough and clear communication at all times between all involved agencies a
communication plan between various agencies involved in quality management should be clearly
defined prior to the start of dam construction.
3.3 Inspection Procedures and Plans

The Contractor shall conduct internal intermittent / continuous inspection during construction as per
the quality management plan submitted to Project Company in order to verify compliance with
documented instructions, drawings, procedures and contract technical specifications and correct
deficiencies before inspection by the Owner’s Engineer is carried out for acceptance.
3.4 Testing Procedures and Plan

The Contractor shall setup a site laboratory to perform the testing necessary for the QA/QC
programme required as per contract technical specifications. All field and laboratory testing should be
completed in accordance with contract technical specifications or international standards like ICOLD,
USBR, and USACE. As required by the contract technical specifications, the contractor shall establish a
test program to ensure that all required testing is properly identified, planned, documented and
performed under proper conditions. The frequency of the testing shall be as per contract technical
specifications or acceptable standards. The contractor shall submit the test procedures to the Owner’s
Engineer/Project Company for review and acceptance prior to their implementation.
3.4.1 Non-conformance to Construction Works

Non-conformances of construction work are major deviations from the contract requirement or
accepted standard of quality, which must be formally documented for corrective action by Project
Company. Further, failure by a contractor to correct a minor deficiency after having been put on notice
will also result in a non-conformance if it is not corrected within a specified time as mentioned in the
contract technical specification.
3.4.2 Correction of Non-Conformance Work

The non-conforming material or item shall be corrected as per the requirements of the contract
technical specifications / methods approved by the Owner’s Engineer/Project Company.
3.4.3 Preventive Actions

The contractor’s QA/QC team shall take preventive actions as necessary to eliminate the causes of
potential deficiencies to prevent their occurrence. Contractor’s quality control plans are to be updated
to include quality improvement practices to continually improve construction practices and address
quality problems at their source.
3.5 Documentation and Record Keeping

The documentation for Contractor’s quality management plan must cover all aspects of QA / QC
program activities. The list of documents required, but not limited to, are as follows:
4
3.5.1 Quality Inspection Report

The quality inspection reports shall be prepared by the Contractor giving details of QA / QC activities
on daily or weekly basis as required. The quality inspection reports shall be routed on a daily/weekly
basis to the project QA/QC files and shall be maintained as part of the project record. Typical formats
of quality inspection reports are provided at Annexures – 2 and 3.
3.5.2 Quality Test Report

Contractor shall complete the quality test report for each of the tests conducted during dam
construction. The quality test report formats vary depending on test type. A typical quality test report
format is given in Annexure- 4.
3.5.3 Monthly Construction Report

The Contractor shall prepare weekly or monthly construction report as per the requirements of the
contract technical specification and shall document, at the minimum, the following;
• Status of construction
• Construction difficulties
• Quality issues
• Critical activities and dates
• Sources of major construction materials
• Other items of interest
3.5.4 Record Keeping

The Contractor shall maintain copies of all quality-related documentation in accordance with the Lao
Dam Safety Guidelines for Documentation. This includes, but not limited to, the following:
• Daily/Weekly construction QA/QC logs and records
• Non-conformance reports
• Test data
• Photographs
5
4. Quality Management Plan for

Owner’s Engineer
Owner’s Engineer will ensure that the project is built and delivered based on the approved quality
management plan. The quality management process will be aimed at ensuring full compliance with the
contract requirements for all site operations. The Owner’s Engineer quality management plan shall
consists of, but not limited to, the following:
4.1 QA and QC Organization

The responsibility of maintaining quality of work is entrusted to the Owner’s Engineer/Project
Company team constituted to oversee the quality aspects of a dam during construction. An example of
Owner’s Engineer/Project Company organization chart for quality control is presented in Figure 4.1
indicating relative positions within the QA/QC organization. Such organization structure shall be
developed by the Owner’s Engineer/Project Company for the project depending upon the specific
requirements of the project. All quality related personnel in Project Company should be suitably
qualified and experienced as all the maintenance of quality is to be ensured by them.
Project Incharge
( Project Company)
Owner's Engineer
/Project Company
Manager
Engineer for Civil Engineer for Hydro- Engineer for

Works Mechanical works Electrical Works
Figure 4.1: An example of Owner’s Engineer/Project Company QA/QC Organization Chart
4.2 Communication Plan

A proper communication plan must be chalked out taking into account all the agencies involved in the
construction of dam. Further, as the dam construction progresses, regular meetings between various
6
agencies associated with the quality management should be held to discuss the QA/QC requirements,
project schedule, construction activities, submittal status, problems areas and remedial measures.
These meetings should be properly documented in form of minutes of meeting. A sample form for
minutes of meeting is given in Annexure-1.
4.3 Review and Monitoring of the Project Quality

Assurance and Quality Control Plan
The Contractor shall submit to the Owner’s Engineer/Project Company quality management program
that meets or exceeds the requirements of the contract technical specification and shall encompass all
relevant portions of the work to be performed on the project. The quality management program must
be approved prior to starting any quality related work. The Owner’s Engineer/Project Company shall
regularly monitor the contractor quality assurance and control plan and in case required ask the
Contractor to update it.
4.4 Review and approval of Contractor’s submissions

The Owner’s Engineer/ Project Company will administer and control the processing of contractor
submittals. The submittals shall be reviewed for compliance with contract requirements. If required,
the contractor will revise the submittal, incorporating the comments and will resubmit it for review
and verification for compliance.
4.5 Inspection and Witnessing of Testing Activities
4.5.1 Inspection
The Project Company/Owner’s Engineer shall establish a program for inspection of activities affecting
quality and shall cover all construction site and laboratory operations. The inspection will be carried
out by Owner’s Engineer/Project Company to verify compliance with documented instructions,
drawings, procedures and contract technical specifications this will further verify the adequacy and
effectiveness of the contractors quality management plan .The frequency of the inspection will be as
per the contract technical specifications/ discretion of the Owner’s Engineer/ Project Company. The
Owner’s Engineer/Project Company shall provide observation quality inspection report (refer
Annexure-2). A three-phase inspection program shall be followed for each definable feature of the
work. The three phases of inspection program are:
4.5.1.1 Initial Inspection
The Owner’s Engineer/Project Company shall perform an initial inspection as soon as a representative
portion of the particular feature of work has been accomplished. A minimum of the following must be
accomplished during this inspection.
• Examine the quality of workmanship.
• Review compliance with contract requirements.
• Review dimensional aspects of the work.
• Record initial inspections in quality inspection report.
4.5.1.2 Follow-Up Inspection
The Owner’s Engineer/Project Company shall perform follow-up inspections. A minimum of the
following must be accomplished during this inspection;
7
• Ensure compliance with contract requirements.

• The Project Company/Owner’s Engineer shall record follow-up inspections in their quality
inspection report
• Conduct final follow-up inspections and correct test deficiencies prior to the addition of new
features of work.
4.5.1.3 Completion Inspection
The Owner’s Engineer/Project Company shall perform a completion inspection of the work. A
minimum of following must be accomplished during this inspection;
• Develop a key list of items that do not conform to the drawings and contract technical
specifications.
• Perform a second completion inspection after key list items have been completed.
4.6 Witnessing of Testing Activities

The Owner’s Engineer/Project Company shall witness the testing activities performed by the
contractor and provide their observation in the testing report (refer Annexure-4). In case results are
not satisfactory or have wider variations, procedure as recommended in the contract technical
specification shall be adopted.
4.7 Acceptance Criteria

The acceptance criteria for materials qualifications, inspection and testing are established at the time
of framing of the technical specifications. The criteria for materials and equipment should be set in
accordance with the contract technical specifications, applicable codes, standards, and manufacturer’s
recommendations.
4.8 Third Party Construction Audits

In hydro power projects in Lao, especially in the case of small hydro, quality management program
from contractor side as well as engagement of Owner’s Engineer is generally absent and Project
Company solely relies on contractor for quality management. In such a scenario, Government
Authority should insist upon the Project Company to establish and document an independent auditing
system to verify the contractor’s implementation and conformance to the documented instructions,
drawings, procedures and contract technical specifications.
The auditing system shall cover all the quality-affecting activities for construction, as well as
laboratories including of all subcontractors. The contractor’s auditing shall be planned, performed and
documented in accordance with contract technical specification and QMP submitted by the contractor.
Project Company / Government Authority shall define the audit scope, frequency and methods.
Qualified and properly trained personnel, who are familiar with the quality management system,
auditing procedures and techniques, shall perform audits. The results of the audits shall be
documented and reported to the Government Authority. All non-conformance conditions identified
during the audit shall be re-audited to verify that corrective actions taken by the appropriate
organization have been effective.
4.9 Non Conformance

When material, performed work or installation is found to be deficient and/or does not meet the
quality standards as per the contract technical specifications and standards, the Owner’s
8
Engineer/Project Company will assure deficiency correction is implemented. A formal notification to

contractor in the form of non-conformance report shall be issued (refer Annexure-5).
4.10 Documentation and Record Keeping

The following documents / records shall be maintained:
4.10.1 Quality Inspection Report

The Owner’s Engineer/Project Company shall provide their observation for the inspections conducted
in the quality inspection report prepared either by Owner’s Engineer / Project Company or by
Contractor.
4.10.2 Quality Test Report

The Owner’s Engineer / Project Company shall provide their observation for the testing activities
conducted in the testing report prepared either by Owner’s Engineer / Project Company or by
Contractor.
4.10.3 Construction Report

The Owner’s Engineer/Project Company shall prepare construction report on weekly or monthly basis
as per the requirements of the contract and shall contain, at the minimum, the following;
• Status of construction
• Construction difficulties
• Quality control issues
• Critical activities and dates
• Sources of major construction materials
• Testing laboratory results
• Select photographs of important activities/non-conformance items
• Environmental concerns
• Other items of interest
4.10.4 Coordination Meeting Report

The Owner’s Engineer / Project Company shall conduct a weekly or monthly construction coordination
meeting as per the requirements of the contract with all the agencies involved. The main topics of the
meeting will be project construction, environmental compliance, scheduling, coordinating work
activities, and quality control issues. The Owner’s Engineer/Construction Company will prepare
documentation of the meeting discussions and it shall be in form of minutes of the meeting for each
item of discussion (refer Annexure-1).
9
4.10.5 Record Keeping

The Owner’s Engineer/Project Company shall maintain copies of all quality-related documentation in
accordance with the Lao Dam Safety Guidelines for Documentation. This consists of following but not
limited to;
• Contractor’s Reports
• QA/QC logs and records
• Surveillance reports
• Non-conformance reports
• Material receiving reports
• Test data
• photographs
4.11 Environmental management plan

The Owner’s Engineer/Project Company shall make sure that Contractor is achieving environmental
compliance in accordance to the environmental management plan approved by Government
Authorities.
10
5. Inspection to be carried out by

Government Authorities
It is required that periodic inspections are carried out by Government Authorities at various stages of
dam construction in accordance with Lao Dam Safety Guidelines for Surveillance. However,
Government authority will not be responsible for quality assurance and control of the project.
11
6. Training
A capable and functional QA/QC team is needed to ensure implementation of contract technical
specifications. To achieve this objective, intensive training needs to be given to all related staff of
quality assurance and control covering specifications for the works to be executed and also the
procedure to conduct various tests in the field and laboratories. Further, recommendations of LEPTS
should also be explained in the training so as to cover key construction and QA/QC aspects. Also,
details regarding assessment of the training needs for the staff of the Government Authority and
Project Company have been discussed elaborately in Lao Dam Safety Guidelines for Training.
12
7. References
• ICOLD Bulletin 136- The Specification and Quality Control of Concrete for Dams,
• FERC Engineering Guidelines for Evaluation of Hydropower Project- Construction Quality
Control Inspection Program
• USBR - Quality Management Plan Guidance for Concrete used for Construction of Significant
Features.
• USACE- Construction and Control for Earth and Rock-Fill Dams
• USSD- Materials for Embankment Dams
13
Annexure-1: (Reference) QA/QC

Minutes of Meeting
QA/QC Minutes of Meeting
Attendees
Project
Company
Contractor
Sub-Contractor
Other
S.no Description of Item Discussed Action By Action

Date
14
Annexure-2: (Reference) Quality

Inspection Report
Quality Inspection Report

Contractor Name
Report Number & Date
Type of Inspection
Description of inspection
Work Reviewed
Contractor Personnel
Contacted
Applicable Contractor
Procedures, Check lists,
Instructions as QC Plan
Results of Inspection
Deficiencies Noted
Recommended Corrective
Action
Non-Conformances
QA Engineer Signature:
Date
15
Annexure-3: (Reference) Receiving

Material Inspection Report
Receiving Material Inspection Report

Date Received
Order Number
Date Inspected
Inspected by
S.no. Item Quantity Partial/Full Okay/Damage Type of

Description Storage
required
Remarks for
Partial and
Damaged
material
QA/QC
Engineer
Signature &
Date
16
Annexure-4: (Reference) Testing

Report
Testing Report
Contractor Name
Testing Agency Name
Request for testing of following

works/material
Type of test
Testing Procedure
Minimum QC testing Frequency

by Contractor
Acceptance Criteria (As per
contract Technical
Specification/Drawings/LEPTS)
Contractors Comment
Test Result
QA Engineer Comments
Status Approved/ Non Approved/ Resubmit
QA Engineer Signature & Date
17
Annexure-5: (Reference) Non-

Conformance Report
Non-Conformance Report
Contractor Name
Area of Work Civil/Structural/ Hydro-Mechanical/Electrical
Non-Conforming Condition
Reported by & Date
Description of Proposed
Corrective Action by
Contractor
Re-Inspected by QA Engineer
& Date
Accepted by QA Manager &

Date
18
Annexure-6: (Reference) Sample

Quality Management Plan
The general format of the quality management plan for dam construction comprises of following areas;
• Project QA/QC organisation
This section represents the organisation and key personnel involved in the construction, their
responsibilities and authorities, structure of the QA/QC organisation.
• Communication plan
It presents the procedures for interaction between Project Company, Owner’s engineer and Contractor.
It presents the procedures for processing submittals from contractor including review and approval of
the submission by the Owner’s engineer/Project Company.
• Inspection and Testing Activities
This section covers following activities;

o Setting up of site laboratory
o Inspection and testing plans
o Construction inspection,
o Witnessing of testing activities,
o Acceptance criteria,
o Third party construction audits,
o Preventive actions
• Non-conformance to the construction work
This section describes procedures for tracking construction deficiencies and acceptable corrective
action.
• Documentation and record keeping
This section describes minimum documentation required for QA/QC and document filing and storage
system.
19
Annexure-7: (Reference) Terms of

Reference for Owner’s Engineer
The TOR of the work to be done by Owner’s Engineer shall include the following:
• Review of Detailed Project Design
Review key elements of the project design and any design modifications / change orders, and make
recommendations to the GOL for revisions or objections in accordance with procedures.
• Review of Design / Engineering Implications of the Environmental Report
Review and verify the design / engineering aspects of the project's pre-construction environmental
report (as prepared by the Company or others acting on its behalf) with respect to the relationship of
the Project's proposed design / engineering solutions and its anticipated environmental impacts, and
in particular how water discharge is managed.
• Report on Schedule Achievement and Critical Path
Provide a written technical report review on the constructability of the project based on the
Construction Contracts, the resources, milestones and critical path, highlighting any proposed
activities of the GOL which could affect schedule achievement or critical path, as shown in the
Construction Plan and the Master Schedule.
• Site Visits / Inspections
Make such site visits and inspections as are necessary from time to time to review and confirm the
Company’s compliance with respect to:
o the requirements of the contract, including the quality and completeness of all design
work, the quality and completeness of all construction work, Prudent Utility Practice, all
applicable standards, applicable Laws and regulations concerning design and
construction, LEPTS and the Economic Operating Life;
o the EIA and environmental regulations under the existing laws of Lao PDR and other
standards including periodic (quarterly) monitoring the Site environment during
construction, and with particular attention paid to compliance with requirements
governing the manner, location and other aspects of disposal of any and all overburden
and materials used in or resulting from construction, all spoil and borrow area(s), and
engineering considerations relevant to the Company's compliance with any other Project-
related environmental matters, such as the environmental impacts arising from the
Project's release of water to downstream;
o installation of equipment; and
o commissioning of the Construction Works.
• Compliance Reports
Provide written reports on the contractors compliance with respect to each of the matters covered in
above paragraph above.
• Reportable Issues on Quarterly Basis
Monitor and report in writing on a quarterly basis upon all significant issues relating to the following
activities conducted and/or managed by the Company:
o Contract management and issue of certificates to Contractors;
20
o Contract variations;
o The existence of any material claims by or against Contractors and the basis therefor;
o Design review and approvals, in order:
− to ensure conformity with Company’s environmental obligations as set forth in
other Project Documents, consents, and obligations, and
− to confirm that all installations shall be fully sufficient to ensure minimal
maintenance and full functionality for the intended design life of the Project;
o Site preparation works and geological and geotechnical aspects of the Project;
o Temporary works that may impact the permanent works, or will be incorporated into the
permanent works;
o Contractor’s construction plans and their respective implementation and progress of the
works;
o Development of operations and maintenance manuals and operation and maintenance
plans;
o Provision of an adequate inventory of spare parts; and
o Such other activities or omissions of Company as could have an adverse effect on the
achievement of the Project implementation with a uniformly high level of quality and
safety and in a timely manner; provided that, such monitoring and reporting shall be
performed in a manner so as not to adversely impact the Project schedule.
• Liaison
Liaise with authorized representatives of the Designated Ministry, the Company, the EPC Contractor
and the O&M Contractor as necessary to perform the duties under the Concession Agreement and this
Annexure.
• Testing Review
Review for appropriateness all proposed performance tests and acceptance tests together with, when
made, the results of such tests, for compliance to international standards, the Concession Agreement,
the Power Purchase Agreement, plans for systems interconnecting the Project plant and equipment,
plans for sub-stations (if any) and transmission lines and their facilities, all to ensure that the plant
designs meet the Company’s obligations and the Power Purchase Agreement, and provide a written
report in the event of any deviations or adverse impacts.
• Other Assistance.
Carry out such other services as may be reasonably required or requested by the GOL to confirm the
Company’s compliance with the requirements set forth in the Concession Agreement.
• Non-conformance of work.
Track construction deficiencies and make recommendations for rectification of defects .
21
Dam Safety
Guidelines on
Reservoir
Impoundment
December, 2018
Table of Contents
1. Introduction 1
2. Involved Agencies and their Responsibilities 2
3. Pre-requisites 4
3.1 Physical works to be completed 4
3.2 Training for operational personnel 5
3.3 Pre-Impoundment Inspection by Project Company 5
3.4 Establishing Communication Network 5
3.5 Documentation Required for Impoundment before Approval by Government
Authority 5
3.5.1 Duties and Responsibilities 5
3.5.2 Status of Works 5
3.5.3 Impounding Criteria 6
3.5.4 Emergency Action Plan 6
3.5.5 Reservoir /Works Safety Certification 6
3.5.6 Training, Operation and Maintenance manual for Dam Instrumentation 6
3.5.7 Training, Operation and Maintenance manual for Hydro-Mechanical and
Electrical works 6
3.5.8 Geological and Geotechnical Report 6
3.5.9 Geotechnical Studies of Dam Construction Materials 6
3.5.10 Environmental, Social and Biomass Reports/Plan 7
3.5.11 Pre impoundment inspection by Project Company 7
3.6 Approval for Impoundment 7
3.7 Intimations to Government and Local Authorities 8
4. Procedure for Impoundment 9

4.1 Influencing Factors 9
4.2 Impoundment Criteria 9
5. Monitoring and Reporting during Impoundment 10

5.1 Project Components 10
5.2 Impoundment Monitoring Report 10
6. References 11
Annexure- 1: (Reference) Application form for Inspection prior to

Impounding 12
Annexure- 2: (Reference) Format for Reservoir Impoundment Manual 13
Annexure- 3: (Reference) Submission form for Flood Management Rule 14
Annexure- 4: (Reference) Flood Management Rules 15
Annexure- 5: (Reference) Pre-Impoundment Inspection Check list 18

Annexure- 6: (Reference) Checklist for Inspection during Impoundment 23
Dam Safety Guidelines – Reservoir Impoundment
1. Introduction
The Reservoir Impoundment is planned impoundment of the reservoir up to desired operation level to
achieve the purpose of the project. The reservoir impoundment may be the initial impoundment after
construction of dam or at a later stage when for some reason the reservoir had to be depleted and to be
filled up thereafter. In general, here impoundment refers to both types of impounding i.e. “First” or
“Re”.
The impoundment should be planned, controlled and closely monitored in order to reduce the risk of
failure. Since it is a critical phase in the life of the dam, it is vital to have as much control over the rate
of impounding as possible in order to have appropriate surveillance/ inspection, including the
observation and analysis of instrumentation data. The impoundment should be preferably scheduled
to occur in a period of lean flow after completion of the construction of the dam and all necessary
appurtenances (i.e. spillways and outlet works etc.) including the installation of monitoring
instrumentation.
The Impoundment Plan should be a written document setting out pre-requisites to be completed
before start of impoundment, documentation requirements, laid out procedures to be followed,
monitoring requirements and reports to be prepared at the end of the exercise. The plan should also fix
duties and responsibilities of the personnel to be involved and an emergency action plan for tackling
any unusual emergency that may arise.
The overall responsibility for the impoundment plan rests with the Project Company and is usually
prepared by his Design Consultant/Contractor.
1
2. Involved Agencies and their

Responsibilities
The following agencies and personnel shall be involved during the different phases of impoundment
with their respective responsibilities as mentioned herein below:
Sl. No. Party Responsibility

1. Project Company • Management, planning, control, monitoring of
impounding operations and coordination among all
outside agencies involved, including activities related to
environment, social and biomass.
• Ensure overall co-ordination of the programme between
all project agencies involved, more specifically the
Project entities at Sl. No. 2, 4, 5 and 6 below.
2. • Keep watch on civil structures and instrument data for
stress, strain, displacements and seepage parameters
and also visual inspection and reporting. In case of any
eventuality take action in accordance with the
Project Inspection Team Impoundment Plan.
Representing Project
Company and Project • Keep watch on geotechnical and geological aspects,
Design Team parameters and any induced event like landslides,
piping, seepage, formation of cracks and crevices etc.
including visual inspection and reporting. In case of any
eventuality suggest immediate remedial action.
• Keep watch on hydro-mechanical equipment and their
performance including visual inspection and reporting.
In case of any eventuality suggest remedial action.
• Keep watch on electrical equipment and their
In case of any eventuality suggest remedial action.
3. Environmental and Social • Monitor implementation of the environmental
Consultant management plan, social management plan, biomass
removal plan including wild life rescue.
4. Civil Contractor (through • Complete and commission all civil structures prior to
Project Company) impounding
• Carryout visual inspections of all civil structures during
impounding
• Ensure full closure of diversion system
• Monitor spillway discharges
• Monitor spillway plunge pool development
• Calibrate inflow forecasting and flood warning models
• Install and commission all instruments
• Train Project Company staff in reading all the
instruments
• Monitor all instruments
• In case of any eventuality initiate action in accordance
with the Emergency Action Plan.
2
5. Hydro-mechanical • Complete and commission all hydro-mechanical

Contractor equipment (see Clause 3.1 below) prior to
(through Project Company) commencement of impounding and spillway operation
• Test and commission all hydro-mechanical equipment
• Train Project Company staff in operation and
maintenance procedures of civil and hydro-mechanical
works
• Keep watch on hydro-mechanical equipment and their
performance including visual inspection and reporting
during impounding
6. Electrical Contractor • Install, commission, operate and maintain standby
(through Project Company) electric power systems
• Train Project Company staff in operation and
maintenance procedures for power systems
• Keep watch on electrical equipment and their
7. Government • Inspection prior to and during impoundment, monitor
Authority/Government the process of impounding and provide necessary
appointed Project guidance as and when required
Inspection
Team/Government • Review of overall compliance with terms under technical,
appointed Engineer environmental, social and biomass obligations listed
under existing law / LEPTS and project development /
Concession agreements
8. Representative from Local • Keep local administration and disaster management
Administration teams on alert to take charge in case of any eventuality.
Keep watch on public warning and safety systems and
their good functioning.
3
3. Pre-requisites
The Project Company shall be responsible for fulfilling of the following prerequisites before
commencement of impoundment:
• Physical works to be completed
• Training of personnel
• Pre-impoundment inspection by Project Company
• Establishing communication network
• Documentation Required for impoundment approval
• Obtaining approval for impoundment
• Intimations to Government and Local Authorities
The Project Company shall ensure that the relevant provisions of LEPTS on impoundment, more
specifically those contained in Articles 5 and 7 are complied with. In case the project is being built in
pursuance to a Concession Agreement then relevant provisions and obligations on impoundment in
the Concession Agreement will also need to be followed.
3.1 Physical works to be completed

The following temporary and permanent components, as applicable, forming part of dam and
appurtenant structures, need to be completed and tested in all respects including hydro-mechanical
(e.g. gates, valves, hoists, trash racks, penstocks etc.) and electrical works (e.g. power systems, power
packs etc.) before impoundment is taken up:
• Main Dam
• Auxiliary Dam or Saddle dam
• Spillway Structure
• Spillway Gates
• Stilling Basin/ Plunge Pool
• Intake structure including gates, trash racks and access
• Bottom outlets and emergency drawdown arrangements
• Treatment of slopes for reservoir, dam and appurtenant structures
• Environmental Release Outlets
• Arrangements for closure of diversion system
• Any other structure or equipment which is deemed necessary
• Removal of coffer dam / closure of diversion system
• Installation and commissioning of lighting and back-up power system
• Dam instrumentation works
• Boat Landings
4
3.2 Training for operational personnel

Training for the operational personnel shall be organized by the Project Company as per the
requirements for the flood management, disaster management, maintenance and operation of the
project components prior to commencement of impounding. Report of such training programme along
with the list of participants shall be provided to the Government Authority.
The Project Company shall inform Government Authority prior to start of such training programme so
that, if so desired by the Government Authority, some of its representatives may be included in the
training programme.
3.3 Pre-Impoundment Inspection by Project Company

Prior to the reservoir impoundment baseline conditions will be documented with photographs
complemented with sketches where necessary for comparison with later conditions. A report on this
inspection shall be submitted to the Government Authority along with the completed check list as per
Annexure-5.
3.4 Establishing Communication Network

The following communication network will be established:
• Establishment of proper communication network within the project area.
• Establishment of communication system with Government Authority, Emergency Management
Authority, local civil administration and also with other government and local bodies if so
required in public and project interest.
• Announcement to all local authorities.
• Installation of hooters & sirens in consultation with local authorities & police.
3.5 Documentation Required for Impoundment before

Approval by Government Authority
Prior to the start of impoundment, the Project Company shall prepare documentation required for
approval of impoundment and submit the same to the Government Authority for their approval. This
documentation shall be in the form of a report called reservoir impoundment manual and shall
comprise of following minimum details (for format of report refer Annexure 2):
3.5.1 Duties and Responsibilities

Detailed method statement covering the impounding operation, organization and management
arrangements for supervising the impoundment operations and safety measures for personnel.
3.5.2 Status of Works

A report shall be prepared on works that need to be completed prior to impoundment. For further
details refer Clause 3.1 above.
5
3.5.3 Impounding Criteria

This includes a listing of the sequence of events for impounding, monitoring the water levels,
controlling water releases and monitoring the behaviour of the dam. The impounding can also be
planned to be done in stages with hold points in between where water outlets at lower level are
available.
3.5.4 Emergency Action Plan

Emergency Action Plan in line with the Lao Dam Safety Guidelines for Emergency Action Plan,
including confirmation that procedures and warning systems for the emergency action plan have been
installed and tested.
3.5.5 Reservoir /Works Safety Certification

The Project Company shall submit reservoir safety certification which comprises report on the
behaviour of the dam during construction to date with analyses of the instrumentation data and
comparisons with expected performance based on design assumptions. The report shall include
summaries and assessments of all matters occurring during construction which might relate to the
safety of the dam. The report shall be accompanied by a certificate called the Impoundment Certificate
signed by project inspection and design team that they are satisfied that dam may be impounded and
specifying any restriction on level to which the reservoir may be impounded if appropriate.
3.5.6 Training, Operation and Maintenance manual for

Dam Instrumentation
The training, operation and maintenance manual for instrumentation shall describe all the details
regarding each instrument and monitoring plan.
3.5.7 Training, Operation and Maintenance manual for

Hydro-Mechanical and Electrical works
The training manual for Hydro-Mechanical and Electrical works shall incorporate details on
mechanical and electrical operation method of each structure such as gates, gantry cranes, trash rack,
standby generator etc. The operation and maintenance manual shall cover operation methodology,
manpower requirements, sequence of operation, emergency procedures, safety requirements etc.
3.5.8 Geological and Geotechnical Report

The Project Company shall prepare, preserve and submit to the Government Authority, a
comprehensive geological and geotechnical report presenting all data collected along with evaluation
and interpretation of the data done during investigations and construction.
3.5.9 Geotechnical Studies of Dam Construction

Materials
The Project Company shall submit a comprehensive construction materials report presenting all data
collected to Government Authority. The report shall include evaluation and interpretation of the data
and detailed description of the material used for dam construction.
6
3.5.10 Environmental, Social and Biomass

Reports/Plan
The following environment, social, biomass and rehabilitation reports (as applicable) shall be
appended to the reservoir impoundment manual:
• Social and Environment Impact Assessment
• Environment Management plan
• Biomass removal plan
• Wildlife rescue and rare plant salvage plan
• Resettlement Action Plan
3.5.11 Pre impoundment inspection by Project

Company
A report on the inspection of the reservoir, dam and other appurtenant structure carried out by project
inspection team. For further details refer to Clause 3.3 above.
3.6 Approval for Impoundment

• The application form (refer Annexure 1) for inspection prior to Impounding along with its
reservoir impoundment manual shall be submitted by Project Company to the Government
Authority.
• Upon receipt of application for commencing the impoundment, the Government Authority shall
forward the documents to Government Authority/Government appointed Project Inspection
Team/Government appointed Engineer to carry out a pre-inspection.
• Government Authority/Government appointed Project Inspection Team/Government
appointed Engineer shall inspect the dam and its appurtenant structures and also upstream and
downstream areas affected by the dam including the cascading dams. Further the Government
Authority shall review overall compliance with terms under environmental and social
obligations listed under existing law and project development agreements and submit its report
recommending commencement of impoundment if everything is satisfactory or suggesting
further needful to be done to allow the impounding.
• The Project Company shall take immediate action on the suggestions and recommendations of
Government Authority/Government appointed Project Inspection Team/Government
appointed Engineer and revert to the Government Authority again with the compliance report.
• Post review and acceptance of the compliance report by the Government Authority, the
Government Authority shall give permission in writing for the commencement of
impoundment.
• The Project Company shall commence the impoundment only after the approval for doing so is
received from the Government Authority.
• In case partial impoundment is being carried out, form for flood management rule (refer to
Annexure 3 & 4) along with its necessary enclosures shall be submitted to Government
Authority.
7
3.7 Intimations to Government and Local Authorities

The Project Company shall ensure that all the following intimations have been sent and circulated and
that their compliances for all the requisites have been reported back to Government Authority, and
local authorities:
• Notice to all administrative authorities intimating detailed programme of impoundment.
• Notice to local authorities intimating detailed programme.
• Notice to all authorities concerned in the project intimating detailed programme along with
their responsibility sheet.
• Notice to supervisors associated and confirmation there of intimating detailed programme along
with their responsibility sheet.
• Announcement to public in consultation with local administration.
8
4. Procedure for Impoundment

4.1 Influencing Factors
The major factors to be considered in establishing the impoundment criteria are ‐
• Type of dam.
• Characteristics of Dam and appurtenant works
• Characteristics of Reservoir – Storage capacity
• Geology of dam foundation and reservoir along with landslide potential along the rims of the
reservoir.
• Hydrology – Discharge and flood pattern and season-based flows.
• Release provisions for floods and emergency evacuation.
• Hazard potential.
• Type of instrumentation and provision for monitoring and evaluation time needed and response
time.
• Safe channel capacity downstream of dam.
4.2 Impoundment Criteria

Reservoir impoundment criteria shall be project specific. General principles for developing criteria
shall be as follows;
• A statement on diversion closure, spillway and control gate operations referencing other reports
related to testing and commissioning prior to closure.
• A reservoir area capacity curve and corresponding table is required.
• A description of constraints and target objectives should be stated during impoundment which
would typically include following ; control of reservoir water level, environmental release,
controlling rates of discharge from gates and spillway, achieving intermediate holding stage
levels, etc.
• Holding stages during impoundment and gradient of releases should be tabulated and related to
hydrological conditions for time of year. Expected rate of rise of the reservoir should be
included.
• Details of maximisation of water stored
• Details for availability of gates together with hydraulic characteristics of the gates.
• A simulation of reservoir impoundment to demonstrate possible rates of rise and whether under
varying hydrological conditions
• Tables to summarise the stages of impoundment.
• During impoundment of the reservoir, the minimum environmental release as per requirements
downstream has to be maintained and the outflow gradient should also be properly maintained
such that the decrease or increase of outflow should be gradual rather than abrupt.
9
Dam Safety Guidelines - Reservoir Impoundment
5. Monitoring and Reporting

during Impoundment
Monitoring and reporting during impoundment is a very important aspect which involves continuous
inspection of reservoir and evaluating the performance of the dam and its foundation as the reservoir
is being filled. Round the clock surveillance/ inspection of the dam and its foundation shall be done
and instrumentation readings shall be taken as specified in the Lao Dam Safety Guidelines for
Surveillance and Instrumentation and Monitoring.
5.1 Project Components

The project structures shall be specifically put under continuous surveillance/ inspection and
observations shall be made for various components, structures and areas of the project as suggested in
the checklist (refer to Annexure 6). These structures and points shall be project specific and shall not
be limited to that stipulated in checklist. Any additional structure or feature may be added to these or
deleted if not relevant to the project.
5.2 Impoundment Monitoring Report

At each stage of filling, a statement on condition assessment of the different dam parameters shall be
made as listed below:
• A visual inspections that needs to be carried out prior to and during impounding
• Hydrological Parameters
• Inflow rate and Reservoir filling rate
• Outflow rate during impounding
• Spillway gates and operational status – Sequence of operation to maintain water levels and
procedures in the event of gate failure and high flood
• Spillway gallery status – drainage system operation
• Dam Instrumentation –Instrumentation monitoring schedule, assessment of readings and
warning limits, operational status and expected values at each hold point
• Emergency procedures in case of adverse events such as extreme flooding and equipment
failures that may occur during impounding
After completion of impoundment or abandoning for some unavoidable reasons, a complete detailed
report shall be prepared by the Project Company describing the method, rate of impounding at
different stages, rise of water level in reservoir with respect to time, holding of water level at some
points, depletion of water level, incoming discharge, outgoing discharge, geological occurrences,
seismic activities, landslides, seepage in various areas of dam and appurtenant structures and all
relevant observations affecting the structures, surroundings, upstream and downstream areas affected
by dam and operations of various gates and valves etc. during the impoundment of reservoir. The
Inspection Team, agencies and personnel participating in execution of reservoir impoundment plan
shall provide their inputs and reports for the part of their responsibilities and report shall finally be
compiled by the Inspection Team.
The report shall be submitted to the Government Authority within 30 days of completion of
impoundment.
10
6. References
• US Army Corps of Engineers, Safety of Dams-Policy and Procedures, ER -1110-2-11
11
Annexure- 1: (Reference)
Application form for Inspection
prior to Impounding
To:
The Ministry of Energy and Mines
or
The Provincial or District Division of Energy and Mines
From:
Name of Project Company (PC)
Address of Project Company
Name of Project
Address of Project
Applicant’s (PC’s) Representative
Sir,
We would like to apply for your inspection of following dam facilities in accordance with the Article – 5
of the Lao Electric Power Technical Standards.
1. Name of the dam:
2. Location of the dam: Village/ Town__________City……………..
District………………Province……………..
3. Summary of Facilities
4. Inspection items ……………..
5. Schedule of inspection
6. Expected commencement date of first impounding
12
Annexure- 2: (Reference) Format

for Reservoir Impoundment
Manual
• Project Overview
• Purpose of Report
• Duties and Responsibilities
• Status of Works
• Impounding Criteria
• Emergency Action Plan
• Dam Safety Emergency Plan
• Reservoir Safety Certification
• Training, Operation and Manual for Dam Instrumentation
• Training, Operation and Manual for Hydro-Mechanical and Electro-Mechanical works
• Geological and Geotechnical Report
• Geotechnical Studies of Dam Construction Materials
• Environmental, Social and Biomass Reports
• Pre-Impoundment Inspection Report by Project Inspection Team
• Drawings and photos to be attached
o Structural drawings of dams and Appurtenant Works
o Lift schedule records of concrete dam and dam embankment records
o Construction drawings of diversion tunnel closure works
o Plan of reservoir or regulating pond
o Flood management rule
o Photos of completed facilities
13
Annexure- 3: (Reference)
Submission form for Flood
Management Rule
To:
or
From:
Name of Project
Address of Project
Applicant’s (PC’s) Representative
Sir,
We hereby submit the flood management rule in accordance with the Article 7 of the Lao Electric
Technical Standards. Please find an attached document.
Date: ..…../…../……….
Signature
Name and Designation
14
Annexure- 4: (Reference) Flood

Management Rules
CHAPTER 1: GENERAL
Article 1: Purpose
This rule stipulates the operation rule and the flood management method of (Name of Dam) dam and
its reservoir.
Article 2: Outline of Dam and Reservoir
The outline of dam, reservoir and other facilities are described below.
i. Dam
(a) Dam Height : m

(b) Unspilled Crest Elevation : m
(c) Spilled Crest Elevation : m
(d) Spillway Gate Type
(e) Number of Gates :
(f) Width x Height : m x m
(g) Opening and Closing Speed: m/min.
(h) Outlet Valve
(i) Number of Valves :
(j) Inner Diameter : m
(k) Opening and Closing Speed Rate: less than %/min.
(l) Design Flood Discharge: m3/sec.
ii. Reservoir
(a) Catchment Area : km2

(b) Inundated Area : km2
(c) Maximum Reservoir Length : km
(d) Flood Water Level : m
(e) Normal Water Level : m
(f) Low Water Level : m
(g) Effective Storage Volume : m3
(h) Maximum Power Discharge : m3/sec
Article 3: Definition of Flood and Flood Period
“Flood” is defined that the inflow rate into the reservoir exceeds m3/sec.
“Flood period” is defined as the period during which the Flood occurs.
15
Article 4: Recording of the Reservoir Water Level
Reservoir water level shall be recorded in appropriate manners (monitoring methods, monitoring
locations, monitoring frequency, etc.) which shall be described in this Article.
Article 5: Estimation of the Reservoir Inflow
The estimating method of the reservoir inflow is described in this Article. The rating curve showing
relation between reservoir water level and reservoir storage volume shall be attached to this Article
CHAPTER 2: PRINCIPLE OF DAM MANAGEMENT
Article 6: Maximum Reservoir Water Level for Storing Reservoir Water
The reservoir water level shall not exceed the normal water level except during the Flood Period and
immediately after the end of the Flood Period.
The reservoir water level exceeding the normal water level due to the Flood shall be decreased to the
normal water level by the power discharge, discharge through spillway gates and/or outlet valves
immediately after the end of the Flood Period. In this case, the accumulated discharge amount through
the turbines, spillway gates and/or outlet valves shall be basically less than _______ m3/sec
stipulated in Article 4.
Article 7: Permission of Discharging through Spillway Gates and/or Outlet Valves
The cases in which the Owner can be allowed to discharge through spillway gates and/or outlet valves
shall be clearly defined in this Article.
Article 8: Discharging Rate from Reservoir
The discharge from the reservoir (including the discharge through spillway gates and/or outlet valves
and the power discharge) shall be conducted in order not to make the sudden rise of the river water
level in the downstream area of the dam.
The rating curve showing the relation between the discharge amount from the reservoir and the river
water level at the downstream area shall be attached to this Article.
Article 9: Operation Methods of Spillway Gates and/or Outlet Valves
The operating methods of spillway gates and/or outlet valves are described in this Article as follows.
i. Operation order of the spillway gates and/or outlet valves
ii. Maximum opening speed of a spillway gate and/or outlet valve (for example, 0.5 m per gate
operation)
iii. Minimum interval of successive operation of spillway gates and/or outlet valves (for example,
15sec.)
CHAPTER 3: MEASURES TO BE TAKEN AT THE DISCHARGING
Article 10: Announcement of Discharge to the Concerned Authorities
The discharge through the spillway gates and/or outlet valves is announced to the concerned
authorities appropriately by telephone or other measures at least hours before the start of discharge.
Article 11: Announcement of Discharge to the Public
16
The discharge through the spillway gates and/or outlet valves is announced to the public in the
downstream area of the dam in appropriate measures that are described in this Article. (For example,
the implementation of discharge shall be announced to the public downstream of the dam by warning
sirens at least 10 minutes before the start of discharge.)
Article 12: Records of Spillway Gates and/or Outlet Valve Operation
The following operation records of spillway gates and outlet valves shall be prepared. They shall be
submitted to the Government Authority in accordance with his request:
i. Reasons for operation of the spillway gates and/or outlet valves (hereinafter referred to as
“gate operation”)
ii. Name of the operated spillway gates and/or outlet valves and the operation time
iii. Reservoir water level and reservoir inflow at the start of the gate operation
iv. Reservoir water level, reservoir inflow, discharge amount at every 30 minutes after the start of
the gate operation
v. Time when the maximum discharge through the spillway gates and/or outlet valves is
implemented and the maximum discharge amount
Article 13: Observation and Measurement
The following items shall be monitored and observed at specified intervals (for example, the specified
intervals is 30 minutes) during the Flood Period:
i. Reservoir water level
ii. Reservoir inflow
iii. Discharge amount through the spillway gates and/or outlet valves
iv. River water level and river runoff at gauging station
v. Rainfall at meteorological station
In case that the reservoir water level exceeds the normal water level due to the Flood, the above-
mentioned items shall be monitored and observed from the beginning of the Flood Period until the
reservoir water level decreases to the normal water level by the gate operation.
17
Annexure- 5: (Reference) Pre-

Impoundment Inspection Check list
Sl. Description of Check Points/ Status Remarks
No. Inspection Items Requirement*
A. General
1 Normal and emergency In Place

operating procedures
2 Final construction Available at Site for

documents reference
3 Inspection and Operating Acquainted and trained

Personnel for Inspection and
operations related to
impoundment and flood
management.
4 Reservoir impoundment In Place

Manual.
5 Information to local Given sufficiently in

Administration about advance for them to for
submergence emergency preparedness
6 Information to downstream Given sufficiently in

area that during operation advance for them to for
the water level in the river emergency preparedness
may suddenly rise and fall
and villagers should not
enter the river during
Impoundment.
7 Intimation to other Given sufficiently in

concerned authorities advance for them to for
including forest dept. emergency preparedness
regarding reservoir
impoundment.
8 Alternative facilities in lieu of Sufficiency of alternative

existing bridges/ roads that facilities
are going to be submerged.
9 Sign boards at regular Sufficiency of

intervals - put on the road arrangement.
with warnings as above in
both local and English
Language.
10 Warning Hooter Sufficiency of

arrangement, sound
audible up to desired
18

areas.
11 Demarcation of maximum Check markings

water level in Reservoir Area.
12 Security & Fire-fighting In Place;

arrangements
Equipment in good
functional conditions
13 Removal of all the Check & get removed if

establishments, residence any.
falling under the
submergence
14 Status before Impoundment Take photographic and

video graphic evidence of
all Affectable Areas
15 The Dam Control rooms Functional in all respect
16 All Electro‐Mechanical & All test carried out

Hydro‐Mechanical tests. successfully.
17 Adequate pumping capacity Sufficien number of

for Dewatering pumps of sufficient
capacity and other
accessories like pipe lines,
sumps, suction pints,
discharge points etc. at all
vulnerable points.
18 Communication and Public- provided and functional

address facilities at all the key project
areas.
19 Treatment of Slopes in Check

Reservoir, Dams and
appurtenant structure
20 Removal of Coffer dam/ Check

closure of diversion system
21 Installation and Check

commissioning of Lighting
and back power system
22 Dam Instrumentation works Check all instrumentation

is complete and working
properly
23 Boat Landings Check
B. Reservoir
19

1 All temporary and

permanent installations
within the reservoir area
have been removed.
2 The land losers Relocated to safer places
3 Treatment of reservoir area,

wherever required.
4 Clearing of trees etc.
5 Take photographic records.
C. Dam/ barrage
1 Check all instruments/

gauges have been installed,
calibrated and are
functioning.
Initial readings are taken,

teams are identified to
record and monitor readings.
2 Check the spillway bridge

deck area for proper lighting
and safety railing.
3 The glacis has been cleared

of all the material.
4 The downstream area has

been cleared of all materials.
5 Hydro mechanical
equipment are installed and
tested.
6 Reservoir level monitoring

system to be tested
7 Dam downstream river

banks, energy dissipation
pool to be inspected for clear
of debris
8 Check that the Gantry crane

is installed and performance
checks have been carried out.
9 Bulkhead gate is operational
10 Spillway radial gates have

been erected to proper level
20

and alignment as per design

drawings.
11 The Power pack system is

functional.
12 Undersluice gates, air vents,

cranes, power packs tested
and commissioned.
13 Gate position v/s flow rate

charts are available.
14 Radial gate operation

philosophy in place. Riparian
flow to be done through fish
ladder.
D. Power Intake
1 Check that all trash racks are

installed in position.
2 Check that the trash cleaning

machinery has been installed
and working smoothly.
Perform the operation and
maintenance checks on the
same. The trash disposal
arrangement shall be kept
ready. If the Trash rack
cleaning device is not
equipped, the racks shall be
inspected manually.
3 Intake openings are free

from any obstacles, debris or
leftover part of machinery
and equipment.
4 Check the surfaces. Any

irregularities observed to the
finished surface shall be
remedied. Surface cracks
shall be grouted, and eroded
surfaces shall be made true
to shape.
5 Check that intake gates with

hoists are ready and are
installed in the gate slot. The
dogging beams are made
available and stored
properly. Check that all
checks specified in on
operation and maintenance
21

manual of gates and hoist

has been performed and the
gates are ready for operation.
6 Check that intake stoplogs

are ready and stored
properly.
7 Check that the gantry crane

with hoist is installed in
position. Perform the checks
specified in the operation
and maintenance Manual.
8 Check that the lifting beam

has been fabricated and
stored at the designated
place for lowering
stoplogs/gates.
9 Check that the deck area is

cleared from any unwanted
material and machinery,
properly surfaced and sloped
for smooth drainage of
surface water.
22
Annexure- 6: (Reference) Checklist

for Inspection during Impoundment
Sl. Description of Inspection Check Points/ Status Remarks
No. Items Requirement*
A. Reservoir
1 Cracking of dam/ barrage in any

plane or direction.
2 Cracking or land‐slide type

movements of the upstream and
downstream valley walls.
3 Bulging or sloughing of lower

portion of any appurtenant dam
slopes, abutments or valley
walls.
4 Subsidence of any portion of the

crest of main barrage or stilling
chamber.
5 New seeps or springs, or an

increase in volume from any
existing spring in abutments,
downstream valley walls or
floor.
6 A persistent vortex (whirlpool) in

reservoir that is unrelated to any
operational outlet works.
7 Seepage water that is discolored

or carrying soil or rock sediment
8 Cracking in any of the concrete

appurtenant structures
9 Any construction activity near

the location of the instrument
B Spillway
1 Seepage behind abutment piers
2 Behaviour of the area

downstream of stilling basin
23
Dam Safety
Guidelines on
Surveillance
December, 2018
Table of Contents
1. Introduction 1
2. Types of Inspection, Agencies Involved and Competency of People 2

2.1 Types of Inspection 2
2.2 Agencies Involved 2
2.3 Competency of People 3
3. Surveillance Process and Program 5

3.1 Surveillance Process 5
3.2 Surveillance Program 5
3.2.1 Inspections 5
3.2.2 Monitoring of Instrumentation 6
3.2.3 Data Collection and Management 6
3.2.4 Evaluation of Data and Identification of Issues 7
3.2.5 Types of Inspection 7
3.2.6 Frequency of Inspection 7
3.2.7 Inspection Reports 8
4. References 9
Annexure-1: (Reference) Application for Inspection 10
Annexure-2: (Reference) Checklist for Dam Inspection 11
Annexure-3: (Reference) Checklist for Dam Foundation Inspection 13
Annexure-4: (Reference) Checklist for Inspection during Construction 14
Annexure-5: (Reference) Checklist for Inspection before Commencement of Operation

19
Annexure-6: (Reference) Checklist for Inspection during Operation 21
Annexure-7: (Reference) Checklist for Types of Inspections 35

Dam Safety Guidelines - Surveillance
1. Introduction
The Dam Safety Surveillance program is a continual process involving evaluation of performance of dam
and safety concerns associated with the dam and its appurtenant structures. Surveillance program
should be able to detect critical areas to assess any deterioration or damage taking place during various
phases of the life of the dam and to prevent or minimize likely damage or disaster by taking corrective
measures.
A Dam Safety Management program begins with initial investigation of the dam foundation and
continues through its design, construction and operation. While many problems may occur and need to
be overcome during these phases, there is always a risk that not all problems have manifested themselves
or been detected by the time the dam has reached its operation phase.
Each dam should have its own surveillance program. The scope of a surveillance program should be
appropriate to the hazard rating of the dam i.e. inflow flood, size of the dam and storage, the population
at risk and other consequences of dam failure.
The figure (extracted from ICOLD Bulletin B158) shows relationship between monitoring, visual
inspection, checking and testing. The detailed aspects of monitoring are covered in dam safety
guidelines for instrumentation and monitoring. This guideline focuses on overall surveillance system
integrating visual inspections, checking & testing with monitoring. The Project Company shall prepare
their own surveillance programme using the key references provided in this guideline.
Figure 1.1: Relationship between Monitoring, Visual Inspection, Checking and Testing
1
2. Types of Inspection, Agencies

Involved and Competency of
People
2.1 Types of Inspection
Primarily four types of inspection are taken up in various stages of dam life and for different purposes.
The frequency of the each type of inspection depends on the hazard classification of the dam i.e. extreme,
high, moderate and low and the same are based on Clause 17 of LEPTS.
• Routine Inspections
• Periodic Inspections
• Special Inspections
• Comprehensive Dam Safety Evaluation Inspections
2.2 Agencies Involved

The following entities shall be involved primarily for implementing surveillance program with their
respective responsibilities as mentioned herein below:
Sl. Party Responsibility

No.
1 Project Company Management, control and monitoring of overall
surveillance program on behalf of the project
and coordination among all agencies involved.
Set up a system for response to any adverse
trends noticed during inspections by various
entities. Maintain project document archives.
2 Project Inspection Inspection, discussion, brain storming,
Team reporting the outcome, identifying problem
areas and suggesting appropriate remedial
course of action immediately to the Project
Company and Authorities. Implement the
planned activities and initiate inspection in an
emergency.
3 Government To implement and coordinate Dam Safety Plan
Authority/Government on behalf of Lao PDR; Supervising overall
appointed Project Inspection Plan. Inspection, discussion, brain
Inspection storming, reporting the outcome, identifying
Team/Government problem areas and suggesting appropriate
appointed Engineer remedial course of action immediately.
Maintain government document archives.
4 Comprehensive Dam To carry out comprehensive dam evaluation.
evaluation team
2
Additional administrative authorities or expert personnel or agencies may be involved if required for
specific purposes.
2.3 Competency of People

The Project Company is responsible for ensuring that assessment of the surveillance and monitoring
results, reporting on dam performance and the completion of dam safety reviews are undertaken by
people who are competent in the evaluation of surveillance and monitoring.
All people with dam safety responsibilities should understand the conditions and hazards that can affect
dam safety, the potential failure modes for the dam, the early signs for the development of each of the
potential failure modes, and the surveillance and monitoring procedures relevant to each of the potential
failure modes. Typical competencies required for personnel involved in different inspections is provided
in the table below;
Type of Inspection Role Areas of Competence

Routine Inspection Project Inspection • Dam safety and surveillance
Team principles including visual
recognition of the onset of potential
failure modes and dam safety
deficiencies, e.g. erosion, crack.
• Potential failure modes.
• Maintenance and testing practices.
• Dam safety and surveillance
principles and practices
• Emergency response procedures
including escalation process for
alerting others.
Periodic Inspection Project Inspection • Same as above
Team and
Government
Authority
Special Inspection Project Inspection • Apart from above it includes
Team and following;
Government
o Understanding of the potential
Authority
effects of a dam failure.
o Emergency planning and drills.
Comprehensive Dam Safety Comprehensive • Structural, geotechnical,

Evaluation Inspections Dam Evaluation engineering geologist, mechanical,
team electrical, seismic, hydrologic and
hydraulic design specialist.
• Dam construction techniques.
• Understanding of dam safety
management programmes,
principles and practices.
• Operation, maintenance and testing
procedures.
• Surveillance and performance
assessment.
3
• Response to and managing dam

safety issues.
• Emergency action planning.
• Gates and valves including
associated power supplies, control.
• Protection systems, and
communication systems.
4
3. Surveillance Process and

Program
3.1 Surveillance Process
Project Company surveillance process and procedures should be well defined and functional. They
should be established and documented in a way that clearly describes:
• Purpose
• Frequency
• Methodology
• Evaluation and documentation
• Addressing of Issues
• Follow up, escalation and reporting
The documentation should be controlled and readily available to, and understood by, those responsible
for the implementation of surveillance activities. The regular review and updation of the documentation
should be carried out to reflect changes in process or requirements.
The documentation should be regularly reviewed and updated to reflect changes in processes or
requirements, and allow improvements in the effectiveness of surveillance activities.
3.2 Surveillance Program

The surveillance program consists of following elements
• Inspection
• Monitoring of instruments
• Data collection and management
• Evaluation of data and identification of issues
• Type/ process of inspection
• Frequency of inspection
• Inspection reports
3.2.1 Inspections
Inspections are the basic and primary elements of a surveillance program. These may be routine
inspections carried out by operational staff, periodic inspections carried out by personnel with higher
level of expertise or special inspections carried out for any specific requirements. The basic level routine
visual inspection carried out by operational staff of the project is a very important component of the
surveillance program as the staff will be the first to notice and inform any developing safety concern.
5
3.2.2 Monitoring of Instrumentation

Monitoring of instrumentation refers to collection, presentation and evaluation of information from
measuring devices installed at or near dams. Monitoring is required
• To detect deterioration in performance of the dam
• To provide a basis for additional measures recommended by inspectors in the interests of safety
in case of deterioration, changes in safety legislation, downstream changes that affect the hazard
classification of the dam
• To detect trends or behavior to establish compliance with design expectations (If the trends
indicate non-compliance with design expectations, remedial action should be initiated.)
• To rectify dam design issues which could not be resolved to high reliability during the design and
construction stages (such issues can only be addressed with a monitoring strategy, which can
substantiate design expectations by establishing a correlation with actual behavior. Some
behavior responds slowly over many years while some may not become evident for many years).
The monitoring should be appropriate to the hazard category of the dam and in compliance with the Lao
Dam Safety Guidelines for Instrumentation and Monitoring.
3.2.3 Data Collection and Management

It is necessary to obtain and study the historical background, designs, data, records, reports and latest
developments in respect of the objective of the surveillance program. Dam records can include
investigation documentation, records of construction, commissioning, operation, maintenance,
surveillance, safety reviews, remedial actions, rehabilitation and monitoring measurements. Some of
this information will not change over the life cycle of the dam such as investigation, design and
construction records. These can be stored as reference information that may be required in an
emergency or when comprehensive or other inspection reports are being written. Other data will change
such as visual inspections, instrument monitoring, weather monitoring, maintenance activities and
similar. All such data should be available in standard reports appropriate to the type of data being
reported on.
Documents relevant to the purpose of inspection shall be made available to the members of the
Inspection team by the Project Company at least 30 days prior to the date of commencement of
inspection (where feasible). Any additional document or information pertaining to the scope of
inspection sought by the Inspection team shall also be made available to them by the Project Company.
3.2.3.1 Investigations, Surveys and Studies
In some cases, enough information might not be available in the files or from what can be observed on
the ground to provide a good knowledge base, or a basis for knowing the health of dam, its appurtenant
works, or the foundations. The Inspection team may recommend any specific investigations that might
be necessary to obtain the data, including geodetic surveys, geologic mapping, drilling and sampling,
laboratory testing, installation of instrumentation, hydrologic studies, geotechnical, and other
engineering analyses, especially if the dam’s integrity is in question. These shall be undertaken by the
Project Company.
3.2.3.2 Archiving the Information
All the reports on inspection, observations, studies, collected data, specific events, records of site
conditions, project design, technical, geological, and geotechnical aspects, dam construction,
performance and maintenance records, and any other relevant information concerning safety aspects of
the dam shall be preserved in orderly manner for future reference by appending the same to the project
archive in line with the Lao Dam Safety Guidelines on Documentation.
6
3.2.4 Evaluation of Data and Identification of Issues

All the available data should be evaluated by the inspection team prior to any inspections in order to:
• Familiarise with the dam’s layout and features.
• Familiarise with the objectives of instrument monitoring and measurement, and instrument
monitoring and measurement procedures.
• Build awareness of the characteristic behaviour of the dam and installed instruments.
• Understand the dam’s potential failure modes and vulnerabilities.
• Recognise indicators of adverse dam performance and the initiation of potential failure modes.
Project Company shall designate a person who will be responsible for assessment or the on-going
evaluation of dam safety based on the data available at the time. It is recommend that a process is put
in place by the Project Company to show that a suitably trained person has assessed the data and is able
to take the appropriate actions and that this process can be audited. This relates primarily to routine
visual inspections and review of instrument monitoring data. For Comprehensive, Periodic and Special
inspections, all of these should be sufficient to produce detailed reports as a deliverable.
3.2.5 Types of Inspection

Following types of inspections are taken up in various stages of dam life and for different purposes:
• Routine Inspections
The purpose is to Identify and report deficiencies by visual inspection – regular enough to be able to
identify subtle changes.
• Periodic Inspections
These inspections assess trends in condition and performance at a higher level than routine inspections.
• Special Inspections
These are carried out in response to unplanned condition or event and to meet LEPTS requirements. In
this inspection a particular feature of a dam that has been identified as having a potential or confirmed
dam safety deficiency (e.g. from surveillance evaluation and safety reviews), or which has been subjected
to abnormal loading conditions or remedial works is examined.
• Comprehensive Dam Safety Evaluation Inspections
It consists of in depth review of dam performance and definitive statement of on current safety position
of the dam
The details for different inspections are provided in the annexure 7 of this guideline.
3.2.6 Frequency of Inspection

Dam Safety Inspection Plan envisages carrying out some inspections on regular basis with prescribed
period of recurrence. For dams of extreme and high hazard rating and showing signs of deterioration
or anomalies, more frequent inspections would be necessary. Less frequent Periodic inspections may be
sufficient for dams of moderate and low hazard ratings.
7
Frequency of inspections shall be as stipulated in the table below:

Type of Dam Hazard Rating
Surveillance
Inspection Extreme High Moderate Low
Routine Continual / Daily Continual / Daily Continual / Daily Continual / Daily

Inspection by regular O&M by regular O&M by regular O&M by regular O&M
staff, working staff, working staff, working staff, working
supervisors and supervisors and supervisors and supervisors and
engineers engineers engineers engineers
Periodic Monthly Monthly Once in two Quarterly
Inspection by months
Project
Inspection Team
Periodic Quarterly Quarterly Half yearly Annual
Inspection by
Government
Authority
Special Whenever Whenever Whenever Whenever
Inspection necessary and necessary and necessary and necessary and
when any event when any event when any event when any event
occurs occurs occurs occurs
Comprehensive On first filling On first filling On first filling Only after any
Dam Safety and then every 5 and then every 8 and then every 10 major /
Evaluation years and after years and after years and after disastrous event
any major / any major / any major /
disastrous event disastrous event disastrous event
Adjustments can be made in the inspection frequency where unusual or special circumstances warrant.
Successive inspections may be made in different months of the year to benefit from extremes in reservoir
stages and differences in seasonal climatic effects. Pre-monsoon and post-monsoon inspection may be
considered while deciding the schedule.
3.2.7 Inspection Reports

After each inspection, the team is expected to prepare a report of the inspection detailing basic data of
the project, historical events of inflows/outflows/emergency incidents, their observations on any
problems being faced at the dam like cracks, leakages, seepages etc., their suggestions for rectification
of these defects, other observations and overall assessment of the project functioning. These reports will
be circulated to all authorities concerned and copies shall be provided to Project Authority for
maintaining in the documentation archive for ready reference and retrieval in case of any emergency.
8
4. References
• ICOLD Bulletin 59. Dam Safety Guidelines,
• ICOLD Bulletin 60. Dam Monitoring, General Considerations.
• ICOLD Bulletin 68. Monitoring of Dams and their Foundations.
• ICOLD Bulletin 138. Surveillance, Basic Elements in a Dam Safety Process.
• ICOLD Bulletin 154. Dam Safety Management: Operational Phase of the Dam Life Cycle.
• ICOLD Bulletin 158. Surveillance Guide.
• Recommended Guidelines for Safety Inspection of Dams No. ER 1110-2-106, 26 Sept 1979,
Department of the Army, Office of the Chief of Engineers, Washington D C 20314
• Federal Guidelines for Dam Safety, U S Department of Homeland Security, Federal Emergency
Management Agency, June 1979
• Dam Safety Guidelines, Canadian Dam Safety Association, Edmonton, Alberta, Canada (1
January 1995)
• Dam Safety: An Owner’s Guidance Manual, Federal Management Agency, USA
• Construction Quality Control Inspection Program, Chapter VII, FERC Quality Control
Procedures, January 1993
• Safety Evaluation of Existing Dams, A water Resources Technical Publication, U S Department
of the Interior, Bureau of Reclamation, Denver, Colorado (1995)
• Regulatory Framework for Dam Safety – A Comparative Study, The World Bank Washington D
C(2002)
• Queensland Dam Safety Management Guidelines (February 2002)
• ANCOLD Guidelines on Dam Safety Management(2003)
• U.S. Army Corps of Engineers – Safety of Dams – Policy and Procedures. ER1110-2-1156.October
28, 2011
9
Annexure-1: (Reference)
Application for Inspection
To:
or
From:
Name of Project
Address of Project
Applicant’s (PO’s) Representative
Sir,
We are ready for _[Type of Inspection]_ inspection of following dam facilities in accordance with the
clause 3.2.5 of the Dam Safety Guidelines on Surveillance.
1. Name of the dam:
2. Location of the dam: Village/ Town________City……………..
District………………Province……………..
3. Summary of Facilities: Salient Features Enclosed.
4. Type and Purpose of Inspection
5. Inspection items (refer to attached “Reference”)
6. Proposed Schedule of Inspection
Documents required for the inspection are enclosed herewith or already provided to Government
Authority.
It is requested, to depute Government Authority or authorized Inspection Team to carry out

inspection of the dam facility for the purpose mentioned above.
Date: ..…../…../……….
Signature
Name and Designation
Authorized Signatory
Project Company
Enclosures:
List of Enclosed Documents:
10
Annexure-2: (Reference) Checklist

for Dam Inspection
Descriptions
Concrete Defects & Deterioration

Weathering/ Erosion/ Corrosion
Rodent Holes & Animal Burrows

Geometry, Profiles & Alignment
Slope Degradation/ Rain Cuts/
Machines Working Conditions

Seepage, Leakage and Water
Slope Stability & Protections
Settlements/ Displacements
Boils Slush and Local Pools

Variation in Water Levels
Surface Cracks & Defects

Bulging and Depression
Approaches and Access
Erosion Channels
Floating Debris
Landslides
Vegetation
Sediments
Drainage
Quality
Reservoir x x x x x x x x
Fill Dams
Upstream Slope x x x x x x x x
Crest of Dam x x x x x x x
Downstream Slope x x x x x x x x x x x
Downstream Drainage x x x x x x
Surface Drainage of x x x x
Downstream Slope
Seepage Measurement x x
Breaching Section x x x x
Junction of Rock/ Earth Fills x x x x x
with Concrete
Relief Wells x x x
Abutment Contacts x x x x x
Concrete Dams
General Condition x x x x x x x x
Upstream Face x x x x
Crest of Dam x x x x x
Downstream Face x x x x x
Abutment Contacts x x x x
Gallery/Shaft and Drainage x x x x
Drainage System x x x x x
Body Wall of ‘NOF’ Dam and x x x x
Spillway
Waste Weir Bar and Tail x x x
Channel
Spillway And Energy Dissipation x
Arrangement
Spillway x x x x x
11
Energy Dissipation x x x x x x x x x
Arrangement
Intake/Outlet And Water
Conveyance Structure
Intake/Outlet Structure x x x x x
Water Conveyance Structure x x x x x x x
Walls: Guide walls/Divide x x x x x x x
walls/Junction walls/Return
walls/Spray walls etc.
End Weir x x
Hydro-Mechanical Component
And Pump
Spillway Gates (Radial gates, x x x
Vertical lift gates, Automatic
gates)
Hoists, Cranes and Operating x x x
Mechanisms
Spillway Bridge, Hoist Bridge, x x x
Trunnion Level Bridge
Catwalks
Valves x x x
Trash Racks x x x
Trash Rack Cleaning x x x
Machines
Pumps x x x
Approach bridge, operation x x x
platform and cabin (for
outlets):
Outlet x x x
Outlet Gates x x x
River Outlet/ Outfall Structure x x x x x x
Access Road x x x x x x x x x
Instrumentation x x
12

for Dam Foundation Inspection
Component/ Area / Check Points/ Status Remarks/
Points of Observations Requirement* Observations by
Inspection Team
Dam Foundation Base Excavation Levels
Strata
Geological Condition
Water Ingress
Weak Zones (Faults, Shear
Seams etc.) encountered -
Treatment
Reinforcing or Remedial
Measures – Grouting,
drainage etc.
Treatment of Weak Zones
No Loose rocks or silts in
foundation
Foundation Concrete Mix Design and Properties
Field Tests & Results
Placement Quality
Fill Dam - Embankment Types of Material – Soil/
Foundation Material Earth/ Clay/ Rock boulders
etc.
Grading of Material – As
prescribed by design or
quality manual.
Compaction – methods and
degree of compaction.
13

for Inspection during Construction
Description of Check Points/ Status Remarks
Inspection Items Requirement*
General
Cleanliness
Personal Safety Norms Protective Wears and
Gears
Safe Approaches
Safe Working Styles
Safe Electric Lines
Safe Equipment Handling
Sufficient Ventilation
Availability of Water
Construction material
Separately for each: Conforming to Standards
Cement, Reinforcing Steel,
Structural Steel, Explosives, Manufacturer’s Test
Pipes, Water Stops and Report
Seals, anchor and rock On Site Test Reports
bolts, resins and cement
cartridges, Construction External Test Reports
Chemicals, Wire ropes and Appearance
Welding Rods etc.
Strength Characteristics
Other Properties
Shelf Life and Expiry
Aggregates: Sources of Aggregates
Coarse and Fine Specific Gravity
Dry Density
Grading
Abrasion Tests & Results
Compaction Test &
Results
Earth/ Clay Sources of Aggregates
Surface Excavation Specific Gravity
Dry Density
Grading
Shear Resistance – C
Value
14

Angle of Internal
Friction ϕ Value
Project components
Concrete Dam Overall Survey and
Geometry Control
Fill Dam
Component Geometry
Spillways Dimensions/ Sizes
Intake Structure Elevations/ Levels
Plunge Pool/ Stilling Construction Methods
Basins/ Energy Dissipation Construction Planning
Arrangements Construction Quality
Dam Toe Protection Works Equipment Operations
Material Handling
Diversion Tunnels
Follow up Safety Norms
Cofferdams
Canal Head Works Notes: Each component
under construction
Desilting Arrangement
during Inspection shall
Head Race Tunnel be checked for above
check points.
Surge Shaft/ Surge Tanks/
Forebays/ Head Tanks Check Points shall be
further elaborated and
Pressure Shafts and added if required as per
Penstocks the requirement of
Inspection.
Power House
Tail Water System
Outfall Structures
Hydro-Mechanical Works
Electro-Mechanical Works
Other works
Dewatering As per the project
specific quality
assurance and quality
control plan
Surface Excavation As per the project
specific quality
control plan
Underground Excavation As per the project
specific quality
control plan
Rock Fills As per the project
specific quality
control plan
Earth/ Clay Fills As per the project
specific quality
15

control plan
Rock Bolts and Anchors As per the project
specific quality
control plan
Shotcrete As per the project
specific quality
control plan
Drilling As per the project
specific quality
control plan
Grouting As per the project
specific quality
control plan
Jet/ Permeation Grouting As per the project
specific quality
control plan
Diaphragm Wall As per the project
specific quality
control plan
Concrete Structures As per the project
specific quality
control plan
Form Works As per the project
specific quality
control plan
Embedment As per the project
specific quality
control plan
Reinforcement As per the project
specific quality
control plan
Bar Bending Schedules Prepared as per design –
(BBS) diameter, length, shape
and numbers.
Bar Cutting Diameters and length as
per BBS
Bar Bending As per BBS
Placing As per design - spacing,
numbers and laying as
per drawing.
Concrete Cover
Chairs and Spacers
16

Laps – Lengths,
staggering and
appropriateness.
Assembly/ Cage Sturdy
Water Stops and Seals As per the project
specific quality
control plan
Pressure Shaft and As per the project
Penstocks Liner Fabrication specific quality
control plan
Pressure Shaft and As per the project
Penstocks Liner Erection specific quality
control plan
Fabrication and Erection of As per the project
HM Works specific quality
control plan
Installation of Electrical As per the project
Machines, Equipment and specific quality
Systems assurance and quality
control plan
Project infrastructure
Project Roads As per the project
specific quality
control plan
Adits/ Approach Tunnels As per the project
specific quality
control plan
Walkways, Stairs and As per the project
Ladders specific quality
control plan
Construction Plants As per the project
specific quality
control plan
Stores and Workshops As per the project
specific quality
control plan
Offices and Other As per the project
Establishments specific quality
control plan
Bridges and Pedestrian As per the project
Crossings specific quality
control plan
Roads and Other Protection As per the project
Works specific quality
17

control plan
18

for Inspection before
Commencement of Operation
Description of Inspection Check Points/ Requirement* Status Remarks
Items
Dam
Prevention of Serious No serious cracking at a concrete dam body
Deformation and Cracking of
Dams
Prevention of Serious Water No serious water leakage from the dam
Leakage from Dams body
No serious water leakage from the contact
area between the dam body and its
foundation
Size & Geometry of the structures
Spillways
Spillway Gates and Auxiliaries Water tightness
Balance in wire ropes
No abnormal noise
No dangerous vibration
Others
Intakes No serious crack
No serious deformation
No serious water leakage
Desilting Basins No serious crack
Head Race Tunnel No serious crack
Tailrace Tunnel No serious crack
No serious crack
19
Description of Inspection Check Points/ Requirement* Status Remarks

Items
Forebays/ Surge Tanks/ No serious deformation
Surge Shafts
Penstocks Painting condition
No serious water leakage from expansion
joints
No serious crack on anchor blocks nor
saddles
No serious vibration on exposed penstocks
Landslides
Prevention of Landslide No serious water leakage into the
surrounding areas
No serious landslides
20

for Inspection during Operation
Points of Requirement* Observations by
Observations Inspection Team
Reservoir
Reservoir water level
unusual variation
Variations in Water Quality
Status of Sediment
Deposition
Floating Debris
Landslides – Status and
Locations
Habitants around Reservoir
Fill Dams
General Condition Any Alterations or
Changes since last
Inspection
New development in the
downstream floodplain.
Observed Movement of
Poles, Headers, Guard
Stones and Parapets etc
Upstream Slope Bulging or Depression –
size, status and location
Stability Status
Cracks – length, openings,
depths and directions
Condition of pitching or
facing – intact/ damaged/
eroded
Any degradation to slope
protection (rip-rap)?
Status of Vegetation,
bushes and shrubs etc.
Crab holes or Rodent holes
or burrowing animals or ant
hills
Crest of Dam Crest Profile Geometry
and Elevations
Settlements
21

Local Depressions
Cracks in Surface –
Length, opening, depth
and direction
Surface Erosion
Local Slide and Slips
Displacement or
Dislodging of Poles,
Headers, Guard Stones
and Parapets etc.
Cattle grazing and
movement of Wild
Animals
Trees or profuse growth of
weeds/bushes etc.
Proper lighting
arrangement at dam top?
Downstream Slope Any signs of bulging or

concavity (depressions)?
Bulging or Depression –
size, status and location
Stability Status
Condition of pitching or
facing – intact/ damaged/
eroded
Seepage, Leakage or
Piping
Any degradation to slope
protection
Condition of planted
turfing and bushes etc.
Status of unintended
Vegetation, bushes and
shrubs etc.
Crab holes or Rodent
holes or burrowing
animals or ant hills
Rain Cuts and Erosion
Channels and their
treatment
Debris, Land Slides or
other damaging evidence
22

Downstream Drainage Boils, Slushy conditions or
growth of aquatic weeds
Formation of local Pool or
water logging
Free flowing passage to
stream at downstream
Depth of Water Table in
vicinity of d/s slope
Condition of d/s drains
and their maintenance
Surface Drainage of Condition of downstream
Downstream Slope slope drainage system
Erosion or damage to
Lining of slope drainage
Maintenance of slope
Drainage System
Seepage Measurement Measurements of Seepage
– Method, Frequency and
Maintenance of Records
Abnormal variation in
seepage
Colour and turbidity of
Seepage Water
Development of Seepage
Point
Access to Seepage Points
Breaching Section Access to Breaching
Sections
Condition of the
Breaching Section
Reconstruction of
Breaching Section – Plans,
sources of material and
access
Last forced breaching –
action and performance
report
Junction of Rock/ Earth Leaks, springs or Wet
Fills with Concrete Spots at or near the
Junction
Separations, or upheaval
of the earth work
23

Surface Erosion
Slope Stability
Relief Wells Working Condition
Cleaned periodically
Availability of equipment
for cleaning
Records of measurements
– Frequency and Data
Abutment Contacts Leaks, springs or Wet
Spots at or near the
Junction
Separations, or upheaval
of the earth work
Surface Erosion
Slope Stability
Concrete Dams
General Condition Any Alterations or
Changes since last
Inspection
New development in the
downstream floodplain.
Observed Movement of
Poles, Headers, Guard
Stones and Parapets etc
Upstream Face Surface Defects -
honeycombing, staining,
stratification
Concrete Deterioration
(spalling, leaching,
disintegration
and direction
Differential settlement -
Displacement/ offset/
open joints
Vegetation
Crest of Dam Differential settlement -
open joints
24

and direction
Growth of Weeds, Grass,
Plants
Displacement or
Dislodging of Poles,
Headers, Guard Stones
and Parapets etc.
Downstream Face Surface Defects - honey-
combing, staining,
stratification
Concrete deterioration -
spalling, leaching,
disintegration
and direction
Differential settlement -
open joints
Growth of Vegetation
Damage to Joints and/or
Water stops
Leakage, Seepage or
Sweating
Abutment Contacts Leakage, Springs or
Seepage
Cracks – Length, opening,
depth and direction
Growth of Vegetation
Gallery/Shaft and Water Logging, Slush,
Drainage mud in Galleries
Slush and Mud – D/s Dam
Obstructions in Galleries
and Approaches
Handrails
Lighting
Ventilation
Drainage
Differential settlement –
Displaced/ Offset/ Ppen
joints
25

Leakage, Water Springs,
Sweeting and Seepage
Measurements of Seepage
– Location, Method,
Frequency and
Maintenance of Records
Measurement of Total
Seepage through Galleries
Abnormal Variation in
Seepage
Periodic Cleaning of
Foundation and Porous
holes
Chemical Composition of
seepage Water – Check
Dissolved salts and
probable source
Leachate Deposition –
Extent and Location
Colour and turbidity of
Seepage Water
Drainage System Discharge in the drains
Calcium or other deposits
Conditions of Dewatering
Systems – Pumps and
Power System
Sump Wells – Cleaned
and Maintained
Seepage/ Discharge
Measuring System – V-
Notch etc.
Drain Blockages
Leachate Deposition –
Extent and Location
Colour and Turbidity of
Drain Water
Body Wall of ‘NOF’ Dam Bulging or Swelling on the
and Spillway Faces
Erosion of Surfaces
Waste Weir Bar and Tail Leakage, Seepage and
Channel Springing of Water
Maintenance of U/s and
D/s Faces, if required
Scouring on D/s Side
26

Conditions of guide walls
divide wall etc
Structural performance Deflection or Sliding
of the ‘NOF’ and ‘OF’
Portions of Dam Cracks – length, openings,
Foundations depths and directions
Seepage, Leakage or
Piping under Foundation
Uplift Pressure
Measurements and
Assessment of Uplift
Weathering of Concrete or
other material
Spillway And Energy
Dissipation
Arrangement
Spillway Approaches to Spillways
Erosion, Abrasion or
cavitation on Glacis
Displaced, Offset or Open
Joints
Cracks – Location,
Length, Opening and
Depth
Surface Defects–
stratification
Concrete deterioration –
Spalling, Leaching,
Disintegration)
Vegetation
Damage to joints and/or
Water Stops
Seepage, Sweating and
Springing Water
Energy Dissipation Approaches to Dissipation
Arrangement Arrangement
Cavitation
Joints - Displaced, Offset
or Open or Damaged
Length, Opening and
Depth
27

Surface Defects–
stratification
Concrete deterioration –
Spalling, Leaching,
Disintegration)
Vegetation
Obstructions downstream
Condition of Under-
drainage / Open drain
holes
Drainage of Tail Pond for
inspection of the stilling
basin or bucket
Erosion or Retrogression
in the Tail Channel
Condition of Concrete
Surface of the Stilling
Basin and apron / bucket
Abrasion, Cavitation and
Pitting
Intake/Outlet And
Water Conveyance
Structure
Intake/Outlet Structure Approaches and Access for
Inspection
Cavitation
or Open or Damaged
Length, Opening and
Depth
Surface Defects–
stratification
Water Conveyance Approaches and Access for
Structure Inspection
Cavitation
or Open or Damaged
Length, Opening and
Depth
28

Surface Defects–
stratification
Leakage, Seepage and
Springing of Water
Walls
Walls: Guide Drainage
walls/Divide
walls/Junction Water Flow Undercutting
walls/Return Walls
walls/Spray walls etc. Foundation Erosion
(Strike out whichever is
not Surface Damage or
\Erosion
applicable)
Settlements and
Movements
Guide Bunds -
End Weir
Is there any erosion,
pitting or spalling of the
concrete or masonry
surface?
If so, give details
Hydraulic
Performance of
Energy Dissipation
Hydraulic Performance Churning of Flow and
of Energy Dissipation Material in Bays
Is the hydraulic
performance in agreement
with the results of model
studies? (wherever
applicable)
Ascertain the performance
from observed tail water
rating curves and deficient
observation, if any, such
as sweep outs and
excessive erosion under
plunge pools and locations
of secondary rollers and
retrogression.
Tailwater Rating Curve –
Comparison with Design
Performance for the dam
Hydro-Mechanical
Component And
Pump
29

Spillway Gates (Radial Approaches and Access for
gates, Vertical lift gates, Inspection
Automatic gates)
Steel Surface - Sign or
erosion or deterioration
Painting – Peeling off or
deterioration
Loosening and damage of
joints and seals
Condition of Seals –
Weathering, Cracking,
Hardening or Tearing
Effectiveness of Sealing –
Gaps and openings through
sealing joints.
Rollers – perfect uniform
Contact with track plates
Embedded Parts –
Corrosion or protruding out
or other deterioration of
surrounding concrete
Structural soundness of all
HM Components - welded,
bolted and riveted
connections, uneven wear,
uneven bearing, cracking,
chipping and dents
Lubrication – Trunnion
Bearing, Gate Roller
Bearings, Pullies and hoists
and any other lubricated
component
Condition of Seal Plates.
Spares – Availability of
stock and Stocking
Practices
All Components –
Weathering, Deterioration,
Corrosion, Scaling, Pitting
and Cracking
Operational Obstructions
Gate Grooves and Sills –
Deposits or Debris
Radial Gate Trunnion Pins,
gate arms
Groove Concrete – sign of
damage or deterioration
30

Operation and Maintenance
Staff – Trained and
experienced for the
assignments
Maintenance Schedules and
Logs of Operations.
Trunnion hub and the
brackets - maintenance
Trunnions likely to get
submerged- Causes and
Occurrences in past
Condition of Connections
and Joints – Bolted/
Welded and others
Anchorages – Intact and
Tightened
Anchorage – Sign of
corrosion or deterioration
Hoists, Cranes and Approaches and Access
Operating Mechanisms
Hoists – Functions and
|Condition
Spares – Stock and Storage
Chains and Wire Ropes
Electrical Power System
and Cable and Wires
Alternative Power System
Emergency Manual Gate
Operating Mechanism
Welded and Others
Obstructions to Operations
Warning Signs and
Instructions
Anchorage – Sign of
corrosion or deterioration
Spillway Bridge, Hoist Decking, Girders and

Bridge, Trunnion Level Structural supports
Bridge Catwalks
Connections and Joints –
Bolted/ Welded or Other
Settlement or other
Movement
Access Control
31

Corrosion or Deterioration
Painting – Peeling off,
Weathering; Painting
Schedule and last painting
Railings and protection
Measures
Walkways – Conditions –
Connections, Supports and
decking
Cranes Track Rails –
Soundness, Weathering,
Anchors and binders
Valves Approaches and Access
Hoists – Operations and
Functions
Deterioration and
Corrosion
Trash Racks Access to Trash racks
Fixed or Movable
Mode of Cleaning –
Manual/ Mechanical
Damage – Damaged or
broken Strips/ Flats Joints
Deterioration or Corrosion
Deposition of Debris/
Trashes or other material
Trash Rack Cleaning
Operation – Problems,
Frequency and Last
Cleaned
Trash Rack Cleaning Access and Approaches
Machines
Damage or Deterioration of
Components - wheel
trolleys, gantry structures,
hoists, Cleaning system,
Power System, connecting
bolts, welds etc.
Chains and Wire Ropes
and Cable and Wires
32

Emergency Manual Gate
Operating Mechanism
Welded and Others
Warning Signs and
Instructions
Pumps Access and Approaches
Condition of Pumps
and Cable and Wires
Approach bridge,
operation platform
and cabin (for
outlets)
Girders and Structural
Supports
Decking
Connections and Joints –
Bolted/ Welded or Other
Settlement or other
Movement
Access Control
Painting – Peeling off,
Weathering; Painting
Schedule and last painting
Railings and protection
Measures
Bridge bearings
Outlet
Approaches and Access to
All Components
Structural Soundness
Air Vents – Periodic
cleaning
33

Leakage observed through
the well
Damage or Deterioration of
Concrete Walls and
Structures
Operations of All Valves
and Gates
Vibrations and Noise
During Operation
Energy Dissipation
Arrangement – Soundness
and Performance
Conduit - Structurally
Sound and leak proof.
Leakage, Seepage or Water
Springs
Access Road
Type and Condition of
Approaches and Access to
Various Project
Components.
Damage or Deterioration
of Surface, Subbase and
Subgrade
Maintenance of Approach
Roads
Slope Stabilization and
Protection Works
Drainage Arrangement
and their Upkeep
Traffic Obstructive
Features
Unwanted Vegetation
Unwanted Drainage
Channels
Security Arrangements
Instrumentation Refer Items of check list in
Guidelines for Dam Safety
Instrumentation
34

for Types of Inspections
Routine inspections
Areas Description
Scope • Follows a routine predetermined process and reporting
template
• Should form a consistent set of eyes to identify both large and
incremental changes in condition
• Checking and testing of hydro-mechanical equipment
• Recommend a periodic inspection when considered necessary
• Have standard format for inspection and report to ensure
consistent data capture and presentation
• Have code for missing data as opposed to zero reading
• Document and Reports of findings
Party Responsible Operational staff
Checklist Refer annexure- 2 and Project Company dam monitoring plan for
developing the checklist
Discussions The details of surveillance should reflect the hazard rating of the
dam and its complexities. Generally, the routine inspections
should include:
• inspection of the dam and appurtenant structures
• operational surveillance in line with the instrumentation and
dam monitoring requirements
Periodic inspections
Areas Description
Scope • More detailed than Routine inspections

• Different perspective, including operators, engineers – fresh
eyes
• Review and question routine inspection findings
• Assessment of items not reviewed at routine inspections
including data collection, checklists, quality levels,
maintenance
• Evaluation of the performance of the dam as indicated by the
on-site inspection and operation, surveillance, maintenance
and testing records for the period since the last inspection.
• Prepare a report that identifies any dam safety issues, any
changes to monitoring or visual inspection frequencies, or any
additional items to be monitored.
• Checking of hydro-mechanical equipment by getting test runs
done to demonstrate that the equipment is functional
35
• Check for adequate power supply backups for safety related

equipment
• Recommend special or comprehensive inspection, as necessary.
Party Responsible Project inspection team and Government Authority
Application format and • For Inspection during construction refer annexure- 1 & 4
Checklist • For inspection during operation refer annexure-1 & 6
dam and its complexities. Generally, the periodic inspections
should include:
• An on-site inspection of the dam and appurtenant structures.
• A review of operation, surveillance, maintenance and testing
records.
• An evaluation of the performance of the dam as indicated by
the on-site inspection and operation, surveillance, maintenance
and testing records for the period since the last inspection.
• A report that identifies any dam safety issues, any changes to
monitoring or visual inspection frequencies, or any additional
items to be monitored. Generally, the report should include:
o Observations during the site inspection.
o Photographs taken during the site inspection.
o The identification of any significant events since the previous
inspection (e.g. floods, earthquakes), operational events (e.g.
inappropriate operation, spill events, gate/valve testing), or
dam safety incidents, and the responses and results of any
such events or incidents.
o The identification of the completion of any maintenance and
the resolution of previously identified dam safety issues, or
the status of those issues.
o A review of surveillance data and other salient information.
o An evaluation of the performance of the dam and related
structures/equipment, in the context of expected
performance, characteristic behaviour and potential failure
modes, using previous inspections as reference points.
o An outline of the status of instrumentation maintenance,
including a comment on its adequacy.
o A summary of gates and valves that fulfil dam or reservoir
safety functions, and an outline of their dam and reservoir
safety functions.
o A comparison of planned and actual maintenance and
testing activities for gates and valves that fulfil dam or
reservoir safety functions (in the period since the previous
inspection), and comment on the adequacy of the completed
maintenance and testing activities.
o The identification of any dam safety issues during the
inspection and review, including any potential or confirmed
dam safety deficiencies.
o The categorisation of any identified dam safety issues into
physical infrastructure issues, potential or confirmed dam
safety deficiencies, and non-conformances
o A summary of the status of previously identified dam safety
issues.
36
Special inspections
Areas Description
Scope • Following concerns from routine inspections and/or monitoring
data
• Inspection and evaluation of dam, reservoir and appurtenant
structures following an unplanned condition
• Report on findings and recommend actions to be taken in the
interests of safety
• Supervision of any immediate works needed to secure the safety
of the dam and reservoir
• Recommend comprehensive inspection, as necessary or
following remedial works
• To meet LEPTS requirements
o Foundation Inspection
o Inspection During Impoundment
o Commencement of operation
• Unusual events, observations and emergencies
o Adverse surveillance observations or instrument readings.
o Large rainfalls or floods.
o Strong winds.
o Earthquakes.
o Landslides into the reservoir.
o Man-made damage.
Party Responsible Project inspection team and Government Authority
Application format and • For dam foundation Inspection refer annexure- 1 & 3
Checklist • For inspection pre and during reservoir impoundment refer Lao
Dam Safety Guidelines on Reservoir Impoundment
• For inspection prior to commencement of operation refer
annexure- 1 & 5
• Others- depending upon the nature of the specific problem
prior to commencement of inspection.
Discussions The surveillance will be specific to the nature of the dam’s
condition and any potential or confirmed dam safety deficiency
that has been identified, and may include:
• A review of records and reports from investigation, design,
construction and surveillance.
• Site inspections and investigations (e.g. exploratory
geotechnical or geophysical investigation by excavation,
drilling, density testing, or shear wave testing).
• Natural hazard assessments (e.g. flood, seismic, geologic,
reservoir landslides).
• Stability and performance assessments (e.g. structural, flood
passage, rock mechanics, erosion, scour).
• Failure Modes and Effects Analysis (FMEA).
• Dam-break modelling and consequence assessment.
• The identification of preliminary remedial actions or mitigating
measures (structural or non-structural).
• The completion of a report covering the review which includes:
37
o any dam safety issues investigated and/or identified in the

review, including potential or confirmed dam safety
deficiencies
o possible interim risk reduction measures and long-term risk
reduction options, and comments on time drivers for their
implementation
o the categorisation of identified dam safety issues into
o Comment on previously identified dam safety issues and
either the adequacy of their resolution, or whether there are
impediments that prevent their resolution.
Comprehensive Evaluation
Areas Description
Scope • More detailed than Periodic inspections
• Different perspective, including operators, engineers – fresh
eyes
• Considers changes to standards, contemporary inputs (flood,
seismic, dam break, risk)
• Review of existing reports and evaluation of status under
current legislation and statutory instruments
• Review of flood risk with further hydrological data obtained
during operation and assessment of climate change impacts
• Inspection and evaluation of dam, reservoir and appurtenant
structures
• Review of dam hazard classification
• Assessment of remedial works undertaken, if any
• Review of management system and operating procedures
• Review of emergency preparedness and other safety plans
• Reporting on findings and recommended actions for
improvement and compliance with legislation
• Checking of hydro-mechanical equipment by getting test runs
done to demonstrate that the equipment is functional
• Check for adequate power supply backups for safety related
equipment
• Considers aspects of
o Design / Construction
o Previous incidents / problems / resolutions
o Modifications / repairs / upgrades
o Maintenance performed / deferred
o Condition / performance / risk
Party Responsible Comprehensive dam evaluation team, Government Authority ,
Project inspection team
Application format and Specific to the project

Checklist
38
dam and its complexities. Generally, the comprehensive evaluation
should include:
• Review of all available relevant information including data
books, reports and surveillance records.
• Review of known and potential hazards and dam safety threats.
• Review of the dam’s hazard rating
• Review of the outputs from the FMEA, the identified potential
failure modes and their key performance indicators.
• Detailed on-site inspection of the dam and appurtenant
structures.
• Site inspection and witnessing of testing of gates and valves that
fulfil dam and reservoir safety functions (including their
operating equipment, power supplies and control, protection
and telecommunication systems). Testing may not be necessary
if the Project Company has completed and documented recent
tests that adequately satisfy the test requirements; however, the
operation and performance records for the tests should be
reviewed in depth.
• Assessment of the adequacy of the dam and its appurtenant
structures, including all gate and valve systems that fulfil dam
and reservoir safety functions, to safely perform to current
acceptability criteria for all loading conditions. The reviewers
are unlikely to reanalyse the dam but may identify that there is a
lack of analysis, design or assessment for an element of the
facility and identify this as a dam safety issue.
• Review of the dam safety management system, and operating,
surveillance, maintenance and testing procedures and records,
including clarifying matters of detail with operations, dam
safety and surveillance staff.
• Review of the organisation of operational resources and
infrastructure.
• Review of emergency preparedness including procedures,
training, exercises, facilities and equipment.
• The completion of a report covering the review which includes:
o comments on the appropriateness of the dam hazard rating
o comments on the outputs of the FMEA, the potential failure
modes and their key performance indicators
o comments on dam performance
o a discussion of any issues related to monitoring and
surveillance, and any changes that should be made to
monitoring and surveillance processes
o an assessment of the safety of the dam with respect to current
acceptability criteria
o comment on the appropriateness of the dam safety
management system
o a discussion on any dam safety issues identified in the
inspection, testing and review, including potential or
confirmed dam safety deficiencies
o the categorisation of any identified dam safety issues into
39
o comment on previously identified dam safety issues and

either the adequacy of their resolution, or whether there are
impediments that prevent their resolution.
40
Printing Supported by the New Zealand Aid Programme,
Ministry of Foreign Affairs and Trade, Government of New Zealand.
Printed by State Printing, Initial print: 200 copies

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Dam Safety Guidelines - December 2018

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 Dam Safety Guidelines on Training

Ministry of Energy and Mines (MEM)

1. Dam Safety Guidelines on Training.

Government of Lao PDR

• Mr. Sychath BOUTSAKITTIRATH, Director General, Department of Energy Management

• Mr. Satoru Ueda, Lead Dam Specialist

Entura/ PwC India

• Mr. A.K. Bajaj, Dam Safety Specialist, Entura

Multiconsult United Kingdom

• Mr. Christopher Grant, Technical Director

2. Personnel Involved and Training Areas 2

4. Online Dam Safety Training Programs by International Organizations 7

Annexure 1: (Reference) Training Need Identification Questionnaire 8

Annexure 1.1: Knowledge, skills and Attitude 9

Annexure 1.2: Learning Preference 10

Annexure 1.3: Changing business environment 11

Annexure 2: (Reference) Training Feedback Form 12

2. Personnel Involved and Training

Group / Stake Holder Training Areas

Government Authority • Understanding of the obligation of the Government agencies, as well as

o Risk evaluation and management techniques, Operation and

Land use planners • Awareness of the dam hazard category

3.2 Identification of Training Needs

3.3 Centralised Training Calendar by Government

3.4 Organizing Training

3.5 Training Feedback

3.6 Evaluation of Training Feedback Effectiveness

3.7 Training Frequency

3.8 Staff Training Records

3.9 Training Documentation

4. Online Dam Safety Training

Annexure 1: (Reference) Training

The questionnaire contains the following sections

Section 1: Knowledge, skills and Attitude

Section 2: Learning preference

Section 3: Changing business environment

Name of TNA Anchor

Contact Details of TNA Anchor

Annexure 1.1: Knowledge, skills and

Location Brief description of Knowledge and skills Challenges faced in

Annexure 1.2: Learning Preference

Interactive group sessions Knowledge based Self-learning options

Annexure 1.3: Changing business

Changes to the role to improve productivity and remove bottlenecks

Technical Skills Required Behavioural/Managerial Skills Required

Annexure 2: (Reference) Training

Title of training course:

What did you like about the course?

What do you think could be improved?

Outline things that you have learnt in this session

Do you have any suggestions for new training sessions?

Annexure 1: Planning Stage Documentation 9

Annexure 2: Construction and Commissioning Stage Documentation 10

Annexure 3: Operation Stage Documentation 12

2.1 Planning Stage Documentation

2.2 Construction and Commissioning Stage

2.2.1 Technical Specifications, Detailed Designs and

2.2.2 Additional Investigation Report

2.2.3 Foundation Report

2.2.4 Quality Assurance /Quality Control Plans

2.2.5 Monitoring Report

2.2.6 Impoundment Report